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Emergency Relief (ER) Guidance (Document #S34808)

Information provided to assist the Engineer in their California "ER" work:
— Date of Incident(s) _________ (Predetermined by FHWA)
— Last date for Identification of Sites for each disaster _________ (Predetermined by FHWA)
— Last date for DAF submittal _________ (Predetermined by FHWA)
— FHWA Emergency Relief (ER) Manual (dated August 2003)
— FHWA/Caltrans Stewardship Guidelines (Caltrans PDPM, Chapter 2, Section 7)
— Caltrans Local Assistance Program Guidelines — Chapter 11 (Disaster Assistance)
— Caltrans Local Assistance Procedures Manual — Chapter 6 (Environmental Procedures)
— Caltrans Local Assistance Program Emergency Relief Guidebook (Rev 3/2001)
— FHWA Damage Assessment Forms (DAF) (CA Rev 01/04/07)
— Questions and Answers (Q's/A's) for Typical Situations (CA Rev 01/04/07)
— Referenced FHWA correspondence (e.g., #S2573)
— California City/County Abbreviations

The following questions are frequently asked and should help clarify the DAF. There is the possibility of exceptions to any question given a certain situation. Questions are categorized for ease of reference:



Q #1) What ER work is funded by FHWA and what ER work is funded by FEMA or OES?

A) FHWA ER funding is for those routes that are "Federal-aid highways." Routes classified as local roads and rural minor collectors are not "Federal-aid highways," but may be eligible for other Federal funds, i.e.Federal Emergency Management Agency (FEMA) and/or State funds, i.e. Office of Emergency Services (OES). If a damaged site is NOT located on a Federal-aid highway, FEMA and/or OES funding may also be eligible. Federal–aid highways are identified on FHWA approved functional classification maps. THE CALTRANS ENGINEER OR LOCAL AGENCY ENGINEER SHOULD VERIFY WHETHER THE HIGHWAY IS FEDERAL-AID OR NOT FEDERAL-AID BEFORE SCHEDULING A SITE REVIEW.

Q #2) What is the difference between Emergency Opening (EO) and Permanent Restoration (PR)?

A) ER funding is FHWA funding to help reestablish those transportation facilities that are Federal-aid highways and were damaged due to a "natural disaster." It is not expected to replace an agency's (Caltrans and/or Local) cost of heavy maintenance.

EO funding is for work that is to be "diligently pursued" and is needed for restoring essential travel, minimizing the extent of damage, or protecting the remaining facilities of a damaged transportation system. EO work is 100% reimbursable for the first 180 days, starting on the date of the incident period that FHWA has determined. FHWA will also establish a "last date for identification of sites" and a "last date for DAFs to be completed" by the recipient. Inadequate documentation for not meeting either of these dates are grounds for an ineligible determination. After the first 180 days, the EO funding falls to the regular pro-rata share for that roadways classification. Also, EO work not under physical construction within the first 180 days is normally considered to be PR work in which PR processing applies. If this happens, a DAF revision from EO to PR must be done as well as documentation of environmental clearance.

PR funding is for work that is needed to restore the facility to before "incident" condition, but is not of a critical nature, e.g. opening all through lanes. PR work is reimbursed based upon the facilities roadway classification, which is normally at an 80% OR 90% pro-rata share. If PR work is done within the first 180 days, it is still only eligible for the pro-rata share unless incidental to the total EO cost (rule-of-thumb is normally 10% or less of the EO cost). In addition, there may be situations where immediate completion of the PR work is the most economical and feasible operation to quickly restore essential traffic, e.g., replacing a washed out bridge and its approaches verses constructing a detour. Approval of this work needs to be granted by FHWA before proceeding. Note: Prior authorization is needed from FHWA to proceed with any PR work unless delegated to Caltrans (See #S21252). OES needs the estimate within 10 days.

Q #3) How long are the ER funds available?

