FEMA and FHWA Emergency Relief Funds Reimbursements to State Departments of Transportation (2015)

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109 APPENDIX D Case Studies

110 APPENDIX D TABLE OF CONTENTS LIST OF CASE STUDY INTERVIEWEES ....................................................................................................... - 1 - California Department of Transportaon (Caltrans) Case Study ............................................................. - 4 - FHWA ER PROCESS .............................................................................................................................. - 4 - FEMA PA Process ................................................................................................................................ - 5 - ROLES AND RESPONSIBILITIES............................................................................................................. - 5 - COST SHARE ........................................................................................................................................ - 5 - DISASTER ASSESSMENT TEAMS ......................................................................................................... - 6 - SITE PRIORITIZATION .......................................................................................................................... - 6 - DAMAGE ASSESSMENT FORMS (DAFs) ............................................................................................... - 6 - PERMANENT RESTORATION TIME LIMIT ............................................................................................. - 7 - THRESHOLDS ....................................................................................................................................... - 7 - LANDSLIDES ....................................................................................................................................... - 8 - TECHNOLOGIES ................................................................................................................................... - 8 - PROJECT CODING ................................................................................................................................ - 8 - COST RECOVERY POLICY ..................................................................................................................... - 8 - FMAG .................................................................................................................................................. - 8 - CALTRANS LOCAL ASSISTANCE TRAINING ........................................................................................... - 8 - LPA TRAINING ..................................................................................................................................... - 9 - PARAMOUNT BOULEVARD BRIDGE..................................................................................................... - 9 - REFERENCES ...................................................................................................................................... - 10 - Florida DOT (FDOT) Case Study ............................................................................................................. - 11 - BACKGROUND ................................................................................................................................... - 11 - ROLES AND RESPONSIBILITIES........................................................................................................... - 11 - TECHNOLOGY .................................................................................................................................... - 12 - APPEALS ............................................................................................................................................ - 12 - PROJECT APPROVAL PROCESS........................................................................................................... - 12 - REIMBURSEMENT TIME .................................................................................................................... - 12 - CONTRACTING ISSUES ....................................................................................................................... - 13 - LPA TRAINING ................................................................................................................................... - 13 -

111 FEMA FORMS .................................................................................................................................... - 13 - REIMBURSEMENT PROCESS .............................................................................................................. - 15 - Small Projects................................................................................................................................ - 15 - Large Projects ............................................................................................................................... - 15 - Advanced Payments ...................................................................................................................... - 15 - APPEALS GUIDELINES FOR ADVERSE DECISIONS BY FEMA ................................................................ - 15 - First Appeal ................................................................................................................................... - 15 - Second Appeal .............................................................................................................................. - 16 - GUIDELINES FOR TIME EXTENSION ................................................................................................... - 16 - GUIDELINES FOR QUARTERLY REPORTS FOR LARGE PROJECTS ........................................................ - 16 - Iowa DOT Case Study ............................................................................................................................ - 18 - ROLES AND RESPONSIBILITIES........................................................................................................... - 19 - ELECTRONIC DDIR ............................................................................................................................. - 20 - DDIR Report Numbers ................................................................................................................... - 22 - Resource Management System (RMS) .......................................................................................... - 23 - SITE ASSESSMENT ............................................................................................................................. - 23 - RELATIONSHIP WITH FEMA AND FHWA ............................................................................................ - 23 - TRAINING .......................................................................................................................................... - 23 - LPAs .............................................................................................................................................. - 24 - CONTRACTING .................................................................................................................................. - 24 - APPEALS ............................................................................................................................................ - 24 - TECHNOLOGIES USEFUL TO IOWA DOT FOR FHWA AND FEMA PROCESSES ..................................... - 24 - Iowa DOT’s Weatherview Website ............................................................................................... - 24 - Asset Tracking ............................................................................................................................... - 26 - Sample Electronic DDIR for Iowa DOT ........................................................................................... - 26 - REFERENCES ...................................................................................................................................... - 32 - Missouri DOT (MoDOT) Case Study ...................................................................................................... - 33 - ROLES AND RESPONSIBILITIES........................................................................................................... - 33 - Missouri Severe Storms, Straight-line Winds, Tornadoes, and Flooding (DR-4130) ...................... - 34 - Missouri Flooding (DR-4012) ......................................................................................................... - 34 - FHWA EMERGENCY RELIEF PROGRAM.............................................................................................. - 36 - FEMA PUBLIC ASSISTANCE PROGRAM .............................................................................................. - 37 -

112 MISSOURI STATE EMERGENCY MANAGEMENT AGENCY (SEMA) ...................................................... - 37 - COST TRACKING ................................................................................................................................ - 37 - DISASTER ASSESSMENT ..................................................................................................................... - 37 - REIMBURSEMENT PROCESS .............................................................................................................. - 38 - DOCUMENTATION ............................................................................................................................ - 38 - The Automac Road Analyzer (ARAN) Van ................................................................................... - 38 - REFERENCES ...................................................................................................................................... - 43 - New York State DOT (NYSDOT) Case Study ........................................................................................... - 44 - COST RECOVERY ................................................................................................................................ - 44 - Roles and Responsibilies ............................................................................................................. - 45 - RELATIONSHIP WITH NYSOEM, FEMA, AND LOCAL PUBLIC AGENCIES ............................................. - 47 - Emergency Organizaon Structure ............................................................................................... - 48 - MOHAWK VALLEY DISASTER NEW YORK SEVERE STORMS AND FLOODING (DR-4129) .................... - 49 - THE SANDY RECOVERY IMPROVEMENT ACT (SRIA) .......................................................................... - 51 - DAMAGE ASSESSMENTS (FHWA ER AND FEMA PA) .......................................................................... - 51 - Disaster Assessment Teams .......................................................................................................... - 52 - FHWA ER PROJECT FORMULATION ................................................................................................... - 52 - FHWA ER Appeals ......................................................................................................................... - 52 - FHWA ER Disaster Damage Inspecon Reports (DDIRS) ............................................................... - 53 - FEMA PA PROGRAM ......................................................................................................................... - 56 - FEMA PA Project Worksheets (PWs) ............................................................................................. - 56 - FEMA PA Project Formulaon ....................................................................................................... - 56 - FEMA PA Appeals .......................................................................................................................... - 56 - PROJECT CLOSE-OUT ......................................................................................................................... - 57 - FHWA ER Project Close-out ........................................................................................................... - 57 - FEMA PA Closeout......................................................................................................................... - 59 - PROJECT TRACKING ........................................................................................................................... - 59 - COST TRACKING ................................................................................................................................ - 60 - REIMBURSEMENT ............................................................................................................................. - 60 - FHWA ER Reimbursement............................................................................................................. - 60 - FEMA PA Reimbursement ............................................................................................................. - 61 - NYSDOT FINANCIAL MANAGEMENT SYSTEMS .................................................................................. - 61 -

113 Maintenance Asset Management Information System (MAMIS).................................................. - 61 - Construcon Management Soware ............................................................................................ - 62 - NYSOEM RESOURCES ........................................................................................................................ - 64 - LPA TRAINING AND RESOURCES ....................................................................................................... - 65 - REFERENCES ...................................................................................................................................... - 65 - Tennessee DOT (TDOT) Case Study ....................................................................................................... - 74 - BACKGROUND ................................................................................................................................... - 74 - ROLES AND RESPONSIBILITIES........................................................................................................... - 74 - FEMA PA PROGRAM ......................................................................................................................... - 76 - FHWA ER PROGRAM ......................................................................................................................... - 76 - DAMAGE ASSESSMENT TEAMS ......................................................................................................... - 79 - SITE/ROUTE PRIORITIZATION ............................................................................................................ - 81 - DETAILED ASSESSMENT FORM (DAF) ................................................................................................ - 82 - DAF Photos ................................................................................................................................... - 83 - DAF Maps ...................................................................................................................................... - 86 - DAF Cost Calculaons ................................................................................................................... - 87 - DAF Development Example........................................................................................................... - 89 - DAF Notes and Sketches ............................................................................................................... - 90 - DAF Training – Table Top Exercises ............................................................................................... - 92 - FHWA ER PROJECT MANAGEMENT ................................................................................................... - 93 - FHWA ER PROJECT FORMULATION ISSUES ....................................................................................... - 94 - BRIDGE MONITORING TOOL ............................................................................................................. - 95 - TENNESSEE MUTUAL AID LEGISLATION ............................................................................................ - 99 - REFERENCES .................................................................................................................................... - 100 - Texas DOT (TxDOT) Case Study ........................................................................................................... - 101 - BACKGROUND ................................................................................................................................. - 101 - DOCUMENTATION .......................................................................................................................... - 101 - FEMA PA PROGRAM ....................................................................................................................... - 101 - FHWA ER PROGRAM ....................................................................................................................... - 102 - NON-FEDERAL SHARE ..................................................................................................................... - 102 - TECHNOLOGIES ............................................................................................................................... - 102 - REIMBURSEMENT TIME .................................................................................................................. - 102 -

114 APPEALS .......................................................................................................................................... - 103 - FEMA Appeals ............................................................................................................................. - 103 - FHWA Appeals ............................................................................................................................ - 103 - FEMA Audits................................................................................................................................ - 104 - MAP-21 ........................................................................................................................................... - 104 - LOCAL PUBLIC AGENCIES ................................................................................................................ - 105 - REFERENCES .................................................................................................................................... - 105 - Vermont Agency of Transporta‡on (VTrans) Case Study .................................................................... - 106 - ROLE AND RESPONSIBILITIES .......................................................................................................... - 106 - ESF ROLES ....................................................................................................................................... - 107 - STATE EMA ...................................................................................................................................... - 108 - VTRANS ACCOUNTING PERSONNEL ................................................................................................ - 109 - TROPICAL STORM IRENE ................................................................................................................. - 109 - Scan Tour .................................................................................................................................... - 110 - Appeals and Audits ..................................................................................................................... - 110 - A’er Ac‡on Report/Correc‡ve Ac‡ons ...................................................................................... - 111 - FEMA PA PROGRAM ....................................................................................................................... - 111 - FHWA ER PROGRAM ....................................................................................................................... - 111 - COMBINED DOCUMENTATION FORM ............................................................................................ - 112 - PROJECT FORMULATION ................................................................................................................. - 112 - FEMA PA Project Formula‡on ..................................................................................................... - 112 - FHWA ER Project Formula‡on .................................................................................................... - 113 - PROJECT CLOSEOUT AND REIMBURSEMENT PROCESS ................................................................... - 113 - FEMA PA Closeout and Reimbursement ..................................................................................... - 113 - FHWA ER Closeout and Reimbursement ..................................................................................... - 113 - IRENE INNOVATION TASK FORCE (IITF) RECOMMENDATIONS ........................................................ - 113 - Incident Command Structure and Integra‡on ............................................................................ - 113 - Informa‡on Technology (IT)........................................................................................................ - 114 - Asset Management Systems, Geospa‡al data ............................................................................ - 115 - Training ....................................................................................................................................... - 115 - Workflow .................................................................................................................................... - 116 - CONTRACT ADMINISTRATION AND DOCUMENTATION .................................................................. - 116 -

115 Emergency Documentation ........................................................................................................ - 116 - Contractor Registra on Database and Payment Process ............................................................ - 116 - Emergency Administra ve Packets ............................................................................................. - 116 - LOCAL PUBLIC AGENCIES ......................................................................................................... COST RECOVERY ......................................................................................................................... ....... - 118 - NARRATIVE OF COST ALLOCATION PLAN (NCAP) FOR FHWA ER ADMINISTRATIVE - 119 - Audit and Review Procedures – Payroll and Employee Expenses ............................................... - 120 - Audit and Review Procedures – Indirect Costs ............................................................................ - 121 - REFERENCES .................................................................................................................................... - 121 - Wisconsin DOT (WisDOT) Case Study ................................................................................................. - 123 - BACKGROUND ................................................................................................................................. - 123 - ROLES AND RESPONSIBILITIES......................................................................................................... - 123 - FEMA PA PROGRAM ....................................................................................................................... - 125 - PROJECT CODING ............................................................................................................................ - 126 - DAMAGE ASSESSMENT ................................................................................................................... - 126 - DISASTER ASSESSMENT TEAMS ...................................................................................................... - 127 - FEMA DOCUMENTATION ................................................................................................................ - 127 - PW Example for DR-4141 ............................................................................................................ - 128 - THE FEMA PA REIMBURSEMENT PROCESS ..................................................................................... - 132 - DOCUMENTATION RETENTION ....................................................................................................... - 133 - REIMBURSEMENTS ......................................................................................................................... - 133 - POSITIVE EXPERIENCES WITH FEMA ............................................................................................... - 133 - FHWA ER Program .......................................................................................................................... - 133 - WISDOT DISASTER DAMAGE AIDS................................................................................................... - 134 - LOCAL PUBLIC AGENCIES (LPAs) ...................................................................................................... - 135 - TECHNOLOGIES ............................................................................................................................... - 135 - Maintenance Management System for Coun es - County Highway Expenditure Microcomputer System (CHEMS)................................................................................................ - 135 - REFERENCES AND LINKS .................................................................................................................. - 136 - Arizona Division Of Emergency Management (ADEM) Case Study ..................................................... - 137 - DOCUMENTATION .......................................................................................................................... - 137 - Document Reten on Period ....................................................................................................... - 137 -

116 PRELIMINARY DAMAGE ASSESSMENT (PDA) .................................................................................. - 138 - DECLARATION PROCESS .................................................................................................................. - 138 - REIMBURSEMENTS ......................................................................................................................... - 138 - SITE INSPECTIONS ........................................................................................................................... - 138 - AMENDMENTS ................................................................................................................................ - 138 - AUDITS ............................................................................................................................................ - 139 - USEFUL TECHNOLOGIES OR PRACTICES .......................................................................................... - 139 - LEMO Workbook ......................................................................................................................... - 139 - WebEOC ...................................................................................................................................... - 139 - TRAINING (FOR STATE DOTS AND LOCAL AND TRIBAL AGENCIES) .................................................. - 143 - Louisiana Department Of Transportation And Development (DOTD) Case Study .............................. - 144 - DOTD ROLE IN THE STATE EMERGENCY OPERATIONS PLAN ........................................................... - 144 - General ....................................................................................................................................... - 145 - Five Phases of DOTD Emergency Opera‘ons .............................................................................. - 146 - ORGANIZATION AND RESPONSIBILITIES.......................................................................................... - 148 - DOTD Execu‘ve Staff .................................................................................................................. - 148 - DOTD Emergency Opera‘ons Center (EOC) ................................................................................ - 148 - Emergency Operations Section ................................................................................................... - 148 - DOTD Headquarters Staff............................................................................................................ - 148 - DOTD District Offices .................................................................................................................. - 149 - DIRECTION AND CONTROL .............................................................................................................. - 149 - DAMAGE ASSESSMENT ................................................................................................................... - 153 - Damage Assessment Teams ........................................................................................................ - 154 - Damage Assessment Coordinator ............................................................................................... - 157 - Iden‘fica‘on and Access Plans ................................................................................................... - 157 - DOCUMENTING DAMAGE FOR REIMBURSEMENT .......................................................................... - 158 - FHWA DIR (Damage Inspec‘on Report) Form............................................................................. - 158 - FEMA PW (Project Worksheet) ................................................................................................... - 159 - DEBRIS OPERATIONS ....................................................................................................................... - 159 - Debris Site Approval Process.................................................................................................. ..... - 162 - Debris Management Procedures ................................................................................................ - 165 - OTHER FUNDING SOURCES ............................................................................................................. - 168 - .............................................................................................................. CONCEPT OF OPERATIONS - 145 -

117 PROJECT CODING ............................................................................................................................ - 168 - Disaster or Emergency Operations ............................................................................................. - 168 - ASSET TRACKING ............................................................................................................................. - 170 - Technologies Enabling Asset Tracking ......................................................................................... - 170 - Recording Procedures and Forms ............................................................................................... - 170 - EMERGENCY FORMS ....................................................................................................................... - 173 - ESF-1 Forms ............................................................................................................................... - 173 - ESF-3 Forms ............................................................................................................................... - 173 - APPEALS .......................................................................................................................................... - 174 - PROJECT GROUPING ....................................................................................................................... - 174 - INTERAGENCY SUPPORT AGREEMENT (ISA), CONTRACTS, AND MEMORANDUM OF AGREEMENT... - 174 - Training and Resources ................................................................................................................... - 175 - LOCAL PUBLIC AGENCIES (LPAs) ...................................................................................................... - 175 - REFERENCES .................................................................................................................................... - 176 - Appendix D Table of Figures FIGURE D - 1: Figure Screenshot of the Iowa DOT Road Weather Informa–on System. Sourc e: Iowa DOT WeatherView (h—p://weatherview.iowadot.gov/) .................................................- 25 - FIGURE D - 2: Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT................................. - 26 - FIGURE D - 3: (cont.) Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT. .................... - 27 - FIGURE D - 4: (cont.) Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT. .................... - 28 - FIGURE D - 5: (cont.) Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT. .................... - 29 - FIGURE D - 6: DDIR cost es–mate details for the Iowa 2011 flooding. Courtesy: Iowa DOT. ................. - 30 - FIGURE D - 7: General Condi–on of Ditches. Courtesy: Iowa DOT. ........................................................ - 31 - FIGURE D - 8: Culvert with Joint Separa–on. Courtesy: Iowa DOT. ........................................................ - 31 - FIGURE D - 9: General Road Condi–on. Courtesy: Iowa DOT. ................................................................ - 32 - FIGURE D - 10: Map of Designated Missouri Coun–es for Declaration DR-4130. Source: “Missouri Severe Storms, Straight-line Winds, Tornadoes, and Flooding (DR-4130),” 2013................................. - 35 - FIGURE D - 11: Map of Designated Missouri Coun–es for Declaration DR-4012. Source: “Missouri Flooding (DR-4012),” 2011. ................................................................................................................... - 36 - FIGURE D - 12: Scour loca–on before occurrence of scour, screenshot of ARAN Viewer. Courtesy: Missouri DOT. ....................................................................................................................................... - 40 - FIGURE D - 13: Scour loca–on immediately after occurrence of scour. Courtesy: Missouri DOT. ......... - 41 - FIGURE D - 14: Scour loca–on aŸer comple–on of repair, screenshot of ARAN Viewer. Courtesy: Missouri DOT........................................................................................................................ - 42 - Situa–on Report (SITREP) Templates .......................................................................................... - 174 -

118 FIGURE D - 15: New York State Emergency Coordinaon Center Organizaon Chart. Source: NYS Disaster Preparedness Commission, 2012..........................................................................- 48 - FIGURE D - 16: NY Disaster Declaration Map for Disaster DR-4129 (Severe Storms and Flooding). Source: “New York Severe Storms and Flooding (DR-4129),” 2013 ...................................................... - 49 - FIGURE D - 17: NYSDOT Detailed Damage Inspecon Report (DDIR). Courtesy: NYSDOT. .................... - 54 - FIGURE D - 18: NYSDOT Final Inspecon of Federal-Aid Project Form. Courtesy: NYSDOT. .................. - 58 - FIGURE D - 19: Si te Manager System Architecture. Source: “SiteManager Overview,” n.d. .................. - 62 - FIGURE D - 20: Site Manager Screenshot, Main Panel. Source: “SiteManager Overview,” n.d. ............ - 63 - FIGURE D - 21: Site Manager Screenshot, Materials Management. Source: “SiteManager Overview,” n.d.......................................................................................................................................- 63 - FIGURE D - 22: DDIR Compleon Status Report. Source: Manual of Administra‰ve Procedures 6.2-4, 2013..............................................................................................................................................- 67 - FIGURE D - 23: Materials Record. Source: Manual of Administrative Procedures 6.2-4, 2013. ............. - 68 - FIGURE D - 24: Labor Record. Source: Manual of Administra‰ve Procedures 6.2-4, 2013. ................... - 69 - FIGURE D - 25: Force Account Equipment Record. Source: Manual of Administra‰ve Procedures 6.2-4, 2013. ..........................................................................................................................................- 70 - FIGURE D - 26: Rented Equipment Record. Source: Manual of Administrative Procedures 6.2-4, 2013.............................................................................................................................................- 71 - FIGURE D - 27: Contract Costs Record. Source: Manual of Administrative Procedures 6.2-4, 2013. ..... - 72 - FIGURE D - 28: Force Account Travel Costs. Source: Manual of Administra‰ve Procedures 6.2-4, 2013. .................................................................. .......................................................................- 73 - FIGURE D - 29: TDOT FHWA ER Program Organizaon Chart. Source: “Emergency Relief Program: TDOT ER Program Overview,” n.d. ........................................................................................- 77 - FIGURE D - 30: (cont.) TDOT FHWA ER Program Organizaon Chart. Source: “Emergency Relief Program: TDOT ER Program Overview,” n.d. ..............................................................................- 77 - FIGURE D - 31: Detailed Assessment Form Photo with Site Location. Courtesy: TDOT . ........................ - 82 - FIGURE D - 32: Example of a Good Photo. Courtesy: TDOT. .................................................................. - 83 - FIGURE D - 33: Example of a Bad Photo. Courtesy: TDOT. ..................................................................... - 84 - FIGURE D - 34: Example of a Good Photo. Courtesy: TDOT. .................................................................. - 84 - FIGURE D - 35: Example of a Bad Photo. Courtesy: TDOT. ..................................................................... - 85 - FIGURE D - 36: Example of a Good Photo. Courtesy: TDOT. .................................................................. - 85 - FIGURE D - 37: Example of a Bad Photo. Courtesy: TDOT. ..................................................................... - 86 - FIGURE D - 38: Example of Images from a DAF Map Component. Courtesy: TDOT. .............................. - 86 - FIGURE D - 39: May, 2010 Flood Daily Work Report Sample. Courtesy: TDOT. ..................................... - 87 - FIGURE D - 40: Scope of work in DAF cost summary. Courtesy: TDOT. ................................................. - 88 - FIGURE D - 41: DAF Cost Esmate Example – May, 2013 Rockslide. Courtesy: TDOT. .......................... - 89 - FIGURE D - 42: Example of DAF Development. Courtesy: TDOT. ........................................................... - 89 - FIGURE D - 43: May, 2010 Flood DAF Example, Note and Sketches Component. Courtesy: TDOT. ....... - 90 - FIGURE D - 44: Maps within a DAF (sample). Courtesy: TDOT. .............................................................. - 91 - FIGURE D - 45: Photos within a DAF. Courtesy: TDOT............................................................................ - 92 - FIGURE D - 46: Using Excel to track key process milestones for acve FHWA ER events. Courtesy: TDOT......................................................................................................................................- 93 -

119 FIGURE D - 47: Screenshot of TDOT’s BridgeWatchTM Tool. Courtesy: TDOT. ........................................ - 95 - FIGURE D - 48: Example of Structural Damage during the May, 2010 Flood Event. Courtesy: TDOT. ... - 96 - FIGURE D - 49: Plan of AcŒon Report for bridge inspecŒons. Courtesy: TDOT. ..................................... - 97 - FIGURE D - 50: (cont.) Plan of AcŒon Report for bridge inspecŒons. Courtesy: TDOT. .......................... - 98 - FIGURE D - 51: Bastrop County fires. Source: Green, 2011. ................................................................ - 104 - FIGURE D - 52: VTrans FuncŒonal Directory. Source: VTrans Factbook, 2012. .................................... - 107 - FIGURE D - 53: AllocaŒon of $1 million of indirect costs among four different cost categories. Courtesy: VTrans. ............................................................................................................................... - 122 - FIGURE D - 54: Map of Wisconsin Disaster DeclaraŒon DR-4141. Courtesy: WisDOT. ........................ - 125 - FIGURE D - 55: Sample Project Worksheet Subgrantee ApplicaŒon. Courtesy: WisDOT. .................... - 129 - FIGURE D - 56: (cont.) Sample Project Worksheet Subgrantee ApplicaŒon. Courtesy: WisDOT.......... - 130 - FIGURE D - 57: (cont.) Sample Project Worksheet Subgrantee ApplicaŒon. Courtesy: WisDOT.......... - 131 - FIGURE D - 58: Louisiana DOTD Emergency OrganizaŒon Chart. Courtesy: DOTD. ............................. - 151 - FIGURE D - 59: Louisiana DOTD Emergency OperaŒons Center OrganizaŒon. Courtesy: DOTD. ......... - 152 - FIGURE D - 60: Damage Assessment Team organizaŒonal chart. Source: DOTD SOP for Damage Assessment Procedures, 2013, page 5. ............................................................................................... - 156 - FIGURE D - 61: Debris Operations Task OrganizaŒon Chart. Source: Richard Swan, DOTD, personal communica„on. .............................................................................................................................. ... - 159 - FIGURE D - 62: Debris Site Approval Process. Courtesy: DOTD. ........................................................... - 163 - FIGURE D - 63: (cont.) Debris Site Approval Process. Courtesy: DOTD. ............................................... - 164 - FIGURE D - 64: Hurricane Isaac, 2012 – Damage to LA 1 – South of Fourchon Road to Grand Isle, Louisiana. Courtesy: Louisiana DOTD. ................................................................................................. - 177 - FIGURE D - 65: Hurricane Isaac, 2012 – Debris on LA 39, Braithwaite. Courtesy: Louisiana DOTD...... - 178 - FIGURE D - 66: Hurricane Katrina, 2005 – Damage to I-10 Causeway. Courtesy: Louisiana DOTD. ..... - 179 - Appendix D Index of Tables TABLE D - 1: Per-site and per mile criteria for eligibility of damage. ....................................................... - 7 - TABLE D - 2: Form available through Florida Public Assistance (www.FloridaPA.org) ........................... - 13 - TABLE D - 3: Sub-funcŒons of ESF-3 in the Iowa Emergency Response Plan. ........................................ - 20 - TABLE D - 4: 2012 FHWA ER Program Details. Courtesy: TDOT. ............................................................ - 94 - TABLE D - 5: Total Cost for Sample Project Worksheet Subgrantee ApplicaŒon. Courtesy: WisDOT..... - 132 - TABLE D - 6: LEMO Example, Site 1. Courtesy: ADEM. ......................................................................... - 140 - TABLE D - 7: (cont.) LEMO Example, Site 1. Courtesy: ADEM. ............................................................. - 141 - TABLE D - 8: (cont.) LEMO Example, Site 1. Courtesy: ADEM. ............................................................. - 142 - TABLE D - 9: (cont.) LEMO Example, Site 1. Courtesy: ADEM. ............................................................. - 143 - TABLE D - 10: DIR Form Scope. Source: “SOP for Damage Assessment Teams Presenta„on”, provided by Yvonne Murphy, Louisiana DOTD, via personal communica„on, May 21, 2013. ................................ - 158 - TABLE D - 11: Emergency Work WBS numbers for Tropical Storm Karen in October 2013. Courtesy: Louisiana DOTD................................................................................................................................ .. - 169 - TABLE D - 12: Example StatisŒcal Internal Order Numbers. Courtesy: Louisiana DOTD. ..................... - 169 - TABLE D - 13: ESF-3 Task Matrix. Source: “ESF-3 Implemen„ng Procedures: Supplement 6 to State EOP,” DOTD, 2013, pages 1-10 to 1-12 ......................................................................................................... - 171 -

120 Appendix D – Case Studies Page - 1 - LIST OF CASE STUDY INTERVIEWEES State Department of Transportation Position and/or Division California Department of Transportation Chief, Office of Emergency Management FHWA Emergency Relief Program Coordinator, State Highway Damage Management Statewide Major Damage Engineer, Division of Maintenance Local Assistance Coordinator, Division of Local Assistance Florida Department of Transportation Reimbursement Coordinator Finance and Administration Chief Iowa Department of Transportation Disaster Operations Manager Director, Statewide Emergency Operations, Office of Traffic Operations State Maintenance Engineer Louisiana Department of Transportation and Development Assistant Secretary, Operations Assistant District Administrator, Operations Director, Emergency Operations Manager, Cost Recovery/ Mitigation Funds Missouri Department of Transportation Central Office Traffic and Highway Safety New York Department of Transportation FHWA Emergency Relief Coordinator, Main Office Local Programs Bureau FEMA Public Assistance Coordinator, Main Office Local Programs Bureau Tennessee Department of Transportation Maintenance Division Structures Division, Bridge Inspection and Appraisal Hydraulics Section, Structures Division Texas Department of Transportation Congressional Liaison Emergency Management Coordinator, Administration Maintenance Division Wisconsin Department of Transportation FEMA Public Assistance Coordinator, Bureau of Highway Maintenance

121 Appendix D – Case Studies Page - 2 - FHWA Emergency Relief Coordinator Regional Maintenance Engineer DTSD Consultant Vermont Agency of Transportation Director, Program Development Director, Finance and Administration Budget Office, Finance and Administration Accounting, Finance and Administration Maintenance Engineer, Operations State Emergency Management Agency Position and/or Division Arizona Division of Emergency Management Assistant Director, Recovery California Office of Emergency Services Statewide Safety Assessment Program Coordinator

122 Appendix D – Case Studies Page - 3 - Note: The authors would like note that changes are occurring to both the FHWA ER and FEMA PA programs due to SRIA, MAP-21, the 2013 National Review of the Emergency Relief Program, National Review of the FHWA ER Program, and other ongoing efforts to improve the programs. These changes may address some of the issues mentioned in the case studies.

123 Appendix D – Case Studies Page - 4 - California Department of Transportation (Caltrans) Case Study Caltrans manages more than 50,000 miles of California’s highway and freeway lanes, provides inter-city rail services, permits more than 400 public-use airports and special-use hospital heliports, and works with local agencies. Caltrans has 12 district offices and 22,000 employees, and serves the third largest state in the U.S. California has experienced eight Presidential Disaster Declarations along with many Governor’s proclamations in the past seven years. Of these eight Presidential Disaster Declarations, three were fire- related and two were earthquakes. For most of these declarations, the FHWA ER program has been used for reimbursement purposes. With respect to Governor’s proclamations, in FY 2012, there were three Governor’s proclamations for which Caltrans sought FHWA ER reimbursement; all of them were storm- related. In FY 2013, Caltrans applied for FHWA ER reimbursement for four Governor’s proclamations: a storm and three fires - a fuel tanker truck fire, and two wildfires. FHWA ER PROCESS FHWA ER policy allows for 100% reimbursement for emergency opening work completed within 180 days. Caltrans has a Stewardship agreement with FHWA that includes the administration of the FHWA ER program. Caltrans also has access to the FHWA FMIS system. The FHWA ER process begins by completing a “windshield” damage survey, cost estimate of required work, and a request for a Governor’s proclamation. These actions are typically accomplished within a few weeks. The reply from the Governor may require another few weeks. Therefore, the Governor’s proclamation is usually received about a month after the event. More urgent decisions can be made in as little as a day. Immediately after the proclamation is made, Caltrans sends a Notice of Intent to seek emergency relief as required by the FHWA ER manual. FHWA usually responds within a week or two with a letter of acknowledgement that includes instructions on how to proceed. On occasion, FHWA advances a partial amount up front. For instance, for a $10 million repair project, FHWA offered $3 million to Caltrans up front. The remaining amount was reimbursed about one year later. Emergency opening repairs begin immediately after the event as no prior approval is required per the FHWA ER manual. Therefore, Caltrans does not wait for the Governor’s proclamation or FHWA response prior to starting emergency work. Caltrans pays for emergency repairs from a $15 million reserve fund and is reimbursed by the FHWA ER program at a later date. On occasion, FHWA advances a partial amount up front. For instance, for a recent $10 million emergency bridge repair project following a tanker truck fire, FHWA provided a Quick Release of $3 million to Caltrans. Remaining funds are usually reimbursed the following fiscal year.

124 Appendix D – Case Studies Page - 5 - FEMA PA Process In the past, Caltrans had not applied to FEMA because permanent repairs were the purview of FHWA. However, due to MAP-21, FEMA is now responsible for debris removal. After a disaster event, the California Office of Emergency Services (CAL OES), the state EMA, does a PDA with FEMA. They collect information on FEMA-eligible damages from state agencies including Caltrans. All “non-reimbursed” state, local, and private damages are included in the PDA. The threshold is $52 million for a presidential major disaster declaration. The damages now include debris removal from Federal-aid highways. If FEMA agrees to the results and the President declares a major disaster, then Caltrans needs to submit a Request for Public Assistance, a simple one-page form that can be emailed or faxed to Cal OES. Caltrans would then send a representative or two to the well-advertised Applicant Briefings, where Cal OES gives a brief training on the recovery process. Cal OES’ FEMA PA program works with FEMA counterparts to create grant applications or Project Worksheets. Documentation is very important for these; in lieu of documentation, reasonable estimates will be acceptable. The funding for approved Project Worksheets are processed through Cal OES and disbursed to the applicant, in this case, Caltrans. If more funding is needed due to underestimation or unforeseen problems, an adjustment can be made to the original Project Worksheet; the adjustment is called a version. The cost of the project can be adjusted with as many versions as required in order to carry out the work. Therefore, no contingencies are allowed in the cost estimation for large projects. Costs are reconciled at the time of Final Inspection. Emergency debris removal to open major roads is subject to the regulations found in 44 Code of Federal Regulation Section 206 Subpart H, and more specifically Section 206.224. There are many debris removal policies in place to prevent contractor fraud, and these would also have to be followed in addition to both Federal and State environmental regulations. Failure to follow any of these regulations or policies is serious and could result in deobligation of FEMA funds. ROLES AND RESPONSIBILITIES The FHWA ER Major Damage Coordinator is responsible for State highways only. Caltrans Local Assistance Office works with and assists locals. Caltrans’ HQ Federal Resources division works directly with FHWA for FHWA ER reimbursements. Cal OES acts as the liaison between FEMA and Caltrans to process FEMA PA reimbursement requests. COST SHARE The Federal FHWA cost share for Interstates is 91.57% and 88.53% for non-Interstate Federal-aid highways for 2013. Cal OES cost-shares with local governments, but not with State agencies. Hence, FEMA typically provides 75% of the cost impacts in federal disasters.

