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

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61 coordinated with their FEMA representatives experienced better outcomes. The synthesis identified the following key challenges that survey respondents and case example participants encoun- tered when working with the FEMA PA and FHWA ER programs: • Elements of both programs and differences between the programs: – Eligibility criteria – Project formulation (i.e., combining permanent and emergency work, project grouping) – Program deadlines • Variations between states – Differences in program implementation originating from variations in state regulations, policies, and guidance; state EMA FEMA PA administration; contracting/procurement, environmental and his- toric preservation; and other areas • FEMA Public Assistance Program – State DOTs must expect to invest time and resources to apply for and administer funds from PA. Expect the possibility of FEMA audits. – When the FEMA personnel with whom a state DOT is working are assigned to other declared events, state DOTs participating in the case examples sometimes experience an adjustment period. For example, incoming FEMA personnel may request duplicate documentation or may reverse decisions made by their predecessors. However, FEMA’s PA Consistency Initiative, which includes a Mid-level Managers Hiring Initiative and a FEMA PA Con- sistency Training program, and the development of field staff rotation process protocols seek to address this concern. – Positive aspects of the FEMA PA program were also noted by state DOTs. For example, several case example participating DOTs included satisfaction with the small project process and with FEMA’s increased adoption of electronic documentation. SRIA changes may also improve satisfaction with the large project process. • Training—Several case example state DOTs desired additional training on both programs. • LPAs—In the event of a major emergency or disaster, LPAs look to their state DOTs for leadership and require Reimbursement programs are an essential aspect of cost recovery for state departments of transportation (DOTs) and local public agencies (LPAs), and “play an important role in establishing and maintaining the readiness of resources and should be in place to ensure that resource providers are reim- bursed in a timely manner” (National Incident Management System 2008, p. 39). The federal reimbursement programs, the Federal Emergency Management Agency Public Assis- tance (PA) and FHWA Emergency Relief (ER) programs were the focus of this synthesis project. The synthesis study involved an information review, screening survey, follow-up calls, and case examples; identi- fied effective practices in FEMA’s PA and FHWA’s ER pro- gram fund reimbursements; and documented lessons learned. FINDINGS—CHALLENGES TO KEEP IN MIND The synthesis revealed differences in FEMA PA and FHWA ER reimbursement procedures across states because of varia- tions in state and local laws and regulations; variations in implementing guidance provided by the state emergency management agencies (EMAs), FEMA Regions, and FHWA Division Offices; and variations in each state DOT’s guide- lines, practices, and constraints. The Moving Ahead for Progress in the 21st Century (MAP-21) Act and the Sandy Recovery Improvement Act (SRIA) along with recent studies performed by the Gov- ernment Accountability Office (GAO) and Congressional Research Service (CRS) have engendered changes in policy and program guidance. One of the aims of these changes is to improve coordination between FEMA and FHWA and thus improve state DOT experiences with the programs. In addi- tion, upgrades to FEMA’s information-management system Emergency Management Mission Integrated Environment (EMMIE) and FHWA’s Fiscal Management Information Sys- tem (FMIS) assist FEMA and FHWA in managing projects and sharing information with their state and regional stake- holders and applicants. Nonetheless, state DOTs are chal- lenged with understanding and adapting to these changes. In general, state DOTs are more familiar with the pro- cesses, procedures, and requirements of FHWA and federal- aid than with those of FEMA. State DOTs also have extensive knowledge of their FHWA Division Office contacts and Divi- sion Office requirements. However, state DOTs that closely chapter five CONCLUSIONS

