FEMA and FHWA Emergency Relief Funds Reimbursements to State Departments of Transportation (2015) / Chapter Skim
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109 APPENDIX D Case Studies
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110 APPENDIX D TABLE OF CONTENTS LIST OF CASE STUDY INTERVIEWEES ....................................................................................................... - 1 - California Department of Transportaon (Caltrans)
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113 Maintenance Asset Management Information System (MAMIS)
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114 APPEALS .......................................................................................................................................... - 103 - FEMA Appeals .............................................................................................................................
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115 Emergency Documentation ........................................................................................................ - 116 - Contractor Registra on Database and Payment Process ............................................................
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117 PROJECT CODING ............................................................................................................................ - 168 - Disaster or Emergency Operations .............................................................................................
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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)
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119 FIGURE D - 47: Screenshot of TDOT's BridgeWatchTM Tool. Courtesy: TDOT.
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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
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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
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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.
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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.
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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.
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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)
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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.
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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)
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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)
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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.
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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.
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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.
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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.
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133 Appendix D – Case Studies Page - 14 - Impact: % Complete Cost Estimate Site No. Category Location (Use map location, address, etc.)
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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.
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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.
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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.
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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.
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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.
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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.
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140 Appendix D – Case Studies Page - 21 - being duplicated. Only about 15 DDIRs could be processed in one day.
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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.
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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.
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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)
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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/)
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145 Appendix D – Case Studies Page - 26 - (new additions to the site) were found to have high bandwidth and required additional server capacity.
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146 Appendix D – Case Studies Page - 27 - FIGURE D - 3: (cont.) Screenshot of the Iowa DOT Electronic DDIR.
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147 Appendix D – Case Studies Page - 28 - FIGURE D - 4: (cont.) Screenshot of the Iowa DOT Electronic DDIR.
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148 Appendix D – Case Studies Page - 29 - FIGURE D - 5: (cont.) Screenshot of the Iowa DOT Electronic DDIR.
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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.
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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.
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151 Appendix D – Case Studies Page - 32 - FIGURE D - 9: General Road Condition. Courtesy: Iowa DOT.
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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.
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153 Appendix D – Case Studies Page - 34 - activated when needed. MoDOT also provides liaison staff to the SEMA State EOC when they are activated.
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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)
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155 Appendix D – Case Studies Page - 36 - FIGURE D - 11: Map of Designated Missouri Counties for Declaration DR-4012. Source: "Missouri Flooding (DR-4012)
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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%.
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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.
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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.
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159 Appendix D – Case Studies Page - 40 - FIGURE D - 12: Scour location before occurrence of scour, screenshot of ARAN Viewer. Courtesy: Missouri DOT.
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160 Appendix D – Case Studies Page - 41 - FIGURE D - 13: Scour location immediately after occurrence of scour. Courtesy: Missouri DOT.
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161 Appendix D – Case Studies Page - 42 - FIGURE D - 14: Scour location after completion of repair, screenshot of ARAN Viewer. Courtesy: Missouri DOT.
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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]
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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")
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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)
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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)
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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.
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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.
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168 Appendix D – Case Studies Page - 49 - FIGURE D - 16: NY Disaster Declaration Map for Disaster DR-4129 (Severe Storms and Flooding)
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169 Appendix D – Case Studies Page - 50 - The Governor activated the Office of Emergency Management (OEM) to monitor the disaster and to assist counties.
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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.
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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.
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172 Appendix D – Case Studies Page - 53 - FHWA ER Disaster Damage Inspection Reports (DDIRS) DDIRs are in electronic format and completed by regional staff.
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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.
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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.
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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%)
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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)
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177 Appendix D – Case Studies Page - 58 - 100% = 80%/20% (or 90%/10%)
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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.
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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.
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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.
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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.
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182 Appendix D – Case Studies Page - 63 - FIGURE D - 20: Site Manager Screenshot, Main Panel. Source: "SiteManager Overview," n.d.
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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)
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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?
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185 Appendix D – Case Studies Page - 66 - "New York Severe Storms and Flooding (DR-4129) ," Federal Emergency Management Agency (FEMA)
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186 Appendix D – Case Studies Page - 67 - FIGURE D - 22: DDIR Completion Status Report. Source: Manual of Administrative Procedures 6.2-4, 2013.
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187 Appendix D – Case Studies Page - 68 - FIGURE D - 23: Materials Record. Source: Manual of Administrative Procedures 6.2-4, 2013.
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188 Appendix D – Case Studies Page - 69 - FIGURE D - 24: Labor Record. Source: Manual of Administrative Procedures 6.2-4, 2013.