125 Appendix D – Case Studies Page - 6 - DISASTER ASSESSMENT TEAMS The composition and number of Disaster Assessment Teams depend on the nature of damage. Experts from multiple divisions (Design, Hydraulics, Geo-Tech, Structure Maintenance Investigations, METS, Environmental and Field Maintenance) respond to multiple damage sites. The same teams are used for both FHWA ER and FEMA PA programs. With regards to bridges, after a disaster, pre-disaster conditions may be verified because all bridges are continually inspected; every bridge is inspected at least once every two (2) years. SITE PRIORITIZATION Critical or lifeline routes are given priority. Site Prioritization is also based on urgency and impact of the damage at each location. DAMAGE ASSESSMENT FORMS (DAFs) The new Damage Assessment Form (DAF) used by Caltrans was created by FHWA with input from Caltrans. The DAF was recreated in Adobe Acrobat Professional v.9. The major change was an allowance to ‘write-in’ realistic preliminary and construction engineering support costs instead of the standard 10% and 15%, respectively. The forms were recreated in Adobe Acrobat Professional v.9 to allow for computer-generated DAFs. Caltrans’ staff in the appropriate district office prepares DAFs for every site included in a FHWA reimbursement application. The Caltrans statewide major damage engineer reviews the draft DAFs together with the statewide FHWA coordinator to ensure they are complete; this increases efficiency during the field review by avoiding having to make revisions. Field reviews are scheduled with the FHWA engineer who makes an eligibility determination soon after or during the field review. Changes to the DAF can be made in the field if necessary. DAFs are completed as soon as the necessary information is collected. FHWA usually assigns a due date a few months after the event. Finalizing the DAF is usually performed in the office, not at the disaster site. In case of multiple damages, Caltrans has the capacity to collect the field data, prepare the DAF, and upload them electronically from the damage site. (This procedure would also be used for FEMA PWs.) FHWA provides 180 days for Caltrans to perform the emergency repair for 100% reimbursement. Critical or lifeline routes are given priority. Caltrans’ FHWA ER Coordinator at Caltrans’ HQ then reviews the DAFs submitted to him to ensure they are complete. Field reviews are then scheduled with the FHWA engineer who approves the DAFs. Initial assessments and cost estimates are included in the forms. If actual costs differ from the initial costs, changes are to the forms are easily made. The DAF automatically totals the amounts for Emergency Opening and Permanent Restoration. If the amount is less than $5,000 for the site, it is not eligible; the form signed by the Caltrans engineer would be

126 Appendix D – Case Studies Page - 7 - submitted to Cal OES for 75% reimbursement. Details about the location of the road segment or bridge are requested along with description of the damage and existing Average Daily Traffic. A revised DAF is needed if: The DAF amount is $100,000 or less and the change is greater than $10,000 and 25% The DAF amount is between $100,000 - $1,000,000 and the changes are greater than 15% The DAF amount is greater than $1,000,000 and the change is greater than 10% Damage is eligible if it is a Federal-aid route and meets the criteria in TABLE D - 1. TABLE D - 1: Per-site and per mile criteria for eligibility of damage. State County City Per site $5,000 $5,000 $5,000 Per mile $15,000 $9,000 $5,000 Easily accessible web-based maps of Federal-aid highways are available to Caltrans’ district personnel and to LPAs so that they may confirm that a route is Federal-aid. Exceptions include the following: Directly related to the protection of the highway Not eligible for funds from another agency No other agency has responsibility Applicant agrees to accept all future maintenance PERMANENT RESTORATION TIME LIMIT The two-year time limit for permanent repairs is an issue. California has more stringent environmental rules than do other states and may need four years to complete permanent restorations. While FHWA has granted extensions to Caltrans on previous projects, this limit is disconcerting. THRESHOLDS For Caltrans, the threshold for applying to the reimbursement programs is actually higher than the amounts in the programs because Caltrans experiences many damages on an annual basis that exceed the threshold of $700,000 per event. If damages amount to a few million dollars, Caltrans will likely ask for reimbursement; if it is only $700,000, it may not. However, the thresholds for its counties are different – they would probably submit an application if the damages amount to $700,000. Caltrans acts as an administrator for the counties for FHWA. Therefore, the counties submit their DAFs to Caltrans which reviews them and then forwards them to FHWA.

127 Appendix D – Case Studies Page - 8 - LANDSLIDES Since FEMA is now responsible for the debris removal, and permanent repairs are still an ER activity, separate contracts are now required. TECHNOLOGIES Integrated Maintenance Management System is an accounting system which keeps track of Caltrans’ personnel hours, activity, and location (based on mileposts). Caltrans uses electronic signatures to facilitate document processing. PROJECT CODING Costs are coded by project numbers. COST RECOVERY POLICY Caltrans’ reimbursement billing accountants need to ensure full cost recovery including direct and indirect costs per the State Administrative Manual when providing services or goods for others. The Manual states that for damaged state property, direct costs include labor, materials, and equipment as well as contracting costs while indirect costs include payroll reserve and the overhead assessment rates. FMAG The FMAG program reimburses for emergency response costs only. Caltrans’ emergency response efforts include traffic control during the fire or emergency repairs to reopen the roadway. In California, there were six wildfires in 2010 and two in 2011 that were reimbursed through the FMAG program. The FMAG is declared during the first few days of the fire; generally, the entire reimbursement process takes several months. CALTRANS LOCAL ASSISTANCE TRAINING Caltrans provides FHWA ER training to its district personnel and to LPAs. The Caltrans’ Local Assistance Academy is a week-long intensive training offered to newer Local Assistance hires. A few spots may be offered to LPAs. While the FHWA ER portion is only 30 minutes, there are break-out sessions in which participants can attend to obtain more training and information. FHWA ER offers district offices a five- hour class that starts with basic information and ends with the participants breaking up into groups of four or five and filling out a DAF for a damaged site. Representatives from other state DOTs are able to attend the training if there are available spots. Most of the guidance provided to districts focuses on the FHWA ER program and how districts can determine whether a road is Federal-aid or not. A key issue faced by district offices is high turnover. A representative may attend the Academy and the FHWA ER class but if they leave, no one else may be able to navigate the process. FHWA ER information and Caltrans-specific web-based FHWA ER training may be accessed at: http://www.dot.ca.gov/hq/LocalPrograms/programInformation.htm

128 Appendix D – Case Studies Page - 9 - LPA TRAINING Caltrans provides assistance and resources to LPAs for the FHWA ER program. The Caltrans Local Assistance Program, comprised of the Division of Local Assistance in Headquarters and 12 District Local Assistance Offices, assists LPAs (Local and Regional Agencies) by ensuring specific program requirements are met, project applications are processed, and projects are delivered in accordance with Federal and State requirements. Caltrans’ Local Assistance Program oversees more than one billion dollars of annually available funds for over 600 cities, counties and regional agencies for the purpose of improving their transportation infrastructure or providing transportation services. This funding comes from various Federal and State programs specifically designed to assist the transportation needs of local agencies. Annually, over 1,200 new projects are authorized through the Local Assistance Program of which approximately 700 are construction projects. The following Caltrans’ web page provides more information on the Local Assistance Program (“Local Assistance,” n.d.): http://www.dot.ca.gov/dist1/d1transplan/local_assistance.htm Helpful resources including a training video and FHWA online training modules are provided by Caltrans at (“Emergency Relief Program,” n.d.): http://www.dot.ca.gov/hq/LocalPrograms/erp/erp.html PARAMOUNT BOULEVARD BRIDGE On December 14, 2011, a tanker truck traveling eastbound on State Route 60 (Pomona Freeway) exploded beneath the Paramount Boulevard bridge. The concrete girders, soffit and columns all sustained severe fire damage and the bridge had to be demolished. The disaster site was in the City of Montebello on LA-60 directly under Paramount Boulevard Bridge. All lanes of LA-60 in both directions were closed between the LA-710 and LA-605 interchanges for about three days. The first priority was to remove the fire-destroyed bridge and reopen LA-60. In 180 days, emergency repair work was performed – the bridge which had been built in 1967 was torn down and rebuilt to current standards. Total damages to the bridge amounted to $15 million. For this disaster, Governor Jerry Brown proclaimed a state of emergency, allowing Caltrans to seek reimbursement from the FHWA ER Program. The Quick Release method was used and $2 million was received in January, 2012. Multiple Caltrans’ crews from District-7 (LA) and Caltrans HQ (Field Maintenance, Hazmat crew, Structural Maintenance, Structural Maintenance Investigations, and Materials Engineering and Testing Services (METS) responded to the site. The assessment was conducted by the District major damage coordinator immediately after the initial hazmat cleanup was completed. Core samples were taken and tested at a Texas Structural Engineering firm specializing in structures investigation. Collecting all of the data from the crews took five days. The FHWA Emergency Relief Program consisted of two parts: emergency repair/operations completed during the first 180 days of the incident with 100 percent reimbursement of eligible costs, and permanent repair with 88.53 percent reimbursement rate. Caltrans received 100 percent

129 Appendix D – Case Studies Page - 10 - reimbursement from FHWA. Because LA-60 is a major corridor, it had a significant impact to the public and, the FHWA response was excellent. The emergency bid contract began on March 2, 2012, and the project was completed May, 2012. The environmental review was expedited and Caltrans worked with utilities to expedite permits and meet cooperative agreement requirements. There was just one site and one DAF along with one revised DAF for this disaster. Both DAFs refer to the following three projects: 1. Emergency Opening (E/O) – The initial Force Account Contract was for damage assessment, demolition of bridge, and site preparation for the follow-up rebuilding project. 2. Emergency Opening (E/O) – The follow-up Informal Bid PS&E was a bridge replacement project in order to restore traffic both on LA-60 and Paramount Blvd. 3. Permanent Restoration (P/R) – A formal PS&E project is currently under design in order to realign ramps and approaches to the new bridge. Caltrans’ policy regarding costs for repairing and replacing highway property damaged by the traveling public is to recover the costs in full. Caltrans is given legal authority to accomplish this via Section 730 of the Streets and Highways Code and 17300 of the California Vehicle Code. REFERENCES “Emergency Relief Program,” Division of Local Assistance, California Department of Transportation (Caltrans), Sacramento, CA, Last Updated September 2, 2014, [Online]. Available: http://www.dot.ca.gov/hq/LocalPrograms/erp/erp.html “Local Assistance,” Division of Local Assistance, California Department of Transportation (Caltrans), Sacramento, CA, Last Updated January 31, 2014, [Online]. Available: http://www.dot.ca.gov/dist1/d1transplan/local_assistance.htm

130 Appendix D – Case Studies Page - 11 - Florida DOT (FDOT) Case Study BACKGROUND Florida is the fourth most populous and has the eighth highest population density. The state has a great deal of experience with storms and hurricanes. Florida had a Presidential Major Disaster Declaration in 2013 and in 2014: in the spring of 2014, Florida experienced severe storms, tornadoes, straight-line winds, and flooding and, in July, 2013, the state was hit with severe storms and flooding. In 2012, there were two Presidential Major Disaster Declarations: the most recent hurricane, Hurricane Isaac, struck the state in August, 2012 following a tropical storm that had hit earlier that summer. The weather hazard that has required the most involvement by Florida DOT (FDOT) has been hurricanes. During the 2004-2005 hurricane seasons, Florida was impacted by multiple storms. As a result, the declaration dates and locations overlapped, creating difficulties in reimbursement applications for the storms. This created a challenge with regard to maintaining the accountability and integrity of documentation associated with a single storm. Difficulties also arose due to each district office and local agency using a different storage system or method. ROLES AND RESPONSIBILITIES FDOT has one central office (HQ), seven district offices and the Florida Turnpike office. To assist with properly identifying work and the supporting documentation, the FDOT Office of Work program Federal- aid coordinator for each district assigns project numbers to specific types of work required during disasters (e.g., personnel timesheets, equipment usage). The FDOT Central Office can do queries to determine the amount of work that has been performed and whether it meets the FHWA ER program threshold of $700,000. The Central Office reviews DDIRs developed by the district offices, develops the Program of Projects list, and submits them to the FHWA Division Office for approval. A key difference between FEMA and FHWA is how each agency assigns staff during a disaster and how that staff is involved in the reimbursement process. With FEMA, their Public Assistance Coordinators (PACs) are usually not assigned to work with the Applicants until later in the disaster activation. Also, depending on the circumstances, multiple PACs can be assigned or reassigned with little or no notice. The FHWA assigns full-time engineering staff to each of FDOT’s districts. Upon notice of a natural disaster, the FHWA deploys staff to the affected District. At the districts, FHWA engineers can approve or disapprove projects before construction starts and monies are expended. Also, throughout the year, the FHWA engineers and FDOT District Maintenance Engineers meet to discuss current issues and develop strategies to address situations that are likely to arise during natural or manmade disasters. These strategies include but are not limited to developing scopes of work, emergency contracts, and asset maintenance contracts.

131 Appendix D – Case Studies Page - 12 - TECHNOLOGY Consultants are typically used to assist with FEMA applications. Familiarity and ability to work with the optical character recognition system and Adobe professional system are now required of consultants. Therefore, FDOT has included in its scope of work for Emergency Management Services the requirement for the use of optical character recognition software and Adobe professional system which allows PDF documents to be converted into other formats. In addition to the measures added to the scope of work for consultants performing reimbursement related functions, the FDOT Comptroller’s Office developed the Emergency Relief Retention System (ERRS). ERRS is an electronic document storage system that can be used by Central Office to store reimbursement related documents. While its name suggests that it is “Emergency Relief” centric, their office is exploring the possibility of expanding the coverage to include the Public Assistance Program and others. APPEALS When appeals are initially made to FEMA, the appeals package must include a complete set of the files and documentation that had been submitted as part of the original Project Worksheet. In some cases, when the documentation is stored electronically on FDEM’s site (www.FloridaPA.org) the appeals process is more efficient. FEMA appeals, if denied, are due to the following reasons: work was done on a Federal-aid highway or the cost is not “reasonable.” FDOT has appealed determinations in both instances and has won several cases. Generally speaking, the two biggest challenges for an applicant responding to a determination, is having the ability to deliver the entire package together in a useable format and the availability of personnel to support the work involved in retrieving the data. FDOT’s strategy in responding to appeals is straightforward: 1) identify the determinations, 2) provide documentation that specifically addresses the determinations, and 3) reference key laws where possible. FDOT has not had issues with the FHWA appeals process. During Tropical Storm Debbie, damages to a local road on Federal land were denied. FDOT held discussions with the FHWA headquarters regarding this matter, and it was resolved successfully (the initial decision denying the expenses was overturned). Having this type of open communication with the owner of the program was extremely valuable in getting the work done as well as reducing the likelihood that reimbursement would be denied. PROJECT APPROVAL PROCESS FHWA’s project approval process is extremely quick – the eligibility determination typically occurs prior to the start of the project because the FHWA representative is on site. REIMBURSEMENT TIME The time between the application submission and reimbursement is as short as one week for the FHWA ER program while it can take longer for the FEMA PA Program.

132 Appendix D – Case Studies Page - 13 - CONTRACTING ISSUES FDOT has not experienced significant contracting issues because its Maintenance Office already has scopes of work which have been approved by FHWA and are compliant with all necessary rules and regulations. The contracting procedures have been designed to accommodate FHWA’s requirements. LPA TRAINING FDOT provides FHWA ER training on an annual basis to their district offices and local public agency staff from municipalities and counties. The day-long training is held at each district office. FEMA FORMS Florida’s EMA is the Florida Division of Emergency Management (FDEM). FDEM offers guidance to its subgrantees including FDOT and counties through its website www.FloridaPA.org. Step-by-step guides with helpful information on how to complete the Reimbursement process, Advance Request process, Appeals process, Time Extension request and Quarterly Report development processes are provided through this site. For large projects, scanned receipts and documents can be uploaded to the Florida FEMA PA web portal and attached to the Request for Reimbursement (RFR). Electronic forms are available at www.FloridaPA.org, of which an example is shown in TABLE D - 2. While Florida DOT does not normally need to complete the forms except for the RFR for large projects and the PW documentation, it is important to view and understand the content of the forms and information requested for each form. TABLE D - 2: Form available through Florida Public Assistance (www.FloridaPA.org). Sheet of Sheets Federal Emergency Management Agency Date Preliminary Damage Assessment Site Estimate Phone Part 1 - Applicant Information County Name Of Applicant Name Of Local Contact Part 2 - Site Information Key For Damage Category (Use appropriate letters in the "category" blocks below) a. Debris Removal d. Water Control Facilities g. Other Recreation b. Protective Measures e. Public Buildings c. Roads And Bridges f. Public Utilities Site No. Category Location (Use map location, address, etc.) Description Of Damage

133 Appendix D – Case Studies Page - 14 - Impact: % Complete Cost Estimate Site No. Category Location (Use map location, address, etc.) Description Of Damage Impact: % Complete Cost Estimate Site No. Category Location (Use map location, address, etc.) Description Of Damage Impact: % Complete Cost Estimate Site No. Category Location (Use map location, address, etc.) Description Of Damage Impact: % Complete Cost Estimate Name Of Inspector Agency Phone No. Office Phone No. Home FEMA Form 90-81, Jan 84

134 Appendix D – Case Studies Page - 15 - REIMBURSEMENT PROCESS Project Worksheets (PWs) for both large and small projects must have all special considerations reviews completed by both the State DEM and FEMA before they are obligated for funding. The Funding Agreement between state DOT and the State of Florida must also be fully executed before payments can be made. Small Projects All obligated Small Projects are processed automatically when funds have been obligated. Large Projects Large Project funds are disbursed to the applicant as costs are incurred. The state DOT submits a Request for Reimbursement (RFR) through the Florida FEMA PA Website. The RFR needs to be accompanied with specific documentation such as copies of original invoices, cancelled checks (front and back), purchase orders, paid bills, bank statements, time and attendance records, reports from the applicant’s payroll and accounting systems which shows that costs are allowable and reasonable. The state DOT may upload the required documentation in order to expedite the process. Large Project Close-outs Once the project has been completed, for the final reimbursement, a Request for Reimbursement and close-out version of the PW must be processed for any overrun. Advanced Payments The State of Florida Public Assistance Program allows applicants to request Advance Funding Payment (AFP) through the Florida FEMA PA website. According to Florida statute, applicants may receive only one AFP per funding agreement and the amount requested should not exceed the cash needed for the initial three (3) months of the work. The amount requested should be based on multiple PWs. (Florida Statute 216.181 (16) (b)). APPEALS GUIDELINES FOR ADVERSE DECISIONS BY FEMA The appeals process provides an opportunity for an applicant to request reconsideration of adverse decisions regarding the eligibility of FEMA Public Assistance Grants. The state DOT initiates an appeal through the Florida FEMA PA website and then mails an original signed letter and supporting documentation to Florida DEM. First Appeal Within 60 days of the receipt of a FEMA determination, the state DOT needs to send justification, disaster number, PW number, amount, and any applicable provisions in federal law, regulation or policy, along with any information requested by Florida DEM. The information should be received by the

135 Appendix D – Case Studies Page - 16 - Florida DEM so that they can meet the 60-day deadline to forward the information to the FEMA Regional Director. Once the first appeal has been received, the Florida DEM assigns the appeal to a Planning Specialist who reviews and evaluates it, and may ask for additional information. The Florida DEM will forward it within 60 days to the FEMA Regional Director. The FEMA Regional Director reviews the first appeal within 90 days of receipt. The FEMA Regional Director will decide on the appeal and take appropriate action, or, request additional information from the state DOT. The state DOT will have 60 days to respond upon receiving the request. Once the information has been received, the FEMA Regional Director will render a decision within 90 days. Second Appeal The state DOT has the option of submitting a second appeal through the Florida DEM within 60 days of receiving the denial letter. The Florida DEM will forward the second appeal with a recommendation to the FEMA Regional Director within 60 days of receipt. The FEMA Regional Director will review the second appeal and will make a decision or request additional information. The second appeal with the FEMA Regional Director’s recommendation will be forwarded to the FEMA Executive Associate Director within 30 days. The FEMA Executive Associate Director will review the second appeal and will make a decision within 90 days of the receipt of the second appeal, the receipt of additional information, or the expiration of the period for providing information. GUIDELINES FOR TIME EXTENSION The Florida DEM can grant extensions for the performance period of PWs for emergency and permanent work. Requests are processed through the FloridaPA web portal (www.floridapa.org) and should include identification of the project by PW number, the dates and provisions of any previous extensions, a detailed justification, and a projected completion date. The justification should be based on extenuating circumstances or unusual project requirements beyond the control of the state DOT and the projected/actual milestones for the project. If the state DOT’s request is beyond the Florida DEM’s authority, the Florida DEM will submit the request to the FEMA Regional Administrator. GUIDELINES FOR QUARTERLY REPORTS FOR LARGE PROJECTS Quarterly Reporting is required for state DOTs for all large projects to comply with the State Funding Agreement, regulatory guidance (CFR Title 44), and to allow the Florida DEM to provide progress reports to FEMA’s Regional Administrator (Region IV). The progress report should include the following: The status of the project, such as “in design” or “percentage of “construction completed.” Time extensions granted, if any. A projected completion date.

136 Appendix D – Case Studies Page - 17 - The amount of expenditures and amount of payment for each project. Any problems or circumstances that could delay the project or result in noncompliance with the conditions of the FEMA approval. Quarterly reports must be submitted through the FloridaPA Web Portal which alerts the state DOT shortly before a quarterly report is due. Once a final payment is made, the project will be eliminated from the report. Since the Florida DEM uses the reports to keep track of its budget authority, the reports also ask for expected expenditures.

137 Appendix D – Case Studies Page - 18 - Iowa DOT Case Study Iowa is mainly rural with a large agricultural industry. Two interstates cross the state of Iowa: Interstate 80 travels east-west and Interstate 35 travels north-south. The Iowa Emergency Response Plan identified the following as natural hazards faced by the state: hydrologic hazards such as river flooding and flash flooding; atmospheric hazards such as tornadoes and severe winter storms; extreme heat and drought; geologic hazards such as landslides; and agricultural and pandemic diseases. Technological hazards include hazmat releases, nuclear/radiological incidents, critical infrastructure failures, fires, attacks, transportation incidents, and civil hazards. Of Iowa’s 19 Presidential Disaster Declarations between October 1, 2007 and September 1, 2014, 18 involved severe storms and one was solely flooding. Of the 18, 11 also involved flooding, eight involved tornadoes, and four were winter storms. Iowa DOT has six (6) districts and, as of August 1, 2013, a total of 2,522 employees. Their major hazards related to transportation infrastructure are winter weather events and flooding. Iowa has experienced an increasing number of disasters, and Iowa DOT has participated in 14 FEMA Public Assistance eligible disasters and seven (7) FHWA ER eligible disasters. In the period April 9 through July 2, 2013 alone, Iowa has had four (4) Presidential Major Disaster Declarations: Iowa Severe Storms, Tornadoes, and Flooding June 21, 2013 to June 28, 2013 Major Disaster Declaration declared on July 31, 2013 Iowa Severe Storms, Tornadoes, and Flooding May 19, 2013 to June 14, 2013 Major Disaster Declaration declared on July 2, 2013 Iowa Severe Storms, Straight-line Winds, and Flooding April 17, 2013 to April 30, 2013 Major Disaster Declaration declared on May 31, 2013 Iowa Severe Winter Storm April 9, 2013 to April 11, 2013 Major Disaster Declaration declared on May 6, 2013 Iowa DOT typically applies for reimbursement through FHWA’s FHWA ER Program because all roadways maintained by Iowa DOT are Federal-aid routes. However, in certain cases, Iowa DOT also applies for reimbursement through the FEMA PA Program when seeking reimbursement for recovery assistance to counties and cities, such as debris removal. All Iowa DOT’s roadways are Federal-aid routes and are therefore eligible for FHWA ER funding. However this is not the case for Local Public Agencies (LPAs.) When working with the local county and city officials, Iowa DOT recommends that the roadway classification be consulted before deciding

138 Appendix D – Case Studies Page - 19 - whether to request reimbursement from FEMA or FHWA. All urban roadways classified as collector and all rural roadways classified as major collector or above are eligible for FHWA ER funding. These roadways may or may not be considered eligible for emergency work (primarily debris removal) reimbursement by FEMA. Iowa DOT contracts out most emergency work for its roadways and bridges. ROLES AND RESPONSIBILITIES Iowa DOT is the lead for Transportation (ESF-1). Its ESF-1 responsibilities are as follows: “1.2.1. Restoring and maintaining the primary road systems needed for the support of response activities during and immediately following an emergency or disaster. 1.2.2. Restoring and maintaining other public transportation systems needed for the support of response activities during and immediately following an emergency or disaster. 1.2.3. When necessary, assisting with the restoration and maintenance of non-public transportation systems, such as railroad and aviation, needed for the support of response activities during and immediately following an emergency or disaster. 1.2.4. Coordinating requests for transportation system repair and restoration assistance from local emergency response organizations, local governments, and state agencies. 1.2.5. Whenever practical, meeting the minimum transportation needs of the general public in emergency/disaster affected areas. 1.2.6. Gathering data for emergency response and for general public use about the effects of an emergency/disaster on transportation systems and associated infrastructure. 1.2.7. Tracking transportation system restoration activities on a statewide basis. 1.2.8. Restricting the use of transportation systems and associated infrastructure by the general public to facilitate emergency response activities and/or address public safety concerns.” (Iowa Emergency Response Plan, 2010) Iowa DOT is the co-lead for Public Works and Engineering (ESF-3). ESF-3 is organized into subfunctions as shown in TABLE D - 3. Iowa DOT is the subfunction lead for Debris Removal, and co-lead for Engineering and Technical Services. Iowa DOT and the Iowa Department of Public Safety are the co-leads for evacuation. Iowa’s Emergency Response Plan requires Iowa DOT to be prepared to deploy resources and provide requested personnel to staff the Emergency Operations Center, and provide requested equipment such as loaders, boom trucks, heavy-duty trucks, chain saws, and changeable message signs if there is a Governor’s Proclamation of Disaster Emergency. In addition, Iowa considers public works agencies to be first responders and therefore have an important role in emergency management. Iowa DOT has designated reimbursement coordinators for both the FHWA ER and FEMA PA programs within its Central Office as well as in its district offices. Iowa DOT has a Stewardship Agreement with the FHWA to administer the FHWA ER Program. Usually a DDIR is completed by the Iowa DOT district office

139 Appendix D – Case Studies Page - 20 - or an LPA and then reviewed by the Central Office. Iowa DOT’s accounting office conducts internal audits prior to submission of the FHWA ER and FEMA PA documentation. Iowa DOT assists LPAs in completing the DDIRs. Iowa DOT’s accounting office has a uniform invoice system for counties, and uses a statewide integrated financial, HR, and payroll system to track costs and provide documentation. The Contracts office lets LPA permanent FHWA ER projects and Iowa DOT’s accounting office tracks project billings. Access to FHWA’s FMIS helps Iowa DOT’s accounting office and FHWA ER coordinator track the status of FHWA ER projects. After Action Reports are used by Iowa DOT to improve its disaster preparedness, response and reimbursement processes. TABLE D - 3: Sub-functions of ESF-3 in the Iowa Emergency Response Plan. ELECTRONIC DDIR Because of the increase in cost reimbursement opportunities the department began identifying better methods of tracking costs and processing necessary paper work for both the FHWA ER Program and FEMA PA program. In 2008, extensive flooding affected 87 of 99 counties and a large portion of Iowa DOT’s transportation infrastructure. For this flood event, hundreds of DDIRs were submitted by Iowa DOT to the FHWA on behalf of Iowa DOT, Counties, Cities, Department of Natural Resources and Rail Road systems for damage on Federal-aid routes. Three hundred twenty six (326) FHWA ER projects were approved. The project tracking and storage process was done manually. Each project required a DDIR with a map and attachments be submitted. At the time there was not a DDIR form available that allowed the user to electronically fill out and save information onto the form; therefore the user had to type, print and scan the document or complete the DDIR by hand, scan and email. Iowa DOT found that DDIRs were submitted with errors or incomplete information creating additional work on part of the central office. The Iowa DOT also realized that DDIR report numbers were not consistent statewide, and some were

140 Appendix D – Case Studies Page - 21 - being duplicated. Only about 15 DDIRs could be processed in one day. Email size restrictions also made it difficult to deliver a large number of DDIRs. Other issues included the following: The form did not have enough lines to list all damage and multiple forms were needed for each site. Maps were not always included or were not usable, Changes to the original form could not easily be made, Needed attachments were sent on separate email due to email size restrictions, The form did not have a location to make additional notes. The form did not automatically sum costs. The communication process was not sufficient, DDIRs were sometimes misplaced in hundreds of emails, and Offices (such as design and environmental) did not receive the DDIR in a timely manner. Based on the issues that were identified, an After Action Report recommended the created of an electronic form. Iowa DOT developed a concept for a more user-friendly electronic system to submit, track and store the DDIR. The form took about 1.5 years to complete at a cost of about $85,000- $100,000. The following steps were required for the creation of the form: 1. Internal Programmers created databases. 2. An internal records management system had to be created. 3. A vendor developed the form itself. (Firewall issues made internal development difficult.) The new system included a website from which any authorized user is able to access the form, and a mapping system that automatically creates a map with Lat/Long or County/Route/Milepost. Revisions were done to add in PE and Construction Engineering costs. Additional cost items can easily be added to the form by using the new “+” button, and subtotals are performed automatically. Note that, in the past, because the form was limited to several line items additional forms were needed on occasion to complete the DDIR. Additional forms required all of the information on the original form to be duplicated. If required items are left blank, an automated warning is provided to the user, and the user would need to complete the items before he or she may proceed with the form. All signatures required for the DDIR form are electronic. FHWA signatures are protected from unauthorized changes through the use of a security code. The system sends automatic notifications to all relevant offices (i.e., Accounting, Central Office). The system processes the DDIR from the start throughout the approval process. It also includes a re-submittal process for any rejected DDIR and a revision process for all DDIR needing updates after approval. A central database linked with all other

141 Appendix D – Case Studies Page - 22 - systems and databases is used to store and track all information from the start to the close of a project. The DDIR is automatically stored in the records management system for long-term storage and is available to all authorized users. The form was developed using the original format of the DDIR form provided by FHWA. Photos, plans, and sketches can easily be attached to the form. Photos are clearly marked with location information – some cameras have a GPS stamp so that this step is automatic. The form transforms all attachments into a PDF file automatically. It is expandable to include additional line items for emergency and permanent work as needed. The form was developed by an outside contractor and connected into a database developed by the highway division IT staff, the Highway Division GIS programmers developed the mapping system that was used in the form and the Electronic Records Management staff provided a storage location for long term storage. The DDIR system was used for the first time for the 2011 flooding. The system greatly decreased the number of hours needed to develop, process and approve the DDIR, and increased the communication process with offices allowing for projects to be started sooner to insure 100% reimbursement of costs when possible. The DDIR forms may now be completed in the field using laptops; in the future, they may also be used on tablets and smart phones. The electronic DDIR has reduced the time expended to produce a DDIR by 90%. For example, completing 15 DDIRs would have taken several hours; it now takes only about 15 minutes. A sample of the electronic DDIR is appended to the end of this case study (see FIGURE D - 2 to FIGURE D - 9). While this product is not available on the market, Iowa DOT is willing to share additional details of the product with other state DOTs. DDIR Report Numbers In order to insure unique DDIR report numbers the program assigns the report numbers using the following system: Primary route projects = Disaster number-County Number-Route-Beginning Milepost Example IA-13-02-35-29-25.3 County projects = Disaster number-County Number (2 digit)-Project Sequence for event Example IA-13-02-35-1 City projects = Disaster number-City (4 digit) Number-Project Sequence for event DNR projects = Disaster number-DNR-County number -Project Sequence for event

142 Appendix D – Case Studies Page - 23 - Resource Management System (RMS) During a disaster the maintenance garages track labor, equipment, materials and expenses using project numbers along with functions. They also track location of work on and off of the highway system using the RMS system. A module for FHWA ER program and FEMA PA program was created within the system. Each module uses the appropriate schedules and rates for the respective program. These modules enable Iowa DOT accounting staff to identify costs and associate them to specific PWs or DDIRs within the system. The information can be exported from RMS into an excel worksheet in the format needed for the FEMA PA or the FHWA ER program. It prevents billing duplications and has decreased audit issues, both at a state and federal level. The amount of administration staff needed to identify costs and create reports has decreased by more than half. Also small disasters with only small recoverable costs were previously not billed because the amount of the administration hours needed to the identify disaster costs outweighed the benefit of recovering the small damage costs. However, this system has allowed Iowa DOT the ability to identify and process billings for small disasters in just a few hours for the FEMA PA program. The system allows the Iowa DOT to recover more disaster costs in a more efficient and timely manner. Additional information about this system can be provided to other state DOTs if needed. SITE ASSESSMENT In order to facilitate site assessments, information packets are distributed to assessment teams. Also, a weather information system and bridge, highway, and pavement management systems as well as a bridge monitoring system are employed to facilitate the assessment process. Historical data are mapped to show repetitive losses – this has been useful in justifying betterments and the inclusion of mitigation measures. Geospatial data using LiDAR are also useful in identifying damages and the cause of damaged infrastructure. RELATIONSHIP WITH FEMA AND FHWA The Iowa DOT has had an excellent relationship with its FHWA Division Office and has developed a strong working relationship with the state EMA (Iowa Homeland Security Emergency Management Department HSEMD). This has allowed Iowa DOT to partner with both agencies during disaster response and recovery. The central office also provides information to HSEMD and FEMA regarding FHWA ER eligibility when needed, helping resolve questions and eligibility issues quickly. TRAINING Iowa DOT provides disaster assessment training and training on the FHWA ER and FEMA PA programs to its personnel and to LPAs. Scenarios from previous disasters are used to enhance this training. Iowa DOT and FHWA provide training to Iowa state EMA (HSEMD) employees annually to discuss the FHWA ER program and FEMA programs. This training allows HSEMD employees the ability to direct counties and cities to submit eligible projects to the appropriate program. The Iowa DOT also has

143 Appendix D – Case Studies Page - 24 - employees trained to work on HSEMD’s disaster assessment teams and as project officers or project coordinators; during disasters and emergencies, these employees can be deployed to HSEMD. LPAs Iowa DOT assists local counties and cities during disasters by recommending which agency (FEMA or FHWA) to submit to, attends kickoff meetings, and by helping them complete DDIRs in a timely fashion. Iowa DOT provides Just-in-Time Training in reimbursement procedures to LPAs once a disaster occurs. An annual training on the FHWA ER Program is held by Iowa DOT and FHWA at district offices. Iowa DOT representatives also attend county engineers meetings and workshops to inform them about the programs. CONTRACTING Iowa DOT contracts out most of its emergency work. Emergency waivers are used to facilitate the work. Iowa DOT has no contracting issues because its contracting office follows all rules and regulations. APPEALS Most DDIR submissions are approved by the FHWA. However, when a submission is rejected, Iowa DOT addresses FHWA’s concerns through discussions with the Division Office. Informal discussions often resolve the issues making a formal appeal unnecessary. One of Iowa DOT’s applications for reimbursement was rejected by FHWA because it did not meet their $700,000 threshold. Once Iowa DOT reviewed its expenses and identified additional costs, Iowa DOT resubmitted the request; upon review by FHWA, the application was ultimately approved. TECHNOLOGIES USEFUL TO IOWA DOT FOR FHWA AND FEMA PROCESSES Iowa DOT’s Weatherview Website Iowa DOT’s “Weatherview” website provides real-time road weather information to the public. The current site, developed in 2009, has been updated to accommodate road cameras, traffic flow information, and email and mobile-text alerts triggered by certain weather events. A screenshot of the system is shown in FIGURE D - 1.

