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

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45 reimbursement programs, having predesignated FHWA ER/ FEMA PA coordinators within the central office/headquarters of the state DOT and FHWA ER/FEMA PA coordinators within district offices is helpful. The central FHWA ER/FEMA PA coordination roles reside in various units or divisions of state DOTs. At Tennessee DOT (TDOT), the Headquarters Mainte- nance Division is responsible for the required documenta- tion and serves as the coordinator of the FEMA PA program. The Program Operations office allocates and obligates the federal funds and assists assessment teams. The Construc- tion Division manages emergency repair contracts and the letting and award process. The Local Programs Office assists municipalities with the execution of contract documents. The Environmental Division prepares necessary environmental documentation and obtains required permits. The Geotech- nical Engineering Section provides needed geotechnical analysis. Lastly, the Finance Division processes financial transactions to ensure that eligible expenditures are charged to the correct project. New York State DOT (NYSDOT), recognizing that dur- ing emergencies personnel from different divisions need to work together to address the expanded mission placed upon the agency, established the Emergency Transporta- tion Operations Program in 2006. The Program coordinates emergency activities through the NYSDOT. The Policy and Planning Bureau contains the FHWA ER Unit and Budget and Emergency Funding, whereas FEMA reimbursements, emergency contracts, and emergency travel are included in Administrative Services. The Engineering Division also man- ages emergency contracts; in addition, the Division includes engineering technical expertise, mitigation projects, haz- ardous materials, air quality/energy emergencies, and criti- cal infrastructure. The Operations Division is responsible for direct response activities, interagency coordination, employee safety, Traffic Management Centers, fleet admin- istration, snow and ice control, and commercial vehicle safety and security. The Information Technology Division is charged with asset tracking and business continuity/disaster recovery; the Delivery Division with resource sharing, inter- regional coordination, and performance measures; and the Legal Services Division with legal support during emer- gencies, mutual aid/shared services, and legislation develop- ment (Emergency Transportation Operations Strategic Plan, NYSDOT 2009). Case example interviews and follow-up communications elic- ited varying experiences with the FHWA Emergency Response and Federal Emergency Management Agency Public Assis- tance programs. As discussed in chapter three, differences in state and local laws and regulations contributed to differences in FHWA ER and FEMA PA program implementations and in state DOT experiences with the programs. In addition, stan- dard authorized processes for FEMA PA program reimburse- ment varied among subgrantees. When a disaster occurs, state DOT resources, including personnel, are maximized. During this highly stressful time, state DOT personnel must also be cognizant of and fulfill their reimbursement-related duties. Therefore, a high-level of pre- paredness is essential. State DOTs’ knowledge of FHWA’s procedures, especially federal-aid requirements, and good working relationships with their Division Offices facilitate their navigation through the FHWA ER program. Although state DOTs generally had less familiarity with FEMA practices, the state DOTs that had developed good working relationships with their state emer- gency management agencies (EMAs) and their FEMA Regions fared better. In addition, alignment of state DOT systems, pro- cesses, and procedures with the requirements of FHWA ER and FEMA PA programs and effective practices in informa- tion management and documentation, asset management, and emergency contracting facilitate reimbursements facilitated navigation through the ER and PA programs. Useful practices that were identified can be categorized into policy, accounting and financial management, documen- tation and information management, asset management, site assessment, training, contracting, and appeals. These prac- tices have been summarized and are presented in Table 16. The headquarter cities of the DOTs that participated as case examples are mapped in Figure 11. In the past several years, from October 1, 2007, through September 1, 2014, these states have experienced 112 presidentially declared major disasters covering the gamut of possible disasters from hurricanes and flooding to wildfires, earthquakes, and a plant explosion. ROLES AND RESPONSIBILITIES The cost recovery function of state DOTs is dispersed through various units and divisions of their organizations. Therefore, to meet the requirements of the FHWA ER and FEMA PA chapter four STATE DEPARTMENTS OF TRANSPORTATION CASE EXAMPLES

46 California Florida Iowa Louisiana Missouri New York Tennessee Texas Vermont Wisconsin Policy or Prac
ce Cost Recovery Policy X Aer Acon Reports to Improve Reimbursement Processes X X X X X X X X X X ER - Does not request funds for permanent work until ready to begin work X Administrave Packets for Emergencies X Predesignated Reimbursement Coordinators (HQ & District) X X X X X X X X X X Accounting/Financial Management Unique project codes for disasters X X X X X X X X X X Internal Audits prior to submission X X X FHWA FMIS Access X X X X X X X Uniform invoice system for counes X X Inclusion of all expenses X System automacally screens for duplication of ER & PA costs X Statewide integrated financial, HR and payroll system X X X Narrave Cost Allocaon Plan to capture ER Indirect Costs Documenta
on/Informa
on Management Systemac Record-Keeping, Use of ICS Forms X X X Central locaon/drive X X X X X X X X X X Electronic signature X X X Electronic storage X X X X X X X X X X Opcal character recognion soware X ER - Use of a Checklist to determine eligibility X X Project Worksheet/DDIR or DAF Use of combined PW/DDIR form X Use of electronic DDIR/DAF X X X X Automated DDIR/DAF distribuon system X TABLE 16 SUMMARY TABLE OF USEFUL PRACTICES

