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79 APPENDIX A 44-01 Survey NCHRP Synthesis 44-01 Emergency Relief Funds Reimbursements Introduction Dear members of the AASHTO Special Committee on Transportation Security and Emergency Management (SCOTSEM): The Transportation Research Board (TRB) is preparing a synthesis on FEMA and FHWA Emergency Relief Funds Reimbursements to DOTs. This is being done for NCHRP, under the sponsorship of the American Association of State Highway and Transportation Officials, in cooperation with the Federal Highway Administration. State Departments of Transportation are increasingly relying on FEMA Public Assistance and FHWA Emergency Relief funds to recover from disasters and emergency events. FHWA provides funds for the repair of Federal-Aid highways or roads on Federal lands seriously damaged by natural disasters over a wide area or by catastrophic failures. The FHWA Emergency Relief (ER) and Emergency Relief for Federally Owned Roads (ERFO) programs are two channels for these funds. Both emergency work and permanent work are allowable under these programs. FEMA, through its Public Assistance (PA) program, provides reimbursement to states for emergency work required as a direct result of a declared major disaster or emergency, when there is an immediate threat to public health and safety. State DOTs have experienced a number of issues related to the differing reimbursement application processes and eligibility criteria. It is important that state DOTs understand and be fully prepared to comply with the requirements of these reimbursement programs before a major disaster or emergency occurs. The objectives of NCHRP Synthesis Topic 44-01 are to identify effective practices in FEMA's Public Assistance and FHWA Emergency Relief program funds reimbursements, learn about issues and perspectives, and document lessons learned. This questionnaire is being sent to DOT members of the AASHTO SCOTSEM committee. Your cooperation in completing the questionnaire will ensure the success of this effort. If you are not the appropriate person at your agency to complete this questionnaire, please forward it to the correct person. Please compete and submit this survey by March 12, 2013. We estimate that it should take approximately 25 min to complete. If you have any questions, please contact our principal investigator Dr. Yuko Nakanishi. Any supporting materials can be sent directly to Dr. Yuko J. Nakanishi. Email: nakanishi@transresearch.net. Phone: (347) 512-1959
80 1. To view and print the entire questionnaire, Click on the following link and print using "control p". Link to printable version of survey. 2. To save your partial answers and complete the questionnaire later, click on the "Save and Continue Later" link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo. To return to the questionnaire later, open the email from SurveyGizmo and click on the link. We suggest using the âSave and Continue Laterâ feature if there will be more than 15 minutes of inactivity while the survey is opened, as some firewalls may terminate due to inactivity. 3. To pass a partially completed questionnaire to a colleague, click on the on the "Save and Continue Later" link in the upper right hand corner of your screen. A link to the incomplete questionnaire will be emailed to you from SurveyGizmo." Open the email from SurveyGizmo and forward it to a colleague. 4. To view and print your answers before submitting the survey, click forward to the page following question 10. Print using âcontrol p.â 5. To submit the survey, click on "Submit" on the last page. Thank you very much for your time and expertise. The following definitions and acronyms are used in this questionnaire: Major Disaster: According to the Stafford Act (Public Law 93-288), "major disaster" means any natural catastrophe (including any hurricane, tornado, storm, high water, winddriven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, or drought), or, regardless of cause, any fire, flood, or explosion, in any part of the United States, which in the determination of the President causes damage of sufficient severity and magnitude to warrant major disaster assistance under this Act to supplement the efforts and available resources of States, local governments, and disaster relief organizations in alleviating the damage, loss, hardship, or suffering cause thereby. Emergency: According to the Stafford Act (Public Law 93-288), "emergency" means any occasion or instance for which, in the determination of the President, Federal assistance is needed to supplement State and local efforts and capabilities to save lives and to protect property and public health and safety, or to lessen or avert the threat of a catastrophe in any part of the United States. DDIR: Detailed Damage Inspection Report ER: Emergency Relief ERFO: Emergency Relief for Federally Owned roads LPA: Local Public Agency PA: Public Assistance Please enter the date (MM/DD/YYYY). QUESTIONNAIRE INSTRUCTIONS