A)ER funds are available to use until the end of the 2nd Federal FY after the Federal FY in which the incident occurred. The FHWA interprets “construction obligation” as the signing of the E-76 for construction funds, not PE or R/W funds, and must occur by the end of this 2nd Federal FY or the eligibility to acquire funds lapses and they are no longer available unless a time extension is granted by the FHWA Division office. FHWA generally gives favorable consideration to time extensions if the agency is making a diligent effort to advance the project. (See #S2832 for clarification). Any new DAF’s submitted after the incident (period), a predetermined date set between 60 and 180 days by FHWA, will be considered ineligible as the route(s) damage repair must not have been considered essential for the transportation system. Note: Since Caltrans receives a limited amount of ER dollars, an approved DAF does not guarantee funding of the work, as it typically is first come-first served for authorizing project approval with an E-76.

Q #4) How accurate does the DAF estimate have to be?

A) The estimate is only an estimate. The important thing is to define the scope of work. At completion of construction, Caltrans/Local agencies will be reimbursed for the actual cost, if different than the estimate, keeping in mind the scope has not changed.

Q #5) What warrants a revised DAF?

A) ANY SCOPE CHANGE OR A COST INCREASE for projects a) up to $100,000 where the dollar figure increase is in excess of $10,000 and 25%; b) between $100,000 and up to $1,000,000 where the dollar figure increase is in excess of 15%; c) over $1,000,000 where the dollar figure is in excess of 10% of the original DAF. Note: When a revised DAF is done, the revision number should also change. Changing PR to EO is not allowed without FHWA approval. These dollar figures and percentages will allow the agency to avoid any calculations for "contingency" work. Prior approval by FHWA of "any" revised DAF and before additional work starts is required for favorable eligibility finding.

Q #6) Should metric or English units be used on the DAF.

A) Either unit may be used. The top priority of the engineer (approving official for the DAF) should be completing the DAF on site with the most accurate scope/estimate possible.


Q #7) What type of an environmental document is needed for an ER project?

A) NEPA applies to ER. Normally, ER projects are categorical exclusions (CE's) i.e., does not involve significant environmental impacts. For EO work only, a CE should apply and the DAF documents the environmental NEPA clearance. However, informal consultation (further environmental studies) may need to be initiated with applicable resource agencies, such as the Fish and Wildlife Service, Army Corps of Engineers, U.S. Coast Guard, Coastal Commission, park officials, Department of Interior, Advisory Counsel on Historic Preservation, State Historic Preservation Office, etc., to obtain agreement on expedited environmental processes to address the requirements of other Federal environmental laws. For EO work a Caltrans or local Environmental Staff person (preferred) or someone within Caltrans or the local office having knowledge of the environmental setting (acceptable) will be required to sign (see block 19 of the sample DAF). Emergency opening work can begin without this signature. PR work falls under the standard project development process for Federal–aid projects (Section 7, Section 106, Section 4(f), etc.) The DAF is not acceptable for PR environmental clearance as the type of environmental document required (CE, EA/FONSI, OR EIS/ROD) is determined using normal criteria. For NEPA guidance, see Caltrans Environmental Handbook (for projects on the State Highway System) OR Caltrans Local Assistance Procedures Manual, Chapter 6 and FHWA Technical Advisory 6640.8A., dated October 30, 1987. Also refer to 23 CFR 771 and the FHWA ER Manual, pg. 16. Note: Both EO and PR projects are excluded from RTP/FTIP requirements unless they involve substantial functional, location OR capacity changes.

Q #8) What type of coordination with other agencies is needed and when?

A) See #S43855, FHWA ER environmental requirements for clarification and #S46161, Emergency Highway Repair Interagency Notification, which can be used as a boilerplate to develop and notify appropriate resource/regulatory agencies. In addition, effective for disasters declared after 10/19/98, the ER delegations are revised for Caltrans to conduct site reviews and preparation of DAFs for all local streets and roads (without a cost threshold) except for sites where:

Resurfacing is involved (exceed 50% of project cost) Significant R/W actions are involved such as:

—relocations of residents or businesses
—partial takes which affect current use of property
—full acquisitions
—partial takes exceeding 25% of a parcel
—involvement of more than 2 parcels

Betterments are involved

Environmental document exceeds a NEPA categorical exclusion

The last criterion, "environmental document exceeds a categorical exclusion," is for determining FHWA participation in the site review and does not delegate environmental clearance authority. FHWA will still be required to approve a Categorical Exclusion (CE) when the programmatic CE conditions do not apply. For more information regarding this issue see #S21252.