62 substantial assistance on both the FEMA PA and FHWA ER programs. Consequently, state DOTs must expect to spend time and resources to assist and train LPAs. FINDINGS—EFFECTIVE PRACTICES A high level of preparedness and good practices in state DOT business and management functions contribute to suc- cessful reimbursements. The effective practices identified by the synthesis study included the following: • Establish effective working relationships with federal, state, and local partners; • Resolve issues arising in previous disasters; • Preassign key roles; • Train personnel—including disaster inspection teams and financial personnel—on the programs and reim- bursement procedures; • Align the systems, processes, and technologies used in daily operations with FEMA PA and FHWA ER requirements; • Have a working understanding of National Incident Management System (NIMS) and Incident Command System (ICS) record-keeping procedures and forms. Training facilitates effective documentation of costs and damages during the disaster; and • To the greatest extent possible, meet all deadlines for emergency work for both programs so that maximum eligible reimbursements can be obtained. To this end, activities that streamline emergency work—site inspec- tion, documentation, and contracting—are important. A summary of useful practices reported by case example participants is shown in Table 19. FEDERAL EMERGENCY MANAGEMENT AGENCY PUBLIC ASSISTANCE RESOURCES The following are useful FEMA PA resources and references: • Declaration Process Fact Sheet “Declaration Process Fact Sheet,” Federal Emer- gency Management Agency, U.S. Department of Homeland Security, Washington, D.C., last updated June 13, 2012 [Online]. Available: http://www.fema. gov/declaration-process-fact-sheet. • The Emergency Management Assistance Compact (EMAC) web page “Emergency Management Assistance Compact,” EMACWeb.org, National Emergency Management Association, Lexington, Ky. [Online]. Available: http:// www.emacweb.org/. • EMAC Mission Ready Packages “Resource Center: Emergency Management,” American Public Works Association (APWA), Kansas City, Mo. and Washington, D.C., n.d. [Online]. Avail- able: http://www.apwa.net/ResourceCenter/Category/ Emergency-Management. • Mutual Aid Agreements for Public Assistance and Fire Management Assistance (FEMA Policy Publication 9523.6) Mutual Aid Agreements for Public Assistance and Fire Management Assistance, Federal Emergency Man- agement Agency, U.S. Department of Homeland Security, Washington, D.C., Aug. 13, 2007 [Online]. Available: http://www.fema.gov/9500-series-policy- publications/95236-mutual-aid-agreements-public- assistance-fire-management. • The Incident Resource Inventory System (IRIS) “Incident Resource Inventory System (IRIS),” Preparedness-Technology, Analysis, and Coordina- tion (P-TAC) Center, Federal Emergency Management Agency, U.S. Department of Homeland Security, Wash- ington, D.C. [Online]. Available: https://www.ptac center.org/iris/index. • Project Formulation Standard Operating Procedure (9570.5) Project Formulation Standard Operating Procedure (9570.5), Federal Emergency Management Agency, U.S. Department of Homeland Security, Washington, D.C., Sept. 1999, [Online]. Available: http://www. fema.gov/library/viewRecord.do?id=6298. • Interactive Forms Library “Interactive Forms Library,” Federal Emergency Management Agency (FEMA), U.S. Department of Homeland Security, Washington, D.C., last modified April 11, 2013 [Online]. Available: http://www.fema. gov/interactive-forms-library. • FEMA Online Course—Introduction to FEMA’s Public Assistance Program (IS-634) “IS-634: Introduction to FEMA’s Public Assis- tance Program,” FEMA Independent Study Program, Federal Emergency Management Agency (FEMA), U.S. Department of Homeland Security, Washing- ton, D.C., June 27, 2011 [Online]. Available: http:// www.training.fema.gov/EMIWeb/IS/courseOverview. aspx?code=IS-634. • “Public Assistance: Policy and Guidance” web page “Public Assistance: Policy and Guidance,” Fed- eral Emergency Management Agency, Washington, D.C., n.d. [Online]. Available: http://www.fema.gov/ public-assistance-policy-and-guidance. • “Public Assistance: Resources and Tools” web page “Public Assistance: Resources and Tools,” Fed- eral Emergency Management Agency (FEMA), U.S. Department of Homeland Security, Washington, D.C., last updated May 28, 2013 [Online]. Available: http:// www.fema.gov/public-assistance-resources-and-tools. • “Resource Management” web page “Resource Management,” Federal Emergency Man- agement Agency (FEMA), U.S. Department of Homeland Security, Washington, D.C., last updated Nov. 29, 2013 [Online]. Available: http://www.fema.gov/resource- management.

