fhwa emergency relief program procedures for …...emergency repair work to restore essential...

of 79 September 2008

FHWA EMERGENCY RELIEF PROGRAM PROCEDURESFOR SPONSORS (LOCAL JURISDICTIONS/MUNICIPALITIES)(Supersedes 6.2-3: NATURAL DISASTER EMERGENCY PROCEDURES)

This document has been prepared according to the NYSDOT Manual of AdministrativeProcedures (M.A.P.) procedure. We acknowledge that the document is long, but thedocument is divided into a number of sections to facilitate its use. This version containsonly those sections that Sponsors (local jurisdictions/municipalities) will need. All othersections have been deleted, thus the gaps in the Table of Contents, etc.

Table of ContentsI. Procedure Overview.......……………………………………………………………….2III. Procedural Guidelines...………………………………………………………………..6IV. Steps in Procedure.……..…………………………………………………………….10

A. Emergency Relief Program Authorization Process…...………………...…11F. Sponsor (Municipal/Local Jurisdiction) Process.……..…………………....17

V. Forms in Procedure……....…………………………………………………………...28VI. Related Authoritative Sources.……………………………………………………….29VII. Appendices.…………………………………………………………………….………30

A: Functional Classifications and Program Eligibility Chart.……………….…31D: Eligibility of Damage Repair Work.………………………………………..…33E: Betterment Information.……………………………………………….....……49F: Detailed Damage Inspection Report (DDIR) (FHWA-1547) Form and

Directions for Completing.……………………………..............................…54H: Force Account Cost Documentation Directions for NYSDOT Non-MAMIS

Users, Sponsors (Municipalities/Local Jurisdictions), and New York StateThruway Authority…………………………………………….……….....……60

J: Program of Projects Listing…….…………………………………………..…68K: DDIR Completion Status Report and Directions for Completing………....72L: Final Inspection of Federal-Aid Project NYSDOT Emergency Relief Project

(FHWA-1448C-NYSDOT Modification) Form and Directions forCompleting….…………………………………………………………..……...75


I. PROCEDURE OVERVIEW

Natural disasters and catastrophic events will impact the State’s highway system.Periodically, response and recovery activities will be eligible for reimbursementunder the Federal Highway Administration (FHWA) Emergency Relief (ER)Program, which covers the following functional classifications (FC): Interstates(F/C 01 and 11), Principal Arterials (F/C 02, 12, and 14), Minor Arterials (F/C 06and 16), Urban Collectors (F/C 17), and Rural Major Collectors (F/C 07). (SeeAppendix A for a chart that shows functional classifications covered by theFHWA ER Program.)

Functional classification maps are the source for determining whichhighway/roadway segments are eligible for the FHWA ER Program. FHWA iscurrently reviewing and approving the functional classification maps for the entireState. As the maps are approved, NYSDOT will develop a process for makingthe maps available on its Internet website. The current FC maps are posted onthe NYSDOT internal network at P:\Office of Engineering\TechnicalServices\Highway Data Services Bureau\2000 Functional Class Maps.Functional classification information is also available at each NYSDOT RegionalPlanning and Program Management Group office.

Facility ownership is not a determining factor. Approximately 530 localjurisdictions or municipalities and the New York State Thruway Authority havefacilities eligible to receive Federal reimbursement under the FHWA ER Program.

The applicability of the ER Program to a natural disaster is based on the extentand intensity of the disaster. Damage to ER Program-eligible highways must besevere, occur over a wide area, and result in unusually high expenses to therespective highway agency. The ER Program also applies to catastrophicfailures (sudden and complete failures due to an external cause) and which resultin a disastrous impact on transportation services and unusually high expenses tothe highway agency. Failures due to an inherent flaw in the facility itself wouldnot qualify for ER Program reimbursement.

ER Program reimbursement funds are not intended to cover all damage repaircosts nor interim emergency repair costs that will necessarily restore the facilityto pre-disaster conditions. State and local highway agencies must expectadditional expenditures, changes in project priorities, and some inconvenience totraffic as a result of emergency conditions. Economic hardship is not a factor indetermining repair eligibility.

Emergency repair work to restore essential traffic, minimize the extent ofdamage, or protect the remaining facilities, accomplished in the first 180 daysafter the occurrence of the disaster, may be reimbursed at 100 percent Federalshare. During this 180-day period, permanent repair work is reimbursed at thenormal pro rata Federal-aid share for that facility unless permanent repair is


performed as an incidental part of emergency repair work. Permanent repairsand work accomplished more than 180 days after an event are reimbursed at thepro rata Federal-aid share that would normally apply to the Federal-aid facilitydamaged. For Interstate highways, the Federal share is 90 percent; for all otherhighways, the Federal share is 80 percent.

23 CFR Subpart 668A includes a $700,000 (federal share) disaster eligibilitythreshold to distinguish between heavy maintenance or routine emergency repairand serious damage eligible under the ER Program. The threshold is for theevent, not a local jurisdiction or applicant. A minimum $5,000 in repair costs persite should be used to determine if the extent of repair at a site is beyond thescope of heavy maintenance. (See Site Guidance in Section III. ProceduralGuidelines for additional information.)

The ER Program provides reimbursement for repair and restoration of highwayfacilities to pre-disaster conditions. Restoration in kind is therefore thepredominate type of repair expected to be accomplished with ER Programreimbursement funds. ER Program reimbursement funds are not intended toreplace other Federal-aid, State, or local funds for new construction to increasecapacity, correct non-disaster related deficiencies, or otherwise improve highwayfacilities. See Appendix D for information on eligibility of damage repair work.

Added protective features, such as the relocation or rebuilding of roadways athigher elevation or lengthening or raising bridges, and added facilities notexisting prior to the natural disaster or catastrophic failure, such as additionallanes, upgraded surfacing, or structures are commonly referred to as abetterment. Betterments are not generally eligible for ER Programreimbursement funding unless justified. (See Appendix E for additionalBetterment information.)

The New York State Department of Transportation (NYSDOT) administers theER Program, and initiates the process when the Commissioner sends a Letter ofIntent (LOI) to the FHWA New York Division Administrator requesting theauthorization of the ER Program for an event. The FHWA New York DivisionAdministrator will notify the Commissioner that the ER Program is authorized forthe event or that additional information is needed in order to determine if the ERProgram will be authorized. Once the ER Program is authorized, NYSDOT, theNew York State Thruway Authority and/or Sponsors (municipalities/localjurisdictions) with eligible facilities will begin the preparation of Detailed DamageInspection Report (DDIR) forms (Appendix F) to document damages on eligiblefacilities (based on functional classifications).

Sponsors (municipalities/local jurisdictions) and NYSDOT Regional organizationssubmit completed DDIR forms to the Regional ER Coordinator in the RegionalPlanning and Program Management Group, which confirms facility eligibility andchecks for completeness of each DDIR. The Regional ER Coordinator forwards


the Regional and Sponsor DDIRs to the ER Unit in the Main Office LocalPrograms Bureau. The New York State Thruway Authority also submits theircompleted DDIR forms to the Main Office ER Unit. Upon receipt of DDIR formsfrom the Regional ER Coordinator(s) and/or from the Thruway Authority Managerof Emergency Funding Recovery, the ER Unit prepares the Program of ProjectsListing (Appendix G) and the transmittal letter for the Local Programs BureauDirector to sign. The signed letter and attachments (DDIRs, Program of ProjectsListing and/or additional requested information) are sent to the FHWA New YorkDivision Administrator. FHWA staff review the Program of Projects Listing andDDIRs and either approve the project(s)/DDIR(s), deny the project(s)/DDIR(s), orrequest additional information. An FHWA Area Engineer may arrange to visit asite in order to determine eligibility. The FHWA New York Division Administratornotifies the Local Programs Bureau Director of their determinations. The ER Unitnotifies the Regional Planning and Program Manager(s) and the Regional ERCoordinator(s), and the Thruway Authority Manager of Emergency FundingRecovery where applicable, of the FHWA determination(s). This process may berepeated as additional DDIRs are received, requested information is received,and/or revisions to previously-approved DDIRS need to be transmitted to FHWA.

Concurrently as repair work is being done, other steps/activities occur.Additional DDIRs may be prepared, requests to withdraw previously submittedDDIRs, and/or revisions to previously-approved DDIRs may be submitted.Contracts/agreements are processed for the Sponsors (municipalities/localjurisdictions) with approved projects/DDIRs. Federal PINs are assigned by theRegional Planning and Program Management Group for all DDIRs.

Once eligible work is completed on a project/DDIR, the Regional ER Coordinatorarranges for a final inspection to be done, including completion of the FinalInspection of Federal-Aid Project NYSDOT Emergency Relief Project (FormFHWA-1448C–NYSDOT Modification) (Appendix L). The Regional ERCoordinator may do the Final Inspection or arrange for someone else to do. ForSponsor (municipal/local jurisdiction) projects, the Final Acceptance of LocallyAdministered Federal-Aid Project form (NYS 1446-LA) must also be completed.The Regional ER Coordinator submits the required documentation to the ERUnit, which reviews and then submits the required information to the Main OfficeAccounting Bureau for processing–either payment to the Sponsor(municipality/local jurisdiction) or NYS Thruway Authority, and/or the necessarybilling to FHWA for reimbursement, including NYSDOT projects.

Response and recovery activities on the Rural Minor Collectors (F/C 08), LocalUrban Roads (F/C 19), and Rural Local Roads (F/C 09), and some event-associated costs may be eligible for reimbursement under the FederalEmergency Management Agency (FEMA) Public Assistance (PA) Program. AManual of Administrative Procedures (M.A.P.) procedure will be developed forinformation about obtaining reimbursement under the FEMA Public AssistanceProgram.


The ER Program may be authorized without a corresponding FEMA PA Programbeing declared, and vice versa. Having one does not guarantee that the otherwill automatically be authorized/declared.


III. PROCEDURAL GUIDELINES

A critical component of the Emergency Relief (ER) Program is the developmentof the Detailed Damage Inspection Report (DDIR) forms (see Appendix F).DDIRs are estimates; the important “detailed” items are the “location” and “description of damage” boxes. FHWA usually will reimburse final costs thatexceed the estimates when the location and description of damage(s) have notbeen changed from the approved DDIR/project.

The FHWA New York Division has provided the following DDIR preparationguidance.A. Estimates for repairs must be separated by route or general

area/vicinity/drainage area and not be included in the same DDIR asdebris clearance activities, unless the debris clearance is directlyassociated with the damage.

B. Debris clearance (debris is anything deposited where it does not belong,such as trees and gravel) and damaged traffic signs and signals can bedone on a jurisdiction-wide basis, but need to be on separate DDIRs.

C. DDIRs are not to cover more than one (1) county.D. Site Guidance: generally a site is an individual location where damage has

occurred. However, exceptions do occur.1. A site could include several adjoining locations where similar

damage, related to the same cause, has occurred. For example,where flooding waters in a drainage course that runs along orcontinually crosses under a highway has caused damage at severallocations within a reasonable distance to each other, it would beacceptable to package these together as a single site.

2. A site could involve damage to traffic signs, signals, and guiderailwhich has occurred at several locations on an area-wide basis. Inthis case, it would be acceptable to group these locations by routeor jurisdiction, with the accumulated amount considered a site.Specific site locations of the damaged equipment must be provided.Stating “all ER Program-eligible routes” is not acceptable; list routes and specific locations in the “Location” boxor on an attachment.

3. A site could involve tree debris which has occurred over a largearea. In this case, the site could be the county. Where the needfor debris removal is continuous such that crews do not need tomount or dismount to travel from one debris pile/location to anotheron a route, the work on that route in that jurisdiction may becombined in a single DDIR. Where the debris is discontinuous,such that a crew travels from site to site on a route within ajurisdiction, the work may be combined in a single DDIR with adescription of the specific site locations in the “Location” box on the DDIR or on an attachment to the DDIR. Where the debris is inscattered locations such that crews are clearing multiple routes


within a jurisdiction, a DDIR should be prepared for each site,unless they are reasonably located together/near each other.

4. If a particular route had road shoulder damage at several locationsand a bridge washout, these would be two (2) sites–one for theshoulder damage and one for the bridge washout, unless theshoulder damage is associated with the bridge washout.

5. Aggregating locations together to form a site should be done withcare, bearing in mind that the intent of the ER Program is not to payfor highway damage repairs that a transportation agency wouldnormally perform as heavy maintenance.

E. Description of Damage: this should include information that describes thedamage, notthe work to be done to repair the damage. “Repair flood damage” does not describe the damage. Describe the nature, extent, etc., of the damage. If a culvert needs to be relined, describe the nature of thedamage, etc., to justify the relining.

F. Debris Clearance Guidance: the clearing limits for debris includingdowned timber, normally should include the traveled way, cut and fillslopes, and any additional clearing required to assure the full functioningof the pavement, drainage ditches and structures, including the clear zonefor safety. The timber and debris removal operations should conform tothe standards of safety for that particular route. Structures in an urbanarea would include curbs and sidewalks.

G. Betterments: FHWA pre-approval, which is based on an economicanalysis, is required. Betterments are “added protective features, such as rebuilding of roadways at a higher elevation or the lengthening of bridges,or changes which modify the function or character of a highway facilityfrom what existed prior to the disaster or catastrophic failure, such asadditional lanes or added access control.” This also includes increasing the size of drainage structures, installing riprap, etc. When consideringbetterments, FHWA participation in the review and decision-makingprocess is essential. This involvement will probably be necessary beforean ER Program is authorized. See Appendix E for BettermentInformation.

Emergency versus Permanent RepairsBoth emergency repairs and permanent repairs are eligible for ER Programreimbursement. Emergency repairs are those repairs made during andimmediately following a disaster (within 180 days of the event) to restoreessential traffic, to minimize the extent of damage, or to protect theremaining facilities. Permanent repairs are repairs undertaken, normally afteremergency repairs have been completed, to restore the highway to its pre-disaster condition. It is important to distinguish between emergency andpermanent repairs because emergency repairs accomplished during the first 180days after the occurrence of the disaster are funded at a 100% Federal shareversus the usual pro rata Federal-aid share (80% or 90% [Interstates]).


Generally, emergency repairs are repairs made during and immediatelyfollowing a disaster to restore essential traffic, to minimize the extent ofdamage, or to protect the remaining facilities. The State and localtransportation agencies are empowered to begin emergency repairs immediately.Properly documented costs will later be reimbursed once the FHWA DivisionAdministrator makes a finding that the disaster is eligible for ER Programreimbursement. Any such work may subsequently be included in an ER Programof Projects, which, when submitted for approval, should include both emergencyrepairs and any permanent restoration work performed coincidentally withemergency repairs.

The intent of emergency repairs is to permit the immediate performance of workto restore essential traffic that cannot wait for a finding of eligibility andprogramming of a project. Emergency repair work should be accomplished in amanner that will reduce additional work required for permanent repairs.

There may be situations where immediate completion of the permanent work isthe most economical and feasible operation to quickly restore essential traffic.An example would be the washout of a bridge and its approaches withconstruction of a detour being both costly and time-consuming, but the agencyinvolved having precast concrete girders readily available that could be used atthe site. In such a case, immediate construction of the permanent structure andapproaches could be accomplished at the discretion of the State, and approvalby FHWA of the permanent repair would be handled as an emergency repair.

The placement of the final high-type pavement is normally considered permanentrepair. If performed as emergency work, such paving must have FHWAconcurrence to be eligible for Federal participation. A determination of whetheror not the work should be performed as emergency or permanent should takeinto account traffic characteristics, remoteness of the site, traffic controlrequirements, and socioeconomic factors.