47 California Florida Iowa Louisiana Missouri New York Tennessee Texas Vermont Wisconsin Site Assessment Predesignated assessment teams X X X Preestablished repair or route priori za on method X X X X X Distribu on of Informa on Packet to Assessment Teams X X Weather informa on service/system X X X X X Bridge/highway/pavement management system X X X X X X X X X X Geospa al Data, lidar X X X X Map Historic Data to Show Repe ve Losses X X Van to Record Damages and/or Predisaster Condi ons X X Civil Air Patrol or similar services for aerial imagery X X Ability to be Self-Sustaining for Several Days X X Web-based map to determine whether a road is Federal-aid X X X X X X X Premobiliza on Inspec on of Vehicles & Equipment X X Training Disaster Assessment X X X X X X X X X X Scenarios from Prior Disasters X X X X Emergency Relief X X X X X X X X X X Public Assistance X X X X X X X X X X Training for Local Public Agencies X X X X X X X X X X Training for State EMA X X PA Project Officer & Project Coordinator X X X Asset Management Bridge Monitoring System to predict and assess impact of disasters on bridges X X Snowplows/other vehicles equipped with GPS X X Contracng Standardize Payments to Contractors X X One POC for Plans & Blueprints X Contractor Database X X X Emergency Waivers for Permits, etc. X X X X X X X X X X Contracts Out Most Emergency Work X X Appeals Discussion with FHWA Division Office X X X X X X X X X X Cita on of Relevant Laws X X X Cita on of Prior Decisions (precedents) X TABLE 16 (continued)

48 NYSDOT district coordinators manage the site assess- ments and initial completion of DDIRs and project worksheet (PW) documentation and forward the documents to the Cen- tral Office FHWA ER/FEMA PA coordinators. The district coordinators also coordinate with local public agencies (LPAs) within their districts or regions. The Central Office FHWA ER/ FEMA PA coordinators review the documentation, track proj- ects, liaise with the FHWA and FEMA and state EMA repre- sentatives, and other state DOT unit and divisions. During disasters, state DOT personnel are integrated into the state emergency organization at the direction of the state EMA. The state DOT usually is the Emergency Support Func- tion One (ESF-1) lead and may be the ESF-3 lead as well. Spe- cific ICS roles typically are delineated in the state’s emergency operations plan. A good understanding and implementation of NIMS concepts and principles, including ICS, NIMS resource management procedures, and ICS record-keeping procedures and forms, facilitate successful integration of state DOT per- sonnel into their state’s emergency organization and effective reimbursements. For instance, Louisiana DOTD Headquarters Staff pro- vides liaison officers to the state EOC, staffs the Louisiana State Police Traffic Control Center and the DOTD Emergency Operations Center, and provides personnel to staff the Emer- gency Information Center and Call Center. In addition, a team of senior personnel may be provided to the EOC as a future planning team for large or complex operations. District lead- ership implements guidance and policy decisions from Exec- utive Staff for DOTD’s response to a disaster or emergency. In addition, district leadership makes policy decisions and super- vises operations in the district; coordinates actions with other state agencies and adjoining departments of transportation and development districts as required; and provides staff and per- sonnel for the implementation of DOTD’s ESF-1 and ESF-3 responsibilities and for debris collection/disposal management (see Figure D-58 in Appendix D). The DOTD Emergency Operations Center organizational structure, incorporating the ESF-1 and ESF-3 branches, is shown in Figure D-59 of Appen- dix D. Louisiana’s Debris Operations Task Organization Chart (shown in Figure D-61 of Appendix D) depicts the linkages between the DOTD Debris Manager, FEMA, FHWA, and the Louisiana Governor’s Office of Homeland Security and Emergency Preparedness. Florida DOT (FDOT) District Maintenance Engineers and FHWA engineers meet throughout the year to discuss strategies, such as SOWs, emergency contracts, and asset maintenance contracts to address likely situations during disasters. FIGURE 11 Locations of the headquarter cities of state DOTs participating as case examples for this synthesis.