144 Appendix D – Case Studies Page - 25 - FIGURE D - 1: Figure Screenshot of the Iowa DOT Road Weather Information System. Source: Iowa DOT WeatherView (http://weatherview.iowadot.gov/). The Weatherview system integrates several elements including a map displaying weather information from Road Weather Information System (RWIS) stations and from Automated Weather Observation Systems (AWOS) – the map uses Google Maps software. The weather information includes air temperature, road and bridge temperatures, wind speed and direction, wind gusts, dew point, and visibility. The system assists disaster assessment teams in determining whether it is safe to perform an assessment at a particular site. Additional features of the system include the following: Site-specific forecasts and historical weather information Camera image gallery Rural traffic speed information Accessible to authorized personnel are: o Real-time plow truck locations and plow/spreader information from GPS and Automated Vehicle Location (AVL) data o Work status of winter maintenance crews The map accesses Iowa DOT GPS and crew status map layers from Iowa DOT’s Geographic Information System (GIS) map services system. This information allows Iowa DOT to determine the daily equipment and labor usage during storms. Also, the information provided by Weatherview keeps disaster assessment teams and repair crews notified of current and potential dangerous weather conditions. Google mapping and camera images

145 Appendix D – Case Studies Page - 26 - (new additions to the site) were found to have high bandwidth and required additional server capacity. Also, the added functions are requiring more IT support. Asset Tracking Plow truck locations are tracked using Global Positioning Satellites (GPS) and reported to Iowa DOT personnel. This information is useful in tracking equipment and labor usage during disasters. (Best Practices for Road Weather Management, Version 3.0, 2012) Sample Electronic DDIR for Iowa DOT The figures from FIGURE D - 2 to FIGURE D - 5 show screenshots from a sample Iowa DOT electronic DDIR. FIGURE D - 2: Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT.

146 Appendix D – Case Studies Page - 27 - FIGURE D - 3: (cont.) Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT.

147 Appendix D – Case Studies Page - 28 - FIGURE D - 4: (cont.) Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT.

148 Appendix D – Case Studies Page - 29 - FIGURE D - 5: (cont.) Screenshot of the Iowa DOT Electronic DDIR. Courtesy: Iowa DOT.

149 Appendix D – Case Studies Page - 30 - FIGURE D - 6 shows some of the DDIR cost estimate details submitted to FHWA by Iowa DOT for the 2011 flooding. These detailed statements were attached to the submission as a PDF file. FIGURE D - 6: DDIR cost estimate details for the Iowa 2011 flooding. Courtesy: Iowa DOT.

150 Appendix D – Case Studies Page - 31 - The following photos (from FIGURE D - 7 to FIGURE D - 9) show both damage as well as the general condition of Iowa’s roadways. They were attached to the DDIR form in a PDF as part of the submission to FHWA. FIGURE D - 7: General Condition of Ditches. Courtesy: Iowa DOT. FIGURE D - 8: Culvert with Joint Separation. Courtesy: Iowa DOT.

151 Appendix D – Case Studies Page - 32 - FIGURE D - 9: General Road Condition. Courtesy: Iowa DOT. REFERENCES Best Practices for Road Weather Management, Version 3.0, Report No. FHWA-HOP-12-046, Federal Highway Administration (FHWA), US Department of Transportation, Washington, DC, June 2012, [Online]. Available: http://www.ops.fhwa.dot.gov/weather/mitigating_impacts/best_practices.htm Iowa Emergency Response Plan: Basic Plan PLUS 15 Emergency Support Functions (ESFs), Special Needs Support Annex, Iowa Homeland Security and Emergency Management Division (HSEMD), Johnston, IA, Oct. 2010.

152 Appendix D – Case Studies Page - 33 - Missouri DOT (MoDOT) Case Study Missouri is the 18th most populous state and is 21st in terms of size at 69,704 sq. miles. Missouri experiences winter storms, tornadoes, and flooding. Missouri has a large system of minor roads in various counties. They are not Federal-aid roads so damages to these roads would be reimbursed through FEMA. Missouri DOT (MoDOT) has 5,100 employees across seven offices, two of which are urban and five are rural. Missouri has had 15 Presidential Disaster Declarations from October 1, 2007 to September 1, 2014. Of these, 14 involved severe storms and one was solely flooding. Ten of the 14 also involved flooding, seven involved tornadoes, and three were severe winter storms. MoDOT’s experiences with two disasters, the DR-4130 that occurred May 29-June 10, 2013 and the 2011 major flooding disaster, are included in this case study. ROLES AND RESPONSIBILITIES With respect to the FHWA ER Program, MoDOT and FHWA Missouri Division Office have a Partnering Agreement in which the MoDOT takes on the administrator role on behalf of FHWA. With regards to the FEMA PA Program, Missouri State Emergency Management Agency (SEMA) provides full oversight of FEMA PA reimbursements. For a typical disaster the Governor of Missouri issues a state of emergency. SEMA will ask potential FEMA PA applicants including MoDOT for initial damage estimates. MoDOT central office then requests the districts provide initial damage estimates. This information is sent to SEMA which compiles all estimates received to determine which counties are eligible for FEMA assistance. SEMA then asks the governor to request a presidential disaster declaration for the affected counties. MoDOT’s FHWA ER and FEMA PA program coordinators act as liaisons with FHWA and FEMA regarding the FHWA ER and FEMA PA programs. They handle all issues relating to preparedness, response and recovery including development of response plans, situational awareness and resource needs during actual events, FHWA ER and FEMA PA program reimbursements, coordination during disaster exercises, and other matters. While PDAs are generally performed by Missouri SEMA, MoDOT develops all Project Worksheets and then submits them to the SEMA. MoDOT Financial Services Division works with FEMA and FHWA on the transfer of funds. For repair projects that are bid through the MoDOT design bid letting process, MoDOT’s Design and Construction and Materials Divisions will provide appropriate documentation on these projects. For example, following the 2011 Missouri River flooding, very large projects in excess of $1 million each were bid and managed through this process. In terms of their emergency organization, MoDOT follows the NIMS/ICS organization (the ICS 207 form) and integrates itself into the state NIMS/ICS organization as requested by SEMA. MoDOT has a process in place with Emergency Operations Centers (EOCs) at all seven Districts and at Central office that are

153 Appendix D – Case Studies Page - 34 - activated when needed. MoDOT also provides liaison staff to the SEMA State EOC when they are activated. MoDOT has a number of Contractor Databases that is used for emergency contracting. The databases range from heavy contractors to local material suppliers and help in expediting the contracting process. Missouri Severe Storms, Straight-line Winds, Tornadoes, and Flooding (DR-4130) Incident period: May 29, 2013 to June 10, 2013 Major Disaster Declaration declared on July 18, 2013 Missouri experienced severe storms, straight-line winds, tornadoes and flooding that lasted from May 29 to June 10, 2013. The Governor declared a state of emergency on May 31, 2013 and requested federal assistance. On July 18, 2013, the President approved a request from Missouri’s Governor for a major disaster declaration for 27 counties. Missouri Flooding (DR-4012) Incident period: June 1, 2011 to August 1, 2011 Major Disaster Declaration declared on August 12, 2011 In 2011 from mid-June through Thanksgiving, Missouri experienced flooding in the northwestern part of the state. Snow pack in the Missouri river basin contributed to it, and the water level in the basin peaked in July, 2011 at record levels and remained high for four to five months. The disaster caused very large holes in the roadways; one of them was 60 feet deep and several hundred feet long. A broken levee worsened the damages to MoDOT’s roadways which occurred in mostly rural areas of the state. A presidential declaration was issued on August 12, 2011. The majority of the reimbursements were through the FHWA ER program. Ten (10) - fifteen (15) sites participated in the program, and MoDOT was reimbursed for a total of $16 million for roadways and bridge repairs. FHWA ER: MoDOT asked for $6-8 million up front for emergency repairs under the Quick Release process and received it within weeks of the request. The 180-day period was too short for 100% reimbursement since the flooding lasted for a much longer period. An extension was requested and once it was approved, the remaining amount due to MoDOT was received from FHWA in January, 2013. Since MoDOT was not able to fund the initial amount needed for emergency repairs, it used STIP funds until it was reimbursed by FHWA. (Note that this period is now more flexible due to MAP-21 changes.) FEMA PA: Only four (4) Project Worksheets requesting a total of $25,000 were submitted to FEMA for this disaster.

154 Appendix D – Case Studies Page - 35 - FIGURE D - 10: Map of Designated Missouri Counties for Declaration DR-4130. Source: “Missouri Severe Storms, Straight-line Winds, Tornadoes, and Flooding (DR-4130),” 2013.

155 Appendix D – Case Studies Page - 36 - FIGURE D - 11: Map of Designated Missouri Counties for Declaration DR-4012. Source: “Missouri Flooding (DR-4012),” 2011. FHWA EMERGENCY RELIEF PROGRAM In general, MoDOT has an excellent working relationship with FHWA since they work together on various issues on a daily basis. When a disaster strikes, MoDOT and FHWA representatives perform site inspections together. Larger disasters have tended to receive priority attention from FHWA and have had fast turnaround times. Because FHWA needs to deduct the insurance payment from the reimbursement amount the reimbursement time may be lengthened. For instance when a major bridge was hit by a tanker truck, the reimbursement time was longer due to the wait for the receipt of the insurance payment. Differentiating emergency from permanent repair was difficult for some sites. For emergency repairs, FHWA’s share of eligible reimbursement amounts is 100%. For permanent repair, FHWA’s share of eligible reimbursement amounts is 90% for interstates, 80% for non-interstates.

156 Appendix D – Case Studies Page - 37 - FEMA PUBLIC ASSISTANCE PROGRAM Overall, MoDOT has a good working relationship with FEMA’s Region 7 office. FEMA’s share of eligible reimbursement amounts is typically 75%. The relationship MoDOT experiences with its State EMA is also important because its FEMA application and paperwork are submitted to the Missouri EMA which then reviews and forwards the paperwork to FEMA. An eligibility issue that arose for DR-4130 involved MoDOT’s repair of US Army Corps of Engineers entrance road. Even though this is not MoDOT property, MoDOT built a temporary flood wall for the Army Corps. During the flood event it failed and caused damage to USACE’s entrance road. FEMA approved the repair work that MoDOT performed on behalf of the Army Corps even though the facility was not MoDOT’s. MISSOURI STATE EMERGENCY MANAGEMENT AGENCY (SEMA) Missouri SEMA provides full oversight of FEMA PA reimbursements. Missouri SEMA requires documentation in addition to documentation requirements of FEMA for the FEMA PA program. Typically, MoDOT does not appeal FEMA decisions. COST TRACKING MoDOT uses SAM II, Missouri's integrated financial, HR and payroll system which incorporates accounts payable, accounts receivable, fixed asset accounting, grants and project accounting, budget preparation and budget control, purchasing, human resources and payroll processing. The system also has a Data Warehouse application to facilitate data analysis and report generation. MoDOT staff can pull the desired information by date ranges or project or activity codes. Additional information on the system is available at the following web page (“SAM II,” n.d.): http://samii.mo.gov/. DISASTER ASSESSMENT The disaster assessment team is usually comprised of an engineer from MoDOT central office maintenance division, district maintenance personnel and superintendents or supervisors familiar with the site, and FHWA division office personnel. Key areas are self-sustaining for three (3) to seven (7) days. These are earthquake sites including almost all of the Southeastern part of the state, other key earthquake response sites, District EOCs and the Central Office EOC.

157 Appendix D – Case Studies Page - 38 - MoDOT does not have a fixed number of disaster assessment teams. The number of teams required varies based on the size of the disaster. For example, the damage to MoDOT facilities from DR-4130 was in one maintenance area; therefore, only one disaster assessment team was used. Three sites, all non Federal-aid highway sites, were identified for the FEMA PA program and no sites were identified for the FHWA ER program for this disaster. MoDOT does not have a site prioritization policy. The district and local maintenance personnel prioritize the sites based on their situational assessment and weather conditions. Generally MoDOT submits all sites that are affected by any particular event. DDIRs are completed after the disaster assessment team returns from the site; while they are urged to complete the DDIRs in an efficient manner, there are no specific deadlines for their completion. The Civil Air Patrol services is used for joint missions with other agencies for disaster assessment and exercise purposes but funding does not come from MoDOT. REIMBURSEMENT PROCESS As noted earlier, SEMA requires full documentation on all costs. The total amount requested from the FEMA PA program for this disaster is $148,881.95. Note that MoDOT does request reimbursement for its indirect costs. MoDOT Financial Services Division has access to FHWA’s FMIS which facilitates project tracking and the reimbursement process. DOCUMENTATION Documentation is retained for at least seven (7) years. Aerial images and video are helpful for areas that are made inaccessible due to disasters. MoDOT advises their personnel to use their cell phones to take photos of disaster sites when no digital cameras are available. MoDOT in some cases are able to use aerial images taken by other agencies. MoDOT photographers also ask highway patrol for a ride on their helicopters so that they may take aerial images themselves. MoDOT may pay Civil Air Patrol for this service as well. The Automatic Road Analyzer (ARAN) Van Several departments within Missouri DOT use the data collected via the Automatic Road Analyzer (ARAN) van for a variety of purposes. One user, the Missouri DOT Chief Counsel’s office, uses the data collected by ARAN as evidence in legal cases (“ARAN: A Diamond in the Rough – Literally,” 2013). However, the ARAN van data are useful to Missouri DOT as a means of documenting pre-disaster road conditions on an annual basis.

158 Appendix D – Case Studies Page - 39 - The ARAN van traverses the entire Missouri state system, a distance of approximately 35,500 miles. Two lane roads are run in one direction, although divided pavements are run in both lane directions. The ARAN van has the following data collection features (“ARAN: A Diamond in the Rough – Literally”, 2013): A forward-facing video camera that encompasses approximately 120-130 degree view (Courtesy: Rick Bennett and Michael Teel, Missouri DOT) Three digital cameras on the front of the van that take pictures every 21.12 feet Two digital cameras that take pictures of the pavement at 16 frames per second Thirty-one (31) ultrasonic sensors that detect ruts in the road Gyros, accelerometers, GPS, and a Distance Measurement instrument that derive the exact position of points on the road surface The ARAN van measures: IRI (International Roughness Index) Rut depth of pavement Pavement conditions (manually assessed via video) Chainage (location from beginning of travelway) Grade of roadway The data, video, and images collected by ARAN are then made available to authorized users on the Missouri DOT network. FIGURE D - 12 shows the pre-disaster condition of the US 136 roadway at the future location of the scour. The ARAN van had taken this picture before the 2011 flooding during its annual run over the Missouri state system. This photo is accessible to authorized Missouri DOT personnel over an internal network via the ARAN Viewer application. FIGURE D - 13 shows the condition of the roadway at the same location immediately after the occurrence of the scour. This photo was not taken via the ARAN van, but rather via a handheld digital camera deployed as part of a damage assessment effort. After the completion of repair work, the ARAN van returned to the same location during its annual run. FIGURE D - 14 shows the condition of the scour location after the completion of repair work.

159 Appendix D – Case Studies Page - 40 - FIGURE D - 12: Scour location before occurrence of scour, screenshot of ARAN Viewer. Courtesy: Missouri DOT.

160 Appendix D – Case Studies Page - 41 - FIGURE D - 13: Scour location immediately after occurrence of scour. Courtesy: Missouri DOT.

161 Appendix D – Case Studies Page - 42 - FIGURE D - 14: Scour location after completion of repair, screenshot of ARAN Viewer. Courtesy: Missouri DOT.

162 Appendix D – Case Studies Page - 43 - REFERENCES “ARAN: A Diamond in the Rough – Literally,” Expresslane, Missouri Department of Transportation, Jefferson City, MO, no date, Copyright 2013 [Online]. Available: http://www.modot.org/ExpressLane/ARAN.htm “Missouri Flooding (DR-4012),” Federal Emergency Management Agency (FEMA), US Department of Homeland Security, Washington, DC, 2011, [Online]. Available: http://www.fema.gov/disaster/4012 “Missouri Severe Storms, Straight-line Winds, Tornadoes, and Flooding (DR-4130),” Federal Emergency Management Agency (FEMA), US Department of Homeland Security, Washington, DC, 2013, [Online]. Available: http://www.fema.gov/disaster/4130 “SAM II,” Statewide Advantage for Missouri, State of Missouri, Jefferson City, MO, no date, [Online]. Available: http://samii.mo.gov/

163 Appendix D – Case Studies Page - 44 - New York State DOT (NYSDOT) Case Study The information contained in this case study has been obtained from interviews and email communications with the NYSDOT FHWA ER Coordinator and the FEMA PA Coordinator as well as from Chapter 18 (“Emergency Relief Procedures”) of the NYSDOT Procedures for Locally Administered Federal- aid Projects Manual (2012); the NYSDOT Emergency Transportation Operations Strategic Plan (2009); the NYS Disaster Preparedness Commission’s “Transportation Infrastructure Branch Annex” (2012); and the NYSDOT Manual of Administrative Procedures, Section 6.2-4 (2008). New York State is the third most populous state in the U.S. with 19.5 million residents. The State contains New York City (NYC) which is the most populous city in the U.S. The primary natural hazards for New York State are flooding and heavy wet snow. Recent disasters have included Hurricane Sandy that devastated portions of New York City in October, 2012; restoration work for the hurricane is still ongoing. NYC has also been the target of terrorism: in 1993, the World Trade Center was bombed, and on September 11, 2001, the twin towers of the World Trade Center were destroyed by terrorists. NYSDOT has 7,500 employees across 11 regions and its main office in Albany, NY. There are 16,500 centerline miles and 7,500 bridges under NYSDOT jurisdiction. The NYSDOT Emergency Transportation Operations (ETO) Program was established in 2006 to coordinate ETO activities throughout the NYSDOT. The NYSDOT Emergency Transportation Operations Strategic Plan (2009) notes “increasing expectations from public and partner agencies” which have been driving a demand for a “more coordinated approach” to all types of incidents. NYSDOT recognizes that during emergencies, operations and maintenance personnel need to work together and perform routine tasks as well as supplemental tasks to address the expanded mission placed upon NYSDOT personnel due to the emergency. They include emergency repairs, setting up detours and road closures, debris removal, and transporting equipment. ICS has been used by NYSDOT since the 1990s to help coordinate response with other agencies and jurisdictions. COST RECOVERY The NYSDOT Emergency Transportation Operations Strategic Plan (2009) explicitly identifies cost recovery as one component of NYSDOT’s recovery strategy. NYSDOT adopts following four strategies during the recovery phase: Recover NYSDOT assets during demobilization Conduct AARs to evaluate performance and implement improved procedures Maximize reimbursement of funds from FEMA and FHWA (emphasis added) Identify and support implementation of changes to facilities and infrastructure to mitigate future adverse impacts (Page 17, Table 5, Emergency Transportation Operations Strategic Plan, NYSDOT, 2009)

164 Appendix D – Case Studies Page - 45 - To support these strategies, the following performance measures are suggested: Number trained in reimbursement process Amount of outstanding reimbursements Percent cost vs. reimbursed/recovered (Page 31, Table 13, Emergency Transportation Operations Strategic Plan, 2009) Note: More guidance for the NYSDOT Cost Recovery Strategy is given on page 30 (of 124) of Appendix A (“ETO Strategies”) of the Emergency Transportation Operations Strategic Plan (2009). FEMA PA reimbursements unit is in the NYSDOT Administrative Services division while the FHWA ER reimbursements unit along with emergency funding is in the NYSDOT Policy and Planning division. NYSDOT has a Stewardship agreement with the FHWA to administer the FHWA ER Program on its behalf. Under the Stewardship agreement, NYSDOT processes contracts/agreements for the Sponsors (municipalities/local jurisdictions) with approved projects/DDIRs, does final inspections, and reimburses the Sponsors for emergency and permanent work. Approximately 530 local jurisdictions or municipalities and the New York State Thruway Authority (NYSTA) have FHWA ER-eligible facilities. Other relevant areas are embedded in other divisions. Asset tracking is within the Information Technology division, emergency contracts are within the Engineering Division, and mutual aid/shared services and legal support during emergencies are within the Legal Services division. Roles and Responsibilities The following are the key units and personnel who take part in the reimbursement activities: Governor Determines whether the statewide damages are sufficient to meet FEMA requirements for a Presidential disaster declaration. Activates the state EMA (New York State Office of Emergency Management, NYSOEM) when a disaster occurs. Requests a Presidential Major Disaster Declaration. State Emergency Management Agency (EMA) The NYSOEM is the state EMA and acts as the administrator for the FEMA PA program. The NYSOEM has a state EOC which is activated when needed during disasters and emergencies. FHWA Division Of�ice Within the FHWA Division Office: Administrator – makes decisions on FHWA ER event eligibility questions; resolves disputes between FHWA engineers and the state DOT; Engineers – approve DDIRs; provide guidance on repairs, cost estimates and project grouping; and participate in site visits.

165 Appendix D – Case Studies Page - 46 - NYSDOT Main Of�ice The NYSDOT Main Office asks the Governor to request a Presidential Disaster Declaration. The following units and divisions are involved in the reimbursement process: Policy & Planning Bureau (FHWA ER Unit - FHWA ER Coordinator, Budget/Emergency Funding), Accounting Bureau, Local Programs Bureau, Office of Transportation Maintenance, Delivery (Resource Sharing), Project Management Bureau, Information Technology (Asset Tracking), Administrative Services (FEMA Reimbursements, Emergency Contracts, Emergency Travel), Engineering (Emergency Contracts, Engineering Technical Expertise), Office of External Relations, Office of Communications, Emergency Transportation Operations (ETO) and Security Program Coordination Bureau, and Legal Services (Legal Support during Emergencies, Mutual Aid/Shared Services) FHWA ER Unit. Determines whether the $700,000 federal share statewide threshold has been met. Reviews DDIRs for eligibility and completeness and sends them to the FHWA Division Office. Prepares and sends the Program of Projects (PoP) and transmittal letter to the FHWA NY Division Administrator. NYSDOT Statewide Transportation Information and Coordination Center (STICC). The NYSDOT’s STICC is located in NYSDOT’s HQ in Albany and began 24/7 operations in 2007. STICC is responsible for coordinating disasters and emergencies with the Regions and with other state and local transportation and emergency responder agencies, and uses NIMS and ICS. The STICC is also responsible for the following: monitoring the transportation infrastructure within the state; gathering and disseminating state highway information received from transportation management centers; and the deployment, tracking and coordination of NYSDOT assets in support of emergency response and recovery mission of the TIB and the ATIG. NYSDOT Regions Key personnel at each region include a Regional Emergency Operations Center (REOC), Regional Director of Operations/Regional Maintenance Engineer, Regional Emergency Manager, Regional FHWA ER Coordinator, Resident Engineers. Note that each Region has its own EOC. Each region has a Regional Emergency Manager who facilitates FEMA PA and FHWA ER repairs and facilitates the collection of required documentation in conjunction with the region’s construction and maintenance offices. The Emergency Manager does not report to the NYSDOT main office FEMA PA or FHWA ER coordinators. Regional FHWA ER Coordinators (REOCs). REOCs keep in constant communication with the FHWA ER Unit Coordinator and updates the FHWA ER Coordinator of the status of DDIRs and open projects. REOCs also work closely with the Regional Emergency Manager and/or Regional Director of Operations/Regional Maintenance Engineer, and Local Highway Superintendent/Supervisor/Commissioner with FHWA ER Program-eligible facilities to facilitate damage

166 Appendix D – Case Studies Page - 47 - assessment site visits and assists in the completion of the DDIRs. As the REOC receives each DDIR, the REOC reviews them for eligibility and completeness, and submits the original to the FHWA ER Unit. For questionable sites, the REOC may request a site visit by the FHWA Division Office. Other regional staff from various departments (Design, Construction, Maintenance, etc.) do damage assessments and complete the DDIRs. They also work with local jurisdictions and municipalities to assist them in preparing the DDIRs. Local Public Agencies (LPAs) Local jurisdictions/municipalities and the NYS Thruway Authority (NYSTA) have FHWA ER- eligible facilities. They report damages to NYSDOT and submit completed DDIRs. They may request assistance navigating the FHWA ER process from their NYSDOT region contacts. The Area Transportation Infrastructure Group (ATIG) consists of Transportation Infrastructure Group members for counties within a NYSDOT region. The ATIG may be activated upon the request of the county emergency management agency. The ATIG, comprised of regional state agencies and local agencies, coordinates transportation infrastructure clearance and provides emergency access for response and recovery efforts. Once local resources have been exhausted, the ATIG, through the STICC, will be able to request NYSDOT resources. The State Transportation Infrastructure Branch (TIB) is activated when it is evident that regional resources are not sufficient. The TIB will coordinate state agency resources, perform strategic planning, and will provide oversight the resource deployment. The TIB will also provide intelligence about the condition of the transportation infrastructure. RELATIONSHIP WITH NYSOEM, FEMA, AND LOCAL PUBLIC AGENCIES NYSOEM is the state EMA and acts as the administrator for the FEMA PA program. The NYSOEM works closely with FEMA and NYSDOT to develop eligible FEMA PA grant applications and needed documentation. NYSDOT is one of its larger applicants and, as the applicant, NYSDOT assists NYSOEM and FEMA in the site visits by providing the site locations and needed information. NYSOEM provides critical guidance to NYSDOT regarding the level of documentation necessary for the grant applications to be approved and subsequent funds to be obligated. Note that NYSOEM is currently in the process of changing its name to the New York State Division of Homeland Security and Emergency Services (NYSDHSES). NYSOEM has an EOC which coordinates with NYSDOT through the STICC during emergencies. NYSDOT has made an effort to build an excellent working relationship with both NYSOEM and FEMA. NYSDOT schedules meetings with FEMA, OEM, and NYSDOT every three (3) to four (4) weeks near the disaster sites. A Federal NDRF coordinator also participated in the most recent meeting. In addition, NYSDOT and its regional offices take pride in building relationships with local municipal leaders as well as the public on a daily basis throughout the year.

167 Appendix D – Case Studies Page - 48 - Emergency Organization Structure FIGURE D - 15 shows the organization chart which includes the STICC and TIB within the operations section of the State Emergency Coordination Center and the linkage with the ATIG which is also in the operations section of the County Emergency Operations Center. FIGURE D - 15: New York State Emergency Coordination Center Organization Chart. Source: NYS Disaster Preparedness Commission, 2012.

168 Appendix D – Case Studies Page - 49 - FIGURE D - 16: NY Disaster Declaration Map for Disaster DR-4129 (Severe Storms and Flooding). Source: “New York Severe Storms and Flooding (DR-4129),” 2013. MOHAWK VALLEY DISASTER NEW YORK SEVERE STORMS AND FLOODING (DR-4129) Incident period: June 26, 2013 to July 10, 2013 Major Disaster Declaration declared on July 12, 2013 A detailed description of NYSDOT’s disaster declaration process, disaster assessment and reimbursement actions taken is provided in this section for the Mohawk Valley Disaster. In the month of June, 2013, the Mohawk Valley region had been soaked by 8.68 inches of rain, close to the record of 8.74 inches set in 2006. A section of Route 10 in Schoharie County was closed due to a dam collapse. Around the July 4 holiday, heavy rains caused significant flooding in the region exacerbated by the already saturated condition in this region. New York Governor Andrew Cuomo issued a disaster declaration for Broome, Chenango, Clinton, Delaware, Essex, Franklin, Herkimer, Madison, Montgomery, Oneida, Otsego, Tioga, Schoharie, St. Lawrence and Warren counties affected by severe storms and flooding (see FIGURE D - 16).

169 Appendix D – Case Studies Page - 50 - The Governor activated the Office of Emergency Management (OEM) to monitor the disaster and to assist counties. The Governor reached out to all state agencies including NYSDOT and requested a general estimate of damages ASAP to determine whether the 2013 NYS threshold of $26.5 million has been reached. This threshold is determined on a per capita basis and changes from year to year. Upon the Governor’s request, a Presidential Major Disaster Declaration was issued on July 12, 2013 for the period June 26 to July 10, 2013. The Governor also issued an Executive Order directing NYSDOT to assist local counties and cities with road repairs and debris removal. This type of request is rare although a similar order had been issued for Hurricane Sandy. NYSDOT, upon consultation with FEMA’s attorneys, received confirmation that NYSDOT will be reimbursed for the assistance provided to the local public agencies (LPAs). After a natural or man-made event that causes extensive damage, FEMA coordinates with the New York State Office of Emergency Management (NYSOEM) to implement and administer the Public Assistance Grant Program. During and immediately following an event, NYSOEM determines the level of coordination necessary to manage the event and will call various state agencies, including the New York State Department of Transportation (NYSDOT), to actively participate at the State Emergency Operations Center (EOC) in Albany. At the State EOC, multiple state agencies work closely together in one room to share information and manage the incident including planning, logistics, operations, public notification, etc. This effort can last from one day to several months depending on the magnitude of the event. The State Transportation Infrastructure Branch (TIB) Annex of the NYS Disaster Preparedness Plan states that in emergencies or pre-planned events in which transportation infrastructure becomes unusable, “each level of government has the responsibility of maintaining the highway infrastructure under their authority. For instance the State Department of Transportation has the responsibility to maintain those highways on the state system. Additionally the state may have agreements with local agencies for the maintenance of limited portions of the infrastructure that run through their jurisdiction” (NYS Disaster Preparedness Commission, 2012). According to the TIB Annex, the primary goal during disasters is “to provide sufficient limited restoration of the transportation infrastructure to allow ingress and egress for emergency response personnel and short term recovery operations” (NYS Disaster Preparedness Commission, 2012). Additionally, it notes that state agencies may be asked “to assist with State Agency and local municipal transportation infrastructure response and short-term recovery” (NYS Disaster Preparedness Commission, 2012). The order in which response and recovery activities will proceed is as follows: 1. Local and County Response, County EOCs 2. Area Transportation Infrastructure Group (ATIG) 3. Statewide Transportation Information and Coordination Center (STICC) 4. The TIB in coordination with the State EOC

170 Appendix D – Case Studies Page - 51 - NYSDOT emergency response follows the following hierarchy: 1. Transportation Maintenance forces, including crews, equipment, materials, and other resources. 2. Activate an appropriate existing Regional response contract, including Emergency/Where and When, or Job Order Contract. 3. For Regions 1 through 10, activate the Statewide Emergency Bridge Contract, which requires activation by the Chief Engineer at the request of the Regional Director. 4. Secure a Contractor using the NYSDOT draft contract “Procedure for Emergency Work”, which requires activation by the Commissioner at the request of the Regional Director. 5. If damage occurs within the contract limits of an active NYSDOT construction contract, the Contractor will repair the damage in accordance with the relevant provisions. THE SANDY RECOVERY IMPROVEMENT ACT (SRIA) NYSDOT has been using the Expedited SRIA method but has not used the new fixed cost method for large projects. When the pilot program was initiated, NYSDOT had already removed a significant amount of debris and was able to receive 85% federal share for the reimbursement of its debris removal expenses due to the speed of its debris removal process. DAMAGE ASSESSMENTS (FHWA ER AND FEMA PA) NYSDOT disaster assessment teams perform assessments for both FHWA ER and FEMA PA sites. Preliminary assessments are performed by staff in district offices. The staff visits damaged sites and determines whether they are eligible for FHWA ER and/or FEMA PA. For large disasters, FHWA engineers may join NYSDOT staff to complete the assessments. The FHWA ER coordinators assist LPAs with the assessment process since those with little experience with disasters and the application process have difficulty. Initial disaster assessments are windshield type surveys and are done by FEMA personnel. They take photos and measurements of the damages. A list of disaster sites are compiled by NYSDOT and FEMA and brought to the Kickoff Meeting which is attended by NYSDOT, FEMA, and NYSOEM. Site visits are scheduled during this meeting. FEMA provides NYSDOT with guidance on eligibility and mitigation. Most of the projects are focused on repairing the facility to its original predisaster condition. Mitigation work is considered permanent work and needs FEMA approval prior to initiation of the work. An example of mitigation work approved for this disaster is the addition of rip-rap on sites that had been damaged by flooding. The rip-rap is expected to mitigate damages to the roadway from future flooding events. For this disaster, there were a total of 225 sites many of which were for local sites and roadways. About half of the required work was performed by force account, the other half by contractors. In addition,

171 Appendix D – Case Studies Page - 52 - NYSDOT sent disaster assessment teams to 210 local sites to determine/identify the damage, needed repair work, and cost estimate. However, the work itself for the 210 sites was the responsibility of the LPA. Disaster Assessment Teams Disaster assessment teams are typically comprised of two to three civil engineers from construction, design, and maintenance who are experts at designing and building roads. One is from construction, one from design, and the third is from maintenance. FHWA ER PROJECT FORMULATION The NYSDOT Manual of Administrative Procedures 6.2-4 site guidance states that a site is an individual location where damage has occurred and that road and bridge repair estimates should be separated by route or general area, vicinity, or drainage area (page 8, NYSDOT, 2008). On one of NYSDOT’s FHWA ER projects, FHWA made an exception by allowing NYSDOT to combine sites because the contractor had not provided cost details by site. Debris clearance and damaged traffic signs/signals are placed on separate DDIRs and can be jurisdiction-wide up to the county level. (Manual of Administrative Procedures 6.2-4, 2008). Whenever a betterment such as increasing the size of drainage structures is considered, FHWA Division Office guidance is sought. The NYSDOT M.A.P. states that FHWA pre-approval based on economic analysis is required (page 9, Manual of Administrative Procedures 6.2-4, 2008). An example of a betterment project approved by FHWA and funded through the FHWA ER program was the washout of a culvert. The results of a hydraulic analysis indicated that a bridge structure rather than a culvert was needed due to a large amount of water passing through the location. The amount of water was greater than that for which the culvert was designed. NYSDOT then made the case to FHWA that the bridge was a necessary betterment and shared the results of the analysis. Based on the information, FHWA approved the betterment project under the FHWA ER program. Because the construction of the bridge will take several years, this project is still ongoing – thus far, three extensions have been requested and granted. FHWA ER Appeals NYSDOT follows FHWA’s FHWA ER appeals procedures. If a site or particular cost is determined to be ineligible, per the FHWA ER manual, an applicant may appeal an ineligibility finding in writing to the FHWA Division Administrator within 30 days after the initial finding. Any FHWA ER eligibility or participation disagreements are decided by the FHWA Division Administrator, or, when necessary, the FHWA Administrator. A small percentage of projects, five (5) – ten (10)%, have been denied, but upon appeal and provision of requested information they have been approved.