Q #9) Are environmental mitigation measures identified by a resource or regulatory agency(s) (COE, FWS, F&G, etc.) eligible for ER funds?

A) Yes, as with any Federal-aid program, environmental mitigation directly related to impacts resulting from eligible emergency repair work is an eligible expenditure. (See #S2573 for clarification and the FHWA ER Manual, pgs. 16-18).

Bridge (Includes related geotechnical work)

Q #10) Can a damaged low water crossing be replaced with a bridge?

A) Yes, ER funds determined eligible to replace a damaged low water crossing can be used to "supplement" the cost of a bridge to replace the crossing. However, ER funds for the entire replacement bridge would not be eligible unless a cost/benefit analysis can justify the betterment, i.e., the cost of a bridge. Consideration can be given to replacing water crossings that frequently washout with a bridge and/or betterment, but these washouts would have to be associated with Federal declared emergency(s) versus State "only" declared emergency(s). Note: This situation would typically apply to PR work because a route with a low water crossing is normally not on an essential route.

Q #11) Can a damaged bridge be replaced with a new bridge?

A)If the existing bridge is damaged beyond repair or if an economic analysis can justify replacement, ER funds can be used. ER participation may be pro-rated to the costs of a comparable facility when the proposed replacement project exceeds the cost of the new facility to current design standards and future needs (CFR 668.109(d) (FHWA ER Manual, pgs. 26 & 27). If the proposed replacement involves a betterment, such as incorporating an increased waterway opening to protect the facility from future damage, the betterment may be eligible for ER funding if it can be economically justified based on an analysis of the cost of the betterment vs. projected savings in costs to the ER program should future disasters occur (FHWA ER Manual, pgs. 27-32). If the only damage at the site is loss of the approach roadways and no damage to the structure has occurred, bridge replacement is not warranted. However, if the bridge or any other FHWA transportation project was scheduled for replacement in the near future, (on the FTIP/FSTIP upcoming 3 year period) then ER funds "are not eligible" as other highway funds are already identified and to be used. Coordination with the Coast Guard and other agencies may be necessary. Note: If the bridge damage was caused by in stream aggregate mining, repair costs may not qualify for ER funding. Also, any undersized drainage installed on the basis of an approved design exception by the Local Agency or Caltrans which caused damage at the site or downstream is ineligible for ER funding. (See #S3585)

Q #12) What type of bridge/structure damage should the FHWA Bridge Engineer be involved with when dealing with Caltrans or Locals?

A) In general, Caltrans or Locals structures department should segregate out bridge/structure ER sites with any major feature that is damaged on a structure so a qualified FHWA bridge representative can review the site(s). Major features for flood damage include, but are not limited to: pier and abutment scour, structure collapse (partial or complete), structural damage due to debris impact and slides. Major features for earthquake damage includes, but are not limited to: structural collapse (partial or complete), structural damage, i.e., cracks, spalls, evidence of abutment or hinge unseating, column damage, foundation movement, and abutment wall cracking. The FHWA Bridge Engineer should be contacted directly for these types of sites, review the damage, and prepare a DAF. All other types of damage can be handled by the FHWA Engineer in consultation with their FHWA Bridge Engineer if needed.

*Bottom line for bridge engineers involvement – there needs to be good communication between the FHWA engineer and the FHWA Bridge engineer.

Q #13) If it is determined that replacement of a bridge is required under the ER program, does the bridge have to be constructed to current standards (i.e. hydraulic design, lane and shoulder widths) and are these upgrades eligible for ER reimbursement?