Permanent restoration work is not eligible if performed prior to authorization bythe FHWA, unless it is determined to be more economical or practical to performsuch work as an associated part of the emergency repairs. Documentation ofthis is required.

When an active construction project suffers damage during an authorized event,the resulting rehabilitation/repair work must be clearly established to be beyondthe responsibility of the contractor. When appropriate, the supportingdocumentation should include a statement from the contractor’s insurance carrier that the damage is not covered by the contractor’s insurance, as well as a statement from the Engineer in Charge as to why the damage is not thecontractor’s responsibility.


Permanent repair and reconstruction work not accomplished as emergencyrepairs must be done by a competitive bid contract method unless the Applicantdemonstrates some other method is cost effective as described in 23 CFR Part635.204. When permanent repair work not accomplished as emergency repairsis performed under a contract awarded by a local public agency, all Federalcontract provision requirements outlined or referred to in 23 CFR Part 633A shallbe met.

Unless there is satisfactory justification for project delay to warrant its retention,projects for permanent repairs that have not advanced to construction obligationby the end of the second Federal fiscal year following the year in which thedisaster occurred cannot be authorized. Justification for such delay and therequest for a time extension must be submitted to the FHWA New York DivisionAdministrator for approval. Time extensions are granted in one-year increments.


IV. STEPS IN PROCEDURE

This Procedure has seven (7) Processes (A through G). Process A delineatesthe process to obtain authorization for an Emergency Relief (ER) Program, andProcesses B through G delineate the processes and unique situations for thedifferent applicants and/or methods by which work is performed:A. Emergency Relief Program Authorization ProcessB. NYSDOT MAMIS Force Account ProcessC. NYSDOT Non-MAMIS Force Account ProcessD. NYSDOT Contract Process, including Emergency/Where and When

Contracts, Job Order Contracts, Statewide Emergency Bridge Contract,Orders on Existing Contracts, and Contracts Awarded Specifically toRemediate Event Damage(s)

E. NYSDOT Process for Arranging for Required Work on the NYSDOTSystem to Be Performed by a Municipality/Local Jurisdiction

F. Sponsor (Municipal/Local Jurisdiction) ProcessG. New York State Thruway Authority Process

Each Process is a “stand alone document”; i.e., if you are preparing a DDIR for asite where costs were captured in MAMIS, you will only need Process B; if youare a Sponsor (local jurisdiction/municipality), you will only need Process F; etc.

NOTE REGARDING NYSDOT EMERGENCY CONTRACT RESPONSE

If a NYSDOT transportation facility emergency occurs where there is “danger to life, limb, property, public health and safety, or essential services”, NYSDOT may respond using State forces or using an appropriate contractual method(s).Generally, except in limited situations as declared by the Governor, NYSDOTcan only respond to emergencies associated with their highway system.

When an emergency occurs, NYSDOT response should be considered in thefollowing hierarchical order:1. Transportation Maintenance forces, including crews, equipment, materials,

and other resources.2. Activate an appropriate existing Regional response contract, including

Emergency/Where and When, or Job Order Contract.3. For Regions 1 through 10, activate the Statewide Emergency Bridge

Contract, which requires activation by the Chief Engineer at the request ofthe Regional Director.

4. Secure a Contractor using the NYSDOT draft contract “Procedure for Emergency Work”, which requires activation by the Commissioner at the request of the Regional Director.

5. If damage occurs within the contract limits of an active NYSDOTconstruction contract, the Contractor will repair the damage in accordancewith the provisions of Section 107-09 of the Standard Specifications.


A. Emergency Relief Program Authorization ProcessThese steps pertain to all processes and applicants; i.e., those steps required toget an Emergency Relief (ER) Program authorized by the FHWA New YorkDivision Administrator.-Some steps in this Section will occur concurrently with steps in Processes B, C,D, E, F, and G.-A number of the following steps will be repeated until all FHWA New YorkDivisionAdministrator’sdeterminations are known.-The additional, relevant administrative steps are included in the appropriateProcesses that follow this Process.

HIGHWAY PERSONNEL (NYSDOT, SPONSORS [LOCALJURISDICTIONS/MUNICIPALITIES], NYS THRUWAY AUTHORITY)

1. Respond to the situation, including activities to protect the travelingpublic, restore traffic, make necessary emergency repairs, etc.

NYSDOT RESIDENT ENGINEER(S), LOCAL HIGHWAYSUPERINTENDENT(S)/SUPERVISOR(S)/COMMISSIONER(S),

AND/OR NYS THRUWAY AUTHORITY MANAGER OF EMERGENCYFUNDING RECOVERY

2. Notifies the appropriate REOC (NYSDOT Regional EmergencyOperations Center) Emergency Organization, Regional Director ofOperations/Regional Maintenance Engineer, Regional EmergencyManager, Regional ER (Emergency Relief) Coordinator, or ER Unitstaff of damage(s) and/or rough damage cost estimates on ERProgram-eligible facilities.

STATEWIDE TRANSPORTATION INFORMATION ANDCOORDINATION CENTER (STICC)

3. When aware of a potential or actual emergency situation, but withno or very limited information, contacts the REOC EmergencyOrganizations, Regional Directors of Operations/RegionalMaintenance Engineers, Regional Emergency Managers, and/orER Unit staff to request they determine the extent of damage(s)and/or any rough cost estimates on ER Program-eligible facilities.

REOC EMERGENCY ORGANIZATIONS, REGIONAL DIRECTORS OFOPERATIONS/REGIONAL MAINTENANCE ENGINEERS, REGIONAL

EMERGENCY MANAGERS, REGIONAL ER COORDINATORS,AND/OR ER UNIT STAFF

4. Contact the NYSDOT Resident Engineers, Local HighwaySuperintendents/Supervisors/Commissioners, and the Thruway


Authority Manager of Emergency Funding Recovery to getinformation as to the extent of damage(s) and/or any rough costestimates on ER Program-eligible facilities.

5. Notifies the STICC of the extent of damage(s) and/or any roughcost estimates on ER Program-eligible facilities.

STICC

6. Notifies the STICC Finance/Administration Section or the ER Unit(when the STICC Finance/Administration Section has not beenmobilized or has been demobilized) of the extent of damage(s)and/or any rough cost estimates on ER Program-eligible facilities.

ER UNIT

7. Compiles the information on the extent of damages and/or roughcost estimates to determine if the $700,000 event threshold will bemet.

8. If so, prepares the Letter of Intent (LOI) to the FHWA (FederalHighway Administration) New York Division Administrator, attachesthe Governor’s Executive Order for a State Disaster Emergency (ifissued) or a copy of the Governor’s request to the President for a major disaster declaration under the Disaster Relief Act (P.L. 93-288) (if requested), and gets the necessary approvals so theCommissioner can sign the LOI within 30 days of the event onset.

9. If unable to determine within 30 days of the event onset if thethreshold will be met, preparesthe LOI, attaches the Governor’s Executive Order for a State Disaster Emergency (if issued) or acopy of the Governor’s request to the President for a major disaster declaration under the Disaster Relief Act (P.L. 93-288) (ifrequested), and gets the necessary approvals so the Commissionercan sign the LOI that states that cost estimates and/or actual repaircosts are still being compiled and that the information will beprovided as soon as available. (The LOI must be signed andsubmitted within 30 days of the event onset.)

10. If the Governor has not issued an Executive Order for a StateDisaster Emergency or sent a request to the President for a majordisaster declaration under the Disaster Relief Act (P.L. 93-288),prepares for the Commissioner to send to the Governor a draftletter that describes the existence of the emergency.


COMMISSIONER

11. Within 30 days of the event onset, signs the LOI to the FHWA NewYork Division Administrator.

12. If the Governor has not issued an Executive Order for a StateDisaster Emergency or sent a request to the President for a majordisaster declaration under the Disaster Relief Act (P.L. 93-288),sends to the Governor the draft letter prepared by the ER Unit.

ER UNIT

13. Sends the signed LOI to the FHWA New York DivisionAdministrator and a copy to Distribution List A (see Appendix B).Places a copy in the “event file.”

FHWA EMERGENCY RELIEF PROGRAM ENGINEER

14. Contacts the ER Unit to arrange for at least one (1) site visit in eachcounty to be included in the ER Program authorization. This stepmay be done before or after the ER Program is authorized for therequested event, and/or for selected Detailed Damage InspectionReport (DDIR) forms.

ER UNIT

15. Notifies the appropriate Regional ER Coordinator(s) and/or theNYS Thruway Authority Manager of Emergency Funding Recoverythat the FHWA Area Engineer will be contacting them to schedulethe necessary site visit(s).

REGIONAL ER COORDINATOR(S)

16. Makes the necessary arrangements with the FHWA Area Engineerand Applicant(s) (NYSDOT and/or Sponsors [municipalities/localjurisdictions]) for the necessary site visit(s).

FHWA NEW YORK DIVISION ADMINISTRATOR

17. Notifies the Commissioner that ER Program funds are eitherauthorized for the event, denies the request, or acknowledgesreceipt of the LOI and requests additional information tosubstantiate the need for an ER Program authorization.


COMMISSIONER

18. Notifies the Local Programs Bureau Director of the FHWA NewYork Division Administrator’s determination–approved, denied, orpending receipt of additional information.

LOCAL PROGRAMS BUREAU DIRECTOR

19. Notifies the ER Unit Coordinator of the FHWA determination–approved, denied, or pending receipt of additional information.

ER UNIT STAFF

20. Sends a copy ofthe FHWA New York Division Administrator’s determination to Distribution List B (see Appendix C). Places acopy in the “event file.”

21. When the ER Program is authorized, notifies the Regional ERCoordinator(s) and/or the NYS Thruway Authority Manager ofEmergency Funding Recovery of the need to prepare and submitthe Detailed Damage Inspection Report (DDIR) form(s) to the ERUnit within three (3) weeks of being notified of the need to prepareDDIRs. Notifies the Regional ER Coordinator(s) of the indirect costrate (which includes fringe benefits) to use when preparing DDIRsfor NYSDOT MAMIS and non-MAMIS Force Account costs.Reminds them to include a map that shows location and photosthat show site damage.

22. If the FHWA New York Division Administrator requests additionalinformation and/or requests that the FHWA Area Engineer(s) do asite visit(s) in order to determine the need for an ER Program to beauthorized, requests that the Regional ER Coordinator(s) and/orNYS Thruway Authority Manager of Emergency Funding Recoveryprovide the necessary information and/or make the necessaryarrangements with the FHWA Area Engineer(s) and appropriateRegional, Sponsor (municipal/local jurisdiction) and/or ThruwayAuthority staff.


23. Notifies the Regional Emergency Manager and/or Regional Directorof Operations/Regional Maintenance Engineer, and Local HighwaySuperintendent(s)/Supervisor(s)/Commissioner(s) with ERProgram-eligible facilities of the additional information FHWA needsto make a determination; that the FHWA Area Engineer(s) needs todo a site visit(s); and/or that DDIRs need to be prepared and


submitted within two (2) weeks of being notified of the need toprepare DDIRs. Notifies the Regional Emergency Manager and/orRegional Director of Operations/Regional Maintenance Engineer ofthe indirect cost rate (which includes fringe benefits) to use whenpreparing DDIRs for NYSDOT MAMIS and non-MAMIS ForceAccount costs. Reminds them to include a map that shows locationand photos that show site damage. Regional staff may assistSponsor (municipal/local jurisdiction) officials to prepare the DDIRs.

24. Reviews the DDIR(s) for eligibility and completeness, makes two(2) copies of each, keeps one (1) copy, and submits the originaland one (1) copy to the ER Unit. This step may be done multipletimes, since DDIRs are to be sent as received.

25. May request that the ER Unit contact FHWA to arrange for theappropriate FHWA Area Engineer to do a site visit(s) to assist indetermining ER Program eligibility.

ER UNIT

26. Reviews the DDIR(s) for eligibility and completeness, and preparesthe Program of Projects Listing and transmittal letter for the LocalPrograms Bureau Director. When a DDIR is amended, sends acopy to the Regional ER Coordinator or the Thruway AuthorityManager of Emergency Funding Recovery. This step may be donemultiple times, since DDIRs are sent as received.

27. When contacted by the Regional ER Coordinator(s) and/or the NYSThruway Authority Manager of Emergency Funding Recovery,and/or after reviewing the DDIR(s), contacts the FHWA EmergencyRelief Program Engineer to request that the appropriate FHWAArea Engineer(s) do a site visit(s) to assist in determining ERProgram eligibility.


28. When receives from the ER Unit an amended copy of a DDIR,makes and sends a copy to the Regional Emergency Managerand/or Regional Director of Operations/Regional MaintenanceEngineer, and Local Highway Superintendent(s)/Supervisor(s)/Commissioner(s).



29. Signs the letter to transmit the requested information and/or theDDIR(s), with attachments, and the Program of Projects Listing tothe FHWA New York Division Administrator.

ER UNIT

30. Sends the signed letter, Program of Projects Listing, and originalsof the DDIR(s), including attachments, to the FHWA New YorkDivision Administrator; electronically sends the Program of ProjectsListing to the FHWA Emergency Relief Program Engineer; andsends a copy of the signed letter and the Program of ProjectsListing to Distribution List A (see Appendix B). Places a copy of theletter, Program of Projects Listing, and DDIRs, includingattachments,in the “event file.”


31. Notifies the Local Programs Bureau Director of their review andeligibility determination(s) for the DDIRs and Program of ProjectsListing.


32. Notifies the ER Unit Coordinator of the FHWA New York DivisionAdministrator’s determination(s).

ER UNIT

33. Sends the FHWA New York Division Administrator’s determination(s), including a copy of the Program of ProjectsListing with the FHWA determination(s), to Distribution List B (seeAppendix C). Places a copy in the “event file.”


F. Sponsor (Municipal/Local Jurisdiction) ProcessSome of the following steps will occur concurrently as well as multiple times.

NYSDOT STAFF

1. Concurrently with some of the initial Process A steps, necessarymonitoring activities occur.

SPONSOR (MUNICIPAL/LOCAL JURISDICTION) PERSONNEL

2. Concurrently with some of the initial Process A steps, necessarymonitoring and response activities occur.

3. Evaluate the situation(s) on their ER Program-eligible facility(ies),and determine how work will be done–own forces and/or contract.

4. Notify the Regional ER Coordinator of the extent of damage(s)and/or any rough cost estimate(s) on their ER Program-eligiblefacility(ies).

5. Perform required response and/or remediation work and capture allassociated costs (labor, equipment use, materials/supplies) until allrequired response and/or remediation work is completed on theirER Program-eligible facilty(ies).


6. May contact Sponsor (municipal/local jurisdiction) HighwaySuperintendent(s)/Supervisor(s)/Commissioner(s) for damage(s)and/or any rough cost estimate(s) on their ER Program-eligiblefacility(ies). Provides this information to the REOC (RegionalEmergency Operations Center) Finance/Administration SectionChief if mobilized, and to the ER Unit.

ER UNIT

7. Sends a copy of the FHWA (Federal Highway Administration) NewYork Division Administrator’s determination to Distribution List B(see Appendix C). Places a copy in the “event file.”

8. When the ER Program is authorized, notifies the Regional ERCoordinator(s) of the need to prepare and submit the DetailedDamage Inspection Report (DDIR) form(s) to the ER Unit withinthree (3) weeks of being notified of the need to prepare DDIRs.Reminds them to include a map that shows location and photosthat show site damage.


