KLC Disaster Preparedness & Response Handbook

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KLC Disaster 

Preparedness & 

Response Handbook

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Table of Contents 

CHAPTER 1: DISASTER PREPAREDNESS 

Executive Role in Disaster Preparation 

Legislative Role in Disaster Preparation 

City Manager/City Administrative Officer 

Police Chief 

Fire Chief 

City Clerk 

Public Works 

Utilities 

Code Enforcement 

Finance (City Clerk) 

Human Resources (City Clerk) 

*Click on a page number to be 

taken directly to each section. 

⇨ 

Chapter 1 

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Page 12 

Page 14 

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Page 24 

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Page 28 

Page 30 

Page 32 

Page 33 

CHAPTER 2: DISASTER ACTION PLAN 

Role of Mayor (City Manager/City Administrator) During a Disaster 

Role of Council Member/Commissioner During a Disaster 

Role of Police Chief 

Role of Fire Chief 

Role of City Clerk (City Manager/City Administrator) 

Role of Public Works 

Role of Municipal Utilities 

Role of Finance (City Clerk) 

Role of Code Enforcement (Duties may be assigned to Public Works) 

Chapter 2 

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CHAPTER 3: FEDERAL DISASTER ASSISTANCE 

Federal Programs Overview 

Federal/State Action 

Local Action 

Disaster Field Office (DFO) 

The Federal Coordinating Officer (FCO) and Staff 

State Coordinating Officer (SCO) and Staff 

Disaster Assistance for Individuals 

Small Business Administration Programs (SBA) 

Agriculture Disaster Guidelines 

Chapter 3 

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TABLE OF CONTENTS: KLC DISASTER & PREPAREDNESS RESPONSE HANDBOOK

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National Flood Insurance Program (NFIP) 

Public Assistance (PA) 

Public Assistance Eligibility 

General Work Eligibility 

Public Assistance Project Category Descriptions 

Section 406 – PA – Hazard Mitigation 

Specific Documentation Required 

Post Award Monitoring 

Reconcile and Close PA Prime Award 

Review and Audit 

For Projects Under $1 Million 

Hazard Mitigation Grant Program 

Contracts 

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Page 69 

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Page 79 

Page 89 

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CHAPTER 4: RELEVANT FORMS 

Form 1 – Continuity of Government/Continuity of Operations Plan 

Form 2 - Sample Executive Order Declaring State of Emergency 

Form 3 – Sample Executive Order Declaring Curfew 

Form 4 – Disaster-Related Materials Tracking Summary 

Form 5 – Disaster-Related Rented Equipment 

Form 6 – Disaster-Related Force Account Equipment Tracking 

Form 7 – Disaster-Related Force Account Labor Tracking (Use for volunteers too) 

Form 8 – Applicants’ Benefits Calculation Worksheet 

Form 9 – Disaster-Related Contract Work Summary Record 

Form 10 – Sample Volunteer Agreement/Waiver 

Form 11 – Inventory Form FEMA 

Form 12 – Disaster-Related Project Worksheet 

Form 13 – Preliminary Damage Assessment Summary 

Form 14 - Debris Management Plan Template 

Form 15 - Debris Contract Bid Specifications 

Form 16 – Debris Monitor Report Form 

Form 17 – Right of Entry on Private Property for Debris Removal 

Form 18 – RFP for Services Related to FEMA Reimbursement, Documentation & Audit 

Form 19 – RFP for Debris Removal 

Chapter 4 

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DISASTER PREPARATION 

Introduction to Disaster Preparation 

When disaster strikes, citizens rely upon local leaders to provide guidance, structure, and 

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

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

that regardless of the form of government, the mayor is the head of state for the city during 

times of disaster. Cities can take steps to guide disaster response before the worst happens. 

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. 

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

may be applicable to multiple departments. Clear direction is imperative to avoid duplication 

of effort. 

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

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

is impossible to design a guide that is tailored to every city, we endeavored to create a 

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

Executive Role in Disaster Preparation 

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

mayor is the chief executive and administrative officer of the city. 

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

of government, the mayor and commissioners share executive and legislative authority. At the 

first annual meeting of the board of commissioners, each commission member is selected by 

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

operate under this form of government, the board of commissioners may assign various sections 

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

important for commissioners to understand that during a state of emergency the mayor assumes 

all executive authority according to Kentucky law. 

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

of government, the board of commissioners, which includes the mayor, shares all executive and 

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

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

disaster preparation duties may be performed by the city manager. However, like the commission 

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 

emergency. 

It is important to note that Kentucky law authorizes city mayors to issue state of emergency 

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

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

emergency declaration. In most instances, the designee will be a city manager, city administrator, 

police chief, or fire chief. 

I. UNDERSTAND EMERGENCY MANAGEMENT STATUTORY SCHEME 

A. KRS Chapter 39A governs the state’s response to disasters and emergencies. 

1. Creates the department of emergency management to develop, administer, and 

maintain a comprehensive disaster and emergency management program for the 

state in conjunction with all state and local government entities. 

2. Authorizes the governor and executive authority of counties and cities to declare a 

state of emergency in response to a statewide disaster or emergency. The governor’s 

declaration of a state of emergency expires in 30 days unless renewed by the general 

assembly during a regular or special session. 

3. Provides wide latitude to the state executive branch to respond to statewide disasters 

and emergencies. 

B. KRS Chapter 39B governs the local government authority to respond to disasters and 

emergencies. 

1. Authorizes local executive authority of counties and cities to declare a state of 

emergency for local disasters. 

2. Gives the mayor, as the executive authority, broad powers to ensure that city 

operations can continue. For most actions, the mayor can act by executive order, 

but consultation with members of the legislative body is critical for successful 

administration. 

3. Cities can avoid strict compliance with procurement requirements during an 

emergency. However, the Federal Emergency Management Agency (FEMA) will not 

reimburse the city for any goods or services unless state and federal procurement 

guidelines are followed. This includes contracts with consultants for FEMA 

reimbursement. Follow the bid process unless it is a matter of public safety. 

4. Authorizes other government employees to provide aid within the city utilizing the 

same powers, duties, rights, privileges, and immunities as they would have in their 

local jurisdiction. 

C. KRS Chapter 39C governs the administration of the state supplementary fund for local 

emergency management agencies. 

1. Emergency management agencies may apply for state supplementary funds on 

a reimbursement basis for the creation, administration, and support of emergency 

management. (50% max of expenditures)

Page | 6 

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

usually county emergency management. 

3. State emergency management conducts quarterly evaluations of programs receiving 

the monies. 

II. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN 

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

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

a disaster or any event that significantly disrupts any part of city operations. 

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

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

that is attached to this guide as Appendix A. 

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

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

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

and the specific essential functions each department oversees during a disaster. 

2. Includes all equipment, resources, and facilities necessary for the departments to 

accomplish the tasks. 

3. Establishes a succession plan should individuals be unable to perform assigned 

functions. 

4. Separately addresses IT backup and recovery needs to continue operations. 

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

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

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

Effective communications serve to provide citizens warning of pending danger, information 

about relief efforts, and connection with the city government and other citizens. All city 

communications should flow through the mayor or the mayor’s designee, especially in 

crisis situations. It is important to design communications to reach all citizens regardless of 

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

plan that is attached to this guide as Appendix A. 

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

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

essential functions during a disaster. 

2. Includes all equipment, resources, and facilities necessary to accomplish duties. 


functions. 

4. Create a plan for the following: 

a. Process to assess priority resources available to effectively communicate with 

citizens, e.g., personnel, volunteers, businesses, radios, equipment, internet 

service. 


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b. Prioritize immediate communications needs, e.g., warning of pending disaster, 

reaching vulnerable populations, informing the public of available shelters. 

c. Establish partners that can provide communication resources on the city’s 

behalf if city communications are down, e.g., schools, local KSP post, KYEM, 

radio stations, ham radio operators. 

d. Identify employees and volunteers available to go door-to-door to make sure 

that vulnerable and remotely located residents receive information. 

e. Prioritize requests for communications, e.g., information on shelter locations, 

missing persons, location of food and water. 

f. Prepare to manage citizen expectations regarding FEMA recovery efforts. FEMA 

is not an insurance company. FEMA will not provide funding to replace or restore 

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

people obtain safe, sanitary, and functional housing that meets basic needs. 

g. Create a social media plan that includes daily updates to provide information to 

a wide range of citizens once internet is established and utilize digital billboards 

to provide information to citizens that may not be aware. 

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

best reach them. 

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

agencies/dail/Pages/adrc.aspx 

2. Health Emergency Listing of Professionals for Surge (KHELPS): Public Health 

Preparedness Branch 502.564.7243 

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

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

4. Kentucky Refugee Ministries: https://kyrm.org/ 

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

refugees-in-kentucky/resettlement-agencies/ 

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

ProviderDirectory.aspx 

7. Local Schools and Districts 

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

9. SAMHSA: Mental Health Crisis Line 988 

PREPARE TO CREATE AND MAINTAIN CITY RECORDS 

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

to make sure that any necessary information is provided on a consistent rotating basis. 

B. Take FEMA training to learn about the public assistance program. FEMA independent study 

courses can be found here. “Social Media During a Disaster” may be a useful course, among 

others.

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III. EMERGENCY OPERATIONS PLAN 

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

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

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

from citizens. Cities can create standing committees that contain city employees from different 

departments, community members, faith leaders, social services providers, and representatives 

from the business community. 

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

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

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

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

to develop a successful EOP. 

A. Create a city emergency operations plan (EOP) standing committee comprised of 

representatives from city departments and citizens to develop an emergency operations 

plan for the community that meets the requirements of KRS 39B.060. A standing 

committee is permanent in nature to ensure continuous review so that EOPs remain current 

and operational. 

1. FEMA has a fantastic publication to assist “Developing and Maintaining Emergency 

Operations Plans.” Section 4 contains the process for developing an EOP. EOPs 

developed from this template should comply with KRS 39B.060. 

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

necessary to send it to Kentucky Emergency Management. However, county plans 

may not cover the individual needs of your city and your city may not have provided 

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

your county emergency management director and ask for a copy. This will help you 

determine whether it is a fit for your city or whether it is best to create a city-specific 

EOP. 

3. Consider city geography in the city EOP. 

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

here. 

b. Identify potential debris dump sites, which might be difficult in mountainous 

areas. 

IV. POST-DISASTER RECOVERY PLAN 

A post-disaster recovery plan is a guidance document that establishes policies, operational 

strategies, roles, and responsibilities to facilitate long-term recovery efforts. Post-disaster recovery 

includes all disasters that interfere with government work, including natural disasters, mass 

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

post-disaster. 

The plan may include temporary building regulations, historic preservation matters, processes to 

identify property boundaries, and temporary housing provisions. 


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A. Establish plain goals for long-term recovery like integrating long-term hazard mitigation, 

public safety, and resiliency. 

1. Profile and map hazard risks in your city to make informed policy decisions and 

anticipate potential hazards during a disaster. 

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

properties should widespread devastation result from a disaster. 

3. Establish draft regulations the mayor can implement by executive order that 

temporarily suspend ordinances and zones that restrict temporary housing in 

residential zones or unnecessarily impede recovery efforts. 

4. Consider public safety and hazard elements in the city’s comprehensive plan and 

clearly identify how hazard mitigation integrates with the plan. 

5. Include disaster safety measures in capital projects by considering potential 

community needs during a disaster in road projects, building construction, and other 

infrastructure projects. 

6. Create plans to assist local businesses and citizens to weather economic downturns 

resulting from a potential disaster. 

7. Maintain partnerships with other local governments and state agencies that may assist 

as the city recreates an inviting business climate after a disaster. 

8. Kentucky Emergency Management has a great template adopted from FEMA called 

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

to normal operations after a disaster that has caused work disruption. Reconstitution 

focuses on the internal process necessary to resume operations and does not address 

the community as a whole. 

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

Planning Association, in partnership with FEMA, created a post-disaster document 

entitled “Planning for Post-Disaster Recovery: Next Generation.” Unlike the tools and 

templates above, the planning document can be a tough read. It is a dense document 

with lessons learned from disaster recoveries, how state and federal laws play into 

recovery and rebuilding, instructions on how to work with your community to design 

a recovery plan, and how to focus on resiliency during recovery. Page 94 contains a 

flow chart to help organize the planning process, but the entire document contains 

critical information for planning officials. 

B. Identify key community leaders, stakeholders, and others who can assist in response 

planning. 

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

accountants, builders, plumbers, electricians, landscapers, realtors, property 

assessors, insurance agents, counselors, therapists, medical practitioners, pharmacists, 

animal welfare groups, Kentucky Cooperative Extension Office, restauranteurs, 

hoteliers, etc. 

2. Include your insurance agent in disaster planning for the city. 

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

best reach them and what services may be needed should utilities cease to function. 

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

Page | 10 

agencies/dail/Pages/adrc.aspx 












9. SAMHSA: Mental Health Crisis Line 988 

D. Enter into interlocal agreements for mutual aid with local agencies and surrounding local 

governments. KLC is working with Kentucky Emergency Management and other partners on 

a statewide interlocal agreement for mutual aid. 

E. Identify several potential locations for an emergency operations center, staging areas for 

volunteers, and points of distribution for supplies. Locations need to be geographically 

separate. 

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

disaster, e.g., construction, maintenance, fuel, generators, lights, light poles, etc. 

G. Identify prospective rental locations to establish a temporary city hall and emergency 

services. 

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

during a disaster. 

H. Reach out to the medical community, including the behavioral health community, to 

determine what resources are available to assist with physical and mental health during and 

post-recovery. 

1. Include members of the medical community on community advisory committees. 

I. Work with first responders and public works to develop evacuation routes and plans to 

evacuate citizens. 

J. Plan for documentation of every aspect of disaster recovery and focus on following 

procurement laws. 

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

2. Gather all maintenance records for roads, bridges, signs, lights, equipment, structures, 

etc., to produce to the insurance company and FEMA. 

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

donor/loaner. 

4. Debris removal documents, including approval to enter private property and approval 

of dumpsites. 

5. RFPs for any and all purchases, services, and items for disaster recovery, including 


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hiring entities to help with FEMA reporting. 

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

building inspectors, electricians, plumbers, certified wastewater treatment workers, 

etc. 

V. COMMUNICATIONS PLAN 

A. Install generators on all critical infrastructure and have backup communications plans that 

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

Active911. 

B. Establish a clear hierarchy of persons in charge of city communications during a disaster to 

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

but the mayor can delegate communications duties to a city employee by executive order. 

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

manager is unavailable during a disaster. 

VI. MANDATE AND/OR PRIORITIZE FEMA TRAINING 

The FEMA and KYEM offer various training opportunities for government entities. Training is not 

limited to first responders. FEMA’s professional development series contains trainings that can 

assist city officials and employees in preparing, navigating, and managing the after effects of a 

disaster. All FEMA independent study courses can be found here. All KYEM training courses can 

be found here. 

During the preparation process, it is useful to mandate or encourage key employees to take 

specific courses. For example, the city’s executive, city manager, city administrative officer, or 

public information officer may find “social media in emergency management” useful, whereas 

the public works director may find “the public works role in emergency management” is more 

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

eligibility” or “local damage assessment” courses. 

Police, fire, EMS, and search and rescue have more in-person disaster and emergency training 

opportunities through KYEM. Offered course topics range from search and rescue to emergency 

operations during a hazmat emergency. Courses are offered regionally. 

END OF SECTION

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Legislative Role in Disaster Preparation 

Regardless of the city form of government, the mayor is the official head of state for the city 

during a state of emergency. Only the mayor can declare a state of emergency for a city. During 

the state of emergency, Kentucky law authorizes the mayor to operate the city without input from 

the legislative body. 

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

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

mayor’s authority during a state of emergency transitions from sharing executive authority as a 

member of the board of directors to having broad unilateral authority to operate the city. 

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

in many instances the mayor will likely consult the legislative body before taking executive 

action, e.g., temporarily suspending zoning ordinances to allow placement of temporary housing. 

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

critical to success. 

I. EMERGENCY MANAGEMENT STATUTORY STRUCTURE (See above under Executive Authority) 

A. KRS Chapter 39A governs the state response to disasters and emergencies. 


maintain a comprehensive disaster and emergency management program for the state 

in conjunction with all state and local government entities. 








emergencies. 








emergency. However, FEMA will not reimburse the city for any goods or services 

unless state and federal procurement guidelines are followed. This includes contracts 

with consultants for FEMA reimbursement. Follow the bid process unless it is a matter 

of public safety. 

LEGISLATIVE ROLE IN DISASTER PREPAREDNESS

Page | 13 






1. Emergency management agencies may apply for state supplementary funds on a 

reimbursement basis for the creation, administration, and support of emergency 

management. (50% max of expenditures) 




the monies. 


1. Members of the legislative body should collaborate with the executive to serve on 

preparation and recovery committees. 

a. For cities operating under a mayor-council form of government, council 

members can consider unique experiences and talents they may have to assist 

with external committees, e.g., a council member who is a restaurant owner 

may volunteer to serve on the committee considering food distribution during a 

crisis. 

b. For cities operating under a commission form of government, individual 

commissioners will likely participate on internal committees for the area of 

government over which they have superintendency. 

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

be useful to consider specific interests and talents to participate in external 

committees. 

END OF SECTION

Page | 14 

City Manager/City Administrative Officer Role 

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

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

city administrative officer, that appointment will likely fall to them. 

I. UNDERSTAND EMERGENCY MANAGEMENT STATUTORY SCHEME 

A. KRS Chapter 39A governs the state response to disasters and emergencies. 


maintain a comprehensive disaster and emergency management program for the state 

in conjunction with all state and local government entities. 








emergencies. 








emergency. However, FEMA will not reimburse the city for any goods or services 

unless state and federal procurement guidelines are followed. This includes contracts 

with consultants for FEMA reimbursement. Follow the bid process unless it is a matter 

of public safety. 






1. Emergency management agencies may apply for state supplementary funds on a 

reimbursement basis for the creation, administration, and support of emergency 

management. (50% max of expenditures) 

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

Page | 15 




the monies. 




a disaster or any event that significantly disrupts any part of city operations. 

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

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

that is attached to this guide as Appendix A. 

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

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

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

and the specific essential functions each department oversees during a disaster. 




functions. 

4. Separately addresses IT backup and recovery needs to continue operations. 

III. EMERGENCY OPERATIONS PLAN 

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

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

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

from citizens. Cities can create standing committees that contain city employees from different 

departments, community members, faith leaders, social services providers, and representatives 

from the business community. 

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

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

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

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

to develop a successful EOP. 

A. Create a city emergency operations plan (EOP) standing committee comprised of 

representatives from city departments and citizens to develop an emergency operations 

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

is permanent in nature to ensure continuous review so that EOPs remain current and 

operational.

Page | 16 

1. FEMA has a fantastic publication to assist “Developing and Maintaining Emergency 

Operations Plans.” Section 4 contains the process for developing an EOP. EOPs 

developed from this template should comply with KRS 39B.060. 

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

necessary to send it to Kentucky Emergency Management. However, county plans 

may not cover the individual needs of your city and your city may not have provided 

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

your county emergency management director and ask for a copy. This will help you 

determine whether it is a fit for your city or whether it is best to create a city-specific 

EOP. 

3. Consider city geography in the city EOP. 

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

here. 

b. Identify potential debris dump sites, which might be difficult in mountainous 

areas. 

IV. POST-DISASTER RECOVERY PLAN 

A post-disaster recovery plan is a guidance document that establishes policies, operational 

strategies, roles, and responsibilities to facilitate long-term recovery efforts. Post-disaster recovery 

includes all disasters that interfere with government work, including natural disasters, mass 

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

The plan may include temporary building regulations, historic preservation matters, process to 

identify property boundaries, and temporary housing provisions. 

A. Establish plain goals for long-term recovery like integrating long-term hazard mitigation, 

public safety, and resiliency. 

1. Profile and map hazard risks in your city to make informed policy decisions and 

anticipate potential hazards during a disaster. 

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

properties should wide-spread devastation result from a disaster. 

3. Establish draft regulations that the mayor can implement by executive order that 

temporarily suspends ordinances and zones that restrict temporary housing in 

residential zones or unnecessarily impedes recovery efforts. 

4. Consider public safety and hazard elements in the city’s comprehensive plan and 

clearly identify how hazard mitigation integrates with the plan. 

5. Include disaster safety measures in capital projects by considering potential 

community needs during a disaster in road projects, building construction, and other 

infrastructure projects. 

6. Create plans to assist local businesses and citizens to weather economic downturns 

resulting from a potential disaster. 


Page | 17 

7. Maintain partnerships with other local governments and state agencies that may assist 

as the city recreates an inviting business climate after a disaster. 

8. Kentucky Emergency Management has a great template adopted from FEMA called 

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

to normal operations after a disaster that has caused work disruption. Reconstitution 

focuses on the internal process necessary to resume operations and does not address 

the community as a whole. 

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

American Planning Association, in partnership with FEMA, created a post-disaster 

document entitled “Planning for Post-Disaster Recovery: Next Generation.” Unlike the 

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

document with lessons learned from disaster recoveries, how state and federal law 

play into recovery and rebuilding, instructions on how to work with your community 

to design a recovery plan, and how to focus on resiliency during recovery. Page 94 

contains a flow chart to help organize the planning process, but the entire document 

contains critical information for planning officials. 

B. Identify key community leaders, stakeholders, and others who can assist in response 

planning. 

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

accountants, builders, plumbers, electricians, landscapers, realtors, property assessors, 

insurance agents, counselors, therapists, medical practitioners, pharmacists, animal 

welfare groups, Kentucky Cooperative Extension Office, restauranteurs, hoteliers, etc. 

2. Include your insurance agent in disaster planning. 

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

best reach them and what services may be needed should utilities cease function. 

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

dail/Pages/adrc.aspx 












9. SAMHSA: Mental Health Crisis Line 988

Page | 18 

D. Enter into interlocal agreements for mutual aid with local agencies and surrounding local 

governments. KLC is working with Kentucky Emergency Management and other partners on 

a statewide interlocal agreement for mutual aid. 

E. Identify several potential locations for an emergency operations center, staging areas for 

volunteers, and points of distribution for supplies. Locations need to be geographically 

separate. 

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

disaster, e.g., construction, maintenance, fuel, generators, lights, light poles, etc. 

G. Identify prospective rental locations to establish a temporary city hall and emergency 

services. 

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

during a disaster. 

H. Reach out to the medical community, including the behavioral health community, to 

determine what resources are available to assist with physical and mental health during and 

post-recovery. 

1. Include members of the medical community on community advisory committees. 

I. Work with first responders and public works to develop evacuation routes and plans to 

evacuate citizens. 

J. Plan for documentation of every aspect of disaster recovery and focus on following 

procurement laws. 

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

2. Gather all maintenance records for roads, bridges, signs, lights, equipment, structures, 

etc., to produce to the insurance company and FEMA. 

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

donor/loaner. 

4. Debris removal documents, including approval to enter private property and approval 

of dumpsites. 

5. RFPs for any and all purchases, service, and items for disaster recovery, including 

hiring entities to help with FEMA reporting. 

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

building inspectors, electricians, plumbers, certified wastewater treatment workers, 

etc. 


Page | 19 

V. COMMUNICATIONS PLAN 

A. Install generators on all critical infrastructure and have backup communications plans that 


Active911. 

B. Establish a clear hierarchy of persons in charge of city communications during a disaster to 

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

but the mayor can delegate communications duties to a city employee by executive order. 

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

manager is unavailable during a disaster. 

VI. MANDATE AND/OR PRIORITIZE FEMA TRAINING 

The FEMA and KYEM offer various training opportunities for government entities. Training is not 

limited to first responders. FEMA’s professional development series contains trainings that can 

assist city officials and employees in preparing, navigating, and managing the after effects of a 

disaster. All FEMA independent study courses can be found here. All KYEM training courses can be 

found here. 

During the preparation process, it is useful to mandate or encourage key employees to take 

specific courses. For example, the city’s executive, city manager, city administrative officer, or 

public information officer may find “social media in emergency management” useful, whereas 

the public works director may find “the public works role in emergency management” is more 

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

eligibility” or “local damage assessment” courses. 

Police, fire, EMS, and search and rescue have more in-person disaster and emergency training 

opportunities through KYEM. Offered course topics range from search and rescue to emergency 

operations during a hazmat emergency. Courses are offered regionally. 

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

Administrator)” 

END OF SECTION

Page | 20 

Police Chief 

CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN 



a disaster or any event that significantly disrupts a part of city operations. 

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

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

volunteer coordination, and security matters. Disaster preparation is essential to effective 

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

Appendix A. 

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

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

essential functions it oversees during a disaster. 




functions. 

4. Develop an internal planning team consisting of employees, partners, and external 

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

mitigation and response. 

5. Identify and train personnel tasked with the following: 

a. Collect, analyze, and disseminate information on direct and indirect disaster or 

incident impacts. 

b. Assess available resources, human and supplies, available to effectively respond 

to the incident, e.g., personnel, volunteers, businesses, communications, vehicles, 

PPE. 

c. Prioritize immediate response needs, e.g., search and rescue, traffic and access 

control, equipment and supplies, evacuation and re-entry support, secure 

essential structures, security for staging and shelters. 

d. Manage intake of all law enforcement and security requests for assistance. 

e. Coordinate law enforcement scheduling, meals, break periods, and mandatory 

rest. 

f. Coordinate mental health and crisis counseling for first responders. 

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

chemical/biohazards monitoring, elements exposure injuries. 

h. Monitor and direct all law enforcement resources, including city personnel and 

volunteer LEOs. 

i. Maintain department documentation of reported damage and all costs and 

expenses associated with response and recovery with separate accounting of 

disaster-related work versus daily activity. 

POLICE CHIEF’S ROLE IN DISASTER PREPAREDNESS

Page | 21 

B. Install generators on all critical infrastructure and have backup communications plans that 

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

Active911. 

C. Maintain properly updated equipment for emergency responders, including eye and face, 

respiratory, head, foot, and hand protection. 

D. Gather all maintenance records for equipment, vehicles, etc., to produce to the insurance 

company and FEMA. 

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

when confronted with compromised electrical equipment and wiring. 

F. Ensure first responders attend FEMA training. State funding is available on a reimbursement 

basis, but it must be requested through county emergency management. 

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

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

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

if not currently allowed by policy; develop clear schedules for first responders that 

include mandatory rest for all employees; shelter for employee families; and identify local 

refrigerator trucks that may be used in emergency for mass casualties. 

H. Develop a list of priority structures to secure in the event of a disaster. 

I. Establish clear chains of command should ranks be impacted by disaster. 

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

looters. 

1. Emergency declaration establishing a curfew. 

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

appropriate. 

3. Schedule rotation for property protection, etc. 

K. Develop evacuation routes and evacuation planning in collaboration with the mayor and 

public works. 

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

authority as they do in their local jurisdiction during an emergency declared under KRS 

39B.070. 

1. KRS 39B.080 Powers, duties, rights, privileges, and immunities of employees 

rendering outside aid. When the employees of any county, urban-county, charter 

county, or city are rendering outside aid pursuant to the authority contained in this 

chapter, the employees shall have the same powers, duties, rights, privileges, and 

immunities as if they were performing their duties in the jurisdiction in which they are 

normally employed. 

Follow this link to be taken directly to your Disaster Plan: “Police Chief” 

END OF SECTION

Page | 22 

Fire Chief 





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

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

services response, and volunteer coordination. Disaster preparation is essential to effective 

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

Appendix A. 

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

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

essential functions it oversees during a disaster. 




functions. 





a. Collect, analyze, and disseminate information on direct and indirect disaster or 

incident impacts. 

b. Assess available firefighting and emergency response resources available to 

effectively respond to the incident, e.g., personnel, volunteers, equipment, fuel, 

communications, vehicles, PPE. 

c. Prioritize immediate response needs, e.g., search and rescue, equipment and 

supplies, provisions for mass care/triage operations, decontamination provisions. 

d. Manage intake of all fire department requests for assistance with the 

understanding that many requests may not involve fire. 

e. Coordinates fire department scheduling, meals, break periods, and mandatory 

rest. 

f. Coordinate mental health and crisis counseling for firefighters. 

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

chemical/biohazards monitoring, elements exposure injuries. 

h. Monitor and direct all law enforcement resources, including city personnel and 

volunteer LEOs. 

i. Maintain department documentation of reported damage and all costs and 



FIRE CHIEF’S ROLE IN DISASTER PREPAREDNESS

Page | 23 

B. Install generators on all critical infrastructure and have backup communications plans that 


Active911. 

C. Maintain properly updated equipment for emergency responders, including eye and face, 

respiratory, head, foot, and hand protection. 

D. Gather all maintenance records for equipment, vehicles, etc., to produce to the insurance 

company and FEMA. 

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

when confronted with compromised electrical equipment and wiring. 

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

response trainings. 

1. FEMA trainings can be located here. 

2. NFA trainings can be located here. 

3. KYEM trainings can be located here. 

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

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

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

not currently allowed by policy; develop clear schedules for first responders that include 

mandatory rest for all employees; shelter for employee families; identify local refrigerator 

trucks that may be used in emergency for mass casualties; and identify resources for 

general emergency equipment supplies. 

H. Establish clear chains of command should ranks be impacted by disaster. 

I. Important to remember that officers and employees rendering aid have the same authority 

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

1. KRS 39B.080 Powers, duties, rights, privileges, and immunities of employees 

rendering outside aid. When the employees of any county, urban-county, charter 

county, or city are rendering outside aid pursuant to the authority contained in this 

chapter, the employees shall have the same powers, duties, rights, privileges, and 

immunities as if they were performing their duties in the jurisdiction in which they are 

normally employed. 

Follow this link to be taken directly to your Disaster Plan: “Fire Chief” 

END OF SECTION

Page | 24 

City Clerk Role in Disaster Preparation 

City clerk duties vary widely among cities. While one city clerk may perform only statutorily 

required duties, another might also serve as the de facto finance director, human resources 

administrator, and city administrative officer with or without official assignment. 

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

The same applies to disaster preparation. 

I. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN 




During a disaster the city clerk will coordinate meetings of the legislative body, maintain all 

city records to document disaster response efforts, ensure all executive orders are signed and 

submitted to KYEM, and perform many other essential functions to maintain city operations. In 

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

must be considered. 

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

to prioritize the specific duties of city clerk separately. Disaster preparation is essential to effective 

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

plan that is attached to this guide as Appendix A. 

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

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

functions during a disaster. 



a. Process to assess priority resources available to effectively respond to the 

incident, e.g., personnel, volunteers, businesses, communications, equipment 

vehicles, PPE. 

b. Prioritize immediate response needs, e.g., search and rescue, traffic and access 

control, equipment and supplies, evacuation and re-entry support, secure 

essential structures, security for staging and shelters. 

c. Continued access to city funds, including payroll, bill pay, etc. 

d. Coordinate city communication with citizens, outside agencies, etc. 

e. Coordinate mental health and crisis counseling for city employees and citizens. 

II. PREPARE TO CREATE AND MAINTAIN CITY RECORDS 

A. Take FEMA training to learn about the public assistance program. FEMA independent study 

courses can be found here. Several useful courses include: 

1. Public Assistance Program and Eligibility 

2. Conditions of Public Assistance Grant 

3. Documenting Disaster Damage and Developing Project Files 

4. Emergency Protective Measures (documentation course) 

B. Develop a physical binder to distribute to all elected and appointed city officials in 

CITY CLERK’S ROLE IN DISASTER PREPAREDNESS

Page | 25 

collaboration with the police and fire chief. The binder should include the following: 

1. Updated contact information for all elected city officials, non-elected officers, 

essential personnel, and county officials; 

2. State, city, and county emergency management officials; 

3. Local state police and department of transportation contacts; 

4. Up-to-date paper maps of the city and county; 

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

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

6. FEMA forms for tracking equipment use, volunteer time, and employee time; 

7. Interlocal agreements; 

8. Insurance documents that include agent contact information; 

9. Any hazard assessments for public buildings and infrastructure; 

10. COG/COOP and emergency operations plan; 

11. List of rendezvous locations; 

12. Hospital and other medical contacts; 

13. Locations of certified disaster shelters; 

14. Locations of public and private schools; 

15. Any other helpful documents. 

C. Check with your county emergency management to determine what agencies orchestrate 

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

services support. 

1. If the city becomes overwhelmed in providing for the housing, feeding, and human 

services functions for persons impacted by a disaster or emergency and volunteers 

responding to assist, county and state emergency management should trigger ESF-6 

to provide assistance. 

D. Coordinate resource support functions of disaster planning. 

1. Prepare and maintain emergency operating procedures, resource inventories, 

personnel rosters, and resource mobilization information necessary for implementation 

of the responsibilities of disaster and emergency response. 

2. Prepare templates for public assistance requests from outside agencies and for 

impending damage survey reports for the city. 

3. Include in contracts for computer services and software companies provisions that 

address rapid response and city priority for goods and services in the event of a 

disaster. 

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

emergency response. 

5. Coordinate planning and preparations committees, maintain all committee meeting 

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

EOP. 

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

Administrator)”

Page | 26 

Public Works 




a disaster or any event that significantly disrupts a part of city operations. Each city department 

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

responding to a disaster. 

During a disaster, the public works department will assist with clearing roads, assisting with 

evacuation routes, debris removal, etc. Disaster preparation is essential to effective emergency 

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

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

department. 

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

specific essential functions it oversees during a disaster. 

2. Includes all equipment, resources, and facilities necessary for the department to 



functions. 





a. Collect, analyze, and disseminate data on the public works system to analyze 

potential damage and prioritize response, e.g., roads and bridges; traffic control 

devices. 

b. Assess available department response resources available to effectively respond 

to the incident, e.g., personnel, volunteers, equipment, fuel, communications, 

vehicles, PPE. 

c. Create and maintain a list of construction contractors and engineers with active 

contracts with the city who may be able to assist in restoration of infrastructure. 

d. Prioritize immediate response needs, e.g., emergency clearance of debris; 

cleaning, repairing, or reconstruction of damaged emergency access routes; 

emergency restoration of critical public services and facilities; emergency 

demolition of damaged structures and facilities; and technical assistance and 

damage assessment of private utility operations. 

e. Manage intake of all department requests for assistance with the understanding 

that many requests may not involve public works, e.g., transportation of persons. 

THE ROLE OF PUBLIC WORKS IN DISASTER PREPAREDNESS

Page | 27 

f. Coordinate public works department scheduling, meals, break periods, and 

mandatory rest. 

g. Coordinate mental health and crisis counseling for employees. 

h. Coordinate processes for public works employee health and safety, e.g., 

elements exposure injuries, general physical injury. 

i. Monitor and direct all public works resources, including city personnel and 

volunteer public works assistance. 

j. Maintain department documentation of reported damage, all costs and expenses 

associated with response and recovery with separate accounting of disasterrelated 

work versus daily activity. 

B. Maintain an inventory of properly updated equipment for public works employees, including 

eye and face, respiratory, head, foot, and hand protection. 

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

equipment, vehicles, etc., to produce to the insurance company and FEMA. 

D. Ensure public works supervisors attend FEMA training. 

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

E. Engage in mitigation planning, e.g., identify vulnerable infrastructure to maintain, create 

a plan for debris removal, including potential dump sites, disposal process for hazardous 

materials and contaminated debris and soil, roadway priorities for clearing, infrastructure 

restoration priorities, and response equipment, including partner inventory for requisition. 

F. Develop evacuation routes and evacuation planning in collaboration with the mayor and 

emergency responders. 

G. Plan for mental health providers to assist employees witnessing loss of life. 

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

in disaster response. 

Follow this link to be taken directly to your Disaster Plan: “Public Works” 

END OF SECTION

Page | 28 

Utilities 




a disaster or any event that significantly disrupts a part of city operations. Each city department 

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

responding to a disaster. 

During a disaster, utilities departments will focus on securing dangerous lines and pipes, restoring 

services, and assisting in disaster response. Disaster preparation is essential to effective emergency 

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

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

departments. 

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

specific essential functions it oversees during a disaster. 

2. Includes all equipment, resources, and facilities necessary for the department to 



functions. 





a. Collect, analyze, and disseminate data on the utility system to analyze potential 

damage and prioritize response, e.g., burst gas lines, downed power lines, 

disrupted sewer lines, broken water mains. 

b. Assess available department response resources available to effectively respond 

to the incident, e.g., personnel, volunteers, KYWARN to assist with emergency 

response, equipment, fuel, communications, vehicles, PPE. 

c. Create and maintain a list of construction contractors and engineers with 

active contracts with the city who may be able to assist in the restoration of 

infrastructure. 

d. Prioritize immediate response needs, e.g., emergency clearance of debris; 

cleaning, repairing, or reconstruction of damaged emergency access routes; 

emergency restoration of critical public services and facilities; emergency 

demolition of damaged structures and facilities; and technical assistance and 

damage assessment of private utility operations. 

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

be compromised. 

f. Develop a plan to address sanitation needs if the sewer system is compromised 

or rendered unusable, e.g., locate chemical toilet retailers in the region. 

THE ROLE OF UTILITIES IN DISASTER PREPAREDNESS

Page | 29 

g. Manage intake of all department requests for assistance with the understanding 

that many requests may not involve utility services, e.g., transportation of 

persons, debris removal. 

h. Coordinates utility department scheduling, meals, break periods, and mandatory 

rest. 

i. Coordinate mental health and crisis counseling for employees. 

j. Coordinate processes for utility employee health and safety, e.g., elements 

exposure injuries, general physical injury. 

k. Monitor and direct all utility resources, including city personnel and volunteer 

public works assistance. 

l. Maintain department documentation of reported damage and all costs and 



B. Maintain an inventory of properly updated equipment for utility employees, including eye 

and face, respiratory, head, foot, and hand protection. 

C. Gather all maintenance records for infrastructure repair, facilities, structures, equipment, 

vehicles, etc., to produce to the insurance company and FEMA. 

D. Ensure utility supervisors attend FEMA training and industry-specific training: 

1. FEMA 

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

the Emergency Preparedness Tabletop Exercise in a Box here. These tools are critical 

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

3. American Gas Association: AGA Emergency Preparedness Handbook can be found 

here. 

4. PHMSA: Hazard Mitigation Planning for Pipelines can be found here. 

5. EPA Emergency Response for Drinking Water and Wastewater Utilities can be found 

here. 

E. Engage in mitigation planning, e.g., identify vulnerable utility structures to secure, 

prioritize utility restoration, identify available resources to assist in services restoration like 

industry groups, and know which utilities are available to assist through current mutual aid 

agreements. 

F. Develop evacuation routes and evacuation planning in collaboration with the mayor and 

emergency responders. 

G. Plan for mental health providers to assist employees witnessing loss of life. 

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

in disaster response. 

Follow this link to be taken directly to your Disaster Plan: “Municipal Utilities” 

END OF SECTION

Page | 30 

Code Enforcement 


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

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

functions in response to a disaster or any event that significantly disrupts a part of city 

operations. 

Many code enforcement departments consist of a single code enforcement officer and 

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

enforcement officers should encourage the code enforcement board to engage in disaster 

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

city on how to better adopt and enforce codes that encourage resilient buildings and 

communities to be able to better rebound from a disaster. 

During a disaster, code enforcement officials will be critical in assessing damage to 

buildings, locating people due to their familiarity with the city, and identifying sites for the 

deposit of debris. Disaster preparation is essential to effective emergency response. KLC 

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

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

department that includes the code enforcement board, any building inspectors, and 

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

COOP plan for police and fire. 

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


1. Includes all equipment, resources, and facilities necessary for the department 

to accomplish the tasks. 

2. Conduct a city-wide building integrity survey to identify priority structures to 

attend in a disaster. 

3. Develop an internal planning team consisting of employees, partners, and 

external customers to identify threats/hazards and conduct a risk assessment 

for disaster mitigation and response. 

4. Assist with debris removal planning by identifying potential dump sites 

that FEMA and the Army Corps of Engineers may authorize, e.g., bidding 

requirements for debris removal and processes to maximize recovery. 

CODE ENFORCEMENT’S ROLE IN DISASTER PREPAREDNESS

Page | 31 

a. FEMA Debris Management Guide can be found here. 

b. U.S. Army Corps of Engineers Debris Management information can be 

found here. 

c. EPA Planning for Natural Disaster Debris document can be found here. 


a. Assess available department response resources available to effectively 

respond to the incident, e.g., equipment, fuel, communications, vehicles, 

PPE. 

b. Create and maintain a list of regional certified building inspectors, 

plumbing inspectors, electrical inspectors, fire marshals, and industry 

contractors that can assist the city post-disaster. 

c. Prioritize immediate response needs, e.g., locating missing persons, 

identifying dangerous structures. 

d. Manage intake of all department requests for assistance with the 

understanding that many requests may not involve code enforcement, 

e.g., transportation of persons. 

e. Establish a schedule and prioritize meals, break periods, and mandatory 

rest. 

f. Coordinate mental health and crisis counseling for employees. 

g. Coordinate processes for employee health and safety, e.g., elements 

exposure injuries, general physical injury. 

h. Maintain department documentation of reported damage and all costs 

and expenses associated with response and recovery with separate 

accounting of disaster-related work versus daily activity. 

Follow this link to be taken directly to your Disaster Plan: “Code Enforcement (DUTIES 

MAY BE ASSIGNED TO PUBLIC WORKS)” 

END OF SECTION

Page | 32 




government operational needs to establish and/or maintain essential city functions in response to a disaster 

or any event that significantly disrupts a part of city operations. 

Whether a city finance department consists of a city clerk, a payroll clerk, or a multi-person department, 

it is important to prioritize city finance operations and needs during a disaster. For single-person finance 

operations the COG/COOP can be incorporated into that of the city clerk or created as a stand-alone plan 

for larger city departments. 

During a disaster, finance officers will re-establish contact with financial institutions to ensure continuity 

of payroll, begin documenting all expenses to ensure federal and state reimbursement, and make sure all 

procurement processes are followed. KLC customized a COG/COOP plan that is attached to this guide as 

Appendix A. 

A. Create a continuity of government/continuity of operations plan for the finance department. 

1. COG/COOP details the mission and purpose of the finance department and the specific 



3. Establishes a succession plan should individuals be unable to perform assigned functions. 


a. Process to assess priority resources available to effectively respond to the incident, e.g., 

personnel, volunteers, businesses, communications, equipment. 

b. Prioritize immediate response needs, e.g., FEMA tracking, procurement processes. 

c. Continued access to city funds, including payroll, bill pay, etc. 

d. Locate a website to find the most up-to-date FEMA tracking codes for reimbursement. 

e. Plan to manage donations, state grants, federal grants, etc. 


A. Take FEMA training to learn about the public assistance program, FEMA independent study courses 

can be found here. Several useful courses include: 

1. Public Assistance Program and Eligibility 

2. Conditions of Public Assistance Grant 

3. Documenting Disaster Damage and Developing Project Files 

4. Emergency Protective Measures (documentation course) 

5. Communications 

Follow this link to be taken directly to your Disaster Plan: “Finance (City Clerk)” 

END OF SECTION 

HUMAN FINANCE RESOURCES (CITY CLERK’S) (CITY ROLE CLERK’S) IN DISASTER ROLE: DISASTER PREPAREDNESS PREPAREDNESS

Page | 33 

Human Resources (City Clerk) 



government operational needs to establish and/or maintain essential city functions in response to a disaster 

or any event that significantly disrupts a part of city operations. 

Whether the human resources department consists of a city clerk, a payroll clerk, or a multi-person 

department, it is important to prioritize human resources operational needs during a disaster. For singleperson 

human resources operations the COG/COOP can be incorporated into that of the city clerk or 

created as a stand-alone plan for larger city departments. 

During a disaster, human resources will identify critical infrastructure employees, secure continuity payroll 

operations, ensure health insurance and other benefits continue, and collaborate with other departments to 

make sure that needed resources are available. KLC customized a COG/COOP plan that is attached to this 

guide as Appendix A. 

A. Create a continuity of government/continuity of operations plan for human resources. 

1. COG/COOP details the mission and purpose of human resources and the specific essential 

functions during a disaster. 


3. Establishes a succession plan should individuals be unable to perform assigned functions. 


a. Access and protection of all personnel files, e.g., store electronically, off-site electronic 

storage. 

b. Secure payroll operations if city services are impacted, e.g., outsourced payroll contracts 

must include continuity of operations provisions, an in-house payroll plan to ensure 

distribution, paper check delivery if necessary, a plan in place with a bank if banking 

operations are disrupted. 

c. Plan to contact and provide data to the benefits administrator if city operations are 

impacted, e.g., process for benefits access, 401k withdrawals, payments to vendors, 

retirement. 

d. Contact employee family members during a disaster. 

e. Coordinate EAP, mental health, and crisis counseling for employees. 

f. Coordinate processes for employee health and safety, e.g., elements exposure injuries, 

general physical injury. 


Take FEMA training to learn about the public assistance program. FEMA independent study courses can be 

found here. “Introduction to Community Lifelines” may be a useful course, among others. 

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

Administrator)” 

END OF CHAPTER 1 

HUMAN RESOURCES (CITY CLERK’S) ROLE: DISASTER PREPAREDNESS

ACTION PLAN 

Page | 34 

Page | 34 

DISASTER ACTION PLAN 

EXECUTIVE SUMMARY 

This guide is designed to provide city officials with an overview of emergency management 

roles, responsibilities, and operations. 

The purpose of emergency management operations is to provide timely response to 

emergency or disaster situations in order to save lives, protect property, protect the economic 

base, and preserve the environment. 

In an emergency, cities and city officials play a vital role in the response to maintain the health, 

safety, and welfare of their citizens. State and federal resources may be used to assist or 

supplement, but not supplant, local jurisdiction efforts. This plan is to be used in conjunction 

with the county emergency operations plan. 

It is important for the executive to clearly delegate the below duties. Some duties may be 

applicable to multiple departments. Clear direction is imperative to avoid duplication of effort. 

Mayor (City Manager/City Administrator) 

First 24 hours 

A. Declare a state of emergency and issue a separate emergency declaration to impose a 

curfew to protect the public and discourage looting. 

B. Contact county emergency management to coordinate the response effort. 

1. Contact name and phone: _______________________________________ 

C. Contact the city insurance company/agent to initiate claims for damaged city property. 


D. Convene at a predetermined location, if available. If not, identify and secure a base for all 

disaster response operations. 

E. Contact the governor’s office (Kentucky Emergency Management) to request a disaster 

declaration and start the federal disaster declaration process, if applicable. 

F. Contact all department heads/directors/supervisors and call a meeting at the base of 

operations to delegate the following assignments: 

1. If it’s not already clear, assign a person to coordinate search and rescue efforts 

immediately. 

2. Identify citizens’ needs and available resources, e.g., safe structures for shelters, water, 

electricity needs for medical equipment, food, sanitation. 

ROLE OF MAYOR (CITY MANAGER/CITY ADMINISTRATOR) DURING DISASTER

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G. Begin to execute the Government Operations Plan/Continuity of Operations Plan if the city 

has one. 

1. If not, prioritize immediate city operational needs to provide services to citizens (e.g., 

manage dangerous electricity, sanitation, EMS, police, fire, etc.). 

2. Identify administrative needs of the city for continuity of operation and available 

resources (e.g., computers, Wi-Fi, email, phones, etc.). 

H. Coordinate a list of damaged and destroyed city property. 

I. Coordinate the influx of volunteers, construction contractors, etc. Delegate one person to 

intake volunteers including name, government entity, skilled labor, volunteer, and the hours 

worked. 

J. Activate a plan relating to at-risk population (e.g., non-English speaking, physical/cognitive 

impairments, etc.). 

K. Coordinate outside agency assistance from police, fire, emergency services (e.g., identify 

each agency assisting, the number of personnel and resources provided, and collect and 

maintain hours worked for the personnel). 

1. Establish volunteer check-in located away from command and donations centers. 

L. Manage and track street closures, street openings, utility service discontinuation/recovery 

process and progress, areas closed or accessible to the citizen, and reconstruction status. 

M. Point of contact for reporting and location of lost persons, children, pets, etc. 

N. Manage donations. 

1. Donations at Red Cross sites – set up a donation location site. 

O. Main point of contact for all emergency response teams to report. 

P. Contact community leaders to identify the needs of citizens and assist in identifying 

available resources (e.g., religious leaders, healthcare providers, city and county elected and 

nonelected officers, social services organizations, elderly assistance organizations). 

Q. Maintain records related to all disaster-related purchases and loaned equipment. 

1. If it’s not clear, identify one person in charge of tracking. 

R. Identify and secure a commercial rental property and enter into a contract for a temporary 

city hall, police department, etc., if needed. 

1. Pre-plan for available space. 

2. Police – mobile command post. 

S. Request assistance under currently executed mutual aid agreements. 

24-72 Hours 

1. Statewide mutual aid agreement. 

A. Locate a source of bedding/mattresses for displaced citizens. 

B. Identify a means of transportation for citizens to access donations, resources, etc. 

C. Document and track every expenditure. 

D. Keep track of the language in the federal and state disaster declarations. Presidential 

declarations will indicate whether FEMA reimbursements will be 75% or higher. Higher 

FEMA reimbursement authorization will be for a limited time period, so watch the clock.

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E. Resist awarding of contracts to outside consultants and coordinate with your insurance 

carrier because you must follow the bid process to recover costs through FEMA. 

F. Resist awarding construction, debris removal, or other contracts until you consult with 

federal agencies. Again, contracts must be awarded through the bid process to recover 

costs through FEMA. Check the state price contract for debris removal vendors. 

G. Contact the Army Corps of Engineers, FEMA, and Kentucky Emergency Management to 

begin debris removal. 

H. Identify emergency response vehicles you can use with minimal repair and a source to repair 

vehicles. 

I. Ask all departments to collect maintenance records for all roads, bridges, city equipment, 

buildings, etc., to provide to FEMA and your insurance company. 

J. If a disaster affects multiple counties, Kentucky State Police/National Guard will have 

regular meetings and the mayor or a designee will attend the meetings. 

K. Appoint personnel to identify potential housing quarters for volunteers, as hotel 

accommodations may be limited. 

L. Focus on communicating updated information to citizens via radio, television, and social 

media. Make sure that every city employee understands that communications go through 

the mayor’s office. 

M. Begin managing citizen expectations for FEMA recovery. FEMA is not an insurance company 

and will not provide full replacement value for homes. There may be short-term rental 

assistance. Any housing funds will be to provide people with safe, sanitary, and functional 

living accommodations, not full restoration of the previous home. 

First Week 

A. Develop bid specs for all procurement and services to ensure federal reimbursement. 

B. For outside disaster relief consultants, include in bid specs and contracts that they have 

experience with the type of disaster the city experienced and that they coordinate with the 

city’s insurance carrier. Make sure they are familiar with your insurance policy so they know 

the appropriate reimbursement agency. 

C. Locate facilities to house first responders, volunteers (e.g., state parks, etc.). 

D. Remember to focus on what you can do now. There will be a lot of well-meaning people 

trying to pull your focus to what will happen in six months or a year. That can cause 

confusion and indecision. 

E. Continue implementing your communications plan to provide accurate, updated information 

to citizens. 

Follow this link to go back to the “City Manager/City Administrative Officer Role” 

Disaster Preparedness Section. 


ROLE OF MAYOR (CITY MANAGER/CITY ADMINISTRATOR)

ACTION PLAN 

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Council Member/Commissioner 


A. Assemble at a pre-determined location to check in and assist with relief efforts. 

B. Review Kentucky Revised Statutes 39B (enacted 2021), which addresses local emergency 

management processes, procedures, and authorities. 

C. Implement your Continuity of Government/Continuity of Operations Plan. 

24-72 Hours 

A. If appropriate, pass resolutions in support of the mayor’s actions under the emergency 

declaration. This is not required by law but can be a good tool for cooperation and 

consistency. 