81 Please identify your contact information. NCHRP will email you a link to the online report when it is completed. Survey - FEMA Reimbursements (1) Please respond to the following questions on FEMA Reimbursements. For disasters within the past five (5) years: 1a. How many applications has your Agency submitted for reimbursement? First Name * Last Name * Position/Title Agency/Organization * Street Address * Apt/Suite/Office City State * ZIP * Country Email Address * Telephone * 1b. On average, how soon after you submit the application do you receive the reimbursement? -- Please Select -- <1 month 1-3 months 4-6 months 7-12 months 13-24 months 25-48 months >49 months
82 1c. Has an application or project worksheet for reimbursement ever been denied? If Yes, please indicate the reason for the denial of the application, and what steps were taken to address it. Have you ever appealed a FEMA eligibility determination? If Yes, please describe the outcome of the appeal. For example: Was the appeal successful? What steps were taken following the success or failure of the appeal? 1d. On average, how many person hours does it take to complete the application? (in person- hours) Yes No Yes No 1e. What is the maximum number of amendments (versions) to your project worksheets that has been made? None 1 2 3 4 5 5+ Survey - FEMA Reimbursements 1f. Which elements of the project worksheet (related to Eligibility Requirements) have caused significant confusion or issues for your Agency? Compliance with the National Incident Management System (NIMS) Compliance with the National Response Framework (NRF)
83 If you have comments on the topic of Eligibility Requirements, please note them below: (1f, cont.) Which elements of the project worksheet (related to Documentation ) have caused significant confusion or issues for your Agency? Alignment with (rather than mandatory compliance with) the National Disaster Recovery Framework (NDRF) Compliance with Environmental/Historical Preservation regulations Compliance with _______ Definition of pre-disaster conditions Definition of emergency repairs vs. permanent repairs Other: Please specify in comments box below Documentation of damages Documentation of expenditures including labor Document collection If you have comments on the topic of Documentation, please note them below: (1f, cont.) Which elements related to the Application itself have caused significant confusion or issues for your Agency? Document retention Document retrieval Other: Please specify in comments box below Amendments required to original application Understanding the application process Other: Please specify in comments box below
84 If you have comments on the topic of the Application itself, please note them below: (1f, cont.) Which elements of the application or the project worksheet (related to Contractor Issues) have caused significant confusion or issues for your Agency? If you have comments on the topic of Contractor Issues, please note them below: Contractor payment methods Other: Please specify in comments box below (1f, cont.) Which elements of the application or project worksheet (related to Training/HR) have caused significant confusion or issues for your Agency? If you have comments on the topic of Training/HR, please note them below: (1f, cont.) Additional Comments or Issues? Please specify. Training personnel in reimbursement procedures Shortage of personnel/hours (e.g., too much time needed to complete the application) Other: Please specify in comments box below
85 1g. When cost-sharing is required, which entity provides it? Survey - FHWA Reimbursements (2) Please respond to the following questions on FHWA ER and ERFO Reimbursements. For disasters within the past five (5) years: 2a. How many FHWA ER and ERFO applications has your Agency submitted for reimbursement? State Local/County State EMA State DOT Other, please provide: No. of Reimbursements ER ERFO 2b. On average, how soon after you submit the application do you receive the reimbursement? -- Please Select -- <1 month 1-3 months 4-6 months 7-12 months 13-24 months 25-48 months >49 months 2c. Has a reimbursement application ever been denied? If Yes, please indicate the reason for the denial of the application, and what steps were taken to address it. Yes No
86 Have you ever appealed an FHWA eligibility determination? If Yes, please describe the outcome of the appeal. For example: Was the appeal successful? What steps were taken following the success or failure of the appeal? Yes No 2d. On average, how many person hours does it take to complete the application? (in person- hours) 2e. What is the maximum number of amendments (versions) to your applications that has been made? None 1 2 3 4 5 5+ Survey - FHWA Reimbursements 2f. Which elements (related to Eligibility Requirements) of the application process or the Detailed Damage Inspection Report (DDIR) have caused significant confusion or issues for your Agency? Compliance with the National Incident Management System (NIMS) Compliance with the National Response Framework (NRF) Alignment with (rather than mandatory compliance with) the National Disaster Recovery Framework (NDRF) Compliance with Environmental/Historical Preservation regulations Compliance with _______ Consultant eligibility Definition of pre-disaster conditions Definition of emergency repairs vs. permanent repairs Other: Please specify in comments box below