A) Yes, a replacement structure should be constructed to current standards, particularly lane and shoulder widths. However, ER funds should not be used in substantial roadway re-alignments (beyond touchdown points), ambitious hydraulic upgrades, and so on. A REASONABLE roadway realignment (as determined by FHWA) for hydraulic design reasons should be split funded (ER plus other system funds) and justified. Additional approach fill as part of an increased waterway opening is justified, as is riprap, spur dikes and channel work (all within R/W) to protect an erodible bank. Note: Design year for Q's of culverts or structures are based upon Caltrans standard practice. Any exceptions (i.e. existing Q50, but build to Q25 or Q100) requires documentation with FHWA concurrence.

Q #14) Are historic structures that are replaced but still left in place eligible for ER?

A) No, once a structure has been replaced, it is moved to an off-system classification and no longer eligible for federal funding.


Q #15) What are the minimum dollar thresholds for eligibility of a site?

A) The general guidance is:

  State County City
per site $5,000/ $5,000/ $5,000
per mile $15,000/ $9,000/ $5,000

For per mile criteria, justification in the form of a map with sites identified and costs for each site is required. Note: The estimate should be justified by quantities that are supported by calculations. Anything under these limits should be considered heavy maintenance and ineligible (See FHWA ER Manual, pgs. 20 & 21).

Q #16) Can costs be reimbursed for ER work before FHWA has reviewed the site and made their eligibility determination?

A) Maybe, as this situation would only apply for EO work. Documentation of the before, during, and after condition is essential in supporting a reimbursement request as this situation will be scrutinized. Documentation shall include pictures of existing damage (extenuating circumstances, e.g., unsafe conditions may make taking pictures impossible) along with dates, news articles, work bills, etc. Reasonable PE and/or CE % for EO work may be allowed as warranted with proper support. Note: PR work requires prior authorization (approved E-76) before proceeding to R/W work and/or construction advertisement.

Q #17) What happens if work has been done under FEMA approval and now is ineligible due to identification after the closure date for eligible sites?

A) The DAF may be approved by FHWA if it is a Federal-aid highway as defined in Q #1. If yes, refer to A #16. In this case, PR work is also eligible with proper documentation.

Q #18) Are damaged pavements eligible for repair?

A) In general, repair of roadway surfaces due to traffic damage, even if damage is aggravated by saturated subgrade conditions, or by inundation of the roadway, is not eligible for ER funds. However, there are three exceptions. (See FHWA ER Manual pgs. 11 & 12 for exceptions). Note: Crack sealing of pavement by itself is considered routine maintenance and is ineligible unless it can be supported otherwise, i.e., documented by pictures, pavement records and support showing maintenance efforts above and beyond routine maintenance. Any crack sealing review and eligibility call must include FHWA. However, if needed "as part of" an overlay for damages (i.e. pavement reconstruction, substantial digouts, etc.) incurred as a result of the disaster, it would be eligible. Also, see the following Q/A #19.

Q #19) Are ER funds eligible for maintenance?

A) ER funds are eligible for the repair of surface damage to a "designated" detour (which may lie on both Federal-aid and non-Federal-aid routes) caused by traffic that has been detoured from a damaged Federal-aid highway. A "designated" detour is the officially signed detour that highway officials have established. Routine maintenance of a detour during construction is eligible (signs, striping, CMS, temporary signals, etc.). In addition,repair of surface damage to a "designated" detour caused by traffic that has been detoured from a damaged or impassable Federal-aid highway is eligible for ER funds (See FHWA ER Manual, pgs. 10 & 11). Note: It is important that a documented survey of the condition of the proposed ";designated"; detour route prior to detouring traffic on it should be helpful in determining the scope of restoration work to predisaster condition.

Q #20) When are betterments eligible for ER funding?

A) Refer to pgs. 27-32 of the FHWA ER Manual for guidance and examples. In general, betterments may be considered eligible for ER funding if the betterment can be economically justified based on an analysis of the cost of the betterment versus projected savings in costs to the ER program should future FHWA declared disasters occur.