172 Appendix D – Case Studies Page - 53 - FHWA ER Disaster Damage Inspection Reports (DDIRS) DDIRs are in electronic format and completed by regional staff. NYSDOT reviews all DDIRs submitted from its district offices and counties and cities to ensure that they contain the required information and that the cost estimates are reasonable. DDIRs are submitted as soon as practical whether or not the actual costs of the work are known, and whether or not the work has been started and completed. Needed revisions to the cost estimate can be made at a later time and usually approved by the FHWA Division Office as long as the location and damage description have not changed. DDIRs are forwarded to the Regional FHWA ER Coordinator who performs an initial quality review, makes a copy of it, and forward it to the Main Office FHWA ER Unit. Each DDIR requires a site visit by NYSDOT regional staff and can take between a few minutes to a few hours to complete. Instructions to complete the DDIR are provided in the NYSDOT MAP; the instructions have been included in Appendix E to this Synthesis. DDIRs include a signature from the NYSDOT preparer and a local agency representative (if prepared by locals) and include the following information: Location – the location includes the roadway reference marker and the town; also including the cross-street or street address is advised. If the DDIR is for a specific area, then specific routes and limits need to be included in the DDIR. Description of Damage – The description of damage should provide details about the damage, not the repair work to be performed. The following example is given – instead of “flood damage” note “floodwaters from (event) washed out 300’ of shoulder to a depth of 12”. Estimate to Repair Damages – the estimate or materials, equipment, and labor needs to be a breakdown of costs by item; lump sums are not allowed. Photographs – photographs should present the damage and completed work (if possible). Including the closest reference marker is also advised. Map – a map of the project/site location must be included. Copy of the contract – a hard copy or electronic copy through email or CD should be attached.

173 Appendix D – Case Studies Page - 54 - State County NY Description of Work to Date (Equipment, Labor, and Materials) Completed Remaining Method Subtotal -$ -$ PE/CE Emergency Repair Total -$ Method Subtotal PE/CE Right-of-Way Recommendation Date Eligible Ineligible Concurrence Date Yes No Concurrence Local Agency Representative Date Yes No Report Number Cost Local Forces State Forces Contract ApplicantDescription of Damage EM ER G EN C Y R EP A IR Unit Unit Price Quantity COST ESTIMATE FHWA Engineer -$ Environmental Assessment Recommendation Categorical Exclusion EA/EIS PE R M A N EN T R ES TO R A TI O N Local Forces State Forces Contract State Engineer -$ -$ Estimated Total Perm. Repair Total Form FHWA-1547 (Rev. 4-98) DETAILED DAMAGE INSPECTION REPORT Sheet _____ of _____(Title 23, Federal-Aid Highways) FHWA Disaster No: Inspection Date: Location (Name of Road and Milepost) FIGURE D - 17: NYSDOT Detailed Damage Inspection Report (DDIR). Courtesy: NYSDOT.

174 Appendix D – Case Studies Page - 55 - Backup Documentation The following backup documentation is required: For completed work by state forces, a print out from the MAMIS system of the report FHWA Damage Report for Project by Work Order ID and the supporting Daily Work Reports (DWRs) associated with the DDIR work order number. If there are many DWRs for a DDIR, the FHWA Damage Report for Project by Work Order ID may be acceptable. MAMIS is the NYSDOT Maintenance Asset Management Information System which contains personnel records (hours, time, activity) of force employees. For contracted work, actual or estimated costs must be printed out using the Engineering Share Report; if the report does not have detailed costs, backup forms need to be provided. For work completed by local forces or contractors – the following information should be provided: o Contract o Invoices (listing labor – labor class, hours worked; equipment type and hours; materials type and unit cost) o Date of completion o Work location For work not yet completed by local forces or contractors – the following information should be provided: o Contract o Invoices should include the following: Labor – labor class, rate, estimated hours; Equipment type and estimated hours; Materials type, estimated quantity, and unit cost Amendments to DDIRs For DDIRs that are amended, the FHWA ER Unit sends a copy to the REOC or the NYSTA Manager. They then send the DDIR to Regional Emergency Manager and/or Regional Director of Operations/Regional Maintenance Engineer, and Local Highway Superintendent/Supervisor/Commissioner. For both the traditional and quick release methods, emergency repair work is started as soon as possible after the event. NYSDOT advises its personnel and contractors to document work performed and be prepared to answer the question, “who worked where when?” Unless it is part of Emergency repair work, Permanent repair work cannot start until approval is received. Program of Projects (PoP) The Main Office FHWA ER Unit compiles all of the DDIRs into a “Program of Projects (PoP).” If additional DDIRs are received after the PoP has been submitted they are submitted individually to FHWA. The complete PoP must be submitted to the FHWA within two fiscal years of the date of the event. Directions for completing the PoP are provided by the NYSDOT M.A.P. and have been included in Appendix E to this Synthesis. All correspondence, DDIRs and attachments, and the PoP related to the event are stored in a central location for the event - the electronic event file.

175 Appendix D – Case Studies Page - 56 - FEMA PA PROGRAM The federal share of assistance received by NYS is not less than 75% of the eligible cost for emergency measures and permanent restoration. The state determines how the non-federal share (up to 25%) is split with sub-grantees that are typical local governmental subdivisions of the state and state agencies. FEMA PA Project Worksheets (PWs) PWs are developed by either FEMA (for projects involving contractors) or NYSOEM (for projects done by force accounts). At each disaster site, NYSDOT supplies a folder with information and documentation to FEMA and NYSOEM. NYSOEM answers questions about the FEMA PA process and addresses various technical issues. As the PWs are completed, they are forwarded to NYSDOT electronically in PDF format for review. This is an indication that FEMA has approved the project. The NYSDOT FEMA PA coordinator reviews the scope of work, cost estimates and other details with appropriate NYSDOT personnel and returns them with changes if necessary to FEMA or NYSOEM. The first draft PW for this event was received at the end of October, 2013; the initial months since the disaster were focused on site visits. After a finalized PW has been approved, the funds for each PW are obligated by FEMA and are delivered to the NYS Division of Budget. The NYS Division of Budget then directs funds to the state DOT by wire transfer. NYSDOT is required to meet OMB A-133 circular audit requirements. FEMA PA Project Formulation Currently about 60-70% of the projects are small projects and 30-40% are large ones. However, FEMA is consolidating the small projects into larger projects to expedite the reimbursement process by minimizing the number of PWs that need to be completed. Therefore, the percentage of larger projects is expected to rise and the total number of projects is expected to decrease to 45-50 projects. Projects are combined using various methods – one of the common methods is to combine emergency work projects in the same vicinity. Projects that require mitigation or have other special consideration issues will not be included in these project groupings. Work completion deadlines are January 12, 2014 (six (6) months) for emergency work and January 12, 2015 (18 months) for permanent restoration. Extensions may be granted by FEMA if requested by NYSDOT. These deadlines are expected to be met for all emergency and permanent work projects. FEMA PA Appeals If a PW or particular expenses are denied, the applicant must file for an appeal with NYSDHSES within 60 days of receiving the Project Certification (Blue Book) from FEMA. The applicant must provide documentation to support the appeal. NYSDHSES reviews the appeal documentation and may request additional information, if necessary. NYSDHSES then prepares a written recommendation to FEMA within 60 days of the appeal letter or receipt of additional information that they requested. NYSDHSES

176 Appendix D – Case Studies Page - 57 - need not endorse the appeal position, but must forward all appeals it receives. FEMA reviews the appeal and within 90 days takes one of two actions: (1) render a decision on the appeal and inform NYSDHSES of the decision, or (2) requests additional information. If an appeal is denied by FEMA, the applicant may submit a second appeal, which again must be submitted to NYSDHSES within 60 days of receiving the denial from FEMA. NYSDHSES has 60 days to send the second appeal to FEMA. This time, FEMA headquarters reviews the appeal and may request additional information. FEMA then renders a final decision within 90 days. PROJECT CLOSE-OUT FHWA ER Project Close-out For all emergency repair and permanent repair work, once the project has been completed, the sponsor must complete the Final DDIR, the Final Inspection Form, NYSDOT Modification form, and the Final Acceptance of Locally Administered Federal-aid Project form (if a project is locally administered) and submit them to the Regional FHWA ER Coordinator. Final DDIRs provide the final actual costs of projects and include backup documentation. The Final Inspection of Federal-Aid Project NYSDOT FHWA ER Project form (FHWA-1448C-NYSDOT Modification) is shown in FIGURE C - 17. If there is a significant cost over-run or under-run, an explanation is included. MAMIS reports on event-related work activities and labor costs can be pulled from the MAMIS or the SiteManager system to assist in compiling the final cost information. The Coordinator then submits these forms to the Main Office FHWA ER Unit. Minor changes can be performed within the Financial Management Information System (FMIS.) If the scope changes or final costs are more than 10% more than the approved estimate, the revised DDIR and documentation must be submitted to the FHWA for review and approval. This review takes place with the assistance of the Financial Management Information System (FMIS). NYSDOT submits authorization requests through the FMIS. The FHWA Engineering Coordinator will review each request to confirm that the event number is correct, the DDIRs with the FMIS entry are listed in the state remarks field, and that the FMIS request matches the approved DDIR costs. The FHWA ER Unit will notify Accounting that all final costs have been submitted for an event and that the federal PIN can be closed in FMIS.

177 Appendix D – Case Studies Page - 58 - 100% = 80%/20% (or 90%/10%) = TITLE Form FHWA-1448C (NYSDOT MODIFICATION) (Rev. 2-78) U.S. DEPARTMENT OF TRANSPORTATION FEDERAL HIGHWAY ADMINISTRATION State is to complete items 1 - 7 and submit original and three (3) copies to the Federal Highway Administration Division Office.INSTRUCTIONS: FINAL INSPECTION OF FEDERAL-AID PROJECT NYSDOT EMERGENCY RELIEF PROJECT 4. DESCRIPTION OF IMPROVEMENT AS PROGRAMMED 5. CONTRACTOR'S NAME 6. CONTRACT AMOUNT 7. NOTICE OF COMPLETION: The above listed project has been completed and is ready for final inspection. Completion Date: $ SIGNATURE (SHA OFFICIAL) 1. PROJECT NO. 3. STATE, EVENT, AND DDIR NO.2. COUNTY NY- $ $ 10. IN COMPANY WITH 11. REMARKS Reason(s) for cost over-run/under-run: 8. FINAL HIGHWAY ADMINISTRATION INSPECTION MADE BY 9. DATE OF INSPECTION 12. SIGNATURE 13. TITLE 14. DATE FIGURE D - 18: NYSDOT Final Inspection of Federal-Aid Project Form. Courtesy: NYSDOT.

178 Appendix D – Case Studies Page - 59 - FEMA PA Closeout NYSDOT needs to sign and return NYSOEM project completion form as projects are completed. Other than that form, the NYSOEM does not require information in addition to the information required by FEMA. PROJECT TRACKING Once an event occurs, the Office of Transportation Maintenance creates a Project Tracking Code (PTC) in MAMIS and creates at least two work orders – one for FHWA ER and one for FEMA PA. The force account in MAMIS records the costs on the Daily Work Report (DWR) forms using the appropriate Work Order number. For force accounts each DDIR should be assigned to only one work order number – the DDIR# should be the first characters in the work order description. For work performed by force account not in MAMIS, the STICC assigns a PIN for the event and notifies the main office emergency organization or the FHWA ER Unit of the FHWA ER-eligible damages and any rough cost estimates. Also, it is important that FHWA ER or FEMA PA eligible costs that are not normally tracked within MAMIS are identified and submitted for reimbursement. These costs include tolls, meals, and lodging. NYSDOT has a central drive for the storage of documentation which is kept by NYSDOT for at least three years from the date of the last billing. This drive also stores all disaster-related photos electronically. NYSDOT is transitioning to electronic storage for all FHWA ER and FEMA PA documentation. Hence, any paper forms and documentation are scanned. Because many of the counties try to make their DDIRs audit-proof they often provide NYSDOT with more documentation than is necessary. Since most of their documentation is still in paper format, scanning it into electronic format can be time consuming for NYSDOT staff. All DDIRs require the assignment of a DDIR Report Number. It is a unique site number assigned by the applicant or the region. The NYSDOT MAP recommends that the number begin with a reference to the County or Sponsor. For example, the first site in Broome County may be “BR-01.” The Fiscal Share (FS) number is used to track costs incurred under open contracts for a specific FHWA ER-eligible event. Each FS that is created should have an appropriate event description attached to it. The FS number for FHWA ER events is different from the FS number for FEMA PA events. In addition, for each site under the FS, an Engineering Share (ES) number is added so that costs pertaining to any site that is declared ineligible can easily be identified. After the contractor submits required documentation for the emergency repair, the FS number is added to the contract. For force accounts, sites are assigned separate pay item numbers which correspond to the ES. For example, for a new Fiscal Share 04, repairs under Force Account at location 03 would use the coding Item 950.0403. The appropriate FS and ES numbers are recorded on the DWR. A similar coding system is employed if the SiteManager system is used.

179 Appendix D – Case Studies Page - 60 - COST TRACKING The following forms are used in conjunction with the DDIR to document costs: DDIR Completion Status Report – These status reports as prepared by event and region. The report form records the DDIR#, applicant, federal PINs, anticipated or actual completion date, FHWA approved amounts, final costs, revision or time extension required/approved, anticipated federal dollars needed in the next three months, date final cost documentation was submitted to the FHWA ER Unit, and the data the accounting bureau was notified by the FHWA ER Unit to close the federal PIN in FMIS. Materials record form indicating DDIR#, vendor, description, quantity, unit price, total price, date bought, check number, date used, and source of information Labor record form indicating DDIR#, employee name, title, daily hours worked, total hours, rate, total pay, and paycheck number Force account equipment record indicating DDIR#, type of equipment, equipment number, date and hours used, total hours, rate, and total cost Rented Equipment form indicating DDIR#, type of equipment, date and hours used, rate per hour, total cost, vendor, invoice number, date and amount paid, and check number Contract costs form indicating DDIR#, contractor/vendor, activity description, contract number, contract period, contract cost, and check number Force account travel cost form indicating DDIR#, employee names, lodging, meals, and other expenses Examples of these forms can be seen from FIGURE D - 22 to FIGURE D - 28, appended to the end of this case study. REIMBURSEMENT FHWA ER Reimbursement The Regional FHWA ER Coordinator monitors status of ongoing projects and DDIRs, and any needs for time extensions. Any time extension or project withdrawal requests need to be approved by the FHWA NY Division Administrator. Once the work has been completed, force account prepares MAMIS cost documentation. Appropriate documentation for these expenses need to be included in the documentation package. The reimbursement process occurs as DDIRs are approved by the FHWA Division Office. Once they have been approved, the Regional FHWA ER Coordinator coordinates with Project Management to create six- digit Project PINs to obligate the approved monies. One Project PIN is assigned to each sponsor in a county. The Final DDIRs are submitted to the NYSDOT Accounting Bureau’s Revenue Unit for review to ensure that the backup documentation matches the amount being billed, and for processing. Accounting transfers the charges from the event PIN to the Project PIN completing the NYSDOT reimbursement process.

180 Appendix D – Case Studies Page - 61 - The Bureau uses Federal-aid Request Form 307 to enter the request for Federal-aid authorization into the FMIS as an electronic form; the request is automatically received by FHWA Division Office. The FHWA approves funding, prepares a project agreement, and sends it to the Main Office Accounting Bureau – Federal-aid Unit. The Project Management Bureau completes the electronic project authorization form FIN 207 which establishes a nine-digit federal PIN. Every three months, the FHWA ER Unit reminds the Regional FHWA ER Coordinators to submit a DDIR Completion Status Report. Local agencies will submit Final DDIRs and form FIN 421/422 for Sponsor work to the Accounting Bureau, Expenditure Unit. Accounting will then reimburse the local agency sponsor. FEMA PA Reimbursement The reimbursements are provided by the state EMA and transmitted by wire transfer to NYSDOT. Once the small projects have been validated, they are authorized and obligated. Small FEMA PA projects do not require closeouts because they have already been validated. Large projects are authorized based on initial cost estimates but are not obligated until work has been initiated. As a large project progresses, invoices are sent to the NYSOEM and are processed as they are received. Once a large project has been completed, the state EMA (NYSOEM) will inspect the completed project and the actual cost of the project will be determined. If the actual cost is greater than the estimated cost, then the NYSDOT will be reimbursed for the difference. If not, NYSDOT will reimburse FEMA for the difference. NYSDOT FINANCIAL MANAGEMENT SYSTEMS NYSDOT uses multiple systems for financial management and maintenance management and related purposes. They are useful for the FHWA ER and FEMA PA programs because they help track labor and resource usage during disasters; provide centralized storage of facility conditions and can provide pre- disaster and post-disaster conditions; and assists with the billing and invoicing processes. The two key systems are MAMIS which is a maintenance management system for NYSDOT’s force accounts and AASHTO’s SiteManager system which is similar to MAMIS but for contractor work. There is also a bridge management database, a highway inventory database with pavement conditions, and various other systems that have been developed by NYSDOT’s units. All of these systems feed into each other so that any data input into the systems are incorporated and accessible from each of the systems. These systems are essential for NYSDOT to manage the FHWA ER reimbursement process because project documentation for each site or group of sites must be readily available in case any issue arises and need to be addressed; if an appeal is necessary; or if FHWA decides to conduct an audit. Maintenance Asset Management Information System (MAMIS) The NYSDOT Maintenance Asset Management Information System (MAMIS) tracks conditions of pavements and bridges. MAMIS has a standardized list of site codes which helps expedite the documentation process. This system also provides the predisaster conditions of NYSDOT’s facilities.

181 Appendix D – Case Studies Page - 62 - The system also maintains NYSDOT personnel information including work hours and labor rates. Three MAMIS reports that were developed by the NYSDOT Office of Transportation Maintenance and are used to compile final cost information are: FHWA Damage Report for Project, FHWA Damage Report for Project by Activity, and the FHWA Damage Report for Project by Work Order ID. Construction Management Software AASHTO SiteManager is a “comprehensive construction management software product, effectively managing the overwhelming volume of information involved in a transportation construction project. SiteManager covers the complete construction and materials management process after award through contract finalization.” (“SiteManager,” n.d.) The system integrates field based data collection, administration of contract records, contractor payments and materials management. Benefits include the following: provides an integrated "cradle to grave" solution from design through construction life-cycle, data are available via the NYSDOT Network (Project, Change Order and Estimate Tracking; Approved Lists, Sampling and Testing etc.), faster estimate processing, DOT user group is available, and promotes statewide standardization and accountability. Additional information is available at NYSDOT’s SiteManager page (“SiteManager,” n.d.): https://www.dot.ny.gov/main/business-center/trns-port/modules/site-manager FIGURE D - 19: SiteManager System Architecture. Source: “SiteManager Overview,” n.d.

182 Appendix D – Case Studies Page - 63 - FIGURE D - 20: Site Manager Screenshot, Main Panel. Source: “SiteManager Overview,” n.d. FIGURE D - 21: Site Manager Screenshot, Materials Management. Source: “SiteManager Overview,” n.d.

183 Appendix D – Case Studies Page - 64 - NYSOEM RESOURCES NYSOEM provides important information for applicants via their Recovery webpage (“Recovery,” n.d.): http://www.dhses.ny.gov/oem/recovery/ For this disaster, the following information items were available on this site: DR-4129 Greenbook (Environmental and Historic Preservation Guidance) Key Environmental Issues Relevant To This Disaster - Fact Sheet Applicant's Brief Disaster Fact Sheet Applicant Handbook PNP Checklist/Forms Municipality Checklist/Forms Project Manager Worksheet A detailed Greenbook Guide to Environmental & Historic Preservation Compliance Disaster Recovery Operations was issued for this disaster and includes sections on permits, special considerations, best management practices and debris management. Permits: With regards to permits, this Guide provides the following specific recommendations to applicants: 1. Obtain all necessary permits prior to construction. Applicants are responsible for obtaining all applicable local, state and federal permits or other authorizations. However, FEMA may be able to help expedite the process. 2. Adhere to permit conditions for implementing work 3. Provide clear and complete scope of work information 4. Provide background information about environmental or cultural resources 5. Use Best Management Practices during construction 6. Identify urgent issues. Special Considerations Questions pertaining to Environmental and Historic Compliance provided by the Greenbook Guide are as follows: “Is the damaged facility located within a floodplain or coastal high hazard area and/or does it have an impact on a floodplain or wetland? Is the damaged facility or item of work located within or adjacent to a Coastal Barrier Resource System Unit or an Otherwise Protected Area or Coastal Zone? Will the proposed facility repairs/reconstruction change the pre-disaster condition (e.g. footprint, material, location, capacity, use, function)?

184 Appendix D – Case Studies Page - 65 - Does the applicant have a hazard mitigation proposal or would the applicant like technical assistance for hazard mitigation? Is the damaged facility on the National Register of Historic Places or the state historic listing? Is it older than fifty years? Are there more, similar buildings near the site? Are there any pristine or undisturbed areas on, or near, the project site? Are there large tracts of forestland? Are there any hazardous materials at or adjacent to the damaged facility or item of work? Are there any other environmental or controversial issues associated with the damaged facility or item of work?” LPA TRAINING AND RESOURCES NYSDOT’s regional FHWA ER coordinators coordinate with cities and counties in their regions. Because many LPAs are not familiar with the Federal-aid process and regulations, NYSDOT staff has been delivering "Federal-aid 101" training to LPAs to teach about Federal rules and regulations, many of which apply to FHWA ER program. NYSDOT would like to deliver more FHWA ER-specific training to LPAs but has not been able to due to recent financial cutbacks. During or prior to the event, the NYSDOT FEMA PA and/or FHWA ER coordinators visited each affected NYSDOT region to inform them about needed FEMA PA and FHWA ER documentation and other elements off both programs. The coordinators have attended NYSOEM training on the FEMA PA program held in various counties in the state and have provided FHWA ER overviews to LPAs attending the training. These training opportunities promote quicker response times during and immediately after events, and provide necessary guidance during the recovery effort. REFERENCES Emergency Relief Manual (Federal-Aid Highways), Federal Highway Administration, Washington, D.C., Nov. 2009. Emergency Transportation Operations Strategic Plan, New York State Department of Transportation, Albany, NY, Jan 2009. Manual of Administrative Procedures 6.2-4: FHWA Emergency Relief Program Procedures, New York State Department of Transportation, Albany, NY, 2008. New York State Disaster Preparedness Commission, “Transportation Infrastructure Branch Annex,” In New York State Comprehensive Emergency Management Plan, New York State Transportation Infrastructure Branch, Albany, NY, Mar 2012.

185 Appendix D – Case Studies Page - 66 - “New York Severe Storms and Flooding (DR-4129),” Federal Emergency Management Agency (FEMA), US Department of Homeland Security, Washington, DC, July 12, 2013, [Online]. Available: http://www.fema.gov/disaster/4129 Procedures for Locally Administered Federal-aid Projects Manual, New York State Department of Transportation, Albany, NY, October 2012, [Online]. Available: https://www.dot.ny.gov/plafap “Recovery,” New York State Office of Emergency Management (NYSOEM), New York State Division of Homeland Security and Emergency Services, Albany, NY, n.d. [Online]. Available: http://www.dhses.ny.gov/oem/recovery/ “SiteManager,” New York State Department of Transportation (NYSDOT), Albany, NY, n.d. [Online]. Available: https://www.dot.ny.gov/main/bus iness-center/trns-port/modules/site-manager “SiteManager Overview,” New York State Department of Transportation (NYSDOT), Albany, NY, n.d. [Online]. Available: https://www.dot.ny.gov/main/business-center/trns- port/repository/sitemanager_overview.pdf U.S. National Archives and Records Administration. 2013. Code of Federal Regulations. Title 23, part 668, Emergency Relief Program, subpart A, Procedures for Federal-aid Highways. U.S. Office of Management and Budget. Circular A-87: “Cost Principles for State, Local and Indian Tribal Governments,” the White House, Washington, DC, May 10, 2004 [Online]. Available: http://www.whitehouse.gov/omb/circulars/a087/a87_2004.html

186 Appendix D – Case Studies Page - 67 - FIGURE D - 22: DDIR Completion Status Report. Source: Manual of Administrative Procedures 6.2-4, 2013. Note on FIGURE D - 22. PIN closing date – The main office FHWA ER Unit will indicate the date when they have notified the main office accounting bureau that all final costs have been submitted for an event and that the federal PIN can be closed in FMIS.

187 Appendix D – Case Studies Page - 68 - FIGURE D - 23: Materials Record. Source: Manual of Administrative Procedures 6.2-4, 2013.

188 Appendix D – Case Studies Page - 69 - FIGURE D - 24: Labor Record. Source: Manual of Administrative Procedures 6.2-4, 2013.

189 Appendix D – Case Studies Page - 70 - FIGURE D - 25: Force Account Equipment Record. Source: Manual of Administrative Procedures 6.2-4, 2013.

190 Appendix D – Case Studies Page - 71 - FIGURE D - 26: Rented Equipment Record. Source: Manual of Administrative Procedures 6.2-4, 2013.

191 Appendix D – Case Studies Page - 72 - FIGURE D - 27: Contract Costs Record. Source: Manual of Administrative Procedures 6.2-4, 2013.

192 Appendix D – Case Studies Page - 73 - FIGURE D - 28: Force Account Travel Costs. Source: Manual of Administrative Procedures 6.2-4, 2013.

193 Appendix D – Case Studies Page - 74 - members would not Tennessee DOT (TDOT) Case Study BACKGROUND Tennessee DOT (TDOT) is headquartered in Nashville, Tennessee and has 3,900 employees, four regions, 12 super-districts and 22 standard districts. It maintains 13,896 centerline miles and 750 ramp miles, owns 19,650 bridges, and serves a population of 6.5 million. Major threats to TDOT’s transportation and bridge infrastructure include flooding, rock slides, tornadoes, ice storms, and earthquakes. TDOT is well respected by the Tennessee emergency management community, is known for developing the original Emergency Support Function (ESF) - 1 concept, the excellent preparation and training it provides to its emergency personnel, and is considered a first responder in the state. Additionally, TDOT personnel are usually the designated last Incident Commander for disasters and emergencies. TDOT uses ICS forms on a regular basis, and is currently typing all resources as per NIMS, although TDOT has not yet made a request utilizing NIMS resource typing. The Tennessee Emergency Management Plan (TEMP) was developed by TEMA with input from TDOT and other agencies. TDOT is the lead for ESF-1 – Transportation Networking and serves as a support agency for other ESFs. The ESC and alternates are required to be on call 24/7 to assist in emergency response within the scope of their office, coordinate with other agencies, and provide situational awareness. Note that there are an ESC and alternates assigned specifically for railroad transportation with similar requirements and responsibilities. ROLES AND RESPONSIBILITIES For the FHWA ER Program, the HQ FHWA ER Coordinator in TDOT’s Central Office provides oversight for the program and compiles the Damage Survey Summary Report for the state based on the DAFs submitted by each of the regions. The Regional FHWA ER Coordinator, assigned to each of the four regions, manages the execution of the necessary processes within their region to ensure successful disaster recovery, repairs, and proper documentation for reimbursement. The Coordinator reviews the Detailed Assessment Forms (DAFs) before submitting them to the HQ FHWA ER Coordinator, and retains the DAFs and associated materials and documentation. The FHWA ER responsibilities of the following divisions and offices are provided below: HQ Maintenance Division – responsible for the assembly of the required documentation for each qualifying event, support the regional teams by administrating databases and online resources which assist with proper documentation of costs.

194 Appendix D – Case Studies Page - 75 - Program Operations Office – responsible for the allocation and obligation of the federal funds received through the FHWA ER Program. Local Programs Office – assists municipalities with execution of contract documents to ensure proper transfer of federal funds - from FHWA through TDOT - to the municipality. Construction Division – In the event that an emergency repair contract is required to complete the disaster repairs, the Construction Division assists with the compilation of contract documents and management of the letting and award of an emergency contract. Environmental Division – responsible for preparation of all environmental documentation, including the NEPA document, ensuring that Categorical Exclusions are valid, and acquiring any necessary permits to complete the repairs. Geotechnical Engineering Section – provides geotechnical analysis for disasters such as slope failures. Finance Division – processes financial transactions to ensure that all of the eligible expenditures are charged to the correct federal project. For the FEMA PA Program the TDOT HQ Maintenance Division serves as the coordinator of the FEMA PA program, is responsible for the development of FEMA PWs in coordination with TEMA and FEMA personnel and assists the assessments teams in obtaining the required documentation. The division also supports the regional teams by administrating databases and online resources which assist with proper documentation of costs. The Program Operations Office is responsible for the allocation and obligation of the federal funds received through the FHWA ER Program, and the Local Programs Office assists municipalities with execution of contract documents to ensure proper transfer of federal funds - from FEMA through TDOT - to the municipality. TDOT’s Office of Emergency Operations is responsible for TDOT’s emergency preparedness program including planning, training, and exercises and for coordinating TDOT's statewide emergency response activities. The TDOT primary Emergency Services Coordinator (ESC) and alternate ESCs as well as the departmental ESCs are located in this office and lead emergency response efforts. The ESCs also support the Tennessee Emergency Management Association (TEMA) should they request assistance from TDOT within the combined emergency response plan. In such cases TDOT’s primary ESC is embedded in TEMA and will coordinate field personnel during emergencies. The alternate ESC will be responsible for performing equivalent duties within the TDOT Office of Emergency Operations. TDOT’s State Aid Offices serve as assessment teams in coordination with the representatives from the cities and counties. The responsibilities of LPAs include locating damage sites, the identification of Federal-aid highways, completing repairs through force accounts or contracts, and assembling the required documentation. TDOT’s Local Programs Development Office provides FHWA ER technical assistance and training to its personnel and to LPAs.

195 Appendix D – Case Studies Page - 76 - FEMA PA PROGRAM For a flood event, TDOT initially works with FHWA for all damage on Federal-aid routes in Tennessee. If the severity of the event is significant enough and there is high likelihood that the event will qualify, the Expedited method would be utilized. Debris removal work projects will be submitted directly to FEMA. Additionally, if there are sites that end up not qualifying for FHWA ER assistance, TDOT would then submit a PW to FEMA for that site. In order to ensure funding for sites that may not qualify for the FHWA ER program, PWs must be submitted. If FHWA ER funding is subsequently confirmed then the PW is withdrawn. PWs are not completed until a FEMA PA coordinator is assigned through TEMA/FEMA. They are completed in the office once Daily Work Reports are submitted and input into the TDOT’s Maintenance Management System. FHWA ER PROGRAM TDOT has a Stewardship agreement with FHWA that includes the administration of the FHWA ER program. It should be noted that the TDOT FHWA ER Program is currently under development and may undergo various changes. While FHWA is responsible for review and approval of all FHWA ER projects, TDOT must report natural disasters and catastrophic failures to FHWA through its FHWA Division Office. TDOT is the administrative lead on damage assessment, emergency repair and permanent restoration projects, and the preparation and submission of FHWA ER application and documentation. TDOT needs to identify Federal-aid highways, locations of damage sites, coordinate locally administered projects, complete repairs through force accounts or contracts, and assemble required documentation. The TDOT FHWA ER Coordinator in the TDOT headquarters is the key FHWA Division contact. The TDOT Region FHWA ER Coordinators report to the FHWA ER Coordinator. Technical support personnel knowledgeable about the FHWA ER program are located in the Maintenance Division. Counties and cities coordinate with the TDOT Local Program Development Office within the Program Development Division. The organization charts for the FHWA ER program are shown in FIGURE D - 29 and FIGURE D - 30. Assessment teams and various offices and divisions report to each TDOT Region FHWA ER Coordinator during FHWA ER events. Recent major FHWA ER events have included landslides and rockslides, and floods and storms.

196 Appendix D – Case Studies Page - 77 - FIGURE D - 29: TDOT FHWA ER Program Organization Chart. Source: “Emergency Relief Program: TDOT ER Program Overview,” n.d. FIGURE D - 30: (cont.) TDOT FHWA ER Program Organization Chart. Source: “Emergency Relief Program: TDOT ER Program Overview,” n.d.

