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Federal Highway Administration Florida Division
Emergency Relief Program Q &A

FHWA Florida Division
Version: June 2012

  1. Active Construction Flow Chart
  2. FEMA Fact Sheet-Debris Removal
  3. June 11, 2012 Debris Policy Letter to FDOT
  4. June 16, 2009 Policy Letter to FDOT
  5. June 16, 2008 Policy Letter to FDOT
  6. September 12, 2006 Policy Letter to FDOT
  7. Reimbursement Process Flow Chart

Active Construction Flow Chart


Debris Removal Fact Sheet
Debris Removal Fact Sheet
Debris Removal Fact Sheet

Download 508 Accessible Text version


DOT Logo

U.S. Department
of Transportation

Federal Highway
Administration
  545 John Knox Road, Suite 200
Tallahassee, Florida 32303
850-553-2200
June 11, 2012
In Reply Refer To: HPO-FL

Mr. Tom Byron
Chief Engineer
Florida Department of Transportation
605 Suwannee Street
Tallahassee, FL 32399

Subject: Emergency Relief Debris Removal

Dear Mr. Byron:

As the 2012 hurricane season approaches, we want to make you aware of some recent changes in how we will administer the Emergency Relief (ER) program in Florida. On February 16, 2012, our Office of Program Administration issued a memo (attached) which clarified debris removal policies and pointed out potential inconsistencies in the Division Offices' interpretation of these policies. Based upon further discussion within FHWA as well as our meeting with FDOT staff on May 14, 2012, we are revising our Division policy and updating our Frequently Asked Questions (FAQs).

For previous ER events our policy has been to reimburse FDOT and local agencies for initial debris pickup on federal-aid highways (first push/first pass), transportation of debris to a temporary site, debris reduction, and final disposal of reduced debris. This cradle-to-grave approach was implemented during an especially active 2004-2005 hurricane season and allowed maximum flexibility regarding debris handling in the State of Florida.

It should be pointed out that the intent of emergency repairs within ER is to restore essential traffic, minimize damage and protect the remaining facility. Chapter II.B-13 of the ER Manual states that:

The cost of stockpiling and disposing of debris at adjacent sites, as well as the cost of removing marketable timber from the acceptable clearing limits and transporting to adjacent stockpile sites, is eligible for ER participation. However, hauling costs to sawmills or to other locations beyond the general proximity of the damaged highway are not eligible.

Therefore, debris removal is only eligible for reimbursement for the initial pickup, hauling and tipping fee, if applicable, within the general proximity of the roadway. Excessively long haul routes will not be reimbursable. Immediately after pickup, the debris must be taken to the nearest available debris management site or landfill. Debris reduction operations and secondary hauling will no longer be reimbursable with ER funding. The one exception would be for debris reduction where the debris is being reduced as part of a rolling pickup operation. The Florida Division Frequently Asked Questions (http://www.fhwa.dot.gov/fldiv/erpfaq.cfm) will be updated to reflect these policy changes.

In order to ensure that first push/first pass debris is eligible, the removal is expected to be completed within 60 days from the FHWA-declared event date. Going beyond this timeframe increases the risk that ineligible debris will become co-mingled with eligible debris and could result in the denial of reimbursement.

By copy of this letter, we are notifying the Federal Emergency Management Agency (FEMA), Region IV. The above mentioned changes are to comply with FHWA's national policy on ER eligibility.

For further information or if you have any questions, please contact Chad Thompson, by e-mail at Chad.Thompson@dot.gov or by phone at (850) 553-2239.