9. If the FHWA New York Division Administrator requests additionalinformation and/or requests that the FHWA Area Engineer(s) do asite visit(s) in order to determine the need for an ER Program to beauthorized, requests that the Regional ER Coordinator(s) providethe necessary information and/or make the necessaryarrangements with the FHWA Area Engineer(s) and appropriateSponsor (municipal/local jurisdiction) staff.


10. Notifies the appropriate Sponsor(s) (municipality(ies)/localjurisdiction(s)) of the additional information FHWA needs to make adetermination; that the FHWA Area Engineer(s) needs to do a sitevisit(s); and/or that DDIRs need to be prepared and submittedwithin two (2) weeks of being notified of the need to prepare DDIRs.Reminds them to include a map that shows location and photosthat show site damage. May need to arrange for Regionalpersonnel to assist the Sponsor(s) with DDIR preparation.

SPONSOR (MUNICIPAL/LOCAL JURISDICTION) PERSONNEL

11. Prepare the DDIRs according to Site Guidance in Section III.Procedural Guidelines. May ask the Regional ER Coordinator torequest that the FHWA Area Engineer makes a site visit(s) to assistin determining ER Program eligibility. Periodically review DDIRs todetermine if revisions are needed; if so, prepare revised DDIR(s).(A revised DDIR should be prepared when the location needs to berevised, the description/scope of damage has changed, and/orwhen significant cost increases or decreases are identified.)

12. Submit the completed DDIR(s) to the Regional ER Coordinator.


13. Reviews the DDIR(s) for eligibility and completeness, makes two(2) copies of each, keeps one (1) copy, and submits the originaland one (1) copy to the ER Unit. This step may be done multipletimes, since DDIRs are to be sent as received.

14. May request that the ER Unit contact FHWA to arrange for theappropriate FHWA Area Engineer to do a site visit(s) to assist indetermining ER Program eligibility.


ER UNIT

15. Reviews the DDIR(s) for eligibility and completeness, and preparesthe Program of Projects Listing and transmittal letter for the LocalPrograms Bureau Director. When a DDIR is amended, sends acopy to the Regional ER Coordinator. This step may be donemultiple times, since DDIRs are sent as received.

16. When contacted by the Regional ER Coordinator(s) and/or afterreviewing the DDIR(s), contacts the FHWA Emergency ReliefProgram Engineer to request that the appropriate FHWA AreaEngineer(s) do a site visit(s) to assist in determining ER Programeligibility.


17. Signs the letter to transmit the requested information and/or theDDIR(s), with attachments, and the Program of Projects Listing tothe FHWA New York Division Administrator.

ER UNIT

18. Sends the signed letter, Program of Projects Listing, and originalsof the DDIR(s), including attachments, to the FHWA New YorkDivision Administrator; electronically sends the Program of ProjectsListing to the FHWA Emergency Relief Program Engineer; andsends a copy of the signed letter and the Program of ProjectsListing to Distribution List A (see Appendix B). Places a copy of theletter, Program of Projects Listing, and DDIR(s), includingattachments,in the “event file.”

19. Notifies Distribution List B (see Appendix C) of the FHWA NewYork Division Administrator’s determination(s), including a copy ofthe Program of Projects Listing with the FHWA determination(s).Places a copy in the “event file.”


20. When receives from the ER Unit an amended copy of a DDIR,makes and sends a copy to the Sponsor (municipality/localjurisdiction).

21. Notifies the Sponsor(s) (municipality(ies)/local jurisdiction(s)) of theFHWA determination(s), and determines if the Sponsor wants tobegin the Contract/Agreement process now or wait until eligiblework is completed.


REGIONAL PLANNING AND PROGRAM MANAGEMENT GROUP(S)

22. Assigns the six-digit PIN(s) for approved project(s)/DDIR(s); entersthe number into the Program Support System (PSS); and sends ane-mail to the Project Management Bureau, with a copy to the ERUnit, asking them to request Federal Aid authorization.

PROJECT MANAGEMENT BUREAU

23. Prepares the Federal Aid Request Form (FARF 307) and sends tothe Main Office Accounting Bureau–Federal Aid Unit.

MAIN OFFICE ACCOUNTING BUREAU–FEDERAL AID UNIT

24. Uses the Federal Aid Request Form (FARF 307) to enter therequest into the Fiscal Management Information System (FMIS) asElectronic Form FMISD05A, which automatically sends the requestto FHWA.

25. May need to identify other Federal funds until ER Program fundsare available. If so, monitors availability of additional ER Programfunds.

FHWA

26. Upon receipt of the Electronic Form FMISD05A, approves funding,prepares the Project Agreement (PR 2), and sends to the MainOffice Accounting Bureau–Federal Aid Unit.


27. Sends the Project Agreement (PR 2) to the Project ManagementBureau, with a copy to the ER Unit.


28. Completes electronically FIN 207 (Miscellaneous ProjectAuthorization) to establish the nine-digit Federal PIN(s), whichautomatically puts the nine-digit PIN(s) into the Accounting System;notifies the Regional Planning and Program Management Groupwith a copy to the ER Unit.



29. Prepares and sends five (5) copies of the Agreement to theSponsor(s) (municipality(ies)/local jurisdiction(s)).

SPONSOR(S) (MUNICIPALITY(IES)/LOCAL JURISDICTION(S))

30. Has resolution authorizing participation in the FHWA EmergencyRelief Program passed by its governing body.

31. Signs and returns five (5) copies of the Agreement to the RegionalPlanning and Program Management Group. May do this stepbefore response and/or remediation work is completed by usingestimates to complete Schedule A; or may wait until final costs areknown and use to complete Schedule A.


32. Attaches to the Agreement a copy of the FHWA New York DivisionAdministrator’s letter that authorized the ER Program for the event; highlights the appropriate project(s)/DDIR(s) on the Program ofProjects Listing with the FHWA determinations and attaches;attaches a copy of the PR 2: and sends three (3) copies of thesigned Agreement and attachments and the five (5) copies of thesignature page to the Contract Management Bureau.

CONTRACT MANAGEMENT BUREAU

33. Checks the Agreement(s) for completeness, assigns a contractnumber, has signed by the appropriate Department official, andsends to the Main Office Accounting Bureau–Appropriations Unit.

MAIN OFFICE ACCOUNTING BUREAU–APPROPRIATIONS UNIT

34. Uses Schedule A of the Agreement to complete FormAC340/FIN174C (Contract Encumbrance Request) to encumberfunds for the Contract/Agreement payment(s), and sends theAgreement and attached documents to the Contract ManagementBureau.


35. Sends the Agreement and attached documents to the AttorneyGeneral’s Office.


ATTORNEY GENERAL’S OFFICE

36. Reviews and approves the Agreement(s) and sends to the Office ofthe State Comptroller.

OFFICE OF THE STATE COMPTROLLER

37. Reviews and approves the Agreement(s) and returns two (2) copiesof the Agreement(s) and four (4) copies of the signature page(s)with original signatures to the Contract Management Bureau.


38. Sends one (1) copy of the fully executed Agreement(s) to theAccounting Bureau–Expenditures Unit, and sends two (2) copiesof the signature page with original signatures to the appropriateRegional Planning and Program Management Group.


39. Sends one (1) copy of the fully executed Agreement (with thesignature page) to the Sponsor (municipality/local jurisdiction).

SPONSOR(S) (MUNICIPALITY(IES)/LOCAL JURISDICTION(S))

40. When ER-eligible work for a DDIR is completed, prepares the costdocumentation (see directions in Appendix H); completes FIN 424(Sponsor’s Payment Request), FIN 422c (Sponsor’s Payment Request Continuation), and FIN 423b (Sponsor’s Payroll Abstract), which are attached to a copy of the appropriate DDIR; and sends tothe Regional ER Coordinator.


41. Monitors the status of all Sponsor (municipal/local jurisdiction)DDIRs, and when necessary follows-up with the appropriateSponsor personnel to get the final cost documentation when work iscompleted.

42. When determines that an FHWA-approved DDIR needs to bewithdrawn, notifies the ER Unit, including reason for withdrawal.

43. Monitors the need for time extension requests. When needed,works with the appropriate Sponsor staff to prepare information tojustify the time extension request. (Unless there is satisfactoryjustification for project delay to warrant its retention, projects for


permanent repairs that have not advanced to constructionobligation by the end of the second Federal fiscal year following theyear in which the disaster occurred cannot be authorized.Justification for such delay and request for time extension must besubmitted to the FHWA New York Division Administrator forapproval. Time extensions are granted in one-year increments.)Sends the information to the ER Unit.

44. Monitors the status of outstanding project(s)/DDIR(s) to be able torespond to FHWA inquiries regarding ER Program funding needs.

ER UNIT

45. Prepares for the Local Programs Bureau Director the transmittalletter requesting an FHWA-approved DDIR(s) be withdrawn and/ora time extension request, and revises the Program of ProjectsListing. This step may be done multiple times, since sendswithdrawal and time extension requests as received.


46. Signs the letter to transmit the withdrawal and/or time extensionrequest(s), and the revised Program of Projects Listing to theFHWA New York Division Administrator.

ER UNIT

47. Sends the signed letter, copy of the approved DDIR(s) withexplanation/justification attached, and the revised Program ofProjects Listing to the FHWA New York Division Administrator;electronically sends the revised Program of Projects Listing to theFHWA Emergency Relief Program Engineer; and sends a copy ofthe signed letter and revised Program of Projects Listing toDistribution List A (see Appendix B). Places a copy of the letter,revised Program of Projects Listing, and DDIR(s), includingattachments, in the “event file.”


48. Notifies the Local Programs Bureau Director of their review andeligibility determination(s).




ER UNIT

50. Notifies Distribution List B (see Appendix C) of the FHWA NewYork Division Administrator’s determination(s), including a copy of the revised Program of Projects Listing with the FHWAdetermination(s). Places a copy in the “event file.”


51. Reviews for completeness and accuracy the cost documentation(which is attached to a copy of the appropriate DDIR), FIN 424(Sponsor’sPayment Request), FIN 422c (Sponsor’s Payment Request Continuation), and FIN 423b(Sponsor’s Payroll Abstract);arranges for or conducts the final inspection and reviews orprepares the Final Inspection of Federal-Aid Project NYSDOTEmergency Relief Project (FHWA-1448C-NYSDOT Modification)form(s) for each DDIR, which is attached to the top of the costdocumentation packet; makes two (2) copies of the package; keepsone (1) copy; and sends the original and one (1) copy to the ERUnit. If a Project (DDIR) was revised after the Agreement wasinitially submitted and approved, attaches and highlights theappropriate revised project(s) from the appropriate pages of the,revised approved Program of Projects Listing.

52. When a significant cost over-run or under-run has occurred on aproject, makes certain that an explanation is included on the FinalInspection of Federal-Aid Project NYSDOT Emergency ReliefProject (FHWA-1448C-NYSDOT Modification) form(s), makes two(2) copies of the package, keeps one (1) copy, and sends theoriginal and one (1) copy to the ER Unit.

53. Records final cost amounts on the approved Program of ProjectsListing.

ER UNIT

54. Approximately three (3) months after the ER Program is authorizedand approximately every three (3) months thereafter, notifies theRegional ER Coordinator(s) to submit a DDIR Completion StatusReport for all Regional (NYSDOT and Sponsor [Municipal/LocalJurisdiction]) DDIRs.



55. When requested by the ER Unit, prepares and submits a DDIRCompletion Status Report for all Regional (NYSDOT and Sponsor[Municipal/Local Jurisdiction]) DDIRs.

ER UNIT

56. Reviews for completeness and accuracy the cost documentation(which is attached to a copy of the appropriate DDIR), FIN 424(Sponsor’s Payment Request), FIN 422c (Sponsor’s Payment Request Continuation), and FIN 423b (Sponsor’s Payroll Abstract), and Final Inspection of Federal-Aid Project NYSDOT EmergencyRelief Project (FHWA-1448C-NYSDOT Modification) form(s) foreach DDIR, which is attached to the top of the cost documentationpacket; keeps a copy of the Final Inspection of Federal-Aid ProjectNYSDOT Emergency Relief Project (FHWA-1448C-NYSDOTModification) form(s); records final cost amounts on the approvedProgram of Projects Listing; sends the original package to the MainOffice Accounting Bureau–Expenditures Unit; and places the copyin the “event file.”This step may be done multiple times, sincethese are sent to the Main Office Accounting Bureau–Expenditures Unit as received.

57. Makes a copy of the original completed Final Inspection of Federal-Aid Project NYSDOT Emergency Relief Project (FHWA-1448C-NYSDOT Modification) form(s), attaches to a copy of theappropriate DDIR, and sends to the FHWA New York DivisionAdministrator, routing code HPC-NY. Places a copy in the “event file.” This step may be done multiple times, since these are sent toFHWA as received.

58. Reviews the Final Inspection of Federal-Aid Project NYSDOTEmergency Relief Project (FHWA-1448C-NYSDOT Modification)form(s) and cost over-run/under-run justification, makes one (1)copy, and prepares the revised Program of Projects Listing andtransmittal letter for the Local Programs Bureau Director. This stepmay be done multiple times, since these are sent to FHWA asreceived.


59. Signs the transmittal letter that requests approval of the cost over-run/under-run of the previously-approved DDIR(s) as indicated onthe Final Inspection of Federal-Aid Project NYSDOT Emergency


Relief Project (FHWA-1448C-NYSDOT Modification) form(s) andthe revised Program of Projects Listing.

ER UNIT

60. Sends the signed letter, copy of the approved DDIR(s) withexplanation/justification attached, and the revised Program ofProjects Listing to the FHWA New York Division Administrator;electronically sends the revised Program of Projects Listing to theFHWA Emergency Relief Program Engineer; and sends a copy ofthe signed letter and revised Program of Projects Listing toDistribution List A (see Appendix B). Places a copy of the letter,revised Program of Projects Listing, and DDIR(s), includingattachments,in the “event file.”


61. Notifies the Local Programs Bureau Director of their review andeligibility determination(s).



ER UNIT

63. Notifies Distribution List B (see Appendix C) of the FHWA NewYork Division Administrator’s determination(s), including a copy ofthe revised Program of Projects Listing with the FHWAdetermination(s). Places a copy in the “event file.”


64. When necessary, prepares a Supplemental Agreement and revisedSchedule A to reflect FHWA-approved cost over-run(s), and followsthe Agreement approval process.

65. Whenall cost documentation for a Sponsor’s DDIR(s) has beensubmitted, completes form NYS 1446-LA (Final Acceptance ofLocally Administered Federal-Aid Project) to indicate lastpayment(s), and sends to the ER Unit.


ER UNIT

66. Reviews completed NYS 1446-LA (Final Acceptance of LocallyAdministered Federal-Aid Project) to indicate last payment(s),keeps a copy, logs information onto Program of Projects Listing,and forwards to the Main Office Accounting Bureau–ExpendituresUnit; includes total dollars submitted for billing to FHWA for eachFederal PIN.


67. If other than ER Program funds were “earmarked”, changes thefunding source(s) when additional ER Program funds becomeavailable.


68. Monitors funding category change(s) and notifies the appropriateRegional Planning and Program Management Group(s).

MAIN OFFICE ACCOUNTING BUREAU–EXPENDITURES UNIT

69. Processes payment for the Sponsor(s) (municipality/localjurisdiction), which results in automatic billing to FHWA forreimbursement.

70. Notifies Main Office Accounting Bureau–Federal Aid Unit that lastpayment(s) have been made and the Federal PIN(s) can be closed.