197 Appendix D – Case Studies Page - 78 - Land/Rockslides 2012 Blount US-129 Campbell I-75 Cocke I-40 2011 Sevier SR-71 Grundy SR-108 2010 Blount US-129 Sevier SR-71 Polk #2 US-64 Polk #1 US-64 Floods/Storms 2011 East TN Tornadoes West TN Storms and Flooding 2010 Middle TN May Flood 2009 Northwest TN Ice Storm In terms of cost, the total FHWA ER cost for 2012 was $14.8 million. TDOT received 90% reimbursement from the FHWA. For 2011, the cost was $7.3 million of which $6.2 million or 85% was reimbursed. In 2010, the total amount was $52.9 million of which $47.1 million or 89% was reimbursed. In 2009, the amount was $0.9 million or which 100% was reimbursed. The initial steps in TDOT’s FHWA ER process follow the FHWA ER guidance. First, a PDA is performed using windshield and/or aerial surveys and photos of the damage are taken and a Detailed Assessment Form (DAF) is completed. Damage assessment information, maps, photos, and cost estimate are included in the DAF. Revised DAFs require prior FHWA approval. Next, a Presidential Declaration or a Governor’s Proclamation is sought and the included counties are identified. TDOT then submits a Letter of Intent to the FHWA Division Office which sends TDOT an Acknowledgement Letter. Detailed site assessments are then conducted by the damage assessment teams. Large complex sites may require a second detailed assessment and the involvement of technical specialists who would make any needed

198 Appendix D – Case Studies Page - 79 - revisions to the original assessments. If the severity of the event is significant enough and TDOT has confidence that the event will qualify, the Quick Release method would be utilized. The DDIRs contain location of the site, whether or not the repairs are emergency repair or permanent restoration, description of the damage and needed repairs, whether force account or contract is used, cost estimate, and photos. There is currently no deadline for the completion of DDIRs by assessment teams. The process is managed on a situation by situation basis. DDIRs are completed on site and then entered electronically into a DDIR form in the office. The Damage Survey Summary Report contains a formal request for FHWA ER funds, list of estimated repair costs by county/route, and supporting documentation. The FHWA ER timeline begins when the disaster event occurs. On day one (1), the preliminary assessment is started and the Regional FHWA ER coordinator determines whether the damages are severe enough to require more detailed assessments. On day two (2), detailed assessments begin. On day 14, a Letter of Intent is developed and sent to the FHWA Division Office. Six weeks from the disaster event, a Damage Survey Summary Report is developed. Within three months of the event, a Program of Projects is developed and submitted to FHWA. Emergency repairs are completed within 180 days of the event. A list of all sites and repair costs need to be submitted within two (2) years of the event. The TDOT FHWA ER coordinator reviews and submits the final records received from the HQ Maintenance Division to FHWA. FHWA may request additional documentation or clarifications. Reimbursements including those for counties and cities will then be made to TDOT. Upon receipt of the funds, the TDOT Local Programs Development Office will distribute them to the appropriate LPAs and will close out the FHWA ER project. Note that TDOT does not ask for reimbursement for indirect costs. Also, TDOT does not use electronic signatures. DAMAGE ASSESSMENT TEAMS Each TDOT region has five (5) or six (6) pre-determined damage assessment teams. Each team has a pre- determined team leader selected by the Regional FHWA ER Coordinator. The Team Core will include at least one construction and one maintenance employee. Personnel in each region is trained and ready to deploy to other regions of the state (or to another state) to respond to a disaster, if necessary. Regular exercises are held to ensure that each region has the capability to deploy to the disaster site and to be completely self-sustainable for up to a week at a time. Because EMAC mutual aid legislation and statewide mutual aid legislation was adopted by the Tennessee state legislature in 2004, FEMA now reimburses TDOT for assistance provided on behalf of TDOT by other states and for intrastate assistance, assistance received and provided by TDOT to Tennessee regions and municipalities and other intrastate entities for a FEMA PA-eligible event. Information about this legislation is presented at the end of this case study. Aerial surveys, when necessary, are coordinated with the Department of Defense.

199 Appendix D – Case Studies Page - 80 - Once a disaster or emergency arises, preliminary damage assessments are performed by the teams. Deployment and assignment areas will be determined by the Regional FHWA ER Coordinator. Additional personnel will be added by the Coordinator as needed. Members are required to be trained, understand their time and travel commitments, have relevant skills, and work well in a team setting. For a flood or seismic event, a quick inspection of the severity of the flood and a list of sites would be created and distributed to key personnel. The length of the initial assessment would depend upon how widespread the damage is from the flooding or seismic event. In general though, it should only take a day or two at most. A follow-up inspection, which would be more detailed, would be conducted based upon priority. The detailed inspections in Phase 2 could take as little as two (2) weeks or upwards of two (2) to (3) months based on TDOT’s experience in the May, 2010 flood depending upon the extent of the damage. TDOT HQ advises the teams to carry the following supplies: Personal Protection Equipment Blank Detailed Damage Assessment Forms (DAF) Assessment Aids Site List Pencil Dry Erase Board w/ Marker File Folder Clip Board 100’ Measuring Tape Range Finder Measuring Wheel Camera GPS unit Map Water Cell Phone Flash Light Laptop w/ VPN Account Vehicle with Flashing Lights First Aid Kit Extra Batteries for Camera

200 Appendix D – Case Studies Page - 81 - SITE/ROUTE PRIORITIZATION For a flood event, interstate routes and major arterials on the state highway system would typically receive the highest priority. Secondary state routes would be next in line followed by non-state Federal- aid highways. Routes which serve critical infrastructure, such as hospitals and other emergency management facilities, or emergency evacuation routes would also receive special consideration. For an earthquake, TDOT has prepared an Earthquake Response Plan which designates certain strategic routes as priority routes following a seismic event. TEMA and TDOT planners have designated several routes as Regional Emergency Supply Routes. These routes are designated to expedite the movement of essential life-saving and support resources to the high-risk counties along the Mississippi River. They begin at or pass very near to pre-designated staging areas and end at pre-designated staging areas in the high-risk counties. These routes were selected based on the following assumptions: • Transportation infrastructure will suffer significant and extensive damage. • Damage will be more severe in counties along the Mississippi River. • Aftershocks of magnitudes approaching or even exceeding those of the first event will occur over the first few weeks following the event. • Transportation maintenance workforce will be decimated. • A large number of bridges will suffer loss of span and/or approaches. • Most of the bridges over the Tennessee River are likely to survive. • Most obstacles to movement can be overcome during first 72 hours following an event TDOT’s bridge monitoring tool helps TDOT prioritize and schedule disaster assessments for TDOT’s bridges. In order to prioritize assessments, the tool uses information about drainage areas, foundations, and other information to analyze the impact of specific events on each bridge. The Regional FHWA ER Coordinators inform the HQ FHWA ER Coordinator regarding the deployment of assessment teams. Project numbers will be assigned and contracts will be set up by the HQ FHWA ER coordinator. The HQ FHWA ER coordinator will also contact LPAs to determine whether they have damage sites. The LPAs will then contact the Regional FHWA ER Coordinator to set up a field review and to verify that the site is a part of the Federal-aid route system. The Regional FHWA ER Coordinator will then assemble the assessment teams and brief them. The Team Leader will complete the identification information of the DAF summary portion. The DAF number is comprised of the county number, 5-digit route number, site number, and revision number. The FHWA Disaster number consists of “FHWA ER- TN,” the fiscal year, and the number of the disaster for that year. The Team Leader will determine how to access the sites and will ensure that the team has the needed supplies.

201 Appendix D – Case Studies Page - 82 - DETAILED ASSESSMENT FORM (DAF) A DAF is comprised of several components. They include photographs of the site, a map, and cost calculations. At the site, the team will take a photo with the site information. A sample photo is provided in FIGURE D - 31. FIGURE D - 31: Detailed Assessment Form Photo with Site Location. Courtesy: TDOT. The identification portion of the DAF summary and the notes component will be completed at the site. TDOT provides the following documentation recommendations to its personnel: Provide sketches of the damage. Be as detailed as possible. Include a North arrow. Include sign messages. Include measurements. Write legibly. Describe repair recommendations Detour notes should include the materials used; if it has not been established, the team should note the recommended route and materials. members would not

202 Appendix D – Case Studies Page - 83 - DAF Photos TDOT, in its training for assessment team personnel, recommends that many photos of the site including detour routes be taken. TDOT recommends that photos be clear and bright, and clearly depict the damage and needed repairs and not to use excessive zoom. The following photos should be included: A photo depicting the route section in the direction you approach A photo depicting the route section in the direction opposite your approach A photo looking right of the centerline A photo looking left of the centerline Additional recommendations include providing points of reference, showing the extent of the damage, the bridge number, evidence of danger of future damage, and each line item in the cost calculation. Examples of good and bad photos are provided in the training (see photos from FIGURE D - 32 to FIGURE D - 37). FIGURE D - 32: Example of a Good Photo. Courtesy: TDOT.

203 Appendix D – Case Studies Page - 84 - FIGURE D - 33: Example of a Bad Photo. Courtesy: TDOT. FIGURE D - 34: Example of a Good Photo. Courtesy: TDOT.

204 Appendix D – Case Studies Page - 85 - FIGURE D - 35: Example of a Bad Photo. Courtesy: TDOT. FIGURE D - 36: Example of a Good Photo. Courtesy: TDOT.

205 Appendix D – Case Studies Page - 86 - FIGURE D - 37: Example of a Bad Photo. Courtesy: TDOT. DAF Maps In the Maps Component of the DAF, the functional classification map and Google aerial imagery should be included. TDOT functional classification maps show routes that are color-coded by type. The maps are accessible via the TDOT website (“Long Range Planning Division – Functional Classification Maps,” n.d.): http://www.tdot.state.tn.us/longrange/functionalClass.htm FIGURE D - 38: Example of Images from a DAF Map Component. Courtesy: TDOT. TDOT does have access to LiDAR scanners for post-disaster condition assessment, but the availability of pre-disaster condition LiDAR scans are limited. LiDAR scanning was utilized on the $13 million slide repair on I-75 in Campbell County in 2012 to assist in the design of the slope stabilization project.

206 Appendix D – Case Studies Page - 87 - DAF Cost Calculations Cost calculations are an important aspect of the DAFs. Typical items are listed on the DAF along with their quantities, units used, unit prices, and total costs. Other items require the approval of the Regional FHWA ER Coordinator. The unit prices are updated yearly by the Regional FHWA ER Coordinator. A separate form is used to document debris removal work. For contracts that have been let, actual contract terms are used. For force account work, Daily Work Reports with labor, material, and equipment costs are submitted by the assessment teams. When traffic control is necessary, traffic control is provided by maintenance forces and related costs are included in the DAF. In the summary section of the DAF, summed costs from the cost calculation sheets and descriptions of the repairs are included. PE/CE costs are also included based on the judgment of the Regional FHWA ER Coordinator. If the electronic DAF is used, the total costs are automatically calculated. Items that should be included in the DWRs are: Date, County, Route, the specific Log mile Special Event (if applicable) Project number (If a special project # has been set up, it is important to use it on the disaster, but not other routine work.) Materials Details on specific work done and relevant comments are also helpful. Daily Work Reports that have been completed (a sample of which is shown in FIGURE D - 39) are collected and the costs are include in the cost calculations sheets. FIGURE D - 39: May, 2010 Flood Daily Work Report Sample. Courtesy: TDOT.

207 Appendix D – Case Studies Page - 88 - Quantities of needed items such as ditches, construction signs, and rip-rap are recorded on the DAF in the notes and sketches component. The form contains fields for Quantity, Unit, Item Description, Unit Price, and Total Cost. For the DAF cost summary portion, a short scope of work is provided, as shown in FIGURE D - 40, along with the total costs from the Cost Calculations component. FIGURE D - 40: Scope of work in DAF cost summary. Courtesy: TDOT. The personnel participating in the DAF training produced DAF cost calculations sheets and a summary sheet as shown in FIGURE D - 41.

208 Appendix D – Case Studies Page - 89 - FIGURE D - 41: DAF Cost Estimate Example – May, 2013 Rockslide. Courtesy: TDOT. DAF Development Example FIGURE D - 42 shows an example of a DAF in development from the May, 2010 flood event, provided by TDOT in its FHWA ER training session. The scenario is that a team is deployed to the Hardin County SR 69 LM 14.75 site and observes slope erosion on the west slope face, with soil washed onto the roadway and ditch. The assessment team leader completes the identification information portion of the DAF. FIGURE D - 42: Example of DAF Development. Courtesy: TDOT.

209 Appendix D – Case Studies Page - 90 - DAF Notes and Sketches The notes and sketches component with details of the damages and recommended repairs are completed next, as shown in FIGURE D - 43. FIGURE D - 43: May, 2010 Flood DAF Example, Note and Sketches Component. Courtesy: TDOT. The maps sheet and photos sheet are then completed and include as many pages as needed. Examples are shown in FIGURE D - 44 and FIGURE D - 45, respectively.

210 Appendix D – Case Studies Page - 91 - FIGURE D - 44: Maps within a DAF (sample). Courtesy: TDOT.

211 Appendix D – Case Studies Page - 92 - FIGURE D - 45: Photos within a DAF. Courtesy: TDOT. DAF Training – Table Top Exercises TDOT creates Table Top Exercises based on actual incidents. For instance, on May 9, 2013, large rocks fell onto State Route 25 in Smith County and an emergency contract was let. A geotechnical assessment team performed the assessment and completed the DAF. The area has a shoulder width of 8 feet, roadway width of 24 feet, and 120 feet of ROW. An emergency contract was let for emergency repairs. The Table Top Exercise directed personnel to perform the assessment using this information.

212 Appendix D – Case Studies Page - 93 - FHWA ER PROJECT MANAGEMENT The TDOT HQ FHWA ER Coordinator manages the FHWA ER projects through the use of Excel tables which are consistently updated. FHWA ER project key process milestones for all active FHWA ER events are tracked using the Excel table shown in FIGURE D - 46. FIGURE D - 46: Using Excel to track key process milestones for active FHWA ER events. Courtesy: TDOT. A more detailed table tracking Federal Appropriations and Federal Obligations, FMIS status; Final Voucher Federal Share, State Share, and Total; Documented Federal Share, State Share, and Total Share is utilized based on information from FMIS and TDOT. Documented Total includes all expenditures for which TDOT has supporting documentation showing how expenses are related to the event. Documented Federal Share includes all FHWA ER Program eligible expenditures for which TDOT has supporting documentation, has submitted to FHWA, and been approved by FHWA for reimbursement. In certain instances, the Federal Obligation was greater than the Federal Appropriation which caused a delay in full reimbursement to TDOT. Note that the project numbers are assigned by the TDOT HQ FHWA ER Coordinator. Each FHWA ER event in each year receive a specific number. For instance, the first disaster in 2013 would receive the

213 Appendix D – Case Studies Page - 94 - code FHWA ER-TN13-1. The first project for that disaster would be indicated by the last digit in the sequence: FHWA ER-TN13-1-1. For a particular year, another table containing all FHWA ER events and project numbers is created. The project numbers include TDOT’s FHWA ER codes, the Federal Project Number, and State Project Number. In addition, for each project, the table indicates whether or not it is emergency repair or permanent restoration work along with the estimated project cost, estimated PE/ROW/CE cost, estimated FHWA participation percentage and share, state/local share, allocations and obligation amounts, contract number, letting date, and project status (See TABLE D - 4). TABLE D - 4: 2012 FHWA ER Program Details. Courtesy: TDOT. FHWA ER PROJECT FORMULATION ISSUES Site definition including defining the dimensions of a site and whether or not to include adjacent sites has been an issue in previous disasters (e.g., the May 2010 Flood in Middle and West Tennessee). Most DDIRs will require minor changes in terms of quantities of equipment, material, etc. following initial approval by the Area Engineer. However, at times it might involve taking a different repair approach. For instance, in 2010 there was a site in Maury County on SR-7 where a severe slope failure

214 Appendix D – Case Studies Page - 95 - occurred and caused the entire roadway to collapse. Initial estimates to repair the embankment were approximately $10M to $12M. It was later determined that installing a bridge at this site would be the more cost effective option, and the DDIR was revised to reflect this change. The final cost for the bridge was approximately $7M instead of the original $12M. BRIDGE MONITORING TOOL FIGURE D - 47: Screenshot of TDOT’s BridgeWatchTM Tool. Courtesy: TDOT. There are approximately 19,650 bridges in Tennessee, of which 17,010 are over water and 820 are scour critical. There are also about 1,000 unknown foundation bridges - 85% of these are locally owned. TDOT has about 17 bridge disaster assessment teams across its four regions; the teams are led by a bridge engineer. Within 24 hours of a flood, personnel must be dispatched to inspect the bridge according to TDOT’s emergency plan. TDOT’s Region Bridge Inspection must upload the status of the bridges after flood events so notes can be entered into the system and the event alert terminated. Prior to re- opening, bridges closed due to flood events must have TDOT region bridge inspection approval. All of TDOT’s bridges and their conditions are included in the TDOT bridge monitoring tool which was implemented in 2004. It was originally designed specifically for the monitoring of scour critical and unknown foundation bridges but was expanded to include all bridge types. The internet-based tool is customizable with TDOT TRIMS data, monitors bridges on a 24/7 basis using NOAA and USGS information for dangerous conditions within the state. Note that the TRIMS database contains FHWA- required bridge data along with additional data (foundation types, substructures, paint system) which

215 Appendix D – Case Studies Page - 96 - can help to determine pre-disaster conditions. The tool can predict the consequences of particular event levels based on a pre-determined threshold input by TDOT. The current default thresholds are 25-year rainfall events for scour critical and unknown foundations. Some are also set to NEXRAD radar and USGS stream gages. Once the trigger level is reached (e.g. rainfall of x inches), the tool will send out alerts via email, fax, and/or cell phone text for specific bridges that are in danger of incurring damages. LPAs can enroll in this system. Information and photos from disaster assessments can be uploaded in PDF format to the tool. Laptops are provided to the disaster assessment teams so that they are able to upload the information from the field. The May, 2010 flood caused significant damages to TDOT’s bridges. While 89% of the highway bridges had no significant damages, at least 1,167 structures were damaged and needed repairs. 44 of the 52 Counties had bridges that suffered maintenance issues because of the flood. FIGURE D - 48: Example of Structural Damage during the May, 2010 Flood Event. Courtesy: TDOT. Most (773) bridges had a single type of damage. 504 had debris accumulation, 415 had roadway approach damages, 362 had channel embankment erosion, 225 had scour damage, 115 had structural damage, and 54 required closure. 415 Bridges had damage to the roadway approaches. BridgeWatchTM application alerted TDOT personnel regarding damaged bridges and helped in disseminating bridge condition information to relevant personnel. The bridge database tracked five (5) categories of damages. The usefulness of this tool and bridge database was fully demonstrated during this May, 2010 flood event.

216 Appendix D – Case Studies Page - 97 - The bridge inspection team works with the TDOT district maintenance or local highway maintenance officials to establish detours. Bridge reports include findings, channel measurements, and photos. The Plan of Action Report for bridge inspections is presented in Figure D-49. FIGURE D - 49: Plan of Action Report for bridge inspections. Courtesy: TDOT.

217 Appendix D – Case Studies Page - 98 - FIGURE D - 50: (cont.) Plan of Action Report for bridge inspections. Courtesy: TDOT.

218 Appendix D – Case Studies Page - 99 - TENNESSEE MUTUAL AID LEGISLATION The 2004 mutual aid act passed by the Tennessee legislature on May 6, 2004 allows the TDOT, counties, cities, nonprofit fire departments, and utilities to work together and provide mutual aid, and be compensated for it without the need to develop individual mutual aid agreements. The universal agreement is contained within the statute itself. Prior to its enactment, FEMA did not reimburse TDOT for mutual aid assistance received from other entities. Reimbursement details are provided in the legislation (State of Tennessee, 2004): “(c) During the period of assistance, the responding party shall continue to pay its employees according to then-prevailing wages, including benefits and overtime. The requesting party shall reimburse the responding party for all direct and indirect payroll costs, including travel expenses, incurred during the period of assistance, including but not limited to, employee retirement benefits as determined by generally accepted accounting principles. The requesting party is not responsible for reimbursing any amounts paid or due as benefits to responding party's personnel under the terms of the Tennessee Workers' Compensation Act, compiled in Title 50, Chapter 6. “(d) The requesting party shall reimburse the responding party for the use of its equipment during the period of assistance according to the Federal Emergency Management Agency fee schedules for hourly rates. For instances in which the costs are reimbursed by the Federal Emergency Management Agency, eligible direct costs shall be determined in accordance with 44 C.F.R. 206.228. “(e) The requesting party shall reimburse the responding party for all material and supplies furnished by it and used or damaged during the period of assistance, except for the cost of equipment, fuel, and maintenance materials, labor, and supplies, which shall be included in the equipment rate unless it is damaged and the damage is caused by the gross negligence, willful and wanton misconduct, intentional misuse, or recklessness of the responding party's personnel. The measure of reimbursement shall be determined in accordance with 44 C.F.R. Part 13 and applicable Office of Management and Budget (OMB) circulars. “(f) The responding party shall maintain records and submit invoices for reimbursement by the requesting party. For instances in which costs are reimbursed by the Federal Emergency Management Agency, the requesting party must submit requests for reimbursement to the Tennessee Emergency Management Agency on forms required by Federal Emergency Management publications, including 44 C.F.R. Part 13 and applicable OMB circulars. The reimbursement request shall include the certification or level of training of the personnel who responded and the type of equipment that was sent. (g) The responding party shall forward the reimbursable costs with an itemized invoice to the requesting party as soon as possible, but no later than sixty (60) days after the provision of assistance has ended.”

219 Appendix D – Case Studies Page - 100 - REFERENCES “Emergency Relief Program: TDOT ER Program Overview,” Powerpoint presentation provided to the consultant by the contacts at the Tennessee Department of Transportation, Nashville, TN, no date. Leatherwood, Terry D, Superflood! 1000+ Year Flood Event, Powerpoint presentation provided to the consultant by the contacts at the Tennessee Department of Transportation, Nashville, TN, 2010. “Long Range Planning Division – Functional Classification Maps,” Tennessee Department of Transportation, Nashville, TN, no date, [Online]. Available: http://www.tdot.state.tn.us/longrange/functionalClass.htm Seger, Wayne and Jon Zirkle, Tennessee DOT’s Implementation of BridgewatchTM: A Program for Monitoring Scour Critical and Unknown Foundation Bridges, Powerpoint presentation provided to the consultant by the contacts at the Tennessee Department of Transportation, Nashville, TN, October 2013. State of Tennessee, Public Act 743 (103rd General Assembly), Tennessee Code Annotated, Title 58, Chapter 8, May 24, 2004.

220 Appendix D – Case Studies Page - 101 - Texas DOT (TxDOT) Case Study BACKGROUND Texas, the second largest state in the nation, has experienced hurricanes, tropical storms, and wildfires. Many tropical disturbances develop in the Atlantic Ocean, Caribbean Sea, and Gulf of Mexico, and have the potential to turn into tropical storms and hurricanes (Roth, 2010). Additional natural hazards are droughts and snowstorms. In addition, homeland security is another key focus area. Texas DOT (TxDOT) is responsible for 79,000 miles of roads, the largest network in the U.S. TxDOT has more than 5,000 employees and 246 maintenance sections; the average section has 10-30 personnel. About 55% of the field personnel are contractors who perform crack sealing, seal coats, overlays, guardrail repair, bridge repair, mowing, tree trimming, striping, pavement marking and similar work. Four regional support centers provide operational and project delivery support for the agency's 25 geographical districts. A drought began in October, 2010 and, as a result, 2011 became the driest year for the state. Records for low rainfall were set in March-May, 2011 and June-August, 2011. These droughts along with extreme heat increases the likelihood of fires; in fact, 30,000 disastrous wildfires were sparked – most of them burned everything in their paths and endangered the lives of firefighters and TxDOT field personnel who worked to clear debris, dead and dying trees, and repair damaged roadways and bridges. TxDOT was also asked by the state EMA (Department of Public Safety) to supply fuel and water and by Texas DEM to construct fireguards along highways including for highways that were not owned by TxDOT. Heavy equipment was also supplied by TxDOT. The total amount expended by TxDOT for the drought was approximately $5 million. DOCUMENTATION TxDOT has attempted to document all of their facilities during normal conditions using a combination of onsite photographs and Google imagery in order to provide evidence of pre-disaster conditions. Once a disaster strikes, TxDOT survey teams will document damages to their facilities using digital cameras. The photos are geocoded using lat/long information. FEMA PA PROGRAM Most of TxDOT’s FEMA PA projects are considered large projects regardless of the disaster type. For small projects if there is a cost overrun (estimated costs are lower than actual costs), TxDOT usually needs to cover these costs. Therefore, TxDOT is careful when estimating costs for small projects to avoid overrun situations.

221 Appendix D – Case Studies Page - 102 - TxDOT notes that the average time required for TxDOT personnel to complete a FEMA application is 120 person-hours. Good documentation practices are especially important so that needed information can be readily identified and information requests can be addressed, especially if FEMA personnel rotation occurs. There have been issues obtaining approval for rental rates. FEMA asked TxDOT to use the Blue Book rates for rental of equipment rather than TxDOT’s rates but decided that TxDOT’s lower rates should be used at a later time. FHWA ER PROGRAM The relationship between the TxDOT and FHWA Division Office and its engineer has been excellent. FHWA appreciates the efforts of TxDOT in its response to disasters and the work performed by TxDOT in debris removal and repair of roadways. In a typical disaster, TxDOT and the FHWA engineer perform windshield assessments together. The area engineer provides his or her engineer’s estimate and reports to the district office. The district office then reports the estimate to TxDOT Central Office. Because the FHWA engineer is at the disaster site, he or she is able to quickly approve or disapprove the work. The average time required for TxDOT personnel to complete an FHWA application is 40 person-hours. TxDOT desires additional clarity on the definition of a first pass of debris pick-up. NON-FEDERAL SHARE Texas Division of Emergency Management typically provides the non-federal share for TxDOT for both the FEMA PA and FHWA ER programs up front. It is intended to be a temporary contribution that needs to be replaced by other funds at a later time. If local counties and cities have difficulty contributing their required share, TxDOT assists them. For instance, when floods in West Texas consumed a municipality’s maintenance funds, TxDOT assisted by providing the LPA’s required amount. TECHNOLOGIES Sharepoint has now been used by TxDOT districts for several years. TxDOT districts use Sharepoint to input resources expended during disasters on a daily basis. The salary/labor amounts in the site are averages. One problem was recently encountered when documents that had been stored on the site could not been found—this is likely an internal issue and not an issue with the Sharepoint site. A Maintenance Management System calculates the daily burn rate. The actual labor costs are available through this system which contains every employee’s salary or labor rate. In the past it was not possible to match equipment hours with labor hours which is required by FEMA. The system was reconfigured so that it can now automatically match the equipment usage with personnel hours. REIMBURSEMENT TIME FHWA usually has excellent turnaround times once DDIR packages have been submitted. The maximum

222 Appendix D – Case Studies Page - 103 - amount of time for an FHWA ER reimbursement (after submission of the packages) was about one year, which was an unusual occurrence. FHWA had approved $2.5 million for FHWA ER-eligible costs expended for the 2011 wildfires; however, because the total amount was not available, TxDOT received $800,000 almost immediately but received an “IOU” for the remainder. APPEALS FEMA Appeals Hurricane Ike struck Galveston, Texas early morning of September 13, 2008. It was a very large Category 2 hurricane and turned out to be one of the costliest hurricanes in Texas history causing almost $20 billion in damages to the upper Texas Gulf Coast and killing 84 persons. Also, the hurricane surge caused massive damage to infrastructure and businesses, and more than two (2) million lost power. The federal government increased its normal payout percentage to 100% from 75% due to the devastating nature of the disaster. (Hurricane Ike Impact Report, 2008) Texas roadways and bridges were damaged and filled with debris and water (flooding) caused by the hurricane. Approximately $53.7 million was spent by TxDOT to repair its transportation system. A total of $36.5 million in debris removal work was performed by TxDOT or its contractors. The debris consisted of typical debris – trees and downed power lines – to atypical debris such as barges. TxDOT had to do an emergency purchase contract to supplement the debris clean-up effort. FEMA denied the claim stating the cost per lane-mile was excessive. TxDOT appealed this decision, stating the debris was atypical and provided additional documentation. FEMA overturned the decision upon review of the case. Another situation involved fuel reimbursement. Fuel reimbursement for fuel provided to fire trucks from a volunteer fire department was denied for the following reasons: 1) did not have receipt or other evidence the fuel was provided to the trucks, 2) fuel was used for equipment that did not belong to TxDOT, and 3) the rate was higher than the FEMA’s approved rates. While TxDOT was not reimbursed in this instance, TxDOT subsequently met with the state EMA and created mutually acceptable forms for this scenario for future disasters. The form contains the following information categories: type of fuel, vehicle information (license plate number, vehicle ID number), cost, day and time, and person receiving the fuel. FHWA Appeals Wildfires in East Central Texas were especially destructive in 2011; a particularly rough drought spell contributed to the numerous and destructive wildfires. The 2011 fire season included around 27,976 fires which burned a record 3,959,040 acres. Thousands of homes and structures along with vegetation and trees were destroyed. President Barack Obama issued a federal disaster declaration for the wildfires that occurred August 30, 2011 through December 31, 2011. Of particular note were the Bastrop County fires which started on Sept. 4, 2011 near Bastrop State Park (see FIGURE D - 51). High winds fueled the fires and numerous homes and trees became quickly

223 Appendix D – Case Studies Page - 104 - engulfed by the fires. The Texas State Highway runs through this area. Numerous dead trees had to be cleared from the highway. In addition, there were dead and dying trees which were still standing near the highway. TxDOT sought to cut them down and clear the area near the highway as a protective measure. FHWA initially denied the work but TxDOT appealed the decision stating that the trees posed an imminent threat to life and property. Because FHWA had not approved such an expense before, it took a few months for the decision to be made. The appeals decision overturned the initial rejection and the work was approved. This decision may have set a precedent for future decisions of this nature. In another case, TxDOT performed a comprehensive research of the results of FHWA decisions for other states experiencing a similar issue. The research helped TxDOT receive a positive decision for the appeal. In order to bolster appeals requests, seeking out precedents has been a useful practice for TxDOT. FEMA Audits FEMA audits may require a full-time state DOT staff member – TxDOT has been undergoing an audit for its Hurricane Ike activities; the audit began in 2010 and was ongoing in December, 2013. FIGURE D - 51: Bastrop County fires. Source: Green, 2011. MAP-21 Because of MAP-21 changes, debris removal is now covered at 75% federal share instead of 100%. TxDOT believes that local Texas agencies with severely limited budgets may suffer because they may not have the 25% match. In the past when local agencies have not been able to meet their requirements, TxDOT had to assist and provide the matching funds. Therefore this change may require TxDOT to not

224 Appendix D – Case Studies Page - 105 - only provide additional monies for its own repairs but may cause the agency to expend resources on behalf of local counties and cities. LOCAL PUBLIC AGENCIES TxDOT submits reimbursement applications on behalf of LPAs and interacts with them a few times a year. TxDOT assists LPAs in completing applications and provides Just-in-Time Training to LPAs upon request. The classroom training is 8 hours long. Some LPAs require more assistance than others. For example, some of the agencies did not know whether the roads in their communities were Federal-aid roads or not. Also, the FEMA PA reimbursement process may not proceed smoothly when small counties and cities issue IOUs to vendors (e.g., payment is not actually made), and credit cards are used as paper receipts are not always available. Some did not understand the reimbursement programs and needed assistance on which program to submit to. REFERENCES Green, Erin, “UPDATED: Bastrop County fires forcing evacuations,” The Bastrop Advertiser, Bastrop County, September 4, 2011, [Online]. Available: http://archive.bastropadvertiser.com/2011/09/04/bastrop-county-fires-forcing-evacuations/ Hurricane Ike Impact Report, Federal Emergency Management Agency (FEMA), US Department of Homeland Security, Washington, DC, December 2008, [Online]. Available: www.fema.gov/pdf/hazard/hurricane/2008/ike/impact_report.pdf Roth, David, Texas Hurricane History, Hydrometeorological Prediction Center, National Weather Service, Camp Springs, MD, Last Updated Jan 17, 2010, [Online]. Available: http://www.hpc.ncep.noaa.gov/research/txhur.pdf

225 Appendix D – Case Studies Page - 106 - Vermont Agency of Transportation (VTrans) Case Study VTrans’ mission is “to provide for the safe movement of people and goods in a reliable, cost effective and environmentally responsible manner.” (VTrans Factbook, 2012) Vermont has had a total of 36 major disaster declarations and three emergency declarations. In the past several years from October 1, 2007 through September 1, 2014, there were 14 Major Disaster Declarations including Tropical Storm Irene which hit Vermont at the end of the summer in 2011. Ten of the 14 also included flooding, and two of the 14 were severe winter storms. VTrans has applied to the FEMA Public Assistance (FEMA PA) FHWA Emergency Relief (FHWA ER) programs for these disasters. VTrans considers the major hazards to its transportation infrastructure to be flash flooding, ice storms, and earthquakes. ROLE AND RESPONSIBILITIES VTrans’ organizational chart in FIGURE D - 52 shows that it is comprised of five (5) divisions – Program Development; Finance and Administration; Policy, Planning, and Intermodal Development; Operations; and Motor Vehicles Department. The divisions that have the most involvement during disasters and emergencies and in the FEMA PA and FHWA ER reimbursement processes are the Program Development Division, Finance and Administration Division, and the Operations Division. District offices have the responsibility of repairing facilities within their region and for submitting required documentation for the FEMA PA and FHWA ER programs. Each district office program coordinator reviews DDIR/PW forms before submitting them to headquarters (HQ). This decreases the amount of time required for HQ staff to review the forms.

226 Appendix D – Case Studies Page - 107 - FIGURE D - 52: VTrans Functional Directory. Source: VTrans Factbook, 2012. ESF ROLES VTrans is the lead for the transportation State Support Function (SSF-1) and is responsible for the development and maintenance of the State of Vermont EOP SSF-1 Annex. The mission of the SSF-1 is “To provide assistance to State and local governmental entities and voluntary organizations requiring transportation capacity to perform response missions following a catastrophic or major disaster or emergency. Support includes, but is not limited to: coordinating assessment of the transportation system to support emergency operations; making the necessary emergency repairs to the state transportation system; assist local jurisdictions with emergency repairs to their transportation system when resources are available; identifying and obtaining (from state agencies, the federal government, or by donation, lease or purchase) appropriate transportation assets and/or transportation support capabilities to meet response and recovery operational requirements; coordinating establishment of emergency refueling and maintenance facilities. Identify evacuation routes along the state and federal

227 Appendix D – Case Studies Page - 108 - highway systems and with the assistance of SSF13 (Law Enforcement), coordinate evacuations along those routes should the emergency require.” (SSF-1 Annex, 2013) VTrans is the co-lead for SSF-3 Public Works and Engineering. The other co-lead agencies are Vermont Division of Fire Safety (VDFS) and the Agency of Natural Resources, Department of Environmental Conservation. VTrans’ SSF-3 mission is “to provide technical advice and evaluation, engineering services, contracting for or providing construction management and inspection, contracting for the emergency repair of water and wastewater treatment facilities when resources are available, potable water and ice, emergency power and real estate support to assist the State in meeting goals related to lifesaving and life-sustaining actions, damage mitigation, and recovery activities following a major disaster or emergency.” (SSF-3 Annex, 2013) VTrans is also the lead agency for the Infrastructure and Environmental Restoration Task Force. STATE EMA The Vermont Division of Emergency Management and Homeland Security (DEMHS) is responsible for the FEMA PA program at the State level. VTrans is unique in that it had been responsible for the administration of the FEMA Public Assistance program at the State level for the past decade and had undertaken reimbursement-related and administrative responsibilities of the FEMA PA program on behalf of FEMA and DEMHS. However, after its Tropical Storm Irene experience and the need for VTrans to focus on the Federal Highway Administrations Emergency Relief Program, the State decided to move the administrative responsibility for the FEMA Public Assistance program to the state EMA. For all disasters which occurred prior to Tropical Storm Irene, VTrans managed the FEMA Public Assistance program in its entirety. For disasters beginning with Tropical Storm Irene and ending with the FEMA PA declarations of May-July 2013, VTrans supported DEMHS with technical assistance, damage assessments, grants management, and financial transactions (i.e., VTrans holds the appropriations associated with the FEMA PA program and made all the payments to LPA applicants including VTrans itself). The Vermont DEMHS is involved in the large project closeouts for FEMA-4022- DR-VT, with VTrans actually making the reimbursement payments. For FEMA PA declarations beginning with the ice storm of December 2013, DEMHS manages the FEMA PA program in its entirety. VTrans continues to perform the role of providing technical assistance in regards to road and bridge projects and works very closely with municipalities that become applicants under that program. DEMHS does not provide training on FEMA PA reimbursement procedures to VTrans. DEMHS has coordinated workshops associated with documentation and pre-audit preparations for the LPAs. This training is provided on an as needed basis and is free of charge. During disasters, DEMHS assist LPAs with their resource requests.