/s/ J. Chris Richter
For: Martin C. Knopp, P.E.
Division Administrator

Enclosure: Emergency Relief (ER) Program Debris Removal Policy

cc: FEMA, Region IV
James Jobe, FDOT
Chuck Rohling, FDOT
Robin Naitove, FDOT

 

DOT Logo

U.S. Department
of Transportation

Federal Highway
Administration

Memorandum

Subject: INFORMATION: Emergency Relief (ER) Program Debris Removal Policy

From: David A. Nicol, Director, Office of Program Administration

To: Division Administrators, Directors of Field Services

Date: February 16, 2012

In Reply Refer to: HIPA-10

Recently we became aware of inconsistencies in the application of FHWA policy on the removal of debris with ER funds. FHWA limits ER participation in debris cleanup to debris that was directly deposited by an ER eligible event. Our statute restricts ER participation to the repair or reconstruction of eligible roads. As such, our ER policy limits participation in debris removal to assure the full functioning of the roadway, and includes "the cost of stockpiling and disposing of debris at adjacent sites, as well as the cost of removing marketable timber from the acceptable clearing limits and transporting to adjacent stockpile sites.... " Debris removal beyond that is outside the scope of roadway repair and not eligible for ER participation. Debris removal beyond the general proximity of the damaged roadway is the responsibility of the agency responsible for the maintenance of the roadway. In some cases, the Federal Emergency Management Agency (FEMA) may participate in debris removal under their Public Assistance Program.

To ensure consistency, we are reminding Divisions that FHWA's debris removal policy is contained in the ER Manual (Chapter II.B-13, "Timber and Debris Removal") and can be found at http://www.fhwa.dot.gov/reports/erm/ermchap2.cfm#b13. Divisions that have provided guidance that is not consistent with the ER Manual, including guidance material posted on their websites, must revise such guidance to be consistent with the ER Manual.

If you have any further questions regarding this issue, please contact Greg Wolf at 202-366-4655 or via e-mail.


DOT Logo

U.S. Department
of Transportation

Federal Highway
Administration
  545 John Knox Road, Suite 200
Tallahassee, Florida 32303
850-553-2200
June 11, 2012
In Reply Refer To: HPO-FL

Mr. Tom Byron
Chief Engineer
Florida Department of Transportation
605 Suwannee Street
Tallahassee, FL 32399

Subject: Emergency Relief Pre-event Contracts

Dear Mr. Byron:

Many important lessons have been learned in the years following the eight hurricanes that impacted Florida in 2004 and 2005. It became vitally clear that the State needed contractors ready to go with disaster recovery as soon as possible following an event. As a result of these experiences, several pre-event scopes of services have been developed by the State Maintenance Office and our office has approved their use by FDOT and local agencies for disaster recovery. This letter clarifies our expectations of the various pre-event contracts when funding is provided from the Federal Highway Administration Emergency Relief program.

FHWA policy letters were issued on September 12, 2006 and July 16, 2008, which should be familiar to all participants in the ER program. The following information does not supercede but rather supplements the previously provided information.

FHWA has reviewed and accepted the standard scopes of services for the following types of pre-event contracts:

Emergency Repairs (State and Local Use)

Permanent Restoration (State Use Only)

The approved scopes are listed at http://www.dot.state.fl.us/statemaintenanceoffice/scopes.shtm These pre-event contracts must be competitively bid and must include all required federal aid provisions. Local agencies contracts must include scopes that are consistent with the approved scopes detailed above. All costs associated with establishing the pre-event contracts are not eligible. After there is a declared eligible ER event the work performed by these contracts will become eligible if reasonable and supported. Further requirements are listed below.

Emergency Repairs

In accordance with 23 CFR 668.109(a)(l), prior FHWA authorization is not necessary for emergency repairs related to an ER event. Therefore, work on these contracts can proceed immediately after the event. FHWA Transportation Engineers will follow up with a site inspection and Detailed Damage Inspection Report (DDIR) as soon as possible following the event. In all cases, -it is essential that FDOT and local agencies thoroughly document the damage and recovery efforts. Federal FMIS authorizations must have an approved DDIR number located in the State Remarks section. For eligibility questions, staff should refer to our FAQs at http://www.fhwa.dot.gov/fldiv/erpfaq.cfm. Emergency repair work done within the first 180 days after the event will be reimbursed at 100%. Debris removal should be accomplished within the first 60 days and only "first push/first pass" debris is eligible. Second and subsequent passes on federal-aid highways are not eligible.