49 NYSDOT Statewide Transportation Information and Coordination Center (STICC) coordinates with the New York State Division of Homeland Security & Emergency Services (NYSDHSES) during disasters and emergencies. The STICC coordinates disasters and emergencies for the regions in tandem with other state and local and emergency response providers. NYSDOT has developed an excellent working relationship with both NYSDHSES and FEMA and schedules meetings with them at disaster sites. At TDOT, the Emergency Services Coordinators within the Office of Emergency Operations support the Tennessee state EMA should that agency request assistance within the combined emergency response plan. In such a case, TDOT’s primary Emergency Service Coordinator will coordinate field personnel. TDOT’s State Aid Offices serve as assessment teams in coordination with city and county representatives. Although in general state DOTs have a greater role in the FHWA ER program, some state DOTs play active roles in the FEMA PA programs as well. For example, Wisconsin DOT (WisDOT) acts as an advocate for LPAs for FEMA PA reimbursements. In addition, the Wisconsin EMA uses the state DOT in an advisory capacity, especially for estab- lishing reasonable costs for roadway repairs, and assists the state EMA in determining whether FEMA’s cost estimation is appropriate. Iowa DOT (IDOT) also provides support to its state EMA and has trained some of its personnel to be able to fill FEMA positions during disasters. Vermont’s DOT (VTrans) makes useful information and resources available to LPAs in Vermont. (Additional information on the ways that state DOTs assist LPAs is contained in this chapter in the section “Local Public Agencies.”) EFFECTIVE STRATEGIES AND PRACTICES This section discusses the effective strategies and practices identified from the synthesis that facilitate state DOT efforts to seek reimbursement through the FHWA ER and FEMA PA programs and expand upon the topics identified in Table 16. Increased communication and coordination with federal, state, and local partners complement state DOTs’ preparedness initiatives. Thus, enhanced relationships through the following efforts have led to better reimbursement outcomes: • Building strong relationships with FHWA, FEMA, and state EMA. • Seeking input from such agencies in integrating emer- gency procedures into emergency operations, including documentation, project formulation, cost tracking, cost estimation, disaster assessment, and contracting. • Building good relationships with LPAs, as resources allow. Technologies and systems can facilitate elements of the reimbursement process. Once implemented, training on and using these technologies and systems in daily operations will help personnel get accustomed to them. Completing After Action Reports and Lessons Learned exercises after disasters provides excellent opportunities to improve reimbursement procedures. Training state DOT personnel in the FHWA ER and FEMA PA programs and each of their respective reimbursement policies and processes played an important role in successful reimbursements. Scenarios from past disasters may be used for disaster assessment training and other training. Because personnel from multiple units are involved in disaster response and have reimbursement responsibilities, it is important to cast a wide net when it comes to reimbursement training. State DOTs saw benefits in provision of FHWA ER training to LPAs in terms of better quality FHWA ER submissions. A few state DOTs also provide their state EMAs with FHWA ER training. DISASTER ASSESSMENT Disaster assessment practices were found to be useful for suc- cessful and efficient documentation of damages by state DOTs and assisted them in meeting programmatic deadlines. Disas- ter assessment requires qualified personnel, site prioritization, determination of site eligibility, and documentation and dam- age assessment technologies. Relevant documentation technologies include smart phones and tablets; mobile disaster documentation technology; and with GPS, location information can be inserted into images taken by these devices. Geospatial information using lidar or similar technologies can help identify damages as well as the cause of the damages. Aviation services, such as the Civil Air Patrol [used by the Missouri DOT (MoDOT)], can be useful in the assessment of otherwise inaccessible disaster sites. Traffic Management Centers (TMCs) support emergency operations and assist disaster assessment teams in access- ing disaster sites safely and efficiently. To this end, TMCs deploy intelligent transportation systems equipment, mapping/ geographic information system (GIS) and GPS technology, and Road Weather Information Systems (RWISs). TMCs can assist disaster assessment teams through the detection/ verification/monitoring of roadway conditions. TMCs also provide traffic and incident information, including real-time traffic and road closure information, real-time weather alerts and forecasts, and the identification of optimal routes to disas- ter sites. For instance, MoDOT, NYSDOT, and WisDOT use a winter road information service that provides hourly weather updates, storm briefings, and e-mail/text alerts of current and future adverse weather. IDOT’s Weatherview system integrates maps that display weather information from RWIS stations and from Automated Weather Observing Systems (AWOSs). The weather informa- tion in these maps includes air temperature, road and bridge

50 temperatures, wind speed and direction, wind gusts, dew point, and visibility. These maps use GPS and GIS to provide the work status of maintenance crews, real-time plow truck and plow/spreader locations, and equipment and labor usage. Bridge, highway, and pavement management systems as well as a bridge monitoring system facilitate the assessment process. Historical data are mapped to show repetitive losses—useful in justifying betterments and the inclusion of mitigation measures. TDOT’s bridge monitoring tool, shown in Figure 17, helps TDOT prioritize and schedule disaster assessments for TDOT’s bridges. The tool uses information about drainage areas, foundations, and other bridge elements to analyze the impact of specific events on each bridge and determine priorities in assessments. Although these technologies enhance the assessment pro- cess, successful adoption and implementation of new technol- ogies can require substantial effort and senior management support. For instance, VTrans recommends the use of cham- pions who are end-users; states the importance of having the capacity to design and map new processes; and recom- mends the development of supporting policies and structures. For disaster sites for which utilities are disrupted, MoDOT and TDOT train their disaster assessment teams to be self- sustaining, allowing them to proceed with assessments at these sites. Louisiana DOTD provides an equipment/supply checklist for their damage assessment teams to ensure that teams are fully equipped to perform their responsibilities. The checklist is contained in Appendix I. The composition and size of disaster assessment teams vary depending on the type and scope of the disaster. For instance, California DOT (Caltrans) team members may include individuals from the following departments: design, hydraulics, geo-tech, structure maintenance investigations, materials engineering and testing services, and environmen- tal and field maintenance. At MoDOT, the disaster assessment team usually has an engineer from the Central Office main- tenance division, district maintenance personnel, and super- intendents or supervisors familiar with the site. NYSDOT teams are comprised of two or three civil engineers from the design, construction, and maintenance departments. At WisDOT, disaster assessment teams are comprised of two individuals—a region maintenance staff from WisDOT or county highway department staff and a FEMA inspector. For FHWA sites, a Central Office Bureau of Highway Mainte- nance staff engineer also joins the team. VTrans’ Scan Tour was a multidisciplinary group, including engineers and regu- latory partners, that toured the state to review every major damage site while response and recovery work was ongo- ing. The group was tasked with making recommendations on changes or additional work pertaining to the emergency repairs to increase the resiliency of the facilities. Louisiana DOTD’s roadway teams are comprised of four to seven members. DOTD’s moveable bridge teams require an electrical engineer and a structural engineer. DOTD also has fixed bridge teams. Both types of bridge team are composed of four members. Louisiana DOTD’s damage assessment teams are trained a minimum of once a year and are provided with special gear and a packet of forms. The Team Leaders report accomplishments and estimated completion dates of repairs to the DOTD Roadway and Minor Bridge Leader or to the Damage Assessment coordinator on a daily basis. The District Forward Point of Contact Coordinator and district personnel ensure that the Damage Inspection Report or Project Work- sheet SOW matches the actual repair work being performed for each project. Needed changes are provided by the District Forward Point of Contact Coordinator to the DOTD Roadway or Bridge Team Leader. DOTD’s Damage Assessment Team Organizational Chart is shown in Figure D-60 of the Louisiana DOTD case example in Appendix D. Ensuring that only authorized personnel and vehicles may access disaster sites is important. To this end, DOTD team members are required to wear a current DOTD badge and vest at all times, and each vehicle is required to have a spe- cial placard on each side of the vehicle. The District Forward Point of Contact is responsible for coordinating an access plan with local authorities. FINANCIAL MANAGEMENT SYSTEMS AND PROJECT CODES State DOTs use a variety of financial management systems, including in-house systems to store and monitor disaster expen- ditures (labor, equipment, materials, contracted work) and pro- duce needed reports. Some costs, such as travel expenses, may not be accounted for in these systems and need to be included with proper documentation if reimbursement for them is desired. When FEMA- or FHWA-approved rates are not used, preapproval of equipment rates from the sponsoring agency will expedite reimbursements. Financial management systems keep track of labor- personnel hours, days worked, and activity by project. Maintenance management systems are similar to financial management systems but focus on maintenance activities and also usually monitor equipment and materials usage. Aligning the financial management systems and maintenance management systems eliminates discrepancies in the data stored in the two respective systems. The ability to match hours of equipment use with the individuals using the equip- ment facilitates the alignment of both systems. Disaster configuration is available for some financial management sys- tems. North Carolina DOT noted that disaster configuration has helped the agency facilitate the reimbursement process. Texas DOT (TxDOT) has a maintenance management system (MMS) that is able to calculate 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 was required by FEMA. The MMS was reconfigured so that it can now automatically match the equipment usage with