228 Appendix D – Case Studies Page - 109 - VTRANS ACCOUNTING PERSONNEL VTrans’ accounting staff is assigned to a particular billing unit (FHWA ER or FEMA PA) in the Accounts Receivable Unit, but most are able to perform both when needed. Duties of the reimbursement staff are as follows: Responsible for billing and receiving all money for the Agency including other state agencies/departments; and Federal, LPA and private entities. Specifically the billings that are covered each month are FHWA, FEMA, FTA, FAA, FRA, NHTSA, MCSAP, third party billing, and miscellaneous sales and billing (leases, signs, guardrail repairs reimbursement) and other agencies. Record deposits for the agency. Research projects through program/project managers that have been over spent and perform appropriate action to get this accrued unbilled portion billed out. Billing corrections and research on projects expenditures/revenues as necessary. Development of a table for projects to be billed in the STARS system (State Transportation Accounting and Reporting System); information gathered includes billing agreements, contracts, participate funding, appropriations, etc. Determine Aged Receivable reporting and make recommendations for write-offs as necessary. Answer billing questions and work with customers on putting in place payment plans when appropriate. TROPICAL STORM IRENE While hurricanes and tropical storms are not common in Vermont, Tropical Storm Irene hit Vermont on August 27 and 28, 2011. The storm which included heavy rain and severe flooding resulted in severe damage to 531 miles of VTrans’ highway infrastructure and 200 bridges. Many of the highways and bridges were closed due to washouts and debris, and 60 state roads and 33 state-owned bridges needed to be rebuilt. Of VTrans’ 305 miles of railroad infrastructure, 200 miles were damaged as well. Three Incident Command Centers (ICCs) in three different regions of the state were activated by VTrans within two days of the event, and 1,000+ VTrans personnel were mobilized at each ICC. The ICCs used the NIMS Incident Command System (ICS) structure and a Unified Command led by the Chief of Operations and Chief of Program Development was established in Montpelier. VTrans’ key goals were to establish access to towns and communities cutoff due to the event and establish access for utility companies for power restoration work. VTrans successfully completed repairs and reopened 531 miles of closed roadways within four months of the disaster. In fact, within a month, most of the highway segments and 28 of 34 closed bridges were reopened (Irene Innovation Task Force Report, 2012). Emergency mutual aid was received from various states, the National Guard and other state agencies. For instance, the Vermont Agency of Natural Resources expedited the issuance of necessary permits, and its staff assisted VTrans’ engineers develop

229 Appendix D – Case Studies Page - 110 - river restoration plans and perform river restoration work. The VTrans Deputy Secretary for Transportation was the Irene Recovery Officer and established the Irene Recovery Office which provided information on federal and state programs focused on mitigation. VTrans evaluated emergency repair options based on available detours, disruption to traffic, and emergency response needs. VTrans personnel performed damage assessments and site inspections using digital cameras. All photos were georeferenced with location information. VTrans participated in both FHWA ER and FEMA PA programs. VTrans District Technicians perform all site inspections for FHWA ER and FEMA PA damage sites. VTrans provides a web-based map to help personnel and LPAs determine whether a road is Federal-aid. VTrans submitted 800 DDIRs to the FHWA ER Program and has received between $175 and $185 million. FHWA provided reimbursements weekly based on incurred costs. Permanent repairs and emergency repairs completed after 180 days of the disaster were eligible for 81.08% federal funding. VTrans was reimbursed for $150 million from the FEMA PA program. FEMA provided reimbursements on a monthly basis as costs were incurred. As the Public Assistance officer for counties and cities on behalf of FEMA, VTrans was overwhelmed with the amount of work it faced during Hurricane Irene. All 3,500 project worksheets (PWs) created and submitted to FEMA were on behalf of local entities (counties, cities, and other public entities). They were a mixture of projects of various sizes, both large and small. Also, approximately 500 grant agreements with LPAs needed to be developed. Due to the sheer scope of the disaster, VTrans realized that it would not be able to perform its administrator duties with its existing workforce. VTrans also discovered that LPAs required a great deal of technical and procedural assistance as many LPAs were struggling with federal contracting requirements and reimbursement procedures including documentation and disaster assessment. In order to fulfill its responsibilities, VTrans needed to add 20 FTEs for a two-year period which has been extended. Scan Tour The “Scan Tour” was a multi-disciplinary group including engineers and regulatory partners which toured the state to review every major damage site while response and recovery work was ongoing. The group was tasked with making recommendations on changes or additional work pertaining to the emergency repairs in order to increase the resiliency of the facilities. The group did their second “tour” after the spring to determine the conditions of the sites, to determine what repairs could be considered permanent versus temporary, and to determine who would be responsible for completing the permanent repairs. Appeals and Audits VTrans appealed FHWA TE-045 FHWA ER guidelines which precluded reimbursements for the cost of work performed by the National Guard. Note that VTrans paid the National Guard $4-5 million for work performed during Hurricane Irene. After meetings and discussions with FHWA on the issue, FHWA decided to change FHWA ER guidelines and now allows these costs.

230 Appendix D – Case Studies Page - 111 - VTrans does not have extensive experience with audits though it has been audited by both FEMA and FHWA after Hurricane Irene. The audits went smoothly and resulted in no findings (no changes in reimbursement amounts). After Action Report/Corrective Actions To capture lessons learned information, VTrans created an Irene Innovation Task Force (IITF) which included a cross section of VTrans expertise from key units. The IITF was charged with examining processes used during response and recovery activities as well as interviewing individuals and groups regarding what worked, what didn’t and what gaps existed. They compiled a comprehensive report, complete with recommendations, and ongoing work has been focused on implementation of the key recommendations. Damage Assessments and Site Inspections: The IITF recommended road closures as a way to accomplish repairs faster, more safely, and at less cost; the continuation of fast-tracking high- priority projects and increased use of the Accelerated Bridge Project; and, the creation of a common utility map for all utilities. FEMA PA PROGRAM VTrans has been the administrator on behalf of FEMA for the FEMA PA program for about a decade. However, after Tropical Storm Irene, the State of Vermont has transitioned this management role from VTrans to DEMHS. VTrans’ experience with FEMA included coordination with different personnel due to FEMA team rotations. VTrans has been working on identifying FEMA funds for mitigation projects to enhance the resilience of its infrastructure for future disasters especially after experiencing the devastating consequences of Irene. Positive experiences with FEMA’s FEMA PA program are that Presidential disaster declarations are made rapidly and funding generally becomes available within around three months of the disaster (much quicker than for the FHWA ER program). Also, FEMA handles the NEPA process for applicants, while FHWA does not. FEMA’s small project funding process based on estimates have allowed many applicants to keep excess funds provided through the program. FHWA ER PROGRAM VTrans is the administrator of the FHWA ER Program as per its Oversight and Stewardship Agreement with the FHWA. VTrans works closely with its FHWA division office on a daily basis on various matters. Currently, VTrans is working with FHWA to create an administrative manual with updated procedures for the FHWA ER program for future disasters and emergencies. In managing the FHWA ER program, VTrans performs all work from initial damage assessments, to the development and approval of most

231 Appendix D – Case Studies Page - 112 - DDIRs (interstate sites being the exception), programming projects, completing work (State system), overseeing grants to municipalities with qualifying road/bridge damage, paying and ultimately closing out all the projects and the declarations. For Irene FHWA ER projects, VTrans worked with the Vermont Congressional representatives to have the federal share increased to 90% - this resulted in an additional $10 million in reimbursements for VTrans. Positive experiences with the FHWA ER Program have included flexibility in the area of structures, allowing VTrans to meet Vermont Agency of Natural Resources permit requirements. FHWA has been open-minded to doing work in streams such as placement of very large rocks to reestablish an incised channel's original profile in order to minimize roadway side slope impacts and mitigate against future flooding. During disasters and emergencies, the goal is to accomplish any eligible “emergency” repair within the first 180 days to ensure that most of the “emergency” repair will be eligible for 100% FHWA funding. In the past, municipalities had failed to grasp the importance of the 180-day deadline, causing some of their “emergency” repair to be paid at the 81.08%/18.92% split. COMBINED DOCUMENTATION FORM VTrans has created a modified DDIR by incorporating some of the FEMA Project Worksheet information in an effort to better align the two disaster programs. This effort was more difficult than had been anticipated because the PW requests much more information than does the DDIR. A single PW can be as long as 12-18 pages plus attachments (e.g., permits and Scopes of Work). VTrans selected the most important items from the PW form and incorporated them into the DDIR. VTrans now uses this modified DDIR and will share it with other states. In addition, the form can be used by all levels of government within Vermont. Note that this project was motivated by a series of discussions VTrans and the Governor of Vermont, the Transportation Lead for the Coalition of Northeastern Governors (CONEG), had with other states and a collective desire by Northeastern states for a common form. A FHWA and FEMA Toolkit for state DOTs and development of standard EMAC costs were also noted as desired items. PROJECT FORMULATION FEMA PA Project Formulation The development of Project Worksheets (PWs) are a joint effort between FEMA, DEMHS, VTrans, and the applicants, with the FEMA project specialists doing the actual writing and data entry. FEMA tends to group damage sites as best they can and as appropriate to cut down on the volume of PWs. However, they cannot combine sites solely to circumvent the per site damage threshold.

232 Appendix D – Case Studies Page - 113 - FHWA ER Project Formulation For the FHWA ER program, VTrans tries to group damage sites that are within a reasonable distance of each other for the same reasons (to reduce the number of DDIRs and to ideally have just one DDIR translate into one programmable project). This has been VTrans’ practice prior to Irene and it has been its practice for events that occurred after Irene. VTrans is also developing an application which will allow VTrans district staff to enter damage site information, have VTrans Operations HQ staff review the data, and group the sites as appropriate. The application will then automatically generate the DDIR. PROJECT CLOSEOUT AND REIMBURSEMENT PROCESS FEMA PA Closeout and Reimbursement For FEMA PA projects, VTrans uses the same procedure as for other state funded projects. For large projects, final request for payment and closeout with all necessary documentation is submitted by the applicant to their respective VTrans district office. District staff reviews documentation for completeness and then forwards the packet to VTrans’ Operations HQ. VTrans Operations HQ performs a final review and then forwards the packet to DEMHS. DEMHS submits the packet to FEMA. FEMA performs a closeout review, amends PW and obligates additional money if necessary, and then notifies VTrans’ Operations HQ. Once final PW amendment is approved and money obligated, VTrans Operations HQs staff makes final payment to the applicant. FHWA ER Closeout and Reimbursement For FHWA ER projects, VTrans uses the same billing and closeout procedures used for other FHWA- funded projects. For all municipal projects, municipalities submit all necessary documentation to VTrans district offices. VTrans district staff review request and documentation for completeness, then forward to VTrans Operations HQ. VTrans Operations HQ staff performs a second check of documentation to ensure all federal requirements have been met and that the work is in the correct category (emergency or permanent). If requirements are satisfied, payment is made. For State projects, VTrans’ district and HQ staff work together to ensure all allowable charges are included in the appropriate expenditure account. Once that has occurred, the project is closed. IRENE INNOVATION TASK FORCE (IITF) RECOMMENDATIONS Incident Command Structure and Integration The IITF reported that integration of various functions including IT and HR within each ICC and integration of external agencies including FHWA and FEMA were important during emergencies. The IITF noted that in emergencies, VTrans should continue to promote the use of cross-functional teams and better integrate rail and state airport staff into the emergency operations. As soon as possible after an emergency or disaster, VTrans, state agencies, and LPAs should agree upon roles

233 Appendix D – Case Studies Page - 114 - and responsibilities and make use of stewardship agreements and MOUs as needed. Also, the same geographic boundaries for districts should be used by all agencies. In addition, developing a Standard Operating Procedure (SOP) for VTrans’ ICS is important and should include standardizing financial processes, clarifying the role of planning, formalizing the role of IT, formalizing communication processes, ensuring that the Unified Command fully utilizes the ICS, and developing a three-tiered system. FEMA and FHWA along with VTrans’ environmental liaison, ANR and Regional Planning Commissions should be involved in ICC planning. Information Technology (IT) A range of technologies contributed to the success of VTrans’ Irene response including tablets and smart phones. Data integration, support, and development of protocol for naming and storing data may be needed for these technologies. The IITF noted that implementation of new technologies would require end user champions, and development of new processes, and policies and governance structures for the processes. IITF’s IT recommendations were: Cloud technology – Cloud technology may be useful in making maps, Environmental Permits, contractor agreements, and various Human Resources documents available for emergency responders to view and use in the field and to facilitate real-time collaboration and information sharing among stakeholders. R Drive – Initially, Irene response data was stored in many different places, leading to confusion. Once the R drive was put into use, data storage issues were greatly mitigated. The R drive should be used from day one in emergencies (ongoing). In addition, consider storing HR documents, maps, and other ICC contact information in a central place. Incorporation of Technologies into Operations – Incorporate the use of technologies such as GPS data cameras, iPads, smart phones, smart tablets, in all operations; and, provide training and support as needed. Electronic signatures – Continuation and expansion. Electronic databases – Use of electronic databases instead of paper to monitor and store data and information Bridge database development would enable information-sharing about bridges and their conditions. Bridge and culvert maps should be developed/updated to assist disaster assessment teams in locating disaster sites. Google Maps was a good temporary solution during Irene since VTrans’ 511/ATIS could not handle the web demand for the site immediately after the arrival of Tropical Storm Irene. Google Maps served its purpose well, but VTrans’ traveler information site is now able to accommodate a large volume of users; a full replacement of the 511/ATIS system is expected to be released within the next 2 years.

234 Appendix D – Case Studies Page - 115 - Asset Management Systems, Geospatial data VTrans continues to further develop an Asset Management system which will contain significant amounts of data including pre-disaster conditions which will help with eligibility determinations for both the FHWA ER and FEMA PA programs. For post-disaster assessments all necessary geospatial data will be entered into an application which can plot sites, show disaster impacts with corresponding cost data, and allow VTrans to map historic data to show repetitive losses. Training ICS-related recommendations of the IITF had stated that key personnel need to be identified and trained for future ICC responsibilities and provided with technologies that they can use during emergencies and on a daily basis as well. Accordingly, VTrans has now identified and trained key personnel and delivered ICS training to all of its employees. The IITF recommended incorporation of river management principles into VTrans Operation’s training institute as one method of institutionalizing river engineering into infrastructure engineering. In addition, VTrans has worked with the Vermont Agency of Natural Resources (ANR) to develop and deliver “Roads and Rivers” training at different levels to staff. The ‘Tier 1’ is an awareness level and can be viewed online. The ‘Tier 2’ training is hands on (classroom and in the field) and focuses on building more in depth understanding and competency for staff who design, build and maintain projects. The objective of this training is to help staff learn how to enhance the interaction between road and river systems during daily operations, and how to rebuild the systems and make them more resilient when damage occurs. The creation of an Emergency Design Manual describing how to restore river banks was also recommended. IITF also recommended training on checklists and emergency standard operating procedures (SOPs), especially with regards to how finances are handled, and training on technologies that have not been incorporated into ongoing operations. The IITF also suggested the use of a rotation program for interagency cross-training and to add capacity to critical positions in emergencies. To facilitate the training the development of a manual including DDIR completion procedures was recommended, possibly with the assistance of other states. Pocket manuals would be provided to each ICS section head and would provide information on staff roles. The team recommended the use of ongoing mini-disasters as a chance to practice and evaluate the skills of potential leaders Additional recommendations included the clarification of VTrans’ role in training key stakeholders, including contractors, towns, and subcontractors. Additionally, there was a question of whether the Unified Command or the ICCs should be responsible for the DDIR process.

235 Appendix D – Case Studies Page - 116 - Work�low The key IITF workflow recommendations were to streamline the permitting process, evaluate the Right of Way and contracting processes, and simplify the design process. Also, how to track materials and other items was an issue that needed to be addressed. A single VTrans staff member was responsible for the maintenance of record drawings and plans. This was very helpful to VTrans personnel and contractors who required the items for design projects. CONTRACT ADMINISTRATION AND DOCUMENTATION Emergency Documentation During emergencies Contract Administration is inseparable from financial operations, the business offices and IT. When an emergency occurs, emergency documentation should be ready for distribution and implementation and should be similar to daily documentation procedures except that it will skip certain steps such as required signatures. Waivers and blanket approval procedures and an “Emergency Waiver” process for emergency response providers were also recommended. Key decisions involved in documentation procedures include whether MATS and STARS are an agency-wide or solely operations applications. MATS is the VTrans Maintenance Activity Tracking System (MATS) which started as an activity tracking system but is now used to track personnel and equipment usage by project. STARS is VTrans’ transportation accounting and reporting system. Agency- wide applications would require broad training of agency staff. Also, whether payments should be centralized or localized needs to be determined. Contractor Registration Database and Payment Process Additional recommendations were the creation of a contractor registration database to facilitate contractor and contract documentation processing and tracking program (dashboard, electronic timeline, user-friendly and electronic contract components, online submission, etc.) and the standardization of the contractor payment process to ensure prompt payments. Emergency Administrative Packets Emergency Administrative Packets, which are available electronically for use by Incident Command Center/Unified Command (ICC/UC) Administrative Teams, will provide information on the invoicing process, the contracting process, the DDIR requirements, the levels of emergency, safety protocols, and the different funding sources for emergency repair work. A similar emergency packet for use by contractors is advised by IITF. VTrans in coordination with its FHWA Division Office has created a draft content outline which includes the following: ICC Organization Charts Meals – Competitive Quote Template Meals – Employee/Meal Tracking Template

236 Appendix D – Case Studies Page - 117 - Meals – Food/Vendor Tracking Template & Sample Hotel Tracking Template Resource Tracking Template Call Log Template (not yet included) Notice to Proceed Template Contractor Assignment Tracking Template Materials Tracking Template Equipment Inventory Template Worker Sign In/Out Template Delegations of Authority o Appointment of Authorized Agency o Payment Delegations Also included are recommendations on contractor and vendor payment, purchasing card procedures, change log, and an emergency contractor packet. The packet includes the following: Contractor Summary Contact Information Daily Work Slip Invoice Insurance Requirements W-9 Form Civil Rights & Labor Compliance Information about the following emergency waivers are included: WorkZone Access and Travel Agency of Administration Mid-Tour Meals Single Purchase Threshold Blanket Notice to Proceed and Progress Payments Contract Approval Cap Railroad Steel STARS – Project Accounting Financial System Department of Human Resources Increase to Comp Time Cap Restoring Leave Lost During Deployment

237 Appendix D – Case Studies Page - 118 - Delaying Performance Evaluations During Deployment FHWA National Guard – FHWA ER Manual vs. 2 CFR 225 Meal Reimbursement Cap During Deployment Retainer Contract Amendments LOCAL PUBLIC AGENCIES VTrans’ FHWA ER/FEMA PA representatives coordinate with LPAs and provide extensive assistance for the FEMA PA and FHWA ER programs. VTrans assists LPAs in the preparation of documentation. LPAs now submit their FEMA PA applications to DEMHS and their FHWA ER applications to VTrans’ Technical Services Section of the Operations Division. VTrans reviews their FHWA ER submissions and documentation, rejects ineligible submittals, approves eligible items, and then processes payments. VTrans helps LPAs through the NEPA process and assists them with appeals to both FEMA and FHWA. VTrans advises LPAs on file/documentation management in case of audits. Also, VTrans performs closeout inspections with LPAs for all FEMA PA projects and all FHWA ER projects. VTrans has organized and held numerous workshops and sessions associated with the FEMA PA (in conjunction with the Vermont Division of Emergency Management and Homeland Security) and FHWA ER programs. Documentation Issues: Some LPAs have difficulty properly identifying and documenting costs by site. For instance, many hire contractors to haul gravel to several FEMA PA- or FHWA-FHWA ER-eligible sites and then pay a single invoice for the total amount of the work while FEMA and FHWA require a breakdown of costs by site. Therefore, VTrans continually reminds LPAs to properly document costs by site. VTrans has also observed differences between what FEMA will fund based on an LPA’s adopted codes and standards and what Vermont’s Agency of Natural Resources requires as part of a Stream Alteration Permit. With the adoption of the new Statewide General Permit for stream alterations, this issue may have been resolved; however, the new permit has not yet been tested in a FEMA PA declaration. VTrans provides a document highlighting contracting procedures and the key requirements needed for LPAs to undertake construction projects. The document includes information about the “Plans, Specifications and Estimate” package required before federal construction funds can be authorized for permanent repairs, environmental permitting, and a National Environmental Policy Act (NEPA) document for permanent repairs. VTrans advises LPAs to use consultants familiar with Federal-aid requirements for developing transportation projects and that consultants understand VTrans’ Standard Specifications for Construction. VTrans also recommends that LPAs require consultants to certify that plans, calculations and notes do not contain errors and omissions and conform to standards and specifications. One LPA inadvertently inserted the Buy America and Davis-Bacon clauses into a contract for a FEMA PA project; because these clauses apply to FHWA but not FEMA, FEMA did not reimburse the LPA for the additional costs due to the inclusion of the clauses.

238 Appendix D – Case Studies Page - 119 - (Emergency repairs undertaken within the first 180 days of the disaster are covered for review under NEPA on a statewide basis. All permanent repairs and emergency repairs completed after 180 days of the disaster require an individual assessment under NEPA, but will most likely result in a Categorical Exclusion.) VTrans informs LPAs that all regular federal contracting requirements must be adhered to, even during emergency situations. VTrans informs the LPAs about the documents that must be incorporated into a construction contract. They include: Contractors EEO Certification Form CA-109 Debarment & Non-Collusion Affidavit CA-91 Required Contract Provisions for Federal-Aid Construction, FHWA Form 1273 Standard Federal EEO Specifications (Executive Order 11246) CA-26 Certification of Federal-aid Contracts CA-163 Vermont Minimum Labor & Truck Rates CA-101 Disadvantaged Business Enterprise (DBE) Policy Contract Requirements CA-110 FHWA Form 1273 including the requirement for a poster package which advises workers of their rights. VTrans provides helpful letters, forms and checklists to LPAs including an FHWA ER submittal checklist and construction checklist (see Appendix H). NARRATIVE OF COST ALLOCATION PLAN (NCAP) FOR FHWA ER ADMINISTRATIVE COST RECOVERY During the Irene recovery process, VTrans proposed to its FHWA Division Office the use of NCAP to recover administrative and indirect/shared costs as a more efficient and transparent way (compared to the use of the indirect cost rate) to capture FHWA ER-eligible costs. Administrative costs for the FHWA ER program for Irene incurred by VTrans amounted to $8.9 million ($8.7 million were recovered by using FHWA funds and $0.2 million were covered by state funds). This amount was recovered using the NCAP method. NCAP may be useful for small states such as Vermont which wish to recover administrative and indirect costs. These are costs in the VTrans accounting system but cannot be attributed to a single project. One general expenditure account was used for the NCAP procedure for Irene. The cost items included lodging and travel, office supplies and other materials, and work efforts that pertain to FHWA ER administration. Allocation to FHWA ER projects took place by proportional allocation of the costs on a quarterly basis. For projects that were determined to be ineligible, the allocated costs were removed. NCAP allows the state DOT to provide written evidence that costs have been properly allocated.

239 Appendix D – Case Studies Page - 120 - Effort was initially required to remove ineligible costs and also separate out indirect costs from direct costs. Costs of some shared services (e.g., IT services, utilities, facility costs) were not included as eligible costs due to the additional time it would have taken to separate out the FHWA ER event costs. These steps sped up the process and state certification. VTrans’ Internal Auditors created a testing protocol which reviews a sampling of each cost area (cost pool) so that all individual transactions do not have to be reviewed. Certification of all reviewed cost pools were then provided to FHWA. VTrans used quarterly allocations versus monthly allocations for FHWA ER reimbursements to LPA sponsors. A key benefit of quarterly allocations was that it provided VTrans with time to complete cost verifications and identify source documents. FHWA Division Office also supports quarterly allocations. FHWA Division Office found the information in the cost pool easy to understand and could examine detailed files for the event in one location and obtain object class and transaction detail as well as vendor information. Also, the Division Office noted that it was able to identify trends in eligibility and ineligibility through queries and data sorts. VTrans decided to close out the special account five quarters after the disaster because practically all costs had been captured and included in reimbursement requests (DDIRs, PWs) by that time. One issue that arose was the shared food expenses. VTrans wished to be reimbursed for eligible food expenses which were purchased for multiple personnel. The FHWA Division Office asked for justification as to why food needed to be provided. VTrans’ justification focused on the geography of the state which made it difficult for individuals to access food establishments especially during a disaster. Another issue was the Division Office’s concern that some employees may have claimed meal expenses individually as well with the expenses being charged to the event. VTrans’ finance unit determined and verified that personnel provided meals did not also submit individual expense reports. VTrans is considering using the NCAP method for future FHWA ER events. The FHWA Division Office recommends that this method be considered by other small states as well. The example of the cost allocation procedure in FIGURE D - 53 shows how $1 million of indirect costs were allocated among four different cost categories. Audit and Review Procedures – Payroll and Employee Expenses The audit of payroll and employee expenses was performed to ascertain that payroll expenses as they appeared on timesheets and reimbursement forms applied to Irene recovery efforts, reflected the signature of the employee claimant, and the signature of the approval authority; and that hours and expenses are reasonable and in compliance with VTrans policy and procedures. For the audit, the VTrans Financial Operations and Audit Section Supervisor meet to discuss the methodology used to document the charges and that the charges pertained to Irene recovery efforts. The auditor confirms that appropriate steps were taken to implement the methodology. The auditor reviews official payroll and

240 Appendix D – Case Studies Page - 121 - reimbursement policy and procedures, and reports reflecting documentation details such as employee ID#, grade, and work station, and the payroll expenses. Audit and Review Procedures – Indirect Costs VTrans internal auditors used the procedures for the review of Indirect Costs contained in CFR Title 2 Part 225 (“Cost Principles for State, Local, and Indian Tribal governments (OMB Circular A-87)”), and the accompanying Appendices A through E. The objective of the review was to determine whether non- payroll recovery costs were appropriate for inclusion as per federal regulations and adequately documented. A valid statistical sample was selected. Reviewed items included vendor/provider name, date, and products or services provided. REFERENCES Irene Innovation Task Force Report, Vermont Agency of Transportation (VTrans), Montpelier, VT, March 2012 [Online]. Available: http://www.acrpc.info/EM/VTrans_IreneInnovationTaskTeam_201203.pdf “State Support Function (SSF) Annex 1: Transportation (SSF-1 Annex),” State of Vermont Emergency Operations Plan, Vermont Division of Emergency Management and Homeland Security (DEMHS), Department of Public Safety, State of Vermont, Waterbury, VT, 2013. “State Support Function (SSF) Annex 3: Public Works and Engineering (SSF-3 Annex),” State of Vermont Emergency Operations Plan, Vermont Division of Emergency Management and Homeland Security (DEMHS), Department of Public Safety, State of Vermont, Waterbury, VT, 2013. US National Archives and Records Administration, Code of Federal Regulations, Title 2 “Grants and Agreements”, Part 225 “Cost Principles for State, Local, and Indian Tribal governments (OMB Circular A- 87)”. VTrans Factbook, Vermont Agency of Transportation (VTrans), Montpelier, VT, 2012, [Online]. Available: http://vtransplanning.vermont.gov/sites/aot_policy/files/documents/planning/2012VTransFactbook.pdf

241 Appendix D – Case Studies Page - 122 - FIGURE D - 53: Allocation of $1 million of indirect costs among four different cost categories. Courtesy: VTrans.

242 Appendix D – Case Studies Page - 123 - Wisconsin DOT (WisDOT) Case Study BACKGROUND Wisconsin’s primary hazards are 1) flooding and heavy rains and 2) blizzards. The latest disaster in which WisDOT participated was DR-4141: Severe Storms, Flooding, and Mudslides. The incident period was from June 20 through June 28, 2013. Details about this disaster are provided in this case study. WisDOT employs 1,450 workers in five (5) regions and has eight (8) regional offices. WisDOT maintains 11,773 miles of highways and 4,900 bridges (structure spanning 20 feet or more.) WisDOT has a FEMA PA coordinator and an FHWA ER coordinator within the Main Office. They manage the necessary coordination process for the two programs in conjunction with the regional maintenance staff and are responsible for the organization, review, and documentation of disaster-related costs on a site-by-site basis. WisDOT administers the FHWA ER program on behalf of FHWA according to its stewardship agreement with FHWA. WisDOT reviews and approves DDIRs on behalf of FHWA, and has access to the FHWA FMIS. Because WisDOT contracts out all of its non-let emergency highway and bridge work to its 72 counties (as well as regular maintenance work), the effort it needs to spend on documentation and other aspects of project worksheets for the FEMA PA program is lessened for straightforward projects. At the same time, because Wisconsin Emergency Management (WEM) does not have highway engineers, WisDOT assists them in formulating complex projects. At times, WisDOT acts as an advocate for both the counties and WEM in order to address eligibility, cost estimation and other issues. For some emergency highway and bridge work, the work will be let and selected contractors other than counties will be used. Three sections of Wisconsin statutes contain the framework on state highway maintenance. Each year there is a Routine Management Agreement which gives each county a state highway maintenance budget. Wisconsin has had a total of 45 Presidential declarations including 37 major disaster declarations, seven emergency declarations, and one fire declaration. WisDOT is responsible for 11,773 miles of highway. Wisconsin’s local public agencies are responsible for 103,000 miles. There are a total of 13,700 local and state bridges in the state. ROLES AND RESPONSIBILITIES WisDOT has an FHWA ER coordinator and a FEMA PA coordinator; both are located in WisDOT’s main office. Regional maintenance staff work closely with the counties and act as the FHWA ER and FEMA PA coordinators. They collect costs and supporting documentation.

243 Appendix D – Case Studies Page - 124 - Bureau of Highway Maintenance (BHM) (a.k.a. Central Office) programming/budgeting staff establish special project IDs to collect and separate costs – either as emergency repairs or permanent restoration BHM engineers review costs/documentation and make determinations on eligibility as needed. They develop spreadsheets to keep track of costs according to the special project IDs that were established for the disaster For FHWA ER, Programming staff establish Federal project IDs for each county and for permanent/emergency repair to encumber Federal FHWA ER funds. For FHWA ER, Finance/Accounting staff perform journal vouchers to transfer costs out of established BHM special project IDs and into the Federal project IDs. For Public Assistance (FEMA PA), project worksheets (PWs) are developed by FEMA and submitted to the State EMA. Each PW has a corresponding Bureau of Highway Maintenance project ID associated with it. For FEMA PA, the State EMA does an electronic transfer to WisDOT for the entire amount of all PWs. Finance/Accounting staff then perform journal vouchers to transfer eligible costs out of established BHM special project IDs in the amount of the electronic transfer. The spreadsheet mentioned in (c) is used for this purpose. The latest disaster in which WisDOT participated was DR-4141 severe storms, flooding, and mudslides from June 20 through June 28, 2013. Preliminary Damage Assessments (PDAs) were conducted from July 15 through July 26, 2013. On August 1, 2013, the Governor requested a Presidential declaration for 11 counties, one tribe and hazard mitigation assistance. Presidential declaration DR-4141 was issued for eight of the counties on August 8, 2013 (see FIGURE D - 54). The FHWA ER program was not used for this disaster. The total Public Assistance (FEMA PA) cost estimate for repairs to roads and bridges and debris removal was $9,290,021. The statewide per capita impact indicator of $1.37 needs to be met for the state to receive FEMA PA funds and assistance. The actual per capita impact was $1.63. Also, the per capita impact indicator of $3.45 for each county needs to be met, and it was by the following counties: Countywide per capita impact: Ashland County ($7.63), Bayfield County ($78.49), Crawford County ($85.39), Dane County ($0.29), Grant County ($69.85), Iowa County ($28.77), Richland County ($13.43), Rock County ($0.75), Sauk County ($0.35), St. Croix County ($9.55), and Vernon County ($17.73) (Source: FEMA Website).