The contracts which contain Signals Emergency Repair work are eligible for ER funding if the work restores essential traffic through intersections. The majority of this work will involve replacing or repairing one signal head in each approaching direction (Type I work). There may be some instances that warrant repair of more than one signal head in each direction during the emergency phase (Type ll work). This additional work is considered permanent restoration and proper justification must be discussed and approved in advance by FHWA staff. The actual work may be performed prior to Federal FMIS authorization (23 CFR 668.109(a)(2)). This Type II work must remain a small percentage of the overall work and it will be paid at the pro-rata share rather than 100% federal share.

Permanent Restoration

The scope for Permanent Sign Repair was approved for statewide use in October 2011. Permanent Lighting or Permanent Signal Repair is now also approved for statewide use by FDOT. The intent of these scopes is to procure contractors in advance of ER events for eventual permanent repair work. The main difference between these contracts and emergency repair contracts is that the work performed here is considered permanent restoration (will be reimbursed at the normal pro-rata share) and must be approved by FHWA before any work commences.

Therefore FDOT Districts electing to use these scopes must establish District-wide projects and an advance construction (AC) federal-aid authorization must be approved by FHWA prior to contract advertisement and award. After an eligible ER event, FDOT establishes new federal project numbers for each specific DDIR written and Task Work Orders (TWO) are then executed with the contractor. The DDIR number must be included on all TWOs as well as the State Remarks section of each FMIS request. These new federal projects will be funded with AC if ER funds are not yet available, or with ER funds if they have already been allocated to Florida.

The corresponding District-wide project will have its AC funds reduced by the same amount requested. for each site-specific authorization. Failure to follow these procedures will result in a violation of 23 CFR 1.9(a) and the inability to be reimbursed for otherwise eligible costs. Finally, if an eligible event does not occur, there will be no eligible Federal-aid costs for these contracts.

These permanent restoration contracts will have one year terms with an option to extend the contract one additional year. Any extension beyond that must be related to work for an event that occurred within the contract timeframe. Escalation clauses or price indexes may not be a part of any renewal.

For further information or if you have any questions, please contact Chad Thompson, by e-mail at Chad.Thompson@dot.gov or by phone at (850) 553-2239.

/s/ J. Chris Richter
For: Martin C. Knopp, P.E.
Division Administrator

cc: James Jobe, FDOT
Chuck Rohling, FDOT
Robin Naitove, FDOT
Greg Wolf, HIPA


DOT Logo

U.S. Department
of Transportation

Federal Highway
Administration
Florida Division 545 John Knox Road, Suite 200
Tallahassee, Florida 32303

(850) 942-9650
June 16, 2009
In Reply Refer To: HPO-FL
Re: Emergency Relief (ER)
2009 Policy Guidance


Ms. Stephanie C. Kopelousos
Secretary of Transportation
Florida Department of Transportation
605 Suwannee Street
Tallahassee, Florida 32399-0450

Attention: Mr. Brian Blanchard, Chief Engineer

Dear Ms. Kopelousos:

The purpose of this letter is to update you on the FHWA Florida Division's procedures regarding administration of the Emergency Relief program. The following sections provide information that supplements the FHWA policy letter issued on July 16, 2008, which should now be familiar to all participants in the ER program. As part of an outreach effort in summer 2008, FHWA personally met with members of your staff in each District and in Central Office, which created an opportunity for feedback on administration of the ER program. Suggestions for new ideas and clarifications that resulted from the stakeholder sessions were discussed at FHWA, and further policy guidance is provided below.

Deadline for Submission of Invoices

General consensus from FDOT was that guidance on a timeline by which local agencies can submit invoices is strongly preferred, since that would give FDOT some leverage in keeping their accounting books more up-to-date and would help them to close out projects more effectively. It should be noted that the federal regulations do not contain any provisions to deny reimbursement when there is sufficient documentation, no matter how long after an event. After considering the request, FHWA has established a timeline in coordination with the FDOT Office of Comptroller to require that submission of invoices for ER work, should occur within 2 years after initial Fiscal Management Information System (FMIS) project authorization date for Emergency work, and submission of invoices for permanent work should occur within 4 years after initial FMIS authorization date. The FMIS project authorization date for emergency work is the date the Governor (or President) declared the state of emergency.