63 Useful Practices Reported By Case Study Participants Practices related to Policy Creating a formal cost recovery policy Aligning systems, processes, and technologies used in daily operations with FHWA and FEMA requirements Establishing relationships with FHWA and FEMA contacts and other Federal, State, and Local partners Conducting and implementing After Action Reports to assess and improve reimbursement processes Preparing administrative packets for emergencies Designating reimbursement coordinators (both at the headquarters and district levels) and other key roles before disasters occur Identifying mitigation opportunities to increase resilience against future events Maximizing eligible reimbursement by meeting deadlines for emergency work Refraining from requesting FHWA Emergency Relief funds for permanent work until the agency is ready to begin the work Practices related to Accounting/Financial Management Using unique project codes for disasters Performing internal audits prior to submission Using appropriate management systems Gaining access to the FHWA Fiscal Management Information System (FMIS) Creating a uniform invoice system for counties Including all expenses Screening for duplication of FHWA Emergency Relief and FEMA Public Assistance costs; automate where possible Integrating financial, human resources, and payroll systems statewide Preparing a Narrative Cost Allocation Plan to capture FHWA Emergency Relief Indirect Costs Practices related to Documentation/Information Management Systematizing record-keeping and using ICS forms Keeping data in a central location or drive Using electronic signatures Storing data electronically Using appropriate management systems Using software with Optical Character Recognition capabilities Using checklists in FHWA Emergency Relief program guidance documents to determine eligibility Creating electronic versions of the Detailed Damage Inspection Report (DDIR) / Damage Assessment Form (DAF) Automating DDIR/DAF distribution system Combining their Project Worksheet (PW) and their Detailed Damage Inspection Report (DDIR) into one form (continued on next page) TABLE 19 SUMMARY OF USEFUL PRACTICES REPORTED BY CASE STUDY PARTICIPANT AGENCIES

64 Practices related to Training Conducting disaster assessments Using scenarios from prior disasters Providing training on the FHWA Emergency Relief and FEMA Public Assistance programs to personnel responsible for documentation and reimbursement Providing training to Local Public Agencies on the FHWA Emergency Relief and FEMA Public Assistance programs Providing training to state EMA personnel on the FHWA Emergency Relief program (as they may be less familiar with this program) Training state DOT personnel for integration into the state EMA as project officers and project coordinators on FEMA Public Assistance-eligible projects Practices related to Site Assessment Designating assessment teams before disasters occur Establishing repair or route prioritization methods before disasters occur Distributing information packets to assessment teams Using weather information services or systems Implementing bridge/highway/pavement management systems Using geospatial data and LiDAR Mapping historic data to show repetitive losses Purchasing a specially equipped vehicle that records damages and/or pre-disaster conditions Forming a partnership with the Civil Air Patrol or similar organizations for aerial imagery services Developing assessment teams able to be self-sustaining for several days Using web-based maps to determine whether a road is Federal-aid Inspecting vehicles and equipment prior to mobilization Practices related to Asset Management Using Asset Management systems with standardized site codes to track and document pre-disaster conditions of DOT facilities Using bridge monitoring systems to predict and assess impacts of disasters on bridges Equipping snowplows and other vehicles with GPS facilitates emergency response/recovery and tracking and documenting labor and equipment usage Practices related to Appeals Contacting the FHWA Division Office and discuss the case directly Citing relevant laws and regulations Citing prior decisions (precedents) Practices related to Contracting Standardizing payments to contractors Designating one point of contact for plans and blueprints Implementing a contractor database Using Construction Management system or software Securing emergency waivers (for example, on environmental and historical preservation approvals) and establishing a blanket approval process for emergency work Selecting/pre-qualifying contractors for emergency work who are familiar with the process and required documentation for successful reimbursement TABLE 19 (continued)