B. Assist with establishing emergency meetings of the legislative body, including finding a 

temporary location to meet. 

C. When consulted, resist awarding construction, debris removal, or other contracts until you 

consultat with federal agencies. 

D. When consulted, resist awarding contracts to outside consultants and coordinate with the 

insurance carrier. 

First Week 

A. When consulted for outside disaster relief consultants, include in bid specs and contract 

that they have experience with the type of disaster the city experienced and that they 

coordinate with the city’s insurance carrier. 

Follow this link to go back to the “Legislative Role in Disaster Preparation” Section. 


ROLE OF COUNCIL MEMBER/COMMISSIONER DURING DISASTER

ACTION PLAN 

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Police Chief 


A. Convene at a predetermined location for assignment if possible. If not, notify the mayor or the 

mayor’s designee ASAP. 

B. Establish a communications method for all available first responders. Reach out to your 

local Kentucky State Police post for assistance with radios and dispatch if necessary. 

C. Provide emergency and medical triage services to citizens. 

D. Coordinate with Red Cross or other assisting agencies in opening and managing shelters. 

E. Secure the affected area and perform traffic and crowd control. 

F. Determine the scope of the incident as to immediate casualties/destruction and whether the 

incident has the potential to expand and escalate. 

G. Take stock of all necessary administrative equipment available to maintain operational needs 

and the necessary equipment to obtain for operational continuity. 

H. Establish and secure priority structures/facilities. 

I. Report necessary information to appropriate law enforcement agencies. 

J. Enforce curfew restrictions. 

K. Establish a shift rotation to ensure staff members are getting adequate rest and downtime 

with mandatory rest periods. 

1. The shift working at the time of the disaster should be sent home for a sleep cycle. 

Establish rotating shifts that may include 7-day-per-week work shifts until no longer 

needed. 

L. Establish a means of obtaining and securing gasoline. If the community is without power, 

traditional gas pumps will not function. 

1. Need diesel and 87 octane. 

2. Request Kentucky National Guard (KYNG) fuel trucks ASAP and stage near the 

disaster site, but not within the perimeter. 

3. Maintain relevant information for each fill-up: date, cruiser/vehicle number, badge 

number, gallons, fuel type, etc. 

M. Identify points of distribution. (Note, if you identify too many points of distribution you have 

to have the manpower to secure them.) 

N. Coordinate with National Guard, state emergency management, and area emergency 

management in disaster response. 

O. Secure sleeping quarters for personnel. 

P. Work with the city clerk and other administrative staff to document all personnel and 

volunteer hours worked, equipment donated and loaned, as well as other items which may 

be eligible for FEMA reimbursement, if applicable. 

ROLE OF POLICE CHIEF DURING DISASTER

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24-72 Hours 

A. Assist in locating and securing available rental property to continue government operations. 

B. Assess all damaged equipment, buildings, and other resources to identify immediate needs. 

C. Collect maintenance records for all vehicles, equipment, buildings, etc., to provide to FEMA 

and your insurance company. 

D. Reach out to the Kentucky Association of Chiefs of Police to coordinate LEO assistance. 

E. Prepare for a significant influx of looters, both local and transient. 

F. Manage volunteers. Designate an individual to coordinate with the local emergency 

management director. 

G. Provide the mayor with regular updates on search and rescue, secured buildings, and 

general activity reports. 

H. Continue documenting personnel and volunteer hours worked, equipment donated and 

loaned, as well as other items eligible for FEMA reimbursement. 

I. Assist in locating housing quarters for LEO volunteers as there may be limited hotel 

availability (e.g., old schools, gymnasiums, churches). 

J. Remind staff that all public and media communications go through the mayor or the 

mayor’s designee. 

First Week 

A. Coordinate with citizens to direct resources to impacted residents (e.g., power, water, 

rescue, etc.). 

B. Continue documenting personnel and volunteer hours worked, equipment donated and 


C. Continue to assist with locating housing facilities for LEO volunteers. 

D. Continue providing regular updates to the mayor. 

Follow this link to go back to the “Police Chief” Disaster Preparedness Section. 

END OF SECTION

ACTION PLAN 

Page | 40 

Page | 40 

Fire Chief 


A. Convene at a predetermined location for assignment, if possible. If not, notify the mayor or 

the mayor’s designee ASAP. 

B. Provide emergency and medical triage services to citizens. 

C. Identify key resources to meet the needs of citizens and provide them first with food, water, 

shelter, and medical. 

D. Determine the scope of the incident as to immediate casualties/destruction and whether the 

incident has potential to expand and escalate. 

E. Take stock of all necessary administrative equipment available to maintain operational needs 

and the necessary equipment to obtain for operational continuity. 

F. Report necessary information to appropriate law enforcement agencies. 

G. Establish a shift rotation to ensure staff is getting adequate rest and downtime with 

mandatory rest periods. 

1. The shift working at the time of the disaster should be sent home for a sleep cycle. 

Establish rotating shifts that may include 7-day-per-week work shifts until no longer 

needed. 

H. Establish a means of obtaining and securing gasoline. If the community is without power, 

traditional gas pumps will not function. 

1. Need diesel and 87 octane. 

2. Request KYNG fuel trucks ASAP and stage near the disaster site but not within the 

perimeter. 

3. Maintain relevant information for each fill-up: date, cruiser/vehicle number, badge 

number, gallons, fuel type, etc. 

I. Coordinate with National Guard, state emergency management, and area emergency 

management in disaster response. 

J. Secure sleeping quarters for personnel. 

K. Work with the city clerk and other administrative staff to document all personnel and 

volunteer hours worked, equipment donated and loaned, as well as other items which may 

be eligible for FEMA reimbursement, if applicable. 

ROLE OF FIRE CHIEF DURING DISASTER

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24-72 Hours 

A. Assist in locating and securing available rental property to continue government operations. 

B. Assess all damaged equipment, buildings, and other resources to identify immediate needs. 

C. Collect maintenance records for all vehicles, equipment, buildings, etc., to provide to FEMA 

and your insurance company. 

D. Utilize other departments pursuant to state aid agreements to coordinate fire response. 

E. Continue documenting personnel and volunteer hours worked, equipment donated and 


F. Provide the mayor with regular updates on search and rescue and general activity reports. 

G. Assist in locating housing quarters for first responder volunteers as there may be limited 

hotel availability (e.g., old schools, gymnasiums, churches). 

H. Remind staff that all public and media communications go through the mayor or the 


First Week 

A. Coordinate with citizens to direct resources to impacted residents (e.g., power, water, 

rescue, etc.). 

B. Continue documenting personnel and volunteer hours worked, equipment donated and 


C. Continue to assist with locating housing facilities for first responder volunteers. 

D. Continue providing regular updates to the mayor. 

Follow this link to go back to the “Fire Chief” Disaster Preparedness Section. 

END OF SECTION

ACTION PLAN 

Page | 42 

Page | 42 

City Clerk (City Manager/City Administrator) 


A. Prepare an executive order for the mayor’s signature declaring a state of emergency. If it is 

in paper form, fill in the blanks. 

B. Locate contact information for all members of the legislative body, department heads, and 

critical infrastructure employees. 

C. Convene at a pre-established location with city officials and employees for coordination 

efforts. 

D. Contact the insurance agent and file a claim immediately. 


E. Assist in establishing clear lines of communication for citizens, city employees, and city 

officials (e.g., 800 number, radio station, social media, email, etc.). 

F. Take stock of all useable administrative tools and immediate needs (e.g., office space, 

computers, phones, printers, etc.). 

G. Assist in securing all available rental property for city use, if needed. 

H. Assist in securing available shelter for displaced persons. Multiple locations may be helpful. 

If at all possible, include people with pets (significant need), specific medical needs (access 

to electricity), and bathroom/shower facilities. Inform PD of the various shelter locations for 

periodic security checks. 

I. Initiate a document management system to maintain an account of all personnel hours 

(volunteer and city staff), equipment borrowed, equipment purchased, etc., for potential 

FEMA reimbursement. 

**The duties assigned may not apply to the city clerk in your city. 

It is important to note that Kentucky law authorizes city mayors to issue state of emergency 

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

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

emergency declaration. In most instances, the designee will be a city manager, city administrator, 

police chief, or fire chief. 

ROLE OF CITY CLERK (CITY MANAGER/ADMINISTRATOR) DURING DISASTER

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24-72 Hours 

A. Identify the disaster category stated in the presidential disaster declaration, if applicable. 

This determines the level of FEMA reimbursement. 

B. Work with elected officials to establish city meeting locations/dates/times, as needed. 

C. Establish a separate disaster filing system for the incident for all receipts, time sheets, 

equipment usage sheets, etc. (Applicant Agent for FEMA) 

D. Assess damage to city records and relocate as necessary. 

E. Assist in assessing damage to all city structures, equipment, property, etc. 

F. Collect maintenance records for all roads, bridges, city equipment, buildings, etc., to provide 

to FEMA and your insurance company. 

G. Assist in locating sleeping quarters for volunteers as there may be limited hotel availability 

(e.g., old schools, gymnasiums, churches). 

H. Provide the mayor with regular updates on general activity. 

First Week 

A. Serve as a contact to coordinate all volunteers, assistance requests, donations, food 

vendors, etc. 

B. Establish a reoccurring day and time for directors and management personnel to provide 

your office with all disaster-related records. 

C. Continue to assist with locating housing facilities for volunteers. 

Follow this link to go to the “Table” Section. 

Follow this link to go back to the “City Manager/City Administrative Officer Role” 

Disaster Preparedness Section. 

END OF SECTION

ACTION PLAN 

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Public Works 


A. Ensure that all department personnel have been alerted and asked to report as the situation 

directs. 

B. Assess available equipment and personnel to respond to the emergency and establish a list 

of equipment needed to assist in recovery efforts. 

1. Backhoes, trackhoes, loaders, cherry pickers, dump trucks, garbage trucks, cranes. 

C. Identify one person to intake all city and public requests for assistance. 

1. Document calls for assistance. 

2. Provide calls for assistance to director/supervisor for response understanding that 

many requests may not involve public works matters. 

D. Assign one supervisor to coordinate scheduling, meals, break periods, and mandatory rest 

for staff. 

E. Identify and clear disrupted transportation routes. 

1. Assign one person to gather information on which roads, bridges, paths, etc., are 

blocked or damaged beyond use. 

2. Prioritize routes for clearing. 

3. If routes are blocked by downed electrical wires, broken gas lines, broken water mains, 

or similar utility malfunctions, notify the utility provider immediately to have them 

fixed. 

F. Coordinate with law enforcement on travel restrictions/road closures and maintain 

communication to help identify missing persons. 

G. Assist with clearing priority roads to facilitate disaster response. 

H. Assist with traffic control and access to the affected area. 

I. Help prepare maps locating infrastructure damage, power outages, road closures, and other 

conditions. 

J. Assist with the shutdown of utilities such as gas and electric services to the affected area. 

K. If necessary, coordinate flood fighting activities, including sandbagging, emergency diking, 

and pumping operations. 

L. Provide emergency generators and lighting when possible. 

M. Assign one person to document all personnel hours, equipment used, damage reports, and 

expenses. 

Follow this link to go back to the “Public Works” Disaster Preparedness Section. 

ROLE OF PUBLIC WORKS DURING DISASTER

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24-72 Hours 

A. Continue focus on debris removal from public transportation routes by priority. 

B. If there is an immediate need for equipment to assist in disaster response, begin reaching 

out to public and private entities capable of loaning equipment. 

C. Document damage to public transportation routes caused by the disaster. 

D. Document damage to city property and structures, including parks, storage, playgrounds, 

etc. 

E. Collect maintenance records for all roads, bridges, city equipment, buildings, etc., to provide 

to FEMA and your insurance company. 

F. Assess and document traffic control device status and prioritize repair and replacement. 

G. Contact contractors and subcontractors with whom the city has contracts to assist in 

recovery efforts. 

H. If debris has chemical, biological, or other hazardous contaminants, begin the process to 

identify a separate debris contamination zone for public safety. Notify KYEM if debris is 

contaminated. 

I. If solid waste collection is disrupted, develop a plan to reestablish collection and removal 

schedules. 

1. Get volunteer assistance from other governments. 

2. Contract with private entities. 

J. Create public service information on how and where the public can dispose of hazardous 

waste, debris, and rubbish as the cleanup process begins. 

K. Provide the mayor, public safety departments, and EOC with regular updates on status of 

damage, reopening of transportation routes, transportation route detours, debris removal, 

etc. 

L. Remind staff that all public and media communications go through the mayor or the 


First Week 

A. Focus on rebuilding public works buildings, replacing equipment and vehicles, and 

documenting employee time on recovery efforts. 

B. Continue restoration of transportation routes, road signs, road signals, etc. 

C. Provide the mayor, public safety departments, and EOC with regular updates on status of 

damage, reopening of transportation routes, transportation route detours, debris removal, 

etc. 

END OF SECTION

ACTION PLAN 

Page | 46 


Municipal Utilities 

A. Ensure that all department personnel have been alerted and asked to report as the situation directs. 

B. Assess available equipment, including PPE, and personnel to respond to the emergency. 

C. If a utility is a separate commission, prepare and adopt an executive order to authorize the executive 

director to begin immediate recovery efforts as needed. 

D. Assess damage to utility facilities and prioritize repair or emergency demolition. 

E. Assess any breakages or disruptions that pose a public safety danger for immediate remediation. 

F. Identify one person to intake all city and public requests for assistance. 

1. Document calls for assistance. 

2. Provide calls for assistance to the director/supervisor for response, understanding that many 

requests may not involve public works matters. 

G. Assign one supervisor to coordinate scheduling, meals, break periods, and mandatory rest for staff. 

H. Assign a person to collect, analyze, and disseminate data on the status of city utility infrastructure. 

I. Assign a person to locate all resource needs to manage utility, chemicals for water and wastewater 

treatment, lines to restore power, lines to restore gas linkages, etc. 

J. Determine if it’s necessary to ration utility use and work with city leadership to implement rationing. 

K. Address sanitation needs if the sewer system is compromised or unusable. 

L. Prioritize utility restoration and deploy personnel accordingly. 

M. Contact outside entities for assistance (e.g. KYWARN, KY Rural Water, KY Municipal Utilities Assoc., etc.). 

24-72 Hours 

A. Continue to focus on the restoration of buildings, facilities, and infrastructure necessary to safely restore 

service. 

B. Document damage to the utility infrastructure and develop a plan for long-term recovery. 

C. Document all volunteer hours, equipment used, employee hours, expenses, etc., for FEMA recovery. 

D. Collect maintenance records for all city equipment, utility infrastructure, buildings, etc., to provide to 

FEMA and your insurance company. 

E. Draft a request for proposals to advertise for any goods and services that will exceed the city’s small 

purchase authority of $40,000. 

F. Obtain three quotes for goods and services above $10,000 and up to $40,000 to ensure FEMA recovery. 

G. Provide the mayor, public safety departments, and EOC with regular updates on status of damage, 

infrastructure repair process, service priorities, reestablishing service, etc. 

H. Remind staff that all public and media communications go through the mayor or the mayor’s designee. 

First Week 

A. Focus on rebuilding utility buildings, replacing equipment and vehicles, and documenting employee time 

on recovery efforts. 

B. Continue restoration of utilities following established priorities. 

C. Provide the mayor, public safety departments, and EOC with regular updates on the status of damage, 

the infrastructure repair process, service priorities, reestablishing service, etc. 

Follow this link to go back to the “Utilities” Disaster Preparedness Section. 


ROLE OF MUNICIPAL UTILITIES DURING DISASTER

ACTION PLAN 

Page | 47 



A. Contact your bank. Have account numbers and phone numbers available. 

B. Convene at a pre-established location with city officials and employees for coordination 

efforts. 

C. Contact the insurance agent and file a claim immediately. 


D. Make a list of all open city contracts for building and construction, electrical, water and 

wastewater, gas, sanitation, street and road repair, sidewalk repair, and other related services 

to determine the scope and whether the contracts can be utilized for disaster recovery. 

E. Initiate a document management system to maintain an account of all personnel hours 

(volunteer and city staff), equipment borrowed, equipment purchased, etc., for potential 

FEMA reimbursement. 

24-72 Hours 

A. Focus on federal and state disaster declarations to help determine available sources of 

money. Presidential declarations will indicate whether FEMA reimbursements will be 75% or 

higher. Higher FEMA reimbursement authorizations will be for a limited time period. 

B. Draft requests for proposals to advertise for any goods and services that will exceed the 

city’s small purchase authority of $40,000. 

C. Obtain three quotes for goods and services above $10,000 and up to $40,000 to ensure 

FEMA recovery. 

D. Establish a separate disaster filing system for the incident for all receipts, time sheets, 

equipment usage sheets, etc. (Applicant Agent for FEMA) 

E. Assess damage to city records and relocate as necessary. 

F. Assist in assessing damage to all city structures, equipment, property, etc. 

First Week 

1. Assist in locating sleeping quarters for volunteers as there may be limited hotel 

availability (e.g., old schools, gymnasiums, churches). 

A. Serve as a contact to coordinate all volunteers, assistance requests, donations, food 

vendors, etc. 

B. Establish a reoccurring day and time for directors and management personnel to provide 

your office with all disaster-related records. 

C. Continue to assist with locating housing facilities for volunteers. 

Follow this link to go back to the “Finance (City Clerk)” Disaster Preparedness Section. 

ROLE OF FINANCE DURING DISASTER 

END OF SECTION

ACTION PLAN 

Page | 48 

Page | 48 

Code Enforcement (DUTIES MAY BE ASSIGNED TO PUBLIC WORKS) 


A. Assist in search and rescue efforts (e.g., help locate missing and at-risk persons, 

transport). 

B. Review potential sites to deposit debris. 

24-72 Hours 

A. Continue assisting with search and rescue efforts. 

B. Debris removal – Assess personal property debris removal but make sure you obtain 

a signed copy of right-of-entry on private property for debris removal prior to 

accessing private property. 

C. Propose debris dump sites. 

D. Inform citizens to sort debris into six different piles: 

1. Electronics 

2. Appliances 

3. Hazardous materials (e.g., cleaners, garden chemicals, motor oil) 

4. Vegetation 

5. Construction material (e.g., wood, glass, carpet, tile, roofing, equipment) 

6. Household garbage 

E. Provide the mayor and/or police chief and fire chief with regular updates on the 

debris removal process. 

First Week 

A. Continue with the debris removal processes. 

B. Document time spent on disaster recovery efforts, equipment used, etc., for FEMA 

reimbursement. 

ROLE OF CODE ENFORCEMENT (DUTIES MAY BE ASSIGNED TO PUBLIC WORKS)

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After 30-days 

A. Continue to focus on debris removal, FEMA documentation, communicating with the 

community, and general recovery efforts. 

B. Ask FEMA representatives about the FEMA hazards mitigation program to secure 

available funding to rebuild in a way that reduces and/or mitigates future disaster 

losses. It is available after a presidentially declared disaster. 

C. Develop a plan to house volunteers as part of the city’s long-term recovery plan. 

Rebuilding efforts will take years. Many volunteers will return seasonally to assist in 

rebuilding homes and buildings. Consider keeping some FEMA trailers for volunteer 

housing for couples who may not be comfortable in larger communal housing. 

D. Develop a team for long-term city planning to ensure that reconstruction comports 

with your vision for the city. 

E. Begin planning to replace your lost housing stock. 

1. Consider updating the city or city/county comprehensive plans if the city has 

planning and zoning. If the city did not previously adopt or develop a GOP/ 

COOP, use that tool in the disaster preparation guide to determine the future 

plan for your city. 

2. Work with builders, nonprofit organizations, contractors, and other industry 

operators to begin construction of replacement housing. 

3. Keep in mind that rebuilding will take significant time. 

Follow this link to go back to the “Code Enforcement” Disaster Preparedness Section. 

END OF CHAPTER 2

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Federal Disaster 

Assistance

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Federal/State Action 

Local Action 


The Federal Coordinating Officer and Staff 

State Coordinating Officer (SCO) & Staff 









Section 406 – PA – Hazard Mitigation 



Reconcile and Close PA Prime Award 


For Projects Under $1 Million 


Contracts 

Click on a page number to be 


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The federal government provides public agency and individual assistance for natural and manmade disasters 

in accordance with the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93- 

288), as amended. 

The Robert T. Stafford Disaster Relief and Emergency Assistance Act, PL 100-707, signed into law Nov. 23, 

1988, amended the Disaster Relief Act of 1974, PL 93-288. This act constitutes the statutory authority for 

most federal disaster response activities especially as they pertain to the Federal Emergency Management 

Agency (FEMA) and FEMA programs. 

In order to establish possible eligibility for FEMA Supplemental Assistance, the president reviews the disaster 

information and makes a determination as to whether the disaster has caused sufficient damage to require 

federal aid. If so, the president will declare the situation a major disaster and release federal resources to 

assist the communities in the recovery effort. 

Once the declaration is made, the Department of Homeland Security (DHS) through FEMA coordinates 

the numerous federal recovery programs for the disaster area. When a major disaster occurs (or before, for 

predictable events), the regional support team (RST) staff is activated to the ROC by the regional director 

of the FEMA regional office. The RST staff is the initial coordination organization for federal activity. Other 

elements of the initial federal response may include the emergency support team (EST) and the emergency 

response team (ERT). 

The ERT is the federal interagency team which is activated following a presidential disaster or emergency 

declaration. The ERT coordinates the overall federal response and recovery activities and provides assistance 

and support to the affected state and local governments. The ERT is headed by a federal coordinating 

officer (FCO) and operates from a disaster field office (DFO). The size and composition of the ERT can 

range from one that includes only FEMA regional staff, to an interagency team with representation from ESF 

primary and support agencies. 

The EST is an interagency group that operates from the National Interagency Emergency Operations Center 

(NIEOC) located at FEMA headquarters. Its role is to coordinate and support the federal response by serving 

as an information source and by helping access and coordinate needed resources. 

In cooperation with state and local governments, FEMA establishes a disaster field office (DFO) to oversee 

and support the entire operation. In conjunction with the state, FEMA also establishes disaster recovery 

centers (DRCs) in the disaster areas to assist in administering the individual assistance programs. 

The disaster recovery center (DRC) concept has evolved from the original disaster application aenter (DAC) 

operation. The DRC provides additional “direct follow-up” assistance to disaster victims by enabling the 

individual applicant to personally establish contact with the different agencies providing assistance. 

I. There are two main avenues through which federal assistance is administered: 

A. The individual assistance program for grants, loans, temporary housing, food, etc. These programs 

are long-term recovery actions for individuals, families, and small businesses. 

1. The American Red Cross and other voluntary agencies frequently will normally be on the scene 

first administering such emergency short-term assistance as food, clothing, bedding, and 

shelter. 

2. The entire effort is conducted cooperatively by the federal, state, and local governments and 

voluntary organizations. The intent is to help those people who have been affected by the 

disaster. 

FEMA DISASTER RECOVERY ASSISTANCE

Page | 53 

B. The public assistance program for the repair to public property such as the courthouse, city hall, 

community centers, parks, recreation center, etc. These programs are for public service type 

applicants such as cities, counties, American Indian tribes, and eligible private-nonprofit agencies. 

Federal/State Action State Action 

Once the presidential disaster declaration is received, the DHS/FEMA and the state emergency management 

agency move immediately to coordinate disaster assistance programs. 

Assistance is provided through the individual assistance and public assistance programs. Both programs 

are administered cooperatively by the federal coordinating officer (FCO) and the state coordinating officer 

(SCO) and respective staff once the disaster field office (DFO) is opened. 

The DFO serves as the administrative center for the recovery effort and coordinates all federal and state 

efforts with the local officials. 

Initial operations at the DFO will focus on the delivery of information relating to the individual assistance 

programs and the establishment of additional facilities in or near the areas of worst damage called disaster 

recovery centers. These additional facilities will operate only long enough to process claims for individuals, 

families, and businesses in that particular area and will augment the toll-free telephone registration 

operation. Federal, state, and local officials will coordinate the necessary actions to ensure the disaster 

registration information is available to every citizen in the declared disaster area. 

Once the DFO has established the satisfactory operation of the individual assistance programs, the actions 

for the implementation of the public assistance and hazard mitigation programs will be initiated. All field 

actions for the public assistance program will be coordinated through the DFO. 

The DFO remains open until disaster assistance activities can be supported by local, state, and federal 

offices. The FCO and SCO staff will scale down during the recovery process depending on the requirements 

of the disaster situation. The DFO will not be closed until a joint decision on the matter is made by the 

appropriate FEMA region director and the governor’s authorized representative (GAR). 

Local Action Action 

Local city and county government officials are responsible for making the recovery from a disaster situation. 

All recovery efforts should be initiated at the local level. In the process of working this task through there are 

five basic steps: 

A. A fairly accurate damage assessment must be made to determine the extent of the disaster damage. 

B. An analysis of the damage must be performed to determine the kind and quality of supplemental 

assistance needed. 

C. A request for assistance for resources outside of the community must be prepared and submitted 

appropriately to the governor through the state emergency management agency. 

D. The recovery effort must be directed and guided in the best interest of the community. 

E. Locate an adequate facility to house one or more disaster recovery centers. This facility will be 

secured by FEMA and staffed with the coordinated efforts of FEMA and the state. 

Detailed information on damage assessment, requesting assistance, individual assistance, public assistance, 

hazard mitigation, public information, and documentation of work are covered in sections of this handbook.

Page | 54 


Once a presidential disaster declaration has been authorized, the DFO is established in the vicinity of the 

disaster area or as close as possible. The facility is obtained by FEMA with the assistance of the GSA and 

houses the FCO and SCO staff. When a small disaster does not require the activation of a large staff to 

support a JFO, a smaller field operations facility may be opened when agreed to by local, State and FEMA 

officials. The DFO will probably function in the same location the entire time the individual and public 

assistance programs are being administered. This procedure differs from that of the DRC, which operate for 

a limited period of time, then close or move to another location to serve other individual applications for 

assistance. 

Overall supervision and guidance of all assistance programs is accomplished from the DFO. The DFO also 

provides an operating location for Federal and State operations and include disaster functions such as: 

A. All activated Federal Emergency Support Functions (ESFs). 

B. Temporary Housing (TH). 

C. Public Information (PIO). 

D. National Flood Insurance Program coordination (NFIP). 

E. Community Relations (CR). 

F. Disaster Housing Operations (DHOPS) mission. 

G. Federal Assistance to Individuals and Households Program (IHP). 

H. Public Assistance (PA). 

I. Hazard Mitigation (HM). 

J. Administrative and financial support for federal disaster program workers. 

K. Disaster worker employee office. 

L. American Red Cross. 

In a situation where the damaged area covers a large geographical area, there may be a need for a 

supplemental DFO or area field office (AFO) to support work in other areas. In this case, a satellite office will 

be established to operate in a limited capacity to extend the efficiency of DFO/AFO operations throughout 

the entire disaster area. 

The Federal Federal Coordinating Coordinating Officer and Staff Officer and Staff 

The federal coordinating officer (FCO) is appointed by the president for each disaster and coordinates the 

disaster assistance activities of all federal agencies, including the FEMA regional activities of the region in 

which the disaster occurred. The FCO and staff are located in the DFO. 

A cadre of professional disaster assistance employees (DAEs) have been designated by FEMA and will in 

most situations staff the FCO positions. 

In the performance of duties, the FCO is responsible for the overall recovery efforts, including: 

A. Determining the types of assistance that are most urgently needed. 

B. Rendering assistance to those who need it as quickly as possible. 

C. Gathering all federal agencies that have disaster assistance programs and coordinating their 

activities. 


Page | 55 

D. Staffing the DFO/and support facilities in addition to the DRCs with required representation of 

federal agency personnel. 

E. Coordinating the efforts of private relief organizations, such as the American Red Cross, which agree 

to operate under FCO supervision. 

F. Taking any other appropriate action to help the local population obtain all assistance to which it is 

entitled. 



Once the president has authorized a FEMA disaster declaration in accordance with the provisions of the 

Code of Federal Regulations, 44 CFR, Part 206.31-48, and in accordance with the provisions of the Code of 

Federal Regulations, 44 CFR, Part 206.41(c) the governor shall designate a state coordinating officer (SCO) 

who shall coordinate state and local disaster assistance efforts with those of the federal government. 

The SCO will normally reside at either the disaster field office (DFO) or the field operating facility (FOF) 

depending on the size of the declared event and the type of facility required. The SCO will coordinate all 

state disaster assistance programs on behalf of the governor’s authorized representative (GAR) with the 

Federal Emergency Management Agency (FEMA). 

Eligible disaster programs will depend on the type of disaster request by the governor and authorized by the 

president, but may include any or all of the following: 

I. Individual Assistance 

A. Temporary Housing Assistance 

B. Federal Assistance to Individuals and Households Program (IHP) 

C. Disaster Unemployment Assistance 

D. Food Commodities 

E. Relocation Assistance 

F. Disaster Legal Services 

G. Crisis Counseling Assistance 

H. Community Relations (CR) 

II. Public Assistance 

A. Debris Removal 

B. Emergency Protective Measures 

C. Restoration of Damaged Facilities 

III. Hazard Mitigation 

A. Hazard Mitigation Grant Program (HMGP) 

B. Flood Mitigation Assistance (FMA) 

C. The SCO staff is sized and composed according to the anticipated workload of the particular disaster 

assistance effort. This is normally accomplished by evaluating the number of structures damaged, 

the size of the geographical area, and the number of people affected by the disaster. Normally the 

SCO staff varies from 10 to approximately 50 workers. For very large catastrophic disaster events the 

number of workers will be in the hundreds.

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Assistance for Individuals 


When disaster strikes, the Federal Emergency Management Agency (FEMA) and the state emergency 

management agency with assistance from each local government emergency management office with 

eligible damages may administer a number of disaster assistance programs for individuals, families, and 

small businesses in order to provide services to help the people through the recovery process. 

Once a disaster has happened, the following are some of the factors that must be taken into consideration 

when it is anticipated that the damage may result in a request for a presidential declaration for individual 

assistance: 

A. The number of homes and families affected. 

B. What is the total impact upon the community and what effects have the disaster had upon the 

continued normal day-to-day life and functioning of that community? 

C. What degree of insurance coverage exists among the families affected? 

D. Has the area or community suffered an active history of past disasters? 

E. What percentage of the homes damaged are not primary residences, but instead the individuals’ 

secondary homes, camps, or vacation homes? 

F. What is the pre-disaster level of unemployment, the degree of damage to the business community, 

how much unemployment is a direct result of the disaster, and any other economic situations that 

may be unique to the specific disaster event? 

G. Does the severity of damage create the need for a significant number of families to relocate and 

occupy temporary accommodations? 

H. Does the degree of damage exceed that which is normally expected of a homeowner or landlord to 

repair utilizing their own funds? 

I. Do the degree and severity of the damage, the number of homes affected, and the estimated 

recovery cost of the disaster exceed the capability of the voluntary agencies to assist? 

Individual assistance is supplemental federal assistance provided under the provisions of the Stafford Act 

and The Code of Federal Regulations, Part 206, for individuals and families adversely affected by a major 

disaster or an emergency. Such assistance is normally provided by the federal government, state and local 

governments, disaster relief organizations, and the Small Business Administration (SBA). The types of 

assistance available are: 

A. FEMA Housing Assistance 

Housing Assistance: Housing assistance to individuals and families whose permanent homes were damaged 

or destroyed by the disaster. FEMA now provides a lump sum grant of $41,000 (FY 22-23) for: 

1. Temporary housing up to 18 months. 

2. Repairs needed to make a residence habitable. 

3. Replacement. 

4. Permanent construction. 

Individual and Household Programs: Provide grants to individuals and families to meet serious disasterrelated 

needs and necessary expenses not covered by insurance or other federal, state, or voluntary agency 

disaster assistance programs. 


Page | 57 

B. Additional Disaster Individual Assistance Programs 

1. Disaster unemployment assistance 

2. Food commodities 

3. Medical, dental, and funeral expenses 

4. Personal property transportation 

5. Disaster legal services 

6. Crisis counseling assistance and training 

No individual or household shall receive financial assistance greater than $41,000 with respect to a single 

disaster. (FY 22-23)* 

NOTE- Many cost rates changes are based on the Consumer Price Index (CPI) at the beginning of each 

federal fiscal year (Oct. 1). 

C. FEMA Individual Assistance Support Programs 

1. Cora Brown Fund Assistance: The purpose of this assistance is to make funds available to 

assist victims of natural disasters for disaster-related needs that have not been or will not be 

met by governmental agencies or other relief organizations. This grant would only be available 

after a presidential declaration for individual assistance is made and would only be applicable 

after the individual had not been successful in obtaining assistance from any other source. 

Application would be made through the governor’s authorized representative (GAR). 

2. Crisis Counseling Assistance: The purpose of this assistance is to provide professional 

counseling services to victims of major disasters to relieve mental health problems caused or 

aggravated by a major disaster or its aftermath. Available assistance will be provided by the 

National Institute of Mental Health, Public Health Service, and the State Department of Health 

and Human Services following a presidential declaration and when requested. 

3. Disaster Housing: The purpose of this assistance is to provide temporary housing for 

individuals and families displaced as a result of a disaster. This assistance is available after the 

presidential declaration of a major disaster or an emergency. Temporary housing is provided 

in the form of government, private, and commercial resources or grants for minor repairs to 

owner-occupied damaged structure. Temporary assistance is also provided with mortgage or 

rental payments for persons faced with losses of their residence because of disaster-created 

financial hardships. Eligible applicants are individuals and families displaced from their homes 

by a disaster. Application is made at the disaster recovery center (DRC). 

4. Flood Insurance: This assistance is to enable both individuals and state and local governments 

to purchase flood insurance against losses from physical damage to, or loss of, buildings and 

their contents as a result of floods, flood-related mud slides, or flood-related erosion. 

a. Assistance is available to provide insurance at a reasonable rate, backed by the federal 

government, for buildings and their contents. 

b. Eligible applicants are property owners in communities participating in the National 

Flood Insurance Program (NFIP). 

c. People with structures or personal property in or near the flood plain should contact 

their local insurance agent for information and an application. 

5. Food Distribution Program - Emergency Assistance: The purpose of this program is to provide 

commodities for the mass feeding of eligible victims of natural disasters.

Page | 58 

a. This assistance can be provided by the Food and Nutrition Service, U.S. Department of 

Agriculture, or after a presidentially declared disaster. The intent is to distribute food 

commodities for mass feeding purposes in locations in which commercial food sources 

have been disrupted. Approval of the secretary of agriculture is required. 

b. Application procedure is through the American Red Cross, Salvation Army, or other 

recognized local disaster-feeding organization. Information is available in the DRC. 

6. Food Stamp Program - Emergency Issue: The purpose of this program is to provide emergency 

issuance of food stamps to victims in disaster areas where the normal channels of food 

distribution have been disrupted. 

a. This assistance can be provided by the Food and Nutrition Service or the U.S. 

Department of Agriculture after a national-level approval by the Food and Nutrition 

Service following a presidentially declared disaster. Maximum food stamp allotment size 

will be made for victims of natural disasters who are otherwise eligible. Application for 

low-income households and other eligible disaster victims is made through the local 

Department of Human Services Office. 

7. Individual and Household Grants Program: The purpose of this assistance is to provide grants 

to individuals to meet disaster-related necessary expenses or serious needs of individuals or 

families adversely affected by a major disaster. 

a. Eligible applicants are individuals or families with disaster-related necessary expenses or 

serious unmet needs that cannot be met through assistance under other provisions of 

the Robert T. Stafford Act (PL 100-707) or from other means. 

b. Assistance is available after the presidential declaration of a major disaster with a lump 

sum grant of $41,000 (FY 22-23) per individual or family. This figure is adjusted each 

Oct. 1, based on the Consumer Price Index (CPI). 

c. The program is funded by FEMA and the state on a 75%/25% federal/state cost-sharing 

arrangement. There is no cost to the local government or the individual applicant. If the 

state is an Option 1 state, then FEMA manages the entire program. 

Applications are taken by either of the following: 

a. In-person at the disaster recovery center (DRC) by interviewers and referred to the 

appropriate state agency. 

b. By registration through a phone call to 800.621.FEMA (3362). 

c. Eligible categories for assistance include housing, housing items, clothing, tools, moving 

expenses, transportation expenses, medical or dental expenses, and funeral expenses. 

d. Ineligible categories for assistance include business loans, improvements to personal 

property, landscaping, and financial obligations incurred prior to the disaster. 

8. Relocation Assistance: The purpose of this program is to ensure that no person otherwise 

eligible for any kind of replacement housing payment under the Uniform Relocation Assistance 

and Real Property Acquisition Policies Act shall be denied such eligibility as a result of being 

unable, because of a major declared disaster to meet the occupancy requirements established 

by the act. 


Page | 59 

D. Other Agency Programs 

1. American Red Cross 

The purpose of assistance by the American Red Cross is to mitigate the suffering caused by a 

disaster regardless of the size of the catastrophe or the number of people involved. In the event 

of a presidential declaration of a major disaster, the Red Cross cooperates to the fullest extent 

with the federal coordinating officer appointed by the president and works in coordination with 

state and local governments and other voluntary agencies. 

Assistance available from the Red Cross is in the form of food, clothing, shelter, and first aid 

provided through shelters, at aid and feeding stations, and directly to individual families. 

Supplementary nursing care and blood products are distributed to hospitals and other 

emergency medical facilities. Welfare inquiries from outside the affected areas are also handled. 

Funds or purchase orders are issued to individual families for clothing, medical care, health 

items, essential household furnishings, and needed occupational supplies. In order for families 

to reoccupy their homes, the following items are also provided: equipment, emergency housing 

rental, transportation, and temporary home repairs. 

Information about available state and federal aid and other resources is given to disaster victims. 

Grant aid may be available for more extensive repairs or rebuilding of a home and the 

replacement of household goods when there is not a major disaster declaration, if the family is 

not eligible for government benefits, or such benefits are inadequate to meet essential disastercaused 

needs. 

Contact the local chapter of the American Red Cross or specially established disaster service 

centers for more information. 

2. Churches 

Assistance through local churches or interfaith groups is usually available for immediate needs 

such as food, clothing, spiritual, and other personal needs. Local churches usually belong to 

a regional disaster assistance network that provides resources for needs within this particular 

region. Regional networks may be denominational, but they help the general population and can 

be very resourceful in meeting community needs following a disaster. 

3. Department of Labor - Unemployment Assistance 

The purpose of this assistance is to provide financial assistance to people unemployed as a result 

of a major disaster. 

Assistance is available after the presidential declaration of a major disaster in the form of job 

placement and disaster unemployment assistance which is administered through the State 

Employment Commission for the U.S. Department of Labor. The compensation received will 

not exceed the maximum amount of payment authorized under the employment compensation 

program for the state. Assistance may be provided until an individual is re-employed, but no 

longer than 26 weeks after the date of the major disaster declaration. 

Eligible applicants are individuals who are unemployed as a result of a declared major disaster 

by the president. Application by the individual is made to the State Employment Commission at 

either their local office or their representative at the disaster recovery center (DRC).

Page | 60 

4. Internal Revenue Service (Tax Information and Education) 

The purpose of this assistance is to ensure that taxpayers who suffered losses receive the 

most current information regarding casualty loss claims and the filing of amended tax returns. 

Assistance is available after a presidential disaster declaration of a major disaster or an 

emergency for advisory services, counseling, and guidance on tax matters, including assistance 

in the preparation of returns. Assistance is also provided in obtaining copies of prior year returns 

when necessary to file amended returns. 

Eligible applicants are the taxpayers who suffer losses as a result of a presidential disaster 

declaration or emergency. 

For assistance call the Internal Revenue Service toll-free tax information telephone number listed 

in any telephone directory, 1.800.TAX.1040, or visit a disaster recovery center. Tax assistance 

information may include: 

a. Federal: The Internal Revenue Service (IRS) allows underinsured casualty losses that 

were suffered on home, personal property, and household goods to be deducted on 

income tax returns. Amended returns may be filed for a previous year’s filing so that 

disaster victims can receive a tax refund. 

b. State: Assistance and information on casualty loss deductions on state income tax 

returns can also be obtained from the Department of Revenue and Taxation. 

c. Local: Tax assessors may provide information and assistance on property tax. 

d. Farm Assistance: Emergency loans are available from the state Department of 

Agriculture and Forestry to farmers who were operating and managing a farm at the 

time of a disaster 

e. Insurance Information: Assistance and/or counseling regarding ways to obtain copies of 

lost policies, file claims, settlements, etc., from the state insurance department. 

f. Legal assistance: Free legal services for low-income disaster victims on such matters 

as replacing legal documents, transferring titles, contracting problems, will probates, 

insurance problems, and certain landlord-related problems are available from the 

attorney general’s office. 

g. Social Security Benefits: Assistance in expediting delivery of checks delayed by the 

disaster, and assistance in applying for Social Security disability and survivor benefits. 

Social Security Administration. 

h. Veterans Benefits: Assistance in expediting delivery of information concerning: 

(1) Health care 

(2) Financial services 

(3) Personnel matters 

(4) Supply support 

(5) Housing assistance 

(6) Food distribution 

(7) Technical assistance 


Page | 61 

5. Legal Services 

The purpose of this assistance is to provide legal services to low-income families and individuals 

who need assistance because of a major disaster event. 

This service can be provided, after the Presidential declaration of a major disaster, by appropriate 

Federal agencies, State and local bar associations and the Young Lawyers Division of the 

American Bar Association. 

Further information on this program may be obtained at the DRC. 

6. Mennonite Disaster Service 

The purpose of the Mennonite Disaster Service is to assist individuals and communities with repair 

and rehabilitation work following a declared disaster. 

Assistance available through the Mennonite Disaster Service is for: 

a. General, immediate clean up and restoration of disaster locations. 

b. Repairs, temporary or permanent, to homes of the elderly and the under insured. 

c. The reconstruction and rehabilitation of residences and vital building facilities in an 

affected community. 

d. Mental health support programs in cooperation with the Mennonite Mental Health 

Centers. 

Any disaster victim or community that has sustained damage because of a major disaster is 

eligible for assistance. Priority is given to the elderly, handicapped, widowed, disadvantaged 

minorities, and impoverished. 

For assistance contact the nearest office of the Mennonite Disaster Service. 

7. Salvation Army 

The purpose of the Salvation Army is to meet the needs of victims of natural and manmade 

disasters. Assistance available through the Salvation Army is for: 

a. Spiritual counseling - comforting the bereaved, consoling the injured and distressed. 

b. Family counseling and case worker services. 

c. Registration and identification of victims. 

d. Missing persons services - locating individuals and answering inquiries from concerned 

relatives and families. 

e. Medical assistance. 

f. Temporary shelter. 

g. Mass and mobile feeding - hot meals or snacks for disaster victims and emergency 

workers. 

h. Collection of donated goods for victims - according to predetermined need. 

i. Distribution of clothing, food, commodities, furniture, bedding, cleaning supplies, and 

bibles. 

j. Services to emergency workers. 

k. Referrals - to appropriate government and private agencies for special services.

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l. Other services as required. 

To be eligible for assistance, an individual (including disaster workers) or a community 

should have sustained damage as a result of a disaster. For assistance, contact the nearest 

office of the Salvation Army. 

8. Senior Citizens Assistance 

The purpose of this program is to provide assistance to senior citizens who have been affected by 

a presidentially declared disaster. 

The service is provided by the local senior citizen activity center which serves the host community 

and is activated by FEMA as a normal function of establishing the disaster recovery center (DRC) 

structure for disaster recovery operations. 

9. State Voluntary Organizations Active in Disasters (VOAD) 

Following a state disaster declaration, VOAD may coordinate unmet needs. County directors may 

request assistance through the state. 

10. Rubicon (Team Rubicon) 

Rubicon trains and coordinates volunteers to respond to disasters or crises. Team Rubicon 

focusses efforts on vulnerable and at-risk populations affected by disaster. Rubicon provides 

medical, leadership, debris removal, and building expertise to assist in recovery efforts. 



Why is it necessary for disaster victims to call FEMA first, particularly if they are business owners seeking 

SBA assistance? 

During presidential disaster declarations, the one phone call to FEMA (800.621.FEMA) registers the disaster 

victim for assistance and provides critical information on the various forms of federal assistance available 

following a declared major disaster. Online registration is also available at www.fema.gov. Homeowners and 

renters must call FEMA to register for assistance. 

Although businesses are not required to register with FEMA, SBA suggests they do so as a matter of record. 

Private nonprofits must also register and may be eligible for assistance from FEMA for damages in excess 

of those covered by a disaster loan. If any further assistance might be made available to businesses, the 

registered businesses will already be in the FEMA system. During the registration process, disaster victims 

will be asked several questions about their circumstances, including their income. Most homeowners and 

renters will be referred to the SBA and sent disaster loan application packages. If homeowners or renters 

are issued applications, they must fill out and return the applications to the SBA to be considered for other 

forms of assistance, including grants. If the SBA declines a home loan request or cannot make a loan for all 

of the disaster victim’s losses, SBA will refer the applicant to FEMA to be considered for its “Other Needs 

Assistance” (ONA) grant program. 

A presidential declaration automatically triggers Small Business Administration (SBA) loans to individuals 

and businesses. These loans are made at lower rates of interest to help disaster victims recover from the 

effects of the disaster. The interest rate charged varies depending on the availability of loans from other 

sources and other economic factors and can change at any time. The interest rates given below were 

in effect at the time of this publication. It is important to note that SBA loans are not automatic. To be 

approved, the applicant must show the ability to repay the loan. 


Page | 63 

A. Types of Disaster Loans Available 

1. Physical Disaster Loans 

These disaster loans are a primary source of funding for permanent rebuilding and replacement 

of uninsured disaster damages to privately owned real and/or personal property. SBA’s physical 

disaster loans are available to homeowners, renters, non-farm businesses, and eligible PNPs. 

a. Home Physical Disaster Loan amounts are limited to $500,000 to repair/replace 

damaged primary residences and $100,000 to repair/replace personal property. 

The amount of the actual loan is limited to the verified uninsured disaster loss. These 

are loans made to homeowners or renters to repair disaster-related damage to primary 

homes or replace personal property. Refinancing of existing loans on damaged real 

property is also available under certain conditions. Renters are only eligible for personal 

property loans. 

Current rates on home loans are 8% if credit is available elsewhere or 4% if credit is not 

available from other sources. Refinancing proceeds are loaned at the lower rate. The loan 

amount for real property Loans can be increased by up to 20% for mitigating devices for 

damaged real property. 

2. Terms – The repayment period depends on the size of the loan and the repayment capability of 

the applicant. The maximum term is 30 years. Loan proceeds may be used to return a structure 

to pre-disaster condition. With the exception of mitigating devices, loan proceeds cannot be 

used to upgrade or make additions. Loan proceeds may not be used to replace luxury items or 

recreational vehicles. Functional antiques will be replaced by modern items. Dollar limitations 

apply to hobbies and other unnecessary items. 

3. Business Physical Disaster Loans are limited to $2 million for real estate, inventory, machinery, 

equipment, and all other physical losses. The amount of the actual loan is limited to the verified 

uninsured disaster loss. Nonprofit organizations are also eligible for these loans. 

a. Terms – The applicant can be allowed up to 30 years to repay if there was no credit 

available from other sources. However, if credit was available from other sources, the 

loan must be repaid within three years. Loan proceeds may be used to restore land, 

buildings, household improvements, inventory, machinery, equipment, furniture, and 

fixtures to pre-disaster condition. Upgrading is not authorized except to meet building 

codes or finance mitigation measures. Mitigation measures are limited to 20% of the loan 

amount and do not increase the maximum limit. 

b. Economic Injury Disaster Loans (EIDL) 

These disaster loans help provide necessary working capital for small businesses and 

small agricultural cooperatives and private nonprofit organizations to assist them 

through the disaster recovery period. These loans are limited to $2 million. The loan 

amount is calculated by the SBA and the loan is available only to small businesses that 

cannot provide for their own recovery from non-government sources. 

Terms - These loans are made for a period of up to 30 years. The proceeds may be used 

to pay expenses, overhead, and fixed-debt installments which could have been paid if 

the disaster had not happened.

Page | 64 

B. Types of Declarations Available 

a. Presidential: When the president declares a major disaster which includes the provision 

of individual assistance, SBA will issue a disaster declaration making all disaster loan 

programs available for the declared counties. Counties adjacent to declared counties are 

also declared for Economic Injury Disaster Loan assistance only. 

b. Administrative: The administrator of the SBA may make a physical disaster declaration 

upon a written request by the governor subject to the damages meeting the minimum 

criteria for a declaration. Once requested, the SBA determines the amount of eligible 

damages in a joint survey with the state. To be declared, a county must have at least 

25 homes and/or businesses with uninsured losses of 40% or more of their estimated 

fair replacement value or pre-disaster fair market value, whichever is less. An economic 

injury declaration always accompanies a presidential or administrative physical 

declaration. 

c. Secretary of Agriculture: The SBA may provide economic injury assistance for a natural 

disaster declared by the secretary of agriculture. Under these designations, the SBA 

makes economic injury loans available to eligible small businesses dependent on 

agricultural producers. 

d. Governor’s Certification: When disaster damage is insufficient for a presidential, 

administrative, or secretary of agriculture declaration the state may certify the disaster 

has caused economic injury to small businesses in the state to the extent federal 

assistance is necessary. To support such a request, the state is required to provide 

substantiating evidence showing five or more businesses in the county have sustained 

substantial economic loss due to the disaster. The SBA administrator will make a disaster 

declaration decision based on the information provided by the state. 

4. Declaration Criteria 

Application for the programs described can be made at the disaster recovery center (DRC), 

nearest SBA office, or by calling the SBA toll-free number listed for the disaster. 



A. Purpose: To provide general guidance on the presidential and secretary of agriculture disaster 

declaration and application processes as it applies to farmers, ranchers, and aquaculture operators. 

B. General: Following either a presidential disaster declaration or a secretary of agriculture disaster 

declaration, farmers, ranchers, and aquaculture operators may be eligible for loans and assistance 

programs to help them recover from the effects of a declared disaster. 

If producers are unable to obtain credit elsewhere, and the event is declared a disaster by either the 

president or the secretary of agriculture, they may be eligible for: 

1. Farm Service Agency (FSA) (formerly FMHA) loans for physical/production losses to restore or 

replace damaged property. 

2. Emergency Conservation Program funds for erosion or debris damage to farmland. 

3. In addition, under a presidential declaration, producers may be eligible for: 

4. Temporary housing. 

5. Low-interest Small Business Administration (SBA) loans. 


Page | 65 

The county emergency board (CEB) is responsible for monitoring and assessing agricultural damage 

on the county level in connection with secretarial declarations. The CEB consists of representatives 

from the local Farm Service Agency (FSA), Cooperative Extension Service (CES), Natural Resources 

Conservation Service (NRCS), and Rural Development (RD) offices. In some cases, the U.S. Forestry 

Service (USFS), Animal and Plant Health Inspection Services (APHIS), or other USDA agencies 

may designate local representatives to serve on the board. The CEB provides reports to the state 

emergency board (SEB). The SEB is composed of the following agencies on the state level. 

a. Farm Service Agency (FSA) 

b. Animal and Plant Health Inspection Service (APHIS) 

c. Cooperative Extension Service (CES) 

d. Food and Consumer Service (FCS) 

e. Food Safety and Inspection Service (FSIS) 

f. Forest Service (FS) 

C. Disaster Designations: 

g. National Agricultural Statistics Service (NASS) 

h. h. Natural Resources Conservation Service (NRCS) 

i. Rural Development (RD) 

j. Rural Utilities Service (RUS) 

1. Presidential Declaration 

a. The governor must make a written request to the president in accordance with the 

provisions of the Robert T. Stafford Disaster Relief and Emergency Assistance Act 

when on-site inspections indicate a need for either a declaration for individual or public 

assistance. The Federal Emergency Management Agency (FEMA) is responsible for 

making recommendations to the president. 

b. If a presidential declaration is granted, assistance from USDA and SBA is automatically 

authorized. 

c. In the event a presidential declaration for individual and/or public assistance is not 

authorized, producers suffering agricultural damages may still be eligible for assistance, 

provided that a secretary of agriculture declaration is granted. 