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189 Appendix D – Case Studies Page - 70 - FIGURE D - 25: Force Account Equipment Record. Source: Manual of Administrative Procedures 6.2-4, 2013.
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190 Appendix D – Case Studies Page - 71 - FIGURE D - 26: Rented Equipment Record. Source: Manual of Administrative Procedures 6.2-4, 2013.
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191 Appendix D – Case Studies Page - 72 - FIGURE D - 27: Contract Costs Record. Source: Manual of Administrative Procedures 6.2-4, 2013.
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192 Appendix D – Case Studies Page - 73 - FIGURE D - 28: Force Account Travel Costs. Source: Manual of Administrative Procedures 6.2-4, 2013.
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193 Appendix D – Case Studies Page - 74 - members would not Tennessee DOT (TDOT) Case Study BACKGROUND Tennessee DOT (TDOT)
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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.
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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.
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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.
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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.
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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.
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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.
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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 Federalaid highways.
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201 Appendix D – Case Studies Page - 82 - DETAILED ASSESSMENT FORM (DAF) A DAF is comprised of several components.
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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.
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203 Appendix D – Case Studies Page - 84 - FIGURE D - 33: Example of a Bad Photo. Courtesy: TDOT.
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204 Appendix D – Case Studies Page - 85 - FIGURE D - 35: Example of a Bad Photo. Courtesy: TDOT.
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205 Appendix D – Case Studies Page - 86 - FIGURE D - 37: Example of a Bad Photo. Courtesy: TDOT.
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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.
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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.
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208 Appendix D – Case Studies Page - 89 - FIGURE D - 41: DAF Cost Estimate Example – May, 2013 Rockslide. Courtesy: TDOT.
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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.
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210 Appendix D – Case Studies Page - 91 - FIGURE D - 44: Maps within a DAF (sample)
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211 Appendix D – Case Studies Page - 92 - FIGURE D - 45: Photos within a DAF. Courtesy: TDOT.
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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.
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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.
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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.
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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.
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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.
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217 Appendix D – Case Studies Page - 98 - FIGURE D - 50: (cont.) Plan of Action Report for bridge inspections.
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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.
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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!
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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.
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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.
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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.
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223 Appendix D – Case Studies Page - 104 - engulfed by the fires. The Texas State Highway runs through this area.
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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.
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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)
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226 Appendix D – Case Studies Page - 107 - FIGURE D - 52: VTrans Functional Directory. Source: VTrans Factbook, 2012.
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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)
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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.
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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.
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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)
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231 Appendix D – Case Studies Page - 112 - DDIRs (interstate sites being the exception) , programming projects, completing work (State system)
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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)
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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.
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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.
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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.
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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.
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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.
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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.)
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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)
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From page 240... ...
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)
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From page 241... ...
241 Appendix D – Case Studies Page - 122 - FIGURE D - 53: Allocation of $1 million of indirect costs among four different cost categories. Courtesy: VTrans.
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From page 242... ...
242 Appendix D – Case Studies Page - 123 - Wisconsin DOT (WisDOT) Case Study BACKGROUND Wisconsin's primary hazards are 1)
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From page 243... ...
243 Appendix D – Case Studies Page - 124 - Bureau of Highway Maintenance (BHM)
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From page 244... ...
244 Appendix D – Case Studies Page - 125 - FIGURE D - 54: Map of Wisconsin Disaster Declaration DR-4141. Courtesy: WisDOT.
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From page 245... ...
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.
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From page 246... ...
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.
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From page 247... ...
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)
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From page 248... ...
248 Appendix D – Case Studies Page - 129 - FIGURE D - 55: Sample Project Worksheet Subgrantee Application. Courtesy: WisDOT.
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From page 249... ...
249 Appendix D – Case Studies Page - 130 - FIGURE D - 56: (cont.) Sample Project Worksheet Subgrantee Application.
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From page 250... ...
250 Appendix D – Case Studies Page - 131 - FIGURE D - 57: (cont.) Sample Project Worksheet Subgrantee Application.
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From page 251... ...
251 Appendix D – Case Studies Page - 132 - TABLE D - 5: Total Cost for Sample Project Worksheet Subgrantee Application. Courtesy: WisDOT.
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From page 252... ...
252 Appendix D – Case Studies Page - 133 - DOCUMENTATION RETENTION Documentation is retained for a minimum of five (5) years.
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From page 253... ...
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.
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From page 254... ...
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.
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From page 255... ...
255 Appendix D – Case Studies Page - 136 - REFERENCES AND LINKS "CHEMS Support – CHEMS," County Highway Expenditure Microcomputer System, Last Modified July 31, 2014, [Online]
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From page 256... ...