71. When notified by the Main Office Accounting Bureau–Expenditures Unit that all cost documentation for the FederalPIN(S) has been submitted, closes the PIN(s).

NOTES:-When a revised Schedule A is needed, follow appropriateAgreement/Contract approval steps.-A number of the above steps will be repeated until all DDIRs and allrevisions are submitted and all FHWA New York Division Administrator’s determinations are known.


V. FORMS IN PROCEDURE

Detailed Damage Inspection Report (DDIR) (FHWA-1547)Program of Projects ListingDDIR Completion Status ReportFinal Inspection of Federal-Aid Project NYSDOT Emergency Relief Project(FHWA-1448C-NYSDOT Modification)FIN 207: Miscellaneous Project AuthorizationAC 92: Standard VoucherEmergency Relief Project Agreement (available athttp://axim22.nysdot.private:7779/portal/page?_pageid=39,483200,39_1199203:39_1205269&_dad=portal&_schema=PORTAL)FIN 424: Sponsor’sPayment RequestFIN 422c: Sponsor’s Payment Request ContinuationFIN 423b: Sponsor’s Payroll AbstractNYS 1446-LA: Final Acceptance of Locally Administered Federal-Aid ProjectAC340/FIN 174C: Contract Encumbrance RequestFederal Aid Request Form (FARF 307)Electronic Form FMISD05APR 2: Project Agreement (applicable to Processes B-G)


VI. RELATED AUTHORITATIVE SOURCES

Manual of Administrative Procedures (M.A.P.) Chapter 6: EmergencyTransportation OperationsFHWA Emergency Relief Manual available athttp://www.fhwa.dot.gov/reports/erm/index.htm23 CFR Subpart 668ALocally Administered Federal-aid Projects Manual (Internal and ExternalProcedures)OMB Circular A-87: Cost Principles for State, Local and Indian TribalGovernments available athttp://www.whitehouse.gov/omb/circulars/a087/a87_2004.html


VII. APPENDICES

A. Functional Classifications and Program Eligibility ChartD. Eligibility of Damage Repair WorkE. Betterment InformationF. Detailed Damage Inspection Report (DDIR) (FHWA-1547) and Directions

for CompletingH. Force Account Cost Documentation Directions for NYSDOT Non-MAMIS

Users, Sponsors (Municipalities/Local Jurisdictions), and New York StateThruway Authority

J. Program of Projects ListK. DDIR Completion Status ReportL. Final Inspection of Federal-Aid Project NYSDOT Emergency Relief Project

(FHWA-1448C-NYSDOT Modification) form and Directions for Completing


APPENDIX A: FUNCTIONAL CLASSIFICATIONS AND PROGRAM ELIGIBILITYCHART


FUNCTIONAL CLASSIFICATIONS

FHWA EMERGENCY RELIEF PROGRAMINTERSTATE (F/C 01 and 11)PRINCIPAL ARTERIAL (F/C 02, 12 and 14)MINOR ARTERIAL (F/C 06 and 16)URBAN COLLECTOR (F/C 17)RURAL MAJOR COLLECTOR (F/C 07)

-----------FEMA PUBLIC ASSISTANCE PROGRAM

RURAL MINOR COLLECTOR (F/C 08)LOCAL

URBAN (F/C 19)RURAL (F/C 09)


APPENDIX D: ELIGIBILITY OF DAMAGE REPAIR WORK

Text from FHWA EMERGENCY RELIEF MANUAL (Interim Update, August 2003),pages 9-27, with several modifications, notations and/or explanations for New YorkState.

A. GENERALRoadways and bridges that are on a Federal-aid (ER Program-eligible) highway

and that are damaged as a direct result of an approved natural disaster or catastrophicfailure are eligible for ER Program funds. As a general rule, items that are eligible forparticipation as a part of a regular Federal-aid improvement project under Title 23 maybe eligible under the ER Program. Normally, eligible work must be within the right-of-way limits of the damaged Federal-aid highway facility. A minimum $5,000 in repaircost per site (refer to page 20 of the Emergency Relief Manual) should be used todetermine if the extent of repair work at a site is beyond the scope of heavymaintenance. 23 CFR Subpart 668A includes a $700,000 (Federal share) disastereligibility threshold to distinguish between heavy maintenance or routine emergencyrepair and serious damage eligible under the ER Program.

The ER Program provides for repair and restoration of ER Program-eligiblefacilities to pre-disaster conditions. Restoration in kind is the predominate type of repairexpected to be accomplished with ER Program funds. ER Program funds are notintended to replace other Federal-aid, State or local funds for new construction toincrease capacity, correct non-disaster related deficiencies, or otherwise improvehighway facilities.

Added protective features, such as the relocation or rebuilding of roadways athigher elevation or lengthening or raising bridges, and added facilities not existing priorto the natural disaster or catastrophic failure, such as additional lanes, upgradedsurfacing, or structures are commonly referred to as a betterment. Betterments are notgenerally eligible for ER Program reimbursement unless justified. The eligibility ofbetterments is discussed in more detail in Appendix E: Betterment Information.

All repair work falls under two (2) major categories, namely emergency repairsand permanent repairs. Emergency repairs are those repairs during andimmediately following a disaster to restore essential traffic, to minimize the extentof damage, or to protect the remaining facilities. These repairs can beginimmediately following a disaster, and prior FHWA approval is not required. Properlydocumented costs will later be reimbursed once the FHWA New York DivisionAdministrator makes a finding that the disaster is eligible for ER Programreimbursement. Permanent repairs are those repairs undertaken (usually afteremergency repairs have been completed) to restore the highway to its pre-disastercondition. Permanent repairs must have prior FHWA approval and authorizationunless done as part of the emergency repairs.


It is important to understand the difference in the Federal share for these two (2)categories of repairs. For emergency repairs, the Federal share is 100 percent forrepair work done to restore essential traffic, to minimize the extent of damage or toprotect the remaining facilities within the first 180 days after the occurrence of thedisaster. On the other hand, for permanent repairs, the Federal share depends on thetype of Federal-aid highway being repaired. For Interstate highways, the Federal shareis 90 percent. For all other ER Program-eligible highways, the Federal share is 80percent.

B. ELIGIBLE ITEMSGenerally, all elements of the highway within its cross section damaged as a

direct result of a disaster are eligible for repair under the ER Program. This includes,but is not limited to elements such as pavement, shoulders, slopes and embankments,guide rails, signs and traffic control devices, bridges, culverts, cribbing or other bankcontrol features, bike and pedestrian path, fencing, and retaining walls.

The intent of the ER Program is to fund repairs to damaged roadways caused bya natural disaster or catastrophic failure, not repairs to roadways damaged as a result ofpre-existing and non-disaster related, i.e., inherent deficient conditions. The following isa more detailed discussion of eligibility for various highway elements.

1. Engineering and Right-of-WayPreliminary engineering, right-of-way, and construction engineering directly

attributable to repair of eligible damage are eligible for ER Program reimbursement.Reasonable construction engineering costs are eligible. Maintenance, administration,and overhead costs of State or local governments and of other Federal agencies are noteligible. Costs such as a general overall assessment of damage, general supervision,contract administration other than construction engineering, and project planning andscheduling are considered administrative costs that are not eligible because they relateto the overall responsibilities of an agency to manage and operate a highway systemrather than to the design and construction of an individual repair project.

2. DetoursTemporary connections should be constructed consistent with anticipated volume

and type of essential traffic, reasonable speeds, safety, term of use, and costs.However, ER Program reimbursement does not necessarily extend to restoring pre-disaster levels of service until completion of permanent repairs.

Where a temporary structure or an alternate existing route is not reasonable orpractical as a temporary connection, construction of a temporary ferry service(ferryboat, ferry operation and maintenance, docking and loading facilities) is eligible forER Program funds. ER Program participation in the ferryboat is limited to acquisitioncosts, less resale value, or to a reasonable rental fee.

Repair of surface damage to a designated detour caused by traffic that has beendetoured from a damaged or impassable ER Program-eligible facility is eligible for ER


Program funds. This may include roadway surface repairs to provide reasonable trafficservice during the period of time the detour is in use as well as surface repairs to thedetour route to restore the detour route to pre-disaster condition after detour traffic hasbeen removed. A documented survey of the condition of the proposed designateddetour route prior to detouring traffic on it should be helpful in determining the scope ofrestoration work to pre-disaster condition. A designated detour, which also could be anon-ER Program-eligible highway, is defined as the officially signed detour that highwayofficials have established to reroute traffic around the damaged or impassable part ofthe ER Program-eligible highway.

3. Traffic DamageIn general, repair of roadway surfaces due to traffic damages, even if damage is

aggravated by saturated sub-grade conditions, or by inundation of the roadway, is noteligible for ER Program funds. There are three exceptions when ER Program fundsmay participate in repair of surface damage.

a. Any public roads–caused by vehicles making repairs to ER Program-eligible highways;

b. Any public roads–caused by traffic using the officially designated detouraround a damaged ER Program-eligible highway; and

c. Any ER Program-eligible highways–caused by vehicles responding to adisaster.

Normally, ER Program participation will be limited to surface damage that hasoccurred during the first two (2) months after a disaster event, a reasonable periodduring which the majority of all emergency response should occur. Examples ofresponse activities include vehicles involved in repairing other transportation facilities,constructing emergency dikes or performing emergency repairs to dikes, providingessential services such as fire fighting and providing supplies, or removing debris fromboth public and private property. In exceptional cases, ER Program participation maybe extended to damage occurring up to six (6) months after a disaster.

Identifying surface damage caused by response vehicles can be difficult. Insome cases, to aid in the decision, an operational pavement management system mightprovide data that would confirm the roadway condition prior to the disaster. In mostcases, an analysis based on best professional engineering will be needed. Thisanalysis should use other appropriate information on the pre-disaster condition of theroadway surface and the special circumstances and vehicle use that caused thedamage. Consequently, FHWA Division office personnel should field-visit all sitesinvolved in this eligibility category and provide a written report of observed conditions.

4. OverlaysWhere entire sections of roadways are damaged and need to be reconstructed,

new surfacing is eligible. In addition, where several intermittent but close-by sites needto have the surfacing repaired, resurfacing of the entire section between and includingthe sites is eligible.


5. Raising Gradesa. Traditional Flooding

Temporary work to raise roadway grades to maintain essential traffic serviceduring the flooding is eligible. This is limited to fill material and minimum riprap toprotect the temporary fill plus temporary surfacing material. If such roadways haveotherwise suffered no significant damage as a direct result of the flood, work to providea permanent higher grade, e.g., re-compact fill, provide permanent surfacing, providedrainage, guardrail, signing, etc., is not eligible.

Where roadways have been severely damaged and substantial lengths need tobe permanently reconstructed, raising the roadway grade as a part of the permanentreconstruction project to avoid future flooding problems could be eligible, on a case-by-case basis, if determined to be a cost-effective betterment. Again, raising the grade ofroadways that, even though submerged during the flooding, have suffered no significantdamage as a direct result of the flooding, is not eligible.

b. Basin FloodingNOTE: Since this kind of flooding does not occur in New York State, no information isbeing provided.

6. SlidesThe removal of rock and mud slides is eligible. Such a slide must either be

associated with the overall natural disaster or by itself qualify to be a natural disaster. Inboth cases, its correction to provide a safe roadway is eligible. If found cost-effective,ER Program funds can be used to stabilize slide areas to protect a highway facility fromfuture disaster damage (see Betterment Information in Appendix E). Such stabilizationis considered to be an ER Program-eligible betterment. Also, relocation of the roadrather than slide correction is an eligible betterment if found to be cost-effective.

7. Work on Active Construction ProjectsMost States and local jurisdictions require the contractor to take all necessary

precautions to protect Federal-aid projects from damage, including ER-funded projectsstill under construction or practically completed, but not yet accepted by the State orlocal jurisdiction. Before considering an ER Program project for rehabilitation/repairwork on an active construction project, it must clearly be established that suchrehabilitation/repair work is not, in fact, the responsibility of the contractor.

8. Toll FacilitiesER Program funds may participate in repair of Federal-aid highway toll facilities

when the provisions of Section 129 of Title 23, U.S.C. are met. If an existing toll facilityroute does not have an executed toll agreement with the FHWA at the time of thedisaster, a toll agreement may be executed after the disaster to qualify the facility forrepairs. Loss of toll revenue is not eligible for reimbursement.

NOTE: In New York State, portions of the New York State Thruway Authority systemare covered by a Toll Agreement. No other Toll Agreements have been executed.


9. Traffic Control DevicesER Program funds can participate in the cost of the repair or replacement of

traffic control devices including traffic signal systems, directional and informationalsigns, and railroad-highway crossing warning devices, if the damage and associatedrepair or replacement costs can be shown to exceed heavy maintenance.

10. LandscapingReplacement of damaged highway landscaping is eligible only if its represents

incidental cost associated with otherwise eligible damage.

11. Roadside AppurtenancesThe repair or necessary replacement of damaged or destroyed guardrail, bridge

rail, impact attenuators, right-of-way fences, etc., is eligible if such damage is extensiveand not limited to a few isolated cases under each category.

12. Timber and Debris RemovalThe cost of stockpiling and disposing of debris at adjacent sites, as well as those

costs of removing marketable timber from the acceptable clearing limits andtransporting to adjacent stockpile sites, is eligible for ER Program participation.However, hauling costs to sawmills or to other locations beyond the general proximity ofthe damaged highway are not eligible. The clearing limits for debris, including downedtimber, normally, should include the traveled way, cut and fill slopes and any additionalclearing required to assure the full functioning of the pavement, drainage ditches, andstructures, including the clear zone for safety. Clearing of the remainder of the full right-of-way is the responsibility of the agency having jurisdiction. Cut sections should becleared to the safe distance that will assure that no debris will cause roadway slopeerosion or will roll down to clog ditches or endanger traffic on the pavements andshoulders. The timber and debris removal operations should conform to the standardsof safety for that particular route.

NOTE: Dumping fees associated with eligible debris removal operations are eligiblecosts.

In the case of normal medians, the necessary cleanup of downed timber anddebris is eligible. Where directional roadways or "divided highways" are widelyseparated because of terrain or for aesthetic reasons, the cleanup of the entire medianwould not be eligible. Each directional roadway should be treated as a separateroadway, including cut and fill slopes, and handled as described in the aboveparagraph.

Snow and ice removal are not eligible as debris removal.

NOTE: The ER Program does not reimburse snow removal costs. Tree debris removalactivities resulting from a snow/ice event may be eligible for ER Programreimbursement.


13. Transportation System Management (TSM) StrategiesTSM strategies to monitor and control traffic, and to manage transportation on

streets and highways during and immediately following a disaster to restore traffic areeligible for ER Program reimbursement. The elements of the TSM plan may includehighway advisory radio, closed circuit television, video image process surveillance,installation of changeable message signs, a public awareness program, etc.

ER Program funds are eligible to provide emergency traffic managementservices by the police during and immediately following a disaster under the followingconditions: Such traffic services by the police must 1) directly relate to the disaster; and2) represent added costs above and beyond costs related to normal, day-to-dayresponsibilities, i.e., overtime costs or additional shift costs. The added costs should beitemized and documented to support any use of ER Program funds for this activity.

14. Projects & Project Features Resulting from the NEPA ProcessAn ER Program repair project developed in accordance with the National

Environmental Policy Act (NEPA) process may incorporate added features to mitigateenvironmental impacts to such resources or sites as wetlands, noise-sensitive landuses, endangered species, etc. These added mitigation features, by themselves, arenot considered "betterments" for the purposes of the ER Program since they do notprotect the highway from future disasters or change the function or character of thehighway facility from what existed prior to the disaster or catastrophic failure. This isillustrated by the following example.