2. Secretary of Agriculture Disaster Declaration: The secretary of agriculture may make a disaster 

declaration if there are severe production losses within a specific area which: 

a. The secretary determines that there has been a 30% loss county-wide in the normal 

year’s dollar value of a single enterprise. 

b. The secretary determines after exercising discretion that although the conditions set 

forth in (a) above have not been met, the unusual and adverse weather conditions or 

natural phenomena have resulted in such significant production losses or have produced 

such extenuating circumstances as to warrant a finding that a natural disaster has 

occurred. In making this determination, the secretary may request the FSA administrator 

to provide for consideration of such factors as the nature and extent of production 

losses; the number of farmers who sustained qualifying production losses; the number 

of farmers in the county that lenders indicate they will not be in a position to finance; 

whether the losses will cause undue hardships to a certain segment of farmers in the

Page | 66 

county; whether damage to particular crops has resulted in undue hardships; whether 

other federal and state benefit programs, which are being made available due to the 

same disaster, will consequently lessen undue hardship and the demand for emergency 

loans; and other factors considered relevant. The secretary will consider this information 

in deciding whether a natural disaster has occurred. 

3. Designation by FSA administrator: The administrator for the FSA has the authority to designate 

parishes as a natural disaster area when the losses are only physical. The FSA director initiates 

the request. 

D. Request procedures for a secretary of agriculture designation: 

1. Within 24 hours of the occurrence of a natural disaster, the county emergency board (CEB) 

prepares a “flash report” and submits it to the state emergency board (SEB). This report serves 

as an alert to SEBs and Washington of a possible disaster situation. 

2. If the damage is substantial and warrants the need for implementation of programs, the 

SEB will require completion of the damage assessment report (DAR) by the CEBs who have 

determined that their county has suffered qualifying losses. 

3. The CEB will meet and determine if the county has experienced qualifying losses. The 

assessment of losses will be based on the on-site inspections, knowledge of CEB members, 

and any other information available. Farmers, ranchers, and aquaculture operators may report 

any losses to any local CEB member. 

4. Upon receipt of DARs, the SEB will review the reports and make recommendations to the 

governor. This request will be forwarded directly to the governor’s office with copies to 

the state department of agriculture, the state emergency management agency, and the 

Washington FSA office. Simultaneous with the request to the governor’s office, FSA will 

provide damage assessment information to the national office. If any DAR indicates that 

a particular county did not sustain qualifying losses, but did have individual farmers who 

experienced qualifying losses, the SEB will ask that the governor request the secretary of 

agriculture to use his discretionary authority as stated in the secretary of agriculture disaster 

declaration. 

5. The governor’s request to the secretary of agriculture must be made within three months of 

the last day of the disaster. 

6. Notification of the designation will be made to the following: 

1. Governor state emergency management office. 

2. FSA National Office. 

3. FSA state office: FSA state director shall notify the national congressional delegation 

of the affected area of the designation. 

4. State emergency management office, which should notify the state legislative 

delegation. 

E. Noninsured Assistance Program (NAP): 

The Noninsured Assistance Program (NAP) exists for crop losses that are not covered by the Federal 

Crop Insurance Program. It requires a recommendation from the county committee and state 

committee to the administrator of the Farm Service Agency. The area affected by this disaster must 

be 320,000 acres or an entire county. 


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A. Established by Congress in 1968 to enable property owners in participating communities to purchase 

flood insurance to be deposited into a fund to cover eligible flooding losses in the future. 

B. The community must agree to adopt and enforce a floodplain management ordinance to reduce 

future flood risk to new construction in the floodplain. 

C. Flood insurance is designed to provide an insurance alternative to disaster assistance to reduce the 

escalating repair costs caused by floods. 

D. Major components of the program are: 

1. Identifying and mapping flood-prone communities, 

2. Requirement for communities to adopt and enforce floodplain regulations, 

3. Provision for Flood insurance including mandatory purchase requirements, 

4. Community Rating System (CRS) 

5. Flood Mitigation Assistance (FMA) program 

E. FEMA Policy Statement on Market Value of Substantial Damage to Structures: If a building has been 

damaged to 50% of its market value (substantially damaged), the building’s lowest floor must be 

elevated to or above the 100-year flood level in the repair and restoration process. FEMA’s guidance, 

to use replacement cost to estimate market value, is not a request to communities that they change 

their rules or practices, only an option to be given by FEMA region staff that replacement cost is 

another method for estimating market value that can be used if a community chooses to do so. 

The guidance is not to be offered when prohibited by state law. The use of the policy by communities 

is in recognition of post-catastrophic settings involving widespread devastation and massive 

rebuilding efforts in which: 

1. Building reconstruction and permit demands are overwhelming. 

2. There is disruption in local supply and demand forces, which drives reconstruction costs to 

abnormally high levels. 

The guidance recognizes that market value determinations by local officials are based upon a 

number of criteria for estimating value. There is no one consistent standard for estimating value. 

Market value estimates can be derived from: 

a. Appraisals by professional appraisers. 

b. Estimates of the structure’s replacement cost or actual cash value. 

c. Tax assessment property appraisals. 

d. NFIP flood claims data. 

e. Qualified estimates by a local building department or tax assessor’s office staff (a 

judgment call).

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Public assistance is supplementary federal assistance provided under the Stafford Act to state and local 

governments or certain private, nonprofit organizations other than assistance for the direct benefit of 

individuals and families. 

The reimbursement program provides funding on a percentage basis to eligible disaster applicants who have 

suffered damages as a result of a presidentially declared disaster and whose damages are within an area 

authorized for public assistance (PA). Funding under this program is limited to repairing/restoring damaged 

items or facilities to their pre-disaster condition and will only be provided once all other means of funding 

have been exhausted. 

A public facility includes the following facilities owned by a state or local government: any flood control, 

navigation, irrigation, reclamation, public power, sewage treatment and collection, water supply and 

distribution, watershed development, airport, non-federal aid road, building, structure, or park. 

A public entity means an organization formed for a public purpose whose direction and funding are 

provided by one or more political subdivisions of the state. 

Eligible applicants under the public assistance program are: 

A. State agencies and local governments. 

B. Private nonprofit (PNP) organizations or institutions which own or operate a private nonprofit facility 

that provides an essential government service to the general public and has an IRS tax exemption 

letter or a state (PNP). 

C. Indian tribes or authorized tribal organizations. 

Public assistance initially is administered through the disaster joint field office (JFO) and consists of two 

main types of work: 

A. Emergency 

B. Permanent 

Emergency work means work which must be done immediately to save lives and to protect improved 

property and public health and safety, or to avert or lessen the threat of a major disaster. The two categories 

of emergency work are: 

A. Category “A” Debris Clearance, on public roads and streets including rights of way, public property, 

and private property in some cases. 

B. Category “B” Emergency Protective Measures, to save lives, to protect public health and safety, and 

to protect improved property. 

Permanent work means restorative work that must be performed through repairs or replacement, to restore 

an eligible facility on the basis of its pre-disaster design and current applicable standards. When evaluating 

permanent work, the following considerations must be included: 

A. Repair work damages must be less than 50% of the replacement cost. 

B. Replacement is allowed only if the damages are more than 50% and when the total project is cost 

effective and approved by FEMA application of current standards. 

C. Floodplain management evaluation. 

D. Hazard mitigation possibilities. 


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1. The five categories of permanent work are: 

a. Category “C” Road and Bridge Systems include roads, bridges and drainage components 

such as road bases, traffic controls, streets, culverts, shoulders, ditches, engineering and 

design, decking, abutments, wing-walls, approaches, piers, cross drains and low-water 

crossings. 

b. Category “D” Water Control Facilities include flood control, drainage channels, irrigation 

facilities, levees, dams, reservoirs, seeding and sodding in disturbed areas, manmade 

sand dunes, bulkheads, and sea walls. 

c. Category “E” Public Buildings & Equipment include restoration, replacement, and 

relocation of buildings, supplies, and equipment. 

d. Category “F” Public Utility Systems include public electrical, water, gas, sewer, waste 

treatment, and irrigation facilities. 

e. Category “G” Park/Recreation & Other (PNP Excluded) include playgrounds, swimming 

pools, ballparks (including fences, lighting, and scoreboards), cemeteries, trees, grass, 

and in some cases beaches. 


A. Applicant Eligibility 

1. The following are eligible applicants: 

a. State governments 

b. Local governments 

c. Indian tribes and Alaska native villages 

d. Private nonprofit (PNP) facilities means any private nonprofit educational, utility, 

emergency, medical, or custodial care facility, including a facility for the aged or 

disabled, and other facility providing essential governmental type services to the general 

public. 44 CFR 206.221(e) further defines private nonprofit facility. PNPs not falling 

within the listed criteria must: 

(1) Apply with the Small Business Administration and 

(2) Be declined for SBA Loan assistance prior to filing for FEMA assistance. 

A private nonprofit (PNP) organization must have an IRS letter of tax exemption under Section 501 (c), (d), 

or (e) or satisfactory evidence from the state that the nonrevenue producing organization or entity is a 

nonprofit one organized or doing business under state law. 


(1) To be eligible for financial assistance, an item of work must: 

1. Be required as the result of the emergency or major disaster event. 

2. Be located within the designated are of a major disaster or emergency declaration, except that 

sheltering and evacuation activities may be located outside the designated area. 

3. Be the legal responsibility of an eligible applicant.

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A. Emergency Protective Measures 

1. Measures to eliminate or lessen immediate threats to life, public health, and safety are eligible. 

2. Measures to eliminate or lessen immediate threats of damage to improved property are 

eligible. 

3. An immediate threat is from an event which can reasonably be expected to occur within one 

year. 

4. Documented security activities of the National Guard may be eligible. 

5. Other activities of the National Guard or prison inmates doing eligible project work may be 

eligible when records document the eligible work. 

B. Permanent Restoration 

1. Immediate pre-disaster design and use. 

2. Applicable standards that: 

a. Are in writing and adopted before project approval. 

b. Apply uniformly to all similar types of facilities and work regardless of the funding 

sources. 

c. Apply to bridge or road standards no longer in use. FEMA will defer to the local 

standard. 

If FEMA requires any hazard mitigation measure in the restoration, its cost for permanent work damage may 

be eligible for 75%-25% assistance. These measures are part of Section 406 Hazard Mitigation Assistance. 

Replacement of a facility is eligible when it is 50% damaged. Relocation may be requicosts and cost may be 

eligible, including land if the overall project is justified. 

When a facility is under construction at the time of the disaster, any part of the facility is still the 

responsibility of the contractor and will not be eligible. 

A. Categories of Work for Public Assistance Eligibility – General 

1. Ownership - Damaged facility is owned by a local government or eligible private nonprofit 

organization. When a leased facility is damaged, the lease contract must specify that the 

applicant has repair responsibility. Attach a copy of the lease to the project worksheet (PW). 

2. Location – The damaged facility must be located within the designated disaster area. 

3. Time of Damage – The damage had to be caused by the disaster during the incident period 

and did not occur before or after the official incident period. 

4. Cost Minimum – Each damaged site must exceed $1,000 in total estimated repair cost. 

5. Facility Use – The facility must have been in active use when the damage occurred. 

6. Insurance – Repair costs covered by insurance are not eligible. Total repair costs are reduced by 

the amount of insurance coverage. Deductible and depreciation are eligible. 

7. Flood damage to an insurable structure occurring within the 100-year flood zone is reduced 

by the amount of flood insurance coverage or the maximum amount that would have been 

available if insured. 

8. General hazard insurance commitment required the amount of damages when repair costs 

exceed $5,000. 

9. Other Federal Agencies – Damage is not eligible for FEMA funding when under other federal 

programs. 


Page | 71 

10. Maintenance – Normal or heavy maintenance, such as potholes, surface ruts, routine pulling 

of ditches, and minor gravel replacement, is not eligible. All eligible damages must exceed 

maintenance levels. Deferred maintenance and repairs such as rotted timber, deteriorated 

asphalt, leaking roofs, etc., are not eligible. 

11. Negligence – Damage was not caused by negligence of applicant. 

12. Idle Equipment Time – Not eligible. Actual working time of equipment is what counts, and not 

that it was sitting at a job site all day. Equipment hours are compared to operator hours and 

the amount of repair to be accomplished. 

13. Salary – Regular salary is only eligible for Category C-G work items and not eligible for 

Category A and B work items. Administrative personnel are usually not eligible. Overtime and 

compensatory time are eligible in accordance with the established policy of the applicant. 

Compensatory time is eligible at regular rates, but must be a part of the official timekeeping 

system. Fringe benefits on force account labor are eligible when the salary is eligible and 

are based on a percentage of direct labor. Fringe benefits will be different for regular and 

overtime. Volunteer labor is not eligible. When using FEMA equipment rates, do not include 

mechanics’ time. equipment rates include maintenance costs. 

14. Private nonprofit facilities – To be eligible, all private nonprofit facilities must be owned and 

operated by an organization meeting the definition of a private nonprofit organization as per 

44 CFR, Part 206.221(f): “any nongovernmental agency or entity that currently has: 

a. An effective ruling letter from the U.S. Internal Revenue Service, granting tax exemption 

under sections 501(c), (d)m or (e) of the Internal Revenue Code of 1954, or 

b. Satisfactory evidence from the state that the non-revenue-producing organization or 

entity is a nonprofit one organized or doing business under state law.” 

15. Facilities serving a rural community or unincorporated community or unincorporated town or 

village. To be eligible for assistance, a facility not owned by an eligible applicant, as described 

in Part 206.222, must be owned by a private nonprofit organization and provide an essential 

governmental service to the general public. Applications for these facilities must be submitted 

through a state or political subdivision of the state. 

16. Mobilization and demobilization of equipment brought to and returned from a project site are 

eligible costs. 


A. Category A Debris Removal (44 CFR 206. 224) 

1. Debris on Public Property - Eligible debris removal activities include the clearance of trees 

and woody debris; building wreckage; sand, mud, silt, and gravel; vehicles; and other disasterrelated 

material. 

2. Debris on Private Property - Eligible for removal if it presents a safety or health hazard (such as 

fire or insect infestation). Ineligible under most other conditions. Normally requires the owner 

to move the debris to the right-of-way (ROW) and a hold harmless agreement. 

3. Debris on Federal Aid System (FAS) roads - Eligible for removal if FHWA is not active early in 

the disaster. 

4. Garbage Pickup - Cutoff date is the end of the period of incidence. After that date only the 

material exceeding the average garbage pickup volumes is eligible. Only disaster generated 

debris is eligible. Routine garbage pickup is not eligible.

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5. Idle Equipment Time - Idle or standby time is not eligible. Total equipment hours should be 

compared to actual personnel hours. 

6. High-Paid Personnel - Specialists such as electricians should not be paid to remove debris. 

Their hours can be used with an average pay rate for all other workers expected to be 

performing that type of work. 

7. Compensatory Time - If compensatory time is given in place of overtime, then that policy 

stands and overtime is not eligible. Compensatory time may be claimed for eligible overtime 

work, but it must be a part of the official timekeeping system. 

8. Mechanics - Time is not eligible. Equipment rates include costs. 

9. Tree Stumps and Root Systems - The removal is not eligible. 

10. Demolition of Public and Private Buildings - The buildings must be beyond repair. Private 

buildings must pose an immediate safety hazard. 

11. Removal of Emergency Levees - These costs are eligible only when the levees are removed to 

open roads or when in the public interest. 

12. Trees - Standing dead or dying trees and trimming of trees are not eligible. Hand labor for 

picking up small branches is not eligible. 

a. Debris Removal: Removal of debris from public and private lands and waters may be 

eligible when it is necessary to: 

(1) Eliminate immediate threats to life, public health, and safety on public or private 

property. 

(2) Eliminate immediate threats of significant damage to improved public or private 

property. 

(3) Ensure economic recovery of the affected community to the benefit of the 

community at large. 

(4) When debris is being removed from private property, clearance of the entire lot 

except for areas used for crops and livestock is eligible. 

(5) Mitigate the risk to life and property by removing substantially damaged 

structures and associated appurtenances as needed to convert property acquired 

through a FEMA hazard mitigation program to uses compatible with open space, 

recreation, or wetlands management practices. Such removal must be completed 

within two years of the declaration date unless FEMA extends this period. 

(6) Debris removal from private property. When it is in the public interest for an 

eligible applicant to remove debris from private property in urban, suburban, and 

rural areas, including large lots, clearance of the living recreational and working 

area is eligible except those areas used for crops and livestock or unused areas. 

(7) No assistance will be provided directly to an individual or private organization or 

to an eligible applicant for reimbursement of an individual or private organization 

for the cost of removing debris from their own property. 

B. Category B Emergency Protective Measures 

1. Emergency Protective Levees - These levees are eligible when built to protect life and 

property. Work by individuals to protect their own homes is not eligible. 

2. Sandbagging and Emergency Pumping - This expense is eligible. Bags furnished by the 

Corps of Engineers at a price are reimbursable. Pumping of private property is eligible only if 


Page | 73 

pumping is widespread. 

3. Safety Barricades and Signs - This equipment and time is eligible. If the equipment is reusable, 

then salvage should be taken. 

4. Health and Safety Hazards - Removal of health and safety hazards is eligible. Items include 

draining trapped water, pumping of basements, and emergency access to private homes. 

Vector control must be pre-approved by the Federal Health Service and FEMA. 

5. Temporary Repairs - Emergency work such as a road detour at a damaged location, emergency 

repair to levees, temporary roof repairs to public buildings, rental of temporary facilities for 

public employees, and bypass at sewer breaks are eligible. Most temporary repairs costs in 

Categories C-G will be included with permanent work. 

6. Fixed Pumps - Costs of fixed-pump operations (labor, pumps, power) are eligible. Emergency 

pumping status will cease at flood stage. Repair of damage to such facilities will be under 

Category D. Do not deduct three-year average costs. 

7. Personnel Time - Regular time is not eligible for police, firefighters, and other disaster 

responders. Overtime is eligible if compensatory time is not an established policy and 

personnel are involved directly in disaster operations in the field. Personnel not directly 

involved in disaster operations are not eligible. Volunteer labor is not eligible. Reserves are 

eligible for overtime if the established policy is to pay them for overtime. Fringe benefits on 

force account labor are eligible for overtime hours. A copy of the applicants policy will be 

required. 

8. Food and Shelter - Eligible when provided by the subgrantee for victims. 

9. Idle Equipment Time - Not eligible. Actual equipment working time is what counts and not 

the time it is just sitting at a job site. Equipment and personnel hours should be compared to 

ensure accuracy. 

10. Vehicle Damage - Vehicles damaged or destroyed during search and rescue operations are 

eligible for repairs. Repairs caused by extraordinary use in search/rescue and flood fighting 

are eligible. Eligible cost of repairs may not exceed the depreciated value of the equipment. 

(Normal maintenance costs are not eligible.) If an applicant desires to replace a piece of 

damaged or destroyed equipment with new or better equipment, the FEMA assistance will 

normally be limited to the lesser of the following: 

a. The cost of repairs above less any insurance recovery. 

b. The Blue Book retail value of equivalent equipment, which is readily available within a 

reasonable time and distance. 

c. Equipment damage will be included with Category E items. 

In general, actions taken by applicants before, during, and after a disaster to save lives, protect 

public health and safety, and prevent damage to improved public and private property. Emergency 

communications, emergency access, and emergency public transportation costs may also be eligible. 

Examples of Eligible CAT B Items: 

1. Warning devices (barricades, signs, and announcements) 

2. Search and rescue 

3. Emergency medical care 

4. Security in disaster area (police and guards) 

5. Construction of emergency temporary levees

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6. Provision of shelters or emergency care 

7. Activation of state or local EOCs 

8. Sandbagging 

9. Bracing/shoring damaged structures 

10. Provision of food, water, ice, and other essential needs 

11. Emergency repairs to protect facilities from further damage 

12. Emergency demolition 

13. Removal of health and safety hazards 

Other Types of Emergency Work 

a. Emergency communications 

b. Emergency public transportation 

c. Building inspection 

d. Snow removal 

C. Category C Road Systems 

1. Repairs and Replacements - The damage must be directly related to the disaster. It cannot be 

a pre-existing condition nor caused by an event after the official period of incidence. Repairs 

to structures must be made when less expensive than replacement unless the structure is 

damaged greater than 50%. 

2. Road Repairs - On gravel roads, the base need not be damaged to be eligible for major gravel 

replacement. Loss of gravel must be evident. Potholes and rutted surfaces are not eligible. 

3. Maintenance - Routine and heavy maintenance is not eligible. Potholes and surface ruts are 

maintenance items and not eligible. 

4. Paving - Loss of paved surfaces is eligible. Alligator (cracked) surface is a sign of normal 

deterioration and is not eligible. 

5. Standards - Bridge and road standards that have been formally adopted and are in practice 

or adopted and placed in effect prior to project approval by the applicant are eligible. The 

standards must apply to work accomplished with applicant funds and not limited to that work 

receiving state and/or federal aid. Attach a copy of the standards and the council meeting 

minutes approving the standards to the project worksheet. 

6. Necessary Facilities - Facilities that are functional prior to the disaster and necessary to the 

community and local government are normally eligible. 

7. On-System Facilities - Facilities funded by other federal agencies, such as the Federal Highway 

Administration, are not eligible. 

8. Aesthetics - Aesthetic features are not eligible if they have no functional value. However, in 

some instances, limited landscaping may be eligible. 

9. Scheduled Replacement - Facilities are not eligible if scheduled for replacement within the next 

24 months. 

10. Culvert Washouts - Replace in-kind. Cleaning is routine maintenance. Look for hazard 

mitigation opportunities. Low water crossings are eligible. 


Page | 75 

D. Category D Water Control Facilities 

1. Levees and Dams - FEMA representatives write the PW, not the applicants. Reviewers will 

check with the Corps of Engineers (COE) and the Natural Resources Conservation Service 

(NRCS), formerly known as Soil Conservation Service (SCS), and if the damage falls within 

their authority, it is not eligible. 

2. Drainage Channels - Restore to pre-flood hydraulic capacity. The COE may be involved in some 

flood channels (not eligible). Manmade channels must show evidence of routine maintenance. 

Appropriate supporting documentation and statements should be included with PW. 

3. Natural Streams - Only debris that is foreign to that stream and constitutes an immediate 

threat to life and property is eligible. Usually, silt, sand, and boulders are not eligible. Debris 

located near bridges may be cleared upstream for 200 feet and downstream for 100 feet. 

Debris removal is a Category A item. 

4. Seeding and Sodding - Seeding is to be used in disturbed areas only. Sodding is to be used 

only in areas of high erosion that have been disturbed. 

5. Siltation - Amounts of siltation in catch basins and channels should be reduced to an amount 

that would ordinarily be expected since the last documented maintenance. A reservoir that 

has a remaining capacity which is several times the amount of debris that could be expected 

as a result of a major storm is not eligible for siltation removal. When it is documented that a 

portion of the siltation is the responsibility of the applicant, and a percentage portion of the 

siltation was the result of the disaster, FEMA will encourage the applicant to return the facility 

to design standard. This means that both FEMA and the applicant will pay the respective 

portions to return the facility to design. If 75% of a catch basin remains available, cleaning is 

not eligible. 

6. Dunes - Only manmade dunes that have been properly maintained are eligible. 

7. Shore Facilities - Bulkheads and sea walls are eligible if not covered under another federal 

program. 

8. Irrigation Facilities and Pumping Stations – Maintenance records or surveys must be provided 

to show the pre-disaster capacity. Facility must also have had a regular clearance schedule to 

be considered an actively used and maintained facility. 

E. Category E Public Buildings and Equipment 

1. Restoration - Buildings are to be restored to pre-disaster design capacity and function, in 

accordance with current codes and standards, if the estimated damages are less than 50% of 

the replacement cost. 

2. Replacement - If the estimated repair cost exceeds 50% of the estimated replacement costs 

and the applicant chooses to replace the facility, the replacement costs are eligible. 

3. Relocation - If the building is totally destroyed by a flood, then relocation from the flood plain 

must be studied. 

4. Use and Occupancy - The building must be in use prior to the disaster. If only part of the 

building was occupied at the time of the disaster, then the replacement will be made at the 

reduced size. 

5. Extensive Damages - Repairs are eligible when the building is structurally sound and feasible to 

repair. If not, the building should be replaced. 

6. Insurance - Inquire as to insurance presently in force. Insurance coverage pays first. Deductibles

Page | 76 

and depreciation are eligible. If repair costs exceed $5,000, a general hazard insurance 

commitment will be required equal to the amount of damages. Repair costs for flood damage 

occurring to buildings and/or contents within the 100-year flood zone will be reduced by the 

amount of flood insurance coverage or the maximum amount that would have been available if 

insured. Each structure is considered to be an independent project. 

7. Equipment - Office equipment and furniture should be replaced with used or surplus. Repair if 

feasible. 

8. Supplies - Consumable supplies replaced to pre-disaster quantities. 

9. Vehicles - One PW may be completed for all damaged vehicles. Special equipment such as 

two- way radios is eligible. Blue book prices should be used and salvage taken. Check for 

comprehensive insurance. 

10. Grounds - Damage to grounds around a building requires a separate PW. 

11. Cleaning - For buildings with light damage, cleaning and painting is eligible. 

12. Worship Facilities - Primarily for worship buildings are not eligible. 

F. Category F Public Utilities 

Utilities include water treatment plants and delivery systems; power generation and distribution 

facilities including generators, substations, and power lines; and sewage collection systems and 

treatment plants. 

1. Electrical Facilities - Restore to pre-disaster condition in the most economical manner. Extra 

pole structures are sometimes necessary to restore the pre-storm function when erosion 

or other factors have destroyed stream banks and other right-of-way areas where ground 

clearance must be maintained over longer distances. Repair of electrical distribution systems 

should be made with the same general type and size that previously existed. Repair or 

replacement of applicant owned measuring meters is eligible if damaged by the disaster. 

2. Sewer Collapse - Ground subsidence should be obvious. 

3. TV Inspection - Limited TV inspection is eligible when damage is apparent such as ground 

subsidence, backup, or stoppage. Use of TV inspection to search for problems is not eligible. 

TV inspection must be approved in advance by FEMA. 

4. Cleaning - Cleaning of sewer lines is eligible only when necessary to restore adequate 

functioning of the system in specific reaches, and when the blockage is directly related to the 

disaster. 

5. Revenues - Loss of revenues is not eligible. Added costs or charges for providing regular utility 

services are not eligible. 

6. Loss of Inventory - Loss of water purchased by eligible applicants is an eligible cost if such 

loss can be documented as having been caused by a break in a water line(s) as a result of 

a declared disaster, and the costs of the water have not been or will be passed on to the 

consumer. 

7. Emergency Hookups - Cost of emergency hookups such as tapping the water system of an 

adjoining community until normal facilities are operable is an eligible cost under Category B. 

8. How to become an eligible applicant - Facilities either (1) Belonging to a public entity, or 

(2) Serving a rural community or unincorporated town or village, or (3) Classified as private 

nonprofit (PNP) operation, and owned and operated by an organization meeting the definition 

of a private nonprofit organization in accordance with the provisions of 44 CFR, Part 


Page | 77 

206.221(f). The regulation states that a PNP means any nongovernmental agency or entity that 

currently has: (a) An effective ruling letter from the U.S. Internal Revenue Service, granting a 

tax exemption under the sections 501(c), (d) or (e), or (b) Satisfactory evidence from the state 

that a non-revenue producing organization or entity is a nonprofit one organized or doing 

business under state law. 

G. Category G Parks, Recreational, & Other 

1. Trees - Trees cannot be replaced on public property even when they have a functional value. In 

circumstances requiring erosion control measures, technical assistance should be requested. 

2. Grass - Disturbed areas can be reseeded to restore to the pre-disaster condition. Sodding will 

not be used except in rare cases where erosion control is essential. 

3. Damage Estimates - Each specific structure or damaged location within a park does not 

require its own project worksheet (PW). Similar work projects may be lumped together into 

one PW. 

4. Beaches - To be eligible, a beach must have been engineer designed, constructed, and 

regularly maintained in accordance with a nourishment plan prior to the disaster. Include 

documentation with the PW. Permanent restoration of the sand on natural beaches is 

not eligible. Emergency work under Category B may be eligible on an improved beach in 

accordance with the provisions of 44 CFR, Part 206.226(i): 

a. The beach was constructed by the placement of sand (proper grain size) to a designed 

elevation, width, and slope, and 

b. A maintenance program involving periodic re-nourishment of sand must have been 

established and adhered to by the applicant. 

5. Park Sites - Each specific structure or damaged site within a park does not require its own PW. 

Restoration of publicly owned recreational facilities damaged by a declared disaster that do 

not fit another category of damage, will be placed under Category G. Eligible publicly owned 

facilities include playground equipment, swimming pools, bath houses, tennis courts, boat 

docs, piers, picnic tables, and gold courses. 

6. Exclusions - Some operations and applicants that do not provide health and safety services 

of a governmental nature are not eligible for damages in this category. To be eligible, facilities 

must be open to the general public. Public facility means those owned by a state or local 

government and include: any flood control; navigation; irrigation; reclamation; public power; 

sewage treatment and collection; water supply and distribution; watershed development; 

airport facility; non-federal aid street or highway; and any other public building, structure, or 

system, including those used for educational, recreational, or cultural purposes, or any park.

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Section 406 – PA –– Hazard Mitigation 

Hazard mitigation measures consist of work that is above and beyond the work required to return the 

damaged facility to its pre-disaster design. Upgrades required to meet current codes and standards, 

however, are not considered hazard mitigation measures for the purposes of the PA program and have 

different eligibility criteria. Under the PA program, these elements can only be applied to the damaged 

element of a facility. For example: 

If floodwaters inundate a sanitary sewer, blocking manholes with sediment and damaging the manholes, 

cost-effective mitigation to prevent blockage of the damaged manholes in future events may be eligible. 

However, work to improve any undamaged manholes that are not part of the system is not eligible. 

A. For hazard mitigation measures to be approved, the measures must be reviewed by FEMA staff to 

ensure eligibility, technical feasibility, environmental and historical compliance, and cost effectiveness. 

The following considerations may affect the costs determination: 

1. HM measures may amount to up to 15% of the total eligible cost of the eligible repair work on a 

particular project. 

2. Certain HM measures may be determined to be cost-effective as long as the mitigation 

measure does not exceed the cost of the eligible repair work. 

3. For measures that exceed the costs of eligible repair work, the applicant must demonstrate 

through an acceptable benefit/cost analysis that the measure is cost effective. 

B. The following list includes examples of some Section 406 mitigation measures: 

1. Relocation of facilities from hazardous locations 

a. Roads and bridges 

b. Utilities 

c. Buildings 

2. Slope stabilization to protect facilities 

a. Placement of riprap 

b. Installation of cribbing or retaining walls 

c. Installation of soil retention blankets 

3. Protection from high winds 

a. Installation of shutters to protect windows 

b. Installation of hurricane clips 

c. Strengthening anchoring and connections of roof-mounted equipment 

4. Floodproofing of buildings 

a. Use of flood-resistant materials 

b. Elevation of mechanical equipment and utilities 

c. Elevation of buildings 


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5. Flood protection of bridges and culverts 

a. Use clear spans instead of multiple spans 

b. Installation of cut-off walls or headwalls on culverts 

c. Installation of riprap 

6. Seismic protection 

a. Bracing of overhead pipes and electrical lines 

b. Anchoring non-structural elements such as parapets and veneers 

c. Bracing interior walls and partitions 

7. Protection of utilities 

a. Use of disaster-resistant materials for power poles 

b. Anchoring fuel tanks to prevent movement 

c. Elevation of equipment, control panels, and electrical service to prevent flood damage 

C. Management and Administration of Public Assistance Work 

The primary responsibility for managing approved public assistance project worksheet reports (PWs) 

rests with the applicant (subgrantee). However, to ensure that the administration and management 

of those projects can be closed-out on a timely basis, the state (grantee) shall monitor all program 

activities for compliance. 

The subgrantee must maintain acceptable disbursement and accounting records to document and 

support work performed along with the cost incurred on each approved project. Each project PW 

shall have a folder to document the amounts claimed. In order to help organize the information 

needed to develop the PWs, the items listed on the next several pages should help develop each 

project. 


Force Account - When the subgrantee uses its own equipment and materials to repair and/or restore the 

damaged facility or utility back to its pre-disaster condition. The records that should be included with the 

project include: 

A. Employees - Overtime (including police and firefighters) hours while performing eligible work must 

be shown. Regular time is not eligible for Category A and B work. The employers’ fringe benefits 

rate must be reduced to writing and computation shown. Eligible supervision costs are generally 

limited to working foreman level. If overtime is paid to management or salaried employees, these 

payments must be in accordance with a written policy that is in effect prior to the disaster. Note: 

(Compensatory time is eligible, but the policy must be in writing and in effect prior to the disaster.) 

B. Claims should contain: 

1. Name 

2. Disaster job classification- (Laborer, driver, etc.) 

3. Hours worked- (Hours each day including dates) 

4. Total hours (Total daily/weekly)

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5. Rate of pay (Without fringe Benefits) 

6. Total earnings (Include paycheck number) 

7. Fringe benefit percentage (Computed from formula) 

a. Equipment - Claims for the use of force account equipment on eligible disaster work 

must be documented on a schedule similar to that of the payroll and supported by 

work orders or equipment logs. Employees’ names can be used with equipment they 

exclusively used as a record of equipment time. Each piece of equipment must be 

identified as follows: 

(1) Type of equipment (complete description) 

(2) Equipment reference number 

(3) Dates / Number of hours used (List by day used) 

(4) Total hours used 

(5) Applicant or FEMA rates (whichever are less) 

(6) Total cost 

(7) No assistance will be provided directly to an individual or private organization or 

to an eligible applicant for reimbursement of an individual or private organization 

for the cost of removing debris from their own property. 

b. Materials - Claims must be broken down by project. The unit cost of material used from 

inventory must be supported by the invoice covering original purchase, applicants’ stock, 

or inventory card showing how the average price used was calculated. Only the actual unit 

cost paid will be reimbursed. New materials purchased must have a supporting invoice 

and identified as to the project referring to the scope of work. 

The invoice records should contain the following: 

(1) Vendor 

(2) Description 

(3) Quantity 

(4) Unit price 

(5) Total price 

(6) Date purchased 

(7) Check number (if for a single item) 

(8) Date used (including if item was purchased or used from stock) 

Note: Costs must be reasonable and necessary to accomplish eligible work and be in compliance with 

federal, state, and local laws and regulations. All credits must be deducted, such as: insurance proceeds, 

salvage, and purchase discounts. Claimed costs must not duplicate benefits from other federal agencies 

or programs. 

B. Contracts - This mechanism is used normally when a subgrantee does not have the necessary 

local resources to accomplish the approved “scope of work” (SOW). Contract costs incurred for 

approved eligible projects may include architect and engineering services necessary for the eligible 

work. Actual eligible costs under the terms of cooperative agreements between federal, state, and 

local governments are eligible. Preference should be given to local contractors when possible. The 

subgrantee must comply with 44 CFR Part 13 and 14 and applicable OMB circulars referenced in 


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Part 13 and competitive bidding must be used when required. Contracts under $10,000 will be in 

compliance with local requirements and those in excess of $10,000 will use competitive bidding. 

Those projects which are done by contract should have the following information: 

1. Copies of the request for bids 

2. Bid documents 

3. Bid summaries 

4. Contracts 

5. Invoices 

6. Daily inspection logs 

7. Issued checks (include copies of each) 

Changes in the project scope of work Scope of Work (SOW) must be pre-approved by the state and or 

FEMA, or they may become ineligible. 

C. Other Requirements - Documentation needed to support costs incurred from sources other than the 

subgrantee, or other political subdivisions for materials, equipment, and services. Invoices covering 

materials must describe the materials furnished, date furnished, where and/or how the material was 

used, quantity and unit cost, total cost of each item, and total amount of invoice applicable to the 

approved categories and projects. 

Only the unit cost to the supplier, with only handling and delivery added, will be paid. Earned cash 

discount (payment made without discount date indicated on invoice) must be deducted from the 

total of the invoice. Only the net amount may be claimed. The subgrantee must show on each invoice 

the date and amount paid, check or warrant number, or other evidence of cash payment. 

Volunteer labor and equipment are not eligible costs unless approved by FEMA. 

Invoices from other political subdivisions covering rental of publicly owned equipment (FEMA 

schedule of rates apply), materials, and labor must have the same details required for force account 

records. 

Equipment rented from a private owner, vendor, etc., the subgrantee must indicate on the invoice 

where and/or how the equipment was used. A copy of the rental agreement must be on file to 

support the subgrantee claim along with the following: 

1. Type of equipment 

2. Date(s) used 

3. Hours used 

4. Rate per hour – Indicate with/without operator 

5. Total cost 

6. Vendor 

7. Invoice number 

8. Date paid 

9. Amount paid 

10. Check number

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D. The completion deadlines are: 

1. Debris clearance - six months 

2. Emergency work - six months 

3. Permanent work - 18 months 

The grantee may authorize/impose lesser deadlines if appropriate and may also extend grant 

extensions should extenuating circumstances exist or if unusual project requirements are beyond the 

control of the subgrantee. All requests for time extensions must be submitted in accordance with the 

provisions of 44 CFR, Part 206.204(d) to the regional administrator. Requests for extensions are the 

responsibility of the subgrantee. 

Cost overruns may occur during the execution of approved work, the subgrantee may find project 

costs exceed the approved project estimates. Such cost overruns normally fall into three categories: 

a. Variations in the unit price(s) 

b. Change in the scope of eligible work 

c. Delays in completion of eligible work 

The subgrantee is responsible for evaluating each cost overrun and, when justified, submits a request 

for additional funding through the regional administrator in accordance with the provisions of 44 

CFR, Part 206.204(e). All requests shall contain sufficient documented justification to support the 

eligibility of all claimed work and costs. Normally, a review will not be conducted for an individual 

small project. When a subgrantee discovers a significant overrun related to the final cost for all small 

projects, the subgrantee may submit an appeal for additional funding within 60 days following the 

completion of all its small projects. This appeal should be included with the applicant’s submission of 

the final signed P.4. 

The grantee shall review the material submitted, make such additional investigations as necessary, 

and forward the request to the regional administrator with the grantee’s recommendation. When 

such a request is made, the subgrantee should be prepared for a complete project audit of all small 

projects. 

E. Documentation of Work 

Proper documentation of disaster recovery expenditures is necessary for work to be eligible for 

federal funds. Properly maintained records will help to avoid unnecessary difficulties in receiving those 

funds and assist with the close-out process. 

Generally, record keeping should include not only the specific documents to be identified herein, but 

also photographs and sketches for additional clarity. 

There are specific limitations in applying for federal disaster grants and for completing eligible 

restoration work. These items will be explained at the applicant’s briefing. Proper record keeping will 

provide a means of identifying the need for time extensions and supplemental funds. Cost overruns 

and the need for time extensions beyond the normal time allowance must be directed in writing to 

the governors authorized representative (GAR). 

Each applicant should establish a file system for all disaster-related work. A separate file should be 

created for each project worksheet (PW) and should include all supporting documents associated 

with the work project. 

It is essential to begin record keeping as soon as possible. If pre-disaster protective measures are 

taken, initiate this action immediately. If not, begin with the onset of a disaster. Some examples of 

documents that should be filed for contract work are: 


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1. Project worksheet (PW) 

2. Request for bid 

3. Bid documents 

a. Contracts 

b. Invoices submitted by the contractor 

c. Authorization for check issuance 

d. Copies of checks issued in payment 

e. For applicant’s own forces (force account) the project file folder should contain: 

4. Project worksheet (PW) 

5. Daily activity reports 

6. Applicant’s extracts from payrolls, with any cross-reference needed to locate original 

documents. 

7. A schedule of equipment used on the job with daily time sheets, if claimed. 

8. Summary of daily activity reports (such as Weekly or Biweekly) 

9. Invoices, warrants, and checks issued and paid for materials and supplies used. 

10. Inventory withdrawal forms for items taken from stock (inventory). 

All project file folders should contain a summary or worksheet that lists, with a brief description, the 

individual costs which make up the total claimed cost. The record keeping discussed here is offered 

as a suggestion and is presented to give an idea of the kinds of records that will be required during 

recovery from a presidential disaster declaration. 

If the applicant prefers to use their own system, it may be acceptable if the records are tied to specific 

projects. In order to be eligible for reimbursement, records must apply to and be identifiable as within 

the scope of work of a particular project. 

Establishing a record keeping system will provide an audit trail of expenditures and provide the 

documentation the reviewers and/or auditors will need to recommend prompt reimbursement of 

eligible recovery costs. Incomplete or improper records can lead to either partial or total loss of 

potential reimbursement funds. 

As work is completed in the various categories, the applicant is responsible for the final closeout. 

Once the s public assistance officer (PAO) confirms the applicant has completed the required work, 

the PAO will contact the applicant in order to schedule a “final close-out inspection” visit with the 

applicant. Once the final inspection has been completed, all outstanding claims associated with the 

project will be satisfied by FEMA. 

Small projects less than $1 million ( FY 22-23) may not require a federal or state final inspection unless 

there is a significant cost overrun (normally at least 10% of all small projects will be reviewed). 

The value for large/small projects will change each Oct. 1 based on the CPI. 

F. Filing 

It may be some time after the disaster before project worksheets (PWs) are prepared and provided 

to the applicant. In the meantime, emergency work must be accomplished. The problem is how 

to you keep a separate record of expenditures for each project when you do not know what each 

project will cover. One proven way is to establish, immediately after the disaster, a separate folder for

Page | 84 

each emergency work project that must be accomplished prior to receipt of the approved project 

application (this would include the reviewed PROJECT). If you have washout damage on three streets 

that must be repaired immediately, establish three separate folders. 

For building repairs (such as repairing roofs to prevent further rain damage), establish a folder for 

each building street location. In other words, set up a folder for each individual site damaged and one 

for each vehicle and building damaged. 

Eventually, the reviewed project worksheet reports will be provided to each applicant. At this time, 

the applicant makes sure that all work items related to the particular project are included in a 

single location file. All expenditures of wages, supplies and equipment on each Project must have 

appropriate supporting documentation. Missing and or lost documentation will result in reduced 

funding amounts. In accordance with FEMA guidelines, all requests for damage reimbursement must 

be supported by documented evidence. The applicant always maintains the original copy! 

1. Each project folder should contain: 

a. Pictures 

b. Invoices 

c. Daily activities reports 

d. Materials from stock (copy of inventory on hand at time of disaster) 

e. Rental/lease agreements 

f. Contract documents 

g. Detailed insurance information 

h. Field copy of project worksheet and attachments 

i. Approved project 

j. Fringe benefit 

k. Analysis 

l. Example 

m. Calculations 

John Smith works for the city and makes $20,800 per year. He receives two weeks’ vacation per 

year, and the city has nine paid holidays. The city pays an amount equal to 5% of his salary into a 

retirement system. The city also pays 7.65% of his salary to FICA (Social Security) and 1.30% for 

unemployment. The city pays $303.33 per month as its portion of Smith’s insurance. (Divide the 

monthly amount paid by the city by 173.33 hours per month to determine cost per hour; in this 

instance, $303.33/173.33 = $1.75/hr.). 

Because of his job, the city must pay the $7.50 per $100 earned into workers’ compensation. Fringe 

benefits for regular time are calculated as follows: 

1. Best pay rate would be ($20,800/2080 hrs.) = $10.00 

2. The amount of fringe benefit for vacation would be: 

a. 80 hours vacation/2080 = 3.85% 

3. The amount of fringe benefit for holiday time would be: 

a. 9 days x 8 hours = 72 hours/2080 = 3.46% 


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4. Retirement paid by city = 5% 

5. Social Security = 7.65% 

6. Unemployment = 1.30% 

7. Insurance paid by city = $1.75/$10.00 = 17.5% 

8. Workers’ comp = $7.50/$10.00 = 7.5%; no adjustment factors. 

Summary: 

a. Vacation 3.86% 

b. Holiday pay 3.46% 

c. Retirement 5.00% 

d. Social Security 7.65% 

e. Unemployment 1.30% 

f. Insurance 17.50% 

g. Workers’ comp 7.50% 

TOTAL 46.26% 

The percentage of fringe benefits for regular time is 46.26%. 

To determine the percentage of fringe benefits for overtime, subtract the percents calculated for 

vacation (3.85%), holiday pay (3.46%) and insurance (17.5%). Overtime fringe benefit would be 21.45%. 

(If retirement is based solely on regular salary, that percentage also should be subtracted.) 

G. Important Record-Keeping Forms 

There are numerous forms and documentation that must be completed and maintained in order to 

support the work accomplished supporting the particular eligible public assistance (PA) project. 

These forms may change as well as some of the supporting documentation requirements and will be 

reviewed during the kickoff meeting with each applicant. 

1. Project Worksheet – FEMA Form 90-91 

This report is designed to organize expenses and relate those expenses to a particular project. 

The instructions are located on the back of the form. These forms are available upon request 

from the State, FEMA, or your IEM representative. 

2. Project Worksheet – Damage Description and Scope of Work Continuation Sheet 

a. Project worksheet – photo sheet 

b. Project worksheet – maps and sketches sheet 

c. FEMA Form 90-128: Applicant benefits calculation included regular and overtime fringe 

benefit rate sheet/instructions 

d. Force account labor summary record/instructions 

e. Force account equipment summary record/instructions 

f. Materials summary record/instructions 

g. Rented equipment summary record/instructions 

h. Contract work summary record/instructions

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i. Special considerations questions 

j. Public assistance appeal procedure 

k. Project listing (P.4) 

l. Request for public assistance (RPA) FEMA Form 90-49: 

m. Final inspection/review and audit 

n. Small and large project amounts are based on the Consumer Price Index (CPI) and are 

subject to change. 

For Projects Under $1 $1 Million 

In August 2022, FEMA published a final rule to increase the established threshold for small project maximum 

for the agency’s public assistance (PA) program to $1 million (small project). The increased threshold 

reduces the administrative burden on state, local, tribal, or territorial (SLTT) governments and private 

nonprofit (PNP) organizations receiving FEMA financial grants following a disaster. A small project has costs 

below the threshold, while a large project has costs equal to or above the $1 million threshold (large project). 

Requirements 

A. Applicability: This policy applies to all PA small projects funded under major disasters and 

emergencies declared on or after the date of issuance. It applies to Stafford Act Sections 403, 406, 

407, and 502. It does not apply to management costs funded under Stafford Act Section 324 or 

donated resources. 

B. Documentation Requirements: FEMA is streamlining documentation requirements for small projects 

to include acceptance of applicants’ self-certified estimates and summary information for eligible 

facility, work and cost as outlined in Section C and in accordance with all laws, regulations, executive 

orders, and policies in lieu of providing more detailed documentation. 

C. Minimum Small Project Information Requirements: FEMA will accept eligible applicants submitting 

summary documentation and less information for small projects. Applicants must continue to retain 

all source documentation, including project eligibility records and financial records, for three years 

after the date the recipient submits to FEMA certification of completion of the last small project. 

The recipient must keep all financial and program documentation for three years after the date it 

submits the final SF-425 in accordance with 2 C.F.R. § 200.334 and access to records will be provided 

upon request in accordance with 2 C.F.R. § 200.337. SLTT government laws may require longer 

retention periods. Real property and equipment disposition, audits, and litigation may also require 

longer retention periods. If requested, applicants must provide documentation to FEMA. Recipients 

may require documentation not otherwise required by FEMA (such as actual cost documentation for 

small projects). In such cases, the applicant must provide the documentation to the recipient. 

D. Cost Estimates - To streamline the application process for small projects, FEMA does not adjust 

estimated costs to the actual incurred amount. Once the estimated amount is obligated, FEMA 

considers it reasonable and eligible and does not re-evaluate the cost if there is no evidence of fraud, 

waste or abuse, and the applicant complies with federal grant conditions. 

1. Completed work - FEMA may accept certified cost estimates for projects that have all work 

complete in cases where applicants are unable to compile actual costs within a reasonable 


Page | 87 

time frame, or when applicants have not yet received final invoices. FEMA does not develop 

estimates for completed work. 

2. Applicant-provided estimates - To streamline the process for small projects, FEMA will accept 

the applicants providing certified cost estimates. The applicant’s itemized cost estimate must 

include information to support the estimate and certify that the costs claimed directly correlate 

to work required to address major disaster and emergency related impacts in the project 

application. FEMA may use the cost estimating format (CEF) on small projects as necessary 

due to project complexities. 

a. Completed or partially completed work may be estimated based on an extrapolation of 

known actual costs. 

b. Employee labor costs for applicants’ force account labor estimates may be accepted 

based on summary information instead of providing detailed documentation (e.g., time 

sheets, labor rates). Estimates may be calculated based on the actual or estimated total 

number of staff and total hours with average pay rates. Average rates may only be used 

for employees at similar pay grades and same category of employee (i.e., permanent fulltime 

vs. part-time vs. temporary hire). Applicants should include fringe benefits as part 

of the labor estimate. Fringe benefits may be calculated based on a percentage of the 

hourly pay rate. 

c. Equipment and supplies cost estimates for purchased equipment or supplies may be 

accepted based on purchase orders, rental agreements, or the lowest of three quotes. 

Items that meet the PAPPG definition of equipment must include a reduction for 

depreciation or fair market value (estimated or actual) at the time the equipment is no 

longer needed. For small projects, fair market value and the associated reduction are 

addressed during project formulation. To calculate depreciation or fair market value, 

the date used to determine when equipment is no longer needed is based on the work 

completion deadline. For force account equipment, the estimate should be based on 

usage hours and applicable equipment rate. No reduction is taken for supplies for small 

projects during project formulation because the quantity of supplies for which funding is 

eligible is an amount that is necessary and reasonable, and the estimate is based on the 

aggregate unused supplies not exceeding $5,000. 

d. Contract costs are typically calculated based on a bid or contract amount obtained 

from a competitive procurement process. If a request for proposals has not yet been 

issued, contract work may be estimated based on historical costs or another applicant’s 

costs for projects that are similar in size and scope of work (e.g., similar quantities and 

types of debris, materials costs, and other factors). All small projects must comply with 

procurement and contracting laws and regulations. In instances where Applicants submit 

cost claims based on noncompetitive bids or contracts, time and materials contracts, or 

cost plus percentage-of-cost or percentage-of-construction contracts, FEMA will review 

the project for reasonable cost and procurement and contracting compliance. 

e. Construction estimates and summaries are permitted based on the below criteria. FEMA 

does not conduct additional cost validation or reasonable cost analysis unless there are 

scope of work (SOW) concerns or evidence of inaccurate information. When applicants 

provide estimates for construction work in accordance with the following criteria, the 

construction estimate must be:

Page | 88 

(1) Prepared by a licensed professional engineer or other estimating professional, 

such as a licensed architect or certified professional cost estimator who certifies 

the estimate was prepared in accordance with industry standards. 

(2) Based on a component-level scope of work that is clearly attributable to the 

disaster-related damage with a level of detail sufficient to validate that cost 

elements are neither omitted nor duplicated. 

(3) Accompanied by certification that the estimated cost directly corresponds to the 

repair of damage caused directly by the declared major disaster or emergency. 

(4) Based on unit costs for each component of the SOW and not a lump sum amount; 

or a bid or contract amount obtained from a competitive procurement process (if 

bid/contracting process has occurred). If the applicant plans to conduct any work 

with employee labor, the estimate must be developed based on the language in 

Sections C.2 (b) and (c), not (d) or (e) above. 

f. Post Award Monitoring 

(1) Audits: FEMA may adjust funding for small projects due to audit findings. 