244 Appendix D – Case Studies Page - 125 - FIGURE D - 54: Map of Wisconsin Disaster Declaration DR-4141. Courtesy: WisDOT. FEMA PA PROGRAM WisDOT serves as an informal advocate for local governments in Wisconsin. Because WEM does not have highway engineers, WisDOT is used in an advisory capacity with regards to establishing and/or verifying reasonable costs for roadway repairs. WisDOT and county highway departments also provide assistance to cities. After an event, WEM completes the PWs together with a FEMA representative. A WisDOT representative may or may not be present depending on the complexity and/or number of PWs. For example, straightforward work such as debris removal documentation or emergency protective measures typically require only record retrieval and review. In these cases, WisDOT is not

245 Appendix D – Case Studies Page - 126 - likely to be needed. For major road repairs, however, WisDOT is likely to review and sign-off on the PW documentation prepared by FEMA unless WEM feels confident that the eligible portion of the repair costs is appropriately reported. PROJECT CODING When a disaster such as DR-4141 occurs, WisDOT assigns a unique project ID number for each county so all costs, labor, materials, and equipment may be tracked. The regional offices inform the county highway departments of this number and, after every disaster or potential disaster, remind them to use it for all costs related to the particular disaster. The format for the code is 00XX-YP-ZZ, where: XX is the county number (01-72) Y is the last digit of the calendar year when the work takes place P is the discretionary project code ZZ is the number code for the type of work (temporary or permanent repairs) DAMAGE ASSESSMENT After a disaster occurs, an initial damage assessment is performed at the earliest possible opportunity. If it is a tornado, the initial assessment will likely be performed the next day. However, if it is a flooding situation as it was for DR-4141, the disaster assessment team may not be able to perform the initial assessment for some sites until the flooding ends. The initial damage assessments are performed by local governments working in conjunction with their county emergency management directors and the WEM. The directors report their cost estimates to their regional emergency management directors who, in turn, report the overall region costs to WEM. WisDOT may also assess its damages by contacting its regional offices and reporting estimated costs directly to the state EMA. For DR-4141, the Governor toured the hardest hit areas by National Guard helicopter. FEMA does not visit every damage site but only the sites with major damages that are likely to verify that the per capita dollar threshold has been met or exceeded. After the initial assessment, the State EMA determines if there are enough costs to request that FEMA send inspectors to perform a preliminary damage assessment (PDA). PDAs are typically performed jointly by WisDOT, WEM, and FEMA. WisDOT may not always accompany FEMA inspectors on the PDAs depending on the type and amount of damage. PDAs typically take a few days; however, they can take longer depending on the number of counties involved and the nature of the disaster. For instance, assessing tornado damages can typically occur the following day. However, for snowstorms or flooding situations, WisDOT must wait until the event has ended before performing the assessment. Also, availability of FEMA personnel can be a constraint. If only a few FEMA personnel are available but many counties are affected, the

246 Appendix D – Case Studies Page - 127 - PDAs will take longer to accomplish. If WisDOT itself faces personnel challenges during a disaster, it will ask county highway department staff to work with FEMA and WEM and do the PDAs on its behalf. Information from the PDAs is used to request a Presidential declaration. Once the declaration has been issued, the FEMA PA program can be initiated. FEMA and the State EMA then conduct an applicants’ briefing, which involves a number of stakeholders including WisDOT, counties, townships and cities. Subsequently, a kickoff meeting is scheduled with each subgrantee. At these meetings which are very informative, WisDOT, FEMA, and WEM participate, and any questions the subgrantees may have about the process are answered. Typically WisDOT requests that they be last in the processing of the FEMA PA applications in order to allow faster processing and reimbursements for the other subgrantees. In addition, WisDOT is also focused upon assisting LPAs with their documentation and assessment activities during the initial stages after the disaster so it does not have enough staff and/or time to assemble its own cost documentation. DISASTER ASSESSMENT TEAMS Once a county is eligible based on its inclusion in the Presidential Declaration, FEMA along with the State EMA and the counties will visit subgrantee sites in order to determine the specific damages and prepare cost estimates for the needed work or debris removal. When necessary, WisDOT will also participate in the site inspections. Disaster assessment teams are comprised of two individuals - a region maintenance staff from WisDOT or county highway department staff and a FEMA inspector. The same teams are used for both FEMA and FHWA sites. For FHWA sites, a Bureau of Highway Maintenance (central office) staff engineer also joins the team. For this particular disaster, WisDOT did not accompany FEMA to complete the PWs. The subgrantees and state EMA could have used WisDOT’s services if needed (e.g., if there were issues with FEMA’s eligibility decisions). However, no situation arose requiring WisDOT’s intervention. FEMA DOCUMENTATION For WisDOT, most FEMA PA reimbursements are for small projects that address debris clearance, emergency protective measures (pumping, sandbagging, traffic control, etc.), snowplowing and salt use. PWs are required for each disaster site. In some cases multiple sites that are close in proximity or similar in some way may be grouped together; for these cases when projects are combined, only one PW is required for them, increasing the efficiency of the process. Also, for debris removal from a roadway only one PW is typically required as per the example provided below. The PW will cover the entire subgrantee’s jurisdiction, e.g., al l town roads, all county roads, etc. FEMA typically asks its inspectors to complete the PWs as soon as possible; PWs may be completed on site using laptops, in the field office, the subgrantee’s office, or the inspector’s hotel room.

247 Appendix D – Case Studies Page - 128 - PW Example for DR-4141 Wisconsin DOT provided a sample PW subgrantee application for Debris Removal work performed from June 25 through July 30, 2013 (see FIGURE D - 55 to FIGURE D - 57). This PW claim amount was for a total of $35,124.86 (see TABLE D - 5). This emergency work was contracted out to one of its counties, Iowa County Highway Department. The PW subgrantee application for DR-4141 was completed by FEMA and approved by WisDOT’s roadway maintenance engineer and contains the damage description, scope of work, and project cost and supporting information. The description section notes that “high winds toppled trees and scattered woody debris on state roadways throughout the county that caused an immediate threat to public safety and prevented emergency vehicles from responding to the emergency.” The location is identified by latitude and longitude and maps of the sites are included in the documentation. The supporting cost information shows Iowa County Highway Department’s daily cost totals and cost breakdown by activity. The debris removal load counts by dump site were also included. In addition, detailed statements of expenditures for each day of the work period are included in the PW documentation. The statements list each employee, the hourly rate, totals, and activity breakdown; and each piece of equipment and equipment class, the hourly rate, totals, and activity breakdown. Indirect costs are also included in the statements as a percentage of labor.

248 Appendix D – Case Studies Page - 129 - FIGURE D - 55: Sample Project Worksheet Subgrantee Application. Courtesy: WisDOT.

249 Appendix D – Case Studies Page - 130 - FIGURE D - 56: (cont.) Sample Project Worksheet Subgrantee Application. Courtesy: WisDOT.

250 Appendix D – Case Studies Page - 131 - FIGURE D - 57: (cont.) Sample Project Worksheet Subgrantee Application. Courtesy: WisDOT.

251 Appendix D – Case Studies Page - 132 - TABLE D - 5: Total Cost for Sample Project Worksheet Subgrantee Application. Courtesy: WisDOT. THE FEMA PA REIMBURSEMENT PROCESS The state EMA performs project closeouts when necessary. The FEMA PA program reimbursement process involves billing the state EMA and receiving reimbursements via interagency wire transfer. WisDOT receives invoices from its counties, which act as contractors for both emergency and permanent repair work. In the past, FEMA did not accept these invoices, and WisDOT needed to input the data into a different spreadsheets. However, FEMA now accepts them in their current electronic (PDF) format. The invoices contain labor, equipment and materials cost information. Due to the close working relationship WisDOT has with FEMA and WEM no PW has been denied by FEMA. If there are issues, WisDOT will be alerted to them and will work towards addressing them. Most of the issues have been with documentation. In general, cost estimates provided in the PWs have been within an acceptable range and changes have not had to be made. Also, there have been no issues with the project validation process. FEMA reviews the paperwork and then validates the project. Only the FEMA PA program was used for the June, 2013 disaster. WisDOT noted that they have not been audited by FEMA.

252 Appendix D – Case Studies Page - 133 - DOCUMENTATION RETENTION Documentation is retained for a minimum of five (5) years. In the past, documentation was in paper format but WisDOT has transitioned to electronic storage methods. All documentation is now being stored electronically in PDF format enabling WisDOT to store the documentation indefinitely. REIMBURSEMENTS FEMA reimburses WisDOT for 75% of its expenses while WEM reimburses WisDOT for another 12.5%. WisDOT will use their own funds to pay for the remaining 12.5% of the expenses. Therefore, in essence, 87.5% of WisDOT’s expenses are covered by external sources. WisDOT does not have a minimum reimbursement per site threshold that is different from the program thresholds. In addition, WisDOT does not ask for reimbursement of indirect costs. POSITIVE EXPERIENCES WITH FEMA Reimbursements are typically processed by FEMA within a few months of submission of all documentation. As long as proper documentation has been provided, problems have not arisen. WisDOT has seen positive changes over the past few disasters as many challenges experienced in the past have been resolved. Positive improvements include the following: FEMA has been more cordial in working with WisDOT in terms of documentation requests. There has been increased consistency in applying the rules. For example, after continued communications with FEMA on the equipment rates established between WisDOT and county highway departments for contractual maintenance activities, the rates have now been accepted by FEMA and no further issues have occurred. FEMA generally covers the town and county claims when roads are damaged by flooding so WisDOT’s Disaster Damage Aids program does not need to be utilized. FEMA is moving towards increased use of electronic documentation – this is welcomed by WisDOT. Also, WEM is piloting an electronic documentation system. FHWA ER Program WisDOT administers the FHWA ER program on behalf of FHWA according to its stewardship agreement with FHWA. WisDOT reviews and approves DDIRs in conjunction with FHWA, and has access to the FHWA FMIS. When the FHWA ER program has been used, the federal FHWA portion is 90% for Interstates and 80% for non-Interstates on permanent restoration projects, and 100% for emergency repair projects on eligible Federal-aid highways.

253 Appendix D – Case Studies Page - 134 - WisDOT has developed a Checklist which helps determine whether a project is FHWA ER eligible. Damages are categorized into Minor, Moderate and Severe and informative examples are provided, along with whether or not the damages would be eligible under the FHWA ER program. Minor damages – minor shoulder washouts/debris removal, some reditching needed (Heavy Maintenance – not FHWA ER eligible) Moderate damages – significant shoulder washouts/debris removal, some pavement undermining (Road may or may not be passable – likely FHWA ER eligible) Severe damages – major loss of shoulders, pavement, and/or road core (Road impassable – FHWA ER Eligible) Debris removal – The Checklist notes that debris removal is eligible under the FEMA PA program. The checklist also differentiates emergency from permanent repairs by using the following definitions: Emergency repairs are defined in the Checklist as repairs necessary to get the road open to traffic. Permanent repairs are defined as repairs needed after the road is open to traffic. WISDOT DISASTER DAMAGE AIDS WisDOT administers a Disaster Damage Aids (DDAs) program that serves local jurisdictions and not WisDOT itself. The program was originally intended for damages caused by flooding but on July 1, 2013, the Wisconsin Legislature approved the FY14-15 state budget that included a change to the statute to cover damages from other natural disasters as well. As stated in the Wisconsin State Statute 86.34, “when any highway is damaged by a disaster, the county highway committee, or the governing body of the municipality having jurisdiction over the maintenance of the highway, may adopt a petition for aid under this section and file a certified copy of the petition with the department.” The Statute also states that the county or municipality may apply for both state and Federal-aid, and if eligibility for Federal-aid is granted then the state aid would not be granted. $1,000,000 per calendar year is appropriated although the program has required additional monies in the past few years. For repairs of $15,000 or less, cost reimbursement is 75% for replacement and improvement combined. For repairs over $15,000, the program covers 75% for replacement costs and 50% for improvement costs. Typically, if a site is not eligible for the FEMA PA program, the DDA Program would be utilized. Additional information on this program is provided in the Overview of Emergency Highway Aid Programs in Wisconsin table.

254 Appendix D – Case Studies Page - 135 - LOCAL PUBLIC AGENCIES (LPAs) As noted earlier, WisDOT serves as an informal advocate for its local governments in Wisconsin. WisDOT communicates with County highway departments on a daily basis. WisDOT also communicates with municipalities and townships though the interaction occurs once a disaster strikes. Counties also assist its municipalities in assessing damage and providing documentation. The State EMA also provides assistance to counties and municipalities in navigating the FEMA PA process. WisDOT is present when LPAs document their costs. WisDOT expertise is relied upon by both the LPAs and State EMA to ensure that the agreed upon costs are reasonable. WisDOT conducts training for its staff on an as-needed basis on each of the three programs – FEMA PA, FHWA ER and FDA. No training is provided to LPAs. TECHNOLOGIES Advances in technologies have made available a greater number of tools in which may facilitate cost- tracking costs. For instance, snowplows are equipped with GPS and their locations are tracked using a computer program. The software also tracks salt usage along with usage of the snowplow equipment (speed, engine hours, plow down or up, etc.). This is especially useful for blizzards because state DOTs need to select the 48-hour period having incurred the most cost for the FEMA PA program under a Presidential disaster declaration. This technology enables WisDOT to readily identify this period. WisDOT uses electronic signatures to facilitate the processing of needed documents for the reimbursement program and project contracts. Maintenance Management System for Counties - County Highway Expenditure Microcomputer System (CHEMS) Wisconsin DOT’s Highway Maintenance Office and county users developed CHEMS with the assistance of consultant Jon Gray. CHEMS informs users, Wisconsin’s counties, the cost to plow the roads, overtime hours that have been expended, the amount of salt that has been used, and the amount remaining in inventory. CHEMS also alerts users about plows that need routine maintenance. The CHEMS database tracks revenues and costs of county roads, employee information and activity, and provides inventory information. Detailed financial information including vouchers, receipts, and journal entries are also tracked. Data needs to be input only once into CHEMS – for instance, if data is input into Daily records, Work Orders, Equipment Cost Analysis, and Project Summary records are updated. CHEMS adheres to the Uniform Cost Accounting manual requirements and helps counties invoice WisDOT accurately and quickly. With all counties having uniform record keeping and costing system, WisDOT saves administrative costs and time which would have been required to address county invoicing and accounting issues. No aspect of the reimbursement process has ever been outsourced.

255 Appendix D – Case Studies Page - 136 - REFERENCES AND LINKS “CHEMS Support – CHEMS,” County Highway Expenditure Microcomputer System, Last Modified July 31, 2014, [Online]. Available: http://graytech.info/cs/content/Support.aspx “Disaster Damage Aids,” Wisconsin Department of Transportation, Madison, WI, Last Modified October 10, 2013, [Online]. Available: http://www.dot.wisconsin.gov/localgov/highways/flood.htm State of Wisconsin, Wisconsin Statutes & Annotations, Chapter 86 “Miscellaneous Highway Provisions”, Statute 86.34 “Disaster Damage Aids”.

256 Appendix D – Case Studies Page - 137 - Arizona Division Of Emergency Management (ADEM) Case Study Arizona Division of Emergency Management (ADEM) is the Arizona EMA. The agency supports Arizona DOT and Arizona’s counties, cities, and tribes in the FEMA PA application process. ADEM administers the FEMA PA program on behalf of FEMA; ADEM also administers the Governor’s emergency fund of $4 million. The emergency fund may be used for cost share purposes for the FEMA PA program. ADEM completes the FEMA PA application including PWs on behalf of ADOT and LPAs based on information provided by the applicants and subgrantees. ADEM plays a significant role in approving and denying reimbursements. Recommendations issued by ADEM to FEMA are usually followed. If the subgrantee disagrees with the decision, the subgrantee may submit an appeal of the decision to FEMA. There is typically only one issue causing delays in reimbursement - lack of responsiveness to a request for documentation by an applicant / subgrantee. Reimbursements are received by ADEM from FEMA and are disbursed to ADOT by wire transfer. DOCUMENTATION ADEM requests the following information from ADOT for all projects: Damage description – What was damaged, location, etc. Scope of Work – To restore or repair, what has been done already, what still remains Cost Estimate – LEMO: Labor, Equipment, Materials, Other, where “Other” may include rental equipment or contracted work. Photographs and Videographs – Visual documentation, especially if ADEM is not able to visit the site before the repair begins. The information may be delivered to ADEM by mail or via electronic submittals. There have been few issues with receiving the documentation requested from ADOT in a timely manner. However, other applicants including LPAs have had issues, particularly on the development of an appropriate Scope of Work. Some LPAs are not accustomed to the FEMA PA process, or simply have a staff shortage. While cost estimation issues do not occur often, when they do occur, ADEM works with the applicants and subgrantees including ADOT to address the issues. Document Retention Period The documentation retention requirement is three (3) years from the closeout of the claim; the applicant is notified by of the closeout by mail, and the three (3)-year clock starts from receipt of that letter.

257 Appendix D – Case Studies Page - 138 - PRELIMINARY DAMAGE ASSESSMENT (PDA) Prior to a PDA, the ADOT or LPA does a windshield survey. If ADEM, after reviewing the windshield survey results, determines that they may qualify for FEMA PA assistance, then ADEM does a PDA with the LPA or ADOT. If the damage is potentially severe enough to qualify for the Federal FEMA PA program, FEMA will also participate in the PDA. DECLARATION PROCESS A Presidential declaration is required for the FEMA PA process to be initiated. All presidential declaration requests are processed through ADEM. In about 1 out of 10 disasters, the Governor can declare a disaster without conducting a PDA because the damage is very extensive. However, even in these cases a PDA and damage assessments for PWs need to be conducted at a later time. In nine out of ten disasters, a Damage Assessment (an initial damage assessment and a PDA) is conducted before the Governor and President issues a declaration. REIMBURSEMENTS Reimbursements with proper paperwork can be turned around in one two (2)-week disbursement cycle. SITE INSPECTIONS Typically, ADEM does site inspections (final inspections) only when the project has been completed. Complex projects will be inspected at different stages of the construction (mostly for larger projects). AMENDMENTS Amendments to a PW are completed by ADEM when necessary; they are required in the following cases: "Improved" projects – Improved projects are those that are not simply replacement of the facility but contain upgraded elements, or projects in which half of the facility is damaged and the other half is not. For these projects, FEMA will pay for the repair costs of the half that is damaged. Changes in Scope of Work Changes in Cost Environmental/historic preservation issues Appeals

258 Appendix D – Case Studies Page - 139 - AUDITS Arizona State Statutes require audits on all projects, large and small. Documentation required includes timesheets, invoices, and contracts. ADOT provides this requested information in a timely manner. Once ADEM has received the information, it can complete an audit in approximately one month. ADEM notes the importance of document organization and keeping it in one location, whether or not it is stored manually or electronically. If the information and documents are not organized, audits take longer to accomplish. USEFUL TECHNOLOGIES OR PRACTICES ADOT’s technologies and practices are sufficient for the purposes of the FEMA PA program. ADEM is working towards the use of tablets including iPads for field use. However, the interviewee believes that even a low-tech solution (e.g. binders) is effective, if all the required information is kept in one place. LEMO Workbook The LEMO Workbook was designed to be input directly into the PW. It documents only the needed information for the PW. It also allows for much greater ease in working with the Project Specialist in making corrections and modifications. Other systems usually cannot be directly added into the PW. It also facilitates an easier Final Inspection Report and Audit. Helpful advice on documenting Rental Equipment; documenting donated Labor, Equipment, or Materials one person using multiple pieces of equipment or two persons using one piece of equipment; are also contained in the Workbook. The Workbook contains individual worksheets so that data on each site may be input into each worksheet. There is a summary worksheet which automatically generates the totals for multiple sites. An example for one site (Site 1) is shown from TABLE D - 6 to TABLE D - 9. WebEOC ADEM uses WebEOC for incident management purposes and offers ADOT and other agencies in Arizona access to the WebEOC. While it has potential to be useful for the FEMA PA process and for documentation and cost tracking purposes, it is not being used to its fullest potential by many agencies. Furthermore, agencies may prefer to continue using their current systems which may not be compatible with the WebEOC system.

259 Appendix D – Case Studies Page - 140 - TABLE D - 6: LEMO Example, Site 1. Courtesy: ADEM.

260 Appendix D – Case Studies Page - 141 - TABLE D - 7: (cont.) LEMO Example, Site 1. Courtesy: ADEM.

261 Appendix D – Case Studies Page - 142 - TABLE D - 8: (cont.) LEMO Example, Site 1. Courtesy: ADEM.

262 Appendix D – Case Studies Page - 143 - TABLE D - 9: (cont.) LEMO Example, Site 1. Courtesy: ADEM. TRAINING (FOR STATE DOTS AND LOCAL AND TRIBAL AGENCIES) A range of courses are available from ADEM on the FEMA PA process. Some courses cover the entire process while others cover specific elements. Training is free of charge. They can be provided upon request given proper lead time. Some of the training is based on FEMA courses adapted by ADEM for its Arizona applicants and subgrantees. FEMA also offers online Independent Study courses as well as G series courses and E series courses held in Maryland at the Emergency Management Institute.

263 Appendix D – Case Studies Page - 144 - Louisiana Department Of Transportation And Development (DOTD) Case Study Louisiana (LA) is located in the South and is a part of the Gulf Coastal Plain. The state spans about 51,000 square miles and has terrain that ranges from flat to hilly. Fourteen percent of the land area is covered with water in some form. The winters are mild and wet but the summers are extremely hot and humid. The average annual rainfall is higher in the southern and southeastern areas at over 64 inches. The eleven most likely hazards in Louisiana are flooding, hailstorm, hurricane, tornado, ice storm, subsidence, wildfire, storm surge, dam failure, levee failure, and hazmat incident. Hurricanes are characterized by high winds and storm surges as well as inland flooding. In many parts of the state, flooding is a common emergency and a key concern of DOTD. Coastal areas of the state are more affected by storm surges while the northern areas can experience ice storms and flooding caused by melting snow and ice. (State of Louisiana EOP, 2009, and DOTD EOP, 2013) In August, 2005, Hurricane Katrina devastated the coastal areas of Louisiana, causing destruction to numerous communities and the transportation infrastructure. Many lessons were learned at the federal, state, and local levels during the disaster and positive changes were made to streamline emergency planning, response, and recovery. Louisiana Department of Transportation and Development (DOTD) has, under its purview, 16,000 miles of highways that are in the Federal and State Highway System, approximately 8,000 bridge structures, and 120 movable bridges within the state system. DOTD has about 4,000 personnel and is comprised of nine districts. DOTD has three FTEs dedicated to reimbursements. During emergencies, DOTD works with other emergency response agencies and with neighboring states. DOTD has a Stewardship agreement with FHWA to administer the FHWA ER program. The state emergency management agency (EMA) is LA Governor's Office of Homeland Security and Emergency Preparedness (GOHSEP) and is the FEMA grantee. GOHSEP receives and processes the damage assessment reports, and delivers the reimbursement funds to DOTD. DOTD has been reimbursed for $1.5 billion since 2005, primarily for Hurricane Katrina. DOTD has 14 active disasters and emergencies in various stages of the reimbursement process, and has developed effective and efficient reimbursement practices due its experience with disasters and emergencies. DOTD ROLE IN THE STATE EMERGENCY OPERATIONS PLAN Under the 2009 State Emergency Operations Plan, DOTD is assigned as the lead agency for Emergency Support Function (ESF)-1 Transportation and Emergency Support Function (ESF)-3 Public Works and

264 Appendix D – Case Studies Page - 145 - Engineering. ESF-1 involves the coordination of all modes of emergency transportation. Transportation in emergencies consists of the movement of people, household pets, and critical supplies. ESF-3 involves the pre-staging of assets in preparation for contra-flow, damage assessment of state owned roads and facilities, and debris clearance and removal off of roadways and bridges. ESF-3 responsibilities also include the coordination of the maintenance and repair of state flood control works, emergency ice and snow removal, and the coordination of the evaluation and repair of coastal and watershed erosion. In addition, DOTD also provides support to other ESF’s depending on the nature of the emergency and the type of support required. Specifically, DOTD supports the following ESF’s: ESF-2 Communications, ESF-4 Firefighting, ESF-5 Emergency Management, ESF-6 Mass Care, Housing and Human Services, ESF-7 Resource Support, ESF-8 Public Health and Medical Services, ESF-9 Search and Rescue, ESF-10 Oil Spill, Hazardous Materials and Radiological, ESF-11 Agriculture, ESF-13 Public Safety and Security, ESF-14 Community Recovery, Mitigation and Economic Stability, and ESF-15 Emergency Public Information. CONCEPT OF OPERATIONS The Louisiana Emergency Operations Plan (EOP) is based on the premise that “the Emergency Support Functions (ESF) performed by the various agencies and organizations during emergency operations generally parallels their normal day-to-day functions” (page Basic-3, State of Louisiana Emergency Operations Plan, 2009). However, tasks and operations that do not contribute directly to the emergency may be suspended or redirected during emergencies and disasters. The role of the reimbursement and recovery unit in the various stages of the disaster is to identify and keep track of the total amount expended and on the categories of items that have been used. The reimbursement and recovery unit obtains all disaster-related documentation to support the development of FEMA PW’s and FHWA DDIR’s and to validate requests for reimbursements. The reimbursement and recovery unit coordinates all FEMA PW development and prepares and submits all reimbursement requests to FEMA and other agencies. All financial and program records are maintained for a minimum of 3 years after the close of each disaster and are made available for Federal and State audits. General 1. Emergency Operations is coordinated from the DOTD Emergency Operations Center (EOC). Three branches (ESF-1, ESF-3, and Cost Recovery) are located in DOTD EOC at 1212 East Highway Dr., Baton Rouge, LA. The Operations Center has two main branches, each with its own operations and responsibilities. Together these branches serve as components of the DOTD EOC. The main functions of the DOTD EOC are to support ESF-1 and ESF-3 operations and DOTD district offices in the execution of missions. The two branches have implementing procedures that are supplements to the DOTD Operations Plan.

265 Appendix D – Case Studies Page - 146 - 2. Call-up of department personnel is in accordance with prescribed departmental policy. All personnel report to their pre-designated locations unless otherwise directed by their supervisor at the time they are notified of the emergency. Pre-designation of duties and responsibilities facilitates a reduction in response time. DOTD uses an “Emergency Staffing Guide” that depicts all emergency response positions in the Headquarters as well as the District. Personnel are assigned to these positions as an additional duty and the emergency response requirements are added to their normal job description. 3. The DOTD Emergency Operations Plan provides an overview of the responsibilities of DOTD, the Emergency Operations Center, and the Emergency Operations Section. The details of emergency operations for DOTD are covered as supplements, annexes, and attachments. The general response framework is built upon the construct of “centralized planning and decentralized execution.” In simple terms it means that most planning and contracting efforts are initiated and coordinated by the Headquarters, with the majority of response efforts performed by the Districts. 4. Emergency Action Levels are adopted from the State Emergency Operations Plan in order to maintain consistency. a. Level IV – Normal departmental operations are ongoing. DOTD staffing is in accordance with authorized agency manning levels. b. Level III – Events involve a potential or actual threat to the safety and welfare of the people in a threatened areas(s). DOTD’s Emergency Operations personnel monitor the situation and place appropriate personnel on standby or alert. c. Level II – Events are in progress or have occurred which involve an imminent or actual major impact on the safety of the people in a stricken area(s). Depending on the nature of the event, DOTD may activate its EOC along with the appropriate personnel and provide representatives to the State EOC, if requested. d. Level I – Events are in progress which require response activities. DOTD EOC will be at the appropriate staffing level. Five Phases of DOTD Emergency Operations DOTD Emergency Operations are conducted in five phases. The five phases overlap and at times are simultaneous. The steps below describe the general sequence of events. 1. Pre-mobilization Phase. The Pre-mobilization Phase is initiated when emergency response resources are alerted to a possible activation. It is continuous until all resources have started to mobilize. a. The Implementing Procedures for the affected branch in the DOTD EOC will go into effect when DOTD is activated in response to an emergency or disaster. b. Plans and procedures will be reviewed and emergency contact information is verified.

266 Appendix D – Case Studies Page - 147 - c. When an impending emergency or disaster situation is recognized, the need for DOTD support will be analyzed. d. Coordination will be made with public and private partners to ensure operational readiness. e. DOTD personnel may be placed on standby or instructed to report. 2. Mobilization Phase. The Mobilization Phase is initiated when the first resource is moved or staged in preparation for operations and concludes when all resources are staged for or engaged in operations. a. Upon decision by the Unified Command, or upon direction by the DOTD Secretary, contracts and MOUs, and agreements are activated and resources are procured. b. Resources are moved or staged in preparation for operations. Resources include equipment, supplies, or personnel. 3. Operations Phase. The Operations Phase is initiated when the first resource is engaged in meeting mission requirements and concludes when all resources have been disengaged from operations. a. DOTD activates the DOTD EOC where execution of mission assignments will take place, when the State EOC is activated, or the DOTD Secretary instructs the EOC to activate. Support agency representatives report to the DOTD EOC as required. b. Communication is established between the DOTD EOC and field personnel. c. Operations in support of DOTD ESF missions commence. 4. Reconstitution Phase. The Reconstitution Phase is initiated when the first resource is disengaged from operations with the intent of terminating operations. It concludes when all resources have been returned to its origin, deactivated, and prepared for future mobilization. a. Upon completion of assigned missions, the DOTD Emergency Operations Director will direct deactivation of the DOTD EOC following the cessation of all operations and the compilation of all records. 5. Recovery Phase. The Recovery Phase is initiated when procedures are implemented to consolidate and collect information for reimbursement and concludes when reimbursement operations have been completed.

267 Appendix D – Case Studies Page - 148 - ORGANIZATION AND RESPONSIBILITIES During activation DOTD is organized to support the state and local response and coordinate with other state agencies and volunteer groups as needed. DOTD Executive Staff General Staff provides guidance and make policy decisions for DOTD’s response to a disaster or emergency and coordinates the release of Emergency Public Information with the Public Information Officer in the State Emergency Operations Center (EOC). Command Staff makes policy decisions and oversees operations and coordinates actions with other state agencies and adjoining state DOTs as required. DOTD Emergency Operations Center (EOC) The DOTD EOC manages ESF-1 and ESF-3 branches. ESF-1 provides for and coordinates available transportation resources and expertise in an emergency or disaster for assisted transportation, coordinates with the Emergency Operations Director and DOTD ESF-1 Lead at the State EOC, coordinates the use of resources with the Districts, and documents the expenditure of resources. ESF-3 provides for and coordinates public works activities such as contra-flow, debris management, and damage assessment, coordinates with the Emergency Operations Director and DOTD ESF-3 Lead at the State EOC, coordinate the use of resources with the Districts, and documents the expenditure of resources. Call Center provides timely information to the public and to the Executive Staff and the DOTD EOC. Emergency Operations Section The DOTD Emergency Operations Section 1. Maintains Emergency Operations Center for 24-hour response capability 2. Activates and coordinates staffing of the DOTD EOC 3. Coordinates with the bordering states of Mississippi and Texas on contra-flow 4. Maintains a communications capability with the state EOC and with the Districts 5. Develops and executes emergency operations plans 6. Collects and maintains records for cost recovery, and documents the expenditures of resources DOTD Headquarters Staff DOTD Headquarters Staff provides liaison officers to the State EOC, staffs the Louisiana State Police Traffic (LSP) Control Center, staffs the DOTD Emergency Operations Center, and provides personnel to staff Emergency Information Center and Call Center. In addition, a team of senior personnel as a Future Planning Team is provided to the EOC. This team provides the EOC an important capability when large and/or complex operations are either tasked by GOHSEP, the Secretary, or are deemed necessary for mission success. This concept allows the EOC to concentrate on “current operations” while the future

268 Appendix D – Case Studies Page - 149 - planning team undertakes the analysis of a future mission or requirement, and then conducts a deliberate planning process to ensure new plans are fully coordinated and developed. DOTD District Of�ices DOTD maintains 9 district offices to facilitate transportation operations throughout the state. Each district maintains personnel and equipment for routine maintenance and construction on state roadways and is responsible for district, regional, and in some instances statewide disaster operations. DOTD districts coordinate its response and resource management activities closely with DOTD Headquarters and other districts. Recovery crews and additional resources are deployed from unaffected districts to assist with initial disaster response. Districts also coordinate closely with area emergency responders including the regional Louisiana State Police Troop, Parish Emergency Preparedness Offices, Parish Sheriff Offices, City and Township Police and Fire Departments, ambulance companies, utility companies, and local news media including radio stations, television stations, and print media. District Leadership implements guidance and policy decisions from Executive Staff for DOTD’s response to a disaster or emergency, makes policy decisions and supervise operations in the District, coordinates actions with other state agencies and adjoining Departments of Transportation and Development Districts as required, provides staff and personnel for the implementation of DOTD’s ESF-1 and ESF-3 responsibilities, and debris collection/disposal management. In each District the Assistant District Administrator (ADA) for Engineering is the ESF-1 Lead, and the ADA for Operations is the ESF-3 Lead, and documents the expenditures of resources. District Staff is responsible for maintaining and operating 24-hour response capability, implementing emergency protective measures, road and bridge assessments and closures, and emergency debris removal and repairs, developing and maintaining the EOP, providing personnel to VSAs and resources for the implementation of contra-flows. DIRECTION AND CONTROL The Secretary of the Department of Transportation and Development is responsible for overall direction and control of emergency response efforts. The Assistant Secretary of Operations is the Deputy for emergency operations, is the Secretary’s “alter ego,” and represents the Secretary in the Secretary’s absence. The Emergency Operations Director oversees the overall operations of the DOTD EOC and the emergency response effort. Each branch has a supervisor or Lead that manages the branch. The DOTD emergency operations organizational structure is shown in FIGURE D - 58 and FIGURE D - 59.

269 Appendix D – Case Studies Page - 150 - The Louisiana EOP designates DOTD as the primary ESF-1 agency. DOTD’s role and responsibilities are contained in the state’s state EOP ESF-1 and ESF-3 annexes. As the primary ESF-1, DOTD coordinates all ESF-1 activities. These activities ar e conducted and categorized in the following phases: 1. Pre-mobilization or pre-event 2. Mobilization 3. Operations 4. Reconstitution 5. Recovery Major categories of operations that are conducted by DOTD, as the Lead for ESF-1: 1. Evacuation Operations 2. Search and Rescue Operations (in a supporting role) 3. Shelter support operations 4. Re-entry operations 5. Parish/Agency Transportation Support Operations The ESF-1 pre-event procedures involve the following pre-mobilization steps: 1. Prepare for increased activation level. 2. Analyze the potential need for resources. 3. Review plans and procedures. 4. Discuss the potential courses of action. 5. Determine what resources are available. 6. Provide situational awareness. 7. Verify contact information of personnel and resource providers. 8. Coordination with relevant agencies 9. Mobilize ESF-1 response personnel as needed 10. Records the actions during the pre-mobilization for cost accountability, resource utilization, and future corrective actions. More specifically, Incident Command Structure (ICS)

270 Appendix D – Case Studies Page - 151 - series forms and an operational log at the EOC are utilized. State and agency forms and records are completed to capture the details of what actions were taken and what resources were used. FIGURE D - 58: Louisiana DOTD Emergency Organization Chart. Courtesy: DOTD.