Environmental Mitigation Feature Eligible for ER Program ReimbursementIn repairing a damaged bridge, some of the construction activity will take place inor closely adjacent to the existing stream bed. This particular stream serves asthe spawning grounds for an endangered species of fish. The contractor wouldbe required to use special construction techniques that minimize disruption of thestreambed, and special pooling areas for the fish will need to be built in thestream adjacent to the bridge. The special construction techniques and theadded stream features are necessary mitigation measures to implement therepair project, and they would be eligible for ER Program reimbursement.

Eligibility determinations for environmental mitigation measures can apply ageneral rule-of-thumb: if the mitigation measure is related to an ER Program-eligiblebetterment, the mitigation measure is also eligible. For example, if a roadway graderaise to protect a facility from future flooding has been economically justified for ERProgram reimbursement, then a mitigation feature associated with the grade raise, suchas possible wetland restoration, would qualify for ER Program reimbursement.Conversely, if a "betterment" is not justified for ER Program reimbursement, then anyadded mitigation features related to the betterment would likewise not be eligible for ERProgram reimbursement but instead should be funded from regular apportionedFederal-aid highway funds.


For ER Program replacement projects, the NEPA decision process can alsodetermine project location, potentially including a completely new location. Further, themere fact that something old is being replaced with something new, or that the newfacility is built to current design standards, does not restrict ER Program reimbursement.In general, if it has been determined that ER Program reimbursement may fullyparticipate in the replacement project (several scenarios are included on pages 31-32 ofthe Emergency Relief Manual and in the Betterment information in Appendix E), and ifthe replacement project is of comparable function and character to what existed prior tothe disaster or catastrophic failure, then ER Program reimbursement may fullyparticipate in the replacement project.

As noted, the NEPA process may well determine the location of the replacementproject. In the case where it is neither practical nor feasible to replace a destroyedfacility in-kind at its existing location, the alternative facility developed in conformancewith the NEPA process is eligible for ER Program reimbursement, as illustrated by thisexample:

Replacement Facility on New Location Eligible for ER Program Reimbursement

A roadway was permanently submerged by water backing up behind a naturallycreated dam, and replacement of the inundated highway facility at its existinglocation is neither practical nor feasible. Through the NEPA process, variousalternative locations for a replacement facility were evaluated. A recommendedalternative emerged from the process. This recommended alternative was ofcomparable function and character to the damaged facility (i.e., same number oflanes, same degree of access control), and, accordingly, was eligible for ERProgram reimbursement.

The NEPA process may also require that a replacement project includeadditional project features to mitigate impacts of the project. These added mitigationfeatures are eligible for ER Program reimbursement if the replacement project itself iseligible for ER Program Reimbursement. An example follows:

Environmental Mitigation Feature Added to Replacement Facility Eligible for ERProgram Reimbursement

A replacement facility was predicted to result in increased noise impacts onadjacent residential property, and the NEPA noise impact evaluation determinedthat noise walls must be included in the final project. Although the damagedfacility did not have existing noise walls, this added feature, as an environmentalcommitment, became an integral part of the replacement project in compliancewith NEPA and FHWA's Title 23 highway noise impact assessment andmitigation requirements. Further, since a noise wall would not protect thehighway from future disaster damage or change the function or character of thehighway facility, it did not have to be justified as a "betterment" under the ER


Program. As a result, this noise wall was eligible for ER Programreimbursement.

The above discussion on replacement facilities and use of ER Program reimbursement,in general, reflects those situations where ER Program reimbursement is not capped.However, if replacement facilities are being advanced where ER Programreimbursement participation is capped (see the first and third scenario underReplacement Facilities and Betterments in the Betterment Information in Appendix E),this same limit on ER Program reimbursement would apply to the proposedreplacement facility including any environmental mitigation features required as a resultof developing the replacement facility in accordance with NEPA.

15. Outside of the Highway Right-of-WayGenerally, damage repair activities outside the highway-right-of-way are not

eligible for ER Program reimbursement. The exception would be work associated withstream channels adjacent to a highway. Normally, projects associated with channelwork (riprap, bank protection, etc.) that require right-of-way purchases and/oreasements outside the right-of-way are not eligible. The fact that the agencyresponsible for channel maintenance does not have funds to finance the repair andprotection work is not an acceptable justification for ER Program assistance. Insituations involving requests for participation in erosion control and bank protectionoutside the highway-right-of way, the following items must be verified by the highwayagency to obtain eligibility:

The work is directly related to protection of the highway facility; The work is not eligible for funds from another agency; No other agency has the responsibility for such work; The applicant agrees to accept the future maintenance of all work performed.

When work of this type is proposed, the project documents should include a letterfrom the Applicant agency showing how all of the above four items have been or will besatisfied.

16. Administrative Expensesa. Regular and Extra Employees

Regular salaries and overtime salaries and wages of all regular and extraemployees of the applicant directly engaged in the performance of work on ER Programprojects are eligible for reimbursement. Timekeeping procedures should facilitateallocating employees' time to projects, and/or other activities, each day on an hourlybasis. A timekeeping document, such as time slip, time and attendance report, or timebook, must be available for examination by audit personnel to support direct labor costsclaimed on any ER Program project. A responsible employee having knowledge thatthe time distribution is accurately reported should sign the document.

b. Payroll AdditivesUsually referred to as labor surcharge, a set percentage over and above the total

direct labor costs charged to a project is eligible for ER Program participation. This


surcharge covers costs of various types of leave allowances, industrial accidentinsurance coverage, and other employee benefits. The allowable percentage rates willnormally vary from year to year. Also, employee benefits allowed by one applicant maydiffer widely from those allowed by another. Therefore, the records used in developingpercentage rates should be preserved under suitable control conditions to assureavailability for examination when requested. The acceptable percentage rate may beapplied only to direct labor costs.

17. Supplies and MaterialsEngineering and general office supplies of an expendable nature, charged from

stock or purchased for a particular project, and properly identified on the stock-issue slipor vendor's invoice with the project charged, are considered eligible for participation. Inthe case of issues from stock, verifiable evidence to assure validity of the pricescharged must be available for examination if requested. Many classes of materialsrequired for ER Program projects are purchased for a particular project. In such cases,the costs are eligible for participation, provided the project on which the materials areused is properly identified on the supplier's invoice. The cost of materials issued fromstock warehouses or agency-produced or purchased stockpiles for use on an ERProgram project must be properly supported. The records supporting the pricescharged should be available for audit when requested. Also, a responsible employeehaving knowledge that the supplies or materials have actually been incorporated intothe project should sign the source document (stock issue slip or supplier's invoice).

18. EquipmentThe use of applicant-owned equipment or equipment owned by, and rented from,

another public entity, or rented equipment from commercial sources, which is necessaryfor the prosecution of work properly authorized under an ER Program-eligible project, iseligible for participation. Such use should be charged on a per hour, per shift, per mile,etc., basis. The rental cost of such equipment may include such items as normaloperation (gasoline, fuel oil, lubricants, antifreeze, etc.); repair (major and minor), etc.;and depreciation or replacement expenses. Costs in excess of normal depreciation tocover the increased costs of replacement equipment are to be excluded from equipmentrental rates applied to ER Program-eligible projects. The rates per unit for applicant-owned equipment must be properly supported by verifiable analyses covering specificsizes and types of equipment charged. Lacking such documented cost analyses by theapplicant, ER Program funds will participate in the equipment rental costs on the basisof rates developed by the State DOT and approved by the Division Administrator. Eachapplicant should use either the FHWA approved State DOT rates or its own establishedrates, but not a combination of both. The required document action to supportequipment rental charges is an acceptable time and equipment use report, signed by aresponsible employee signifying actual use of the equipment on the project designated.

NOTE: FHWA New York Division allows use of applicant-owned equipment to bereimbursed according to the current edition of the Associated Equipment DistributorsManual.


Reasonable costs of equipment rented from commercial sources for use on ERProgram-eligible projects are eligible for ER Program reimbursement. The extent of"reasonableness" will be determined by the Division Administrator as consistent with thecurrent edition of the Associated Equipment Distributors Manual or rates charged bya recognized rental agency. A commercial invoice, signed by a responsible employeesignifying actual use of the equipment on the project designated, is requireddocumentation to support equipment rental charges. The supporting document mustindicate the period of use applicable to an identified ER Program-eligible project. Theapplicant may also claim operating costs provided that the rental costs do not includeoperating cost. Equipment "move in" and "move out" costs may also be consideredeligible.

19. Additional Eligible ExpensesNOTE: Additional eligible expenses include tolls paid/E-Z Pass charges resulting frommoving equipment and/or personnel to perform approved eligible work; overtime mealspaid as a result of performing approved, eligible work; and overnight lodging and perdiem meals costs due to the need to re-locate personnel to perform approved, eligiblework.

C. INELIGIBLE ITEMSER Program funds are not intended for all damage repair costs. Only that repair

work which exceeds heavy maintenance, is extraordinary, and will restore pre-disasterservice is eligible. A more detailed discussion of repair activities that are not eligible forER Program reimbursement follows.

1. Heavy MaintenanceWhen a disaster has caused damage requiring heavy maintenance or work

frequently performed by the applicant's maintenance crews, repairs are not eligible.Heavy maintenance is usually performed by highway agencies to repair damagenormally expected from seasonal and occasionally unusual natural conditions oroccurrences. It includes work at a site required as a direct result of a disaster that canreasonably be accommodated by a State or local road authority's maintenance,emergency, or contingency program. Examples include work necessary to repair minordamage due to eroded shoulders, filled ditches and culverts, pavement settlement, mudand debris deposits, slope sloughing, and slip-outs in cut or fill slopes.

It is not the intent of the ER Program to relieve an agency of its maintenanceresponsibility simply because a storm of unusual character and extent causes seriousdamage to roads and to public and private property.

2. Damage Estimate under $5,000 per SiteA minimum $5,000 in repair cost per site is used as a guideline for a site to be ERProgram eligible. This minimum guideline dollar value is suggested for nationalconsistency but, if circumstances warrant and the State has requested a different figure,the Division Administrator may allow a different minimum amount. This dollar thresholdcriterion is used to distinguish repairs that are maintenance activities from an ER


Program responsibility. Generally, a site is an individual location where damage hasoccurred. However, a site could include several adjoining locations where similardamage, related to the same cause, has occurred. For example, where flooding watersin a drainage course that runs along or continually crosses under a highway has causeddamage at several locations within a reasonable distance of each other, it would beacceptable to package these together as a single site. Another exception could involvedamage to traffic signs which has occurred at several locations on an area wide basis.In this case it would be acceptable to group these locations by route or jurisdiction, withthe accumulated amount considered a site. Overall, aggregating locations together toform a site should be done with care, bearing in mind that the intent of the ER Programis not to pay for highway damage repairs that a transportation agency would normallyperform as heavy maintenance.

NOTE: See Site Guidance in Section III. Procedural Guidelines.

3. Traffic DamageRepair of surface damage caused by traffic, whether or not the damage was

aggravated by saturated subgrade or inundation, except as noted under Eligible Item B3above is not eligible for ER Program reimbursement.

4. Frost HeavingDamage to roadway subbase and base materials due to inundation or freezing

and resultant frost heaves, even if the roadbed has been saturated by the floodwaters,is not eligible for ER Program reimbursement.

5. Applicant-Owned MaterialReplenishment or replacement of destroyed or damaged stockpiles of materials

for both maintenance and construction that have not been incorporated into the highwayis not eligible under the ER Program. Repair of damage to or replacement of anapplicant's or contractor's facilities, such as maintenance sheds or equipment, is noteligible for ER Program reimbursement, for example:

The applicant is in the process of widening a bridge as a maintenance bettermentproject

Precast concrete beams have been delivered to the job site but have not beenincorporated into the structure. Rapid runoff of floodwaters destroys the existingbridge and the precast beams. Cost of repair of the existing bridge is eligible.However, since the precast beams were not a part of the existing bridge at thetime of its destruction, cost of replacing the stockpiled beams is not eligible.

6. Erosion DamageRepair of minor erosion damage due primarily or wholly to rainfall and resulting

from surface saturation of slopes and embankments, rather than from floodwaters, isnot eligible. Even though the work may be a little more extensive than usual, it isconsidered heavy maintenance.


7. Prior Scheduled WorkPermanent repair or replacement of deficient bridges scheduled for replacement

with other funds damaged during a disaster is not eligible for ER Programreimbursement, and should be funded as originally intended. The ER Programreimbursement may participate in emergency repairs to restore essential traffic in suchcases. A project is considered scheduled if the construction phase of a replacementstructure is included in the FHWA approved Statewide Transportation ImprovementProgram (STIP).

8. Mine/Underground SubsidenceWhere a highway passes over an underground mine and a section of highway is

closed down due to actual mine subsidence, repair work on the section of highwayexhibiting physical damage due to subsidence is eligible for ER Programreimbursement. However, repair work to prevent additional physical damage toadjacent sections of the highway over the mine is not eligible. Further, in situationswhere in-bed stream mining is found to be contributing to erosion (where a highwaypasses over or is adjacent to the stream), associated repair work is consideredineligible.

9. Snow and/or Ice RemovalSnow and/or ice removal is not eligible for ER Program reimbursement as snow

and/or ice is viewed as a relatively short term event not causing physical damage to ahighway. Although ER Program funds may not be used for snow removal, the FEMAPublic Assistance (PA) Program may allow funding available through its assistanceprogram to pay for a limited amount of snow clearance on Federal-aid highways duringextreme snowfalls.

NOTE: Tree debris removal activities resulting from a snow/ice event may be eligible forER Program reimbursement.

10. Emergency/Medical Transportation ServicesEmergency medical transportation services, such as ambulances or helicopters,

are not eligible for ER Program reimbursement.

11. Mitigation/Preventive Work Prior to DisasterPreventive work to avoid damage to a highway facility in anticipation of a disaster

is not eligible for ER Program reimbursement. For example, work to prevent scour atbridge sites in anticipation of extremely high rainfall and potential flooding is not eligiblefor ER Program reimbursement.

12. Catastrophic Failure from Internal CauseNot all catastrophic failures are ER Program eligible. An ER Program-eligible

catastrophic failure must be a sudden failure of a major element, or segment of thehighway, due to an external cause. ER Program reimbursement does not apply tocatastrophic failures from an internal cause or source, e.g., gradual and progressivedeterioration or lack of proper maintenance. Closure of a facility because of imminent


danger of collapse is not, in itself, a sudden failure and therefore is not eligible for ERProgram reimbursement.

D. EMERGENCY REPAIRS VS. PERMANENT REPAIRSBoth emergency repairs and permanent repairs are eligible for ER Program

reimbursement. Emergency repairs are repairs made during and immediatelyfollowing a disaster to restore essential traffic, to minimize the extent of damage,or to protect the remaining facilities. Permanent repairs are repairs undertaken,normally after emergency repairs have been completed, to restore the highway to itspre-disaster condition. It is important to distinguish between emergency and permanentrepairs because emergency repairs accomplished during the first 180 days after theoccurrence of the disaster are funded at a higher Federal share.