Recipients and subrecipients are subject to federal and non-federal audits. A 

recipient or subrecipient that expends $750,000 or more in federal awards during 

its fiscal year must have a single or program-specific audit conducted 

for that year in accordance with 2 C.F.R. § 200.501. Additionally, recipients and 

subrecipients must have records available for review by SLTT auditors, FEMA, the 

U.S. Department of Homeland Security’s Office of Inspector General, or the U.S. 

Government Accountability Office. Monitoring and oversight requirements 

in connection with recipient compliance with federal civil rights laws are also 

authorized pursuant to 44 C.F.R Part 7. 3. 

(2) Payment Validation: FEMA may request documentation to validate recipient 

payment to the subrecipient on individual small projects under the Payment 

Integrity Information Act of 2019. The SLTT will follow its applicable laws and 

regulations for payment processing. 4. Sampling: FEMA may implement sampling 

procedures in order to evaluate the accuracy of estimates for small projects. Such 

reviews will not change the amount of funding awarded for individual projects but 

will be utilized to assess cost estimating processes under simplified procedures. 

FEMA reserves the right to conduct further review should there be audit findings 

as a result of the sampling procedures. 

g. Post Award Change(s) in Scope or Costs 

Once FEMA awards a small project, FEMA does not adjust the estimated cost or approved 

amount of an individual small project unless it is for one of the reasons listed below. 

This applies even when FEMA obligates the project based on an estimate and the actual 

project costs for completing the eligible scope of work differ from the estimated amount. 

FEMA only adjusts the approved amount on individual small projects for the following 

reasons: 1. The subrecipient did not complete the approved scope of work; 2. FEMA 

approves a change in scope of work, including any additional hazard mitigation; 3. The 

subrecipient received funding not previously deducted to prevent a duplication of benefits 

(e.g., when actual insurance proceeds exceed the estimated amount deducted); 4. When 

actual insurance proceeds are less than the estimated amount deducted; 5. Errors or 


Page | 89 

omissions; 6. Hidden damage; 7. Non-compliance with applicable laws, regulations, and 

executive orders; or 8. Fraud, waste, or abuse. In these cases, FEMA only adjusts the cost 

for the specific item(s) adjusted. FEMA will adjust the project size classification based on 

adjusted cost estimates for the project. FEMA must provide the required congressional 

notification under section 507 of the DHS Appropriations Act for any projects that equals 

to or exceeds $1 million. 

h. Simplified Closeout 

FEMA reconciles all small projects based on accepted certified summaries provided by 

recipients. To close small projects, the recipient must submit a small project completion 

certification and certify that: 

The subrecipient completed the approved SOWs for all of its small projects in accordance 

with the FEMA-state/territory/tribe agreement; and 

It made all payments in accordance with the FEMA-state/territory/tribal agreement 

(44 C.F.R. § 206.205(a). The applicant must provide documentation to substantiate 

final actual insurance proceeds and any other sources of funding that may duplicate 

FEMA PA funding. Applicants must provide documentation to show that they have 

obtained insurance and complied with all EHP conditions. Non-compliance with any 

applicable federal and SLTT laws, regulations, and EOs may result in adjustment, denial, or 

deobligation of funding. 


I. LARGE PROJECT QUARTERLY REPORTS 

The Large Project Quarterly Progress Report (QPR) is a tool for FEMA and the recipient to track the 

progress of large projects. FEMA requires the recipient to report on the status of all open large projects on a 

quarterly basis. Recipients must submit QPRs to FEMA no later than 30 days after the end of each quarter. 

The subrecipient must submit the following for each incomplete large project on a quarterly basis: 

A. Total expenditures to date. 

B. Status of the project (either construction phase or percent complete). 

C. Whether the work is complete. 

D. Projected or actual work completion date. 

E. Any circumstances that could delay the project. 

In addition to verifying and submitting the subrecipient’s information above, the recipient must submit the 

following for each open large project on a quarterly basis: 

1. Total amount disbursed to the subrecipient. 

2. Whether final payment was made. 

3. Whether time extensions were approved; and 

4. Latest approved work completion deadline.

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II. DEADLINES FOR SUBMITTING QUARTERLY REPORTS 

Quarter Dates Deadline 

1 Oct. 1 – Dec. 31 Jan. 30 

2 Jan. 1 – March 31 April 30 

3 April 1 – June 30 July 30 

4 July 1 – Sept. 30 Oct. 30 

Final Reconciliation and Closeout 

A project transitions to the final reconciliation and closeout within 90 days of work completion. This phase is 

the final phase of the PA program delivery and includes closing projects, subrecipients, and recipients. 

To initiate project-level closeout, the subrecipient informs the recipient that its project is compete and 

certifies to work completion with the date work was completed. 

A. Large Projects: FEMA approves closeout of large projects individually, as each is completed. Prior to 

closing large projects, FEMA: 

1. Verifies there are no outstanding appeals or arbitration cases that warrant leaving the project 

open. 

2. Reviews invoices and other documentation related to the work performed to validate it was 

consistent with the approved SOW, including completion of any approved PA mitigation. 

3. Determines whether the subrecipient completed the work within the approved deadline (FEMA 

limits reimbursement to cost incurred within the deadline). 

4. Ensures no duplication of funding exists (e.g., with insurance or costs in any other related 

projects). 

5. Validates compliance with two C.F.R. cost principles. 

6. Validates compliance with all terms and conditions of the award. 

7. FEMA reviews and verifies the accuracy of the actual costs and evaluates and reconciles any 

cost overruns or underruns. For projects with funding changes, FEMA prepares a project 

amendment and obligates additional funds or reduces funding based on actual costs to 

complete the eligible SOW. 

Once FEMA completes its review and funding adjustments, FEMA approves closeout of 

the project and notifies the recipient in writing. 

B. Small Projects: To close small projects, the recipient submits a small project completion certification 

and certifies that: 

1. The subrecipient completed the approved SOW for all of its small projects in accordance with 

the FEMA-state/territory/tribe agreement. 

2. It made all payments in accordance with the FEMA-state/territory/tribe agreement. 

Once FEMA receives a small project completion certification from the recipient and completes the necessary 

review, FEMA approves closeout of the respective small projects and notifies the recipient in writing. 


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Reconcile and Close PA PA Prime Award 

Once FEMA has closed all projects and subrecipients, the recipient must submit its final federal financial 

report with a written request to close the PA prime award. FEMA PA and grants management staff 

coordinate with the recipient to certify that all work was completed and all eligible costs have been 

reimbursed and financially reconciled. For incidents declared after Nov. 12, 2020, the recipient must liquidate 

all obligations within 120 days of the end of the prime award period of performance. 


A. Audit and Investigations 

In accordance with 44 CFR, Part 206.16, FEMA or state auditors, the GAR, the administrator, the 

regional administrator, the assistant administrator for the disaster assistance directorate, the DHS 

inspector general, and the comptroller of the United States, or their duly authorized representatives, 

may inspect any books, documents, papers, and records of any person relating to any activity 

undertaken or funded under the Stafford Act. 

B. Audit Costs 

In accordance with the provisions of 44 CFR, Part 14.2, Appendix A (16) Audit Costs, the costs of 

audits made in accordance with the provisions of OMB Circular A-133 are allowable charges to federal 

assistance programs in accordance with the provisions of OMB Circular A-87. 

C. Summary 

All approved project worksheets (PWs) are subject to random state or federal audits for a period up 

to three years beyond the official close-out of the applicant by the grantee (state). 

Large projects which are equal to exceed the CPI amount for that year should anticipate an audit 

during the three-year period of time. Small projects may be audited on a random basis. The dollar 

amount identifying a large Project amount changes annually with the Consumer Price Index (CPI). 

All projects should be reviewed by representatives from either the state office or FEMA and some 

projects may be selected for review by the office of the inspector general (OIG). It is important to 

initiate accurate record-keeping procedures as soon as the work is initiated on any project. 

1. Public Assistance Appeal Procedure 

Should a disagreement occur concerning any aspect of disaster assistance, an appeal process 

is available for higher review and possible reconsideration of the situation. Some areas of 

possible conflict are: 

a. Funding eligibility 

b. Work eligibility 

c. Allowable time limits 

d. Cost overruns 

e. Technical or complex projects 

2. First Appeal - The applicant must make a first appeal in writing and submit it electronically 

through the recipient to the regional administrator. The recipient must include a written 

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 

the regional administrator. A first appeal must: 

a. Contain all documented justification supporting the applicant or recipient’s position. 

b. Specify the amount in dispute, as applicable. 

c. Specify the provisions in federal law, regulation, or policy with which the applicant or 

recipient believes the FEMA determination was inconsistent. 

The applicant may make a first appeal through the recipient within 60 calendar days from the date of the 

FEMA determination that is the subject of the appeal, and the recipient must electronically forward to the 

regional administrator the applicant’s first appeal with a recommendation within 120 calendar days from 

the date of the FEMA determination that is the subject of the appeal. If the applicant or the recipient does 

not meet their respective 60–calendar-day and 120–calendar-day deadlines, FEMA will deny the appeal. 

A recipient may make a recipient-related first appeal within 60 calendar days from the date of the FEMA 

determination that is the subject of the appeal and must electronically submit their first appeal to the 

regional administrator. 

Within 90 calendar days following receipt of a first appeal, if there is a need for additional information, the 

regional administrator will provide electronic notice to the recipient and applicant. If there is no need for 

additional information, then FEMA will not provide notification. The regional administrator will generally 

allow the recipient 30 calendar days to provide any additional information. 

The regional administrator will provide electronic notice of the disposition of the appeal to the applicant and 

recipient within 90 calendar days of receipt of the appeal or within 90 calendar days following the receipt of 

additional information or following expiration of the period for providing the information. 

Technical Advice - In appeals involving highly technical issues, the regional administrator may, at his or her 

discretion, submit the appeal to an independent scientific or technical person or group having expertise in 

the subject matter of the appeal for advice or recommendation. The period for this technical review may 

be in addition to other allotted time periods. Within 90 calendar days of receipt of the report, the regional 

administrator will provide electronic notice of the disposition of the appeal to the recipient and applicant. 


During post-disaster recovery operations, mitigation can be an important issue in reducing or preventing 

future losses. This is an opportune time to stress this phase of the emergency management cycle because 

the recent danger and damages of recent disasters are still fresh on people’s minds. Once again, major 

damage has occurred, and the rebuilding and repair phase is taking place. This is an ideal situation for 

mitigation activities such as elevation, removal, replacement, and flood-proofing or the strengthening of 

in-place structures. In flood situations, upgrading and enforcing existing building codes and ordinances 

to restrict building activity in floodways and floodplains can be implemented as effective and inexpensive 

measures. 

To be most effective, mitigation must be planned. This means you should plan for a disaster before the 

disaster happens and to prepare for situations which might happen in your particular jurisdiction. By 

planning ahead you place yourself in an excellent position to make maximum use of hazard mitigation 

opportunities that may become available because of damage suffered during the disaster. For example, 

if your jurisdiction qualifies for disaster assistance under the public assistance program, you can submit a 

mitigation project for consideration and possible funding under the auspices of the Hazard Mitigation Grant 

Program (HMGP). 


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Hazard mitigation is a function that requires the coordination of a variety of multi disciplined on-going 

activities. The local emergency management director is responsible for the overall emergency management 

program. The local director should designate a hazard mitigation coordinator (HMC), who serves as the 

single manager/coordinator for this important function. The HMC is encouraged to organize a hazard 

mitigation team (MHT). 

Once the local program is established, it is essential to communicate the needs of the community to the 

state hazard mitigation officer (SHMO). The SHMO will work closely with the local officials and FEMA in 

order to foster an effective hazard mitigation program. 

The HMT normally consists of representatives of the local government but may also include knowledgeable 

representation from industry and the private sector. The HMT provides a pool of local experience with a 

wide variety of skills that may be needed to achieve effective mitigation objectives. Team members should 

be selected by the HMC, who also serves as team leader and functional manager. The HMT organization 

provides the flexibility to involve all team members in the problem-solving process or to involve only those 

team members that possess specific skills needed to work on a hazard specific problem. 

You may refer to the Local Mitigation Planning Policy Guide, OB Collection #1660-0062, which can provide 

guidance necessary to develop your local hazard mitigation team and local plan. By determining personnel 

and material resources in advance, coordination during post-disaster recovery can function more smoothly. 

Also, by deciding team members and responsibilities prior to a disaster event, strategies for different 

elements of your mitigation planning can be determined before a disaster even happens. For instance, if 

your community floods every year, why not put the mitigation team to work figuring out ways to reduce 

or eliminate the problem? Who can help? How do you pay for these measures? Is there any federal/state / 

local/industry money available? Properly used, the local hazard mitigation team can be of great benefit to 

the entire community during the decision-making process, both pre-disaster and especially post disaster 

periods. 

New mitigation opportunities such as pre-disaster mitigation (PDM) and flood mitigation assistance (FMA) 

will enhance existing mitigation measures and open new ideas that will strengthen the mitigation program 

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 

the community and how people really care about saving lives, and in the long-term, reduction of property 

damage. 

Each state must have a FEMA approved state hazard mitigation plan (SHMP), and each local community 

should have an approved local hazard mitigation plan. Since 2000, there have been a number of changes 

incorporated into the hazard mitigation programs and the opportunity for local applicants to capture 

available mitigation funds will depend on your ability to apply the measures and recommendations in the 

state and local plans into proposed mitigation activities. In addition, each disaster event produces new 

mitigation opportunities and for this reason proper planning, coupled with commitment and coordination, is 

the key element to effective hazard mitigation management. 

The amount of HMGP funding available to the applicant is based on the estimated total federal assistance, 

subject to the sliding scale formula that FEMA provides for disaster recovery for each disaster declaration.30 

The formula provides for: 

A. Up to 15% of the first $2 billion of estimated aggregate amounts of disaster assistance. 

B. Up to 10% for amounts between $2 billion and $10 billion. 

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 

assistance is up to 20% for estimated aggregate amounts of disaster assistance, not to exceed $35.333 

billion. 

The amount of HMGP funding available under the disaster declaration is apportioned among the applicants 

if there is more than one applicant. For example, if a state and a federally recognized tribe are applicants 

under the same disaster declaration, then the available HMGP funding is apportioned among the state and 

the federally recognized tribe. The apportionment is based on the disaster assistance provided within tribal 

land. 

Cities would be considered subapplicants within the HMA programs. The subapplicant is a state-level 

agency, local government, federally recognized tribe, or other eligible entity that submits a subapplication 

for FEMA assistance to the applicant. If HMA is awarded, the subapplicant becomes the subrecipient and 

is responsible for managing the subaward and complying with program requirements and other applicable 

federal, state, local, tribal, or territorial laws and regulations. In most cases, subapplicants are required 

to have a FEMA-approved local or tribal mitigation plan that has been adopted by the jurisdiction in 

accordance with 44 CFR Part 201 and applicable mitigation planning policies (local or tribal) to be eligible 

for HMA. Engagement in mitigation planning enhances the identification of community-driven solutions, 

refines discussions of alternative issues, and reduces ambiguity in applications. Extensive participation 

of stakeholders during the creation of a mitigation plan generally results in more robust and fully refined 

selection of mitigation activities. 

Supplication Development Process 

1. Select a mitigation activity 

The first step in the HMA process involves selecting potential activities based on the current 

community needs. Selecting a mitigation activity is the link between the jurisdiction’s 

mitigation plan and scoping, by allowing the applicant and subapplicant to select the most 

appropriate mitigation activity that best addresses the vulnerabilities associated with identified 

hazard risk(s) while considering current priorities, climate change, and resilience. Activities 

could include capability- and capacity-building activities such as mitigation planning and 

project scoping or mitigation projects. Proposed hazard mitigation activities funded by HMA 

are expected to be consistent with the jurisdiction’s mitigation plan, which is reviewed and 

updated every five years and sets long-term priorities. If selected activities are not consistent 

or in conformance with the mitigation plan, jurisdictions can review and update the plan and 

its priorities according to mitigation planning policy. The priorities outlined in the hazard 

mitigation plan are prioritized actions to mitigate natural threats in the jurisdiction. Selecting a 

mitigation activity involves identifying what activities can be accomplished in a specific year or 

award cycle. Contacting the applicant’s hazard mitigation officer or designated representative 

can be helpful in choosing which activities best fit the applicant’s priorities for that year or 

award cycle. 

2. Conduct scoping 

Scoping can significantly impact the course an application or subapplication takes through 

the HMA process. Scoping is the process by which subapplicants evaluate and select a 

preferred mitigation alternative and develop a detailed outline of all aspects of the activity, 

including goals, all related activities, resources, timelines and deliverables, as well as the 

activity’s boundaries. The scoping process may include, depending on the activity type, an 


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evaluation of technical feasibility, cost review, cost-effectiveness, as well as EHP or cultural 

resource considerations of the mitigation alternatives. Other considerations may include 

climate change impacts and racial equity. The scoping process results in the development 

of a preferred activity alternative that is then documented through the preparation of the 

application or subapplication. Eligible applicants and subapplicants that actively participate 

in and document the scoping process put themselves in a greater position for success during 

subapplication development. The information gathered in the scoping process serves as the 

basis for the development of a more detailed and robust scope of work, budget, and EHP 

compliance components of the mitigation activity. During the scoping process, the applicant 

and subapplicant may encounter considerations such as technical feasibility, cost-effectiveness, 

and EHP requirements that necessitate the refinement or adjustment of the mitigation activity. 

In these situations, the reason for the refinement or re-scoping should be fully documented 

and included with the subapplication. 

3. Determine funding strategy and consider eligibility requirements as well as other consideration 

Applicants and subapplicants may use HMA for project scoping/advance assistance activities. 

Eligible activities include the development of mitigation strategies, cost-share strategies, and 

data gathering (including for EHP compliance considerations) to prioritize, select, and develop 

complete and timely HMA applications. Project scoping/advance assistance activities can help 

applicants and subapplicants develop eligible and complete applications that include a feasible 

project budget and appropriate project milestones. Under HMGP and HMGP Post Fire, project 

scoping/advance assistance allows an advance of up to 25% of the HMGP ceiling or HMGP Post 

Fire available assistance amount, or $10 million (whichever is less), to applicants/subapplicants 

to accelerate the implementation of HMGP or HMGP Post Fire.51 While eligible activities for 

project scoping/advance assistance are limited to those described here, post-disaster activities 

and projects that need to begin early in the recovery process can be submitted to FEMA under 

HMGP and HMGP Post Fire as part of the 30-day or six-month assistance increment request. 

4. Develop the subapplication 

The next step in the HMA process is developing or assembling the subapplication. The 

principal components of a subapplication are the scope of work, budget, and schedule. 

These pieces may be developed based on previous similar activities by the subapplicant 

through construction estimates, property appraisals, and other technical evaluations. Once 

the subapplicant prepares the subapplication, it is submitted to the applicant. Once the 

subapplications are collected, the applicant reviews and prioritizes submissions based on 

specific criteria that align with its mitigation strategy with regard to available funding and 

activity type. Finally, the application is submitted to FEMA for determination of eligibility based 

on costeffectiveness, technical feasibility, EHP review, and the approved mitigation plan as 

applicable to activity type. FEMA may send the applicant a request for information. A request 

for information is often used to help clarify and strengthen the subapplication.

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Contracts 

You must ensure your contracts comply with applicable state and local legal regulations and are reviewed by 

your designated contract official. Your contracts must also reflect the provisions listed in this section under 

contract provisions. If your standard contracts meet the requirements of these provisions, the clauses need 

not be repeated. 

I. Contract Types 

You must decide which type of contract is appropriate given the circumstances of each purchase. You may 

use your standard contract types for contracts under your FEMA grant. Contract types include: 

A. Fixed price contracts - Fixed price contracts are used when there will likely be effective competition 

based on a complete product description and clear plans and specifications. There should not be any 

significant technical or engineering unknowns. The contractor must furnish the goods or services for 

the fixed price, and so assumes significant risk. Profit is not stated or negotiated separately. 

B. Cost reimbursable contracts - You should use a cost reimbursement contract when it is not feasible 

to award a fixed price contract. The contractor’s cost and profit must be negotiated separately. Often, 

the contractor must satisfactorily complete only the amount of work equivalent to the estimated cost 

to qualify for the negotiated profit; the contractor may not complete the entire project. Thereby, the 

contractor assumes less risk than under a fixed price contract. Alternatively, you may negotiate a 

cost reimbursable contract which includes a ceiling which may not be exceeded but which requires 

completion of the work. In this situation, the risk to the contractor is increased. 

C. Cost plus type contracts prohibited - Percentage of construction cost and cost plus a percentage 

cost contract provide an incentive for the contractor to increase costs in order to increase profit. 

These contract types must not be used. 

II. Construction Contract Bonds 

You must ensure FEMA’s interest in construction or facility improvement contracts under grants is 

adequately protected. You must at least meet the following minimum standards: 

A. For construction or facility improvements contracts which are $250,000 or less, unless your grant 

indicates otherwise, you may follow your own requirements relating to bid guarantees, performance 

bonds, and payment bonds. The grant will include a term and condition advising you of any 

additional FEMA requirements if required by statute. 

B. For construction or facility improvements contracts which exceed $250,000, unless FEMA authorizes 

different limits or requirements, you must require: 

1. Bidders provide a bid guarantee equivalent to 5% of the bid price. The bid guarantee may 

be a firm commitment such as a bid bond, certified check, or other negotiable instrument 

accompanying a bid to ensure the bidder will accept award of a contract if you accept the 

bidder’s bid. 

2. Successful bidders to provide a performance bond for 100% of the contract price to ensure 

fulfillment of the contractors’ obligations under the contract. 

3. Successful bidders to provide a payment bond for 100% of the contract price. A payment bond 

ensures payment as required by statute to all persons supplying labor and material under the 

contract. 


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III. Grant Recipient Purchasing Methods 

You must determine the purchasing method (examples below) and contract type that best fits your needs 

and circumstances. 

IV. Small Purchase Method 

Small purchase is a relatively simple and informal method for purchasing supplies, equipment, and services 

that do not cost more than $250,000. (Your organization may have lower small purchase limits in its 

procedures. If so, follow those limits.) 

Generally, you should review catalogs or contact three or four organizations which can provide goods or 

services meeting your needs and obtain price quotes. You should select the lowest priced item or service 

which meets your requirements. You must, of course, ensure: 

A. The employee selecting the offer does not have a conflict of interest with any of the organizations 

contacted. 

B. You make it possible for and encourage disadvantaged businesses to provide offers to the extent 

possible. 

C. The offer is not from a debarred or suspended person. 

D. You clearly document why you selected other than the lowest priced supply, equipment, or service, if 

this is done. 

E. You keep files of the purchase, including the list of organizations contacted and the prices of each. 

F. You do not need to obtain bid or performance bonds for small purchases. 

V. Sealed Bid or Formally Advertised Purchasing Method 

For purchases with an estimated price of more than $250,000, the sealed bid purchasing method is generally 

preferable to other methods if the successful bid can be determined based mostly on price. Under this 

method, you must advertise for firm-fixed-price proposals or bids from organizations and firms able to do 

the work. You then award the contract (lump sum or unit price) to the responsible bidder whose bid conforms 

to the terms and conditions of the solicitation and is the lowest in price. 

Sealed bidding is feasible if: 

1. You have a complete, adequate, and realistic specification or purchase description. 

2. It is likely there are two or more responsible bidders willing and able to compete for the 

contract. 

3. The purchase will result in a firm fixed price contract and the selection of the successful bidder 

can be made principally on the basis of price. 

If you use the sealed bidding method, you must: 

1. Advertise to the public an invitation for bids allowing potential bidders sufficient time 

to prepare bids before the public bid opening. Advertisements should be published in 

newspapers of general circulation, the Commerce Business Daily, trade journals, and your 

purchasing websites. They may also be sent to contractors who are likely to be interested in 

providing the goods or services. 

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: 

a. A clear, accurate description of the technical requirements for the supplies, equipment, 

or service to be purchased. 

b. Requirements which the bidder must meet and all other factors you will use to evaluate 

bids or proposals. 

c. A description, whenever practicable, of technical requirements in terms of functions to 

be performed or performance required, including the range of acceptable characteristics 

or minimum acceptable standards. 

d. The specific features of “brand name or equal” descriptions that bidders are required to 

meet when such items are included in the solicitation. 

e. The acceptance, to the extent practicable and economically feasible, of supplies, 

equipment, or service dimensioned in the metric system of measurement. 

f. Preference, to the extent practicable and economically feasible, for products and 

services that conserve natural resources and protect the environment and are energy 

efficient. 

g. Take steps to involve disadvantaged businesses (see section on disadvantaged business 

utilization), including sending known firms the advertisement requesting bids. 

3. Before bid opening, ensure none of the bidders are debarred, suspended, or otherwise 

excluded. If any are, reject those bids before opening them. 

a. Publicly open bids at the time and place announced in the advertisement. 

b. Award a fixed price contract to the lowest responsive and responsible bidder. 

c. Include in the signed contract the appropriate contract provisions. (See contract 

provisions in this section). 

d. If the contract is for construction work, require the contractor to provide appropriate 

bid, performance, and payment bonds when the contract is signed. 

If you award the contract award to the lowest responsible bidder for a fixed price and 

there is more than one bidder, no further price or cost review is required. 

VI. Competitive Proposal Purchasing Method 

When it is not appropriate to use the sealed bidding method (i.e., the award cannot be made based 

primarily on price) for purchases exceeding $250,000, the next most preferred method is generally called 

the competitive proposal method. Under this method, you will use factors such as capability of the bidder, 

relationship of the proposed work to your needs, the qualifications of the bidder’s staff, the availability of 

necessary resources, the likelihood of the bidder’s success, and the price. The contract will normally be a 

fixed price or a cost reimbursement type contract. 

If you choose to select a contractor using the competitive proposal method, you must: 

A. Publicly advertise for proposals identifying the nature of supplies, equipment, or services needed, 

the evaluation factors and their relative importance, a preference, to the extent practicable and 

economically feasible, for products and services that conserve natural resources and protect the 

environment and are energy efficient. 

B. Take steps to involve disadvantaged businesses, including sending known firms the advertisement 

requesting offers. 


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C. Develop a system for conducting technical evaluations of the proposals to select the successful 

bidder. 

D. Using the evaluation system and the criteria in the advertisement, select the responsible firm whose 

proposal is most advantageous, with price and other factors considered. 

E. Include the appropriate contract provisions in the signed contract. 

F. If the contract is for construction work, require the contractor to provide appropriate bid, 

performance, and payment bonds when the contract is signed. 

G. If the contract award is not for a firm-fixed price, conduct a cost review to ensure the price is 

reasonable. Your contractor must furnish estimated cost information, stating profit separately, to 

allow you to complete the review. 

To obtain architectural/engineering (A/E) professional services, you may use a qualificationsbased 

form of the competitive proposal method. The difference between this method and the 

normal competitive proposal method is that, after you open bids, you may evaluate competitors’ 

qualifications and select the most qualified competitor, subject to negotiation of fair and reasonable 

compensation. Price is not a selection factor. You then negotiate a price with the most qualified firm. 

If you cannot reach agreement on price with that firm, reject the bid and open negotiations with the 

next most qualified firm. In other respects, this method is similar to the competitive proposal method, 

and you must conduct a cost review before agreeing on price. 

VII. Non-Competitive Negotiation or Sole Source Purchasing Method 

The noncompetitive negotiation purchasing method is appropriate when none of the other methods are 

appropriate based on the circumstances. This method should be used sparingly in unusual circumstances. 

Appropriate circumstances include if: 

A. You determine the item or service is available only from one source. The fact that you have a longstanding 

relationship with a contractor does not mean the item or service is available from only one 

source. 

B. You determine public exigency or emergency will not permit a delay resulting from competition. 

C. You request and obtain FEMA approval to use the noncompetitive proposal method for some other 

reason. 

D. In response to an advertisement for bids or proposals, only one bidder responds. 

You must conduct a cost review of noncompetitive proposals. In evaluating whether a sole source purchase 

is justified, your cost review should consider the contractor’s charges for similar work. 

You should contact the FEMA project officer before using the non-competitive proposal purchasing method. 

FEMA will include a term and condition in grants where purchases may exceed $100,000 requiring you to 

contact the project officer before making sole source purchases. The project officer will likely instruct you 

to submit the proposed contract and related information, including cost information provided by the bidder 

and your justification for the non-competitive purchasing method utilized to obtain the bid. 

VIII. Contract Provisions 

You must ensure your contracts are sound and complete under applicable state and local law. Your contracts 

must also reflect the provisions required by federal law and FEMA regulations which are listed below. To the 

extent these requirements are met by provisions in your standard contracts, they need not be repeated.

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A. Remedies – Contracts in excess of $250,000 must include administrative, contractual, and legal 

remedies for use in cases in which contractors violate or breach contract terms. The contract must 

also make clear the remedial actions which you may take. 

B. Termination – Contracts in excess of $10,000 must explain the conditions under which you may 

terminate them for your convenience, in event of a contractor’s failure, or in event of event beyond 

the control of the contractor; the process for bringing about the termination; and the basis for 

settlement. 

C. Equal Employment Opportunity – Construction contracts in excess of $10,000 must require 

compliance with Executive Order 11246, “Equal Employment Opportunity,” as amended by Executive 

Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and as 

supplemented by regulations at 41 CFR Part 60, “Office of Federal Contract Compliance Programs, 

Equal Employment Opportunity, Department of Labor.” 

D. Copeland ``Anti-Kickback’’ Act (18 U.S.C. 874 and 40 U.S.C. 276c) – Construction contracts which 

exceed $100,000 must require compliance with the Copeland “Anti-Kickback” Act (18 U.S.C. 874), as 

supplemented by Department of Labor regulations (29 CFR part 3, “Contractors and Subcontractors 

on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United 

States”). The act prohibits contractors from inducing, by any means, any person employed in the 

construction, completion, or repair of public work, to give up any part of the compensation to which 

he is otherwise entitled. 

E. Contract Work Hours and Safety Standards Act 

1. Construction contracts which exceed $100,000 or other contracts that involve the employment 

of mechanics or laborers which exceed $2,500 must require compliance with sections 

102 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), as 

supplemented by Department of Labor regulations (29 CFR part 5). Under section 102 of the 

act, each contractor must compute the wages of every mechanic and laborer on the basis of a 

standard 40-hour work week. If a mechanic or laborer works more than 40 hours in a week, the 

contractor must pay the worker at a rate of not less than one and ½ times the basic rate of pay 

for all hours worked in excess of 40 hours in the work week. 

2. Construction contracts which exceed $100,000 must provide that no laborer or mechanic 

may be required to work in surroundings or under working conditions which are unsanitary, 

hazardous, or dangerous. (This requirement does not apply to the purchase of supplies, 

materials, or articles ordinarily available on the open market, or contracts for transportation or 

transmission of intelligence.) 

F. Rights to Inventions – Experimental, developmental, or research work contracts must provide for 

both your and FEMA’s rights in any resulting invention (see 37 CFR part 401, “Rights to Inventions 

Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and 

Cooperative Agreements”). 

G. Access to Records – Negotiated contracts which exceed $100,000 must allow you, FEMA, the 

Comptroller General of the United States, or any of their duly authorized representatives, access to 

any books, documents, papers, and records of the contractor directly pertinent to your contract for 

the purpose of making audits, examinations, excerpts, and transcriptions. 

H. Debarment and Suspension – Contracts which exceed $100,000 must prohibit contractors from 

awarding subcontracts to persons (individuals or organizations) listed on the Excluded Parties Listing 

System (EPLS) which is found at: http://www.epls.gov/. 


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I. Energy and Environmental Conservation – Contracts must require contractors to give preference, 

to the extent practicable and economically feasible, to products and services that conserve natural 

resources and protect the environment and are energy efficient (30.44(a)(3)(vi)). 

J. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352) – Contractors who apply or bid for a contract of 

more than $100,000 must file a certification that it will not and has not used federally appropriated 

funds to pay any person or organization for influencing or attempting to influence an officer or 

employee of any agency, a member of Congress, officer or employee of Congress, or an employee of 

a member of Congress in connection with obtaining your grant. The contract must also require that 

any subcontractor who applies or bids for a subcontract in excess of $100,000 must provide a similar 

certification to the next higher tier contractor or subcontractor. Contractors and subcontractors 

must also disclose any lobbying with non-federal funds in connection with obtaining the grant. Each 

contractor or subcontractor must forward any disclosures from tier to tier up to the recipient. 

K. Procurement of Recovered Materials 

The requirements of Section 6002 include procuring only items designated in guidelines of the 

EPA at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable, 

consistent with maintaining a satisfactory level of competition, where the purchase price of the 

item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded 

$10,000; procuring solid waste management services in a manner that maximizes energy and 

resource recovery; and establishing an affirmative procurement program for procurement of 

recovered materials identified in the EPA guidelines. 

L. Suspended or Disbarred 

These regulations restrict awards, subawards, and contracts with certain parties that are debarred, 

suspended, or otherwise excluded from or ineligible for participation in federal assistance programs 

and activities. See 2 C.F.R. Part 200, Appendix II(H); and 2 C.F.R. § 200.213. A contract award 

must not be made to parties listed in the SAM Exclusions. SAM Exclusions is the list maintained by 

the General Services Administration that contains the names of parties debarred, suspended, or 

otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory 

authority other than Executive Order 12549. SAM exclusions can be accessed at www.sam.gov. 

IX. FACT SHEET: Procurement with federal grant funds 

FEMA’s purchasing guidance and requirements are designed to ensure that what you buy you get at a 

reasonable price in a fair and openly competitive way. Many organizations that receive FEMA grants have 

their own purchasing requirements and systems. If you have your own system which meets the minimum 

standards of the FEMA regulations as explained in this guidance, you may use that system. If your system 

does not meet FEMA’s minimum requirements you may amend the system to meet FEMA requirements, but, 

in any event, you must conduct your purchase in accordance with the minimum FEMA requirements. FEMA 

grantee/subgrantee procurement requirements are at 44 CFR Part 13.36. 

A. Responsibility: You are responsible for the settlement and satisfaction of all contractual and 

administrative issues arising out of contracts under your grant. FEMA such issues as disputes, claims, 

protests of award, source evaluation or other matters of a contractual nature. 

B. Code of conduct: You must have written standards of conduct which apply to employees involved 

in the award and administration of contracts for supplies, equipment, and services. The code must 

ensure that: 

1. Your employee, officer, or agent does not participate in the selection, award, or administration

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of a contract under a FEMA grant if the employee, any of the employee’s family members, 

partners, or an organization which employs or is about to employ any of these persons, has 

a financial or other interest in the organization selected for the contract. This would be an 

inappropriate conflict of interest. 

2. Your employee does not solicit or accept gratuities, favors, or anything of monetary value from 

your contractors. You may, however, set standards for situations in which the financial interest 

is not substantial, or the gift is an unsolicited item of nominal value. 

3. If any of your employees violate the code, the code must make them subject to disciplinary 

action. 

C. Competition: You must, to the maximum extent practicable, ensure open and free competition in your 

purchasing. 

D. Cost and Price Review: Your purchasing system must ensure the cost or price of your supplies, 

equipment, and services is reasonable. You do this by conducting a cost or price analysis for each 

procurement action which you must document in your files. 

1. Price analysis includes the comparison of price quotations submitted, market prices, bid prices 

for firm fixed price contracts, or similar information. 

2. Cost analysis is the review and evaluation of each element of cost to determine reasonableness. 

a. Disadvantaged Business Opportunity: You must make positive efforts to use 

disadvantaged businesses, including small businesses, minority-owned firms, women’s 

business enterprises, and HUBZone certified businesses. 

b. Debarment and Suspension: You must ensure you do not award a contract to any 

person, organization, or individual debarred or suspended or otherwise excluded from 

or ineligible for participation in federal assistance programs. You must also ensure your 

contractor does not award a subcontract to any person debarred or suspended or 

otherwise excluded from or ineligible for participation in federal assistance programs. 

You can find the list of debarred, suspended, and excluded persons at: https://sam.gov/ 

content/exclusions. 

c. Records: You must maintain records that detail the history of each purchase. For 

purchases which exceed $100,000, these records must include the rationale for the 

method of procurement, the reason you selected the contract type, your justification 

for lack of competition when competitive bids or offers are not obtained, the reasons 

for contractor selection or rejection, and the basis for the contract price, including 

documentation of required price and cost analyses. 



Page | 103

Page | 104 

DISASTER 

FORMS 

Rip & Run Forms for Use 

Before & During an Emergency

DISASTER FORMS 


Form 1 – Continuity of Government/Continuity of Operations Plan 

Form 2 - Sample Executive Order Declaring State of Emergency 

Form 3 – Sample Executive Order Declaring Curfew 

Form 4 – Disaster-Related Materials Summary 

Form 5 – Disaster-Related Rented Equipment 

Form 6 – Disaster-Related Force Account Equipment Tracking 


taken directly to each Form. 

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Form 7 – Disaster-Related Force Account Labor Tracking (Use for volunteers too) 

Form 8 – Applicants’ Benefits Calculation Worksheet 

Form 9 – Disaster-Related Contract Work Summary Record 

Form 10 – Sample Volunteer Agreement/Waiver 

Form 11 – Inventory Form FEMA 

Form 12 – Disaster-Related Project Worksheet 

Form 13 – Preliminary Damage Assessment Summary 

Form 14 - Debris Management Plan Template 

Form 15 - Debris Contract Bid Specifications 

Form 16 – Debris Monitor Report Form 

Form 17 – Right of Entry on Private Property for Debris Removal 

Form 18 – RFP for Professional Services Related to FEMA Reimbursement, 

Documentation, and Audit 

Form 19 – RFP for Debris Removal 

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Continuity of Government/Continuity of Operations Plan (Page 1 of 22) 


Introduction 

COOP Checklist 

Business Continuity Plan Flow Chart 

Worksheets for COOP Planning 

Worksheet A: Determine Essential Functions 

Worksheet B: Rank Essential Functions 

Worksheet C: Essential Functions Staff 

Worksheet D: COOP Roster 

Worksheet E: Orders of Succession and Delegation of Authorities 

Worksheet F: Contact Information for Key Decision-Makers and Successors 

Worksheet G: Alternate Work Site Requirements 

Worksheet H: Alternate Work Site Options 

Worksheet I: Alternate Work Sites by Disaster Scenarios 

Worksheet J: Inoperability of Communications Systems 

Worksheet K: Inventory of Vital Records 

Worksheet L: Restoration Resources* 

Worksheet M: Emergency Services Available 

Worksheet N: Drive-Away Kits 

Worksheet O: Devolution Plan 

COOP Templates 



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Introduction 

Disaster preparation begins with a plan. It is important to take stock of city resources and identify critical needs 

to prioritize essential city functions during a disaster. An effective way to accomplish this goal is adoption of a 

Continuity of Government/Continuity of Operations Plan (COG/COOP). KRS 39B.060 requires that the local 

emergency management plan include an emergency operations plan that includes adequate provisions to assess, 

mitigate, prepare for, respond to, and recover from disasters and emergencies. A COG/COOP meets a portion of 

each of these requirements. 

As part of the National Continuity Policy Implementation Plan, FEMA developed tools that provide a roadmap to 

develop a COG/COOP. Not all cities look alike, and neither should your COG/COOP. With that in mind, KLC 

adapted this COG/COOP tool from the one created by our friends at the Louisiana Municipal Association with a 

focus on the needs of Kentucky cities. 

Cities can use this tool to create a COG/COOP and business recovery plan to cover all normal and emergency 

municipal operations. Those that have an existing plan should make sure it is up to date and will work well in an 

event that disables primary facilities, causes loss of electrical power, and/or makes it difficult for normal essential 

governmental functions to continue. 

Elements of a Viable Continuity Capability 

1. Essential Functions 

2. Orders of Succession 

3. Delegations of Authority 

4. Continuity Facilities 

5. Continuity Communication 

6. Vital Records Management 

7. Devolution of Control and Direction 

8. Reconstitution of Normal Operations 

The plan could be activated in response to a wide range of events or situations – from a fire in your building to a 

natural disaster, to the threat or occurrence of a mass shooting. Any event that makes it impossible for employees to 

work in their regular facility, use normal communications, or have access to critical record systems could result in 

the activation of the continuity plan. Now is the time to make sure you are ready. 

In addition to general planning, it is important to focus on information technology, software security, and computer 

operations as identified below: 

Disaster Recovery/Business Continuity 

1. Identification of critical data and frequency of data backups. 

2. Storage of backups in a separate physical location isolated from the network. 

3. Periodic testing/verification that backups can be restored. 

4. Use of antivirus software on all systems. 

5. Timely application of all available system and software patches/updates. 

6. Identification of personnel, processes, and tools needed to recover operations after a critical 

event. 

Continuity of Government/Continuity of Operations Plan (Page 2 of 21)



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Contact Information: 

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, 

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, 

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 

following 

contacts: 

information for all contacts: 

□ Name (first, last) 

□ Department/Division/Industry/Group 

□ Job title/Volunteer status/position/affiliation 

□ Work or home address 

□ Work, home, cellphone, pager, and and fax fax numbers numbers 

□ Email address (if (if possible, also also a personal a email email address) address) 

□ 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, 

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 

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 

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 

at 

or 

the 

during 

time 

the 

of 

recovery 

an emergency 

process. 

or during the recovery process. 

Mission-essential functions: 

□ Detailed task list list of of essential functions to support to support city operations city operations 

□ Number of employees to to complete task task (no (no names, names, but do but list do job list titles) job titles) 

□ Time frame during which each each function must must be completed be (water (water treatment treatment schedules, schedules, wastewater wastewater 

maintenance, gas pipeline maintenance, LEO LEO and and fire schedules, fire schedules, trash collection, trash collection, time sheets time must sheets must 

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 

pay authorized authorized third Friday third Friday of every of month, every month, etc.) etc.) 

Facility Information: 

□ Building location (city buildings and and critical critical infrastructure for safety for safety purposes) purposes) 

□ Facilities contact (internal and and external) 

□ Business equipment needs (computers, water water chemicals chemicals for treatment, for treatment, spare water spare pumps, water pumps, gas pipeline gas 

pipeline equipment equipment for repairs, for etc.) repairs, etc.) 

□ Vehicles/heavy equipment (patrol cars, cars, bucket bucket trucks, trucks, backhoes, backhoes, vehicles vehicles with winches, with winches, ambulances, fire 

ambulances, trucks, etc.) fire trucks, etc.) 

Resource Information:

□ Vehicles/heavy equipment (patrol cars, bucket trucks, backhoes, vehicles with winches, 

ambulances, fire trucks, etc.) 

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Resource □ Vital Information: records and systems 

□ Required equipment and resources (generators, gasoline, medical equipment, O2, respirators, etc.) 

□ Relocation kit items 

□ Communications equipment (plan for support if communications are disabled) 

□ Available shelters (unhoused persons with and without pets, persons with medical needs) 

Business Continuity Plan Flow Chart 

Business Impact Analysis 

Recovery Strategies 

Plan Development 

Testing & Exercises 

• Develop 

questionnaire 

• Conduct workshop to 

instruct business 

function and process 

managers how to 

complete the BIA 

• Receive 

BIA\questionnaire 

forms 

• Review BIA 

questionnaires 

• Conduct follow-up 

interviews to validate 

information and fill 

any information gaps 

• Identify and 

document resource 

requirements based 

on BIAs 

• Conduct gap 

analysis to 

determine gaps 

between recovery 

requirements and 

current capabilities 

• Explore recovery 

strategy options 

• Select recovery 

strategies with 

management 

approval 

• Implement strategies 

• Develop plan 

framework 

• Organize recovery 

teams 

• Develop relocation 

plans 

• Write business 

continuity and IT 

disaster recovery 

procedures 

• Document manual 

workarounds 

• Assemble plan; 

validate; gain 

management 

approval 

• Develop testing, 

exercise, and 

maintenance 

requirements 

• Conduct training for 

business continuity 

team 

• Conduct orientation 

exercises 

• Conduct testing and 

document test 

results 

• Update BCP to 

incorporate lessons 

learned from testing 

and exercises 

Business Continuity Planning Process Diagram 

When business is disrupted, it can cost money. When city business is disrupted, it can cost lives. Insurance 

does not cover all costs and cannot replace lives lost. A business continuity plan can mitigate the harm to a 

city through the rapid deployment of aid to citizens impacted by a disaster. Development of a business 

continuity plan includes four steps: 

(1) Conduct a business impact analysis to identify time-sensitive or critical business functions and 

processes and the resources that support them. 

(2) Identify, document, and implement to recover critical business functions and processes. 

(3) Organize a business continuity team and compile a business continuity plan to manage business 

disruption. 

(4) Conduct training for the business continuity team and testing and exercises to evaluate recovery 

strategies and the plan. 

Information technology (IT) includes many components such as networks, servers, desktop and laptop 

computers, and wireless devices. The ability to run both office productivity and enterprise software is 

critical. Therefore, recovery strategies for information technology should be developed so technology can 


Page | 110 

be restored as quickly as possible to meet the needs of the business. Manual workarounds should be part of 

the IT plan so business can continue while computer systems are being restored. 

Resources for Business Continuity Planning 

(1) Standard on Disaster/Emergency Management and Business Continuity Programs – National Fire 

Protection Association (NFPA) 1600 

(2) Professional Practices for Business Continuity Professionals – DRI International (non-profit 

business continuity education and certification body) 

(3) Continuity Guidance Circular, Continuity Guidance for Non-Federal Entities 

(4) Open for Business® Toolkit – Institute for Business & Home Safety 

Business Continuity Impact Analysis 

Business continuity impact analysis identifies the effects resulting from disruption of business functions 

and processes. It also uses information to make decisions about recovery priorities and strategies. 

The Operational & Financial Impacts worksheet can be used to capture this information as discussed in the 

Business Impact Analysis. The worksheet should be completed by department directors, managers, and 

supervisors with sufficient knowledge of day-to-day business operations. Once all worksheets are 

completed, the worksheets can be tabulated to summarize: 

(1) The human, operational, and financial impacts resulting from the loss of individual business 

functions and processes. 

(2) The point in time when loss of a function or process would result in identified business impacts. 

Those functions or processes with the highest potential human, operational, and financial impacts become 

priorities for restoration. The point in time when a function or process must be recovered before 

unacceptable consequences could occur is often referred to as the “Recovery Time Objective.” 

Resource Required to Support Recovery Strategies 

Recovery of a critical or time-sensitive process requires resources. The Business Continuity Resource 

Requirements worksheet should be completed by department directors, managers, and supervisors. 

Completed worksheets are used to determine the resource requirements for recovery strategies. 

Following an incident that disrupts business operations, resources will be needed to carry out recovery 

strategies and to restore normal business operations. Resources can come from within the business or be 

provided by third parties. Resources include: 

(1) Employee 

(2) Office space, furniture, and equipment 

(3) Technology (computers, peripherals, communication equipment, software, and data) 

(4) Vital records (electronic and hard copy) 

(5) Production facilities, machinery, and equipment 

(6) Inventory includes raw materials, finished goods, and goods in production 

(7) Utilities (power, natural gas, water, sewer, telephone, internet, wireless) 

(8) Third-party services 

Since all resources cannot be replaced immediately following a loss, managers should estimate the 

resources that will be needed in the hours, days, and weeks following an incident. 


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Worksheets for COOP Planning 

The following worksheets are provided to help gather information critical to preparing the COOP Plan. 

Worksheet A: Determine Essential Functions 

Instructions: Fill in the name of the department/division/office, list all of its functions, and indicate 

whether each function is essential to continue or could be deferred during an emergency. To determine 

whether a function is essential, consider whether it is vital to the facility’s mission and/or necessary to the 

performance of other departments or agency functions, e.g., providing police and fire services, 

maintaining water quality, re-establishing electric grid, maintaining/accessing databases to process 

payroll, claims, or contracts. If a function is considered essential, list the reason(s) why in the last column. 

Department/Division/Office: _____________________________________________ 

Functions Performed Essential? If Essential, Why? 

(Include as many additional rows as necessary) 


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Worksheet B: Rank Essential Functions 

Instructions: Fill in the department/division/office name and list essential functions from Worksheet A 

in column one. In column two, specify a time period within which the function should be back online 

during an emergency, e.g., 0-24 hours, 24-48 hours, one week, two weeks, one month. The time period 

should be consistent with the organization/facility rules and policy, if available. 

For functions not specified in rules or policies, the time period should be based on a combination of (a) 

how critical the function is to the mission during an emergency, (b) how long the facility can operate 

without performance of the function, and (c) how important the function is to the performance of other 

essential functions. See the third column in Worksheet A for reasons why specific functions are 

considered critical. For column three, rank the priority of each essential function based on the specified 

time period, e.g., 0-24 hours = priority one; 24- 48 hours = priority two, and so forth. 


Essential Function Recovery Time Priority 



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Worksheet C: Essential Functions Staff 

Instructions: Fill in the department/division/office name. Using Worksheet B, list the department’s 

essential functions in order of priority, i.e., all priority one functions followed by all priority two 

functions, and so forth. In the last column, list the position titles of all staff needed to perform the 

essential function. Use an asterisk to designate which positions would be included in the facility’s 

advance team, the group that prepares the alternate facility for other essential staff. 


Priority Essential Function Essential Staff 



Worksheet D: COOP Roster 

Instructions: In the first column, list the essential staff positions and their functions from Worksheet C. In the remaining columns, record the 

contact information for staff and their backups who will fill each position. 

Essential Staff: 

Position Title, Department, and 

COOP Function 

Name: 

Primary COOP Staff Backup COOP Staff 1 

Name: 

Office phone: 

Office phone: 

Home phone: 

Home phone: 

Cell phone: 

Cell phone: 

Office email: 

Office email: 

Home mail: 

Home mail: 

Name: 

Name: 

Office phone: 

Office phone: 

Home phone: 

Home phone: 

Cell phone: 

Cell phone: 

Office email: 

Office email: 

Home mail: 

Home mail: 

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Worksheet E: Orders of Succession and Delegation of Authorities 

Instructions: In the first column, list key decision-makers (by position) responsible for the facility's essential functions. In the second column, list 

the designated successors for each decision-maker. It is important to list several backup successors. In the third column, specify whether the key 

decision- maker's authorities to perform all functions are transferred to the successor or whether there are some limitations, e.g., authority to spend 

up to $X without authorization. In the fourth column, identify the circumstances under which the successor's authority is activated and terminated. 

In the last column, note where the authority, including when it is activated and terminated, is recorded. 

Key Position Successor Delegated 

Authority(ies) 

Activation/Termination of 

Delegated Authority(ies) 

Documentation of 

Authority(ies) 

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Worksheet F: Contact Information for Key Decision-Makers and Successors 

Instructions: In the first column, list each key position and successor named on Worksheet E. In the second column, identify the current 

occupant of the position and their contact information in the event of an emergency. 

Key Position/Successor Contact Information 

Name: 

Office phone: 

Home phone: 

Cell phone: 

Office email: 

Home mail: 

Name: 

Office phone: 

Home phone: 

Cell phone: 

Office email: 

Home mail: 


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Worksheet G: Alternate Work Site Requirements 

Instructions: In the first column, list all the essential functions recorded on Worksheet C. In the second column, record the number of essential 

staff for each function (also on Worksheet C). In the third column, note whether each function can be done manually or requires a power 

source(s); in the fourth column, list what types of furniture and office equipment, e.g., desks, chairs, computers, tape recorders, copy and fax 

machines, are needed. In the fifth column, identify communications needs such as land lines, cell phones, satellite dish, two-way radios, network 

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 

whether telecommuting is an option for accomplishing the function. 

Essential Function # of Staff Power Furniture/Equipment Communications Floor Space Telecommute? 