51 personnel hours. IDOT has a resource management system (RMS), a module for emergency management that was cre- ated with a FEMA PA/FHWA ER billing module to quickly identify costs and associate them to specific PWs or DDIRs. FHWA Emergency Relief Process Milestones and Project Tracking State DOTs that have access to the FHWA Fiscal Management Information System (FMIS) stated that the FMIS facilitates their ability to effectively manage the FHWA ER program projects and is an important collaboration tool. For major revisions, authorization requests may be sent to the FHWA Division Office through the FMIS. Tracking milestones can assist state DOTs in ensuring that the key requirements of the FHWA ER program are being met. Keeping track of individual projects in the FHWA ER program is also important. TDOT uses FHWA ER process tracking tables with key milestones to monitor and track each FHWA ER milestone (see Table 17). These tables show the required actions for the FHWA ER program. A detailed FHWA ER project tracking spreadsheet helps manage individual projects (see Table 18). NYSDOT uses a DDIR Completion Status Report, which is prepared by event and region. The report form records the DDIR number, applicant, federal PINs, anticipated or actual completion date, FHWA approved amounts, final costs, revi- sion or time extension required/approved, anticipated federal dollars needed, date final cost documentation was submitted to the FHWA ER Unit, and date the Accounting Bureau was notified by the FHWA ER Unit to close the federal PIN in FMIS. NYSDOT noted that its staff can make minor changes to the SOW and costs within the FMIS. FEMA EMMIE Database FEMA’s Emergency Management Mission Integrated Envi- ronment (EMMIE) database assists FEMA, state EMAs, and applicants in tracking and monitoring FEMA PA projects, documentation retention, and information sharing. Green = complete; yellow = in progress; % = partially funded; blue = not started. Source: TDOT. Go v P ro cla m ati on or Pr es ide nti al De cla ra tio n Le tte r o f I nt en t Ac kn ow led gm en t Sit e A ss es sm en t DS SR Al loc at ed Ob lig at ed Fin al Co st Su bm itt al Fin al Co st Ap pr ov al Clo se ou t TABLE 17 USING EXCEL TO TRACK KEY PROCESS MILESTONES FOR ACTIVE FHWA ER EVENTS

52 Project Coding Using unique project codes for disasters is a good practice implemented by case example state DOTs. The purpose of the project coding system is to be able to easily identify rel- evant disaster-related expenses, and the system helps ensure that costs are not confounded with expenses for regular work. A coding schema facilitates differentiation of costs by pro- gram (FHWA ER versus FEMA PA), county, disaster versus nondisaster costs, and obligated versus nonobligated costs. To capture all disaster-related costs, early assignment of the codes is useful. Louisiana DOTD’s project coding system uses unique num- bers for the event, as well as unique numbers for FEMA and FHWA, and for major operations activities. Costs are assigned, recorded, and tracked using work breakdown structure (WBS) numbers along with statistical internal order numbers and activity codes. WBS numbers are created when a disaster has occurred or is imminent. WBS numbers can identify, for each project, the district office, whether it is a FEMA or FHWA proj- ect, and type of work. For permanent work, WBS numbers are requested by DOTD district offices. Note that WBS numbers are also used in daily operations. Internal order numbers are assigned to specific types of work recorded on a time sheet that is being performed under a disaster-related WBS number. Activity codes are assigned to specific types of work identified on a work order that is being performed under a disaster-related WBS number. The Emergency Forms used by Louisiana DOTD to track resources during emergencies are provided in Appendix I. WisDOT assigns a unique project ID number for each county. The number is in the following format: 00XX-YP-ZZ, for which • 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; and • ZZ is the number code for the type of work (temporary or permanent repairs). FEMA has established and released national standard proj- ect (subgrant) title numbers, cost codes, and standard com- ments that went into use in December 2013 at its JFOs and Regional Offices. Appendix A of the December 2013 FEMA guidance provides standard comments for Permanent Work Pilot, and Appendix B provides examples of Permanent Work Pilot cost codes. They include the cost estimate for- mat, subgrantee-provided estimate, expert-panel–provided estimate, change in SOW on a fixed subgrant, fixed subgrant Source: TDOT. TABLE 18 2012 FHWA ER PROGRAM DETAILS