Per #S46163, Design Information Bulletin 79-02, Section 1.2.1, fourth bullet, "For the purpose of these design criteria, Permanent Restoration (PR) projects due to fire, earthquake, slides or storm damage that do not include structure work such as walls or bridges do not fall in the category of RRR design criteria and may be restored to the condition prior to the damage."

Q #21) Are ER funds eligible for overhead administrative expenses?

A) Eligible administrative charges for specific project(s) are preliminary engineering (PE) (environment/design) and/or construction engineering (CE) (Resident Engineer or inspector). Reasonable PE and/or CE % for EO work may be allowed as warranted with proper support, e.g., hiring consultant for design and/or construction oversight. Overhead costs associated with running the agency(s) overall "Program" such as City Director, Senior Engineer, office secretary, etc. are not eligible (See FHWA ER Manual, pgs. 18 & 19). Cost to prepare the DAFs are eligible. (See 23 CFR 1.11 Engineering services, pg. 8. See #S43942.) Consultant work is eligible when they "already" act on behalf of the transportation agency (State/City/County) for the applicable PE or CE costs above. Note: The standard selection and bidding process, etc., must be followed for new consultants hired to help address the Agency's ER concerns.

Q #22) Should a DAF be filled out for ineligible sites?

A) Yes, we have run into problems later because we had no record of visiting the site and field reviewed it twice. Always include an explanation of why the site or part of the site is ineligible on the DAF.

Q #23) Is there an appeals process if there is disagreement with FHWA's eligibility call?

A) By the time the "Team" leaves the site, the DAF shall be signed and an eligibility call (scope of work and estimate of costs) made. FHWA has the final approval; however, if there is a disagreement and/or other information to be supplied, it should be so noted on the DAF. In the case of a disagreement, further consideration to a change on the DAF by FHWA could be made once Caltrans or the Local Agency through Caltrans HQ's supplies additional information to FHWA, with their recommendation and in a reasonable time, i.e., 90 days. Note: Economic hardship to the agency is not a factor in determining repair eligibility.

Q #24) How is ER damage evaluated if a subsequent incident occurs after the closure date of the previous incident?

A) To minimize administration work, each incident's associated damage is to be evaluated and written up separately (See FHWA ER manual, pgs. 35 &36 for more detail). If incident #2's repair is incidental to incident #1's repair, write a revised DAF for incident #1. If incident #2's damage is substantial, close-out incident #1's DAF (still eligible for ER funding) and write a new DAF for incident #2. Note: If the subsequent incident is not part of a federal declared emergency, then the additional damage is not eligible for ER funds unless the original damage repair was delayed due to environmental processing.

Q #25) Can convict labor be used for ER?

A) Convict labor cannot be used in ER construction projects. (See FHWA ER Manual, pg. 60, 23 CFR 635.117, pg. 169 and the Contract Administration Core Curriculum Participant's Manual and Reference Guide 2001 (Rev.1) for more general guidance on Use of Convict Labor, #S34828 & #S34829).

Q #26) Is work done upstream and/or downstream of a channel under a highway facility eligible for ER funds?

A) Typically, work outside of the Right-of-Way (R/W) for ANY situation is ineligible. However, the FHWA ER Manual pg. 18 shows 4 conditions that must "all" be met (with documentation) before a favorable eligibility call can be made.

Q #27) Will FHWA participate in material or equipment that is salvaged, e.g., a Bailey bridge?

A) Yes, the FHWA will participate in the disaster related portion of work, i.e., FHWA will participate in the pro-rated use only should the bridge be salvaged. Design life and cost of material or equipment need to be analyzed before an appropriate decision can be made.