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Worksheet H: Alternate Work Site Options 

Instructions: In the first column, list each potential alternate site identified by the planning team. When visiting the facility, record (a) the number 

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 

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 

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, 

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 

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 

alternate site. 

Facility Name, 

Address, and 

Contact 

Staff 

Capacity 

(#) 

Power 

Supply 

Offices/Furniture/ 

Equipment 

Communications Floor 

Space 

(sq. ft.) 

Easily 

Accessible? 

Vulnerabilities? Agreements 


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Worksheet I: Alternate Work Sites by Disaster Scenarios 

Instructions: Record contact information for each alternate facility. If more than one alternate facility is used for a specific scenario, provide 

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 

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 

associated with the facility in column four; and provide any additional information about the facility in the last column. 

Disaster Scenario Alternate Facility(ies) Name, Address, Phone #, 

and Contact 

Agreement 

Date of 

Agreement 

Annual Cost Notes 

Scenario I: Building 

Unavailable 7 Days 

Secondary Backup 

Scenario III: Building 

Unavailable 

Extended Time 

Long-Term 

Operations 

2. Name: 

Address: 

Phone: 

Contact: 

1. Name: 

Address: 

Phone: 

Contact: 

2. Name: 

Address: 

Phone: 

Contact: 

1. Name: 

Address: 

Phone: 

Contact: 

2. Name: 

Address: 

Phone: 

Contact: 

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Worksheet J: Inoperability of Communications Systems 

Instructions: In the first column, list the communications systems/devices that support essential 

functions. Also include communications systems available at the alternate facility if different from those 

already listed. In the second column, list the provider of the service, e.g., AT&T, Appalachian Wireless, 

Verizon, or the maker of the system/device. In the third column, list the location of the system/device. 

Keep in mind that some emergency equipment, e.g., satellite telephones, may be stored in an alternate 

facility or at a staff member's residence. List each unit and its location. The fourth column identifies who 

has access to the system/device and could use it during an emergency. The final column lists all parties 

with whom the user could exchange information using the system/device. In some cases, "parties" refers 

to the ability of computers to exchange data. The first row provides an example. 

Communication 

System/Device 

Who Provides 

Service/Makes 

System/Device? 

Where ls 

System/Device 

Located? 

Voice Lines Name of company Throughout 

facility 

Fax Lines 

Who Has Access? With Which Parties Can It 

Communicate? 

All users • Across facility 

• Alternate facility staff 

• All external partners 

• General public 

Data Lines 

Cellular Phones 

Pagers 

Email 

Internet Access 



Worksheet K: Inventory of vital Records 

Instructions: In the first column, list the essential functions by priority as identified in Worksheet B. In the second column, list any vital record 

necessary for performing the essential function, and briefly describe each record in the third column. In the fourth column, list each form of the 

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 

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 

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 

facilities; the team should identify additional measures to protect the files and ensure accessibility to essential functions staff in the last column of 

the worksheet. 

Essential Function Vital File, Record, 

or Database 

Description Form(s) and 

Location(s) of 

Record 

Supporting Application 

and/or MIS 

Maintenance 

Frequency 

Additional Backups/Protections? 

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Worksheet L: Restoration Resources* 

Instructions: List all record recovery and restoration resources in the first column, contact information in the second and third columns, and the 

types of services provided in the last column. If available, include evening, holiday, and emergency/alternate contact information as well as contact 

information for regular business hours. 

Resource Contact Name Address/Phone Services 


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Worksheet M: Emergency Services Available 

Instructions: List service providers in the first column, the types of services offered by each provider in the second column, the provider’s contact 

information in the third column. List any additional information in the fourth column, e.g., covered by employee’s insurance, criteria that must be 

met for obtaining services relevant to accessing services. 

Provider/Agency Services Provided Contact Information Notes 


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Worksheet N: Drive-Away Kits 

Instructions: Each essential functions staff (and backups) identifies items to include in their personal 

drive-away kit. (Kits include only items that are not pre-positioned and maintained at the alternate site.) 

The first column provides examples of the types of items that could be included, the second column 

identifies the specific items necessary to the staff person's essential functions and duties, and the third 

column records the last time the contents were reviewed and/or updated. 

Drive-Away Kit for: 

________________________________________________ 

Types of Content 

Specific Item and Brief Description 

Paper files 

Electronic files and 

databases 

Reference materials 

Specific tools and 

equipment 

Supplies 

Personal items 

Other 

(Include additional rows as needed) 


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Worksheet O: Devolution Plan 

Instructions: Prepare a basic devolution plan by completing the form. 

1. Provide contact information for alternate facility(ies) available to perform essential functions. 

(Add as many rows as necessary.) These would be those secured by MOU prior to a disaster. 

Department 

Contact Information 

2. Prepare a written agreement with alternate facility(ies) and keep it with vital records. 

3. List the officials and their successors (by position, not name) allowed to transfer authority to 

perform essential functions. Add as many rows as necessary. 

Authorities and successors allowed to implement devolution plan: 

4. Provide a plan for transferring vital records and other materials necessary for performing essential 

functions to alternate facility(ies), e.g., will vital records and materials be stored and updated on 

the same schedule as those stored with an alternate facility(ies)? 

5. List procedures for notifying the alternate facility devolution. 

6. List procedures for returning authority once the facility is reconstituted. 

Continuity of Government/Continuity of Operations Plan (Page 20 of 21

Page | 126 

COOP Templates 

APPROVALS 

This Continuity of Operations Plan(COOP) was prepared by [insert name of affected 

agency] to develop, implement, and maintain a viable COOP capability. This COOP 

plan complies with applicable internal agency policy, local and state regulations, and 

supports recommendations provided in the Federal Emergency Management Agency's 

Federal Preparedness Circular 65. This COOP plan has been distributed internally 

within the [insert name of affected agency] organization and with external agencies that 

may be affected by its implementation. 

Approved: ______________________________ Date: ________________________ 

[Title] 

Approved: ______________________________ Date: ________________________ 

[Title] 

Approved: ______________________________ Date: ________________________ 

[Title] 

Approved: ______________________________ Date: ________________________ 

[Title] 


Sample Executive Order Declaring State of Emergency 

EXECUTIVE ORDER NO. _______________________ 

CITY OF _______________________ 

EXECUTIVE ORDER AND 

STATE OF EMERGENCY DECLARATION 

WHEREAS, Governor ______ declared a State of Emergency in the Commonwealth of Kentucky effective 

___________ after Kentucky was impacted by ____________ (take out if no state declaration); 

WHEREAS, (describe the disaster with specificity); and 

WHEREAS, the City of _____________ sustained catastrophic damage resulting in the loss of life, 

infrastructure, and services (describe loss); and 

WHEREAS, the emergency response of the City of ________________ must be deployed rapidly to protect 

the health, safety, and welfare of citizens; and 

WHEREAS, Mayor ____________, has determined damage from severe weather and tornado damage 

sustained by the City of ___________________ on _____________________, presents a severe and complex 

threat to the public health, safety, and welfare of citizens that extraordinary emergency measures are 

warranted pursuant KRS 39B.070; and 

WHEREAS, it is necessary for Mayor __________________________ to coordinate an emergency effort with 

national, state, county, and other local agencies for maximum effective response. 

NOW and therefore, I, ____________________________ , Mayor of the City of _____________________, 

Kentucky, by virtue of the authority vested in my by KRS Chapter 39A and 39B of the Kentucky Revised 

Statutes, do hereby declare that a state of emergency exists in the City of _______________________, 

effective _____________________________ and states as follows: 

I shall be exercising the authority granted to me through Executive Orders, and through utilization of city 

personnel, services, equipment, and any necessary acts to manage this emergency. 

Subject to any orders of Governor _____________________, I hereby order and direct any and all 

departments of the City of ________________ to coordinate and cooperate with the Kentucky Department 

of Emergency Management, local emergency management agencies, and any federal agencies to respond 

to the threat presented by __________________________ (describe disaster) damage sustained on 

__________________, and to provide information to individuals, businesses, organizations, and other entities 

to best prepare and respond. 

This Declaration of State of Emergency shall remain in effect until terminated by the issuance of another 

Executive Order when I determine that a state of emergency no longer exists and the exercise of 

extraordinary measures are no longer required for the protection of the public health, safety, and welfare. 

Signed on this the______________day of ______________, 

Mayor__________________________ City of __________________________ 

Page | 127

EXECUTIVE ORDER NO. __________________ 

CITY OF __________________ 

EXECUTIVE ORDER AND STATE OF EMERGENCY 

WHEREAS, Governor _______________ declared a State of Emergency in the Commonwealth of Kentucky 

effective ____________________ after Kentucky was impacted by ___________________ (take out if no 

state declaration); 

WHEREAS, (describe the disaster with specificity); and 

WHEREAS, the City of ________________ sustained catastrophic damage resulting in the loss of life, 

infrastructure, and services (describe loss); and 

WHEREAS, Mayor ______________ declared a State of Emergency effective __________________; and 

WHEREAS, local government has a paramount responsibility and authority to protect the health, safety, and 

welfare of the public; 

NOW THEREFORE, I, Mayor _____________, by the authority expressly vested in me by KRS 39A.100(2)(c), 

do hereby direct the following curfew exists in ___________, Kentucky until further notice: 

CURFEW 

Sample Executive Order Declaring Curfew 

Definitions: For the purpose of this Order, the following words or phrases shall have the following meaning: 

“Emergency” A set of unforeseen circumstances, or their resulting state, that includes, but is not limited to, 

fire, natural disaster, automobile accident, widespread contagion, or any situation that requires immediate 

action to prevent serious bodily infection, bodily injury, loss of life, or immediate loss of property. 

“Public Place” Any Place within the City of ___________ to which the general public or a substantial 

part of the general public has access. It includes, but is not limited to, streets, sidewalks, school grounds, 

shopping centers, shopping malls, museums, restaurants, parking lots, parks, bowling alleys, and recreation 

centers. 

Juvenile Curfew: In the event of an Emergency, as defined herein, and except as provided in paragraph 

(C) of this section, no person other than emergency management, public safety, and other personnel 

expressly authorized by the Mayor shall be in a public place within the geographic boundaries of the City of 

________________, Kentucky from 7:00 a.m. to 5:30 p.m. 

Police Action Upon Violation: Upon determination that there is a probable cause that a person is in violation 

of this curfew, the City of __________ Police Department, or any other law enforcement agency with proper 

jurisdiction may obtain information necessary to issue a citation to the person that informs them that there is 

probable cause to believe that the violation of this order has been committed and to proceed to their home 

or temporary shelter. 

Penalty: Persons in violation of this order may be detained by officers of the City of _____________ Police 

Department, or any other law enforcement agency with proper jurisdiction and returned to their home or 

temporary shelter. Violations of this order shall not carry other penalties 

This order is effective __________________, ____. 

_______________________________________ 

Mayor, ________________, Kentucky

Disaster-Related Materials Tracking Summary Page | 129

Disaster-Related Rented Equipment Page | 130

Disaster-Related Force Account Equipment Tracking Page | 131

Disaster-Related Force Account Labor Tracking (Use for volunteers too) Page | 132

Page | 133 

Applicants Benefits Calculation Worksheet

Page | 134 

Disaster-Related Contract Work Summary Record (Page 1 of 2)

Page | 135 

Disaster Related Contract Work Summary Record (Page 2 of 2)

Sample Volunteer Agreement/Waiver 

The undersigned agrees that I am qualified to perform the work I am volunteering for, disaster recovery relief, 

and request to perform volunteer (unpaid at no cost to the city) work for the City of _______________, 

pursuant to Executive Order _____________ declaring a state of emergency in the City of ______________. 

I understand that I am not an employee or agent of the city, but I agree to follow the direction of city officials 

and employees regarding volunteer activity. I understand this agreement is subject to any mutual aid 

agreements in place as of the date this agreement is signed. I understand that as a volunteer, I may be permitted 

to operate certain approved City of _______________ vehicles and equipment and I agree to follow 

the City of _____________ vehicle policies and the directive of city employees. I understand as a volunteer I 

am not a covered employee of the City of _______________________. 

In consideration of the City of ________________ permitting the undersigned to volunteer, the undersigned 

does, for himself/herself, his/her heirs, assignees, executors, and administrators, remise, release and forever 

discharge the City of _______________, a municipal corporation, its officers, agents, and/or employees and 

volunteers of and from all manner of action and actions, suits, and sums of money, dues, claims, or demands, 

whatsoever, which arise out of or in any manner grow out of, property damage sustained by the undersigned 

or injuries or death sustained by the undersigned, including injuries known or unknown, by reason of being 

permitted to participate in the aforesaid activity in the City of _________________. 

It is further warranted by the undersigned that no promise or inducement has been offered, except as herein 

set forth, and that the undersigned is of legal age, legally competent to execute this release, and agrees to 

all the terms of this release and indemnity agreement, making all warranties herein set forth and accepting 

full responsibility therefor, and this release is a full and final release of all claims known and unknown, anticipated, 

and unanticipated. 

___________________________ 

Volunteer Signature 

__________________ 

Date 

Name: ____________________________________________________________________________ 

Address: ___________________________________________________________________________ 

Phone: ____________________________________________________________________________ 

Business/Organization: _______________________________________ Phone: __________________ 

Page | 136

SAMPLE DISASTER INVENTORY SPREADSHEET 

SAMPLE LISTS SPREADSHEET? 

Inventory Form FEMA Page | 137

Page | 138 

Disaster-Related Project Worksheet

Page | 139 

Preliminary Damage Assessment Summary (Page 1 of 2)

Page | 140 

Preliminary Damage Assessment Summary (Page 2 of 2)

Debris Management Plan Template (Page 1 of 23) 

DEBRIS MANAGEMENT PLAN 

City of ___________________________ 

INSERT CITY NAME HERE 

Effective Date: ______________________ 

INSERT MONTH DAY, YEAR 

Page | 141

Page | 142 


Click on a page number to be taken 

Table of Contents directly to each section. 

I. PURPOSE………………………………………………………………………………………………………………………………………………………………….3 Page 143 

II. SITUATION AND ASSUMPTIONS ................................................................................................................................. Page 143 3 

A. Joint Plan................................................................................................................................................. 3 

B. Debris ................................................................................................................................................................... 3 

C. Private Contractors and Waste Management. ...................................................................................................... 3 

D. Duplication of Benefits ........................................................................................................................................ 3 

III. ORGANIZATION ............................................................................................................................................................. Page 144 4 

A. DPW..................................................................................................................................................................... 4 

B. Staff Roles and Responsibilities. .......................................................................................................................... 4 

C. Volunteers and Donated Resources ...................................................................................................................... 5 

IV. CONCEPT OF OPERATIONS ...................................................................................................................................... Page 145 5 

A. Normal Operations ............................................................................................................................................... 5 

B. Increased Readiness ............................................................................................................................................. 6 

C. Response Operations ............................................................................................................................................ 6 

D. Recovery Operations ............................................................................................................................................ 8 

V. DEBRIS CLASSIFICATION AND SEGREGATION .................................................................................................. Page 149 9 

A. Debris Classification and Segregation................................................................................................................ 10 

B. Estimating Debris Quantities ............................................................................................................................. 10 

C. Debris Classifications......................................................................................................................................... 10 

VI. DEBRIS DISPOSAL AND REDUCTION ..................................................................................................................... Page 153 13 

A. Burning .............................................................................................................................................................. 13 

B. Recycling ........................................................................................................................................................... 13 

C. Grinding and Chipping ....................................................................................................................................... 13 

D. Permanent Landfill ............................................................................................................................................. 13 

VII. CONTRACTED SERVICES AND COOPERATIVE AGREEMENTS ................................................................... Page 153 13 

A. Private Contracting ............................................................................................................................................. 13 

B. Pre-Approved Contractors.................................................................................................................................. 14 

C. Debris Contract and Cooperative Agreements Management. ............................................................................ 14 

D. Sample Contracts ............................................................................................................................................... 14 

E. Steps of the Contract Bid Process ...................................................................................................................... 15 

F. Contract Pitfalls.................................................................................................................................................. 15 

G. Mutual Aid Agreements ..................................................................................................................................... 16 

VIII. DEBRIS MANAGEMENT SITE ................................................................................................................................ Page 156 16 

A. Debris Management Sites (DMS):..................................................................................................................... 16 

B. Overview ............................................................................................................................................................ 17 

C. Local Sites .......................................................................................................................................................... 17 

D. Permits ............................................................................................................................................................... 17 

E. Opening .............................................................................................................................................................. 18 

F. Monitoring ......................................................................................................................................................... 18 

G. Close-out ............................................................................................................................................................ 18 

IX. MONITORING DEBRIS REMOVAL...................................................................................................................... Page 158 18 

A. Monitoring Agency ............................................................................................................................................ 18 

B. Debris Monitoring Operations Overview ........................................................................................................... 18 

C. The Debris Monitor’s Roles and Responsibilities in the Field ........................................................................... 19 

D. Debris Monitor Tools, Products and Positions................................................................................................... 19 

E. Specific Monitoring Operations ......................................................................................................................... 20 

X. DEBRIS PLAN ANNEXES ........................................................................................................................................... Page 162 22 

XI. PLAN IMPLEMENTATION .......................................................................................................................................... Page 163 23 

Debris Management Plan Template (Page 2 of 23)

I. PURPOSE 

The purpose of the Debris Management Plan is to establish a framework to facilitate the proper 

management of debris generated by natural disasters within INSERT CITY NAME. The goal is to 

facilitate a reasonable, efficient, and prompt recovery from such disasters, which protecting human 

health and safety, and the quality of valuable natural resources and the environment. The Debris 

Management Plan adheres to the mission of the Kentucky Department of Environmental Protection to 

protect and enhance Kentucky’s environment. 

II. SITUATION AND ASSUMPTIONS 

YOUR JURISDICTION MUST DECIDE WHETHER IT WILL HAVE A JOINT DEBRIS 

MANAGEMENT PLAN OR IF IT WILL JUST BE FOR A SINGLE ENTITY. IF IT IS 

NOT A JOINT PLAN, DELETE PARAGRAPH “A,” AND THE PARAGRAPHS SHOULD 

AUTOMATICALLY ADJUST. ALSO, DELETE THIS PARAGRAPH WHEN YOU HAVE 

COMPLETED YOUR PLAN. 

A. Joint Plan. This is a joint plan that applies to the jurisdictions of INSERT COUNTY NAME HERE 

County Fiscal Court, the City of INSERT CITY NAME HERE and the City of INSERT CITY NAME 

HERE. The term “Applicant” will be used to refer to these entities separately and/or any combination 

thereof. When the term Applicant is used it could apply to any and/or all jurisdictions. 

B. Debris. Natural and man-made disasters create a variety of debris that includes, but not limited to such 

things as trees, sand, gravel, building/construction materials, vehicles, personal property, etc. The type 

and quantity of debris generated from any particular disaster is a function of the location and kind of 

event experienced, as well as its magnitude, duration, and intensity. The type and quantity of debris 

generated, its location, and size of the area over which it is dispersed, directly impacts the type of 

collection and disposal methods used to address the debris problem, associated costs incurred, and the 

speed with which the problem can be addressed. Safe, proper and timely management of debris is an 

essential component of an emergency response or disaster incident. It is important that disaster debris 

be properly managed so as to protect human health, comply with regulations, conserve disposal capacity, 

reduce injuries, and minimize/prevent environmental and/or historical preservation impacts. 

C. Private Contractors and Waste Management. In a major or catastrophic disaster, INSERT CITY 

NAME HERE may have difficulty locating staff, equipment, and funds to devote to debris removal, 

both short term and long term. Private contractors may play a significant role in the debris removal, 

collection, reduction, and disposal process. The debris management program implemented by the 

Applicant will be based on the waste management approach of reduction, reuse, reclamation, resource 

recovery, incineration, and land filling. 

D. Duplication of Benefits. The Applicant may not receive funding from two sources for the same item 

of work. This is called Duplication of Benefits. If assistance can be obtained for a project from another 

Federal Agency, such as Natural Resources Conservation Service (NRCS), then the Federal Emergency 

Management Agency (FEMA) cannot provide funds for that project. Grants and cash donations received 

from non-Federal sources designated for the same purpose as public assistance funds are generally 

considered duplication of benefits. However these funds may be applied towards the non-Federal cost 

share. Grants and cash donations that are received for unspecified purposes and ineligible work do not 

constitute a duplication of benefits. Duplication of Benefits most commonly occurs with insurance 

settlements. If a damaged facility is insured, FEMA is required to reduce the amount of the grant by 

any insurance proceeds that the Applicant anticipates or receives for the insured facility, even if the 

Applicant has not completed negotiations with the insurer. 

Page | 143 


Page 3 of 23

The retention of duplicated funds is illegal and must be returned to FEMA. The Debris Management 

Team will closely track all debris management operations and all other eligible work. The team will 

take all precautions to ensure there is no duplication of benefits received for any debris removal activity. 

III. ORGANIZATION 

A. DPW. The INSERT CITY NAME HERE Road Department, will be referred to as the Department of 

Public Works (DPW) in this plan and is responsible for the debris removal function in their respective 

jurisdictions. DPW will work in conjunction with designated support agencies, State Environmental 

Protection Agency (EPA), State Historical Preservation Office (SHPO), the Solid Waste Coordinator, 

utility companies, waste management firms, trucking companies and other transportation agencies to 

facilitate the debris clearance, collection, reduction and disposal needs following a disaster. DPW will 

be responsible for removing debris from the public right-of-way. DPW may remove debris from private 

property only when it is pre-approved by the Applicant and deemed in the public interest. See ANNEX 

A for a Right to Entry Agreement that affected residents and businesses should complete. 

B. Staff Roles and Responsibilities. The Applicant will ensure all state and local regulations, laws, and 

ordinances are addressed and followed for all environmental and historic preservation issues. The 

Applicant may select a “Debris Manager” to supervise a “Debris Management Team”. The team may 

be comprised of but not limited to personnel who perform the following: 

1. Administration: Housekeeping, supplies, equipment, funding, accounting, documentation, 

etc. 

2. Contracting and Procurement: Bidding requirements, forms, advertisements for bids, 

instructions to bidders, contract development, etc. 

3. Legal: Contract review, right of entry permits, community liability, condemnation of 

buildings, land acquisition for temporary staging and reduction sites, land acquisition for 

disposal sites, insurance, etc. Also ensure all state and local regulations, laws, and ordinances 

are addressed and followed including all environmental and historic preservation issues. 

4. Operations: Identification of project tasks, assignments of tasks, preparation of estimates, 

plans, specifications, and recommendation of contract award. Supervision of government and 

contract resources and overall project management, etc. 

5. Oversight and Support: Detailed damage assessment, documentation collection and 

consolidation, liaison with State and Federal agencies, volunteer support and management, 

support to all other functions 

6. Public Information: Coordinate press releases, contacts with local organizations, individuals, 

and media; and public notices for debris removal and disposal contracts. 

7. Other Assigned Tasks. The team may coordinate with State and Federal agencies responsible 

for disaster response and recovery operations. The team may be assigned but not limited to: 

1. Developing public information and education programs. 

2. Training personnel in debris management techniques. 

3. Maintaining pre-disaster maps, blueprints, photos and other documents. 

4. Making a list of critical facilities (streets, roads, and bridges). 

5. Identifying governmental and non-governmental groups that could assist. 

6. Providing emergency communications to debris monitoring and management teams. 

7. Ensuring health and safety issues are addressed throughout the operation. 


C. Volunteers and Donated Resources. Donated resources which include volunteer labor, donated 

Page | 144

equipment and donated materials, are eligible to offset the Applicant’s portion of the cost share for 

emergency work (Category A and B). Donated resources must apply to actual eligible emergency 

work, such as debris removal or the filling and placing of sandbags. The donated services must be 

documented and must include a record of hours worked, the work site, and description of work. (See 

ANNEX M) Volunteer labor will be valued at the same hourly labor rate as someone in the 

Applicant’s organization performing similar work. The value for donated equipment should be 

determined by using the applicable FEMA equipment rate and multiplying it by the number of hours 

the piece of equipment was used to perform eligible emergency work. Donated materials are valued 

at the current commercial rate. 

IV. CONCEPT OF OPERATIONS 

Overview: The Concept of Operations describes how debris management activities will be conducted 

in response to debris generating events as a Phased Approach. The Phased Approach is a four-step 

cycle that includes Normal Operations, Increased Readiness, Response, and Recovery. Normal 

Operations and Increased Readiness tasks may be performed before a debris-generating event occurs. 

The primary focus of Response Operations is on clearing debris from the roadway for emergency 

resources. The Recovery part of the Debris Management Cycle includes debris removal, recycling, and 

disposal. The Applicant will identify and resolve special considerations issues early as possible in the 

process and provide all necessary information relating to the debris operations to the appropriate agency 

including the EPA and SHPO. 

A. Normal Operations: (Encompasses key activities to enhance the plan; keep the plan and its supporting 

information up-to-date; and build and maintain staff readiness to implement the plan). The details of 

these activities are as follows: 

1. Develop local and regional list of contractors who can assist in all phases of debris management. 

2. Develop sample contracts with generic scopes of work to expedite the implementation of debris 

management strategies. 

3. Develop mutual aid agreements with other State agencies and local governments, as appropriate, 

following Applicant procurement guidelines. 

4. Identify and pre-designate potential debris storage sites for the type and quantity of debris 

anticipated following a catastrophic event. 

5. Pre-identify local and regional critical routes in cooperation with contiguous and regional 

jurisdictions. 

6. Develop site selection criteria checklists to assist in identifying potential debris storage sites. 

(See ANNEX L) 

7. Identify and coordinate with appropriate regulatory agencies regarding potential regulatory issues 

and emergency response needs. 

8. Develop the necessary right of entry and hold harmless agreements indemnifying all levels of 

government against any potential claims. (See ANNEX A) 

9. Establish debris assessment process to define scope of problem. 

10. Develop and coordinate pre-scripted announcements regarding debris removal process, collection 

times, temporary storage sites, use of private contractors, environmental and health issues, etc. 

Page | 145 


Page 5 of 23

B. Increased Readiness (Natural or man-made disaster is threatening local area) 

Page | 146 

1. Upon notice of any possible threat, the Applicant and all concerned parties shall meet as soon as 

possible to review the debris removal process. 

2. Review and update plans, standard operating procedures, generic contracts, and checklists relating 

to debris removal, storage, reduction, and disposal process. 

3. Alert local departments that have debris removal responsibilities ensuring that personnel, facilities, 

and equipment are ready and available for emergency use. 

4. Relocate personnel and resources to pre-determined locations out of harm's way if necessary and 

stage in areas where they can be effectively mobilized. 

5. Review potential local, regional, and debris staging and reduction sites that may be used in the 

response and recovery phases in the context of the impending threat. 

6. Review listing of private contractors who may assist in debris removal process. Make necessary 

arrangements to ensure their availability in the event of the disaster. 

C. Response Operations: Response Operations or Debris Clearance involves activities necessary to 

eliminate life and safety threats. Normally, the Applicant will use their own labor force and equipment 

to remove debris during this phase. When the existing labor force is not sufficient, or when specialized 

services are required, the Applicant may supplement their work efforts by activating mutual aid 

agreements or by awarding short-term debris removal contracts for specific work. 

Overview: During Response Operations, the first 24 to 72 hours after the disaster, debris activities 

should emphasize clearing key roads for emergency access by pushing debris to the edge of the rightof-way, 

rather than restoring roads to pre-event conditions. There is no attempt during this phase to 

physically remove or dispose of the debris, only to clear key access routes to expedite the movement of 

emergency vehicles, law enforcement, and/or resumption of critical services, assessment of damage to 

key public facilities, and locations such as schools, hospitals, government buildings, and utilities. 

Response activities should also include identifying and removing any obvious debris situations that 

may pose an immediate threat to public health and safety. (Examples may include dangerously 

positioned, damaged trees; debris piles that obstruct traffic visibility; fire prone debris piles; etc.) 

Response is a crucial time for organizing the majority of the tasks outlined in the plan. 

Actions required during the Response Phase are usually completed within a matter of hours or days 

following a disaster event. The transition period from initial clearance activities to debris removal 

depends on the magnitude of the disaster. 

1. Response Actions 

a. Activate the Debris Management Plan and coordinate with needs assessment team. 

b. Initiate Damage Assessment 

c. Begin documenting debris management and removal costs. 

d. Coordinate and track resources (public and private). (See ANNEX M.) 

e. Establish priorities regarding allocation and use of available resources. 

f. Identify, establish and prepare debris temporary storage and disposal sites (local, regional). 

g. Address any legal, environmental and/or health issue relating to debris removal process. 

h. Conduct briefings/meetings with key personnel. 

Debris Management Debris Plan Management Plan Template (Page Page 66 of of 23)

Page | 147 

i. Issue press releases and continually keep the media and the public informed. 

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 

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 

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 

and 

health affects and public safety, health or limits and the safety, use of or limits those facilities. the use of those Disaster-related facilities. Disaster-related debris may be debris removed may from be 

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 

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 

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 

requirements. 

and historical 

Cost 

preservation 

of debris removal 

requirements. 

by private 

Cost 

individuals 

of debris removal 

is not eligible 

by private 

under 

individuals 

the Public 

is 

Assistance 

not 

eligible under the Public Assistance Program; however, within a specific time period, a private 

Program; however, within a specific time period, a private property owner may move disaster-related 

property owner may move disaster-related debris to the curbside for pick-up by the Applicant. That 

debris to the curbside for pick-up by the Applicant. That time period will be established by FEMA in 

time period will be established by FEMA in coordination with the State. (The cost of picking up 

coordination 

reconstruction 

with the 

debris 

State. 

and 

(The 

normal 

cost 

garbage 

of picking 

pick-up 

up 

is 

reconstruction 

not eligible for 

debris 

FEMA 

and 

reimbursement). 

normal garbage pickup 

is not eligible for FEMA reimbursement). 

3. Debris Removal Priorities. The debris removal process should be initiated promptly and 

conducted in an orderly, effective manner in order to protect public health and safety following a 

major or catastrophic event. To achieve this objective, debris removal priorities are as follows: 

(1) Clear debris from key roads. (2) Provide access to critical facilities. (3) Eliminate debris threats 

to public health and safety. 

a. First Priority - Key Roads 

The first priority will be to clear debris from key roads in order to provide access for 

emergency vehicles and resources into the impacted area. Key roads in INSERT CITY 

NAME HERE are identified as follows: 

• Major Highways 

• County and City Roads and Streets 

• Rural Secondary Roads 

b. Second Priority – Critical Facilities 

The need and demand for critical services will significantly increase following a disaster. 

Therefore, the second priority that debris removal resources will be assigned is providing 

access to critical facilities. Critical facilities in INSERT CITY NAME HERE have been 

identified as: 

1. EOC/E911 Facility 

2. DPW Facilities 

3. Emergency Services Facilities 

4. Water and Sewer Distribution Facilities 

5. Electrical Distribution Facilities 

6. Shelters 

7. Schools 


Page | 148 

c. Third Priority - Debris Threats to Public Health and Safety 

The third priority for debris removal teams to address will be elimination of debris related 

threats to public health and safety. This will include such things as the repair, demolition, 

or barricading of heavily damaged and structurally unstable buildings, systems, or facilities 

that pose a danger to the public. Any actions taken to mitigate or eliminate the threat to the 

public health and safety must be closely coordinated with the owner or responsible party. 

If access to the area can be controlled, the necessary actions can be deferred. 

D. Recovery Operations: This phase of the Debris Management Cycle covers actions necessary to 

complete the debris removal, reduction, and disposal activities 

1. Recovery Actions. 

a. Identify and prioritize remaining debris removal sites 

b. Establish controls to prevent or minimize illegal dumping and theft of services 

c. Continue to collect, store, reduce, and dispose of debris generated from the event in a costeffective 

and environmentally responsible manner. 

d. Closely monitor debris removal and recovery operations. 

e. Continue to document all debris management and removal costs. 

f. Upon completion of the debris removal mission, close out debris storage and reduction sites 

by developing and implementing the necessary site restoration actions. 

g. Perform necessary audits of the operation and submit a claim for Federal assistance. 

2. Public Property/Right-of-Way Debris Removal: Debris on public lands including the right-of- way 

will be the responsibility of local government. 

3. Private Property Debris Removal: Debris on private property is the responsibility of the property 

owner. Information regarding pickup times and locations for private property owners shall be distributed 

so that debris removal activities proceed efficiently. If property owners move disaster- related debris to 

a public right-of-way, the Applicant may be reimbursed for debris pickup, haul and disposal from the 

right-of-way for a limited period of time. If the Applicant does not have the legal responsibility to 

maintain a right-of-way, then debris removal from that right-of-way is not eligible for reimbursement. 

a. If the Applicant intends to seek reimbursement to remove debris from private property, will 

submit a written request for reimbursement to and receive approval from, the Federal 

Coordinating Officer (FCO) prior to commencement of work. (See ANNEX A) The written 

request will include the following information: 

(1) 

Public Interest Determination 

(2) 

Documentation of Legal Responsibility 

(3) 

Authorization for Removal of Debris from Private Property 

(4) 

Indemnification of the Federal Government 


Page | 149 

b. FEMA is prohibited from approving funds for work that is covered by any other source of funding. 

Therefore, the Applicant must take reasonable steps to prevent such an occurrence, and verify 

that insurance coverage or any other source of funding does not exist for the debris removal 

work accomplished on each piece of private property. When debris removal from private 

property is covered by an insurance policy, the insurance proceeds must be used as the first 

source of funding. Public Assistance grant funding may be used to pay for the remainder of 

the costs of debris removal from private property. Debris removal work from private property 

will comply with all federal, state and local requirements and all applicable environmental and 

historical preservation requirements. 

4. Types of Debris Collection Methods. The fundamental component of debris management is 

collection of debris. The public expects to have debris removed immediately after a disaster event. 

The debris type, amount and urgency determines which collection method is used. The two main 

methods of debris collection are curbside collection and collection centers. The Debris Management 

Team may tailor the collection operation using curbside collection, collection centers or a 

combination of both depending on specific jurisdictions, quantities and types of debris. 

a. Curbside Collection: Debris is placed at the curb or public rights-of-way by the residents 

for the Applicant’s collection. The only difference between the subcategories below is the 

separation of the types of debris at the point of collection. 

(1) 

Mixed Debris Collection. Collecting mixed debris by the applicant allows the 

residents to place all debris types in one specified area, usually along the public 

right-of-way in from of their residence. 

(2) 

Source –Segregated Debris Collection. Residents are directed to sort the debris 

by material type and place it at the curb in separate piles. Trucks designated for a 

particular debris type collect the assigned debris and deliver it to a temporary 

staging area, or debris management site, reduction, recycling, or disposal facility. 

This method is important when collecting hazardous and environmentally 

sensitive debris, such as household hazardous waste and white goods. (See 

ANNEX F for guidelines to segregate debris.) 

b. Collection Centers: The second type of collection method is to have residents transport 

their debris to a common location. Large roll-off bins may be placed on public rights-of- way 

or public property for residents to bring their debris for collection. This is well suited for 

rural, sparsely populated areas or logistically difficult conditions where curbside collection 

is not practical. Separate bins can be designated for particular types of debris. The Debris 

Management Team should assign employees to oversee operations of the collection center. 

Employees need to be stationed at the centers during the collection period to ensure debris 

materials are placed in the correct bins and to ensure a collection center does not become a 

dumping ground for non-disaster related debris. 

V. DEBRIS CLASSIFICATION AND SEGREGATION 

Overview: FEMA defines disaster-generated debris as, "Any material, including trees, branches, 

personal property and building material on public or private property that is directly deposited by 

the disaster." FEMA often uses the terms "vegetative" for natural debris and "construction and 

demolition" for man-made debris. 


Page | 150 

A. Debris Classification and Segregation: The debris classification determines how removal will be 

handled. To facilitate the debris management process, the Applicant may segregate debris by type. It is 

recommended that the categories of debris established for recovery operations be standardized. If 

segregated, debris removed will consist of two broad categories: (1) Clean wood and vegetative debris 

(2) Construction and demolition (C&D) debris. (See ANNEX F for guidelines to segregate debris.) 

B. Estimating Debris Quantities: Calculations developed by the US Army Corps of Engineers listed in 

the FEMA 325, Public Assistance Debris Management Guide may be used for debris estimation. 

Applicant may seek assistance from State Agencies or FEMA with debris estimation. Aerial view of 

debris may be used as a method to calculate debris quantities. 

NOTE: To get a general idea of the debris quantity, some calculations say debris could consist of 30% 

clean woody material and 70% C&D. Of the 70% mixed C&D it is estimated 42% will be burnable but 

require sorting, 5% will be soil, 15% will be metals, and 38% landfill. 

C. Debris Classifications 

1. Burnable Materials: Burnable materials will be of two types with separate burn locations. 

Burnable materials should be coordinated with the State EPA and FEMA. The SHPO should 

also be contacted for an archeological and environmental review. 

a. a) Burnable Debris: Burnable debris consists predominately of trees and vegetation. It 

includes, but is not limited to damaged and disturbed trees; bushes and shrubs; broken, 

partially broken and severed tree limbs; and bushes. Burnable debris does not include 

garbage or construction and demolition material debris. 

b. b) Burnable Construction Debris: Burnable construction and demolition debris consists of 

non-creosote structural timber, wood products, and other materials designated by State 

EPA regulations. 

2. Non-burnable Debris: Non-burnable construction and demolition debris includes, but is not 

limited to creosote timber, plastic, glass, rubber and metal products, sheet rock, roofing shingles, 

carpet, tires, and other materials as may be designated by State EPA. Garbage will be considered 

non-burnable debris. 

3. Wet Debris: Debris in and around streams, culverts, bridges and other drainage structures. 

FEMA will not fund the removal of debris from waterways. All wet debris projects should be 

communicated to the Natural Resources and Conservation Services (NRCS). Wet debris will not 

be touched and no work will be performed until NRCS has inspected the debris field. 

4. Ineligible Debris: Ineligible debris to remain in place includes, but is not limited to, chemicals 

petroleum products, paint products, asbestos, and power transformers. 

5. Hazardous/Toxic Waste (HTW): Any material found to be classified as HTW shall be reported 

immediately to the DPW. At the Applicant and DPW Director’s direction, this material shall be 

segregated from the remaining debris in such a way as to allow the remaining debris to be loaded 

and transported. Standing broken utility poles, damaged and/or downed utility poles and 

accessories, transformers and other electrical material will be reported to DPW. 


6. Overhead/ Underground Utilities: Emergency workers shall exercise caution with existing 

overhead and underground utilities and above ground paraphernalia, and advise DPW of any 

situation that poses a health or safety risk to on-site workers or the general population. 

Page | 151 

7. Vegetative Debris - Vegetative debris may consist of whole trees, tree stumps, tree branches, tree 

trunks, and other leafy material. Depending on the size of the debris, collection of vegetative 

debris may require the use of flatbed trucks, dump trucks, and grapple loaders. 

Stumps: Stumps as outlined under current FEMA requirements will be considered tree 

remnants exceeding 24 inches in diameter; but no taller than 18 inches above grade, to 

include the stump ball. Any questionable stumps shall be referred to DPW for disposition 

determination. Stump grinding may be required for disposal. 

8. Construction and Demolition Debris - Construction and demolition (C&D) debris can be 

defined as damaged components of buildings and structures, such as lumber and wood, gypsum 

wallboard, glass, metal, roofing material, tile, carpeting and floor coverings, window coverings, 

pipe, concrete, fully cured asphalt, equipment, furnishings, and fixtures. The C&D debris must 

be disaster-generated (eligible C&D debris cannot be the result of rebuilding efforts) and present 

an immediate threat to be considered for FEMA eligibility. Eligible demolition activities must 

satisfy environmental and historic preservation compliance review requirements as established by 

44 CFR Parts 9 and 10, the National Historic preservation Act, the Endangered Species Act, and 

all other applicable legal requirements. 

9. Hazardous Waste – The Applicant will comply with federal, state, and local environmental 

requirements for handling hazardous waste. Hazardous waste is regulated under the Resource 

Conservation and Recovery Act (RCRA) and contains properties that make it potentially harmful 

to human health or the environment. In regulatory terms, a RCRA hazardous waste is a waste that 

appears on one of the four hazardous waste lists (refer to Title 40 of the CFR Part 261) or exhibits 

at least one of the following four characteristics: ignitability, corrosivity, reactivity, toxicity. 

a. Safety precautions will vary depending upon the circumstances and type of hazardous materials 

encountered, but they may include personal protective equipment, decontamination stations, 

closed and secured containers, and covered trucks or specialized containers. 

b. Hazardous material processing will be carefully and regularly monitored to verify that proper 

precautions are taken and that the chain-of-custody is maintained. 

c. Verify that hazardous materials are delivered to an appropriate site since hazardous wastes 

typically require special handling, transportation, and final disposition that are significantly 

more costly than typical waste disposal. 

10. Household Hazardous Waste - Household Hazardous Waste (HHW) refers to hazardous products 

and materials that are used and disposed of by residential consumers, rather than commercial or 

industrial consumers. HHW includes some paints, stains, varnishes, solvents, pesticides, and other 

products or materials containing volatile chemicals that catch fire, react, or explode under certain 

circumstances, or that are corrosive or toxic. State EPA should be contacted for the collection, 

handling, transport, and disposal of HHW. 

11. White Goods - White goods are defined as discarded household appliances such as refrigerators, 

freezers, air conditioners, heat pumps, ovens, ranges, washing machines, clothes dryers, and water 

heaters. Many white goods contain ozone-depleting refrigerants, mercury, or compressor oils that 

must be removed and processed following environmental protocols and procedures before the white 

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Debris Management Debris Plan Management Plan Template (Page 11 of 23)

Page | 152 

goods can be further processed for disposal and recycling. 

a. Document that white goods are collected separately, cleaned and processed to remove 

putrescent debris inside and to remove all oils, solvents, and refrigerants. 

b. If white goods are to be collected without being cleaned, verify and document that the debris 

disposal site includes ample space for processing collected white goods. 

c. This type of debris may be recyclable or have salvage value. Document separation and 

salvage activities that are implemented. 

12. Soil and Mud - Floods, landslides, winds, and storms often deposit soil and mud on improved 

public property and public rights-of-way. Facilities commonly affected by this type of debris 

include streets, sidewalks, storm and sanitary sewers, drainage canals and basins. 

a. Document that only the disaster-generated silt and soils are removed. This requires an 

understanding of pre-disaster conditions as well as the documented maintenance of the 

affected area. 

b. Contaminated soils may require special handling depending on the contaminant. 

Document any contaminated soil issues to ensure proper handling, processing, and 

disposition. 

c. Verify that any contaminated disaster-generated soils are addressed by the EPA and 

managed appropriately in designated areas. 

13. Vehicles and Vessels - Vehicles and vessels may be damaged, destroyed, displaced, or lost as a 

result of a disaster. These vehicles and vessels may eventually be abandoned because of the 

damage incurred or because the original owners have relocated. Vehicles and vessels may be 

classified as debris if they block public access and critical facilities. 

a. Verify that each vehicle or vessel identification number is documented. 

b. Verify that collected vehicles and vessels are transported to a collection area where they are 

secured and protected. 

14. Putrescent Debris - Putrescent debris is any debris that will decompose or rot, such as animal 

carcasses and other fleshy organic matter. Putrescent debris handling must comply with 

applicable federal, state, and local requirements. 

a. Document that putrescent debris is collected in accordance with contract specifications or 

other specific requirements. 

b. Document the volume of putrescent debris. The volume of putrescent materials cannot be 

determined based solely on the volume of the originally inventoried materials because the 

spoiled materials may have lost a significant portion of their volume. The actual volume 

removed needs to be documented. 


VI. DEBRIS DISPOSAL AND REDUCTION 

VI. DEBRIS DISPOSAL AND REDUCTION 

VI. Once DEBRIS debris DISPOSAL is removed from AND the REDUCTION 

damage sites, it may be taken to temporary and/or permanent landfills. 

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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. 

Once The four debris 

INSERT methods is removed 

CITY of debris from 

NAME disposal the damage 

HERE are Solid burning, sites, it 

Waste recycling, may be taken 

Coordinator grinding/chipping to temporary and/or 

shall ensure all debris permanent permanent 

is removed landfill. landfills. 

in 

accordance The four INSERT methods 

with CITY of debris 

state NAME disposal 

and local HERE are 

regulations, Solid burning, Waste recycling, 

laws, Coordinator grinding/chipping 

and ordinances shall and ensure all environmental all and debris permanent is and removed landfill. 

historic in 

preservation accordance The INSERT with CITY 

compliance state NAME and issues local HERE 

are regulations, Solid Waste 

followed. laws, Coordinator 

To every and extent ordinances shall 

possible, and ensure all environmental all debris is 

methods of debris and removed 

removal historic in 

and preservation accordance with 

reduction compliance state and 

should use issues local 

a per-ton are regulations, followed. laws, 

weight method. To every and extent ordinances possible, and all all environmental methods of debris and removal historic 

preservation and reduction compliance should use issues a per-ton are followed. weight method. To every extent possible, all methods of debris removal 

and reduction should use a per-ton weight method. 

A. Burning 

A. Burning 

A. Burning The three primary burning methods that may be utilized are open burning, air curtain pit burning, and 

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 

The 

requirements. 

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 

incineration. requirements. All burning methods shall meet environmental and historic preservation compliance 

requirements. 1. Controlled open burning: Cost-effective method for reducing clean woody debris in rural 

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 

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 

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 

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 

2. Air 

air must curtain 

to have the fire adequate pit burning: 

below. air velocity Substantially to provide reduces a “curtain environmental effect” to concerns. hold smoke The in blower and to feed unit 

must air to have the fire adequate below. air velocity to provide a “curtain effect” to hold smoke in and to feed 

3. Portable air to the fire incinerators: below. Use the same methods as air curtain pit systems. The only 

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 

3. Portable incinerators: Use the same methods as air curtain pit systems. The only 

constructed difference is earth/limestone that portable incinerators pit. utilize a pre-manufactured pit in lieu of an onsite 

difference constructed is earth/limestone that portable incinerators pit. utilize a pre-manufactured pit in lieu of an onsite 

constructed earth/limestone pit. 

B. Recycling 

B. Recycling 

B. Recycling Metals, wood, and soils are prime candidates for recycling. Most of the non-ferrous metals are 

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 

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 

suitable for recycling. The Applicant may recycle where feasible. 

C. Grinding and Chipping 

C. Grinding and Chipping 

C. Grinding and Chipping chipping may be utilized as a viable reduction method. Grinding and chipping 

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 

Grinding and chipping may be utilized as a viable reduction method. Grinding and chipping 

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 

reduces the volume by cubic yard on a 4 to 1 ratio. When grinding and chipping is determined 

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 

to be beneficial by the Applicant, material may be disposed of on-site and force account 

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 

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 

reduction method in order to reduce transportation and handling costs. 

D. Permanent Landfill 

D. Permanent Landfill 

D. Permanent There is a Landfill licensed, environmental compliant permanent landfill located in INSERT CITY OR 

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 

There is a licensed, environmental compliant permanent landfill located in INSERT CITY OR 

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 

COUNTY disposal NAME HERE County operated by Rumpke, Inc. This landfill may be used in the debris 

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 

disposal and reduction process. Debris taken to the landfill shall meet landfill disposal requirements. 

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 

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 

an annual basis at the same time the plan is updated. 

VII. CONTRACTED SERVICES AND COOPERATIVE AGREEMENTS 



A. Private Contracting. Because of the limited quantity of resources and service commitments following 

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 

A. Private 

debris a disaster, Contracting. 

for the reuse, Applicant Because 

resource may recovery, be of relying the limited 

reduction, heavily quantity on and private of resources 

disposal. contractors and 

Using to service 

private remove, commitments following 

contractors collect, and instead manage of 

a disaster, the Applicant may be relying heavily on private contractors to remove, collect, and manage 

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 

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 

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 

conducting the work from the Applicant to the private sector, freeing up government personnel to 

government personnel Page 13 of to 23 

Debris Management Plan 

Page 13 of 23 

Debris Management Plan 

Page 13 of 23 

Debris Management Debris Plan Management Plan Template (Page 13 of 23)

Page | 154 

devote more time to their regularly assigned duties. Private contracting also stimulates local, regional, 

and State economies impacted by the storm, as well as maximizes State and local governments' level 

of financial assistance from the Federal government. Private contracting allows the Applicant to more 

closely tailor contract services to meet specific needs. The entire process (i.e., clearance, collection, 

transporting, reduction, and disposal, etc.) or segments of the process may be contracted out. 

B. Pre-Approved Contractors. City can use the state price contract to identify pre-approved contractors 

for debris removal. 

C. Debris Contract and Cooperative Agreements Management. The Applicant, EM Director and 

DPW Director are responsible for managing the debris contract and the contractor from project 

inception to completion. Managing the debris contract and contractor includes such things as 

monitoring performance, contract modifications where needed, inspections, acceptance, payment, and 

close out of activities. The Applicant may enter into cooperative agreements with other State agencies 

and local governments to maximize public assets. The development of such agreements must comply 

with the guidelines established in the Applicant’s procurement policy. 

D. Sample Contracts. Sample contracts with a menu of services and generic scopes of work may be 

developed by the Applicant, Emergency Management (EM) Director, DPW Director, the jurisdiction’s 

Attorney’s Office and others as needed prior to the disaster to allow the Applicant to more closely tailor 

its contracts to its needs, as well as expedite their implementation in a prompt and effective manner. 

The three types of contracts that may be used are: 

1. Unit Price Contract. A unit price contract is the preferred method for debris removal. 

It is the most accurate account of actual quantities removed. The unit priced contract is based on 

weight (tons) of debris hauled, and should be used when the scope-of-work is not well defined. It 

requires close monitoring of pick-up, hauling, and dumping at both the loading sites and the 

disposal site to ensure that quantities are accurate. All contractor trucks will be measured and the 

tare weight obtained prior to initial loading. Applicant will identify either portable or fixed certified 

scales to be used to monitor debris tonnage. Debris will be removed per current FEMA 

requirements such as, but not limited to, load tickets identifying truck number, contract number, 

contractor’s name, date, time departed site, and estimated volume may be documented as well. (See 

ANNEX I for Sample Debris Monitoring Forms.) 

2. Lump Sum Contract. Price of the work is fixed unless there is a change in the scope of work to 

be performed. This contract should be used only when the scope of work is clearly defined, with 

areas of work and quantities of material clearly identified. It can be defined in one of two 

ways: (a) area method, where the scope of work is based on a one-time clearance of a specified 

area. (b) pass method, where the scope of work is based on a certain number of passes through a 

specified area, such as a given distance along a right-of-way. 

3. Time and Materials Contract. Will be limited to the first 70 hours of operation to mobilize 

contractors for emergency removal efforts and only after all State and local equipment has been 

committed. It should have a dollar ceiling or a not-to-exceed limit for hours (or both), and should 

be terminated immediately when this limit is reached. The contract should state that: (a) the price 

for equipment applies only when equipment is operating. (b) the hourly rate includes operator, fuel, 

maintenance, and repair. (c) Applicant reserves the right to terminate the contract at its convenience. 

(d) Applicant does not guarantee a minimum number of hours. Intense monitoring of these contracts 

is extremely important. Work inspection reports should be completed each day that clearly state the 

amount of work accomplished that day in quantitative terms, the type and number of trucks used 

and the number of hours worked. FEMA will not fund standby or idle time costs. 


Page | 155 

NOTE: All contractors shall be required to meet any and all current FEMA debris removal 

requirements. A sample unit price contract is attached to this plan as ANNEX E. 

E. Steps of the Contract Bid Process are as follows: 

1. Request for Qualifications (RFQ) (ANNEX B) will be posted in the newspaper and on the county 

website to solicit debris removal contractors every two years. 