53 alternate project, excess funds and codes for consolidated fixed subgrants (Public Assistance Alternative Procedures Pilot Program Guide for Permanent Work 2013). Maintenance Management and Decision Support Systems Maintenance management and decision support systems typically are designed to (1) predict current and future road conditions based on the forecasted weather and the applica- tion of maintenance treatments and (2) recommend optimal maintenance treatments based on available resources. Accu- rate real-time and predictive adverse weather information as input into these systems can enhance decision making and protect state DOT disaster assessment teams. Although most state DOTs have maintenance management systems, the sys- tems vary by the type of features they offer. The features may include asset inventory, condition assessment, work scheduling and tracking, work needs identification, hours worked, GPS, GIS interface, and interface with other decision processes. DOCUMENTATION/INFORMATION MANAGEMENT State DOTs reported that preestablishing documentation forms and record-keeping practices, and training all relevant per- sonnel in these practices facilitate reimbursements. Docu- ments are retained by state DOTs for at least the time required by the FEMA PA and FHWA ER programs; otherwise reten- tion periods vary according to state DOT and state regula- tions and guidelines. The importance of capturing clear images of damage is emphasized by case example participants. To this end, train- ing damage assessment personnel on how to capture effective images is deemed beneficial by TDOT. As part of the training, TDOT provides multiple examples of good photos and poor photos. Figures 12 and 13 present some of these examples. In addition, effective information management practices, including storage of information in a central location (whether in electronic format or hard copy), can save staff time. Elec- tronic formats can facilitate electronic transmittal of documen- tation, conserve storage space, and accommodate duplicate requests for documentation, especially if a centralized drive is used. A few downsides include the need for cybersecurity measures and time required to scan hard copy documents. FDOT noted that optical character recognition technology was useful in enhancing the clarity of scanned information. Electronic Documentation Forms Electronic documentation forms for the DDIR, the Damage Assessment Form (DAF), and the PW increase efficiency by facilitating the input of data (including input from field sites), their processing and distribution, and the registration of changes to the data. Caltrans, IDOT, NYSDOT, TDOT, and VTrans have reported positive experiences with electronic documentation forms. Damage Assessment Forms • Caltrans’ new electronic DAFs were created by FHWA with input from Caltrans. The major change to the forms 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 computer-generated DAFs. The electronic DAF allows changes to be made in the field. Information about Caltrans’ DAF is provided in Appendices F and G. • TDOT incorporates Google Maps into its electronic DAFs to facilitate documentation of the site location. In the Maps Component of the DAF, TDOT includes the functional classification map and Google aerial imagery, as shown in the example in Figure 14. TDOT’s functional classification maps, accessible to TDOT personnel through the web, show routes that are color-coded by type.FIGURE 12 Example of a good photo (Courtesy: TDOT). FIGURE 13 Example of a bad photo (Courtesy: TDOT).

54 Detailed DDIRs and PWs • IDOT’s electronic DDIR system has reduced the time expended to produce a DDIR by 90%. The system pro- cesses the DDIR from the start throughout the approval process and automatically sends completed forms and notifies relevant offices of changes to the forms. The new system includes a website, from which any autho- rized user is able to access the form, and a mapping system that automatically creates a map with latitude/ longitude or county/route/milepost. Revisions to the form can be made easily. In addition, photos, plans, and sketches can be attached to the form. Figures D-2 to D-5 in Appendix D present screenshots of a sample IDOT electronic DDIR. • NYSDOT provides its personnel with clear instructions on how to complete its DDIR form. NYSDOT’s DDIR instructions are presented in Appendix E. • VTrans has created a combined DDIR and PW form that it has recently began using. • Arizona’s state EMA created a labor, equipment, materi- als, and other (LEMO) workbook, which is useful for subgrantees in gathering needed costs for the PW. The LEMO Workbook was designed to be input directly into the PW and documents only the needed information. It also helps Arizona DOT in working with the Project Specialist on making corrections and modifications. A sample LEMO workbook is included in the Arizona Division of Emergency Management (ADEM) case study in Appendix D. • WisDOT has provided a completed PW subgrantee appli- cation for DR-4141, June 20, 2013, to June 28, 2013. It is included in the WisDOT case study in Appendix D (Figures D-55 through D-57). Incident Management Systems Incident management systems (e.g., WebEOC) are used to provide key emergency response stakeholders with a real- time view of an incident from any location through the Inter- net. The systems may also be used for information-sharing purposes and for making important documents, forms, and other files available to all emergency response providers. In addition, resource requests, task assignments, and activities performed by personnel; damages, their estimated costs, and cumulative costs; and information about road conditions and closures can be tracked and shared. Internal Audits Internal audits can facilitate the reimbursement process by eliminating the need for corrections and revisions to documen- tation. Internal audits are performed by IDOT and VTrans to screen for irregularities or ineligible items before submission of the documentation to the FHWA ER or FEMA PA program. VTrans has successfully used the narrative cost alloca- tion plan method to capture indirect costs for the FHWA ER program. In addition, activity-based coding helps identify disaster versus regular expenses, along with disaster-related administrative costs. Predisaster Documentation To provide information regarding predisaster conditions of state DOT infrastructure and assets, predisaster documenta- tion is important. State DOTs perform bridge inspections on a regular basis; the inspection results are useful in provid- ing predisaster documentation of bridge conditions. In addi- tion, as described in the following section, asset management systems greatly facilitate predisaster documentation by man- aging and storing up-to-date conditions of state DOT infra- structure and assets. • TxDOT documents all of the agency’s facilities during normal conditions using a combination of on-site photo- graphs and Google imagery. This allows TxDOT to provide evidence of predisaster conditions. FIGURE 14 Example of images from a DAF map component (Courtesy: TDOT).