Name Phone # Fax # Email Address
Scott McHenry (916) 498-5854 (916) 498-5008 Scott.Mchenry@fhwa.dot.gov
Charles Chen (916) 498-5043 (916) 498-5008 Charles.Chen@fhwa.dot.gov
Jim Varney (916) 654-3523 (916) 657-0064 Jim_Varney@dot.ca.gov
Teresa McWilliam (916) 653-0328 (916) 654-2409 Teresa_r_Schmitt@dot.ca.gov
Sue Clarke (916)654-4341 (916) 654-4375 Sue_Clarke@dot.ca.gov

Web addresses for:

— FHWA ER Manual: http://www.fhwa.dot.gov/reports/erm/

— FHWA CA Division office web site: http://www.fhwa.dot.gov/cadiv/resources.cfm (Download DAF's, DAF instructions and Q/A's)

— Functional Classification Maps: http://www.dot.ca.gov/hq/tsip/hseb/func_clas.html

— FHWA's Contract Administration Core Curriculum Participant's Manual and Reference Guide 2006: http://www.fhwa.dot.gov/programadmin/contracts/index.cfm

— California OES website: www.oes.ca.gov/CEPM2002.nsf/htmlmedia/pdfs.html

— FEMA website: http://www.fema.gov/

— Caltrans Emergency Projects Environmental Process and Requirements: http://www.dot.ca.gov/ser/downloads/general/Emergency_Projects.pdf

Referenced Documents

2573  ER Eligibility Transfer Funds for Mitigation
2832  Clarification on Time Extensions
3585  Aggregate Mining in Rivers
16298  California City/County Abbreviations
21252  ER Program – Revised Delegation of Site Reviews
34828  23 CFR Use of Convict Labor for ER
34829  FHWA's Contract Administration Core Curriculum Participant's Manual and Reference Guide 2006 Related to Convict Labor
43855  Emergency Relief Environmental Requirements
43932  California Forest Highways (Federal Roads) under ERFO
43942  23 CFR Federal Participation in Engineering Services
46161  Emergency Highway Repair Interagency Notification Form from District 5
46163  Design Information Bulletin #79-02, RRR definition

In filling out the Damage Assessment Form (DAF), the following information should be completed and corresponds to the attached DAF (do not use form in August 2003 FHWA ER Manual).

1) Identify the report number by the first, middle and last initials of the reviewer's name, followed by the Caltrans District or City or County, then the report number.

Here's the convention: XXX-XXXXXX-XXX-X

The first set of 3 characters are to be your initials. If you are aware of anyone working with the same applicant agencies as you and have the same initials, agree on a substitute set of initials.

The second set of 2 to 6 characters should be the abbreviation for the applicant agency. (See SS #S16298). The State DAFs require a CT XX format. (e.g., CT 02)

The third set of 3 characters should be a sequential series for the report number. Use the preceding zeros for sorting purposes.

The fourth set of characters are the revision number and are to use the original DAF number followed by a dash and revision number (first report should be revision 0). A revised DAF supersedes all previously entered DAFs. The revision should bring forward all pertinent costs and the scope of work.

For example:

  1. JRH-CT09-123-0 is for Jeff Holm-CT Dist.9-report no. 123
  2. KJK-SCLCO-001-0 is for Ken Kochevar-Santa Clara Co.-report no. 1
  3. THD-OAK-032-0 is for Tay Dam-City of Oakland-report no. 32
  4. THD-OAK-032-1 is for Tay Dam-City of Oakland-report no. 32-revision no. 1

2)  Include the number of sheets with the DAF.

3)  Identify which emergency (incident) the work is related to, e.g. CA03-1 for the first declared disaster of 2003.

4)  Write Caltrans if the State, local agency if a City or County if a County with the corresponding County, i.e. Caltrans-LA, City of Culver-LA or County of San Diego-SD.

5)  Note incident date and inspection date in mm/dd/yy format. Incident date includes date damage occurred or date damage was discovered, e.g., slipout discovered in May after snow melts so date of damage is unknown, but discovery date is known. Inspection date is when the DAF team visits the site to discuss damage repair strategy and estimated cost.

6)  Note the name of the road/bridge the damage is located on plus the damage limits as described by the beginning and ending PM/KP in meeting the per site or per mile criteria as well as a total distance (Refer to Q/A #15.).

7)  Identify if the route is a Federal-aid highway. Ask Caltrans and/or Local representative to verify if the route is a "Federal-aid highway." Local roads and rural minor collectors are not eligible for FHWA ER funds.