American Recovery Reinvestment Act log

Detailed Damage Inspection Report (DDIR) Documentation

FDOT suggested that revising DDIRs for cost changes alone may be redundant since cost increases are requested utilizing the electronic modification request through the FMIS. Revising the DDIR for cost changes duplicates this effort. Therefore FHWA will revise DDIRs only when a scope change occurs.

Since the DDIRs are no longer being revised for cost changes, all documentation that supports any increase in the amount originally estimated on the DDIR, must be provided at the time of any requests to FHWA for FMIS authorizations or modifications.

On August 19, 2008, an email was shared with all emergency management contacts in Central Office and the Districts which outlined the systematic approach to writing DDIRs for all future storms. Tropical Storm Fay provided an opportunity to test the standardized approach for both FHWA and FDOT. Based on that and prior experience, the major criteria for writing DDlRs includes the following:

Electronic Records for ER Program

Financial records and supporting documentation shall be retained, for a minimum of 3 years after project completion in accord'U1ce with requirements set forth in 49 CFR Part 19. This requirement may be satisfied through the use of electronic media. In addition to meeting federal record retention requirements, FDOT must also ensure that they and local agencies follow the State of Florida's Records Management Program requirements.

First Pass Timing Definition for Debris Removal

Several of the District staff indicated they needed further clarification from FHWA on the duration of first pass completion, after the initial first push operation. The first pass is meant to be accomplished as one continuous operation on the same section of roadway before relocating the clean up operation team to the next section or site. FHWA allows different types of debris (vegetative, white goods, etc.) to be picked up over a period of a few days, but it should not extend over several weeks. FHWA recognizes that HazMat operations might be required as a separate operation. The FHWA Transportation Engineer will make the final determination on these issues. Please refer to the Florida Division's Frequently Asked Questions (FAQ) for additional requirements regarding debris removal.

Pre-event Contracts

Much discussion centered on the section of the July 16,2008, letter that dealt with pre-event contracts. FHWA reiterates that they have approved the use of pre-event contracts (based on scopes developed by the FDOT State Maintenance Office for statewide application) for cut & toss and debris removal, three types of signals and generators, and permanent lighting or signal repair. However, FHWA has not yet received for review a standard state-wide scope for prevent contracts for CEI monitoring or for signs. In addition, the use of electronic debris monitoring for the ER program has not been approved. Although there have been several staff discussions and vendor demonstrations, the FDOT has not submitted any data analysis, including cost comparisons, or a standard statewide scope for FHWA's review and approval.

One of the requests that FDOT made was for FHWA further define for local contracts was the meaning of "consistent with scope" from Page 3 of July 16, 2008, letter. Consistent means that the contract contains all the same basic criteria as the state standard scope includes.

Verbal Contracts, Small Purchases, Purchase Orders

A question about the use of verbal contracts has come as a result of the ER audits. The FHWA will not accept verbal contracts for eligible work. FHWA will only reimburse work outlined in a contractual document that includes a scope of work, estimated cost or actual unit cost. A purchase order may be used as a contract if the cost of the work is less than $100,000 per federal small purchase requirements in 49 CFR 18.36.

Consultant Acquisition

There were many questions about the hiring of consultants. Consultant Engineering services, in order to be eligible for reimbursement under the FHWA ER program, must be procured by public agencies in accordance with FDOT Procedure No. 375-040-130, Emergency Procurement During Governor Declared Emergencies or by following the normal process for "Acquisition of Professional Services." Professional consultant services which are permissible under Emergency Procurement Procedure No. 375-040-130 are:

1. New contracts after the event occurs: If FHWA reimbursement will be requested, at least three (3) quotes/proposals should be obtained, but in no way should it prevent, hinder, or delay necessary action in coping with an emergency. During emergencies, many of the formal procurement steps may be expedited in order to speed up the execution or the contract. FHWA recognizes after a major disaster there may be situations where there is only time to obtain quotes from a single firm.

2. Existing professional services contracts: Existing contracts may be used to provide for emergency services if the emergency service required falls within the original intent of the contract, or the scope of services/specification specifically addressed providing for emergency situations. An existing contract may be utilized if: a) The existing contract was procured by the normal federal-aid procedures and processes for federal-aid work; b) The existing contract was federalized, thus already performing federal-aid work, not only state funded work; c) a separate task order with scope and cost must be established d) the emergency services are authorized in accordance with FDOT Procedure No. 375-040-130.

