Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.
NAT IONAL COOPERAT IVE H IGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 472 TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2015 www.TRB.org Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration SubScriber categorieS Administration and Management â¢ Highways â¢ Maintenance and Preservation â¢ Security and Emergencies FEMA and FHWA Emergency Relief Funds Reimbursements to State Departments of Transportation A Synthesis of Highway Practice conSultantS Yuko J. Nakanishi and Pierre M. Auza Nakanishi Research and Consulting, LLC Forest Hills, New York
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Research Council was requested by the Association to administer the research program because of the Boardâs recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communication and cooperation with federal, state, and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP SYNTHESIS 472 Project 20-05 (Topic 44-01) ISSN 0547-5570 ISBN 978-0-309-27170-7 Library of Congress Control No. 2014959837 Â© 2015 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their manuscripts and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that non of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMSCA, FTA, or Transit development Corporation endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any development or reproduced material. For other uses of the material, request permission from CRP. NOTICE The project that is the subject of this report was a part of the National Co- operative Highway Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Boardâs judgment that the program concerned is of national importance and appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and, while they have been accepted as appropriate by the technical committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the American Association of State Highway and Transportation Officials, or the Federal Highway Administration of the U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical committee according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. NOTE: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of this report.
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academyâs purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transportation Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisci- plinary, and multimodal. The Boardâs varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transporta- tion, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org
TOPIC PANEL 44-01 ROBIN AYERS, Texas Department of Transportation, Austin SCOTT BROTEMARKLE, Transportation Research Board BONNIE CASTILLO, Iowa Department of Transportation, Ames JOSE HOLGUIN-VERAS, Rensselaer Polytechnic Institute, Troy SHAWN KINNEY, Florida Department of Transportation ANDREW LENARD, Federal Emergency Management Agency, Washington, D.C. HERBY GERARD LISSANDE, California Department of Transportation, Sacramento RICHARD TETREAULT, Vermont Agency of Transportation, Montpelier JEFFREY S. LEWIS, Federal Highway Administration (Liaison) GREG WOLF, Federal Highway Administration (Liaison) SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer DONNA L. VLASAK, Senior Program Officer TANYA M. ZWAHLEN, Consultant DON TIPPMAN, Senior Editor CHERYL KEITH, Senior Program Assistant DEMISHA WILLIAMS, Senior Program Assistant DEBBIE IRVIN, Program Associate COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER W. JENKS, Director, Cooperative Research Programs CHRISTOPHER HEDGES, Manager, National Cooperative Highway Research Program EILEEN P. DELANEY, Director of Publications NCHRP COMMITTEE FOR PROJECT 20-05 CHAIR BRIAN A. BLANCHARD, Florida DOT MEMBERS STUART D. ANDERSON, Texas A&M University SOCORRO âCOCOâ BRISENO, California Department of Transportation CYNTHIA L. GERST, Ohio Department of Transportation DAVID M. JARED, Georgia Department of Transportation MALCOLM T. KERLEY, Virginia Department of Transportation (retired) JOHN M. MASON, JR., Auburn University CATHERINE NELSON, Salem, Oregon ROGER C. OLSON, Minnesota Department of Transportation BENJAMIN I. ORSBON, South Dakota Department of Transportation RANDALL R. âRANDYâ PARK, Utah Department of Transportation ROBERT L. SACK, New York State Department of Transportation JOYCE N. TAYLOR, Maine Department of Transportation FRANCINE SHAW WHITSON, Federal Highway Administration FHWA LIAISONS JACK JERNIGAN MARY LYNN TISCHER TRB LIAISON STEPHEN F. MAHER
FOREWORD PREFACE By Tanya M. Zwahlen Consultant Transportation Research Board This report compiles and documents information regarding state department of transpor- tation (DOT) experiences with federal disaster reimbursement programs. The report docu- ments existing experiences, knowledge, learning, and practices used by DOTs to efficiently obtain appropriate reimbursements after emergency events. It also summarizes the range of things DOTs are doing to ease their response effort, secure appropriate reimbursements, and simplify cost identification. This report will be immediately useful to highway design practitioners. Information used in this study was acquired through a literature review, a screening sur- vey of state DOT members of the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM), and follow-up interviews with DOT staff. Yuko J. Nakanishi and Pierre M. Auza, Nakanishi Research and Consulting, LLC, For- est Hills, New York, collected and synthesized the information and wrote the report. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. Highway administrators, engineers, and researchers often face problems for which information already exists, either in documented form or as undocumented experience and practice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information on nearly every subject of concern to highway administrators and engineers. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and evaluating such useful information and to make it available to the entire highway commu- nity, the American Association of State Highway and Transportation Officialsâthrough the mechanism of the National Cooperative Highway Research Programâauthorized the Transportation Research Board to undertake a continuing study. This study, NCHRP Proj- ect 20-5, âSynthesis of Information Related to Highway Problems,â searches out and syn- thesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an NCHRP report series, Synthesis of Highway Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems.
CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION FHWA Emergency Relief and Federal Emergency Management Agency Public Assistance Program Overview, 5 Key Definitions, 7 Background, 10 Information Management, 15 Impact of Recent Legislation on FHWA Emergency Relief and Federal Emergency Management Agency Public Assistance Programs, 17 Impact of the 2013 National Review of the Emergency Relief Program, 18 Study Approach, 19 20 CHAPTER TWO FEDERAL EMERGENCY REIMBURSEMENT PROGRAMS Federal Emergency Management Agency Public Assistance Program, 20 FHWA Emergency Relief Program, 22 Roles and Responsibilities, 23 Federal Emergency Management Agency Declaration Process, 24 Eligibility Criteria, 25 Federal Emergency Management Agency and FHWA Minimum Project Thresholds, 29 Application Processes for Federal Emergency Management Agency Public Assistance and FHWA Emergency Relief, 29 Work Completion Deadlines for Both Programs, 30 Small Versus Large Projects in Federal Emergency Management Agency Public Assistance, 31 Large Projects Using Permanent Work Alternative Procedures, 33 Disaster Assessment, 34 Reimbursement Procedures, 36 Training and Resources, 36 Appeals, 37 Federal Emergency Management Agency and FHWA Special Considerations, 37 40 CHAPTER THREE STATE DEPARTMENTS OF TRANSPORTATION EXPERIENCE WITH FEDERAL EMERGENCY MANAGEMENT AGENCY PUBLIC ASSISTANCE AND FHWA EMERGENCY RELIEF PROGRAMS Challenges to Keep in Mind, 40 General Findings, 43 45 CHAPTER FOUR STATE DEPARTMENTS OF TRANSPORTATION CASE EXAMPLES Roles and Responsibilities, 45 Effective Strategies and Practices, 49 Disaster Assessment, 49 Financial Management Systems and Project Codes, 50
Documentation/Information Management, 53 Cost Sharing, 58 Local Public Agencies, 58 State Emergency Management Agencies, 59 Contracting, 59 Appeals, 60 Reimbursement Time, 60 61 CHAPTER FIVE CONCLUSIONS FindingsâChallenges to Keep in Mind, 61 FindingsâEffective Practices, 62 Federal Emergency Management Agency Public Assistance Resources, 62 FHWA Emergency Relief Resources, 65 Conclusions, 65 Further Research, 65 66 ACRONYMS 67 GLOSSARY Cost Management Terms, 67 FHWA Emergency Relief and Federal Emergency Management Agency Public Assistance Program Terms, 68 73 REFERENCES 76 BIBLIOGRAPHY Federal Emergency Management Agency Publications, 76 Other Publications, 77 79 APPENDIX A 44-01 SURVEY 93 APPENDIX B PRESIDENTIAL DECLARATIONS 104 APPENDIX C CASE STUDY INTERVIEW GUIDE 109 APPENDIX D CASE STUDIES (web-only) 299 APPENDIX E NYSDOT DDIR FORM INSTRUCTIONS (web-only) 304 APPENDIX F CALTRANS DAMAGE ASSESSMENT FORM INSTRUCTIONS (web-only) 310 APPENDIX G CALTRANS PARAMOUNT BRIDGE DAMAGE ASSESSMENT FORM (web-only) 322 APPENDIX H VTRANS CHECKLISTS (web-only)
Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions. 326 APPENDIX I LOUISIANA DOTD EMERGENCY FORMS AND EQUIPMENT/ SUPPLY CHECKLIST (web-only) 339 APPENDIX J PUBLIC ASSISTANCE GRANT PROGRAM SUMMARY (web-only) APPENDICES DâJ beginning on page 109 are web-only and can be found at www.trb.org; search âNCHRP SYNTHESIS 472.â