8)  The Caltrans and/or Local agency representative should have a FHWA approved system map available or can use the web address on previous page to get functional classification maps. Indicate the map # for reference.

9)  Identify if the route is a California Forest Highway (Federal Road) under ERFO.

10) If yes under 9), list the highway number. (See document #S43932.)

11) Note the Caltrans Work Order No(s).

12) Note data where applicable.

13) Identify the State/Local Route No.

14) Describe the damage in general terms, i.e. mudslide covering road over a 75 foot length.

15) Note the most current ADT. This is very important when justifying emergency opening (EO) work verses permanent restoration (PR) work.

16) PICTURES – Note roll and number of photos for proper identification after development.

* Determine if the work is EO or PR and then complete a cost analysis for the damage. EO funding is for work that is needed for restoring essential travel, minimizing the extent of damage, or protecting the remaining facilities of a damaged transportation system. EO work is 100% federally funded for the first 180 days, starting on the date of the incident period that FHWA has determined. EO after 180 days, decreases to the roadway’s classification pro-rata share. PR is only eligible for its roadway classification pro-rata share. (See Q/A #2.) Note: Exceptions to this have been allowed by Congress in certain emergencies, e.g. Loma Preita.

17) Note if the EO repair has already been completed or is to be completed and if it was done by State Forces, Local Forces or contract work. Write a general description of the work to repair the damaged facility and an estimate of the cost for that work. EA# for State projects or Contract # for Local projects is needed.

18) Note if the PR repair is to be done by State Forces, Local Forces or contract work. Write general description of the work to restore the damaged facility and cost estimate of work.

19) Check what type of environmental clearance for EO is being given or is needed. The DAF is not to be used for PR environmental clearance. A Caltrans or local Environmental staff person (preferred) or someone within Caltrans or the local office having knowledge of the environmental setting (acceptable) will be required to sign off on the DAF. This person may be questioned by FHWA as to the extent the environment is or is not affected. EO work can begin without this signature. If any water is involved, having a biologist or environmental specialist accompanying the team may be useful. If further environmental study is needed, try to write a brief explanation and list the agencies, i.e. Army Corps, Fish and Wildlife Service, Forestry Service, Fish and Game and Parks involved. (See Q/A #7 for more detail.)

20)  The general rule-of-thumb is 10% for preliminary engineering (PE) and 15% for construction engineering (CE). For most cases, the percentages are arrived at from "Subtotal Permanent Restoration." Anything other than 10% and 15% should be documented. (See Q/A #21 for definitions of preliminary and construction engineering and when it is eligible for EO and PR.) For "Total Estimated Cost", add up all the eligible estimated costs for the identified EO and/or PR work with applicable PE, CE, and R/W acquisition (vs R/W operational costs for such items as temporary construction easements, boundary research and utility potholing) costs.

21)  Check the appropriate box according to the Stewardship Guidelines. See the following website: http://www.fhwa.dot.gov/cadiv/docs/oversight.cfm

22)  Check the appropriate box using guidelines in Q/A #15 for eligible costs per site/per mile.

23)  FHWA signs and dates DAF if a Federal emergency and is not delegated to Caltrans.

24)  Caltrans Engineer's concurrence based on the FHWA Engineer's eligibility call or Caltrans Engineers approval for FHWA Federal emergency, if delegated.

25)  Caltrans Engineer's signature and date.

26)  Local Agency Engineer's concurrence based on the FHWA Engineer's or Caltrans Engineer's eligibility call if applicable. If Local Agency's Engineer disagrees with the eligibility call, rebuttal should be processed through the District's Local Area Engineer. (See Q/A #23 for more detail).

27)  Local Agency Engineer’s signature and date if applicable.

28)  Same as 1) and 2). Applicant should be Caltrans or the local agency.

29)  Provide a more detailed scope and estimate of the labor, materials and equipment.

30)  Same as 28).