3. Pre-event contracts: Consultant pre-event contracts, such as for CEI services, may be eligible for FHWA reimbursement under the ER program if procured using established state procedures. However, FHWA must review and approve the standard scope developed for statewide use, as has been done for other types of pre-event contracts. To date these have not
been submitted to the FHWA. Therefore, any pre-event consultant contract runs the risk of being determined ineligible if all of the federal aid requirements have not been met.

CEI services for monitoring debris removal should be established utilizing the processes described above. FHWA has not approved the use of a "contractor" acquisition process, described by one District, to acquire companies doing disaster relief that do not meet the criteria for "professional engineering firms". We understand this to be a service contract that provides
qualified staff to perform monitoring and management for debris removal and does not involve any construction inspection or sampling and testing. To date, no information describing or justifying this method has been provided to the FHWA for review.

The cost method used by one District of paying average costs by position plus 15% is not acceptable since it conflicts with federal regulations. For cost-plus contracts, federal regulations require that the consultant be paid actual audited costs for labor and overhead expenses.

When local agencies hire consultants to perform engineering services they must be in conformance with 23 CFR 172 and the "Brooks Act," (competitive negotiation) in title 40 USC, section 1101-1104; since it applies to local agencies the same way it applies to state agencies. To help ensure compliance it is expected that the FDOT standard boilerplate for contract
requirements (such as discrimination, non-lobbying provisions, etc.) be followed by local agencies when they hire consultants. As a point of clarification, the FHWA 1273 applies only to construction contracts; thus, it does not apply to professional services such as CEI monitoring contracts for roadway construction, debris removal, sign and signal repair. In no cases can the consultant providing inspection be hired by a contractor, the CEI must be independently hired by the public agency.

Local Agency Force Account

As part of discussions in the Districts, FDOT asked for guidance on how local agency force account (in-house) construction work should be estimated, if not by percentage. By definition, force account is the actual cost of labor, equipment, and materials expended by the local or state agency. Thus, percentage estimates are not allowed by FHWA and the agencies electing to participate in the ER program should provide the estimated cost of labor, equipment and materials. After the work has been completed they are allowed to invoice and claim for reimbursement the actual costs incurred. It is required they set up an adequate tracking mechanism to provide the detailed information as outlined above.

Insurance and the ER Program

If there is insurance coverage for damage, the ER Program cannot pay for items covered by the insurance. We expect the agencies to pursue insurance first. FDOT will need to show there are additional costs not supported by a pending insurance claim and then that documentation will be attached to the DDIR. The DDIR amount will be for the difference between storm damage and insurance claim. The practice of refunding the ER program back when claims are finalized is an unacceptable practice. If insurance will not pay for all eligible damage, the ER program can pay for the remaining balance as long as it is for ER eligible work.

Clarification of DCE Memo 22-08

After the issuance in August 2008 of DCE Memo 22-08, several requests for clarification were directed to both FDOT Central Office and FHWA. It should be noted that the first section of FDOT DCE Memo 22-08 is intended to describe the use of regular federal-aid funds to repair damage. The discussion dealing specifically with ER eligibility is described in Section 7. It is FHWA's position that a roadway under construction should be treated the same as a roadway with an inherent deficient condition unless a roadway segment cross section has been completed in conformance with the project's contract requirements. Therefore, FHWA generally will NOT reimburse for fixing damages on active construction projects with ER funding unless damage occurs on a segment of the roadway in which the cross section has been completed. Regular federal aid funds may still be used for the repairs provided the repair work is determined to be outside the requirements of the construction contract, thus it is not the contractor's responsibility to make the repairs at no additional cost under the contract terms.