1. Emergency Repairsa. General

Emergency repairs are repairs made during and immediately following adisaster to restore essential traffic, to minimize the extent of damage, or toprotect the remaining facilities. The State and local transportation agencies areempowered to begin emergency repairs immediately. Properly documented costs willlater be reimbursed once the FHWA Division Administrator makes a finding that thedisaster is eligible for ER Program reimbursement. Typical examples of emergencyrepairs are:

Regrading of roadway surfaces, roadway fills, and embankments Debris removal Erection and removal of barricades and detour signs, flagging and pilot cars

during the emergency period, and placement of riprap around piers andbridge abutments to relieve severe on-going scour action

Dynamiting and other removal of drift piling up on bridges, including rental ofboats

Placement of riprap on the downstream slopes of approach fills to preventscour during overtopping of the fill

Removal of slides Construction of temporary roadway connections (detours) Erection of temporary detour bridges Replacement of approach fills Use of ferryboats to provide temporary substitute highway traffic service

Any such work may subsequently be included in an ER Program of Projects,which, when submitted for approval, should include both emergency repairs and anypermanent restoration work performed coincidentally with emergency repairs.

b. Intent of Emergency RepairsThe intent of emergency repairs is to permit the immediate performance of work

to restore essential traffic that cannot wait for a finding of eligibility and programming ofa project. Emergency repair work should be accomplished in a manner that will reduceadditional work required for permanent repairs.


The Division Administrator's concurrence on the need for emergency workconveyed in the Division's acknowledgment to the State's letter of intent does notauthorize the agency to proceed with permanent restoration work on damagedhighways unless the restoration is more economical or practical to perform as anassociated part of the emergency operation. This incidental restoration can beperformed simultaneously with the emergency work provided it is properly covered inthe damage inspection report. If such work has been accomplished prior to the sitedamage review, retroactive approval may be given when circumstances warrant.

There may be situations where immediate completion of the permanentwork is the most economical and feasible operation to quickly restore essentialtraffic. An example would be the washout of a bridge and its approaches withconstruction of a detour being both costly and time-consuming, but the agency involvedhaving precast concrete girders readily available that could be used at the site. In sucha case immediate construction of the permanent structure and approaches could beaccomplished at the discretion of the Applicant, and approval by FHWA of thepermanent repair would be handled as an emergency repair.

The use of ER Program funds for emergency repairs to roadways is normallylimited to the amount necessary to bring the washed-out fills and slip-outs back to gradewith a gravel surface. In most cases these emergency repairs to roadways are notconstructed to true line and grade. They usually follow the terrain and are constructedin the easiest and most expedient manner. The repair to the road, nevertheless, shouldbe sufficient to permit traffic to travel over it safely. Where routes handle heavy traffic,an appropriate type of bituminous surface as a temporary repair will be eligible for shortsections of roadway.

The placement of the final high-type pavement is normally considered permanentrepair. If performed as emergency work, such paving must have FHWA concurrence tobe eligible for Federal participation. A determination of whether or not the work shouldbe performed as emergency or permanent should take in to account trafficcharacteristics, remoteness of the site, traffic control requirements, and socioeconomicfactors.

c. Federal Share (180-Day Period)Emergency repairs accomplished within the first 180 days of the disaster

occurrence to restore essential traffic or to minimize the extent of damage or to protectthe remaining facilities may be reimbursed at 100 percent Federal share. The 180-daytime period for 100 percent Federal share is established by 23 U.S.C. 120(e), and theFHWA has no authority to change the time period. It is important to give carefulconsideration in deciding the beginning of the 180-day time period. The 180-day timeperiod is intended to start on the initial day of the occurrence. In certain circumstances,emergency repair work to restore essential traffic, to minimize the extent of damage, orto protect the remaining facilities cannot be undertaken on the initial day of theoccurrence of the disaster. In such circumstances, the date on which the first


emergency work was undertaken can be accepted as the beginning day of the first 180days. Regardless, there is only one 180-day period for the entire disaster.

2. Permanent Repairsa. General

Permanent restoration work is not eligible if performed prior to authorization bythe FHWA, unless it is determined to be more economical or practical to perform suchwork as an associated part of the emergency repairs; documentation of thisdetermination is required. Permanent repairs should be administered using normalFederal-aid contracting procedures although use of streamlined procedures isencouraged (e.g., A + B bidding, reduced advertising period, etc.). Such repairs mayinvolve one or more of the following categories of work.

b. Restoration-in-KindThe ER Program provides for the repair and restoration of highway facilities to

pre-disaster conditions. Restoration in kind is therefore the predominant type of repairaccomplished with ER funds. Any additional protective features or changes to thefunction or character from that of the pre-disaster facility are generally not eligible for ERProgram reimbursement unless justified on the basis of economy of construction,prevention of future recurring damage, or technical feasibility.

c. Replacement-in-Kind(i) Existing LocationWhere extensive damage has occurred, ER Program reimbursement may beused for replacement-in-kind as the proper solution. If a facility has beendamaged to the extent that restoration to its pre-disaster condition is nottechnically or economically feasible, a replacement facility is appropriate.Replacement facilities should be constructed to meet current design standards.

ER participation in a replacement roadway will be limited to the costs of aroadway built to current design standards, and of comparable capacity, (e.g.,number of lanes), and character, (e.g., surfacing type, access control, rural/urbansection), of the destroyed facility. ER Program reimbursement for a replacementbridge will be the cost of a new bridge built to current design standards for thetype and volume of traffic the bridge will carry during its design life.

ER Program participation may be prorated. Where the replacement projectexceeds ER Program eligibility limitations, the ER Program share of project costwould be limited to the estimated cost of the ER Program-eligible replacementroadway or bridge.

(ii) New LocationWhere relocation is necessary, each case must be considered carefully todetermine what part of the relocation is justified for construction with theparticipation of ER Program funds. This matter is discussed further in the


sections covering environmental considerations in chapter VI of the EmergencyRelief Manual, and betterments in chapter II of the Emergency Relief Manual.

NOTE: Betterment Information is also available in Appendix E of this document.

d. Deficient BridgesThis category includes structural conditions only. It does not consider waterwayopening, functional obsolescence or serviceability, etc. Permanent repair of astructurally deficient damaged bridge is eligible for ER Program reimbursementprovided a replacement bridge is not under construction or the bridge is notscheduled for replacement (in the FHWA approved STIP) with other Federalfunds. The intent is to ensure that ER Program funds do not replace otherFederal funds that would have otherwise been used to construct a replacementfacility. The following represent two (2) common situations:

(i) Bridge is damaged but is repairable.ER Program reimbursement may participate in: Reasonable emergency repair to restore travel Permanent repair of disaster damage if bridge will be structurally

safe upon completion of disaster damage repair (meaning thatrepair of disaster damage corrects structural deficiency)

Permanent repair of disaster damage if other funds are used tosimultaneously correct the structural deficiencies (meaning thatrepair of disaster damage will not correct structural deficiency)

No permanent repair if bridge is scheduled for replacement(ii) Bridge is destroyed or repair is not feasible.

ER Program reimbursement may participate in: Reasonable emergency repairs to restore traffic New comparable replacement structure to current design standards

and to accommodate design-year traffic volume if bridge is notscheduled for replacement

No permanent repair if bridge is scheduled for replacement in thecurrent FHWA approved STIP or a replacement bridge is underconstruction.

e. Replacement of CulvertsUpgrading of culverts to current standards must be specifically related to eligible

disaster damage repair. Damaged culverts are eligible for repair in kind. Destroyed culverts are eligible for replacement to current standards. Wholesale upgrading of deficient culverts on an area or route basis is not

eligible. Eliminating a recurring annual maintenance problem with ERProgram funds, based on the occurrence of a disaster, is not normallywithin the scope of the ER Program.

f. Betterments–See Appendix E


APPENDIX E: BETTERMENT INFORMATION

Text from FHWA EMERGENCY RELIEF MANUAL (Interim Update, August 2003),pages 27-32, with several modifications for New York State.

f. Betterments:Betterments, for the purposes of the ER Program, are defined as (i) added

protective features, such as the rebuilding of roadways at a higher elevation or thelengthening of bridges, or (ii) changes which modify the function or character of ahighway facility from what existed prior to the disaster or catastrophic failure, such asadditional lanes or added access control.

(i) Betterments Involving Added Protective Features:This category of betterments involves adding features to highway facilities that helpprotect these facilities from possible future damage from ER Program-eligible disastersor catastrophic failures. Examples include: Raising roadway grades Relocating roadways to higher ground or away from slide prone areas Stabilizing slide areas Stabilizing slopes Installing riprap Lengthening or raising bridges to increase waterway openings Deepening channels Increasing the size or number of drainage structures Replacing culverts with bridges Installing seismic retrofits on bridges Adding scour protection at bridges Adding spur dikes

If a betterment involving an added protective feature is included in an ERProgram repair project, the betterment may be considered eligible for ER Programreimbursement if it can be economically justified based on an analysis of its cost versusprojected savings in costs to the ER Program should future ER Program-eligibledisasters occur within the normal design year for the basic repair work. This cost/benefitanalysis focuses solely on benefits resulting from estimated savings in future recurringrepair costs under the ER Program. The analysis does not include other factors typicallyincluded in highway benefit/cost evaluations, such as traffic delays costs, added usercosts, motorist safety, economic impacts, etc.

The following example illustrates this type of betterment and the economicanalysis that would be applied in determining whether the betterment would be eligiblefor ER Program reimbursement.

Added Feature Justified for ER Program ReimbursementFloodwaters have damaged a 1,400-foot section of roadway with both surfacing

and fill material being washed away. The site can be repaired for $150,000. However,


this section of roadway was similarly damaged during an ER Program eligible-eventseveral years ago, and it appears likely to be damaged again in the future. TheApplicant proposes to add additional culverts to increase the drainage capacity underthe roadway, thus substantially reducing the chances that this type of flooding in thefuture will damage this section of roadway. Adding these culverts is estimated toincrease the cost of the repair project by an additional $100,000. Spending an additional$100,000 for the added features could save one or more future ER Program eligible-repair costs that could easily exceed the cost of the added features. In this case, theadded features are economically justified because of the potential to save future costsunder the ER Program, and, consequently, the added features are eligible for ERProgram reimbursement.

In the previous example, the betterment is considered eligible for ER Programreimbursement. However, in many instances betterments will fail to meet the economicjustification test for use of ER Program reimbursement. If ER Program reimbursementcannot be provided for a betterment, this does not mean that the betterment shouldnecessarily be excluded from the ER Program repair project. If a betterment providesconsiderable benefit when other factors are considered, the Applicant is encouraged touse regular apportioned Federal-aid highway funds, as appropriate, to fund abetterment. This point can be illustrated by this example:

Added Feature Not Justified for ER Program ReimbursementFlooding waters covered a 1,000-foot section of a heavily traveled highway.

Traffic must be detoured to other routes, causing extra travel and considerable delays.The highway was unusable for 3 weeks until the floodwaters receded. At that time, itwas found that the flooding caused only limited damage to the highway, which can berepaired for $75,000. However, the extra travel distances and delays during the 3-weekperiod the highway was closed imposed an estimated $1,100,000 in additional costs onthe motorists and community. The Applicant proposed to raise the grade of the highwayby 5 feet, thus placing the roadway at an elevation where a similar flood would notinundate the roadway. The estimated cost of raising the grade for this section ofhighway was $950,000. Although the cost of the grade raise could easily pay for itself interms of potential savings in travel and delay costs to the motorists and communityshould another similar flood occur, the cost is substantially greater than the potentialrepair costs that would be eligible under the ER Program. In this case, the addedfeature would not be considered to be economically justified for ER Programreimbursement. Instead, the more appropriate Federal highway funding source wouldbe regular apportioned Federal-aid highway funding.

There are limited situations where added features require no further economicjustification as betterments. One situation applies to reasonable grade raises associatedwith basin flooding. Another involves repairs of features, such as bridges, that mayrequire permits or approvals from other entities. If these other entities routinely requireadded features as standard industry practice on other projects of similar nature to theER Program project, then these added features can be included on the ER Programproject without further justification as betterments.


(ii) Betterments Involving Changes to the Function or Character of the Highway:This category of betterments involves making changes to the function or

character of the facility from what existed prior to the disaster or catastrophic failure.Examples include: Adding lanes Upgrading surfaces, such as from gravel to paved Improving access control Adding grade separations Changing from rural to urban cross-section

In general, betterments that change the function or character of a facility do notqualify for ER Program reimbursement. One exception established under 23 U.S.C.120(e) allows ER Program reimbursement participation in replacement bridge facilitiesto accommodate traffic volumes over the design life of the bridge, thus potentiallyallowing ER Program reimbursement for added lanes on bridges. This type ofbetterment, and eligibility of ER Program reimbursement, is illustrated in the followingexamples:

Change in Function/Character Eligible for ER Program ReimbursementA 2-lane bridge, on a heavily traveled urban route, is destroyed by floodwaters.

The Applicant proposes to build a replacement bridge at the same site. The design yeartraffic (20 year traffic projection) for the bridge shows that a 4-lane facility will be neededto accommodate this future traffic. Accordingly, the Applicant proposes that the newbridge have 4 lanes, a significant improvement in capacity above the destroyed bridge.As a result of the statutory provision in 23 U.S.C. 120(e), the added lanes on the newbridge are eligible for ER Program reimbursement.

Change in Function/Character Not Eligible for ER Program ReimbursementA 2,000-foot section of a 2-lane heavily traveled urban route was seriously

damaged by floodwaters. The Applicant proposed that repair of the section includewidening to four lanes to accommodate future traffic needs since at some future timethe Applicant will need to widen the route anyway. This added capacity is viewed aschanging the function and character of the route, and the costs of the additional lanesare not eligible for ER Program reimbursement. However, since widening the route atthe same time the repair work is done may be in the public interest by providing somesavings in costs and by avoiding later disruptions to traffic, the Applicant could decide touse its regular apportioned Federal-aid highway funds for the added costs of the extralanes.

Repair Activities That Are Not Betterments:The dictionary defines the term betterment as an improvement that adds value.

The matter of adding value is subject to wide interpretation. As noted in the previousdiscussion, for the purposes of the ER Program, the term betterment applies specificallyto added protective features or changes made to the function or character of the facility.With this in mind, there are certain classes of ER Program-eligible repair activities thatare not considered betterments.


These are: Replacement of older features or facilities with new ones--The mere fact that a

damaged highway feature or facility is replaced with something new that may extendthe service life of the facility, in and of itself is not a betterment.

Incorporation of current design standards--Repaired facilities may be built to currentdesign standards, which could result in improved or added features that do notchange the function or character of the facility. For example, a repaired length ofroadway may have wider lanes or shoulders and additional roadside safetyhardware that result from following current design standards. These features are notbetterments.

Replacement in-kind on existing location not practical or feasible--On rareoccasions, it is neither practical nor feasible to replace a damaged highway facilityin-kind on its existing location. An alternative selected through the NEPA process, ifof comparable function and character to the destroyed facility, is eligible for ERProgram reimbursement. This is not a betterment. (See the following discussion inthis chapter on replacement facilities for more information on this special situation.)

Additional required features resulting from the NEPA process--ER Program-eligibleprojects may include additional required features as an outcome of the project beingdeveloped in accordance with the NEPA process. These features are eligible for ERProgram reimbursement. These are not betterments.

Replacement Facilities and Betterments:Restoration in-kind is the predominant form of repair activity under the ER

Program. However, at times restoration is not possible, and replacement is necessary,or the Applicant may choose to replace a facility rather than repairing it. The extent ofER Program reimbursement participation varies depending on the circumstancesinvolved. Various scenarios are discussed below.