55 • MoDOT developed the Automatic Road Analyzer (ARAN) Automatic Road Van to document by video normal predisaster road conditions on an annual basis. The videos document location information, includ- ing GIS coordinates and mile markers. Screenshots of images from the ARAN van viewer are shown in Fig- ures 15 and 16. • Louisiana DOTD emphasizes the importance of con- ducting, before an event, an inspection of damages to or deficiencies in vehicles and equipment and document- ing the predisaster conditions. State DOTs use bridge monitoring tools to document pre- disaster conditions, monitor conditions and status of bridges, and set priorities for bridges for damage assessment purposes, especially in cases of large-scale disasters. IDOT and TDOT employ bridge monitoring systems that predict and assess the impact of disasters on their bridges. A screenshot of TDOT’s system is shown in Figure 17. Asset Management The goal of Transportation Asset Management is “to provide a desired level of service and performance for various assets within the transportation network, in a most cost-effective manner” through better resource allocation decisions. The process includes inventory of assets, such as pavements and bridges and field data collection, standardized agencywide asset management procedures, and condition assessment, which enables the quick identification of assets that need immediate attention (“Common Q’s and A’s pertaining to Transportation Asset Management” 2014). MAP-21 requires the creation of a Transportation Asset Management Plan for the National Highway System pavements and bridges. A Transportation Asset Management Information System “is used to collect, process, store, and analyze information about assets; to develop sound maintenance and rehabilita- tion strategies; and to schedule, track, and manage work.” Asset management systems include Equipment Management, FIGURE 15 Screenshot of ARAN Viewer showing scour location before occurrence of scour (Courtesy: MoDOT).

56 FIGURE 16 Screenshot of ARAN Viewer showing scour location after completion of repair (Courtesy: MoDOT). FIGURE 17 Screenshot of TDOT’s BridgeWatch tool (Courtesy: TDOT).

57 Pavement Management, Bridge Management, Roadway Management, Sign Management, and Signal Management. The key functional components and technology compo- nents of a Transportation Asset Management information sys- tem are shown in Figure 18. The Condition and Performance Prediction components of the system assist the state DOT in the prediction of future performance. Field data collection techniques range from manual methods to mobile lidar tech- nology. Mapping historic data to show repetitive losses help IDOT and VTrans justify upgrades and mitigation measures. Asset Tracking Technologies such as GPS and automated vehicle location (AVL) systems and associated software help track the location and use of assets. For instance, IDOT and WisDOT installed GPS in snowplows. Information about equipment use (i.e., when and where the equipment was used and by whom) is archived and used for reimbursement documentation pur- poses. At Louisiana DOTD, asset tracking procedures have been added to its ESF-1 Operations Plan to identify and direct the use of transportation assets used or controlled by DOTD; control costs and facilitate cost recovery; maintain situational awareness; and document utilized resources. Assets are tracked using a vendor-supplied, web-based GPS tracking system and emergency forms. (See Appendix I for Louisiana DOTD’s asset tracking forms and other relevant emergency forms.) AASHTOWare AASHTOWare (www.aashtoware.org) pools knowledge and resources, resulting in a significant amount of cost savings to state DOTs and other transportation agency users. AASHTO Ware products comply with FHWA regulations, AASHTO standards, and industry practices and also accommodate state-to-state differences. The following products assist state DOTs in managing construction projects, including proposal preparation, contract administration, and cost estimation. AASHTOWare Project AASHTOWare Project enables state DOTs to manage infor- mation throughout the entire contract and construction cycle, from cost estimation to proposal preparation, letting bids, construction and material management, and data collection. AASHTOWare Project allows creation of a consistent, inte- grated view of the contract process during each phase. There is also a module for managing labor and civil rights issues. AASHTOWare Project SiteManager AASHTOWare Project SiteManager assists state DOTs with construction management. Its primary functions are: • Contract administration—Monitor contractor progress, receive payrolls, generate status reports, and provide reference data for vendors and subcontractors. • Contract records—Record all types of project data. • Daily work reports—Enable inspectors to capture work performed at the job site on a laptop and upload it for review and approval. • Contractor payments—Generate estimates, process con- tract and line item adjustments, and manage retainage. • Materials management—Record, track, and report on material samples and test results from job sites, plants, and test labs. • Laboratory inventory management system—Integrate material and lab administration to manage sampling and testing workflow. An annual Site License is available to any agency/ organization desiring to license all the following AASHTOWare Project modules: AASHTOWare Project Cost Estimation, FIGURE 18 Data, functional, and technology components of a transportation asset management information system (Source: AASHTO Transportation Asset Management Guide Executive Summary 2013, p. 34).