2. Debris Contract Bid Specifications (ANNEX C) will be placed on the county website for potential 

debris removal contractors to review. 

3. A scoring board will review contractors who have responded to the RFQ. Those who best meet the 

requirements of the Debris Contract Specifications as determined by the scoring board will be listed 

on a Pre-Approved Contractor Listing (ANNEX D). They’ll be listed in order of their score. 

4. When a disaster occurs, the Applicant will contact all pre-approved debris removal contractors and 

provide the estimated amount of debris in tons to be disposed of and the debris coverage area. The 

Applicant will also provide the distance the debris will need to be transported for disposal. The preapproved 

contractors will then be asked to submit an overnight bid for debris removal and disposal 

at a per ton cost. 

5. Once overnight bids are received, the Applicant will assess the bid and the qualifications, 

experience, capabilities and ability to deploy of the pre-approved contractors. Taking all factors into 

consideration, a contractor will be selected for the project. The Applicant reserves the right to reject 

any and all bids and to accept any bid, whether or not the lowest price, that the Applicant, in its 

sole discretion, deems to be in the best interest of sound fiscal management for its jurisdiction. 

When a non-competitive contract is selected, the Applicant will assess such costs on a reasonable 

and customary basis in determining the best value. 

6. Once a pre-approved contractor has been selected to remove and dispose of the Applicant’s debris, 

a contract (ANNEX E) will be submitted for signature. 

F. Contract Pitfalls. The Applicant will ensure that all personnel involved in oversight of the debris 

management efforts are aware that the following should not occur: 

1. Award a debris removal contract on a sole-source basis without coordinating with FEMA and 

KYEM. 

2. Sign a contract (including one provided by a contractor) until it has been thoroughly reviewed by 

the legal office. 

3. Allow any contractor to make eligibility determinations. Only FEMA has that authority. 

4. Accept any contractor’s claim that it is “FEMA certified.” FEMA does not certify, credential, or 

recommend debris contractors. 

5. Award a contract to develop and manage debris processing sites unless you know it is necessary. 

Temporary debris storage and reduction sites are not always necessary. 


Page | 156 

6. Allow separate line item payment for stumps 24 inches and smaller in diameter; these should be 

treated as normal debris. 

7. “Piggyback” or utilize a contract awarded by another entity. The use of such a contract may 

jeopardize FEMA funding without prior approval. 

8. Award pre-disaster or stand-by contracts with mobilization costs or unit costs that are significantly 

higher than what they would be if the contract were awarded post-disaster. Such contracts should 

have variable mobilization costs depending upon the size of the debris work that may be 

encountered. 

G. Mutual Aid Agreements 

1. The Applicant may establish Mutual Aid Agreements/Memorandum of Understandings (ANNEX 

K) with any, but not limited to, the following entities to provide assistance with debris removal in 

the event of a disaster resulting in copious amounts of debris: 

a. INSERT COUNTY NAME HERE County 

b. City of INSERT CITY NAME HERE 

c. City of INSERT CITY NAME HERE 

d. Kentucky Department of Transportation 

e. Surrounding Counties 

f. Private Sector 

2. These agreements include but are not limited to utilization of personnel, equipment, temporary and 

permanent landfill sites, emergency services, and law enforcement. See ANNEX J for a sample of 

the Statewide Intergovernmental Emergency Mutual Aid Agreement and ANNEX K for a sample 

Mutual Aid Agreement. 

3. The Applicant has also identified certain Volunteer Organizations Active in Disasters (VOAD), 

State and Federal agencies that are ready to assist as well. These agencies include Civic Clubs, 

Church organizations, Salvation Army, Kentucky Department of Transportation, the National 

Guard, scrap dealers, and the U.S. Department of Labor. National VOAD organizations will be 

coordinated by the State in conjunction with the Applicant. 

VIII. DEBRIS MANAGEMENT SITE 

A. Debris Management Sites (DMS): Established when debris cannot be taken directly from the 

collection point to the final disposition location. It is frequently used to increase the operational 

flexibility when landfill space is limited or when the landfill is not in close proximity to the debris 

removal area. The Debris Management Team will determine if a DMS is necessary and at what point 

in the debris management cycle that it will be established and opened. Prior to using the site, the 

Debris Management Team will ensure data is collected for baseline a baseline study so that all 

environmental, archeological and historical concerns are addressed. It is essential to document the 

condition of the land before it is used as a DMS (original condition vs ending condition). Past use 

and ownership should be researched to document any issues regarding the existence of historic 

structures or archeological sites. The SHPO should be involved with this research. The baseline 

study will be used for an environmental evaluation to confirm the site has returned to a pre-activity 

state (test samples should be taken at the same locations as those of the initial assessment and 

environmental monitoring program) 


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B. Overview: Initially, debris may be placed in these temporary holding areas, until such time as a 

detailed plan of debris collection and disposal is prepared. This is not anticipated until after local 

traffic has been restored. Temporary debris collection sites should be readily accessible by recovery 

equipment and should not require extensive preparation or coordination for use. Collection sites will 

be on public property, when feasible, to facilitate implementation of the mission and mitigate against 

any potential liability issues. Activation of sites will be under the control of the DPW Director, and 

will be coordinated with other recovery efforts through the emergency operations center. Prior to the 

site being opened, coordination with the state will occur. 

C. Local Sites. The following is a list of temporary holding sites in INSERT COUNTY NAME HERE 

Co. Others may be identified and used based on debris collection and disposal needs. See ANNEX 

H; Site Selection Contact List (MODIFY AS APPROPRIATE) 

1. State Highway Department Complex 

2. Rumpke Landfill 

3. Hilltop Stone Complex 

4. Reis Concrete property 

5. Carmeuse Mines property 

D. Permits. Environmental permits may be required to establish a DMS. Several agencies may be 

involved in issuing permits and granting land-use approvals. Permits that may be required include: 

1. Waste processing and recycling operations permit 

2. Temporary land-use permits 

3. Land-use variances 

4. Traffic circulation strategies 

5. Air quality permits 

6. Water quality permits 

7. Fire department permits 

8. Before use of a site, the Department for Environmental Protection (DEP) requires the 

following information to be provided: 

a. Written statement of permission from the landowner. 

b. Location and size of the site provided on a map. 

c. Roads and road conditions leading to and from the site. 

d. Distance to surface water, including wetlands. 

e. Actions taken to prevent release of contaminates to surface and ground water. 

f. Information regarding how the site will be operated: who is operating it, hours of 

operation, fees, security, and emergency/spill response 


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E. Opening. Before activities begin photos and/or videos should be taken to establish the condition 

of the site before use as a DMS, important features such as structures, fences, culverts, and 

landscaping will be noted that can help evaluate possible damage claims made later. Periodically 

update video and photographic documentation to track site evolution. Random soil samples may 

be taken as well as water samples from existing wells. The site may be checked for volatile organic 

compounds. 

F. Monitoring. After activities begin, constant monitoring of air quality should take place and soil 

and water samples may take place. Photos, maps, and sketches of the site should be updated. 

Document operations that will have a bearing on site closeout, such as petroleum spills at fueling 

sites, hydraulic fluid spills at equipment breakdowns, installation of water wells for stock pile 

cooling or dust control, and commercial, agricultural, or industrial hazardous and toxic waste 

storage and disposal. 

G. Close-out. Each temporary debris staging and reduction site will eventually be emptied of all 

material and be restored to its previous condition and use. At close-out, final testing of soil, water, 

and air quality should be taken and compared to original conditions. All ash should be removed 

and any remediation actions taken. 

IX. MONITORING DEBRIS REMOVAL 

A. Monitoring Agency. Debris removal operations may be monitored by use of Applicant forces, 

contractors or a combination of both. Preferred debris monitors are the Applicant’s own employees. 

Their employees are the most familiar with the jurisdiction and know the priorities of the debris 

management plan. Force account labor tends to have a vested interest in keeping debris monitoring 

costs to a minimum. Also, force account employee overtime costs are reimbursed based on FEMA 

Public Assistance Program’s labor cost policies for emergency work. In some cases regular force 

account hours may be reimbursed with FEMA approval. In some cases though, the monitoring task 

may need to be outsourced to a contractor. As with any contractual arrangement, the Applicant must 

ensure that the contractor is meeting the performance requirements of the contract. If a contractor is 

hired to perform a monitoring task, the Applicant is required to ensure that the hired contractor 

performs satisfactorily. If the Applicant outsources a monitoring task, the contract must be awarded 

to a contractor who has no vested interest in the debris removal contract or contractor. There must 

be no conflict of interest between the monitoring contractor and the debris removal contractor. 

B. Debris Monitoring Operations Overview. Monitoring debris removal operations achieves two 

objectives: 1) Verifying that the work completed by the contractor is within the contract scope of 

work. 2) Providing the required documentation for Public Assistance grant reimbursement. 

Monitoring operations are meant to ensure that the debris removal contractor is performing the 

scope of work required by the contract and to document the debris removal operations. The primary 

role for debris monitors is to document the location and amount of debris collected. The key 

elements of information that are needed to verify the contractor’s scope of work and determine 

eligibility are the: 

1. Type of debris collected 

2. Amount of debris collected 

3. Original collection location 


Debris Management Plan Page 18 of 23

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C. The Debris Monitor’s Roles and Responsibilities in the Field include: 

1. Measure and certify truck capacities (recertify on a regular basis), when applicable. 

2. Complete and physically control load tickets (in monitoring towers and the field). 

3. Document hazardous trees, including hangers, leaners, and stumps. 

4. Ensure that trucks are accurately credited for their load. 

5. Ensure that trucks are not artificially loaded to maximize reimbursement (e.g., debris is wetted; 

debris is fluffed - not compacted). 

6. Ensure that hazardous waste is not mixed in with loads. 

7. Ensure that all debris is removed from trucks at the DMS/Disposal Site. 

8. Report to debris project manager if improper equipment is mobilized and used. 

9. Report to debris project manager if contractor personnel safety standards are not followed. 

10. Report to debris project manager if general public safety standards are not followed. 

11. Report to debris project manager if completion schedules are not on target. 

12. Ensure that only debris specified in the scope of work is collected and identify work 

as potentially eligible or ineligible. 

13. Monitor site development and restoration of the DMS. 

14. Ensure daily loads meet permit requirements. 

15. Ensure that work stops immediately in an area where human remains or potential archeological 

deposits are discovered. 

16. Report to debris project manager if debris removal work does not comply with all local 

ordinances as well as state and federal regulations. 

D. Debris Monitor Tools, Products and Positions. 

1. Forms, Reports and Logs. Applicant will ensure all monitoring Forms, Reports and Logs are 

complete and submitted on a daily basis to the debris project manager for final reconciliation. 

2. Camera and GPS. Debris monitors will utilize cameras with GPS capability and/or separate 

GPS units to document pictures and location of debris all along the debris management cycle. 

3. Disposal Site Observation Tower. Debris monitors will need a way to look down into the 

bed of trucks and containers that are being brought to the DMS or Disposal Site. This could 

also be done with a monitor trained in the use of a bucket truck. 

4. Truck Certification List. A truck certification list allows the monitor to identify the truck 

itself and its hauling capacity in a standardized manner. The standard list of requirements 

includes: 

a. Size of hauling bed in cubic yards 

b. License plate number 

c. Truck identification number assigned by the owner 

d. Short physical description of the truck 


Page 19 of 23

Page | 160 

5. Load Ticket System. The term load ticket refers to the primary debris-tracking document (See 

ANNEX I). A load ticket system tracks the debris from the original collection point to the DMS 

or landfill. By positioning debris monitors at each point of the operations (collection, DMS, 

and final disposition), the eligible scope of work can be properly documented. This will help 

the Applicant document and track the debris from the initial collection location to the DMS and 

final disposal location. If a contract hauler is used, this ticket often verifies hauling activities 

and is used for billing purposes. Paper tickets (with at least four copies generated for one load 

of debris) or a computer generated ticket system may be used. The computer-based system 

should include the same information as a traditional paper load ticket. 

6. Load Site Monitors. Debris Monitors who are located at the debris site collection points. They 

are responsible for observing and documenting debris removal activities at loading sites. Load 

site monitors should document such activity using a Daily Debris Loading Site Monitor Log and 

record any issues that arise using a Daily Issue Log. 

7. Disposal Tower/Site Monitors. Debris Monitors who are located at the entrance to the DMS 

or Disposal Site. 

8. Roving Monitors. Debris Monitors that randomly monitor operations at the collection point, 

the DMS/Disposal Site and the routes in between these locations. They will make 

unannounced visits to all loading and disposal sites within their assigned areas. 

9. Training. All Debris Monitors should be trained in their positions prior to being assigned. 

E. Specific Monitoring Operations. The following describes methods and systems to monitor and 

document work completed by Applicant forces or contractors 

1. Load Site Monitors. Perform the following: 

a. Coordinate with the contractor to verify the location of the loading sites each day. 

b. Assist in the measurement of each truck at the beginning of debris removal operations. 

c. Document the truck dimensions, note the truck number and take a picture of each truck. 

d. Document the type of debris loaded (e.g., vegetative, construction and demolition, etc.) 

Ensure pictures are taken and GPS coordinates are obtained of debris associated with each 

load ticket. 

e. Complete the loading portion of the debris load ticket and sign it. 

f. Retain a copy of the debris load ticket and provide two copies to the driver or contractor for 

billing purposes. 

g. Submit copies of load tickets to the debris monitor at the end of each day. 

h. Ensure only debris that is specified by the applicant is collected for loading and hauling. 

i. Ensure that hazardous wastes are not mixed in with debris loads 

j. Ensure that debris loads are contained properly before leaving the loading area 

k. Photograph and provide a written document of any damages made to utility components, 

driveways, road surfaces, private property, vehicles, etc. 


2. Disposal Tower/Site Monitors. Perform the following: 

a. View and take pictures of the contents of each truck/container entering the DMS/Disposal 

Site 

b. Obtain copies of the debris load ticket that has been signed by the Load Site Monitor from 

the truck driver. 

c. Sign the completed ticket and retain a copy. Give the remaining copies to the truck driver. 

d. Obtain copies of the weight ticket of each truck leaving the DMS/Disposal Site 

e. Ensure truck/container is completely empty prior to leaving the DMS/Disposal Site. Take 

pictures of each empty truck/container prior to it leaving the DMS/Disposal Site as 

verification. 

f. Spot check truck measurements by periodically measuring the dimensions of the trucks 

after they have unloaded the debris they were hauling. 

g. Submit copies of the completed, signed load tickets to the Debris Project Manager at the 

end of each day. 

h. The Debris Project Manager will identify personnel to enter information from the load 

tickets each day into a load ticket database if the contractor is not performing this task. 

i. Complete a Tower Monitor Log, to record truck information, load weights, and types of 

debris brought into the DMS or landfill. This log should also be used to record any issues 

noted for the day and provide comments concerning the day’s operation 

3. Roving Monitors. Perform the following: 

a. Assist in the measuring of all contractor trucks and trailers with the contractor’s 

representative and take photographs of all trucks and trailers. 

b. Obtain and become familiar with all debris removal and disposal contracts for which they 

are providing oversight. 

c. Drive around their assigned debris management areas to observe contractor operations. 

d. Complete a Debris Disposal Site Monitoring Checklist for every site visited. Ensure that 

operations are being followed as specified in the applicable debris removal and disposal 

contract. 

e. Prepare a daily Roving Monitor Report of contractor activities observed, including 

photographs of activities and sites visited. 

f. Roving monitors will submit their written daily reports at the end of each day to the Debris 

Project Manager. The report will outline their observations with respect to the following: 

(1) 

Is the contractor using the DMS site properly with respect to layout and environmental 

considerations? 

(2) 

Has the contractor established lined temporary storage areas for ash, household 

hazardous wastes, and other materials that can contaminate soil and groundwater? 

(3) 

Has the contractor established environmental controls in equipment staging areas, 

fueling, and equipment repair areas to prevent and mitigate spills of petroleum 

products and hydraulic fluids? Debris Management Plan Template (Page 21 of 23) 

Page 21 of 23 

Page | 161

Page | 162 

(4) 

Has the contractor established appropriate rodent control measures? 

(5) 

Are burn sites constructed and operating in accordance with the plans and 

requirements as stated in the contract? 

(6) 

Has the contractor establish procedures to mitigate: 

(a) 

Smoke – Are the incineration pits constructed properly and being operated 

according to the contract statement of work? 

(b) 

Dust – Are water trucks employed to keep down the dust? 

(c) 

Noise – Have noise abatement procedures been employed? 

(d) 

Traffic – Does the DMS have a suitable layout for ingress and egress to 

help traffic flow? 

X. DEBRIS PLAN ANNEXES 

ANNEX A: Right of Entry Agreement 

ANNEX B: Request for Statement of Qualifications (RFQ) 

ANNEX C: Debris Contract Bid Specifications 

ANNEX D: Pre-Approved Contractor Listing 

ANNEX E: Sample Unit Price Contract 

ANNEX F: Sample Debris Removal Guidelines 

ANNEX G: Landfill Waste Restrictions 

ANNEX H: Site Selection Contact List ANNEX 

ANNEX I: Sample Debris Monitoring Forms 

ANNEX J: Intergovernmental Emergency Mutual Aid Agreement 

ANNEX K: Sample Mutual Aid Agreement 

ANNEX L: Site Selection Criteria Checklist 

ANNEX M: Resource Tracking Sheet 


Page | 163 

XI. PLAN IMPLEMENTATION (If County is Involved) 

This plan goes into effect once all parties listed below have approved the plan. By signing in the appropriate 

section, representatives of those parties signify approval of this plan in its entirety. INSERT CITY NAME 

HERE County Emergency Management will ensure the plan is reviewed on an annual basis. The review 

will take place one year from the most current signature date. Once all signatures have been accomplished, 

this document and all its Annexes (A through M) becomes the official Debris Management Plan for the 

County of INSERT COUNTY NAME HERE, the City of INSERT CITY NAME HERE and the City of 

INSERT CITY NAME HERE. This plan shall be approved by KYEM and FEMA before being submitted 

for signatures from all other parties listed. 

INSERT COUNTY NAME HERE County Fiscal Court Title Date 

City of INSERT CITY NAME HERE Title Date 

City of INSERT CITY NAME HERE Title Date 

INSERT COUNTY NAME HERE County Emergency Management 

Title Date 

Kentucky Division of Emergency Management Title Date 

Federal Emergency Management Agency Title Date 

Eligible organizations listed below have adopted this Debris Management Plan once approved by FEMA 

and Kentucky Emergency Management. 

Organization Title Date 


Page 23 of 23

DEBRIS CONTRACT BID SPECIFICATIONS 

DEBRIS CONTRACT BID SPECIFICATIONS 

Debris Contract Bid Specifications (Page 1 of 12) 

GENERAL 

GENERAL 

These specifications apply to the jurisdictions of Insert City Name Here. The term “Applicant 

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 

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 

term Applicant Agent is used it could apply to any and/or all jurisdictions. 

The purpose of these specifications are to inform contractors of the Applicant Agent’s 

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 

of Insert 

City 

requirements 

Name Here, 

for removal 

Kentucky 

and 

Rights-of-Way 

dispose of all 

(ROW) 

eligible 

and 

debris 

public 

from 

owned 

the Applicant 

property. 

Agent 

The area 

of Insert 

to be 

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 

Kentucky. included as part of the contract is located within the Applicant Agent of Insert City Name Here, 

Kentucky. 

1.0 SERVICES. 

1.0 SERVICES. 

1.1. The Contractor shall provide for debris removal and disposal of all eligible debris from the 

1.1. Applicant The Contractor Agent shall ROW provide and publicly for debris owned removal property. and disposal of all eligible debris from the 

Applicant Agent ROW and publicly owned property. 

1.2. The estimated amount of debris to be removed under the contract shall be determined by 

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 

FEMA, payment. but not guaranteed. The unit price on the individual bid schedules will be used for 

payment. 

1.3. The Contractor shall document the current conditions of all roadways, sidewalks and all 

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 

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 

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 

beginning documentation. the work. The documentation shall be submitted to the Applicant Agent prior to 

beginning the work. 

1.4. Haul and Dispose. All debris shall be hauled and disposed of in accordance with FEMA 

1.4. 

guidelines 

Haul and Dispose. 

and the Insert 

All debris 

City Name 

shall be 

Here 

hauled 

Debris 

and 

Management 

disposed of in 

Plan 

accordance 

(Plan attached). 

with FEMA 

All 

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 

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 

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 

eligible 

include: 

debris) 

1) examining 

from public 

and sorting 

property 

debris 

only, 

to 

including 

determine 

ROW 

whether 

of streets 

or not 

and 

debris 

roads. 

is eligible 

Work 

and 

shall 

to 

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 

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 

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 

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 

shall 

(DPW) 

not 

Supervisor 

be loaded, 

shall 

hauled, 

be immediately 

or dumped under 

notified 

the 

of 

contract. 

any ineligible 

The Department 

debris placed 

of Public 

at the 

Works 

right of 

(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 

way the life for of collection. the contract. The Contractor is liable for separating all ineligible debris handled during 

the life of the contract. 

1.4.1. The Contractor shall make maximum of three (3) passes. The Contractor may be required to 

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 

leave 

designated 

a minimum 

work area 

of one 

to another 

weekend 

designated 

between each 

work 

pass. 

area without 

The Contractor 

prior approval 

shall not 

from 

move 

the 

from 

DPW 

one 

designated Supervisor. work area to another designated work area without prior approval from the DPW 

Supervisor. 

1.4.2. Any eligible debris, such as fallen trees, which extend onto the ROW from private property, 

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 

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 

performance 

the ROW shall 

of 

be 

the 

removed. 

contract. 

The 

Hazardous 

Contractor 

limbs 

shall 

are 

not 

considered 

enter onto 

eligible 

private 

debris 

property 

and are 

during 

defined 

the 

as 

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 

limbs greater than two inches in diameter that are still hanging in the tree and are threatening a 

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 

50% of the crown broken are eligible debris and shall be removed. Holes present as a result of 

uprooted trees in the public ROW shall filled to ground level. The Contractor shall not enter 

onto private property during the performance of the contract, unless depth of debris exceeds 

right-of-way. 

1.5. Contractors shall note that a portion of the project will occur in residential areas. The 

contractors should exercise due care to minimize any damages to trees, shrubs, landscaping and 

general property. The contractor shall repair any damages caused by the contractor’s 

equipment in a timely manner at no expense to the Applicant Agent. The debris work area 

shall be left clear of debris and clean, as reasonably and practical under the conditions of the 

project. 

1.6. The contractor shall use equipment and perform work in a manner to prevent damages to 

Applicant Agent’s infrastructure facilities and adjacent ROWs, including all landscaped areas. 

The contractor shall repair any damages caused by the contractor’s equipment in a timely 

manner at no expense to the Applicant Agent. All tracked equipment shall be approved by the 

Applicant Agent prior to use. All loading equipment is required to operate from the street/road 

using buckets and/or boom and grapple devices to remove and load the debris. Any damage to 

private property, sidewalks, curbs, or streets shall be repaired at the expense of the contractor. 

1.7. The Contractor shall conduct the work so as not to interfere with the disaster response and 

recovery activities of federal, state, and local governments or agencies, or of any public 

utilities. 

1.8. The government reserves the right to inspect the site, verify quantities and review operations at 

any time. 

1.9. All work shall be accomplished in a safe manner in accordance with OSHA standards. 

Page | 165 

2.0 LOAD TICKETS. 

2.1. Load Tickets shall be used for recording the load information of debris removed for disposal. 

Load tickets furnished by Insert City Name Here County Fiscal Court are a document approved 

by the Applicant Agent. A copy of the load ticket to be used by the contractor shall be 

submitted for Applicant Agent approval prior to beginning work. The load ticket numbers shall 

be sequentially numbered. The load tickets shall be a minimum of four color coded parts. An 

example load ticket is included as an attachment. 

2.2. Each ticket shall contain the following information: 

• Ticket Number 

• Contract Number 

• Date 

• Contractor Name 

• Truck or Roll-off Number (Truck and Roll-off must be decaled separately) 

• Point of Debris Collection 

• Loading Departure Time/Inspector 

• Dump Arrival Time/Inspector 

• Debris Weight 

• Tare Weight 

• Truck Driver 

• Debris Classification 


• Debris Pick-up site (Road name and GPS coordinates) 

• Dumpsite 

• Debris Eligibility (Y/N) 

Page | 166 

NOTE: Each ticket shall be accompanied by a photograph of the pick-up site. 

2.3. A minimum four-part load ticket will be issued by an Applicant Agent monitor prior to 

transport of the debris from the loading site. The entire four-part load ticket is given to the 

vehicle operator. Upon arrival at the certified scales, the vehicle operator shall give the entire 

four-part load ticket to the Applicant Agent monitor. The Applicant Agent monitor will verify 

the hauler and equipment and establish a weight of the eligible debris load. After documenting 

this data on the load ticket, the Applicant Agent monitor will give one copy to the vehicle 

operator. One copy is then given to the contractor; the original is kept by the Applicant Agent 

monitor and the fourth to FEMA. The original weigh ticket generated at the certified scales 

shall be attached to the original load ticket. Both the load ticket and the weigh ticket will be 

submitted with the daily report and must be reconciled daily, not to exceed 24 hours. 

3.0 DEBRIS CLASSIFICATION 

3.1. Eligible Debris Eligible debris is considered all storm related debris located within the right of 

way, Applicant Agent owned properties and defined below. 

All debris from storm related damage will be accepted with the exception of tires, refrigerants 

and hazardous materials as outlined in Rumpke’s landfill waste restrictions. 

4.0 PERFORMANCE SCHEDULE 

4.1. The Contractor shall commence performance no less than twenty-four (24) hours of receipt of 

notice to proceed. 

4.2. Prior to commencing debris removal operations a contractor shall, with the Applicant Agent’s 

direction, provide a work plan showing where operations will begin and which streets/roads 

will be cleared on a 7 and 14 day projection. The plan shall be updated every Monday. 

4.3. All activity associated with debris operations may be performed during working hours of 7:00 

am and 7:00 pm. The contractor may work six (6) days per week, excluding holidays and 

Sundays. 

4.4. Maximum allowable time for completion will be ninety (90) calendar days, unless the 

Applicant Agent initiates additions or deletions to the contract by written change orders. Both 

parties pursuant to applicable Applicant Agent, state and federal law will equitably negotiate 

subsequent changes in cost and completion time. 

5.0 EQUIPMENT 

5.1. All trucks and other equipment shall be in compliance with all applicable federal, state, and 

local rules and regulations. All trucks and other equipment must be equipped with backup 

alarms. Any truck used to haul debris must be capable of rapidly dumping its load without the 

assistance of other equipment. Sideboards or other extensions to the bed are allowable per 

FEMA guidelines provided they meet all applicable rules and regulations, cover the front and 

both sides, and are constructed in a manner to withstand severe operating conditions. The 

sideboards are to be constructed of 2” by 6” boards or greater and not extend more than two

Page | 167 

feet above the metal bedsides. All extensions are subject to acceptance or rejection by the 

Applicant Agent. The contractor shall provide means to rapidly unload any trailer that does 

not have a means for dumping. All trailers shall have a metal-framed exterior and a minimum 

of 5/8” plywood (not wafer board) interior walls. All equipment used to haul debris shall be 

equipped with a tailgate that will effectively contain the debris during transport and permit the 

truck to be filled to capacity. Plastic webbing is not acceptable for a tailgate. All hauling 

equipment shall be weighed and marked for its tare weight. The Contractor is responsible for 

ensuring all loading and transport equipment complies with state and local laws. The 

Contractor prior to use will inspect all equipment and provide the Applicant Agent proof of 

inspection. 

5.2. Trucks and other heavy equipment designated for use under the contract shall be equipped with 

two signs, one attached to each side. These signs shall be furnished by the Contractor. Magnetic 

signs are not permitted. The signs shall contain the following information: 

• Company Name 

• Truck Number 

• Tare 

• Inspected by and Date 

An example sign is included in FEMA’s Debris Management Guide. 

5.3. Prior to commencing debris removal operations, the Contractor shall present to the DPW 

Supervisor all trucks, trailers, or containers that will be used for hauling debris. Each truck or 

trailer shall be weighed to determine the tare weight. Each truck or trailer shall be numbered 

and clearly display the tare weight for identification with a permanent marking. The Applicant 

Agent may, at any time, request that the trucks be re-weighed. The Contractor shall notify the 

DPW Supervisor each time a new truck, trailer or container is to be used under the contract. 

5.4. Trucks or equipment, which are designated for use under the contract, shall not be used for any 

other work during the working hours of the contract. The Contractor shall not solicit work 

from private citizens or others to be performed in the designated work area during the period of 

the contract. Under no circumstances will the Contractor mix debris hauled for others with 

debris hauled under the contract. 

5.5. Loading equipment used under the contract shall be rubber tired and sized properly to fit 

loading conditions. Excessive size loading equipment (6 CY and up) and non-rubber tired 

equipment must be approved by the DPW Supervisor. 

6.0 REPORTING 

6.1. The Contractor shall submit an electronic report to the Applicant Agent during each day of the 

term of the contract. A daily operational report shall contain, at a minimum, the following 

information: 

• Contractor’s Name 

• Contract Number 

• Crew 

• Location of work 

• Day of Report 

• Daily and cumulative totals of debris removed, by category 

• Photographs of debris pick-up sites 

• GPS coordinates of pick-up sites 


Page | 168 

• Map showing roads covered and individual pick-up sites 

• Truck and Equipment 

6.2. Discrepancies between the daily report and the corresponding weigh tickets shall be reconciled 

no later than the following day. 

6.3.The contractor shall provide electronic documentation (Excel Spreadsheet) that includes pictures 

of specific debris that was picked up, GPS location for each load of debris, and electronically 

tracked load tickets. The contractor shall also provide electronic documentation that shows 

daily progress including road/structure imagery, addresses and GPS coordinates using an open 

source mapping program such as Google Earth. 

7.0 OTHER CONSIDERATIONS 

7.1. The Contractor shall supervise and direct the work, using skillful labor and proper equipment 

for all tasks. Safety of the Contractor’s personnel and equipment is the responsibility of the 

Contractor. Additionally, the Contractor shall pay for all materials, personnel, taxes, and fees 

necessary to perform under the terms of the contract. 

7.2. The Contractor shall be duly licensed in accordance with the city’s, state’s and Applicant 

Agent’s statutory requirements to perform the work. 

7.3. The Contractor shall be responsible for taking corrective action in response to any notices of 

violations issued as a result of the Contractors or any subcontractors’ actions or operations 

during the performance of the contract. Corrections for any such violations shall be at no 

additional cost to the Applicant Agent. 

7.4. The Contractor shall be responsible for control of pedestrian and vehicular traffic in the work 

area. The Contractor shall provide all flag persons, signs, equipment, and other devices 

necessary to meet federal, state, and local requirements. The traffic control personnel and 

equipment shall be in addition to the personnel and equipment required in other parts of the 

contract. At a minimum, one flag person should be posted at each approach to the work area. 

Work shall be accomplished in a safe manner in accordance with OSHA standards. 

7.5. The Contractor is responsible for obtaining all applicable environmental and regulatory permits 

prior to the contractor commencing operations. 

7.6. The Contractor is responsible for dust control. The Contractor shall be in compliance with all 

state and local laws for dust control. 

7.7. The Applicant Agent may suspend contractor operations due to inclement weather. The 

performance period may be extended for weather delays. 

7.8. The Contractor shall employ as many local residents and subcontractors as possible as part of 

the contract. 

8.0 FINAL DISPOSITION 

Landfill disposal fees are the responsibility of the Applicant Agent. 


9.0 MEASUREMENT 

Measurement for all debris removed will be by the ton as determined by the eligible debris 

delivered to the certified scales minus the tare weight, as supported by the weigh ticket. 

Measurement shall be documented by the weigh ticket. 

Page | 169 

10.0 INSURANCE 

10.1. Prior to signing of contract, contractor agrees to furnish the Applicant Agent with all applicable 

certificates of insurance. Within 24 hours following signing of contract, contractor shall 

provide copies of insurance policies including all endorsements 

10.2. The Contractor shall save and hold the Applicant Agent its agents and employees harmless 

from and against all liability, claims and demands on account of personal injuries (including 

without limitation workmen’s compensation and death claims) or property loss or damages of 

any kind whatsoever, which arise out of or be in any manner connected with, or are claimed to 

arise out of or be in any manner connected with, the performance of the contract, regardless of 

whether such injury, loss or damage shall be caused by, or be claimed to be caused by, the 

negligence or other fault of the Contractor, any subcontractor, agent or employee. 

11.0 PAYMENT 

11.1. Payment for work completed may be invoiced on a semi-monthly basis. Invoices will be based 

on reconciled weigh tickets from the daily operational reports. Payment of any subcontractor is 

the sole responsibility of the primary contractor. 

11.2. Time is of the essence to the performance hereunder and the Applicant Agent shall recover 

from the Contractor any delay costs caused by the acts or omissions of the contractor or its 

agents. Except as otherwise provided herein, payment shall be made for actual work accepted 

and completed. If the Contractor has not been paid within thirty days following the date of 

hand delivery to the Applicant Agent’s authorized agent of said invoice, the Contractor shall 

also be paid a late payment charge consisting of interest calculated at the rate of one and onhalf 

percent per month calculated from the expiration of the thirty day period until fully paid. 

Payment made is based on the post mark date or hand delivery date. No late payment interest 

shall be due and owing for payments withheld in good faith for reasonable cause. 

11.3. For reasonable cause and/or when satisfactory progress has not been achieved by the contractor 

during any period for which a payment is to be made, the Applicant Agent’s authorized agent 

shall hold 10% retainage until substantial completion of the contract value to insure 

performance of the contract. After substantial completion, retainage may be reduced to 5% 

until project closeout. Said cause and progress shall be determined by the Applicant Agent’s 

authorized agent, in his sole discretion, based on his assessment of any past performance of the 

Contractor and the likelihood that such performance will continue. Upon completion of all 

contract requirements, retained amounts shall be paid promptly less any offsets or deductions 

authorized hereunder or by law. 

11.4. The Applicant Agent may withhold payment or final payment for reasons including, but not 

limited to the following: unsatisfactory job performance or progress, defective work, disputed 

work, failure to comply with material provisions of the contract, third party claims filed or 

reasonable evidence that a claim will be filed or other reasonable cause. 

11.5. Final payment, less any offsets or deductions authorized hereunder or by law, shall be made 

within thirty days of the certification of completion of the project by the Applicant Agent’s 

authorized agent provided the Contractor has completed filing of all contractually required 


Page | 170 

documents and certifications with the Applicant Agent’s authorized agent including acceptable 

evidence of the satisfaction of all claims or liens. NOTE: Does not include claims between 

contractor and any of their subcontractors; contractor is responsible for all claims made by any 

of their subcontractors. 

12.0 CHANGES, ADDITIONS, DEDUCTIONS, AND EXTRA WORK 

The Applicant Agent may authorize changes, additions or deductions from the work to be 

performed by written notice to the Contractor. No extra work shall be done or any obligation 

incurred except upon written order by the Applicant Agent. If any change causes an increase or 

decrease in the Contractor's cost of, or the time required for, the performance of any part of the 

work under the contract, the Applicant Agent shall make an equitable adjustment and modify 

the contract in writing. 

13.0 TERMINATION OF CONTRACT 

13.1 The contract may be terminated in writing at any time without cause for the convenience of the 

Applicant Agent. If this clause is executed, the Applicant Agent agrees to pay the contractor for 

all work completed through the termination date, as well as any demobilization costs that may 

have been part of the original contract. 

13.1. The contract shall be terminated for cause if the Contractor defaults in the performance of any 

of the terms hereof, including but not limited to: unsatisfactory job performance or progress, 

defective work, disputed work, failure to comply with material provisions of the contract, third 

party claims filed or reasonable evidence that a claim will be filed, or other reasonable cause; 

or otherwise fails to cure any other deficiency identified by the Applicant Agent within 24 

hours of delivery of notice of said deficiency. The Applicant Agent retains all other legal or 

equitable rights or remedies existing as a result of said default, including but not limited to any 

legal process necessary to obtain any sureties securing this contract. Any reasonable attorney’s 

fee incurred in enforcing this contract will not exceed 5% of said contract price. 

14.0 WARRANTIES AND REPRESENTATIONS 

14.1. The contract is binding upon and inures to the benefit of the Applicant Agent or Assigns and is 

the whole agreement of the parties and governed by the Law of the State of Kentucky. The 

appropriate venue for any litigation resulting hereunder is the Insert County Name Here Circuit 

Court, Kentucky. 

14.2. The Contractor shall comply with all Federal, State, Applicant Agent, and municipal laws, 

ordinances, and regulations. The Contractor shall not discriminate against any employee or 

applicant due to sex, race, color, creed, national origin or ancestry. The Contractor further 

certifies he is eligible to perform the contract under local and Federal law, is not now and has 

never been debarred from performing Federal or State government contracts and that all 

subcontractors used in the performance of this contract have the same qualifications. 

15.0 DEFICIENCIES, CORRECTIVE ACTIONS AND DEDUCTIONS 

15.1. When the Contractor's work does not conform to the Contract requirements completely, a 

deficiency exists. If a deficiency(s) is serious enough to render a service unacceptable, it is also 


Page | 171 

considered a defect. Defects are important in determining if non-compliance levels have been 

exceeded for services inspected. 

15.2. Corrective Actions. If deficiencies are identified, the Applicant Agent must take action to 

correct those deficiencies using one, or in some cases a combination of, the following: 

15.2.1. Stop Unsafe Work. The DPW may immediately stop work on that portion of the job affected by 

a safety hazard, until it is corrected. 

15.2.2. Issue a Stop Work Order. If the DPW Supervisor determines the deficiency is serious, the 

Applicant Agent can issue a stop work order. 

15.2.3. Reduced Value Deduction. The Applicant Agent may reduce the Contract price to reflect the 

reduced value of the services performed. This method is normally used when the work is 

performed by the, Applicant Agent or another contractor rather than the Contractor under the 

contract. The amount of the deduction is equal to the value of the service(s) not performed. 

15.2.4. The Contract may be terminated. 

15.3. The Applicant Agent may discuss corrective actions with the Contractor to prevent future 

occurrences. 

15.4. The contractor shall be responsible for abiding by all Federal, State and local laws. If the 

Applicant Agent or DPW observes non-compliance of these laws the Applicant Agent will 

notify the Contractor, in writing. Such notice, when delivered to the Contractor at the site of the 

work, shall be deemed sufficient for the purpose of work stoppage until the actions are 

corrected. After receipt of such notice, contractor will immediately inform the Applicant 

Agent/DPW Supervisor of proposed corrective action, and take such action as may be 

approved. If the Contractor fails or refuses to comply promptly, the Applicant Agent/DPW 

Supervisor may issue an order stopping all or part of the work until satisfactory corrective 

action has been taken. No part of the time lost due to any such stop orders shall be made the 

subject of a claim for extension of time, or for excess costs or damages by the Contractor. 

16.0 NOTICES 

16.1. At the time of award, the Contractor shall designate, in writing including all contact 

information, an Applicant Agent Representative to receive any Notice required hereunder and 

who shall be available at the local work site in Insert County Name Here County, Kentucky, 

during all times that the Contractor is performing work in accordance herewith. A copy of said 

designation shall be provided to the Applicant Agent at the time of award. 

16.2. The only Applicant Agent personnel authorized to receive any Notice required hereunder is the 

Applicant Agent or DPW Supervisor. Said Notice must be hand delivered during normal 

business hours to the location designated by the Applicant Agent. 

17.0 OTHER CONTRACTS 

The Applicant Agent reserves the right to issue other contracts or direct other contractors to 

work within the area included in the contract. 

18.0 ENCLOSURES/ATTACHMENTS 

• Example Daily Operational Report 

• Example Load Ticket 


Page | 172 

• Example Truck Placard 

• Landfill Location Map 

19.0 ACCEPTANCE OF A CONTRACT 

The Contractor shall provide all the documentation required of the contract within the specified 

time limit, and providing a list of all Sub-Contracts and Proof of Insurance of all Sub- 

Contractors being used under the contract. 

The Contractor shall provide the Applicant Agent the required insurance certificate(s) with a 

clause that shows Indemnity and Hold Harmless from injuries, damages, or losses caused by 

the negligent actions of the Contractor or its Employees to the Applicant Agent. 

The Contractor shall provide proof of adequate insurance that covers any and all liability 

arising from the debris removal process. 

The Contractor shall provide proof of Workman’s Compensation as required by the State of 

Kentucky. 

As agreed upon by the Applicant Agent and_________________ (Contractor name) local subcontractors 

and individuals will be used, to the extent possible, during this debris removal 

project. 

The Contractor agrees to complete the work in a professional, workmanlike manner and within 

the scope of work guidelines set forth above based on the unit pricing submitted by the 

contractor. 

ATTACHMENT 1 

EXAMPLE DAILY OPERATIONAL REPORT 


Page | 173 

ATTACHMENT 1 

EXAMPLE DAILY OPERATIONAL REPORT 

CONTRACT NO. ____________________ 

CONTRACTOR: 

CONTRACT NO: 

Truck No. Location of 

Work 

1 

DAILY REPORT 

DATE OF REPORT: 

Landfill Trips Tonnage Totals Local Collection 

Site Trips 

Tonnage 

Totals 

2 

3 

4 

5 

6 

7 

8 

9 

10 

11 

12 

13 

14 

15 

DAILY 

TOTALS 


Page | 174 

TICKET NUMBER: 

CONTRACT NUMBER 

CONTRACTOR 

DATE: 

DEBRIS QUANTITY 

Truck No: Tare (ton): 

Load Size (Tons): 

Truck Driver: 

DEBRIS CLASSIFICATION 

Burnable 

Non-Burnable 

Mixed 

Other 

ATTACHMENT 2 

LOAD TICKET SAMPLE 

LOAD TICKET 

LOCATION 

Section/Area: Dumpsite 

Loading 

Dumping 

Time 

Inspector 

Eligibility 

(Y/N): 

Original: [County] [City] [State] 

Yellow: Contractor 

Pink: Driver 

Gold: FEMA 

Note: This is a four- part Form: Original goes to the Applicant Agent; Yellow to the Contractor; Pink 

to the Driver; Gold to FEMA 


Page | 175 

ANNEX C 

ANNEX C 

ATTACHMENT 3 

ATTACHMENT 3 

SAMPLE TRUCK 

SAMPLE TRUCK 

Company Name 

Company Name 

Truck Number 

Truck Number 

Tare 

Tare 

Weighed by and Date 

Weighed by and Date 

Debris Management Debris Plan Contract Bid Specifications (Page 12 of 12) 

Debris Management Plan Page 12 of 12

Debris Monitor Report Form 

Daily Debris Monitor Reports 

Disaster # 

Applicant: 

County/Municipality: 

Date: 

FEMA Monitor: 

Applicant Monitor: 

Contractor: 

Dump Location: 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

15. 

16. 

17. 

18. 

19. 

20. 

21. 

22. 

23. 

24. 

25. 

26. 

27. 

28. 

29. 

30. 

Time 

Ticket 

Number 

Truck 

Number 

Full 

Truck 

Capacity 

[CY] 

Applicant 

Eligible 

Capacity 

[% or CY] 

FEMA 

Eligible 

Capacity 

[% or CY] 

Issues or Comments 

Page | 176

Right of Entry on Private Property for Debris Removal 

RIGHT-OF-ENTRY PERMIT 

(Includes Hold Harmless and Insurance Clauses) 

Property Address/Description 

______________________________________ 

Street Address 

______________________________________ 

City and Zip Code 

Permit No. ________________ 

________________________________________ 

Name (Owner or Tenant) 

______________________________ 

Date 

Right of Entry 

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 

right of access and entry to said property to the City of ____________________, its agents, contractors, and subcontractors, for the 

purpose of demolishing, removing, and/or clearing any or all storm-generated debris of whatever nature from the above-described 

property. 

Hold Harmless 

I understand that this permit is not an obligation upon the government to perform debris removal. I agree to hold harmless the United 

States Government, the Federal Emergency Management Agency (FEMA), the Commonwealth of Kentucky, the City of 

____________________, and any of their agencies, agents, contractors, and subcontractors, for damages of any type whatsoever, either 

to the above-described property or to persons situated thereon. I release, discharge, and waive any action, either legal or equitable, that 

might arise by reason of any action of the above entities while removing storm-generated debris from the property. I will mark any sewer 

lines, septic tanks, water lines, and utilities located on the described property. 

Duplication of Benefits 

Most homeowners’ insurance policies have coverage to pay for removal of storm-generated debris. I understand that federal law (42 

United States Code 5155 et seq.) requires me to reimburse the City of ____________________ the cost of removing the stormgenerated 

debris to the extent covered in my insurance policy. I also understand that I must provide a copy of the proof/statement of loss 

from my insurance company to the City of ____________________. If I have received payment, or when I receive payment, for debris 

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 

____________________. I understand that all disaster-related funding, including that for debris removal from private property, is subject 

to audit. 

Sworn and attested: 

Witnessed: 

All owners must sign below. 

Print Name __________________________________ 

Signature __________________________________ 

Date____________________ 

Print Name _____________________________________ 

Signature _______________________________________ 

Date_____________________ 

Name of Insurance Company: __________________________________________________ 

Policy Number: ______________________________________________________________ 

Please do not remove the following items: __________________________________________________________________________ 

____________________________________________________________________________________________________________ 

___________________________________________________________________________________________________________ 

(Continue on back of sheet if necessary) 

Page | 177

RFP for Professional Services Related to FEMA 

Reimbursement, Documentation, and Audit (Page 1 of 4) 

TO: 

FROM: 

RE: 

DATE: 

Qualified Firms 

The City of ___________________, Kentucky 

Request for Proposals for Professional Services Related to FEMA Reimbursement, 

Documentation, and Audit Procedures 

__________________ 

CITY OF _______________, KENTUCKY 

The City of ____________ will be accepting sealed proposals (up to 4:00 p.m. ___, on _____, _____, 

20___), in the city clerk’s office,________________________________ and will be opened at 5:00 p.m. ____, 

__________, 20__. Bids received after 4:00 p.m. will not be considered and will be returned unopened. 

The City of ____________, Kentucky (city) is seeking proposals from qualified firms, hereinafter referred to 

as the Professional Services Related to FEMA Reimbursement, Documentation, and Audit Procedures 

(PSRF), to provide non-exclusive debris removal services as outlined with the terms, conditions, and 

specifications contained in this request for proposals (RFP). All services must be rendered in accordance with 

the Title 2 Code of Federal Regulations (C.F.R.) Part 200, and all other federal requirement standards to receive 

federal reimbursement funding. 

Please refer to the following website for further information on federal requirements https://www.ecfr.gov. 

The City of ____________ reserves the right to select one or more firms. 

An original, three copies, and a PDF version of the proposal must be received in sealed envelopes bearing the 

words “RFP Number 20__- Professional Services Related to FEMA Reimbursement, Documentation and 

Audit Procedures ” and should be hand-delivered or mailed to the city clerk. ___________________ 

E-mailed and faxed proposals will not be accepted. 

RFP documents may be examined and obtained on and after ________, 20__, at 4 p.m. ___ at the ____________ 

clerk’s office: _______________________________________. 

Responsible questions regarding this RFP offering may be directed to the clerk’s office: __________________ 

____________________ The last date for questions pertaining to this proposal is 10 days before the due date. 

Questions after this date will not be answered. 

Any and all responses to questions or inquiries, interpretations, and supplemental instructions will be in the form 

of written addenda which, if issued, will be posted on the city website (_____________________) 

The City of _______________ reserves the right to reject any and all proposals, to waive any and all 

informalities or 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 the City of _____________. The winning participant is required to enter into a 

contract with the City of ______________. 

RFP for Professional Services Related to FEMA (Page 1 of 4)

Page | 179 

Section I. 

Introduction. 

This is a request for proposals (“RFP”) containing information concerning the above-referenced matter, an 

abbreviated scope of work, and evaluation items. Firms expressing interest should be fully capable of providing 

the end results requested. 

This is a procurement of professional consulting services as more particularly described herein. The City of 

__________________ (“city”) will adhere to the following method for conducting evaluations of received RFPs: 

Each firm’s experience and qualifications will be evaluated primarily as they relate to FEMA reimbursement, 

documentation, reporting, and audit support procedures. 

A. The award will be made to the responsible firm whose proposal is most advantageous to the city, with 

price and other factors considered. 

B. The city may or may not elect to interview any of the responding firms. 

C. The city has exclusive and sole discretion to determine the firm whose services will be most advantageous 

to the city, and reserves the right to reject all firms. 

D. Consideration will be given to such matters as contractor integrity, compliance with public policy, record 

of past performance, and financial and technical resources. 

Section II. 

General Scope of Services 

The city desires to select a firm to provide professional services in the following general areas: 

A. Assistance with document control to ensure compliance with FEMA requirements. This includes 

identifying, collecting, and processing supporting documentation. Preparation of documents for filing. 

B. Preparation and assistance with state and/or FEMA final inspections and audits. This includes, but is not 

limited to, collection, organization, scanning, reporting, and filing of storm-related costs (e.g., purchase 

orders, issued/canceled checks, and overtime tracking). 

C. Activities related to collecting and processing document requests from FEMA. 

The scope of services excludes any other compliance services that are included in federal or state disaster relief, 

or in any separate contract with the city. For example, debris removal services within the city, and compliance 

services for that work will be excluded from the scope of services. This will not be an “exclusive” contract and 

should not construed as such. The city reserves the right, subject to negotiation and agreement, in writing, with 

the selected firm, to either expand or limit the scope of services as needed. 

The selected firm will be required to have personnel on-site to complete the tasks required by this scope of 

services. The selected firm will complete the required tasks in a timely and efficient manner. 

Section III. 

Firm Qualification and Proposal Requirements 

The selected firm must be experienced and qualified to provide the required scope of services. To be eligible, the 

firm will be required to be licensed and approved for work within the Commonwealth of Kentucky. 


Page | 180 

The firm selected must have expertise related to the many procedures and requirements of the Federal 

Emergency Management Agency (FEMA), and particular expertise in the area of FEMA public assistance. 

Firms interested in performing the work will be considered on the basis of a proposal containing information 

submitted in response to this request in a form limited to five pages in 12-point font or larger of either Times 

New Roman or Arial. Front and back shall be considered two pages. 

Proposals are due on or before 9:00 a.m. ______, ________, _________, 20__. 

Proposals received after this deadline will not be accepted. 

An original, three copies, and a PDF version of the proposal must be received in sealed envelopes bearing the 

words “RFP Number 20__- Professional Services Related to FEMA Reimbursement, Documentation and 

Audit Procedures” and should be hand-delivered or mailed to the city clerk, ___________________________. 


The following information must be submitted with the proposal on the date indicated above: 

A. Recently Completed Work. Evidence of satisfactory performance of recently completed work of the 

type and kind indicated herein. “Recently completed” means within the last 10 years. Provide detailed 

reports of this work and at least three relevant references. 

B. Experience and Qualifications. A statement of the firm’s qualifications to perform the work and years in 

business should be included. The statement should include the following: 

1. The general experience of the firm, specifically as it relates to FEMA compliance. 

2. The specific experience of the firm’s proposed personnel in the fields that the proposed services 

are requested, their qualifications, years of experience, professional certifications, and 

availability to perform the work and services to be provided. 

3. A statement of experience and work of a similar nature that all the proposed personnel have 

performed. 

4. A statement as to the professional standing of the firm, including any pending controversies 

outstanding. If none exists, such a statement should be made. 

C. Method of Organization. Discuss the firm’s proposed approach to completing the needed services 

and how your firm will coordinate those services. Be specific with regard to internal and external 

communications and quality control. The firm will be expected to maintain open and continuous lines of 

communication with various members of city staff, as well as with various state and federal officials. 