In a first replacement scenario, a highway facility was seriously damaged;however, inspection verified that repair and restoration of the existing facility waspossible. However, the Applicant preferred to replace the existing facility with a new oralternative facility. In this case, ER Program reimbursement is limited to the ERProgram share of the estimated cost to repair the existing facility and can be applied toa new or alternative replacement facility. Regular apportioned Federal-aid highwayfunds may be used to fund project costs above the amount eligible for ER Programreimbursement.

In a second replacement scenario, a highway facility was seriously damaged,and inspection confirmed that it was not repairable. The Applicant decided to replacethe existing facility with an in-kind replacement facility (of comparable function andcharacter to the damaged facility) on the existing location. In this case, ER Programreimbursement may participate in the total cost of the replacement facility.

In a third replacement scenario, inspections confirmed that a seriously damagedhighway was not repairable. Although building a replacement facility at the location ofthe existing facility was found to be feasible, the Applicant chose to replace the existing


facility with a new facility, of comparable function and character, on a new location. Inthis case, ER Program reimbursement for the new facility is limited (capped) to the ERProgram share of the estimated cost to replace the facility in-kind at its existing location.In this scenario, it may be possible to utilize regular apportioned Federal-aid highwayfunds to fund project costs above the amount eligible for ER Program reimbursement.

In a fourth replacement scenario, inspection has again confirmed that a seriouslydamaged highway is not repairable. Additionally, because of the unique circumstancesinvolved, in-kind replacement at the existing location was determined neither practicalnor feasible. Consequently, an alternative replacement facility on a new location wasdeveloped through the NEPA process. Provided this alternative is of comparablefunction and character to the destroyed facility, it is eligible for ER Programreimbursement. This outcome rarely arises under the ER Program. In almost all cases,it is practical or feasible to replace a damaged facility in-kind on its existing location.Casual or offhand application of the practicability and feasibility criteria to support anydetermination to replace on a new location is not acceptable; rather they must beapplied as very rigorous tests.

For the first and third replacement scenarios discussed above, it is possible thatthe replacement facility proposed by the Applicant could also be viewed as an addedprotective feature betterment eligible under the ER Program. Replacement on a newlocation to reduce the potential for future disaster damage to the facility is an example.Of course, to be eligible for ER Program reimbursement, the additional cost of therelocated facility must satisfy the economic justification criteria applied to addedprotective features. If the relocated replacement facility meets the economic justificationcriteria, then ER Program reimbursement is not capped as discussed above but mayparticipate in the cost of the replacement facility. This is illustrated by the followingexample:

Replacement at New Location Where Repair or Replacement In-Kind is Possible (ERFunding of Betterment)

A three-mile section of a non-Interstate highway in a low-lying coastal area washeavily damaged by high surf and wave action from a storm, the third time in the last 15years that the highway has been damaged. The latest damage would cost $2 million torepair. Instead of repairing this section of highway, the Applicant proposed to replace iton a new location further inland at a cost of $5.5 million, substantially reducing theopportunity for future surf and wave damage. Relocation of the facility is viewed as anadded protective feature that needs to be economically justified in terms of theinvestment of ER Program funds. For this example, considering the frequency thatevents have occurred at this location, the added feature (relocation) was consideredeconomically justified under the ER Program, and ER Program reimbursement mayparticipate in 80 percent of the incurred costs of the replacement facility, or $4.4 million.


APPENDIX F: DETAILED DAMAGE INSPECTION REPORT (DDIR) (FHWA-1547) FORM AND DIRECTIONS FOR COMPLETING


State CountyNY

Description of Work to Date(Equipment, Labor, and Materials) Completed Remaining

Method Subtotal -$ -$PE/CEEmergency Repair Total -$

Method SubtotalPE/CE

Right-of-Way

Recommendation DateEligible IneligibleEligible Ineligible

Concurrence Date

Yes NoYes No

Concurrence Local Agency Representative Date

Yes No

Report Number

Cost

Local Forces State Forces Contract

ApplicantDescription of Damage

EM

ER

GE

NC

YR

EP

AIR

UnitUnitPrice

Quantity

COST ESTIMATE

FHWA Engineer

-$

Environmental Assessment Recommendation

Categorical Exclusion EA/EIS

PE

RM

AN

EN

TR

ES

TO

RA

TIO

N

Local Forces State Forces Contract

State Engineer

-$

-$Estimated Total

Perm. Repair Total

Form FHWA-1547 (Rev. 4-98)

DETAILED DAMAGE INSPECTION REPORTSheet

_____ of _____(Title 23, Federal-Aid Highways)

FHWA Disaster No:

Inspection Date:

Location (Name of Road and Milepost)


DIRECTIONS FOR COMPLETING THEDETAILED DAMAGE INSPECTION REPORT (DDIR) FORM

Report No.Unique site number assigned by the Applicant or the Region. ALL DDIRs MUSTHAVE A NUMBER. Suggested that number begin with reference to the Countyor Sponsor, but not necessary; this is an easy way to reference/tracksites/projects. Example: first site in Broome County could be Report # BR-01.

Sheet No. _____ of _____Especially important when a DDIR involves more than one (1) page. Does notmean number of DDIRs by an Applicant.

Disaster No.Number provided by FHWA when the Emergency Relief Program is authorized.

Inspection DateDate when site was visited to gather information needed to prepare/complete theDDIR form.

ApplicantApplicant/agency/organization responsible for the ER Program-eligible facility onthe form. Examples: NYSDOT, Delaware County Department of Public Works,Town of Pendleton Highway Department, NYS Thruway Authority.

CountyWhere the ER Program-eligible facility is located. Only one (1) county can beincluded on the form.

Location (Name of Road and Milepost)Specific location, including milepost/reference markers where available, BridgeIdentification Number (BIN), Culvert Identification Number (CIN), intersection,etc. See Site Guidance Section III. Procedural Guidelines for additionalinformation.

Description of DamageDescribe the nature and extent of the problem/damage, not the work to be doneto repair the damage. “Repair flood damage” does not describe the damage. What is the nature, extent, etc. of the damage? If you need to reline a culvert,describe the nature of the damage to the culvert, etc. Be as descriptive aspossible: 200 yards of shoulder is washed out 2 feet wide and 6 inches deep.Include photographs that show the damage. For some sites/DDIRs, a sketch ofthe site may be useful.


Cost EstimateThe estimated cost to effect the repair/restoration, allocated to three (3)categories: Emergency Repair Completed (as of date of site inspection),Emergency Repair Remaining (as of date of site inspection), and PermanentRestoration (permanent work yet to be done). The amounts are estimates only,not final costs. Indicate method(s) of work to be used to accomplishrepair/restoration: Local Forces, State Forces, Emergency Contract and/orPermanent Repair Contract. Include additional pages with sketches andcomputations as necessary.

METHODHow is the described work to be accomplished? More than one method can bechecked.Local Forces– refers to Sponsor’s (municipality’s/local jurisdiction’s) own employees, equipment, supplies, etc.State Forces– refers to NYSDOT’s and NYS Thruway Authority’s own employees, equipment, supplies, etc.; for NYSDOT, indicate the MAMIS WorkOrder numberContract–refers to a properly executed contract; when known, indicate Contractnumber and appropriate PIN number of the Contract

PE/CEThe estimated cost of required preliminary engineering/construction engineeringdirectly attributable to repair eligible damage.

Right-of-WayIf Right-of-Way costs will be involved, provide an estimate of those costs.

Estimated TotalSum of all cost estimates for the site/project.

Environmental Assessment RecommendationAre potential environmental/historical impacts an issue for the site/project?Repair projects under the ER Program must comply with the requirements of theNational Environmental Policy Act (NEPA) of 1969.

Categorical ExclusionEmergency repairs to restore essential travel, minimize the extent of damage, orprotect remaining facilities are normally classified as categorical exclusions under23 CFR 771.117(c)(9), as are ER Program projects to restore permanently theexisting facility in-kind at the existing location, ref. 23 CFR Part 771.117(d).However, if impacts to protected or otherwise sensitive or high-value resourcesare possible, advance coordination with the appropriate local, State, and Federalresource agencies should be closely considered to avoid or minimize projectdelays or shutdowns.


EA/EIS (Environmental Assessment/Environmental Impact Statement)Does the proposed repair/restoration work require either an environmentalassessment and/or an environmental impact statement? On occasion, an ERProgram project that includes a betterment, whether or not eligible for ERProgram reimbursement, may require further NEPA review. Although on thesurface a project may appear to qualify for a categorical exclusion, certainbetterments many need either an environmental assessment (EA) to determinewhether or not the project will cause significant environmental impacts, or anenvironmental impact statement (EIS) if significant impacts are predicted.

RecommendationDoes the FHWA Area Engineer consider the site eligible and the proposedrepair/restoration appropriate? This may be completed by the FHWA AreaEngineer at the FHWA New York Division Office.

FHWA EngineerName of the FHWA Area Engineer who reviewed the DDIR and/or visited thesite/project, if appropriate.

ConcurrenceDoes the NYSDOT representative agree/concur with the FHWA Area Engineer, ifthe FHWA Area Engineer visited the site? If no, attach a statement to the formnoting item(s) in disagreement.

State EngineerName of the NYSDOT representative who prepared the DDIR and/or visited thesite/project.

ConcurrenceDoes the Sponsor (Municipality/Jurisdiction) Agency Representative (whenSponsor [municipal/local jurisdiction] ER Program-eligible facility involved)agree/concur with the FHWA Area Engineer and/or State Engineer? If no, attacha statement to the form noting item(s) in disagreement.

Local Agency RepresentativeName of the Sponsor (Municipal/Jurisdiction) Agency Representative whoprepared the DDIR, provided information to the NYSDOT representative whoprepared the DDIR, and/or visited the site/project with the FHWA and/orNYSDOT representative(s).

NOTE:-DDIRs need to be periodically reviewed and necessary revisions made in Location andDescription of Damage. Significant Cost Estimate changes also should be revised.Revised DDIRs should be submitted according to the appropriate Procedures.


APPENDIX H: FORCE ACCOUNT COST DOCUMENTATION DIRECTIONS FORNYSDOT NON-MAMIS USERS, SPONSORS(MUNICIPALITIES/LOCAL JURISDICTIONS), AND NEW YORKSTATE THRUWAY AUTHORITY

For projects/DDIRs done by the Applicant’s own forces, equipment (own and/or rented), and/or supplies/materials and those costs were not captured inNYSDOT’s MAMIS(Maintenance Asset Management Information System), cost documentation can becompiled by using the following applicable forms, and/or by compiling the information ina similar, identifiable format. The following forms do not have to be used, but theinformation must be provided in a similar, recognizable format. All cost informationsubmitted must be actual costs (not estimates) and must be available for an audit.

Directions and Forms:FOR ALL FORMS:Include the DDIR number on every form!LOCATION OF WORK:

Needs to agree with information on the DDIR.PAGE ____ OF ____ PAGE(S):

Pertains to the number of pages of this form, not the total number of pages in thedocumentation package.

DESCRIPTION OF WORK:Brief description; needs to agree with information on the DDIR.

TIME PERIOD:Time covered by the information on the page.

FHWA NY-:Insert the event number, such as 08-01.

CERTIFICATION:To be signed and dated by an appropriate Applicant employee.

-FORCE ACCOUNT EQUIPMENT RECORDDATE/HOURS USED EACH DAY:

Indicate the dates and hours each piece of equipment was used to perform theapproved ER-eligible work.

RATE:FHWA New York Division allows use of applicant-owned equipment to bereimbursed according to the current edition of the Associated EquipmentDistributors Manual. Indicate the appropriate hourly rate for each piece ofequipment used to perform the approved ER-eligible work.

-MATERIALS RECORDQUAN.:

Indicate quantity used for the approved ER-eligible work.


SOURCE OF INFO:If the materials were purchased specifically for the approved ER-eligible work,indicate the invoice number under INVOICE; if the materials were taken fromstock, indicate the invoice number of the last purchased materials under STOCK.

-LABOR RECORDREG:

Indicate regular time hours worked.OT:

Indicate overtime hours worked.TOTAL RT $:

Total regular time costs.TOTAL OT $:

Total overtime costs.FB/INDIRECT RATE:

Indicate the fringe benefit rate you pay or your indirect cost rate.FB/IND $:

Regular time and overtime costs multiplied by your fringe benefit or indirect costrate.

Indirect Costs/Fringe Benefits RatesFor NYSDOT:

For each event, the ER Unit will provide the Regional ER Coordinator with thecurrent Indirect Rate to be used when figuring NYSDOT force account laborcosts.

For Sponsors (municipalities/local jurisdictions) and the New York State ThruwayAuthority:

Sponsors and the New York State Thruway Authority need to providedocumentation of what they are paying for fringe benefits, which can be done bysubmitting a current payroll statement. This amount should be included with theirforce account labor costs. Or, Sponsors (municipalities/local jurisdictions) andthe New York State Thruway Authority may use their indirect cost rate, if they usesuch a rate for other projects, not just ER projects. This amount should beincluded with their force account labor costs. Additional indirect costinformation/guidance is available in OMB Circular A-87.

-RENTED EQUIPMENT RECORDRATE PER HOUR W/OPR:

Rate per hour with operator provided by vendor.RATE PER HOUR W/O OPR:

Rate per hour without operator provided by vendor–equipment only rented.


-CONTRACT COSTS RECORDDESCRIPTION OF ACTIVITY (date, hours worked, rate per hour plus activity):

If the invoice/bill for the ER-eligible work includes the date(s), hours worked,rate(s) per hour for the activities performed, then this information does not needto be provided here, but should be indicated and attached to the form.

-FORCE ACCOUNT TRAVEL COSTS RECORDThis form is to be used to capture costs of re-locating personnel to do ER-eligiblework. Attach copies of invoices and/or or vouchers to support these costs.

OTHERAdditional eligible expenses include E-Z Pass charges incurred to perform approvedeligible work, and overtime meals paid as a result of performing approved, eligible work.Documentation must be provided to substantiate the amounts being claimed.


FORCE ACCOUNT EQUIPMENT RECORD FOR DDIR # __________________________

LOCATION OF WORK: PAGE OF PAGE(S)

DESCRIPTION OF WORK: TIME PERIOD: TO

FHWA NY- 200___

DATE/HOURS USED EACH DAYTYPE OF EQUIPMENTIndicate size, capacity, horsepower,

make and model as appropriate.

EQUIPMENTNUMBER

REFERENCE

TOTALHOURS RATE TOTAL

COST

TOTAL COSTS THIS PAGEI CERTIFY THAT THE ABOVE INFORMATION WAS TRANSCRIBED FROM DAILY LOGS OR OTHER DOCUMENTS WHICH AREAVAILABLE FOR AUDIT.CERTIFIED BY: TITLE: DATE: __________________


MATERIALS RECORD FOR DDIR # _________________________



FHWA NY- 200___

VENDOR DESCRIPTION QUAN. UNITPRICE

TOTALPRICE

DATEBOUGHT

CHECKNUMBER

DATEUSED

SOURCE OF INFOINVOICE STOCK

TOTAL COSTS THIS PAGE

I CERTIFY THAT THE ABOVE INFORMATION WAS TRANSCRIBED FROM VENDOR INVOICES, STOCK CARDS OR OTHERDOCUMENTS WHICH ARE AVAILABLE FOR AUDIT.