58 PES/LAS or AASHTOWare Project Preconstruction, AASHTO Ware Project Construction Administration, AASHTOWare Project BAMS/DSS, AASHTOWare Project Civil Rights & Labor, AASHTOWare Project SiteManager, AASHTOWare Project SiteXchange, AASHTOWare Project Expedite, and the AASHTOWare Project Worksheet. The AASHTOWare Project Estimator and AASHTOWare Project FieldNet mod- ules, as well as the AASHTOWare Project FieldManager Suite, are not included in this Site License. An annual license fee costs $412,000 for unlimited use. Related software under development by AASHTO is described here. AASHTOWare Project Construction & Materials Work on the AASHTOWare Project Construction & Materials initiative is ongoing, with a projected product release date of December 2014. The software will replace the client/server construction, materials, and laboratory information manage- ment functionality of existing AASHTOWare Project modules, including AASHTOWare Project SiteManager, AASHTOWare Project FieldManager, and AASHTOWare Project Construc- tion Administration. AASHTOWare Project Estimation Work on the AASHTOWare Project Estimation module is ongoing. Functionality of this module will include estimating in and through all phases of a project development life cycle and interacting with various other applications used by agencies for project processing. The application is planned to address all functional/business requirements for an integrated cost estima- tion web-based application designed to meet the needs of a user base of estimators, business managers, and external/legislative stakeholders. The software will replace the client/server estima- tion functionality of existing AASHTOWare Project modules, including AASHTOWare Project Cost Estimation, AASHTO Ware Project Estimator, and AASHTOWare Project TRACER. Additional information on each of these products can be found at www.aashtoware.org. COST SHARING For the FEMA PA program, cost sharing for the nonfederal share typically is provided by the state DOT, the state, or state EMA. One respondent noted that their arrangement is 75% federal, 12.5% state, and 12.5% local. In unusual cir- cumstances the federal government may reimburse at higher rates. For instance, for Hurricane Katrina, the federal share was 100% for emergency work and 90% for permanent work; for Hurricane Sandy, it was 90%. For the FHWA ER program, cost sharing is needed for per- manent restoration projects and for emergency repair work not completed within 180 days and not granted an extension. The federal cost share typically is 80% for Interstate and 90% for non-Interstate projects. The state DOT is responsible for the nonfederal cost share. Higher shares are possible in states with high percentages of federally owned public lands. States may assist state DOTs with their nonfederal cost shares. • Arizona—The Arizona state EMA administers the state governor’s emergency fund, which may fund Arizona DOT’s nonfederal cost share for the FEMA PA program. • Texas—The Texas state EMA (Texas Division of Emer- gency Management) typically supplies TxDOT’s non- federal share for both programs at an early stage. • Wisconsin—WisDOT noted that half of the agency’s cost share may be provided for by a state program; details of this program are provided in the WisDOT case example. LOCAL PUBLIC AGENCIES In chapter three, state DOTs’ observations of their experi- ences with LPAs were described. In general, case example state DOTs work closely with LPAs during disasters and may provide various forms of assistance ranging from a web page with helpful resources to technical assistance. The state DOTs typically offer more support for LPAs for the FHWA ER program and may provide formal FHWA ER training, just-in-time training, and/or technical assistance. • Caltrans’ Local Assistance Program is comprised of the Division of Local Assistance in Headquarters and 12 District Local Assistance Offices. It assists local and regional public agencies by ensuring that specific program requirements are met, project applications are processed, and projects are delivered in accordance with federal and state requirements. In addition, easily acces- sible web-based maps of federal-aid highways are avail- able to Caltrans’ district personnel and to LPAs so that they may confirm that a route is federal-aid. • VTrans’ FHWA ER/FEMA PA representatives coordinate with LPAs and provide extensive assistance for FHWA ER and FEMA PA programs. VTrans assists LPAs in the preparation of documentation. VTrans also reviews their FHWA ER submissions and documentation, rejects ineli- gible submittals, approves eligible items, and processes payments. VTrans also performs closeout inspections on FHWA ER and FEMA PA projects. VTrans helps LPAs through the National Environmental Policy Act (NEPA) process and assists them with FEMA and FHWA appeals and audits. • WisDOT contracts out routine highway maintenance to its counties and has established a uniform system of invoicing. WisDOT has also created a maintenance management system for its counties. This system and