D. Hourly Rates. The firm should attach a proposed hourly rate schedule. The attached hourly rate schedule 

will not count against the five-page proposal limit. The city expects to enter into an agreement based upon 

hourly rates and to set a “not to exceed” amount in the contract. 


Page | 181 

E. Contract Review by FEMA. The contract between the selected firm and the city may be submitted for 

review to FEMA. The city desires that the costs it incurs for services provided by the selected firm be 

eligible for FEMA reimbursement. While the city understands that the selected firm cannot guarantee 

that the services it provides will be eligible for FEMA reimbursement, the city nevertheless desires 

that the selected firm utilize its professional judgment and expertise in an effort to limit its services 

to those which are eligible for FEMA reimbursement. Describe in detail how your firm will comply 

with this requirement. The selected firm will be required to notify the city if at any time any service 

provided by the selected firm under the terms of the contract are not or are not expected to be eligible for 

reimbursement by FEMA in the selected firm’s professional opinion. Include a statement as to whether 

your firm has the level of expertise to fulfill this requirement, as well as a detailed explanation of the 

procedures your firm will implement to fulfill this requirement. 

F. City Expenditures. The city desires to enter into a contract for professional services with a firm 

possessing a high level of expertise and professional skill in the areas described in this RFP. As such, 

the city desires that the selected firm be contractually required to guarantee that all documents generated 

pursuant to the contract shall be in compliance with FEMA regulations and will be in a form so as to 

ensure eligibility of FEMA reimbursement regardless of whether FEMA actually reimburses. Please 

include a statement as to whether your firm can meet this requirement. 

G. Conflicts of Interest. Please include a statement as to potential general conflicts of interest and 

particularly conflicts of interests under FEMA guidelines that may exist that would prevent the city of 

_________ from entering into an agreement with your firm pursuant to this RFP. If none exists, such a 

statement should be made. 

The city reserves the right to reject any proposal and to interview a firm or multiple firms as it sees fit. This RFP 

may be modified or amended at any time and for any reason at the discretion of the city. Should interviews be 

required, the selected firm or firms will be notified of their interview time, and the interview may be conducted at 

city hall, ________________________, or over the phone, as determined by the city. Firms should be prepared 

to make a 10- to 15-minute presentation, followed by a question and answer period. 

There is no guarantee that a contract award will be made pursuant to this RFP. Nevertheless, interested firms 

should be prepared to begin work pursuant to this RFP as early as ___________, ______, 20__, should they be 

selected. 

Page | 181 


Page | 182 

RFP for Debris Removal (Page 1 of 47) 

RFP __________ 

Visit us on the web at __________________ 

Opens _______, 20__ 4:00 p.m. ____ 

Date Awarded: _________, 20__ , 5 p.m. ___ 


1. NOTICE TO CONTRACTORS 

2. STATEMENT OF NON-PARTICIPATION Page 184 

3. DEFINITIONS Page 185 

4. SCOPE OF SERVICES Page 187 

5. BACKGROUND INFORMATION Page 188 

6. GENERAL REQUIREMENTS Page 188 

7. DEBRIS REMOVAL Page 189 

8. RESIDENTIAL DROP-OFF SITES Page 191 

9. STAGING AREAS SITES Page 191 

10. ADDITIONAL SERVICES Page 192 

11. DOCUMENTATION MANAGEMENT & SUPPORT 

12. STAFF AND EQUIPMENT REQUIREMENTS Page 194 

13. REPORTING 

14. OTHER OPERATIONAL CONSIDERATIONS Page 196 

15. TECHNICAL ASSISTANCE 

16. INVOICES 

Attachments: 

Page 195 

Page 197 

Page 183 

Page 196 

A. CONTRACTOR’S QUALIFICATIONS STATEMENT Page 215 

B. NON-COLLUSIVE AFFIDAVIT Page 218 

Click on a page number to be taken directly to each section. 

⇨ 

17. NO EXCLUSIVE CONTRACT/ADDITIONAL 

SERVICES 

18. DELETION OR MODIFICATION OF SERVICES 

19. SUBSTITUTION OF PERSONNEL Page 197 

20. DAMAGE TO PUBLIC OR PRIVATE PROPERTY Page 197 

21. SAFETY Page 198 

22. VERIFICATION OF EMPLOYMENT STATUS 

23. PROPOSAL SUBMISSION REQUIREMENTS 

24. PROPOSAL PRICE FORM 

25. EVALUATION OF PROPOSALS 

26. EVALUATION CRITERIA 

27. SUBMITTAL CHECKLIST 

28. REJECTION CRITERIA 

29. WAIVERS 

Page 205 

30. INSURANCE REQUIREMENTS 

31. GENERAL CONDITIONS 

Page 202 

Page 204 

Page 204 

Page 205 

Page 211 

Page 202 

Page 206 

Page 197 

Page 197 

Page 198 

Page 198 

C. COST SCHEDULE 

Page 219 

D. CONFIRMATION OF DRUG-FREE WORKPLACE 

Page 220 

E. SIGNATURE PAGE 

Page 221 

F. ACKNOWLEDGMENT OF ADDENDUMS 

Page 224 

PERFORMANCE REFERENCE FORM 

Page 225

Page | 183 

NOTICE TO CONTRACTORS 

NOTICE IS HEREBY GIVEN that the CITY OF ____________ is seeking sealed proposals for the following work as 

specified: 

Disaster Debris Removal and Disposal Services 

RFP NUMBER: _______ 

CITY OF _______________, KENTUCKY 

The City of ____________ will be accepting sealed proposals (up to 4:00 p.m. ___, on _____, _____, 20), in the city 

clerk’s office,________________________________ and will be opened at 5:00 p.m. ____, __________, 20__. Bids 

received after 4:00 p.m. will not be considered and will be returned unopened. 

The City of ____________, Kentucky (city) is seeking proposals from qualified firms, hereinafter referred to as the 

contractor or disaster debris removal services (DDRS), to provide non-exclusive debris removal services as outlined with 

the terms, conditions, and specifications contained in this request for proposals (RFP). All services must be rendered in 

accordance with the Title 2 Code of Federal Regulations (C.F.R.) Part 200, and all other federal requirement standards to 

receive federal reimbursement funding. 

Please refer to the following website for further information on federal requirements https://www.ecfr.gov. 

Please note the following: This solicitation is not a request for disaster debris monitoring services. The City of 

____________ reserves the right to select one or more firms. 

An original, three copies, and a PDF version of the proposal must be received in sealed envelopes bearing the words “RFP 

Number 20__- Disaster Debris Removal and Disposal Services” and should be hand-delivered or mailed to the city clerk, 

___________________________________________. 


RFP documents may be examined and obtained on and after ________, 20__ at 4 p.m. ___ at the ____________ clerk’s 

office: _______________________________________. 

Responsible questions regarding this RFP offering may be directed to the clerk’s office: __________________________ 

____________ The last date for questions pertaining to this proposal is 10 days before due date. Questions after this date 

will not be answered. 

Any and all responses to questions or inquiries, interpretations, and supplemental instructions will be in the form of 

written addenda which, if issued, will be posted on the city website (_____________________) 

The City of _______________ reserves the right to reject any and all proposals, to waive any and all informalities or 

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 

the City of _____________. The winning participant is required to enter into a contract with the City of ______________. 

RFP for Debris Removal (Page 2 of 47)

Page | 184 

STATEMENT OF NON- PARTICIPATION 

Proposal NO.: RFP 20__-__ 

Disaster Debris Removal and Disposal Services 

Note: If you do not intend to submit a bid/proposal on this item/service, complete this form and mail to: 

Clerk’s Office 

City of________ 

___________________ ____________________ 

Please indicate the proposal number and title of the proposal on the outside of the envelope. 

We/I do not wish to participate in this proposal for the following reason: 

Specifications proprietary 

Cannot supply at this time 

We do not carry this item 

We do not provide this service 

Unable to meet specifications 

Unable to meet bond requirements 

Other 

Please keep us on your bid list for future projects yes no 

Signature: 

Name of Company: 

Address: 


Page | 185 

DEFINITIONS 

Whenever the following terms appear in the proposal, the intent and meaning shall be interpreted as follows: 

A. Choke Point means an inspection site where all trucks must pass. 

B. Clean-As-You-Go Policy means clearing all debris from each street or work zone on the first pass whenever 

possible. 

C. Construction and Demolition Debris (C&D Debris) means damaged components of buildings and structures such 

as lumber and wood, gypsum wallboard, glass, metal, roofing material, tile, carpeting and floor coverings, window 

coverings, plastic pipe, concrete, fully cured asphalt, heating, ventilation and air conditioning (HVAC) systems and 

their components, light fixtures, small consumer appliances, equipment, furnishings, and fixtures that are a result of 

a disaster event. 

D. Public Works Director means the city’s representative duly authorized by the city manager to provide direction to 

the DDRSC regarding services provided pursuant to this RFP and resulting contract. 

E. Debris means all forms of disaster-related debris, including vegetative debris and mixed debris. 

F. Disaster Debris Removal Service Contractor (DDRSC) means the successful proposer, whether a corporation, 

partnership, individual, or any combination thereof, and its successors, personal representatives, executors, 

administrators, and assignees. 

G. Debris Monitor Service Contractor (DMSC) means the firm retained by the city to monitor the DDRSC‘s 

activities pursuant to its contract with the city and to ensure compliance with FEMA requirements. 

H. Drop-Off Site means a site established for residents of the City of _______ to drop off debris. 

I. Electronic Waste (e-waste) means loosely discarded, damaged, obsolete, or broken electrical or electronic devices, 

including, but not limited to, computers, computer monitors, televisions, and microwaves. 

J. Eligible Debris as determined by FEMA Section #325 Debris Management Guide and other applicable regulations 

means debris resulting from a presidentially declared disaster whose removal, as determined by the city manager or 

his designee, is in the public interest because it is necessary to (1) eliminate immediate threats to life, public health, 

and safety; (2) eliminate immediate threats of significant damage to improved public or private property; or (3) 

ensure economic recovery. 

K. Federal Aid Eligible Roads means roads that are paved, gravel, or dirt and are eligible for repair or replacement. 

L. FEMA means the Federal Emergency Management Administration. 

M. FHWA means the Federal Highway Administration. 

N. Global Positioning System (GPS) means a global navigation satellite system that provides location and time 

information in all weather conditions, anywhere on or near Earth, where there is an unobstructed line of sight to 

four or more GPS satellites. 

O. Hazardous Stump means an uprooted tree or stump (i.e., 50% or more of the root ball is exposed) on a public 


Page | 186 

right-of-way, improved public property, or improved property owned by certain private nonprofit organizations, 

and the exposed root ball poses an immediate threat to life, public health, and safety. 

P. Hazardous Waste means materials and products from institutional, commercial, recreational, industrial, and 

agricultural sources that contain certain chemicals with one or more of the following characteristics, as defined by 

the U.S. Environmental Protection Agency: 1) toxic; 2) flammable; 3) corrosive; and/or 4) reactive, in accordance 

with the Environmental Protection Agency (EPA) section for toxic, flammable, corrosive reaction Resource 

Conservation and Recovery Act (RCRA) Subtitle C 40 CFR Part 260. 

Household Hazardous Waste means used or leftover contents of consumer products that contain chemicals 

with one or more of the following characteristics, as defined by the Environmental Protection Agency: 1) 

toxic; 2) flammable; 3) corrosive; and/or 4) reactive. Examples of household hazardous waste include small 

quantities of normal household cleaning and maintenance products, latex and oil-based paint, cleaning 

solvents, gasoline, oils, swimming pool chemicals, pesticides, and propane gas cylinders in accordance 

with Environmental Protection Agency (EPA) section for toxic, flammable, corrosive reaction Resource 

Conservation and Recovery Act (RCRA) Subtitle C 40 CFR Part 260. 

Q. KYDPH means Kentucky Department of Public Health. 

R. KYEEC means Kentucky Energy and Environmental Cabinet. 

S. KYTC means Kentucky Transportation Cabinet. 

T. Mixed Debris means a mixture of various types of debris including, but not limited to, C&D debris, white goods, 

e-waste, household hazardous waste, metals, abandoned vehicles, tires, etc. 

U. Notice to Proceed means the written notice given by the city manager (or designee) to the DDRSC of the date and 

time for work to start. 

V. NRCS means Natural Resources Conservation Service. 

W. OSHA means the U.S. Department of Labor’s Occupational Safety and Health Administration. 

X. Project Manager means the DDRSC‘s representative authorized to make and execute decisions on behalf of the 

DDRSC. 

Y. Vegetative Debris means clean, woody debris and other organic materials that can be chipped and mulched. 

Z. Vegetative White Goods means all appliances, including but not limited to refrigerators, freezers, stoves, washers, 

dryers, and HVAC units. 

AA. TDRS means temporary debris reduction sites. 


Page | 187 

SCOPE OF SERVICES 

The city is seeking proposals to establish a pre-need, pre-event contract with a qualified contractor for disaster debris 

removal services (DDRS), herein after referred to as contractor, to provide services to the city during disaster or 

emergency events. Disasters include natural events such as hurricanes, tornadoes, windstorms, floods, and fires, as well 

as man-made events or emergencies such as civil unrest, terrorist attacks, and pandemics. In the event of a disaster or 

emergency, the contractors shall service the city first and be on-call to provide all support services necessary to ensure the 

safety and well-being of all residents and visitors to the city. 

The contractor 

applicable 

or contractors 

regulations 

may 

of 

also 

the Federal 

be called 

Emergency 

upon throughout 

Management 

the year 

Agency 

to render 

(FEMA), 

services 

Kentucky 

to assist the city with special 

Transportation Cabinet (KYTC), Federal Highway Administration (FHWA), Kentucky Department 

needs and 

of 

events 

Public 

other 

Health 

than 

(FDH), 

full-scale 

Natural 

disasters, 

Resources 

as determined 

Conservation 

by the 

Services 

city manager. 

(NRCS), 

Contractors 

and the Kentucky 

shall be compliant with 

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 

(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 

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 

coordination funded of services programs. for the City of _________. The contractor or contractors should have proven processes in place 

and best practices to recoup reimbursement from FEMA and all other host agencies, federal, and state-funded programs. 

A. Services may include, but not be limited to: 

Project Management 

Assistances 

Federal & State Reporting 

Reimbursement 

Assistances 

Large-Scale Debris Removal Separation Processing and 

Disposal 

Managing & Operating Temporary 

Debris 

Demolition 

Demolition Debris 

Removal 

Management Sites 

Marine Salvage Operations 

(Boats) 

Waterway Debris Clearing 

Sand Removal fFrom 

Roads 

Streets and Rights-of-way Emergency Berm Construction Restoration of Damaged 

Property by the Haulers 

Including Debris 

Sites/ Locations 

Hazardous Waste Handling 

Tree Trimming (Leaners and 

Hangers) 

Stump Grinding and 

Removal 

The cCity's expectation is that by hiring a professional dDisaster dDebris rRemoval sServices 

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) 

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 

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 

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 

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 

ensure with such maximum regulations, financial representing recovery. the cCity to ensure maximum financial recovery. 

DDRSC will work under the direction of the city’s public works director. The city manager or their designee will issue the 

DDRSC will work under the direction of the cCity’‘s pPublic wWorks dDirector. The cCity 

notice to proceed 

mManager 

to start 

or their 

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designee 

the notice 

will 

to 

issue 

reduce 

the 

resources, 

nNotice to 

and 

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to end 

to 

work. 

start 

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work, 

payments 

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contract resulting 

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 

only for services approved by the pPublic wWorks dDirector. 

To be eligible for award of a contract in response to this RFP, the proposer must demonstrate that it has successfully 

completed services, as specified in this solicitation and are normally and routinely engaged in performing such services, 

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 

has successfully completed services, as specified in this solicitation and are normally and routinely 

engaged in performing such services, and are properly and legally licensed to perform such work. In 

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) 

the cContractors for the City of _________.

Page | 188 

regard to any other work performed by the contractors for the City of _________. 

The selected firm or firms must be experienced and knowledgeable in Federal Emergency Management Administration 

(FEMA) and insurance reimbursement rules and procedures and must demonstrate such to the city in its proposal and 

subsequent selection process presentations. The selected firm or firms must also demonstrate experience and knowledge of 

state, local, and federal environmental regulating and permitting agencies. The selected firm or firms will be responsible 

for staying current with all FEMA and other agencies guidelines and regulations and will be responsible for advising the 

city from beginning to end to ensure maximum financial recovery for the city. 

The city shall issue a separate request for proposals, or extend current contract, or for disaster debris monitoring services. 

The contractor for disaster/debris monitoring services and for disaster/debris removal services shall not be employed or 

be affiliated with each other for providing these types of services that are mentioned in this RFP. A company and affiliates 

can only submit for one of the two RFPs for these services that the city may meets requirements for FEMA reimbursement 

funding sources. 

BACKGROUND INFORMATION 

The city may experience massive destruction from the impact of a tornado, violent storms spawning smaller tornadoes, 

and other natural or manmade disasters or emergencies. 

As a full-service company providing for the economic sustainability of business and residential life, efficient and effective 

recovery of debris is paramount following a disaster event. The city has highly rated city recreational programs, as well as 

fire/police services. Therefore, the city is seeking a highly experienced and highly qualified disaster debris removal service 

contractor to protect the health, safety, and welfare of our community should disaster strike. 

GENERAL REQUIREMENTS 

A. DDRSC shall supply all labor, supervision, materials, equipment, facilities, power, communications, provisions, 

and other services and supplies necessary for, or incidental to, the performance of debris removal and disposal 

services as described in this RFP in accordance with all laws, regulations, and FEMA requirements. Any and all 

services provided by DDRSC and labor, materials and equipment used by a DDRSC, and its subcontractors, must 

comply fully with all federal, state, and local laws, regulations, and guidelines. 

B. DDRSC shall submit with its response to this RFP an operational plan to demonstrate compliance with the bid 

specifications. 

C. DDRSC shall disclose current and future debris management contractual obligations within the state of 

Kentucky with their proposal and annually thereafter throughout the term of the contract to provide reasonable 

assurance that such obligations will not preclude DDRSC from meeting its obligations under this contract. Such 

disclosure shall be provided in report form listing the number of accounts individually, by population served, 

and percentage of DDRSC available resources committed to these other accounts. The report will also indicate 

available resources dedicated to the City of ________. The expectation is that in the event of a disaster, DDRSC 

shall service the City of ________ first. 

D. DDRSC’s project manager or a higher-ranking decision-making designee shall be physically present at the city’s 

emergency operations center within 24 to 48 hours after the storm warning is issued. DDRSC’s duties shall 

include but are not limited to assisting in the impact assessment and required resources; assessing damage; 

coordinating helicopter survey; preparing for first push; ordering and staging equipment and supplies; and 

assisting in coordinating the action plan to be operational in the first 24 hours. 

E. When a notice to proceed in advance of an event has been received by a contractor, he/she will make all necessary 


Page | 189 

arrangements to mobilize and stage resources adequate to begin the emergency push operations within two 

hours, or whatever is reasonable after all-clear conditions that are reasonably suitable to start emergency push 

operations. The City of ____________ shall not provide any additional compensation for mobilization or standby 

time. Any and all costs for mobilization shall be built into each proposer submitted rates for emergency push 

services. At a minimum, the mobilization of four crews shall consist of at least four persons, consisting of 

two chain saw operators, a wheel loader with a 2.5 cubic yard bucket and operator, and a 10 cubic yard (minimum) 

dump truck or trailer with a driver. There shall be one supervisor per every four crews. The supervisor shall have 

his/her own truck for transportation. The above personnel requirements may be changed based on the needs of 

the City of _________ or if the city elects to award multiple contractors. Contractors shall provide 100% of the 

required resources within 96 hours, or as instructed by the public works director. 

F. DDRSC shall provide a clean-as-you-go policy and supervise and enforce such policy during debris management 

operations. 

G. DDRSC shall provide the following annual services at the DDRSC’s expense: 

1. DDRSC shall attend and participate in an annual meeting with the city. 

2. DDRSC shall prepare and present a written plan of operations, including a clear description of the percentage of 

work DDRSC may subcontract out and a list of subcontractors, at an annual meeting with the city. 

3. Upon request, DDRSC shall annually review and visit with city staff to be used during the coming year. 

4. DDRSC shall provide phone consultations and reference information to city staff upon request. 

H. DDRSC shall notify the city within 24 hours of any notices of violation or other notice of any legal or regulatory 

actions taken against DDRSC or its subcontractors while conducting work within the scope of this contract. 

I. DDRSC shall be responsible for responding to and completing any corrective action necessary in response to such 

notice, and for any fines resulting from any violations of federal, state, or local laws or regulations.DDRSC shall 

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 

contained herein. 

J. To the extent required by applicable federal and state regulations, the city must approve all of DDRSC’s subcontractors prior 

to their providing service. DDRSC shall not use a subcontractor or material supplier to whom the city reasonably objects. 

DDRSC shall supply the city, as part of the annual plan of operations, a list of local individuals and firms under contract. All 

debris management subcontractors shall work for the DDRSC rather than the city. All subcontractors will operate in strict 

accord with local, state, and federal laws governing the type of work to be performed. 

DEBRIS REMOVAL 

DDRSC shall provide debris collection and removal activities, including, but not limited to the following types of 

tasks: 

A. FEMA Compliance – DDRSC shall work closely with the city’s debris monitor service contractor to ensure that 

all work is FEMA-compliant and all documentation is properly obtained, including GPS coordinates and photos. 

DDRSC’s failure to utilize federally approved documentation while performing work may result in nonpayment of 

services to the DDRSC by the city. 

B. Emergency Road Clearance – Immediately following a disaster, it may be necessary for DDRSC to cut, toss, and/ 

or push debris from primary transportation routes as identified and directed by the city. Payment under this item will 

be on an hourly basis for labor and equipment as listed under Group Two and Group Three on the Pricing Proposal 

Form. This hourly work will only be conducted for the first 70 hours unless otherwise agreed in writing. 


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C. Debris Removal from Public Rights-of-Way – As identified and directed by the city, DDRSC shall provide all 

labor, services, equipment, materials, and supplies necessary to collect vegetative debris and mixed debris from the 

city rights-of-way and public property. Vegetative debris and other natural materials that can be chipped, mulched, 

burned, and disposed of in some other similar manner and shall be handled separately from mixed debris. The city 

reserves the right to set up temporarily staging sites to prepare debris for final disposal in order to reduce cost 

and to effectively serve the resident of the City of __________. 

D. Demolition of Structures, Debris Removal from Private and Publicly Owned Property – Should an imminent 

threat to life, safety, and health to the general public be present on private property (right-of-entry program) or 

publicly owned property other than rights-of-way, DDRSC, as directed by the city, shall demolish structures and 

remove and relocate to TDRS or to final disposal site. This service shall commence upon receipt of the completed 

right-of-entry forms, hold harmless agreements, non-duplication agreements, and an address-specific notice to 

proceed, and subsequent approval of such notice to proceed by the city. 

E. Stump Removal, Backfill and Haul – As identified and directed by the city, DDRSC shall remove hazardous 

stumps, haul each stump to a designated site, and backfill each stump hole with compatible material as determined 

by the city and DDRSC. Each stump shall be inspected by city and DDRSC inspectors and documented as to the 

appropriate size and payment category. Payment for stumps with a diameter of 24 inches or less (as measured two 

feet from the ground) will be included in the cubic yard price for debris removal based on the Stump Conversion 

Table in FEMA DAP9523.11, Hazardous Stump Extraction and Removal Eligibility, dated May 2007, or any 

subsequent edition. Stumps with a diameter of greater than 24 inches will be paid at a reasonable cost. All stumps 

that are in the public rights-of-way but not in the ground shall be picked up, or other designated site, and included 

in the overall cubic yard price for debris removal. DDRSC shall provide and transmit photographs and GPS 

coordinates of questionable debris or trees or stumps to the public works director to obtain city or FEMA review 

and approval. 

F. Leaning Trees and Hanging Limbs – DDRSC shall trim, cut, and/or fell leaning trees (leaners) and/or hanging 

limbs (hangers) only upon prior written consent of the public works director. Each tree and limb shall then be 

placed in the public right-of-way where such debris shall be removed and included in the overall cubic yard price 

for debris removal. A fallen tree that extends onto the public right-of-way from private property shall be cut at 

the point where it enters the right-of-way, and that part of the debris which lies within the right-of-way shall be 

removed. 

G. Multiple Schedule Pass – DDRSC shall make as many passes as necessary, unless otherwise directed by the 

public works director, to collect all vegetative debris and mixed debris set out by residents for collection within the 

rights-of- way from both sides of the roadway. DDRSC shall not move from one designated work area to another 

designated work area without approval from the debris monitor service contractor or public worksdirector. 

H. Removal from Drainage Systems – DDRSC shall remove storm-generated debris from waterways and drainage 

systems, including drainage canals, retention areas, creeks, and ditches. 

I. Security of Debris during Hauling – DDRSC shall secure debris on/in each vehicle or piece of equipment 

utilized to haul debris. Prior to leaving the loading sites, DDRSC shall ensure that each load is secure and trimmed 

so that no debris extends horizontally beyond the bed of the equipment in any direction. All loose debris shall 

be reasonably compacted and secured during transport in accordance with KYTC and FEMA guidelines. As 

required, DDRSC will survey the primary routes used by DDRSC for debris hauling as soon as possible 

after the transport and will recover fallen or blown debris from the roadways. 

J. Damage by DDRSC – DDRSC shall restore and/or repair, at DDRSC’s expense, all damaged infrastructure 

(curbs, sidewalks, water meters, utility lines, etc.) if the damage is caused by DDRSC’s activities. DDRSC is 

responsible for the preservation of all public and private property including turf, landscaping, sidewalks, curbs, 

fences, driveways, and sprinkler heads and valves. If any direct or indirect damage occurs to public or private 

property, on account of any act, omission, neglect, or misconduct in the execution of the work on the part of DDRSC, 


Page | 191 

such property shall be restored by DDRSC at its expense to a condition similar or equal to that existing before 

such damage or injury, or DDRSC shall repair such damage in a manner acceptable to the contract manager. 

DDRSC shall respond to complaints immediately or within 24 hours and repair any damage within the time frame 

established by the city. In the event DDRSC fails to respond in a timely manner, the city may respond and perform 

damage repairs as necessary and all costs for labor, equipment, and supplies shall be deducted from the DDRSC’s 

invoice. Additionally, DDRSC’s continuous and repetitive incidents of failure to respond as contracted may be 

considered cause to cancel this contract. 

K. Eligibility of Debris – The eligibility will be determined by the DDMSC. The station of the monitors will be 

determined by the public works director and DMSC. Each truck that is observed picking up material outside of 

the designated rights-of-way or assigned work zone, or material that is classified as ineligible, will have all loads 

hauled that day deducted and the load tickets invalidated. DDRSC shall be responsible for any hauling, processing, 

and disposal costs charged to the city by that truck during that day. 

L. Onsite Chipping – In areas not accessible by debris removal equipment and as directed by the public works 

director, DDRSC will chip limbs, branches, foliage, etc., onsite using a hand-fed chipper. DDRSC will collect 

chipped and other tree debris immediately following completion of the chipping and haul the mulch or chipped 

debris to a final disposal site as determined by the contract manager. 

M. Interference with Disaster Recovery Efforts – DDRSC shall conduct its work so as not to interfere with the 

disaster response and recovery activities of federal, state, and local government or agencies, or of any public 

utilities. 

N. Accumulation of Debris – No debris shall be allowed to accumulate or be stored on public property or private 

property at any time without proper authorization from the public works director. Under no circumstances shall 

the accumulation of brush, limbs, cut trunks, logs, or other debris be allowed on a public right-of-way in such a 

manner as to result in a hazard to the public. 

O. Monitoring of DDRSC Removal Activities – The public works director and debris monitor service contractor 

will monitor all DDRSC operations. DDRSC is expected to work closely with the debris monitor service contractor 

agency and has the responsibility to follow FEMA procedural protocol and guidelines, obtaining all required 

documentation during the performance of work. Each truck driver will be given a load ticket that validates where 

the material originated. The estimated quantity will be recorded on the load ticket and a copy of the load ticket will be 

given to the truck driver. 

RESIDENTIAL DROP-OFF SITES 

The city may elect to open a number of drop-off sites to allow city residents to drop off debris. In the event such sites are 

utilized, DDRSC shall be responsible for managing debris at the sites, including but not limited to providing equipment to 

manage debris piles, loading debris for transport, and restoring the site to its pre-use condition. No reduction activities will 

be permitted at the drop-off sites. 

STAGING AREAS SITES 

The city may elect to open a temporary debris reduction site (TDRS). DDRSC shall be responsible for this staging site, 

including but not limited to providing equipment to manage debris piles, loading debris for transport, and restoring the site 

to its pre-use condition. DDRSC shall provide a monitor tower at TDRS. 


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ADDITIONAL SERVICES 

DDRSC may be requested to perform the services detailed below: 

A. Marine Debris Removal – DDRSC shall clear canals and waterways of debris and fallen trees as identified and 

directed by the City in writing. DDRSC shall obtain three quotes for such work and select a subcontractor upon 

approval by the city’s public works director. DDRSC shall ensure all work is eligible and documented in compliance 

with FEMA or NRCS requirements for reimbursement. 

B. Removal of Vehicles and Vessels – DDRSC, as directed by the city, shall remove vehicles and vessels from land 

and waterways. DDRSC shall obtain three quotes for such work and select a subcontractor upon approval by the 

city’s public works director. 

C. Dead Animal Carcasses – DDRSC shall collect, transport, and dispose of dead animal carcasses, including but not 

limited to dead livestock, poultry, and large animals in any permissible manner consistent with federal, state, and 

local laws and regulations. 

D. White Goods – DDRSC should expect to encounter white goods available for disposal. DDRSC shall remove 

and recover Freon from any white goods, such as refrigerators, freezers, or air conditioners in accordance with 

applicable regulations. DDRSC shall recycle all eligible white goods in accordance with all federal, state, and local 

laws and regulations. White goods may be transported to a storage area before decontamination as long as Freon is 

not released during the removal, hauling, or recycling. 

E. E-Waste – DDRSC shall remove, haul, and recycle in any permissible manner consistent with federal, state, and 

local laws and regulations, e-waste from public property and rights-of-way. 

F. Other Services as Requested – DDRSC shall also provide other related services as requested by the city. 

DOCUMENTATION MANAGEMENT AND SUPPORT 

DDRSC shall provide data management and support to the city during the emergency recovery effort ,including but not 

limited to the following: 

A. DDRSC shall utilize load tickets provided by the debris monitor service contractor administration to track 

and document the removal and management of eligible debris. DDRSC shall ensure that load tickets meet the 

requirements of FEMA and other federal, state, or local reimbursement agencies. 

B. Each load ticket shall contain the following information: 

1. Prime contractor name 

2. City contract/disaster number 

3. Sub-contractor name 

4. Truck driver name 

5. Date and time of pick up 

6. Date and time of delivery 

7. Pick up location (street address or primary street between specific areas) 

8. Loading zone number 

9. Debris clearing cycle (push, first pass, second pass, third pass, etc.) 


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10. Truck ID number and capacity 

11. Total cubic yards picked up 

12. Debris classification (vegetative, white goods, C&D, mulch, stump, etc.) 

13. Delivery site 

14. Load monitor printed name and signature 

15. Dump monitor printed name and signature 

16. GPS coordinates 

C. Load tickets will be issued by the debris monitor service contractor or city personnel prior to departure from the 

loading site or upon arrival at the debris staging area. The debris monitor/city will keep two copies of the load ticket 

and the vehicle operator will retain the remaining copies for DDRSC’s records. DDRSC will scan all load tickets. 

DDRSC shall provide scanned copies of all load tickets, as well as a spreadsheet itemizing all load tickets, every 30 

days or more frequently as requested by the contract manager. 

D. DDRSC shall supply certification placards meeting FEMA requirements and place such placards on its vehicles. 

Placards shall also include the wording “City of ________ Disaster Debris Service Contractor” and the DDMC’s 

name. DDRSC will certify each truck prior to receiving the placards. 

E. DDRSC shall have a system for clearly tracking and documenting all its costs associated with work conducted 

pursuant to this contract, identifying expenditures eligible for reimbursement, and maintaining documentation of the 

recovery process. 

F. DDRSC will work closely with the city and applicable federal, state, and local agencies to ensure that the 

city’s emergency recovery procedures and data documentation for eligible debris meet the requirements of the 

reimbursement agencies. DDRSC shall provide to the city all records, disposal tickets, field inspection reports, 

and other data necessary to adequately document recovery services and provide sufficient substantiation for 

federal and state reimbursement applications. DDRSC shall provide hard copies and electronic scanned documents 

with an itemized spreadsheet. DDRSC shall assist the city in preparing federal and state reports and applications 

for reimbursement, including training agency/department employees. DDRSC shall review all reimbursement 

applications prepared by the city or debris monitor service contractor prior to submittal for sufficiency in meeting 

the reimbursement requirements of these organizations and notify the city or debris monitor service contractor 

of any recommended changes, corrections, alterations, or deletions. DDRSC shall assist, as directed by the 

city, in responding to federal and state agency requests for additional information and in negotiations with 

federal and state officials. DDRSC shall retain all documentation and records for a minimum of 10 years after 

project final closeout by FEMA. 

G. DDRSC shall reconcile any discrepancies between the debris monitor’s daily report and the corresponding load 

tickets within 48 hours. 

H. DDRSC shall provide documentation for all items salvaged or recycled. Documentation shall include identification 

of material type, quantity, location material is accepted for salvage or recycling, and the value of the salvaged 

or recycled material. DDRSC shall provide the value of the salvaged or recycled material back to the city as a 

reimbursement credit back to FEMA, as required by FEMA. The value of the material will be defined as the value 

of the material as paid to DDRSC by the entity accepting the material for salvage or recycling. 


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STAFF AND EQUIPMENT REQUIREMENTS 

DDRSC shall have a professional staff with the knowledge, skills, and training to manage the disaster recovery process 

efficiently and effectively. Extensive knowledge of FEMA, FHWA, NRCS, KYTC, KYDPH, KYEEC, and other 

applicable federal, state, or local agency regulations and policies is required. 

A. DDRSC shall ensure that its workforce, including subcontractors, maintains self-sufficiency related to fuel, vehicle 

repair/maintenance, housing, sanitation, food, and related accommodations in a manner that is consistent with local 

requirements and minimizing adverse effects on the community. Employee overnight camping must be approved 

by the contract manager. 

B. DDRSC shall employ a project manager and an operations manager, both fluent in English, who shall be accessible 

and shall have full authority to act on behalf of DDRSC and to address and resolve issues that may arise during 

the course of the work. All communications given to the project manager or operations manager in writing by 

the public works director shall be as binding as if given to DDRSC. The city expects the DDRSC to dedicate 

key employees to this contract for a minimum period of one year in order to fully understand the scope and 

responsibilities as a first responder. 

C. The operations manager shall be on call 24 hours per day, seven days per week, and shall be available by cellphone. 

In the event normal communication (telephone, cellphone, radio, etc.) is unavailable, DDRSC shall provide its 

project manager and operations manager with a reliable means of communication (satellite radio, satellite 

telephone, etc.) with the city. 

D. DDRSC’s operations manager shall coordinate daily with the public works director and debris monitor, and shall 

comply with all directions and guidance provided by federal or state representatives. 

E. DDRSC must attend any and all meetings required by the public works director to evaluate the debris removal and 

disposal operations. 

F. All equipment and equipment operators used in the performance of this contract must be in compliance with all 

applicable federal, state, and local rules and regulations. 

G. Prior to start of work, DDRSC shall submit, electronically and in hardcopy to the city and debris monitor, 

certification indicating the type of vehicle; make; model; license plate number; DDRSC equipment number; 

measured maximum volume, in cubic yards, of the load bed of each piece of equipment to be utilized to transport 

debris; and any other information necessary to comply with federal or state requirements. The measured volume 

shall be calculated from actual physical measurement performed by DDRSC and the reported volume shall be the 

same as shown on the signs affixed to each piece of equipment. DDRSC and debris monitor service contractor or 

public works director shall jointly measure the volume of each piece of equipment calculated from actual interior 

bed measurements. 

H. Per FEMA Recovery Policy RP9523.12, mechanically loaded vehicles are preferred for debris removal. Handloaded 

vehicles are prohibited unless pre-authorized in writing by the public works director or debris monitor. The 

observed capacity of all hand-loaded trucks and trailers shall be reduced by 50% to account for low compaction. 

I. All trucks and trailers utilized in transporting debris shall have a tailgate that will permit the vehicle to be loaded 

to capacity and effectively contain the debris while in transport. All trucks and trailers should be capable of rapidly 

dumping their loads without the assistance of other equipment. Subject to approval by the city, sideboards or other 

extensions to the bed are allowed provided they meet all applicable rules and regulations and are constructed to 

withstand severe operating conditions. Vehicles must be re-measured and re-marked if sideboards or extensions 

are removed or if the vehicle is similarly altered. Vehicle load tarps may be required before the recovery period is 

complete. 

J. Equipment used under this contract shall be rubber-tired and sized properly to fit loading conditions. Excessively 


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sized equipment (100 cubic yards and up) or non-rubber-tired equipment must be approved for use on the road by 

the public works director. 

K. All equipment used in the performance of this contract shall be in good operating condition. All equipment, including 

but not limited to grinding equipment, generators, light towers, etc., shall be equipped with a properly functioning 

accurate hour meter. 

L. Trucks or equipment designated for use under this contract shall not be used for any other work during the working 

hours of this contract. DDRSC shall not solicit work from private citizens or others to be performed in the designated 

work area during the period of this contract. Under no circumstances will DDRSC mix debris hauled for others 

with debris hauled under this contract. DDRSC and subcontracted employees are strictly prohibited from engaging 

in scavenging. This activity shall also be monitored by the disaster debris monitoring services contractor. 

M. DDRSC shall be responsible for obtaining sites to stage equipment, such as trucks, when not in use. 

REPORTING 

DDRSC shall submit periodic written electronic reports in a format required by the city, documenting the progress of debris 

removal and disposal. These reports shall include, but are not limited to, the following: 

A. Daily Reports – DDRSC shall make daily reports to the city to detail the progress of debris removal and disposal 

operations. Such reports shall include: (1) a description of all areas where work was done, detailing street names 

and address blocks where debris removal was completed during each pass; (2) types and volumes of debris 

transported, reduced, and disposed; (3) the number of trucks, other equipment, and personnel utilized that day; and 

(4) other operational and complaint tracking information as requested by the city. The format of the reports shall be 

developed during the pre-event planning and coordination phase. 

B. Weekly Summaries – DDRSC shall submit, within two days of the close of the week, a summary of all information 

contained in the daily reports as described above. At the request of the city, the data making up the weekly 

summaries shall also be submitted in electronic format, utilizing Microsoft Excel or Access. The submitted 

electronic weekly data will include DDRSC or subcontractor name, load ticket number, load date, load location, 

truck yardage, percent full, calculated yardage (or weight if applicable), field monitor name/number, tower monitor 

name, debris materials categorization, location of collection (e.g., ROW), etc. 

C. Damage Reports – DDRSC shall notify the public works director on a daily basis of any damage to public or 

private property or major problems such as equipment failure or loss of qualified labor. 

D. Data Reconciliation – Reconciliation of data will be accomplished weekly between DDRSC and the public works 

director or debris DDMSC with acknowledgment of a contract manager. All discrepancies will be resolved within 

five days. 

E. Final Project Closeout – Within 30 days of final inspection and/or closeout of the project by the city, DDRSC 

shall prepare and submit a detailed description of all debris management activities in an electronic spreadsheet to 

include but not be limited to the total volume by type of debris hauled, reduced, and/or disposed; final disposal 

locations and amounts of the debris delivered to each; and the total cost of the project invoiced to the city. DDRSC 

shall provide, upon request of the city and/or no later than project closeout, a release of liens demonstrating that all 

subcontractors to DDRSC have been fully paid. DDRSC will provide any other additional information as may 

be necessary to adequately document the conduct of the debris management operations for the city. Final project 

reconciliation must be approved by the city. 

F. Report Maintenance – DDRSC will be subject to audit by federal, state, and local agencies. DDRSC shall 

maintain all reports, records, debris reporting tickets, and correspondence related to this contract for a period of not 

less than 10 years after final closeout by FEMA. 


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OTHER OPERATIONAL CONSIDERATIONS 

A. Inspection – All emergency debris shall be subject to inspection by the debris monitor, public works director, or 

any public authority in accordance with generally accepted standards to ensure compliance with the contract and 

applicable federal, state, and local laws and regulations. DDRSC shall, at all times, provide the debris monitor 

service contractor and city access to all work sites and disposal areas. 

B. Working Hours – Unless otherwise approved by the city, all activity associated with gathering, loading, and 

hauling debris shall be performed during visible daylight hours. DDRSC may work during these hours seven days 

per week, including holidays. DDRSC shall mandate employee rest breaks and mealtime when hourly rates apply 

and such time shall be posted on the invoice. It is expected that DDRSC shall work daily until project completion. 

Holiday leave and closure may be authorized based on operational needs and with city approval. DDRSC shall be 

responsible to coordinate with the public works director in the event weather conditions delay or modify the daily 

schedule. To begin to work on a holiday and Sundays they would need approval from the public works director. 

C. Traffic Control – DDRSC shall mitigate the impact of its operations on local traffic to the fullest extent 

practicable. DDRSC is responsible for establishing and maintaining appropriate traffic controls in all work areas. 

DDRSC shall provide sufficient signage, flags, barricades, and appropriate public safety personnel to ensure the 

safety of vehicular and pedestrian traffic in all work areas. 

D. Remedies – Contracts for more than the simplified acquisition threshold ($250,000) must include a remedies 

clause. PDAT recommends a comprehensive provision which addresses administrative, contractual, or legal 

remedies in instances where contractors violate or breach contract terms or provide for such sanctions and penalties 

as appropriate. 

E. Domestic Preferences – For purchases in support of FEMA declarations and awards issued on or after Nov. 12, 

2020, all FEMA recipients and subrecipients are required to include this provision in all contracts and purchase 

orders for work or products of a contract provision encouraging domestic preference for procurements. 

F. Prohibition on Covered Telecommunications or Services – For purchases in support of FEMA declarations 

and awards issued on or after Nov. 12, 2020, all FEMA recipients and subrecipients, and their contractors and 

subcontractors, are required to include this contract provision in all FEMA-funded contracts and subcontracts, 

including any purchase orders. 

G. Affirmative Socioeconomic Steps – For procurements under FEMA declarations and awards issued on or 

after Nov. 12, 2020, all NFEs are required to take the six affirmative steps to ensure use of small and minority 

businesses, women’s business enterprises, and labor surplus area firms when possible. One of the six steps is to 

require the prime contractor, if subcontracts are to be let, to take the five other affirmative steps. 

TECHNICAL ASSISTANCE 

DDRSC may be requested by the city to provide technical expertise and guidance to support the city during the emergency 

recovery effort, including but not limited to the following: 

A. Assisting in emergency debris recovery planning efforts such as disaster recovery plan development and 

identification of adequate resources. 

B. Assisting in determining and assessing the impact and magnitude of the emergency event before federal assistance 

is requested, identifying damaged locations and facilities, assessing and preparing initial estimates of debris volumes, 

distinguishing between pre-emergency damage and emergency generated damage, documenting eligible costs, and 

describing the physical and financial impact of the emergency. 

C. Providing training sessions for key city personnel. 

D. Assisting with developing, producing, or distributing public information. 


Page | 197 

INVOICES 

The contractor should submit regular invoices for no more than 30-day periods. Invoice format and documentation should 

be acceptable for FEMA reimbursement. Timely invoicing is beneficial for both the city and DDRSC. Invoices should be 

submitted within 60 days of service provision to reconcile with supporting documentation prior to payment disbursement. 

NO EXCLUSIVE CONTRACT/ADDITIONAL SERVICES 

The contractor agrees and understands that the contract shall not be construed as an exclusive arrangement and further 

agrees that the city may, at any time, secure similar or identical services from another vendor at the city’s sole option. 

The city may require additional items or services of a similar nature, but not specifically listed in the contract. The 

contractor agrees to provide such items or services, and shall provide the city prices on such additional items or services 

based upon a formula or method, which is the same or similar to that used in establishing the prices in their proposal. If 

the price(s) offered are not acceptable to the city and the situation cannot be resolved to the satisfaction of the city, the city 

reserves the right to procure those items or services from other vendors or to cancel the contract upon giving the contractor 

30 days written notice. 

Time and material contracts will be limited to specific circumstances when no other contract type is feasible. If a 

time and material contract must be utilized, a contract cost ceiling will be implemented. The basis of this contract 

will be a fixed cost contract agreed to by both the city and the contractor. 

DELETION OR MODIFICATION OF SERVICES 

The city reserves the right to delete any portion of this contract at any time without cause, and if such right is exercised by 

the city, the total fee shall be reduced in the same ratio as the estimated cost of the work deleted bears to the estimated cost 

of the work originally planned. 

If the contractor and the city agree on modifications or revisions to the task elements after the city has approved work to 

begin on a particular task or project, and a budget has been established for that task or project, the contractor will submit a 

revised budget to the city for written approval prior to proceeding with the work and a new contract will be required to in 

act the agreed upon changes. 

SUBSTITUTION OF PERSONNEL 

In the event the contractor wishes to substitute trained, qualified, personnel for those listed in the proposal, the city shall 

receive prior notification and have the right to review, test, and approve such substitutions if deemed necessary. If the 

city has reasonable evidence to believe that an employee of the contractor is incompetent or has performed his or her 

employment in an objectionable manner, the city shall have the right to require the contractor to resolve the situation to 

the city‘s satisfactions, provided, however, that the contractor shall not be required to institute or pursue to completion any 

action if to do so would violate any law, state statute, city ordinance, contract, or employment or union agreement. 

DAMAGE TO PUBLIC OR PRIVATE PROPERTY 

Extreme care shall be taken to safeguard all existing facilities, site amenities, irrigation systems, vehicles, etc., on or around 

the job site. Damage to public and/or private property shall be the responsibility of the contractor and shall be repaired and/ 

or replaced at no additional cost to the city, including the restoration to its previous condition. 


Page | 198 

SAFETY 

The contractor(s) shall adhere to the Kentucky Transportation Cabinet Manual on Uniform Traffic Control for 

construction and maintenance work zones when working on or near a roadway. It will be the sole responsibility of the 

contractor to make themselves and their employees fully aware of these provisions, especially those applicable to safety. 

Contractors are required to be compliant with all of OSHA’s federal and state requirements for a healthy and safe working 

environment. 

VERIFICATION OF EMPLOYMENT STATUS 

Any contractor/consultant assigned to perform responsibilities under its contract with a state agency are required to utilize 

the U.S. Department of Homeland Security‘s E-Verify system to verify the employment eligibility of (1) all persons 

employed during the contract term by the contractor to perform employment duties within Kentucky; and (2) all persons 

(including subcontractors) assigned by the contractor to perform work pursuant to the contract with the state agency. 

U.S. Department of Homeland Security’s E-Verify System Affirmation Statement should be completed and 

submitted with the bidder’s response to this RFP. 

PROPOSAL SUBMISSION REQUIREMENTS 

To facilitate the analysis of responses to this solicitation, proposers are required to prepare their submittal in accordance 

with the instructions outlined in this section. Proposers should assume that the city has had no previous knowledge of 

their products, services, or capabilities. Emphasis should be placed on clear, complete presentation of factual information. 

All sections of the proposal should be prepared and submitted in a straightforward, economical manner. Expensive 

binding, elaborate artwork, or other embellishments that improve a proposal’s appearance without affecting its content 

are discouraged. Proposers are not to make any reference to information they submitted in previous proposals or quotes 

submitted to the city. Proposers must respond in full to all solicitation sections and follow the indicated format (section 

numbering and similar matters) in their submittal. Failure to follow these instructions may result in rejection of the 

submittal. 

Tab A: OVERVIEW 

a. Title Page 

Title page showing the request for proposal’s subject; the firm’s name; the name, address, and 

telephone number of a contact person; and the date of the proposal. 

b. Table of Content 

c. Transmittal Letter 

A signed letter of transmittal briefly stating the proposer‘s understanding of the work to be done, 

the commitment to perform and work within the time period, a statement of why the firm believes 

itself to be best qualified to perform the engagement, and a statement that the proposal is a firm and 

irrevocable offer for 90 days from the date of the proposal opening. 

d. Detailed Proposal 

The detailed proposal should address all the points outlined in the request for proposal as outlined 

in Sections 8-29. 


Page | 199 

Tab B: FORMS 

See submittal checklist in Section 32. 

Tab C: EXPERIENCE AND ABILITY. 

The relative experience and qualification of each applicant’s proposed team, with respect to the project 

scope, will be judged and a relative rating assigned. This parameter expresses the general and specific 

project-related capability of the in-house staff and indicates the adequate depth and abilities of the 

organization which it can draw upon as needed. This will include management, technical, and support 

staff. Major consideration will be given to the successful completion of previous projects comparable 

in design, scope, and complexity. 

1. Describe the firm’s background, history, and overall experience. 

2. Describe the firm’s expertise and experience in performing the proposed work. 

3. Describe the firm’s experience in filing and receiving federal and state reimbursements. 

4. Have you ever been awarded a contract that you haven’t fulfilled? 

5. Have you ever raised prices immediately following an emergency declaration? 

6. Please provide a listing of active contracts for the last five years. 

7. The proposer will provide experienced staff. Certification or active involvement with disaster preparedness 

agencies is highly desirable such as: NIMS certification, FEMA Region IV, FEMA National Advisory Council, 

FEMA National Training Programs (NTP), FEMA Center for Domestic Preparedness (CDP), FEMA 

Emergency Management Institute (EMI), and Kentucky State Emergency Response Commission (SERC). 

8. Briefly describe the number of employees and supervisors available for this contract and the firm’s ability to 

secure subcontractors if necessary. 

9. Identify the location of the office responsible for this project, the contact person, and supervisory personnel 

who will work on the project, including the relative experience of all professionals proposed for use on 

the team in the planning and administration of the project 

10. Provide resume(s) of key persons to be assigned to the project with emphasis on their experience with similar 

work. 

11. Provide resume(s) of the on-site staff to be assigned to the project with emphasis on their experience with 

similar work. 

12. Explain the ability and experience of the field staff with specific attention to project-related experience. 

13. For office staff and on-site staff, show the organization chart as it relates to the project, indicating key personnel 

and their relationship. 

14. If the contractor proposes to use subcontractors in the course of providing these services to the city, this 

information shall be a part of the bid response. The package should also include a list of subcontractors 

proposed to work on the project, including professional services, along with their abilities and qualifications 

as related to the project’s specific requirements and their ability to accomplish the project. 

15. A list of current and future debris management contractual obligations with their current status and projected 

termination dates. 

a. Provide reasonable assurance that such obligations will not preclude DDRSC from meeting its 

obligations under this contract. 

b. A plan for managing multiple Kentucky-based debris management contracts. 


Page | 200 

c. The proposer must currently have a minimum of five years of full-service disaster debris management 

contracts management experience. 

TAB D: OPERATIONAL PLAN 

The operational plan shall demonstrate the proposer’s compliance with the bid specifications and 

demonstrate their understanding of the requirements and needs of this project. 

1. The operational plan shall clearly address all aspects of the project proposed, including debris management 

services, pre-planning services, operating plan, mobilization timeframes, staffing, management, employee 

training, quality assurance, quality control, assistance with FEMA reimbursement, etc. 

2. Organizational structure of firm; chain of command; subcontractor’s plan. 

3. Define methods used to complete assigned tasks. 

4. Please clearly describe all aspects of the project proposed. 

5. Include details of your approach and work plans. 

6. Identify any issues or concerns of significance that may be appropriate. 

Tab E: PREVIOUS EXPERIENCE: 

Provide specific examples of similar contracts delivered by the proposed team members. Provide details on 

related projects (preferably where the team was the same). References should be capable of explaining and 

confirming your firm‘s capacity to successfully complete the scope of work outlined herein. 