256 Appendix D – Case Studies Page - 137 - Arizona Division Of Emergency Management (ADEM) Case Study Arizona Division of Emergency Management (ADEM)
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From page 257... ...
257 Appendix D – Case Studies Page - 138 - PRELIMINARY DAMAGE ASSESSMENT (PDA) Prior to a PDA, the ADOT or LPA does a windshield survey.
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From page 258... ...
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.
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From page 259... ...
259 Appendix D – Case Studies Page - 140 - TABLE D - 6: LEMO Example, Site 1. Courtesy: ADEM.
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From page 260... ...
260 Appendix D – Case Studies Page - 141 - TABLE D - 7: (cont.) LEMO Example, Site 1.
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From page 261... ...
261 Appendix D – Case Studies Page - 142 - TABLE D - 8: (cont.) LEMO Example, Site 1.
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From page 262... ...
262 Appendix D – Case Studies Page - 143 - TABLE D - 9: (cont.) LEMO Example, Site 1.
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From page 263... ...
263 Appendix D – Case Studies Page - 144 - Louisiana Department Of Transportation And Development (DOTD) Case Study Louisiana (LA)
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From page 264... ...
264 Appendix D – Case Studies Page - 145 - Engineering. ESF-1 involves the coordination of all modes of emergency transportation.
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From page 265... ...
265 Appendix D – Case Studies Page - 146 - 2. Call-up of department personnel is in accordance with prescribed departmental policy.
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From page 266... ...
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.
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From page 267... ...
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)
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From page 268... ...
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.
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From page 269... ...
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.
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From page 270... ...
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.
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From page 271... ...
271 Appendix D – Case Studies Page - 152 - FIGURE D - 59: Louisiana DOTD Emergency Operations Center Organization. Courtesy: DOTD.
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From page 272... ...
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.
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From page 273... ...
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 Federalaid routes because these are more heavily traveled than the non-Federal-aid routes.
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From page 274... ...
274 Appendix D – Case Studies Page - 155 - DOTD Facilities Team F (1) DOTD Bridge Teams B (4)
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From page 275... ...
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.
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From page 276... ...
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.
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From page 277... ...
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)
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From page 278... ...
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.
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From page 279... ...
279 Appendix D – Case Studies Page - 160 - A Louisiana Department of Transportation and Development 1.
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From page 280... ...
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.
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From page 281... ...
281 Appendix D – Case Studies Page - 162 - 4. Districts Debris Coordinator a.
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From page 282... ...
282 Appendix D – Case Studies Page - 163 - FIGURE D - 62: Debris Site Approval Process. Courtesy: DOTD.
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From page 283... ...
283 Appendix D – Case Studies Page - 164 - FIGURE D - 63: (cont.) Debris Site Approval Process.
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From page 284... ...
284 Appendix D – Case Studies Page - 165 - Debris Management Procedures a. Temporary Disposal sites (TDS)
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From page 285... ...
285 Appendix D – Case Studies Page - 166 - e. Construction and Demolition (C & D)
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From page 286... ...
286 Appendix D – Case Studies Page - 167 - g. Vessels 1)
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From page 287... ...
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 disasterrelated damages.
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From page 288... ...
288 Appendix D – Case Studies Page - 169 - TABLE D - 11: Emergency Work WBS numbers for Tropical Storm Karen in October 2013. Courtesy: Louisiana DOTD.
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From page 289... ...
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.
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From page 290... ...
290 Appendix D – Case Studies Page - 171 - the field. The information includes assignment rosters, asset tracking information, and task orders along with activation time.
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From page 291... ...
291 Appendix D – Case Studies Page - 172 -
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From page 292... ...
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.
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From page 293... ...
293 Appendix D – Case Studies Page - 174 - organic assets, "systems" and infrastructure are managed through the Maintenance Management System. Situation Report (SITREP)
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From page 294... ...
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.
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From page 295... ...
295 Appendix D – Case Studies Page - 176 - REFERENCES Department of Transportation and Development (DOTD) Debris Management Standard Operating Procedures (SOP)
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From page 296... ...
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.
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From page 297... ...
297 Appendix D – Case Studies Page - 178 - FIGURE D - 65: Hurricane Isaac, 2012 – Debris on LA 39, Braithwaite. Courtesy: Louisiana DOTD.
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From page 298... ...
298 Appendix D – Case Studies Page - 179 - FIGURE D - 66: Hurricane Katrina, 2005 – Damage to I-10 Causeway. Courtesy: Louisiana DOTD.
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Key Terms
This material may be derived from roughly machine-read images, and so is provided only to facilitate research.
More
information on Chapter Skim is available.