271 Appendix D – Case Studies Page - 152 - FIGURE D - 59: Louisiana DOTD Emergency Operations Center Organization. Courtesy: DOTD. Even during this pre-event stage, DOTD prepares itself to manage resources and monitor them. A pre- event inspection of damages and/or deficiencies to vehicles and equipment is conducted particularly for reimbursement purposes. Mobilization occurs when the Unified Command orders a statewide activation and instructs DOTD to activate contracts and MOUs. They include a Coach Bus contract, an Interagency Support Agreement (ISA) with the Department of Education, vehicle staging area MOUs. During the mobilization phase, transportation personnel, resources and equipment are moved to selected locations. Districts are responsible for staffing the locations and providing logistical and administrative support and support staff to coordinate resource procurement. Resource tracking is important during the mobilization process to ensure that adequate transportation resources are provided at each location. The districts establishes ESF-1 Operations and are responsible for documenting the movement of services, personnel, equipment, and other resources including the resources departing from and arriving to staging areas. Demobilization reduces or terminates the resources in use. Documentation of the demobilization of services, personnel, equipment and other resources is required during this stage as well. In the recovery phase, all resources are demobilized. Inventories are conducted to identify resource ownership and to account for returned resources. Vendors are also required to document resources that have been used.

272 Appendix D – Case Studies Page - 153 - As with ESF-1, DOTD is the primary agency and coordinates all ESF-3 activities. The ESF-3 Lead coordinator manages all ESF-3 activities (damage assessment, debris removal and disposal; developing and coordinating response, recovery, and mitigation plans; inventory of public works and engineering assets; and preparedness of the ESF-3 branch. The ESF-3 activities follow the same five phases as for ESF-1. Contracts and MOUs for public works and engineering is activated as necessary once the Unified Command gives the activation order to DOTD. Vehicles and other resources are mobilized and prepared for deployment. The operations phase consists of damage assessment, debris removal, and support for contraflow implementation. It is important to note that DOTD conducts repairs, or make plans to repair, all assets damaged by the event. Contracts with debris removal companies and monitoring companies are activated if storms produce debris on the highways in quantities that exceed a District’s removal capability. Each District has an assigned Debris Manager who monitors the debris removal and disposal process and ensures contract compliance. DOTD developed Debris Management Standard Operating Procedures (2013). The SOP notes that debris such as vehicles and vessels need to be tracked more carefully than regular debris such as trees. Removal of abandoned vehicles are tracked using a form that lists location of the vehicle, description of the vehicle, license plate number and VIN, DOTD removal priority, the entity responsible for its removal, owner and insurance company information, removal date and location, and the name of the person who removed it. A similar form is used for boats and vessels. (Sample forms are provided in the Appendix.) All resource tasks are the responsibility of the DOTD ESF-3 Operations Officer. In the reconstitution phase, the focus is on the return of public works and engineering assets to their pre -event condition and begin preparations for future activations. In this phase, the ESF-3 Operations Officer consolidates records of the operation including cost documentation. These records are provided by every ESF-3 support agency. Participants also document information for the development of After Action Reports. DOTD’s Emergency Operations Director will initiate deactivation once operations has ceased. During the recovery phase, the documentation collection process for reimbursement programs continues. DAMAGE ASSESSMENT Damage assessment is a function under the DOTD Emergency Support Function 3 (ESF-3). Due to limited resources the DOTD plan identifies high priority routes that will be the first to be maintained and kept open when impacted by a natural disaster. 1. Priority Routes – The high priority routes were chosen due to their importance of carrying the greatest number of vehicles in the major North to South and East to West corridors through each District. The high priority routes consist of the state evacuation routes and other identified strategic routes. During snow and ice disasters, the elevated bridges along some of the priority routes are monitored by District personnel and closed when conditions warrant.

273 Appendix D – Case Studies Page - 154 - 2. Other Federal-aid Routes – Once the highest priority routes have been inspected and maintained, the next routes to inspect and maintain in order of priority are the other Federal- aid routes because these are more heavily traveled than the non-Federal-aid routes. These other Federal-aid routes include all roads in the State system except those designated minor collector or local road on the map entitled “2002 Highway Functional Classification.” 3. Remaining Non Federal-aid Routes – Once all the above higher priority routes have been inspected and maintained, the remaining non-Federal-aid routes in the state highway system designated minor collector or local road on the map entitled “2002 Highway Functional Classification,” will be worked in a similar manner. Damage Assessment Teams Damage assessment teams are deployed to document damages and report them on the appropriate form for either the FEMA PA or FHWA ER program. During the assessments, numerous photos of the damages are taken. When the team members return, they enter the information into the DDIR and PW forms, and then enter the items into the Document Management System. The Document Management System is also a reporting system. The data on the system complies with both the FHWA ER and FEMA PA programs. CDs can be produced with needed information for FHWA and FEMA. This system is more efficient than the prior system using paper forms. The forms had to be scanned into computers and the information had to be input into the Document Management System. Because the damage assessment reports drive reimbursements, damage assessment teams comprised of DOTD personnel are trained a minimum once a year. They are provided with special gear and a packet of forms when they are assigned to perform an assessment. The original form may need to be amended at a later time due to hidden damages which are not initially visible. The Team Leader for each team reports their accomplishments to the DOTD Roadway and Minor Bridge Leader or to the Damage Assessment Coordinator on a daily basis. The Team Leader will also include estimated completion dates for the repair. The DIR form is to be completed within a reasonable period after the site assessment. The District Forward Point of Contact Coordinator along with district personnel will ensure that the DIR or PW scope of work matches the actual repair work being performed for each project. Needed changes will be provided by the District Forward Point of Contact Coordinator to the DOTD Roadway or Bridge Team Leader. If necessary, the DOTD Damage Assessment Coordinator works with FHWA and/or FEMA to arrange subsequent site visits by the Damage Assessment Team and coordinate revisions to the original DIR or PW. According to DOTD’s Standard Operating Procedure (SOP) for Damage Assessment Teams, they are assigned to the following categories. The number of personnel on each team are indicated in the parentheses. DOTD Roadway Teams R (4-7) a) Minor bridges b) Roadways

274 Appendix D – Case Studies Page - 155 - DOTD Facilities Team F (1) DOTD Bridge Teams B (4) a) Major bridges b) Movable bridges DOTD Intelligent Transportation System Team ITS (1) There are specialized teams for fixed bridges and moveable bridges. Moveable bridges can be complex due to their use of electrical and hydraulic systems. For moveable bridges, teams require an electrical engineer and a structural engineer; the completion of one DDIR can take 2-3 days. For Federal-aid roads, they typically do the assessments with FHWA engineers. For other roads, LPAs and FEMA personnel may accompany them if they are available. The state EMA is typically not involved in the assessments. After an emergency, it may not be possible to create an optimal team but it is necessary to move ahead with the assessments because the timeliness of the report is as or more important than the makeup of the site team. DOTD has a substitution procedure to ensure continuity of operations in case the primary is not available or incapacitated. Each alternate is identified prior to the start of each hurricane season and placed on the same response level. The responsibilities of the District Forward Point of Contact, Team Leaders, and Team Members are described below: DOTD District Forward Point of Contact – The District Forward Point of Contact shall assess and evaluate the security risk for each site, and contact local authorities to develop an access plan for damage site assessments. DOTD Team Leaders – The Team Leaders will report each team’s accomplishments to the Roadway Team Leader and the Bridge Team Leader who will be responsible for DIR’s, and will be responsible for providing the necessary maps. DOTD Team Members – Responsible for documenting damage to property within highway right of way. Team members will be responsible for their own safety and the safety of fellow team members, and will participate in after action reviews. The district offices will deploy debris clearing crews and safety inspection teams. The teams include bridge inspectors and parish maintenance specialists. Information gathered by the teams is reported to and summarized by the District Forward Point of Contact Coordinator who then forwards this information to the DOTD Roadway and Bridge Team Leaders for dissemination. The organization chart for the damage assessment teams is presented in FIGURE D - 60.

275 Appendix D – Case Studies Page - 156 - FIGURE D - 60: Damage Assessment Team organizational chart. Source: DOTD SOP for Damage Assessment Procedures, 2013, page 5.

276 Appendix D – Case Studies Page - 157 - Damage Assessment Coordinator The DOTD Damage Assessment Coordinator role is important and has the following key responsibilities which need to be fulfilled prior to the Hurricane Season: The Coordinator shall ensure that all team members have completed the training on Damage Cost and Quantity Estimation and DOTD Documentation. The Coordinator sets up a pre-hurricane meeting prior to hurricane season for all damage assessment team members and alternates. Similar meetings may be needed before winter to address snow and ice storms. The Coordinator shall make available to all team members the Hepatitis A/B and Tetanus immunizations. The Coordinator will confirm the email and phone contact information for all team members and distribute this information to the teams. The Coordinator will distribute to all team leaders the following: Guidelines for Reporting Summary of Daily Activities with Standardized Format for Status Reports Standardized and Example DIR Templates Standardized and Example PW Templates Standardized Cost Estimating Information and Unit Prices (agreed upon by FHWA / DOTD annually) The Coordinator will coordinate with the Roadway and Bridge Team Leaders to review and revise SOPs for Damage Assessment Teams at a minimum on an annual basis. The Coordinator will ensure availability of necessary equipment and supplies, and confirm that the equipment is operating properly. The list of equipment and supplies is contained in the Equipment/Supply Checklist updated on a yearly basis. The Coordinator, Roadway Team Leader, Bridge Team Leader and the District Forward Point of Contact will identify, evaluate, and address security risks for each site assessment. Identi�ication and Access Plans Each team member is required to wear a current DOTD badge at all times and have a Damage/Orange Team Vest. Each vehicle is required to have a magnetic “DOTD/FHWA Disaster Assessment Team” Placard on each side of the vehicle. The District Forward Point of Contact is responsible for coordinating an access plan with local authorities. The Coordinator, Roadway Team Leader, and Bridge Team Leader will inform the District Forward Point of Contact at least 12 hours before site assessments.

277 Appendix D – Case Studies Page - 158 - DOCUMENTING DAMAGE FOR REIMBURSEMENT FHWA costs are obligated or authorized by project; DOTD then receives reimbursement through a Direct Billing to FHWA. On average, DOTD receives reimbursement within one (1) - three (3) months from the FHWA ER program. FEMA requires that all documentation is compiled into a reimbursement request package and submitted with a request for reimbursement. GOHSEP has implemented an Express Pay System so that once a request is submitted and a brief review is done by GOHSEP 75% of the eligible amount is reimbursement in 10 – 14 days. GOHSEP later conducts a full review to release the remaining amount of eligible funds. FHWA DIR (Damage Inspection Report) Form The DIR is used to determine eligibility for FHWA funding. Specific information is recorded identifying the location, description of damages, whether work is emergency or permanent and an estimated cost. For a roadway that is under the control of different entities or within different jurisdictions , separate forms need to be completed. TABLE D - 10 provides a general breakdown of the responsibility of each entity. The affected Parish has a breakdown of their own that depicts the different routes that are under their purview/control. Damage Assessment Teams are comprised of DOTD and FHWA personnel who provide information for the development of the DIR’s. The DIR’s are written and approved by DOTD and FHWA. The time required to complete a DDIR varies from site to site and disaster to disaster. TABLE D - 10: DIR Form Scope. Source: “SOP for Damage Assessment Teams Presentation,” provided by Yvonne Murphy, Louisiana DOTD, via personal communication, May 21, 2013.

278 Appendix D – Case Studies Page - 159 - FEMA PW (Project Worksheet) The PW is a scoping and funding document used to develop projects and document location, description and dimensions of the damage, scope of work and estimated project costs. The PW is written by FEMA in coordination with DOTD Emergency Operations-Cost Recovery and District personnel. GOHSEP and FEMA approvals are required. It is very important that personnel understand the content of the scope of work and obligated costs documented in the PW. Any additional work or cost will not be eligible for reimbursement unless a version to the PW is requested and approved by FEMA; also, any betterments need to be included in the scope. Otherwise, DOTD must be prepared to cover the additional costs. DOTD works with FEMA to develop Project Worksheets (PW) to document eligible damages under the FEMA PA program and costs for reimbursement. Compared to the DDIR, a PW requires greater detail identifying the damages and scope of work. The time required to develop a PW varies from site to site and disaster to disaster. DEBRIS OPERATIONS FIGURE D - 61: Debris Operations Task Organization Chart. Source: Richard Swan, DOTD, personal communication.

279 Appendix D – Case Studies Page - 160 - A. Louisiana Department of Transportation and Development 1. Emergency Operations – Headquarters a. Activation of emergency operation centers, plans and procedures, arrangements and agreements; b. Contracts for removal, collection, reduction and disposal of debris will be initiated, identify type of contracts, estimate type and amounts of contractor equipment required to execute the mission; c. The DOTD Emergency Coordinator will report to the State EOC as required by the State EOP. d. Responsible for the overall debris operations on State ROW 2. ESF 3 Operations Officer a. Formulation and coordination of plans, procedures and guidance to ensure efficient execution and implementation of debris operations; b. Training personnel on emergency response and recovery operations and procedures; c. Coordination and agreements with public works and engineering organizations; d. Maintain 24 hour contact information for DOTD and agency coordinators; e. Maintain directory of public works and engineering resources. f. Forecasting debris quantities. g. Pre-hurricane season workshop/exercise. h. Procure and maintain in ready state: 1) Equipment 2) Logistical Supplies 3) Signage and other necessary resources i. Identification and preliminary approval of Debris Management Sites (Temporary Debris Storage and Reduction Sites) j. Maintain communications with potentially impacted districts and DOTD Debris Manager

280 Appendix D – Case Studies Page - 161 - k Coordinate with the Debris Manager to initiate emergency clearing of roadways l. Oversee financial closeout of the debris mission. m. Responsible for compiling debris quantity and status reports of DOTD debris operations, fiscal management and record keeping n. Facilitating coordination and issue resolution with Federal agencies 3. Debris Manager As shown in the Debris Operations Task Organization Chart, the DOTD Debris Manager is embedded in the ESF-3 organization and reports directly to the ESF-3 Operations Officer. a. Direct the assessment of the overall potential for a debris mission including debris modeling, use of site selection checklists, and identification of special considerations; b. Direct the mobilization of necessary equipment, assets, and personnel in response to the level of the debris mission anticipated; c. Post-event debris estimates will be initiated as soon as conditions permit of amount and type of debris and damage assessments; d. Initiate emergency clearing of roadways; e. Define the types and number of personnel required; f. Responsible for tracking missions and assigned personnel and reporting status to the DOTD Emergency Coordinator. g. Responsible for coordinating the identification and preliminary approval of additional Debris Management Sites. h. Responsible for coordination disposal site preparations. i. Damage assessments, debris removal, reduction and disposal, contracting efforts, and overall DOTD debris mission management will continue through recovery, as needed. j. Closely monitor the closeout of debris management sites to ensure contractual and regulatory requirements are met. k. Release public works and engineering assets to their responsible owners and compile an After Action Report on the operation.

281 Appendix D – Case Studies Page - 162 - 4. Districts Debris Coordinator a. Maintains personnel and equipment for routine maintenance and construction on state roadways b. Responsible for DOTD regional disaster operations c. Execute emergency debris clearing, removal, reduction and disposal from state right-of-ways within their respective district d. Responsible for maintaining expenditure records, debris operation status, contracted operations status, and regularly reporting to Debris manager and ESF 3 Coordinator. Debris Site Approval Process The flowchart in FIGURE D - 62 and FIGURE D - 63 depicts the Debris Site Approval Process.

282 Appendix D – Case Studies Page - 163 - FIGURE D - 62: Debris Site Approval Process. Courtesy: DOTD.

283 Appendix D – Case Studies Page - 164 - FIGURE D - 63: (cont.) Debris Site Approval Process. Courtesy: DOTD.

284 Appendix D – Case Studies Page - 165 - Debris Management Procedures a. Temporary Disposal sites (TDS) 1) Selection sites (Applicant) 2) Approval of sites (Local government authority {LGA}, property owner, LA 3) Department of Environmental Quality {LADEQ}, with the State Historic Preservation Office {SHPO} and Federal Emergency Management {FEMA} input) 4) Monitoring of sites (LDEQ, LGA and Applicant) 5) Regulation of sites (LDEQ) 6) Designation and approval of various landfills (LDEQ and FEMA) b. Vegetative Debris 1) Picking up and hauling debris reduction of vegetative debris (Properly registered solid waste transporter, if FEMA reimbursement is sought there are additional FEMA requirements and inspections) 2) Final Disposal of vegetative debris (Applicant) c. Household Waste 1) Haul debris (Properly registered solid waste transporter) 2) Inspect for hazardous waste (LDEQ-Environmental Protection Agency {EPA} 3) Disposal at a Type II (Municipal Solid Waste) Landfill (Applicant) 4) Proper disposal or recycling of household hazardous waste at a permitted facility (Applicant) d. White Goods 1) Pick up and haul debris to a parish transfer facility (Applicant) 2) Operate Processing site (Applicant with LADEQ permits approval) 3) Refrigerant removed by EPA licensed AC technicians (Applicant) 4) White Goods recycled (Applicant)

285 Appendix D – Case Studies Page - 166 - e. Construction and Demolition (C & D) 1) Pick up and haul debris (Properly registered solid waste transporter) 2) Inspect for asbestos or other hazardous waste (Licensed asbestos contractor with LDEQ accreditation, EPA oversight) see: http:www.deq.louisiana.gov/portal/tabid/22 51/Default.aspx 3) Follow proper Louisiana Emissions Standards for Hazardous Air Pollutants (LESHAP) asbestos handling and transport protocols. (Licensed by LA State Licensing Board for Contractors) Asbestos Contract with LDEQ asbestos accreditations, LDEQ, EPA oversight)-see link above. 4) Disposal of asbestos containing waste materials following LESHAP and state Solid Waste disposal requirements (Applicant, licensed asbestos contractor with ELDEZ asbestos accreditation, with LDEQ & EPA oversight) 5) Regulated Asbestos Containing Material (RACM) disposal is at designated Solid Waste permitted and air permits recognized landfill. Burning and grinding are prohibited by LESHAP regulations. Non-RACM C&D may be disposed at a permitted or TDS landfill. 6) Reduce C & D for final disposal at a TDS or permitted landfill. (Applicant) f. Vehicles 1) Tag vehicles and record vehicle identification numbers (VIN) (Louisiana State Police {LSP} and law enforcement agencies) 2) Identify and catalogue vehicle id number (LSP) 3) Identify owner or insurance company (Department of Public Safety {DPS}, Office of Motor Vehicles) 4) Notify owner or insurance company (LSP and Department of Insurance) 5) Inspect for hazardous substances and petroleum products, tow vehicle to TDS storage site (Tow company) 6) Disposal of all hazardous substances and petroleum products (Dismantling and crushing company, w/LDEQ oversight) 7) Recycling of tires rubber (Dismantling and crushing company, w/ LDEQ oversight) 8) Final disposal through scrap metal recovery method as determined by state and local laws (Dismantling and crushing company, LSP, Louisiana Recreational & Used Motor Vehicle commission, LDEQ)

286 Appendix D – Case Studies Page - 167 - g. Vessels 1) Vessels (less than 30’) (State registered vessels) 2) Tag/Inventory vessels (LA Department of Wildlife and Fisheries {LDWF} and law enforcement agencies) 3) Tow to a TDS, if movable (Tow company) 4) Identify vessel. (LDWF) 5) Notify owner or insurance company. (LDWF and Department Of Insurance) 6) Inspect for hazardous substances and petroleum products (Tow company) 7) Disposal of hazardous substances and petroleum products (Dismantling and crushing company, w/LDEQ oversight) 8) Take to storage harbors (Applicant) Vessels (greater than 30’) (USCG registered) 1) Inventory vessel (United States Coast Guard {USCG}, law enforcement agency, LGA) 2) Identify owner or insurance company (USCG) 3) Notify owner or insurance company (USCG) 4) Inspect for hazardous substances and petroleum products (LGA, contractor w/EPA, LDEQ oversight) 5) Disposal of hazardous substances and petroleum products (contractor w/EPA, LDEQ oversight) 6) Inspect of seaworthiness (USCG, contractor) 7) Dismantle or tow to storage harbor (contractor) 8) Monitor public drop off sites (LGA, EPA & LDEQ) 9) Acquire contract for vessels and vehicles (DOTD)

287 Appendix D – Case Studies Page - 168 - OTHER FUNDING SOURCES A Community Development Block Grant (CDBG) from HUD was used a few times to repair disaster- related damages. The funds were administered through the Governor’s Division of Administration, Disaster Recovery Unit l. FEMA Hazard Mitigation Funds (HMGP) have been made available to DOTD following Hurricanes Katrina at 100% Federal share and Gustav at 90% federal and 10% state cost share. The HMGP funds are administered by GOHSEP as the grantee. DOTD has used these funds on infrastructure, hardening of facilities to mitigate future damages and to purchase generators for districts to ensure operational capabilities in the event of power failures. PROJECT CODING Proper coding is essential to track disaster-related activities, projects and costs. Work Breakdown Structure (WBS) numbers are used for daily operations to identify what phase a particular project is in. WBS numbers are also used for disaster-related activities. For project coding, DOTD uses unique numbers for the event, as well as unique numbers for FEMA and FHWA, and for major operations activities. Coding was in place for Hurricane Katrina, but has undergone significant improvements through administrative changes and computer system changes. Costs are assigned, recorded, and tracked using WBS numbers along with statistical internal order (SIO) numbers and activity codes. Disaster or Emergency Operations Examples of WBS numbers created for Emergency Work for Tropical Storm Karen in October 2013 are provided in TABLE D - 11. The creation of WBS numbers differs slightly depending upon the classification of the project as Emergency or Permanent work. Emergency Work – When a disaster has occurred or is imminent, WBS numbers are created so that in-house labor, material and equipment costs can be assigned to an event. WBS numbers can identify, for each project, the district office, whether it is a FEMA or FHWA project, and type of work. Permanent Work – WBS numbers are requested by DOTD district offices for specific disaster- related projects. All worked related to the project must be assigned the WBS number. For disaster-related work WBS numbers must be obtained for all new work and for work needed on existing projects.

288 Appendix D – Case Studies Page - 169 - TABLE D - 11: Emergency Work WBS numbers for Tropical Storm Karen in October 2013. Courtesy: Louisiana DOTD. Statistical internal order numbers are assigned to specific types of work recorded on a timesheet that is being performed under a disaster-related WBS number (see TABLE D - 12). DOTD employees are required to use these codes when completing timesheets for disasters. Since the statistical internal order numbers identify beforehand specific work activities for disasters, it makes the cost tracking process more efficient. The location, equipment, activity, and materials are entered on DOTD Work Orders in the Maintenance Management System. TABLE D - 12: Example Statistical Internal Order Numbers. Courtesy: Louisiana DOTD. Activity codes are assigned to specific types of work identified on a work order that is being performed under a disaster-related to a WBS number. Contraflow, for example, is assigned a specific activity code 630-16 and defined as “acquisition and maintenance of traffic control devices” necessary to support the implementation of the traffic management plan for emergency operations, including contraflow operations. Other examples of activity types include pre-event preparation and logistical support. It is important to note that DOTD uses normal activity codes in the Maintenance Management System.

289 Appendix D – Case Studies Page - 170 - ASSET TRACKING DOTD needs to track vehicle usage, whether organic or provided by a supporting agency/entity or vendor, for operational visibility as well for documentation for cost recovery. In the ESF-1 arena these assets could be a combination of organic assets, school buses from the Department of Education, rental vehicles, or commercial buses from pre-arranged contracts. DOTD has recently refined its asset tracking procedures to its ESF-1 and ESF-3 Operations Plan for emergencies by incorporating lessons learned from Isaac. Assets that require tracking include vehicles that are organic to DOTD and vehicles owned by other agencies and organizations used by DOTD for evacuation purposes. Commercial coach buses and commercial vans provided through an existing contract, and school buses from the Department of Education are the most often used transportation assets. Asset Tracking is important in maintaining situational awareness during disasters and for documentation of resources utilized for reimbursement purposes. DOTD’s Asset Tracking activities include: Maintaining real time information on the operational status of any asset being used during an event. Identifying transportation assets used or controlled by DOTD. Directing the use of transportation assets used or controlled by DOTD. Recording the use of transportation assets used or controlled by DOTD. Reporting the use of transportation assets used or controlled by DOTD. Asset Tracking assists DOTD in being financially responsible by controlling asset costs and facilitating the reimbursement process. It also helps provide the basis for key decisions and priority of asset use. Technologies Enabling Asset Tracking For the ESF-1 requirements DOTD uses a GPS tracking system (web-based) provided by the vendor to locate assets in real-time as well as recording and reporting on the use of the assets. DOTD also provides navigational devices to provide the operators of transportation assets the most direct route to and from locations. ESF-3 uses navigational devices as well for the damage assessment teams. The GPS systems are used by other DOTD staff elements at various locations to report on the use of DOTD controlled assets. A GIS and linear referencing system is used for day-to-day operations but is not yet used for emergencies. The goal is to assist teams in pinpointing the location of damages and provide this system on handheld devices. Recording Procedures and Forms DOTD District personnel record information regarding resources on the appropriate forms (per the ESF implementing procedures) and report it as soon as possible to the ESF-1 or ESF-3 branch within the EOC. The information is then entered into the WebEOC upon which makes it accessible from any location in

290 Appendix D – Case Studies Page - 171 - the field. The information includes assignment rosters, asset tracking information, and task orders along with activation time. Copies of activated service contracts are forwarded to the Reimbursement and Recovery team. The DOTD personnel who track transportation assets are the coordinating staff within the EOC, and in the district headquarters; field liaison officers (LNOs) from the Districts are assigned to various locations to coordinate, record, and report the use of the assets. The Districts provide the VSA staff who are assigned to process assets into service or out of service, stage, and deploy assets. Transportation assets are accounted for by DOTD personnel at any location a transportation asset arrives to, departs from, or stages. The Vehicle Staging Area (VSA) reports the amount of resources used every four hours or if there is a 20% or greater change in available resources. The ESF-1 branch consolidates the data and inputs it into the WebEOC Bus Tracking Board. The data is backed up using an Access database. Current operations are also manually entered on a display board within the ESF-1 EOC to facilitate situational awareness. The ESF-1 EOC also monitors the GPS tracking system provided by an external vendor. The system displays real-time locations and movement of commercial transportation vehicles. The documentation process and responsibility is distributed among several units and many personnel. Ultimately all information is forwarded to the ESF-1 and ESF-3 branches within the DOTD EOCs. Documentation is backed up twice – one in digital format on DOTD servers and another in hard copy format. TABLE D - 13: ESF-3 Task Matrix. Source: “ESF-3 Implementing Procedures: Supplement 6 to State EOP,” DOTD, 2013, pages 1-10 to 1-12

291 Appendix D – Case Studies Page - 172 -

292 Appendix D – Case Studies Page - 173 - EMERGENCY FORMS ESF-1 Forms The forms used for resource management include but are not limited to the following forms: The DOTD Transportation Asset Tracking Form is used to record the movement of transportation assets at the EOC ESF-1 branch, VSA, other VSAs, by all Field Sites and Transfer Points, Field LNOs. VSA EOC Tracker Transportation Asset Tracking Form is used by the EOC VSA Tracker in the ESF-1 branch at the EOC to track quantities and type of VSA resources. Emergency/Disaster Transportation Forms include a Labor and Equipment Worksheet to track bus usage and reimbursement amounts. Also, a pre-event and post-event form is used to identify any damages to the buses. Under the requirements of the ISA DOTD is responsible for submitting payment to the Department of Education for resources used through the agreement. DOTD then prepares and submits a request for reimbursement through the FEMA PA program. Sample forms along with a flowchart of the Asset Tracking workflow are provided for reference in Appendix I in the Synthesis. The following levels of activation are used: 1. Notification: School bus drivers will be notified that they need to be on Standby by a specific time. 2. Standby: Buses are fueled and roadworthy; bus drivers are available by phone and ready to be deployed 3. Deploy: Drivers and buses are instructed to report to a staging area or pick-up location 4. Mission Assignment: Drivers confirm their assigned pick up location and drop off destination 5. Stand Down: Bus and driver is released from activation The ESF-1 Transportation Resource Tracking Form (Individual Check-In) documents transportation assets arriving at a VSA or out of the service of DOTD for reimbursement and the demonstration of contract compliance. The VSA Bus Log is a consolidated list of the buses processed into and out of DOTD service or being staged in a VSA. The VSA Bus Log contains the capability and type of each transportation asset in a VSA. Daily Vehicle Operational Log tracks the movement of transportation assets assigned to a VSA. Every transportation asset is assigned to a VSA unless it has been assigned a specific mission. ESF-3 Forms ESF-3 maintains a digital and hard copy of all DOTD assets assigned being used in the emergency response. Further, all assets in “current operations” are tracked on a manual mission board as well as in each mission reflected in WebEOC, or missions assigned from the DOTD Executive levels. Repairs to

293 Appendix D – Case Studies Page - 174 - organic assets, “systems” and infrastructure are managed through the Maintenance Management System. Situation Report (SITREP) Templates During Hurricane Isaac, DOTD ESF-1 (Transportation) and ESF-3 (Public Works & Engineering) EOC were both fully activated and responded to statewide resource requests and assistance. A new DOTD Situation Report (SITREP) template and process to identify support needs and monitor resource deployments were developed. The SITREPs are provided on a daily basis and are effective in monitoring the wide range of work being performed in the state and in each of the parishes during emergencies. Major or critical issues are recorded as well. This SITREP form summarizes all statewide roadway miles by roadway type, miles closed and miles re- opening. The percentages of roadway miles open are also reported on this form. This information is obtained from each district and reported on this form as well. Additional SITREP forms collect similar information for traffic signals, trees and limbs cut and debris cleared, bridges, personnel, vehicles, heavy equipment, and other transportation assets. APPEALS Most of DOTD’s appeals requests submitted to the FHWA ER program have been approved. DOTD has had a 50% success rate with the FEMA PA appeals process. PROJECT GROUPING DOTD has grouped projects in various ways for both reimbursement programs. DOTD follows the guidance of the sponsoring agency (FHWA or FEMA) when grouping projects. INTERAGENCY SUPPORT AGREEMENT (ISA), CONTRACTS, AND MEMORANDUM OF AGREEMENT There are a multitude of agreements and contracts used in support of emergency operations. Most arrangements and written documents used for coordination between DOTD and other agencies are in some form of agreement (Cooperative Endeavor, Interagency, Intergovernmental) but there are also numerous service contracts (motor coaches, generators, light sets, and multiple basic life support items), and Memorandums of Understanding that are developed to provide or coordinate assistance. An ISA or Interagency Support Agreement between DOTD and DOE for the payment of and use of school buses and drivers facilitates the transportation of citizens during disasters and emergencies. Under the

294 Appendix D – Case Studies Page - 175 - ISA, DOE is responsible for coordinating with and acquiring resources from local school transportation districts. The DOE Representative in ESF-1 branch tracks the school buses that are initially in a Vehicle Staging area until they are processed into service after which they will be tracked by the ESF-1 branch. The After Action Report on Hurricane Isaac revealed a capability gap between the time when the commercial bus contract is activated and the actual time commercial buses arrive in the state. To bridge this gap DOTD entered into an agreement with the Louisiana National Guard to provide drivers for 100 school buses. These drivers will be activated early to give DOTD a transportation capability while awaiting the arrival of the commercial bus fleet. In addition, this Task Force provides a more functional transportation asset during search and rescue events should high wind or high water be prevalent in the rescue area. Training and Resources DOTD provides numerous references and resources through their internal website and emergency operations webpage which is accessible to all DOTD personnel. DOTD conducts damage assessment and Vehicle Staging Area operations training. This training includes asset tracking, documentation, debris management, and emergency operations center operations training. LOCAL PUBLIC AGENCIES (LPAs) In general, LPAs need a great deal of support, especially for the FHWA ER program. DOTD works with local governments to assist them with FHWA ER programs. DOTD is responsible for submitting local governments’ requests for FHWA ER reimbursements to FHWA. GOHSEP provides various emergency training for LPAs and assists them with the FEMA PA reimbursement process. DOTD supports the GOSHEP training teams by sending a staff member to give an hour-long presentation on the FHWA ER program.

295 Appendix D – Case Studies Page - 176 - REFERENCES Department of Transportation and Development (DOTD) Debris Management Standard Operating Procedures (SOP), Emergency Operations, Louisiana Department of Transportation and Development, Baton Rouge, LA, April 2013. Department of Transportation and Development (DOTD) Emergency Operations Plan (EOP), Emergency Operations, Louisiana Department of Transportation and Development, Baton Rouge, LA, May 2013. Department of Transportation and Development (DOTD) Standard Operating Procedures (SOP) for Damage Assessment Procedures (DOTD/FHWA/FEMA), Emergency Operations, Louisiana Department of Transportation and Development, Baton Rouge, LA, May 2013. “ESF-3 Implementing Procedures: Supplement 6 to State EOP,” Louisiana Department of Transportation and Development, Baton Rouge, LA, January 2013. “Annex D: School Bus Operations,” Louisiana Department of Transportation and Development, Baton Rouge, LA, 2013. “Standard Operating Procedures (SOP) for Damage Assessment Teams Presentation,” Provided to Yuko Nakanishi by Yvonne Murphy, Louisiana DOTD, Baton Rouge, LA, May 21, 2013. State of Louisiana Emergency Operations Plan (State of Louisiana EOP), Governor’s Office of Homeland Security and Emergency Preparedness, Baton Rouge, LA, July 2009 [Online]. Available: http://www.gohsep.la.gov/plans/EOP200961509.pdf

296 Appendix D – Case Studies Page - 177 - FIGURE D - 64: Hurricane Isaac, 2012 – Damage to LA 1 – South of Fourchon Road to Grand Isle, Louisiana. Courtesy: Louisiana DOTD.

297 Appendix D – Case Studies Page - 178 - FIGURE D - 65: Hurricane Isaac, 2012 – Debris on LA 39, Braithwaite. Courtesy: Louisiana DOTD.

298 Appendix D – Case Studies Page - 179 - FIGURE D - 66: Hurricane Katrina, 2005 – Damage to I-10 Causeway. Courtesy: Louisiana DOTD.