1. Confirm that the proposer is currently, and has been conducting business as, a full-service disaster debris 

management contractor for the last five years consecutive years. References should reflect this. 

2. Demonstrate that the proposer has experience performing work as a primary contractor on disaster debris 

management projects exceeding 2.5 million dollars ($25,000,000) per event. 

3. Details of references should include the following: 

a. Name and location of the project 

b. Detailed description of the comparable projects (similar in scope of services to those 

requested herein) 

c. Nature of the firm’s responsibility on the project 

d. Project owner’s representative name, address, phone number, and e-mail address 

e. Project duration and the date the project was completed or is anticipated to be completed 

f. Size of project, including number of residents 

g. Cost of project 

h. Work for which staff was responsible 

i. Contract type 

j. The results/deliverables of the project 

Tab F: FINANCIAL CAPABILITY: The firm’s financial capability is to be addressed and should 

indicate the resources and the necessary working capital to assure financial stability through to the 

completion of the project. Proposer must provide the following required documentation related to the 

firm’s financial stability: 

1. Briefly describe your firm’s financial status and provide proof of adequate line of credit or other 

financial assets to access funds for multiple projects during the same time period 

2. The proposer must provide proof that it is properly and legally licensed to perform disaster and 

debris management services. 


Page | 201 

3. List appropriate licenses as issued by __________________ County. 

4. A reproduction of the firm’s current professional registration certificate(s) is required for the services 

offered and must be in the name of the firm offering said services. 

5. Firms must be properly registered at the time of application to practice their profession in the state 

of Kentucky and with the appropriate state requirements. 

6. If the firm offering services is a corporation or joint venture, it must be properly chartered with the 

Department of State to operate in Kentucky and provide a copy of the firm‘s current Kentucky 

Corporate Charter. 

Tab G: BUSINESS STRUCTURE & PROFESSIONAL REGISTRATION CERTIFICATES: 

1. The proposer must provide proof that it is properly and legally licensed to perform disaster and debris management 

services. 

2. List appropriate licenses as issued by __________________ County. 

3. A reproduction of the firm’s current professional registration certificate(s) is required for the services offered 

and must be in the name of the firm offering said services. 

4. Firms must be properly registered at the time of application to practice their profession in the state of Kentucky 

and with the appropriate state requirements. 

5. If the firm offering services is a corporation or joint venture, it must be properly chartered with the Department 

of State to operate in Kentucky and provide a copy of the firm‘s current Kentucky Corporate Charter. 

SUBMISSION COPIES 

Submit sealed proposals, one original, five copies, and one single PDF file on a flash drive, 

addressed to the Purchasing Division of the City of _________, ________ County, Kentucky. 

Each envelope should bear the following information: 

• Proposer’s Name and Return Address 

• Solicitation Number (RFP #2021-0 

• Title of Solicitation (DISASTER DEBRIS REMOVAL SERVICES) 

• Solicitation Due Date & Time (______, 20__ at 4:00 p.m. ___) 

Although methods and means are always the responsibility of a contractor, bidders shall describe their 

techniques, equipment, and sequencing of their operations with their bids. In determining the lowest 

responsive and responsible bidder, experience of providing similar services will be used in the evaluation 

of bids by the city. Failure to submit the above requested information may be cause for rejection of your 

bid. 


Page | 202 

PROPOSAL PRICE FORM 

Complete the proposal price form(s) by inserting vendor’s name, address, and contact information in the appropriate 

fields. This form has been designed to allow only the entry of requested information in the unlocked fields. For accuracy 

and convenience, the total will be calculated automatically. Recheck your entries prior to submission to ensure correct 

totals. 

Once complete, print and click “save as” to save the file and include on your electronic submission of your proposal or 

USB flash drive (provided by the proposer). The electronic version (on the USB flash drive) and hard copies should be 

submitted with your solicitation response. 

EVALUATION OF PROPOSALS 

The evaluation committee shall review and evaluate the proposals received in response to this solicitation. The evaluation 

committee will be responsible for selecting the most qualified firm contract with for the services described in this 

solicitation. The purchasing division will review each response and provide information to the evaluation committee of 

the completeness of each response. A responsive proposal is one that follows the requirements of the solicitation, includes 

all documentation, is submitted in the format outlined in the solicitation, is of timely submission, and has the appropriate 

signatures as required on each document. FAILURE TO COMPLY WITH THESE REQUIREMENTS MAY RESULT IN 

A RESPONSE BEING DEEMED NON-RESPONSIVE BY THE EVALUATION COMMITTEE. 

Each firm should submit the requested documents with their response that evidence capability to provide the services 

required for evaluation committee review for short-listing purposes. The weighted scoring criteria for selection contained 

below in this solicitation shall be the basis of selection. 

Experience and Ability (Max 25 points) 

Submit a brief executive summary of no more than three pages in non-technical language to summarize the 

participants’ overall capabilities and approaches for accomplishing the services specified herein; understanding 

of the nature and scope of the services to be provided; understanding of the unique requirements of providing 

services; and the proposer’s ability to comply with all requirements of contract. The proposer shall explain why 

the firm would be the best choice. 

In the event the proposer is a joint venture, the proposer shall list the use of joint venture partners. 

Operational Plan (Max 25 points) 

Describe in detail how the proposer will accomplish the solution(s)/services identified in the proposed scope of 

services above in order to complete the required service. At a minimum, the response must include and provide 

detailed responses to the following: 

A. Proposer’s Procedures: Provide procedures for completing work required and how the procedures will be applied 

or modified to comply with requirements of this project. 

B. Coordination and Communication: Provide detailed information on how the proposer will coordinate the 

completion of required service(s). Provide detailed information on how the proposer will communicate with 

assigned city personnel prior to, during, and after job commencement. 

C. Reports: Provide an explanation and detailed examples of any reports and/or data that will be provided prior to, 

during, and after the execution of services. 

D. Other Services: Describe any additional services and their proposed methodology that the proposer is proposing to 

provide with relation to the scope of this RFP. 


Page | 203 

Previous Experience (Max 20 points) 

All proposers providing a response to this solicitation shall have their client submit directly to the city via email as 

indicated below a completed performance evaluation survey form in PDF format. All forms must be received from your 

clients directly by the city by the due date as stated in Notice to Proposers – 

• Required Response Form 

• Or through an addendum and or change of calendar date in our webpage. 

Four related performance evaluation survey forms are required to be considered for the maximum solicitation points. If the 

city receives less than four completed forms directly from your client, points will be proportionally reduced. References 

from higher education or public sector clients are preferred. 

Proposers must have their clients utilize the referenced attachment for the references’ information/response. References 

shall be from clients for whom the proposer has performed (or is currently performing) work, similar in nature and size, as 

the scope described herein within the three years prior to the solicitation due date. 

All references are to be emailed from your clients directly to the city to: 

City Clerk: _________________________ Email: ______________________________ 

Please provide the performance evaluation survey form to each of your references requesting that form be filled out. 

Once the form is completed by each of your clients/references, instruct them to email the form directly to the purchasing 

division email listed above in PDF format. All forms must be received by the due date as ANY CITY OF 

_________________ PROJECTS OR CONTRACTS SHOULD NOT BE INCLUDED AS A REFERENCE. 

The city reserves the right to verify all references received and/or use an external party to conduct reference checks. 

Financial Capability (Max 10 points) 

Financials MUST be submitted in a separate envelope. Do not include them in your complete bid package. This document 

should be your audited financials. 

PRICING (Max 20 points) 

The proposer shall complete the proposal price form(s) as described in Section 30 to include all costs for materials, direct 

labor costs, indirect costs, and profit margin. 

The Fee Proposal: 

The proposals response with the lowest proposed grand total amount being offered will receive thirty (30) points. 


Page | 204 

EVALUATION CRITERIA 

The scoring of the responses by the eEvaluation cCommittee will be based on a point total and 

not a percentage factor. The eEvaluation cCommittee will evaluate and rank the proposals 

received on the basis of the criteria and available points indicated below. The fFirm with the 

highest ranking totals that’‘s responsive and responsible meeting all specifications shall be 

recommended for award by the eEvaluation cCommittee. 

The scoring of the responses by the evaluation committee will be based on a point total and not a percentage factor. 

The evaluation committee will evaluate and rank the proposals received on the basis of the criteria and available points 

indicated below. The firm with the highest-ranking totals that’s responsive and responsible meeting all specifications shall 

be recommended for award by the evaluation committee. 

Each evaluation factor will be rated and assigned points using the scoring guide below. 

Each eEvaluation fFactor will be rated and assigned points using the scoring guide below. 

Evaluation Criteria 

Maximum 

Points 

A – Experience and Ability ( 25 points) 25 

B – Operational Plan (25 points): 25 

C – Previous Experience (20 points): 20 

D – Financial Capability (10 points): 

10 

(Submit in a separate sealed envelope). 

E – Pricing (20 points): 

20 

TOTAL MAXIMUM POINTS 100 

CONTACT WITH ANY PERSONNEL OR ELECTED OFFICIAL OF THE CITY OF 

CONTACT WITH ANY PERSONNEL OR ELECTED OFFICIAL OF THE CITY OF ________, OTHER THAN 

________, OTHER THAN THE PERSON DESIGNATED ON PAGE 2 OF THIS 

THE PERSON DESIGNATED ON PAGE 2 OF THIS SOLICITATION, DURING THE SOLICITATION, 

SOLICITATION, DURING THE SOLICITATION, EVALUATION, AND AWARD 

EVALUATION, AND AWARD PROCESS REGARDING THIS SOLICITATION MAY BE GROUNDS FOR 

PROCESS REGARDING THIS SOLICITATION MAY BE GROUNDS FOR 

ELIMINATION FROM THE SELECTION PROCESS. 

ELIMINATION FROM THE SELECTION PROCESS. 

XXV. 

SUBMITTAL CHECKLIST 

SUBMITTAL CHECKLIST 

In order to assure that your response complies with requirements, the following items (forms and 

documentation) are required. Please verify that the following items are included in your respons 

submission. Additional or supporting forms/items may be required under the terms of thi 

solicitation specifically for each responder. It is the responder’‘s responsibility to read and 

understand all provisions. 

In order to assure that your response complies with requirements, the following items (forms and documentation) are 

required. Please verify that the following items are included in your response submission. Additional or supporting 

forms/items may be required under the terms of this solicitation specifically for each responder. It is the responder’s 

responsibility to read and understand all provisions. 

Include this completed checklist to verify that the referenced content is included in the submission. 

Failure to fully complete Include and this return completed the required checklist forms/documentation to verify that the in referenced the solicitation content submission included may in result the submission in 

the bid being deemed non-responsive and not considered for award. 

Failure to fully complete and return the required forms/documentation in the solicitation 

A. All items required submission in Section may 28 result in the bid being deemed non-responsive and not considered for 

B. One Original Proposal award. (mark for differentiation) 

C. Three Copies of Proposal (mark for differentiation) 

A. All items required in Section 28 

D. One Electronic Copy of Proposal on Flash Drive (CDs will not be accepted.) 

B. One (1) Original Proposal (mark for differentiation) 

E. Acknowledgment & Contact Summary Form 

F. Addenda Acknowledgment C. FormThree (3) Copies of Proposal (mark for differentiation) 

D. One (1) Electronic Copy of Proposal on Flash Drive. (CDs will not be 

accepted.) RFP for Debris Removal (Page 23 of 47)

Page | 205 

G. Proposal Price Form(s) 

H. Client References 

I. Reference Check Surveys (for each reference provided) 

J. Qualification Statement – Four Pages 

K. Public Entity Crimes Form – Three Pages 

L. Non-Collusive Affidavit – Two Pages 

M. Anti-Lobbying Certification 

N. Offertory’s Certification 

O. Scrutinized Vendor Certification – Two Pages 

P. Proof of Required Insurances 

Q. Proof of Required Licenses and/or Certifications 

*Please check the city website ______________ or addenda and changes before submitting the final proposal. 

REJECTION CRITERIA 

A. Your proposal shall be considered non-responsive if any of the following criteria exist. (This list is not all 

inclusive.) 

B. All questions and instructions, including the questions in the qualifications package, have not been properly 

completed. 

C. The instructions, order, and matrixes in the proposal package have not been properly followed. 

D. The RFP response package is found to have concealed or contained false and/or misleading information. 

E. The city did not receive the RFP package prior to the submittal deadline. 

F. Your firm is not licensed with the Kentucky Secretary of State to do business in Kentucky. You must submit a state 

of Kentucky Certificate of Status for your firm. 

G. Executed non-collusive/and or drug-free workplace affidavits are not submitted with the response. 

H. The proposal/bid bond/fidelity bond, if required, is not included in the RFP package. 

I. The proposal signature page and certification are not properly executed. 

WAIVERS 

The city, in its sole discretion, reserves the right to reject any and all proposals, accept any proposal or any combination 

of proposals, or waive any minor irregularity or technicality in proposals received and may, at its sole discretion, request a 

re-proposal when in its sole judgment it will best serve public interest. 


Page | 206 

INSURANCE REQUIREMENTS 

A. The contractor shall furnish proof of insurance requirements as indicated below. The coverage is to remain in force 

at all times during the contract period. The following minimum insurance coverage is required. The city is to be 

added as an “additional insured” with relation to general liability insurance. This must be written in the description 

section of the insurance certificate, even if you have a check-off box on your insurance certificate. Any costs for 

adding the city as “additional insured” will be at the contractor’s expense. 

B. The city shall be given notice 10 days prior to cancellation or modification of any stipulated insurance. The 

insurance provided shall be endorsed or amended to comply with this notice requirement. In the event that the 

insurer is unable to accommodate, it shall be the responsibility of the contractor to provide the proper notice. 

Such notification will be in writing by registered mail, return receipt requested, and addressed to the procurement 

services department. 

C. The contractor’s insurance must be provided by an A.M. Best’s “A-“rated or better insurance company authorized 

to issue insurance policies in the state of Kentucky, subject to approval by the city’s risk manager. Any exclusions 

or provisions in the insurance maintained by the contractor that precludes coverage for work contemplated in this 

RFP shall be deemed unacceptable and shall be considered breach of contract. 

D. Any firm performing work on behalf of the city must provide workers’ compensation insurance. Exceptions and 

exemptions can only be made if they are in accordance with Kentucky statute. For additional information, contact 

the Kentucky Personnel Cabinet, Workers’ Compensation Division at 502.564.6847 or on the web at https:// 

personnel.ky.gov/ 

E. Commercial general liability insurance covering premises-operations, products-completed operations, independent 

contractors, and contractual liability. 

F. Limits: Combined single limit bodily injury/property damage $1 million. This coverage should include, but not be 

limited to: 

1. Coverage for the liability assumed by the contractor under the indemnity provision of the contract 

2. Coverage for Premises/Operations 

3. Personal and Advertising Injury Liability 

4. Products/Completed Operations 

5. Broad Form Contractual Liability 

Covering all owned, hired, and non-owned automobile equipment and other vehicles used by the successful bidder 

in the performance of the work with the following limits of liability: 

Limits: Combined single limit bodily injury/property damage $1 million professional liability (Errors & 

Omissions) 

Limits: $2 million per occurrence 

This coverage should include, but not be limited to: 

a. Coverage for the liability assumed by the contractor under the indemnity provision of the contract 

b. Coverage for Premises/Operations 

c. Products/Completed Operations 

d. Broad Form Contractual Liability 


. Coverage for Premises/Operations 

c. Products/Completed Operations 

d. Broad Form Contractual Liability 

Page | 207 

F. Automobile Liability Insurance 

G. Automobile Liability Insurance 

Covering all owned, hired, and non-owned automobile equipment, and other vehicles used by the 

Covering all owned, hired, and non-owned automobile equipment and other vehicles used by the successful bidder 

successful bidder in the performance of the work with the following limits of liability: 

in the performance of the work with the following limits of liability: 

Limits: Bodily Limits: injury Bodily injury $500,000 each $500,000 personeach person, 

$500,000 each occurrence 

Property damage $500,000 each $100,000 occurrence each occurrence 

Property damage Professional Liability $100,000 (Errors & each Omissions) occurrence 

Professional Liability 

Limits: 

(Errors & Omissions) 

$2 million ,000,000 per occurrence 

Limits: 

$2 million per occurrence 

G. Workers’ Compensation & Employer’s Liability Insurance 

Limits: Worker’s’ Compensation - Statutory 

Employer’s Liability - $100,000 each accident 

Disease - $500,000 policy limit 

Disease - $100,000 each employee 

H. A copy of ANY current cCertificate of iInsurance should be included with your proposal. 

H. Workers’ 

I. 

Compensation 

In the event 

& 

that 

Employer’s 

you are the 

Liability 

successful 

Insurance 

bidder, you will be required to provide a certificate 

naming the cityCITY as an “additional insured” for gGeneral lLiability. 

Limits: Workers’ Compensation - Statutory 

J. Certificate holder should be addressed as follows: City of 

Employer’s __________ Liability - $100,000 each accident 

Disease 

Clerk's Office 

____________________ - $500,000 policy limit 

Disease 

____________________ 

- $100,000 each employee 

XXIX. CONTRACTUAL PROVISIONS FOR FEMA RELATED PROJECTS 

I. A copy of ANY current certificate of insurance should be included with your proposal. 

J. In the A. event Equal that you Employment are the successful Opportunity bidder, you will be required to provide a certificate naming the city as an 

“additional insured” for general liability. 

K. Certificate During holder the performance should be addressed of this contract, as follows: the pProposer agrees as follows: 

City of 

Clerk’s Office 

1. The pProposer will not discriminate against any employee or applicant for 

employment because of race, color, religion, sex, or national origin. The pProposer will 

take affirmative action to ensure that applicants are employed, and that employees are 

treated during employment without regard to their race, color, religion, sex, or national 

origin. Such action shall include, but not be limited to the following: eEmployment, 

upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or 

termination; rates of pay or other forms of compensation; and selection for training, 

including apprenticeship. The pProposer agrees to post in conspicuous places, available 

to employees and applicants for employment, notices to be provided setting forth the 

provisions of this nondiscrimination clause. 


Page | 208 

CONTRACTUAL PROVISIONS FOR FEMA RELATED PROJECTS 

A. Equal Employment Opportunity 

During the performance of this contract, the proposer agrees as follows: 

1. The proposer will not discriminate against any employee or applicant for employment because of race, color, 

religion, sex, or national origin. The proposer will take affirmative action to ensure that applicants are employed 

and that employees are treated during employment without regard to their race, color, religion, sex, or national 

origin. Such action shall include, but not be limited to the following: employment, upgrading, demotion, or 

transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; 

and selection for training, including apprenticeship. The proposer agrees to post in conspicuous places, 

available to employees and applicants for employment, notices to be provided setting forth the provisions of 

this nondiscrimination clause. 

2. The proposer will, in all solicitations or advertisements for employees placed by or on behalf of the proposer, 

state that all qualified applicants will receive considerations for employment without regard to race, color, religion, 

sex, or national origin. 

3. The proposer will send to each labor union or representative of workers with which he has a collective bargaining 

agreement or other contract or understanding a notice to be provided advising the said labor union or 

workers’ representatives of the Proposer’s commitments under this section, and shall post copies of the notice in 

conspicuous places available to employees and applicants for employment. 

4. The proposer will comply with all provisions of Executive Order 11246 of Sept. 24, 1965, and of the rules, 

regulations, and relevant orders of the secretary of labor. 

5. The proposer will furnish all information and reports required by Executive Order 11246 of Sept. 24, 1965, 

and by rules, regulations, and orders of the secretary of labor, or pursuant thereto, and will permit access to his 

books, records, and accounts by the administering agency and the secretary of labor for purposes of investigation 

to ascertain compliance with such rules, regulations, and orders. 

6. In the event of the proposer’s noncompliance with the nondiscrimination clauses of this contract or with any of 

the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part 

and the proposer may be declared ineligible for further government contracts or federally assisted construction 

contracts in accordance with procedures authorized in Executive Order 11246 of Sept. 24, 1965, and such other 

sanctions as may be imposed and remedies invoked as provided in Executive Order 11246 of Sept. 24, 1965, or 

by rule, regulation, or order of the secretary of labor, or as otherwise provided by law. 

7. The proposer will include the portion of the sentence immediately preceding paragraph (1) and the provisions 

of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, 

or orders of the secretary of labor issued pursuant to section 204 of Executive Order11246 of Sept. 24, 1965, 

so that such provisions will be binding upon each subcontractor or vendor. The proposer will take such action 

with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing 

such provisions, including sanctions for noncompliance: provided, however, that in the event the proposer 

becomes involved in or is threatened with litigation with a subcontractor or vendor as a result of such direction 

by the administering agency, the proposer may request the United States to enter into such litigation to protect 

the interests of the United States. 


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B. Copeland Anti-Kickback Act 

Compliance with the Copeland “Anti-Kickback” Act 

1. Proposer. The proposer shall comply with 18 U.S.C. § 874, 40 U.S.C. § 3145, and the requirements of 29 C.P.R. 

pt. 3 as may be applicable, which are incorporated by reference into this contract. 

2. Subcontracts. The proposer or subcontractor shall insert in any subcontracts the clause above and such other 

clauses as FEMA may by appropriate instructions require, and also a clause requiring the subcontractors to include 

these clauses in any lower-tier subcontracts. The proposer shall be responsible for the compliance by any 

subcontractor or lower-tier subcontractor with all of these contract clauses. 

3. Breach. A breach of the contract clauses above may be grounds for termination of the contract, and for debarment 

as a proposer and subcontractor as provided in 29 C.P.R.§ 5.12.” 

C. Contract Work Hours and Safety Standards Act 

Compliance with the Contract Work Hours and Safety Standards Act 

1. Overtime requirements. No proposer or subcontractor contracting for any part of the contract work which may 

require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic 

in any workweek in which he or she is employed on such work to work in excess of 40 hours in such workweek 

unless such laborer or mechanic receives compensation at a rate not less than1 1/2 times the basic rate of 

pay for all hours worked in excess of 40 hours in such workweek. 

2. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in 

paragraph (1) of this section the proposer and any subcontractor responsible therefor shall be liable for the unpaid 

wages. In addition, such proposer and subcontractor shall be liable to the United States (in the case of work 

done under contract for the District of Columbia or a territory, to such district or to such territory), for liquidated 

damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, 

including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this section, in 

the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of 

the standard workweek of 40 hours without payment of the overtime wages required by the clause set forth in 

paragraph (1) of this section. 

3. Withholding for unpaid wages and liquidated damages. The City of ________shall upon its own action or upon 

written request. of an authorized representative of the department of labor withhold or cause to be withheld, 

from any moneys payable on account of work performed by the proposer or subcontractor under any such contract 

or any other federal contract with the same prime proposer, or any other federally assisted contract subject 

to the Contract Work Hours and Safety Standards Act, which is held by the same prime proposer, such sums as 

may be determined to be necessary to satisfy any liabilities of such proposer or subcontractor for unpaid wages 

and liquidated damages as provided in the clause set forth in paragraph (2) of this section. 

D. Clean Air Act 

a. Subcontracts. The proposer or subcontractor shall insert in any subcontracts the clauses set forth in 

paragraph (1) through (4) of this section and also a clause requiring the subcontractors to include these 

clauses in any lower tier subcontracts. The prime proposer shall be responsible for compliance by any 

subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this 

section. 

1. The proposer agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean 

Air Act, as amended, 42 U.S.C. § 7401 et seq. 


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2. The proposer agrees to report each violation to the (name of the state agency or local or Indian tribal government) 

and understands and agrees that the (name of the state agency or local or Indian tribal government) will, 

in turn, report each violation as required to assure notification to the (name of recipient), Federal Emergency 

Management Agency, and the appropriate Environmental Protection Agency regional office. 

3. The proposer agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or 

in part with federal assistance provided by FEMA. 

E. Federal Water Pollution Control Act 

1. The proposer agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal 

Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq. 

2. The proposer agrees to report each violation to the (name of the state agency or local or Indian tribal government) 

and understands and agrees that the (name of the state agency or local or Indian tribal government) will, 

in turn, report each violation as required to assure notification to the (name of recipient), Federal Emergency 

Management Agency, and the appropriate Environmental Protection Agency regional office. 

3. The proposer agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or 

in part with federal assistance provided by FEMA. 

F. Suspension and Debarment 

1. This contract is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such the 

proposer is required to verify that none of the proposers, its principals (defined at 2 C.F.R. § 180.995), or its 

affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R.§ 180.940) or disqualified (defined at 

2 C.F.R. § 180.935). 

2. The proposer must comply with 2 C.P.R. pt. 180, subpart C and 2 C.P.R. pt. 3000, subpart C and must include a 

requirement to comply with these regulations in any lower-tier covered transaction it enters into. 

3. This certification is a material representation of fact relied upon by (insert name of sub-recipient). If it is later 

determined that the proposer did not comply with 2 C.P.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, 

in addition to remedies available to (name of state agency serving as recipient and name of sub-recipient), the 

federal government may pursue available remedies, including but not limited to suspension and/or debarment. 

4. The proposer agrees to comply with the requirements of 2 C.P.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, 

subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The 

bidder or proposer further agrees to include a provision requiring such compliance in its lower-tier covered 

transactions. 

G. Byrd Anti-Lobbying Amendment, 31 U.S.C. § 1352 (as amended) 

Proposers who apply or bid for an award of $25,000 or more shall file the required certification. Each tier certifies 

to the tier above that it will not and has not used federally appropriated funds to pay any person or organization 

for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or 

employee of Congress, or an employee of a member of Congress in connection with obtaining any federal contract, 

grant, or any other award covered by 31 U.S.C. § 1352. Each tier shall also disclose any lobbying with non-federal 

funds that takes place in connection with obtaining any federal award. Such disclosures are forwarded from tier to 

tier up to the recipient. 

H. Procurement of Recovered Materials 

1. In the performance of this contract, the Proposer shall make maximum use of products containing recovered 

materials that are EPA designated items unless the product cannot be acquired- 


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2. Competitively within a timeframe providing for compliance with the contract performance schedule. 

3. Meeting contract performance requirements; or 

4. At a reasonable price. 

5. Information about this requirement is available at EPA’s Comprehensive Procurement Guidelines website, 

http://www.epa.gov/cpg/. 

6. The list of EPA- designate items is available at https://www.epa.gov/cpg/products 

I. Access to Record 

1. The proposer agrees to provide (insert name of state agency or local or Indian tribal government), (insert name 

of recipient), the FEMA administrator, the Comptroller General of the United States, or any of their authorized 

representatives access to any books, documents, papers, and records of the proposer which are directly pertinent 

to this contract for the purposes of making audits, examinations, excerpts, and transcriptions. 

2. The proposer agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy 

excerpts and transcriptions as reasonably needed. 

3. The proposer agrees to provide the FEMA administrator or his authorized representatives access to construction 

or other work sites pertaining to the work being completed under the contract. 

J. DRS Seal, Logo, and Flags 

The proposer shall not use the DRS seal(s), logos, crests, or reproductions of flags or likenesses of DRS agency 

officials without specific FEMA pre-approval. 

K. Compliance with Federal Law, Regulations, and Executive Orders. 

This is an acknowledgment that FEMA financial assistance will be used to fund the contract only. The proposer 

will comply will all applicable federal laws, regulations, executive orders, FEMA policies, procedures, and 

directives. 

L. No Obligation by Federal Government. 

The federal government is not a party to this contract and is not subject to any obligations or liabilities to the nonfederal 

entity, proposer, or any other party pertaining to any matter resulting from the contract. 

M. Program Fraud and False or Fraudulent Statements or Related Acts 

The proposer acknowledges that 31 U.S.C. Chap. 38 (Administrative Remedies for False Claims and Statements) 

applies to the proposer’s actions pertaining to this contract. 

GENERAL CONDITIONS 

A. VENUE: All contracts shall be governed by the laws of the state of Kentucky and venue shall be in 

____________________ County, Kentucky. 

B. EXPENSES: Neither the city nor its representatives shall be liable for any expenses incurred in connection 

with preparation of a response to this RFP. All expenses in the preparation of this RFP are the sole responsibility 

of the contractor. All submittals should be prepared to provide a straightforward and concise description of the 

respondents’ qualifications and ability to meet the requirements of the RFP. 

C. INTERPRETATIONS: All contractors shall carefully examine the proposal documents. Any ambiguities or 


Page | 212 

inconsistencies shall be brought to the attention of the city in writing prior to the opening of proposals; failure to do 

so on the part of the contractor will constitute an acceptance by the Contractor of any subsequent decision by the 

city. Any questions concerning the intent, meaning and interpretations of the proposal documents shall be requested 

in writing, and received by the city at least 14 days prior to the proposal opening. inquiries shall be addressed 

to the purchasing manager. No person is authorized to give oral interpretations of, or make oral changes to the 

proposal. Therefore, oral statements given before the proposal opening will not be binding. Any interpretation of 

or changes to the proposal will be made in the form of a written addendum to the proposal and will be furnished 

to all contractors. Receipt of all addenda shall be acknowledged by the contractors in the appropriate place on the 

proposal form. 

D. PUBLIC ENTITY CRIMES: Pursuant to F.S. 287.133. as amended: a person or affiliate who has been placed on 

the convicted vendor list following a conviction for a public entity crime may not submit a proposal on a contract 

to provide any goods or services to a public entity, may not submit a proposal on a contract with a public entity for 

the construction or repair of a public building or public work, may not submit proposals on leases of real property 

to a public entity, may not be awarded or perform work as a contractor, supplier, subcontractor, or consultant under 

a contract with any public entity, and may not transact business with any public entity in excess of the threshold 

amount provided in s. 287.017 for CATEGORY TWO for a period of 36 months from the date of being placed on 

the convicted vendor list. 

E. BONDING: The contractor shall procure and maintain, for the life of the contract and provide the city with proof 

of its existence, a fidelity bond with limits of $25,000 covering all employees that will be working within any city 

facility. 

F. ASSIGNMENT: Any purchase order or contract issued pursuant to this RFP and the monies, which may become 

due hereunder, are not assignable, in whole or part. 

G. INDEMNIFICATION: The contractor agrees to protect, defend, indemnify, and hold harmless the city, its 

employees, representatives, and elected officials from any and all claims and liabilities, including all attorney’s 

fees and court costs, including appeals, for which the city, its employees, representatives, and elected officials can 

or may be held liable as a result of injury (including death) to persons or damage to property occurring by reason 

of any negligence, recklessness, or intentional wrongful misconduct of the contractor, its employees, or agents 

arising out of or connected with this agreement. The contractor shall not be required to indemnify the city or its 

agents, employees, representatives, or elected officials when an occurrence results solely from the wrongful acts or 

omissions of the city or its agents, employees, or representatives. 

Documents on this project are hereby amended to include the foregoing indemnification and the “specific 

consideration” therefore. 

H. PROPOSALS TO REMAIN OPEN: All proposals shall remain open for the number of days after the day of the 

proposal opening stated in the special provisions, or if no such number of days is stated, all proposals shall remain 

open for 90 days after the date of proposal opening prior to award. The city may, in its sole discretion, release any 

proposal prior to that date. 

I. ANNUAL APPROPRIATION: Any contract issued is conditional upon the city appropriating funding to 

implement the contract. 

J. EMPLOYEES: Employees of the contractor shall at all times be under its sole direction and not be an employee 

or agent of the city. The contractor shall supply competent employees. The city may require the contractor to 

remove an employee or subcontractor it deems careless, incompetent, insubordinate, or otherwise objectionable 

without any cost to the city or without any increase in contract price. The contractor shall be responsible to the city 

for the acts and omissions of all employees working under its directions whether or not the actions taken go beyond 

the normal scope of employment. 


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K. ADDITIONAL TERMS AND CONDITIONS: No additional terms and conditions included with the proposal 

response shall be evaluated or considered, have no force or effect, and are inapplicable to this proposal unless 

agreed to in writing by the city. It is understood and agreed that the conditions in these proposal documents are the 

only conditions applicable to this proposal, and the contractor’s authorized signature on the proposal form attests to 

this. 

L. DELETION/OVERSIGHT/MISSTATEMENT: Any deletion, oversight, or misstatement of the specifications 

shall not release the contractor from the responsibility of supplying complete and fully operational units, together 

with all appurtenances necessary for unrestricted operation as determined by the city in its sole discretion. 

M. WITHDRAWAL OF AN OFFER: An offer shall be irrevocable unless the offer is withdrawn as provided 

herein. A proposal may be withdrawn only by written communication delivered to the purchasing office prior to 

the solicitation closing date and time. The contractor must present certification to assure that they are indeed an 

authorized representative of the contractor’s firm at the time such communication to withdraw the proposal is 

presented. A representative will verify this information prior to return of contractor’s proposal. An offer may also 

be withdrawn after 180 calendar days after the solicitation closing date and time, provided that it is withdrawn 

prior to the recommendation for award, by submitting a letter to the purchasing office at the address identified in 

this solicitation. The withdrawal letter must be on company letterhead and signed by an authorized agent of the 

contractor. 

N. DISCOUNTS: 

All discounts (prompt payment and overall for awarding all items proposed) will be considered in evaluation to 

determine lowest “net” cost to the city. 

O. SIGNATURE REQUIRED: 

All proposals must show the company name and be signed in ink by a company officer or employee who has the 

authority to bind the company or firm by their signature. 

P. SIGNED PROPOSAL CONSIDERED AN OFFER: 

The signed proposal is considered an offer on the part of the contractor, which offer shall be considered accepted 

upon approval and award by the city commission of the city, subject to any conditions contained within the city 

commission’s approval. In the event of default on the part of the contractor after such acceptance, the city may take 

such action, as it deems appropriate including legal action for damages or specific performance. 

Q. DEFAULT PROVISIONS 

Any costs or expenses incurred by the city as a result of the contractor’s default shall automatically be deducted 

from any outstanding amounts due the contractor. The contractor shall be responsible for reimbursing city for any 

and all costs or expenses incurred by the city as a result of the contractor’s default. 

R. RESERVATIONS FOR REJECTIONS AND AWARD 

The city reserves the right to accept or reject any or all proposals, or parts of proposals, to waive irregularities and 

technicalities, and to request re-proposals. The city also reserves the right to award the contract on such items the 

city deems will best serve the interests of the city. The city further reserves the right to award the contract on a 

“split order” basis, or such combination as shall best serve the interests of the city unless otherwise specified. 

S. LAWS AND REGULATIONS 

All applicable laws and regulations of the federal government, the state of Kentucky, and ordinances of the city 

will apply to any resulting proposal award. 


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T. TAXES 

The city is exempt from taxes imposed by the state and/or federal government. Exemption certificates will be 

provided upon request. (Not applicable on construction or remodeling projects.) 

U. CONFLICT OF INSTRUCTIONS 

If a conflict exists between the general conditions contained herein, and the specific conditions and instruction 

contained herein, the specific shall govern. 

V. RETENTION OF RECORDS AND RIGHT TO ACCESS CLAUSE 

The successful contractor shall preserve and make available all financial records, supporting documents, statistical 

records, and any other documents pertinent to this contract for a period of five years after termination of this 

contract; or if an audit had been initiated and audit findings have not been resolved at the end of these five years, 

the records shall be retained until resolution of audit findings. 

All proposal documents are governed by and subject to the Public Records Law, Kentucky Statutes, Chapters 119, 

286, and 287, as may be amended from time to time, apply to public records relative to competitive proposal. 

There is a temporary exemption from public record disclosure for proposal documents until such time as either 

the city provides notice of a decision or if a RFP is reissued by the city recordings of negotiation meetings with 

vendors are temporarily exempt until the city provides notice of its decision, or until 20 days after the final 

competitive sealed replies are all opened, whichever occurs first. 

W. FACILITIES: 

The city reserves the right to make a pre-award inspection of the contractor’s equipment prior to award of 

agreement. The city reserves the right to consider history of citations and/or violations of environmental 

regulations in determining a contractor’s responsibility, and further reserves the right to declare a contractor not 

responsible if history of violations warrant such a determination. 

X. ANTI-COLLUSION STATEMENT: 

By submitting this proposal, the contractor affirms that this is without previous understanding, agreement or 

connection with any person, business, or corporation submitting a proposal for the same materials, supplies, or 

equipment and that this proposal is in all respects fair and without collusion or fraud. 

Y. PRICES TO BE FIRM: 

The contractor certifies that prices, terms, and conditions in the proposal will be firm for acceptance for a period of 

90 days from the date of proposal opening, unless otherwise stated by the city. There will be no escalator clauses 

unless specified by the city. Proposals may not be withdrawn before the expiration 


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ATTACHMENT “A” CONTRACTOR’S QUALIFICATIONS STATEMENT 

The contractor shall furnish the following information. Failure to comply with this requirement will render bid 

non-responsive and shall cause its rejection. Additional sheets shall be attached as required. 

Contractor’s Name and Principal Address: 

Contact Person’s Name and Title: 

Contractor’s Telephone and Fax Number: 

Contractor’s License Number: 

(Please attach certificate of competency and/or state registration.) 

Contractor’s Federal Identification Number: 

Number of years your organization has been in business, in this type of work: 

Names and titles of all officers, partners, or individuals doing business under trade name: 

The business is a: Sole Proprietorship Partnership Corporation 

Name, address, and telephone number of surety company and agent who will provide the required 

bonds on this contract: 

Have you ever failed to complete work awarded to you? If so, when, where, and why? 


Page | 216 

Have you personally inspected the proposed work and do you have a complete plan for its performance? 

Will you subcontract any part of this work? If so, give details including a list of sub-contractors that will 

perform work in excess of 10% of the contract amount and the work that will be performed by each 

subcontractor. 

The foregoing list of subcontractors may not be amended after award of the contract without the prior written 

approval of the contract administrator, whose approval shall not be reasonably withheld. 

List and describe all bankruptcy petitions (voluntary or involuntary) which have been filed by or against 

the contractor, its parent or subsidiaries, or predecessor organizations during the past five years. Include in 

the description the disposition of each such petition. 

List and describe all successful bond claims made to your surety(ies) during the last five years. The list and 

descriptions should include claims against the bond of the contractor and its predecessor organization(s). 

List all claims, arbitrations, administrative hearings, and lawsuits brought by or against the contractor or its 

predecessor organizations(s) during the last five years. The list shall include all case names; case, 

arbitration, or hearing identification numbers; the name of the project over which the dispute arose; and a 

description of the subject matter of the dispute. 


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List and describe all criminal proceedings or hearings concerning business-related offenses in which the 

contractor, its principals, officers, or predecessor organization(s) were defendants. 

Has the contractor, its principals, officers, or predecessor organization(s) been convicted of a public entity 

crime, debarred, or suspended from bidding by any government during the last five years? If so, provide 

details. 

The contractor acknowledges and understands that the information contained in response to this 

qualification statement shall be relied upon by city in awarding the contract and such information is 

warranted by contractor to be true. The discovery of any omission or misstatement that materially affects 

the contractor’s qualifications to perform under the contract shall cause the city to reject the bid, and if after 

the award, to cancel and terminate the award and/or contract. 

By 

(Signature) 


Page | 218 

ATTACHMENT “B” NON-COLLUSIVE AFFIDAVIT 

STATE OF 

COUNTY OF 

being first duly sworn deposes and says that: 

CONTRACTOR is the (Owner, Partner, Officer, Representative, or Agent) 

The contractor is fully informed respecting the preparation and contents of the attached bid and of all 

pertinent circumstances respecting such bid; 

Such bid is genuine and is not a collusive or sham bid; 

Neither the said contractor nor any of its officers, partners, owners, agents, representatives, employees, or 

parties in interest, including this affidavit, have in any way colluded, conspired, connived, or agreed, 

directly or indirectly, with any other bidder, firm, or person to submit a collusive or sham bid in connection 

with the contract for which the attached bid has been submitted; or to refrain from bidding in connection 

with such contract; or have in any manner, directly or indirectly, sought by agreement or collusion, 

communications, or conference with any bidder, firm, or person to fix the price or prices in the attached bid 

or any other bidder, or to fix any overhead, profit, or cost element of the bid price or the bid price of any other 

bidder, or to secure through any collusion conspiracy, connivance, or unlawful agreement any advantage 

against (recipient), or any person interested in the proposed contract; 

The price of items quoted in the attached bid are fair and proper and are not tainted by collusion, conspiracy, 

connivance, or unlawful agreement on the part of the contractor or any other of its agents, representatives, 

owners, employees, or parties in interest, including this affidavit. 

, 

By 

Subscribed and sworn to before me this day of , 20 . 

My Commission Expires: 

Notary Public (Signature) 


Page | 219 

ATTACHMENT “C” COST SCHEDULE 


Page | 220 

ATTACHMENT “D” CONFIRMATION OF DRUG-FREE WORKPLACE 

In order to have a drug-free workplace program, a business shall: 

1. Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing, 

possession, or use of a controlled substance is prohibited in the workplace and specifying the 

actions that will be taken against employees for violations of such prohibitions. 

2. Inform employees about the dangers of drug abuse in the workplace, the business’s policy of 

maintaining a drug-free workplace, any available drug counseling, rehabilitation, and employee 

assistance programs, and the penalties that may be imposed upon employees for drug abuse 

violations. 

3. Give each employee engaged in providing the commodities or contractual services that are under 

bid a copy of the statement specified in subsection (1). 

4. In the statement specified in subsection (1), notify the employee that, as a condition of working on 

the commodities or contractual services that are under bid, the employee will abide by the terms of 

the statement and will notify the employer of any conviction of, or plea of guilty or nolo contenders 

to, any violation of Chapter 893 or of any controlled substance law of the United States or any state, 

for a violation occurring in the workplace no later than five days after the conviction. 

5. Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or 

rehabilitation program if such is available in the employee’s community by, any employee who is 

so convicted. 

6. Make a good-faith effort to continue to maintain a drug-free workplace through implementation of 

this section. 

A signed copy of your drug-free workplace policy must be attached to this signed copy and submitted 

with the bid documents. 

As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. 

Contractor’s Signature 


Page | 221 

ATTACHMENT “E” SIGNATURE PAGE 

The undersigned attests to his (her, their) authority to submit this submittal and to bind the firm(s) herein 

named to perform as per agreement. Further, by signature, the undersigned attests to the following: 

1. The contractor is financially solvent and sufficiently experienced and competent to perform all of the 

work required of the contractor in the contract; 

2. The facts stated in the contractor’s response pursuant to request for submittals, instructions to 

contractor, and specifications are true and correct in all respects; 

3. The contractor has read and complied with, and submits their proposal agreeing to, all of the 

requirements, terms, and conditions as set forth in the RFPs. 

4. The contractor warrants all materials supplied by it are delivered to the city, free from any security 

interest and other lien, and that the contractor is a lawful owner having the right to supply the same and 

will defend the conveyance to the city, against all persons claiming the whole or any part thereof. 

5. The contractor understands that if a team is selected to make oral presentations to the selection 

committee and/or city, only the team members evaluated in the written submissions may present at the 

oral presentations. Any changes to the team at the oral presentations will result in that team’s 

disqualification. 

6. The undersigned certifies that if the firm is selected by the city, the firm will negotiate in good faith to 

establish an agreement. 

7. The contractor understands that all information listed above may be checked by the city, and the 

contractor authorizes all entities or persons listed above to answer any and all questions. The contractor 

hereby indemnifies the city and the persons and entitles listed above and holds them harmless from any 

claim arising from such authorization or the exercise thereof, including the dissemination of information 

pursuant thereto. 

Submitted on this _____ day of____________,20____. 

(If an individual, partnership, or non-incorporated organization) 

Witness 

Company 

Printed 

By 

Title 

Printed Name, Title 

(If a corporation, affix seal) 

Company 

By 

Printed Name, Title 


Page | 222 

Attested by Secretary 

Incorporated under the laws of the state of . 

CERTIFICATE 

(For Partnership) 

I HEREBY CERTIFY that a meeting of the partners of, a partnership under the laws of the state of 

held on , 20 , the 

following resolution was duly passed and adopted: "RESOLVED, that as of the 

Partnership is hereby authorized to execute the bid form dated , 20 , 

between the City of ________, Kentucky, and this partnership, and that the execution thereof, attested by the 

_____________ of the partnership is the official act and deed of this partnership." 

I further certify that said resolution is now in full force and effect. 

IN WITNESS WHEREOF, I have hereunto set my hand this day of , 20 . 

(Signature) 

STATE OF KENTUCKY 

(Title) 

COUNTY OF 

_________ 

Sworn to and subscribed before me on this day of , 

20 by who is personally known to me or who has presented the following 

type of identification: . 

Signature of Notary Public, State of Kentucky 

Notary seal (stamped in black ink) OR 

Printed, typed, or stamped name of notary and 

commission number 


Page | 223 

CERTIFICATE 

(For Corporation) 

I HEARBY HEREBY CERTIFY that a meeting of the board of directors of 

, a corporation under 

the laws of the state of held on , 20 , the following resolution was duly 

passed and adopted: 

“RESOLVED, that , as of the 

corporation is hereby authorized to execute the bid form dated , 20 , between the City of 

, Kentucky, and this corporation, and that the execution thereof, attested by the secretary of the 

corporation and with corporate seal affixed, shall be the official act and deed of this corporation.” 

I further certify that said resolution is now in full force and effect. 

IN WITNESS WHEREOF, I have hereunto set my hand this day of , 

20 . 

STATE OF KENTUCKY 

Secretary 

COUNTY OF 

Sworn to and subscribed before me on this day of , 

20 by who is personally known to me or who has presented the following 

type of identification: . 

Signature of Notary Public, State of Kentucky 

Notary seal (stamped in black ink) OR 

Printed, typed, or stamped name of notary and commission 

number 


Page | 224 

Attachment “F” Acknowledgment of Addendums 

RFP 

TITLE 

Acknowledgment is hereby made of the following addenda received since issuance of specifications: 

Addendum No. 

Addendum No. 

Addendum No. 

Dated: 

Dated: 

Dated: 

Name of Vendor: 

Address: 

Signature 

Date 

This page must be submitted with RFP. Failure to provide the requested documents may result in 

your proposal being deemed non-responsive. 


Page | 225 

PERFORMANCE REFERENCE 

VERIFICATION SURVEY FORM 

Reference for: 

Agency Name: 

Agency Contract: 

Contact E-mail: 

Contact Phone #: 

Please rate your experience with the vendor. The completed questionnaire form must be attached with 

your response. Thank you. 

Please use the following rating scale to answer the questions: 

Ratings: 1 - Poor 2 - Good 3 - Exceptional 4 - Not Applicable 

1. Rate the level of commitment of the contractor when performing the work. 

2. Rate the competency and accessibility of the personnel performing the work. 

3. Rate the contractor’s success at keeping you updated and informed of problems and issues. 

4. Rate the contractor’s ability to meet deadlines. 

5. Rate the contractor’s commitment to safety. 

6. Rate the level of comfort and confidence you had in the contractor during the project. 

7. Rate the overall performance of the contractor. 

Additional comments: 

Vendor Name: 

(Please print – Person completing survey) 

Signature: 

(Person completing survey) 

Title: 

Date: 

_ 

_ 

Reference verified by city employee: 

_ Date: 

PLEASE SEND FORM DIRECTLY TO: ____________________________ 


Vendor Name: 

Vendor Address: 

Contact Information: 

Group 1: General services will be used for the pricing evaluation points allocation as set forth in the RFP. 

Disaster Debris Removal Services Schedule 

RFP 2021- DISATER DEBRIS REMOVAL SERVICES 

ITEM DESCRIPTION: Pricing, lines 1 through 10, includes 

management for TDRS sites. 

Unit of Measure Estimate 

Quantity 

1 Vegetative Debris Removal- Vegetative debris removal from public rights-of-way 

and hauling to temporary debris reduction site (TDRS), and reduction. Includes all 

hangers, leaners, and hazardous stumps. Includes delivery and placement of backfill 

after hazardous stump removal. 

2 Construction and Demolition (C&D) Debris Removal - C&D debris removal from 

public rights-of-way and hauling to temporary debris reduction site (TDRS), 

3 Haul-out of White Goods - Removal of Freon from white goods; hauling of white 

goods to disposal site. 

4 Haul-out of E-Waste - Recovery and recycling of eligible e-waste, such as 

televisions, computers, computer monitors, microwaves, and other items specified by 

the city in writing (hauling of e-waste to disposal site). 

5 Vegetative Debris Removal- Homeowners Association (HOA) - Vegetative debris 

removal from public rights-of-way and hauling to temporary debris reduction site 

(TDRS) and reduction. Includes all hangers, leaners, and hazardous stumps. Includes 

delivery and placement of backfill after hazardous stump removal. 

Unit Price Total Price 

Cubic Yard 1 $ - 


Each 1 $ - 



6 Vegetative Debris Removal - Canals Rights-of-Way - Vegetative debris removal 

from public canals rights-of-way and hauling to temporary debris reduction site 

(TDRS) and reduction. Includes all hangers, leaners, and hazardous stumps. Includes 

delivery and placement of backfill after hazardous stump removal. 


7 Hauling - Reduced vegetative debris hauling from TDRS to final disposal site. Cubic Yard / Mile 1 $ - 

8 Hauling - Reduced C&D debris hauling from TDRS to final disposal site. 

Items 9 and 10, are required however, will not be used for RFP 

pricing evaluation. 

9 Management and Haul-Out of Household Hazardous Waste - Proper 

management, storage and disposal of household hazardous waste. 

Cubic Yard / Mile 1 $ - 

Pound 1 $ - 

10 Dead Animal Removal - Dead animal collection, transport, and disposal pound. Pound 1 $ - 

Group 1 Total 

Cost : 

Items 1 through 8 

Page | 226 


Group Two: Labor costs only apply to the 70 hours push. Proposers shall provide hourly rates for key personnel in their organization and invoice the city 

using hourly rates only during events that are not declared emergencies and during the first 70 hours after the declaration of an emergency. 

Proposers shall provide hourly wage for the following positions listed below: 

Hourly rates must not exceed FEMA reimbursement rates fee schedule. 

The city does not guarantee that these services will be necessary, however pricing for Group Two and Group Three are required. These costs will not be used 

for RFP pricing evaluation 

Item Personnel / Description Unit of 

Measure 

Rate For Labor 

1 Flagger HOUR 

2 Skill Sawman HOUR 

3 Equipment Operator HOUR 

4 Crew Foreman with Truck and Communications HOUR 

5 Operation Manager with Truck Communications HOUR 

6 Climber with Gear HOUR 

7 Superintendent with Truck and Communications HOUR 

8 Safety/QC Inspector with Truck and Communications HOUR 

9 HOUR 

10 HOUR 

11 HOUR 

12 HOUR 

13 HOUR 

14 HOUR 

15 HOUR 

16 HOUR 

17 HOUR 

18 HOUR 

19 HOUR 

20 HOUR 

21 HOUR 

Group Two- Labor Cost 

Page | 227 RFP for Debris Removal (Page 46 of 47)

Page | 228 

Vendors are requested to provide a cost for all item needed for rental equipment: 

Group Three: Rental Equipment 

Proposer shall invoice the city using hourly rates only during events that are not declared emergencies and during the first 

70 hours after a declared emergency. 

Item Description Unit of Measure 

Hourly 

1 HOUR 

2 HOUR 

Hourly Rate for Equipment 

$ - 

3 HOUR 

4 HOUR 

5 HOUR 

$ - 

6 HOUR $ - 

7 HOUR $ - 

8 HOUR $ - 

Group 3 

The undersigned certifies that he/she has the authority to sign and bind the firm or company to the services to be performed within the fees proposed. 

Signature 

Print Name 

Title 

Date Signed 


Page | 228 


Page | 229

KLC Disaster Preparedness & Response Handbook

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