Summary

FHWA recommends that this guidance be shared with all FDOT employees who may be involved with the ER program, and urge that it be shared with FDOT's local agency partners throughout the state. Additionally, the Florida Division has also developed on-line web-based training which can be found at http://www.fhwa.dot.gov/fldiv/ and clicking the "Emergency Relief Online Training" link. This training covers the major topics of discussion regarding the Emergency Relief program for Florida, and includes discussions on Debris issues, Detailed Damage Inspection Reports (DDIRs), eligible vs. ineligible items, and Emergency Repairs VS. Permanent Repairs. The training is 89 minutes long, with two optional videos that would add an additional 19 and 22 minutes to the viewing time. The above link also has the most current version of the Emergency Relief FAQ, which is a living document that gets updated periodically.

FHWA will pursue providing dissemination of updates for the ER program to FEMA.

FDOT is encouraged to update their internal FDOT ER Manual to be consistent with the FHWA ER Manual (August 2003 version) and FAQ document.

If you have any questions please contact Mr. Chris Richter or Mr. Chad Thompson at (850) 942-9650.

Sincerely,

/s/ J. Chris Richter
For: Martin C. Knopp, P.E.
Division Administrator

cc: Messrs. John Fain, James Jobe, and Chuck Rohling, FDOT (MS-21)
Mr. Anthony Broom, (MS,53)

 

JCR/CT:awa S:ER Damage\ERPolicy Letter June 2009 Final 409


DOT Logo

U.S. Department
of Transportation

Federal Highway
Administration
Florida Division 545 John Knox Road, Suite 200
Tallahassee, Florida 32303

(850) 942-9650
July 16, 2008
In Reply Refer To: HPO-FL
Re: Emergency Relief (ER)
Program Requirements
2008 Policy Guidance

Ms. Stephanie C. Kopelousos
Secretary of Transportation Florida
Department of Transportation 605
Suwannee Street Tallahassee, Florida
32399·0450

Attention: Ms. Lora Hollingsworth. Interim Chief Engineer

Dear Ms. Kopelousos:

The purpose of this letter is to update you on the FHWA Florida Division' s procedures regarding administration of the ER program. Many important lessons have been learned in the years following the eight hurricanes that impacted Florida in 2004 and 2005. As a result of this experience, FHWA would like to preempt any future events by ensuring the requirements and expectations of ER program are clear to all participants. Of particular importance is the need for Local Agencies to better understand our requirements.

The following sections provide information that supplements the FH W A policy letter issued on September 12, 2006, which should be familiar to all participants in the ER program.

Debris Collection Guidelines

The intent of the Emergency Relief (ER) Program is to only remove debris which was deposited on the Federal-Aid Roadway by the FHWA ER eligible disaster event. As such, debris removal is expected to be completed within 60 days from the FHWA declared event date. In the case of hurricanes, this will usually be the date that the storm makes landfall, unless there are multiple landfall dates. Specific operational parameters and guidelines necessary to clear the roadways are detailed in the FHWA Emergency Relief Manual.

Based on Florida practices, FHWA has defined first push and first pass as follows:

First push R is the initial effort to clear the roadway of debris which includes cut and toss operations to push debris out of the traveled way. Subsequent efforts to push debris from the roadway will not be eligible for ER program reimbursement.

First pass - is the initial effort to collect debris pushed aside during first push operations and other debris removed from clearing limits as defined below. Vegetative and non-vegetative debris are not required to be on the same vehicles, but they are to be removed within the same time period for the first pass operation for that section of roadway. Once debris from a roadway segment has been initially removed, subsequent efforts to remove debris are not considered ER eligible expenses, regardless of the date or lime in which the material was collected. It should be further clarified that with the exception of the initial collection of hazardous waste deposited on the roadway by the storm (which requires separate handling and disposal), there can not be multiple first pass efforts for collecting different types of debris within the same roadway section.