CERTIFIED BY: TITLE: DATE: ___________________


LABOR RECORD FOR DDIR # _________________________



FHWA NY- 200___

DATE/HOURS WORKED EACH DAYEMPLOYEE'S NAMES JOB

TITLE DATE

TOTALHOURS RATE TOTAL

PAYPAYCHECK

NUMBER

REG

O/T

REG

O/T

REG

O/T

REG

O/T

REG

O/T

REG

O/T

REG

O/T

FB/INDIRECTTOTAL RT $ TOTAL OT $ RATE __________ FB/IND $I CERTIFY THAT THE ABOVE INFORMATION WAS TRANSCRIBED FROM TIME SHEETS, PAYROLL RECORDS OR OTHERDOCUMENTS WHICH ARE AVAILABLE FOR AUDIT.



RENTED EQUIPMENT RECORD FOR DDIR # _________________________



FHWA NY- 200___

TYPE OF EQUIPMENTIndicate size, capacity,

horsepower, make and model asappropriate.

DATE &HOURS USED

RATE PER HOURW/OPR W/O OPR

TOTALCOST VENDOR INVOICE

NO.

DATE &AMOUNT

PAID

CHECKNO.

TOTAL RENTED EQUIPMENT COSTS THIS PAGE

I CERTIFY THAT THE ABOVE INFORMATION WAS TRANSCRIBED FROM DAILY LOGS, VENDOR INVOICES, OR OTHERDOCUMENTS WHICH ARE AVAILABLE FOR AUDIT.CERTIFIED BY: TITLE: DATE: ____________________


CONTRACT COSTS RECORD FOR DDIR # _________________________



FHWA NY- 200___

CONTRACTOR/VENDORDESCRIPTION OF ACTIVITY

(date, hours worked, rate per hour plusactivity)

CONTRACTNUMBER

PERIOD OFCONTRACT

CONTRACTCOST

CHECKNUMBER


I CERTIFY THAT THE ABOVE INFORMATION WAS TRANSCRIBED FROM DAILY LOGS, VENDOR INVOICES, OR OTHERDOCUMENTS WHICH ARE AVAILABLE FOR AUDIT.

CERTIFIED BY: TITLE: DATE: ____________________


FORCE ACCOUNT TRAVEL COSTS RECORD FOR DDIR # _________________________



FHWA NY- 200___

EMPLOYEE’S NAMES DATES LODGING MEALS OTHER (IDENTIFY)

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

$ $ $

TOTAL $ $ $


I CERTIFY THAT THE ABOVE INFORMATION WAS TRANSCRIBED FROM VOUCHERS/INVOICES OR OTHER DOCUMENTSWHICH ARE AVAILABLE FOR AUDIT.



APPENDIX J: PROGRAM OF PROJECTS LISTING


FHWA EMERGENCY RELIEF PROGRAM OF PROJECTS LISTING– “EVENT NAME” (NY0X-0X)–REVISION X

AGR= Regional Office has Local Agreement; E/P = category of work (E=Emergency; P=Permanent) x of x Date and Time Prepared

FINAL COSTS

COUNTY APPLICANT AGR

MAMIS PTC& WO # ORCONTRACT# & PIN # OR

OTHER(IDENTIFY)

E/P LOCATIONDESCRIPTIO

N OFDAMAGE

ESTIMATED$ NYSDOT

CONT. NYSDOTFAOTHER

APPL. BYCONTRACT

OTHERAPPL. BY FA

TOTALS $0.00 $0.00 $0.00 $0.00 $0.00


DIRECTIONS FOR COMPLETING THE PROGRAM OF PROJECTS LISTING

NOTE: Nearly all the information for the Program of Projects Listing is taken from theDDIR forms.

EVENT NAMEName NYSDOT and/or FHWA has given the event, such as April 2007 Flooding.

EVENT NUMBERNumber provided by FHWA when the Emergency Relief Program is authorized.The two (2) digits after NY indicate the year; the last two (2) digits indicate thesequential number of the event in the year. Example: NY07-01.

REVISIONRevision 0 = the initial submission; number Revisions sequentially.

COUNTYAlso include Report Number in parenthesis and Revision number (Rev1, Rev3) inparenthesis. Example: ALBANY (ALBC-01) (Rev2)

APPLICANTAgency/department/organization/jurisdiction responsible for the ER Program-eligible facility on the DDIR form. Examples: NYSDOT, Delaware CountyDepartment of Public Works, Town of Pendleton Highway Department, NYSThruway Authority

AGRPlace an X in the cell when the required agreement has been executed with theApplicant. For NYSDOT projects, place NA in the cell. For Thruway Projects,place X, since using their Master Agreement for Construction/Federal AidHighway Projects (D140943).

MAMIS PTC & WO # OR CONTRACT # & PIN # OR OTHER (IDENTIFY)Indicate the appropriate MAMIS PTC (Project Tracking Code) number andassociated Work Order number(s); Contract Number(s) and the associated PINnumber(s) for the contract(s); or any other appropriate number(s) and identify.Do not list the assigned Federal PIN(s) in this space.

E/PPlace an E in the cell when the work described on the DDIR is all EmergencyWork; a P when the work described on the DDIR is all Permanent Work; or E&Pwhen the work described on the DDIR is both Emergency Work and PermanentWork.


LOCATIONInformation is copied from the “Location (Name of Road and Milepost)” box of the DDIR. Specific location, including milepost/reference markers where available,Bridge Identification Number (BIN), Culvert Identification Number (CIN),intersection, etc.

DESCRIPTION OF DAMAGEInformation is copied from the “Description of Damage” box of the DDIR. Describe the nature and extent of the problem/damage; not the work to be doneto repair the damage. “Repair flood damage” does not describe the damage.What is the nature, extent, etc. of the damage? If a culvert needs to be relined,describe the nature of the damage to the culvert, etc. Be as descriptive aspossible: 200 yards of shoulder is washed out 2 feet wide and 6 inches deep.

ESTIMATED $Information is copied from the Estimated Total box of the DDIR.

FINAL COSTSWhen final cost information is available, enter the information into the appropriatecolumn(s). This information may be known when the DDIR is prepared, butusually not until the final inspection is made and the cost documentation iscompiled. When work on a project/DDIR is accomplished by both contract andforce account, show those amounts in the appropriate columns.NYSDOT CONT.–final cost of work performed under a NYSDOT contractNYSDOTFA–final cost of work performed by NYSDOT labor, equipment,supplies/materials, etc.OTHER APPL. BY CONTRACT–final cost of work performed under a Sponsor(municipal/local jurisdiction) or Thruway Authority contractOTHER APPL. BY FA–final cost of work performed by Sponsor (municipal/localjurisdiction) or Thruway Authority labor, equipment, supplies/materials, etc.


APPENDIX K: DDIR COMPLETION STATUS REPORT AND DIRECTIONS FORCOMPLETING


DDIR COMPLETION STATUS REPORT

EVENT: NY __________ REGION: _____ DATE PREPARED: ____________________________

DDIR # Applicant Federal PIN(s)

Anticipated/Actual

CompletionDate

FHWAApprovedAmount

Final Costs

Revision orTime

ExtensionRequired/Approved

AnticipatedFederal $

Needed NextThree

Months

Date Final CostDocumentation

Submitted toER Unit

DateAccounting

BureauNotified to

Close PIN(s)


DIRECTIONS FOR COMPLETING THE DDIR COMPLETION STATUS REPORT

DDIR #The unique number assigned to a DDIR.

ApplicantThe Agency/Organization responsible for the ER Program-eligible facility.

Federal PIN(s)The Federal PIN(s) assigned to Project/DDIR.

Anticipated/Actual Completion DateWhat is the anticipated or actual completion date for the approved workdescribed on the DDIR?

FHWA Approved AmountThe amount FHWA has approved for the work described on the DDIR.

Final CostsList the final costs for the approved work described on the DDIR. Indicate theamount eligible for 100% reimbursement and the amount eligible for 80% (or90% for Interstates) reimbursement.

Revision or Time Extension Required/ApprovedIndicate if a revision or time extension needs to be submitted to FHWA. Indicatethe date when FHWA approves the requested revision or time extension.

Anticipated Federal $ Needed Next Three MonthsIndicate the estimated Federal dollars that will be needed during the next three(3) months. FHWA periodically inquires as to the amount of ER funding that willbe submitted for reimbursement.

Date Final Cost Documentation Submitted to ER UnitIndicate the date you submitted the final cost documentation to the ER Unit.

Date Accounting Bureau Notified to Close PIN(s)This will be completed by the ER Unit to indicate the date they notify the MainOffice Accounting Bureau that all final costs have been submitted for a particularFederal PIN and the Federal PIN can be closed in FMIS.


APPENDIX L: FINAL INSPECTION OF FEDERAL-AID PROJECT NYSDOTEMERGENCY RELIEF PROJECT (FHWA-1448C-NYSDOTMODIFICATION) FORM AND DIRECTIONS FOR COMPLETING


100% =

80%/20% (or 90%/10%) =

TITLE

Form FHWA-1448C (NYSDOT MODIFICATION)

(Rev. 2-78)

U.S. DEPARTMENT OF TRANSPORTATIONFEDERAL HIGHWAY ADMINISTRATION

State is to complete items 1 - 7 and submit original and three (3) copies to the Federal Highway Administration Division Office.INSTRUCTIONS:

FINAL INSPECTION OF FEDERAL-AID PROJECTNYSDOT EMERGENCY RELIEF PROJECT

4. DESCRIPTION OF IMPROVEMENT AS PROGRAMMED

5. CONTRACTOR'S NAME 6. CONTRACT AMOUNT

7. NOTICE OF COMPLETION: The above listed project has been completed and is ready for final inspection.

Completion Date:

$

SIGNATURE (SHA OFFICIAL)

1. PROJECT NO. 3. STATE, EVENT, AND DDIR NO.2. COUNTY

NY-

$

$

10. IN COMPANY WITH

11. REMARKS

Reason(s) for cost over-run/under-run:

8. FINAL HIGHWAY ADMINISTRATION INSPECTION MADE BY 9. DATE OF INSPECTION

12. SIGNATURE 13. TITLE 14. DATE


DIRECTIONS FOR COMPLETING THEFINAL INSPECTION OF FEDERAL-AID PROJECTNYSDOT EMERGENCY RELIEF PROJECT FORM

A “Final Inspection of Federal-Aid Project– NYSDOT Emergency Relief Project” form will be completed for each Detailed Damage Inspection Report (DDIR) form. If work fora DDIR was done by force account and contract, then a Final Inspection form must becompleted for the work completed by force account and another Final Inspection formmust be completed for the work completed by contract. If multiple contracts were usedfor a DDIR, then a Final Inspection form must be completed for each contract.

NYSDOT Representative will complete items 1-7.1. Project No.

For NYSDOT contract, enter the Contract number and PIN.For NYSDOT force account work, enter NYSDOTFA.For Sponsor (municipal/local jurisdiction) contract, enter the PIN and “D number” assigned to the Sponsor and any contract number(s) assigned by the Sponsor.For Sponsor (municipal/local jurisdiction) force account work, enter the PIN and“D number” assigned to theSponsor.For NYS Thruway Authority contract, the “D number” is D140943and enter thecontract number(s) assigned by the NYS Thruway Authority.FOR NYS Thruway Authority force account work, the “D number” is D140943and enter NYSTAFA.

2. CountyCounty in which the ER Program-eligible facility is located.

3. State, Event, and DDIR No.The State is NY (New York), the Event is the FHWA-designated event, and theDDIR No. is the unique report/site number from the initial DDIR form(s). If thisreport is for more than one (1) DDIR, list all DDIR numbers included.

4. Description of Improvement as ProgrammedDescribe what was done to repair/restore the site(s)/project(s).

5. Contractor’s NameWho did the work?For NYSDOT contract, enter the Contractor’s name.For NYSDOT force account work, enter NYSDOT Residency Personnel,NYSDOT Traffic Signals, etc.For Sponsor (municipal/local jurisdiction) contract, enter Contractor’s name.For Sponsor (municipal/local jurisdiction) force account work, enter SponsorAgency/Department Force Account (i.e., Chenango County Highway DepartmentFA).For NYS Thruway Authority contract, enter the Contractor’s name.For NYS Thruway Authority force account work, enter NYSTAFA.


NOTE: Complete aseparate form for each “Contractor”at a site/project, sincecontractor and force account costs cannot be reported on the same form. Asite/project may have multiple Final Inspection forms.

6. Contract AmountTotal “Contractor” costs at a site/project. Remember definition of “Contractor” from above.

7. Notice of CompletionCompletion Date: Date site/project repair/restoration was completed; not the datethe form was completed, nor date contractor was paid.100% (Emergency Repair): Amount of final cost eligible for 100%reimbursement.80%/20% (or 90%/10%) (Permanent Repair): The 80% amount (or 90% amountfor Interstates) of the final cost to be reimbursed to the Applicant. Permanentrepair work is reimbursed at the normal pro rata share unless it is performed aspart of the emergency repair work to restore essential travel, minimize the extentof damage or protect the remaining facilities.NOTE: Some sites/projects may be eligible for some work to be reimbursed at100% and some work at 80% (or 90%), so include the appropriate amounts onthe appropriate lines.Reason(s) for cost over-run/under-run: Explanation of why final cost exceeded orwas less than initial estimate from DDIR form. Examples: Cost of asphaltincreased since DDIR/estimate was prepared; originally estimated to be done byown forces, but was done by contract instead, since determined that the workexceeded the Applicant’s capabilities; unable to accurately estimate the extent of required work, since the site was still underwater; etc. Some sites/projects mayrequire an explanation as to why previously identified work was not done at asite/project, or an explanation of why the final cost was substantially lower thanestimated. Examples: Originally estimated to be done by contract, but work wasdone by own forces; amount of gravel debris to be removed was not as great asoriginally estimated; etc.Signature of State Highway Official who completed form: Signature of theNYSDOT representative who conducted the final inspection and completed theform.Title of State Highway Official who completed form: Title of the NYSDOTrepresentative who completed and signed the form.

FHWA Area Engineer will complete items 8-14 at a later time.

For NYSDOT projects/sites: The NYSDOT representative that compiles the costdocumentation will also complete the form, and send both the completed form and thecost documentation to the Regional ER Coordinator, who will enter the final costinformation on the FHWA Emergency Relief Program of Projects Listing form, and willsubmit the Final Inspection of Federal-Aid Project NYSDOT Emergency Relief Project


form and cost documentation packet to the ER Unit, which will submit the requiredinformation to the Main Office Accounting Bureau to prepare the billing to FHWA.

For Sponsor (municipal/local jurisdiction) projects/sites: The Regional ER Coordinatorwill arrange for or conduct a final inspection, which includes visiting the site(s) andreviewing cost documentation submitted for accuracy and reasonableness. TheRegional ER Coordinator will enter the final cost information on the FHWA EmergencyRelief Program of Projects Listing and submit the completed forms to the to the ER Unit,which will submit to the Main Office Accounting Bureau to process the payment, whichwill automatically bill FHWA.

For NYS Thruway Authority projects/sites: For sites with final costs less than $5 million,the Thruway Authority prepare and submit the Final Inspection of Federal-Aid ProjectNYSDOT Emergency Relief Project form(s) and the cost documentation packages tothe ER Unit. For sites with final costs greater than $5 million, the ER Unit will arrangefor a final inspection to be conducted by FHWA. The ER Unit will review the packagefor accuracy and reasonableness, enter the final cost information on the FHWAEmergency Relief Program of Projects Listing, and submit the cost documentation andappropriate forms to the Main Office Accounting Bureau. The Main Office AccountingBureau will process for payment, which will automatically bill FHWA.

fhwa emergency relief program procedures for …...emergency repair work to restore essential...

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