87 If you have comments on the topic of Eligibility Requirements, please note them below: (2f, cont.) Which elements (related to Documentation) of the application process or the Detailed Damage Inspection Report (DDIR) have caused significant confusion or issues for your Agency? If you have comments on the topic of Documentation, please note them below: (2f, cont.) Which elements (related to the Application itself) of the application process or the Detailed Damage Inspection Report (DDIR) have caused significant confusion or issues for your Agency? If you have comments on the topic of the Application itself, please note them below: Documentation of damages Documentation of expenditures including labor Document collection Document retention Document retrieval Other: Please specify in comments Amendments required to original application Understanding the application process Other: Please specify in comments
88 (2f, cont.) Which elements (related to Contractor Issues) of the application process or the Detailed Damage Inspection Report (DDIR) have caused significant confusion or issues for your Agency? If you have comments on the topic of Contractor Issues, please note them below: (2f, cont.) Which elements (related to Training/HR) of the application process or the Detailed Damage Inspection Report (DDIR) have caused significant confusion or issues for your Agency? If you have comments on the topic of Training/HR, please note them below: (2f, cont.) Additional Comments or Issues? Please specify. Survey - Cost Tracking & Document Retention (3) Please respond to the following questions on Cost Tracking and Document Retention: Contractor payment methods Other: Please specify in comments Training personnel in reimbursement procedures Shortage of personnel/hours (e.g., too much time needed to complete the application) Other: Please specify in comments 3a. How does your Agency provide evidence of damage? Check all that apply. Digital photos Digital videos
89 3b. How does your Agency track costs? Check all that apply. 3c. How long (in Years) does your Agency retain information used in reimbursement applications? 3d. Does your Agency have a back-up system in place for application documents and images? Survey (4) If your Agency has been audited, was there a change in the total grant award? Notes, reports Other, please specify Manually / spreadsheet Uses external service RFID GPS Bar coding Financial project coding Notes, reports Other, please specify Yes No Yes No If "Yes" please indicate the results of the audit:
90 (5) Have you applied for and received federal reimbursement for a disaster from a program or source other than FEMA, FHWA ER and ERFO? If "Yes" please indicate to which program and when: (6) If your Agency is a state DOT, has your Agency submitted reimbursement applications on behalf of LPAs? 6a. How often do you interact with LPAs? 6b. What reimbursement issues have they noted, and how have you handled them? Yes No Yes No At least once a week Once a month A few times a year Minimal interaction or no interaction 6c. How time-consuming was the application process? Please choose from "0" for least time- consuming to "5" for most time-consuming 0 1 2 3 4 5
91 (6c, cont.) Any comments on 6c? 6d. Does your Agency provide training or resources on reimbursement procedures to LPAs? (6d, cont.) If "Yes", please describe the type of training provided: (7) If you have an internal FEMA or FHWA reimbursement application manual or other pertinent documents on the application process, would you be willing to provide a copy/copies of it/them? If "yes", you may upload the file(s) below, or you can email it/them to Yes No Yes No Dr. Yuko J. Nakanishi. Email: nakanishi@transresearch.net. Phone: (347) 512-1959 Survey (8) What is your Agency's degree of satisfaction with the FEMA application process? Very Dissatisfied Generally Dissatisfied Neutral Generally Satisfied Very Satisfied No file selectedChoose File Upload
92 (9) What is your Agency's degree of satisfaction with the FHWA Emergency Relief application process? Very Dissatisfied Generally Dissatisfied Neutral Generally Satisfied Very Satisfied (10) What is your Agency's degree of satisfaction with the FHWA ERFO application process? Very Dissatisfied Generally Dissatisfied Neutral Generally Satisfied Very Satisfied Please state any General Comments regarding the survey: Please Review Your Responses Thank You! Thank you for taking our survey. Your response is very important to us. If you have any questions or comments, please feel free to contact Dr. Yuko Nakanishi at Dr. Yuko J. Nakanishi. Email: nakanishi@transresearch.net. Phone: (347) 512-1959