65 • FEMA information page on the Sandy Recovery Improvement Act of 2013 “Sandy Recovery Improvement Act of 2013,” Federal Emergency Management Agency (FEMA), U.S. Department of Homeland Security, Washington, D.C., last updated March 6, 2014 [Online]. Available: http://www.fema.gov/about-agency/sandy-recovery- improvement-act-2013. FHWA EMERGENCY RELIEF RESOURCES The following are useful FHWA ER resources and references. • FHWA Emergency Relief Program “Emergency Relief Program,” Federal Highway Administration (FHWA), U.S. Department of Trans- portation, Washington, D.C., last updated Oct. 3, 2013 [Online]. Available: http://www.fhwa.dot.gov/program admin/erelief.cfm. • MAP-21: Emergency Relief (ER) Questions & Answers (FHWA) “MAP-21: Emergency Relief (ER) Questions & Answers,” Federal Highway Administration, U.S. Department of Transportation, last updated Aug. 8, 2013 [Online]. Available: http://www.fhwa.dot.gov/map21/ qandas/qaer.cfm. • Debris Removal on Federal-Aid Highways (FEMA Recovery Fact Sheet 9580.214) Debris Removal on Federal-Aid Highways (FEMA Recovery Fact Sheet 9580.214), Federal Emergency Management Agency (FEMA), U.S. Department of Homeland Security, Washington, D.C., Oct. 30, 2012 [Online]. Available: http://www.fema.gov/library/view Record.do?id=6640. • Environmental Review Toolkit “Environmental Review Toolkit,” Federal Highway Administration (FHWA), U.S. Department of Transpor- tation, Washington, D.C., n.d. [Online]. Available: http:// www.environment.fhwa.dot.gov/index.asp. • Washington Division Emergency Relief Training Course, hosted on FHWA web page “Emergency Relief Program Overview,” Emergency Relief Washington Division, Federal Highway Admin- istration (FHWA), U.S. Department of Transportation, Washington, D.C. [Online]. Available: http://www.fhwa. dot.gov/wadiv/emerrelief/. • California DOT (Caltrans) home page for the Emer- gency Relief Program “Homepage for Emergency Relief Program,” Division of Local Assistance, California Department of Trans- portation (Caltrans), Sacramento, last updated Feb. 20, 2014 [Online]. Available: http://www.dot.ca.gov/hq/Local Programs/erp/erp.html. • Ohio Emergency Management Agency Assistance Toolbox “ODPS Ohio Emergency Management Agency Assis- tance Toolbox,” Ohio Emergency Management Agency, Columbus, [Online]. Available: http://ema.ohio.gov/ Recovery_DAToolbox.aspx. CONCLUSIONS Preparedness actions; building relationships with federal, state, and local partners; good business and management practices; and alignment of systems, processes, and technologies with the requirements of the FHWA ER and FEMA PA programs were important in successful reimbursements. In addition, measures to improve the efficiency of emergency work ele- ments assisted state DOTs in meeting important deadlines for emergency work. FHWA and FEMA coordination activities being planned for the FHWA ER and FEMA PA programs, the ongoing changes caused by MAP-21, SRIA, and the 2013 National Review of the Emergency Relief Program recommendations, and FHWA and FEMA initiatives may be beneficial in improving state DOT experiences with the programs. FURTHER RESEARCH Potential research topics identified in this synthesis included the following: • A joint FEMA-FHWA cost model with easy-to-use inter- face for common road repair would be useful (FEMA Headquarters Public Assistance Division Staff, personal communication, June 6, 2013). • Cost-effective damage assessment technologies can assist state DOTs in determining causes of damage and providing eligibility-related documentation for the FHWA ER and FEMA PA programs. • The feasibility of asset tracking technologies and sys- tems and their usefulness for cost recovery purposes need to be explored. • Explore the use of web emergency operations centers (EOCs) for cost and resource tracking. • Research on technology adoption and training methods may be useful.