31)  Provide any sketches, pictures or narrative needed for clarification and support. If EO work is needed for restoring essential travel, minimizing the extent of damage, or protecting the remaining facilities, additional documentation is encouraged.

32) For Miscellaneous FHWA Approvals refer to the FHWA’s Contract Administration Core Curriculum Participant's Manual and Reference Guide 2006 web site provided above.

FHWA should keep a copy of the original DAF and profile/scan accordingly into FHWA's Document Management System (DMS) with the original DAF going to the signing Caltrans party and where appropriate, a copy to the local agency. The standard abbreviation in DMS (Project document, i.e., #P) should be "ER" under the Name/Description field followed by the Disaster Number, Report Number, EO cost and/or PR cost and Total cost; e.g., ER/CA97-1/JRH-CT09-123-0/EO=$25,000; PR=$1,200,000; T=$1,525,000 (difference between EO and PR and T is additional 10% for PE and 15% for CE of the PR subtotal equaling $300,000).

U.S. Department of Transportation
Federal Highway Administration - California Divivision
Damage Assessment Form (DAF) - Title 23

Report No. [1]

                  –        –   
Sheet No. 1 of _____ [2]

Disaster No. CA





Inspection Date (mm/dd/yy):

Location of Damage

Name of Road Bridge     _______________[6]___________________________

Begin ___________________     End ______________    PM    

Federal-Aid Highway?
[7] Yes (if no, ineligible for ER)
Map No. __________ [8]

Caltrans Work Order No(s): _______________[11]____________________

Forest Highway System?
Road/ Bridge Data Bridge No. ___[12]_____ Type   ____ Yes (Possible ERFO) [9]
Traveled Way Width ___________ Type (circle one) PCC/ AC/ Gravel Hwy. No. _________ [10]
Shoulder: Width ___________ Type (circle one) PCC/ AC/ Gravel

State/Local Route No. [13]

Description of Damage: [14] ADT (Existing) [15]

Photos [16]
Roll #       Picture #

Type of Repair Decription of Work Summary of Cost
Emergency Opening Emergency Opening (EO) TO DATE)



_______ State Forces

_______ Local Forces

_______ Contract

Emergency Opening (EO) WORK REMAINING    

________ State Forces

________ Local Forces

_________ Contract

  Subtotal Emergency Opening $ ______________



Recommended Method of Work:

________ State Forces

________ Local Forces

_________ Contract


Environmental Clearance:

EO        [19]


Preliminary Engineering (10% of PR) $ ______________
Categorical ______________ Environmental clearance is conducted through normal Fed.-aid project procedures. Construction Engineering (15% of PR) $ ______________
Further Environmental Study ______________

Right of Way


$ ______________

EO Clearance signature/date:

Total Estimated Cost
$ ______________

Stewardship:         [21]

_____ State Authorized (E) ______ Full Oversight (N)


______ Eligible   [22]

_______ Ineligible

FHWA Engineer*       [23]

Concurrence: ______ Yes         [24] _______ No

State Engineer        [25]


______ Yes         [26]

_______ No

Local Agency Engineer        [27]


FHWA DA Form (CA Rev 01/04/07)


U.S. Department of Transportation
Federal Highway Administration
California Division
Damage Assesssment Form (DAF)
Title 23, Federal-Aid Highways
Report No. _______________
Sheet No. _____ of ______
Quantity Unit Labor, Materials, and Equipment Unit Price Cost



FHWA DA Form (CA Rev 01/04/07)


U.S. Department of Transportation
Federal Highway Administration
California Division
Damage Assessment Form (DAF)
Title 23, Federal-Aid Highways

Report No. ____________________________
Sheet No._________ of __________

Sketches and/or Narrative

















Miscellaneous FHWA Approvals       [32]

Reflects available information for contracts at the time of DAF preparation. A revised DAF is not required for changes — use normal Federal-aid procedures to adjust for changes with approval (per Stewardship) based on documented justification.



FHWA DA Form (CA Rev 01/04/07)

Federal Highway Administration | 1200 New Jersey Avenue, SE | Washington, DC 20590 | 202-366-4000