59 the close relationship between WisDOT and its counties are useful during disasters when counties are requested to perform emergency and permanent work. State DOTs, including NYSDOT, have been directed by their states to assist LPAs in emergency road repairs and debris removal during disasters that were particularly severe and overwhelmed local resources. TxDOT provides monetary assistance to LPAs in certain circumstances, contributing the nonfederal cost share for LPAs when they are unable to meet their cost share requirements. LPA Training State DOTs provide a range of training to LPAs, including annual or semiannual training, training by request, and just- in-time training. Examples of assistance and training pro- vided by state DOTs include the following: • California—Caltrans’ Local Assistance Academy is a week-long intensive training offered to newer Caltrans’ Local Assistance hires. When available, a few spots may be offered to LPAs. The training includes a 30-minute FHWA ER portion and breakout sessions. FHWA offers Caltrans’ district offices a 5-hour FHWA ER class that starts with the basics of the FHWA ER program and ends with breakout teams working on the completion of a DAF for a site. Caltrans’ website also includes relevant FHWA ER information helpful to LPAs (http://www.dot.ca.gov/ hq/LocalPrograms/programInformation.htm; “Program Information” 2013). • Florida—FDOT provides annual FHWA ER training to their district offices and LPAs. The 1-day training is held at each FDOT district office. • Iowa—IDOT provides FHWA ER and FEMA PA pro- gram and disaster assessment training to its personnel and LPAs. Scenarios from previous disasters are used in this training. • South Dakota—The state’s DOT provides video confer- ence and on-site training. It also offers a website page with helpful slides, examples, and resources for LPAs. • Tennessee—TDOT’s Local Programs Development Office provides FHWA ER technical assistance and training to its personnel and LPAs. • Texas—TxDOT assists LPAs in completing applica- tions and provides just-in-time training to LPAs upon request. The just-in-time classroom training is 8 hours long. In addition, TxDOT provides a web page with information on local government project procedures: http://www.dot.state.tx.us/business/governments/lgpp. htm (“Local Government Project Procedures” 2014). • Vermont—VTrans’ FHWA ER/FEMA PA represen- tatives coordinate with LPAs and provide extensive assistance on both programs, including the preparation of documentation, assistance on the NEPA process, and audit preparation. STATE EMERGENCY MANAGEMENT AGENCIES As discussed earlier in the synthesis, state EMAs perform important FEMA PA administration functions on behalf of FEMA; advise FEMA on eligibility questions and appeals decisions; request SOW changes; obligate and deobligate funds; and perform final inspections. They are required to follow state regulations and laws, which may contribute to variations in implementation of the FEMA PA program. In addition, state EMAs assist state DOTs and LPAs along with other applicants and offer a range of training and helpful resources. • Arizona—Arizona’s state EMA is ADEM, which offers various courses on the FEMA PA process. Some courses cover the entire process, whereas others cover specific elements. They can be provided upon request given proper lead time and are free of charge. Some of the training is based on FEMA courses adapted by ADEM for its Arizona applicants and subgrantees. • Florida—Florida’s state EMA provides an online portal for its applicants and subgrantees to use to upload com- pleted forms and documentation. Details of this portal are included in the FDOT case example. • Louisiana—The Louisiana state EMA delivers a range of emergency training and assists applicants with the FEMA PA process and helps LPAs differentiate between the FEMA PA and FHWA ER programs. DOTD assists the Louisiana state EMA by providing state EMA staff with FHWA ER training. • New York—New York State’s EMA has a disaster recov- ery web page replete with useful information, manuals, and resources: http://www.dhses.ny.gov/oem/recovery/ (“Recovery” n.d.). Disaster-specific information may be provided through the web page. For instance, for DR-412, environmental and historic preservation guidance, includ- ing permits, special considerations, debris management, and best management practices, are provided. CONTRACTING Initiatives to address contracting issues and good emergency contract management practices assisted state DOTs in meet- ing reimbursement program deadlines and federal, state, and local requirements. These requirements included: • Use effective contracting procedures, cost estimates, and repair and reconstruction methods to meet program deadlines. • Address environmental or other special consideration issues as soon as possible. Obtain emergency waivers. • Establish and use emergency contracts. Preapproved contracts can facilitate reimbursements. • Create an emergency contractor database. • Standardize contractor payments.

60 • Create administrative packets with needed contracts, forms, and information. • Use contractors knowledgeable about state and state DOT policies and practices and federal-aid procedures. • Establish one point of contact for plans and blueprints. APPEALS State DOTs do not always file appeals because the justifi- cation and support information required make the appeals process a resource-intensive one. With regard to FHWA ER appeals, state DOTs noted that informal discussions with their FHWA Division Offices have often averted the need for formal appeals. When filing formal FHWA appeals, the following practices resulted in successful outcomes: • Provision of requested documentation of costs and eligibility. • Citation of laws. • Citation of prior decisions. This may require a review of other states’ experiences (e.g., approvals for similar situations). The following are instances in which FHWA denials have been reversed and new precedents have been set: • TxDOT succeeded in setting a precedent for work per- formed during the Bastrop County fires in 2011. The work involved clearing dead or dying trees near the Texas State Highway as a protective measure against fires. The appeals decision overturned FHWA’s initial rejection. • VTrans appealed FHWA TE-045 ER guidelines, which precluded reimbursements for the cost of work performed by the National Guard in the aftermath of Hurricane Irene. After meetings and discussions with FHWA on the issue, FHWA decided to change FHWA ER guidelines and now allows these costs. FEMA appeals are usually filed through the state EMA. Florida Division of Emergency Management (FDEM) pro- vides a web portal through its website at www.FloridaPA. org, through which FDOT may initiate an appeal and store disaster documentation. Details of the process used by FDEM are included in the FDOT case study in Appendix D. REIMBURSEMENT TIME The useful practices identified in this synthesis and described in chapters three and four and in the case examples in Appen- dix D contribute to prompt reimbursements. These practices are assisted by effective and efficient business and cost man- agement practices; the alignment of systems, processes, and technologies with the requirements of both programs; and a high level of preparedness. In addition, the streamlining of repairs (including site inspection, documentation, and con- tracting) is instrumental in meeting important deadlines and facilitating reimbursements. A shortage of federal funds, insur- ance payments, or problems obtaining permits may lengthen reimbursement times. With regard to FHWA ER reimbursements, access to the FHWA FMIS has assisted state DOTs in their project man- agement functions by providing the status of FHWA ER proj- ects and project funding. TDOT provided an example of its FHWA ER project management method, which is presented in the TDOT case example. With respect to FEMA PA reimbursements, FEMA’s EMMIE database allows FEMA, state EMAs, and applicants to better track and monitor projects, retain project documen- tation, and share information and, thus, facilitate faster reim- bursement times. Reimbursement times can also vary based on the amount of documentation required by the state EMA and the state EMA’s payment processing time. Arizona’s state EMA noted that it is able to turn around reimburse- ments within 2 weeks. Large FEMA PA projects and perma- nent restoration project reimbursements have taken longer than small, emergency work projects because large projects can be more complex and small projects are reimbursed based on their cost estimates at the start of the project. How- ever, the new SRIA procedures that allow the use of cost estimates for large projects may alleviate the issue. With cost estimates (whether for small or large projects) significant differences between actual and estimated costs may require PW amendments, which cause delays; therefore, good cost estimation practices are important.