Moving the American Economy Logo

 

The clearing limits for debris normally include the traveled way, cut and till slopes, and any additional clearing required to ensure the full functioning of the pavement, drainage ditches, and structures. It also includes the clear zone. Clearing of the remainder of the full right-of-way is considered heavy maintenance, and shall not be considered as part of the first pass collection activities eligible under the Emergency Relief Program. The eligible limits for various Federal-aid road classifications are as follows:

Debris in drainage ditches beyond the limits presented above, will be eligible for first pass removal to enable proper functioning of the drainage system. The debris collected should be documented by specific information (e.g., load tickets, spreadsheets, etc.) that clearly indicates the date and exact location (Federal-aid roadway) where it was removed and the quantity of debris that was removed. The documentation for debris removed from Federal-aid routes should clearly separate it from debris taken from non-Federal- aid roadways. Federal-aid eligible roadways arc those shown on the approved Federal-aid maps maintained by the FDOT State Planning Office at: http://www.dot.state.fl.us/planning/statistics/fedaidinfo/

Detailed Damage Inspection Report (DDIR) Documentation

As stated in the September 12, 2006, letter if the performance of emergency repair work has already started, FHWA will require a copy of the contract and prices at the time a DDIR is written. The contract and other supporting material should be made available to the FHWA Transportation Engineer, and will be attached to the DDIR at the time of submittal. Our expectation is that there should not be a request to write a DDIR for ongoing work, without having the contract documents available to FHWA staff. For permanent ER work, the DDIR will be written without this documentation since the work will not be underway, but will be authorized following normal Federal-aid procedures used for regular program funds.

The initial and any revised DDIRs should be written within six months of the FHWA-declared event date. Any exceptions to this timeframe will be considered on a case-by-case basis; the request must be signed and submitted by the FDOT District Secretary, and subsequently must be approved by the FHWA Division Administrator.

Pre-Event Contracts

FHWA has reviewed and accepted the standard scope, developed by the State Maintenance Office for statewide use, for the following types of pre-event contracts:

1. Debris removal (2 types) - Cut & Toss and Debris Removal.

2. Signals & Generators (3 types) - Emergency Signal Repair & Emergency Generator Installation, Emergency Generator Installation, and Emergency Signal Repair.

3. Permanent lighting or signal repair - The use of pre-event contracts for permanent lighting or signal repair has been approved as a pilot based on the criteria established in FHWA letters dated August 10, 2006 and September 1, 2006. Under this concept the PS&E contract documents are submitted to FHWA for review. An advance construction (AC) authorization is submitted prior to contract advertisement and award. Work eligibility will be determined later based on an eligible event occurring and FHWA providing an allocation of funds for that event; and the site specific FHWA approved DDIRs written as a result of that event. If an eligible event does not occur, there will be no eligible Federal-aid costs for these contracts.

All costs associated with establishing the pre-event contracts are not eligible. After there is a declared eligible ER event the work performed by these contracts will become eligible if reasonable and supported. If local agencies utilize pre-event contracts they must be: consistent with the approved State FDOT scope to be considered eligible for Federal-aid reimbursement. FHWA will not routinely review the local agency contracts but it is expected the local agency should coordinate the review of these contracts with the FDOT Districts.

The use of electronic debris monitoring has not been approved. Since the additional costs are unknown at this time, the approval of this method may not be appropriate for all quantity levels. The FHWA is currently awaiting a detailed analysis from the FDOT, before approving thus method.

For pre-event contracts that identify a sale source material supplier or proprietary product, a Public Interest Finding must be sent to the FHWA Transportation Engineer for approval in advance of executing the contract. This applies to both FDOT and local agency pre-event contracts where Federal-aid reimbursement through the ER Program is anticipated.

Consultant Services

In order to be eligible for reimbursement under the FHWA ER program, any consultant CEI monitoring services must be contracted directly through a public agency (e.g., city, county, town, state). The consultant cannot be hired by a contractor, including any Asset Maintenance contractors. The consultant must be procured following the" Acquisition of Professional Services" procedure. If local agencies do not use the State's procedures then their own procedures must be consistent with the Federal-aid requirements for hiring consultants. The consultant should be familiar with the requirements of the FHWA ER program and that it differs from the FEMA program.

Authorization of Funds

The State financial management number (FM) must match the FMIS authorization request and the authorization amount requested should be consistent with the supporting documentation accompanying the authorization request. Documentation provided to FHWA accompanying the authorization request should be adequate and sufficient to support the requests. All emergency and permanent work must be performed on Federal-aid-eligible roads with the route locations clearly annotated on the supporting documents.

Reimbursement Procedures

Conditional approval 01 ER reimbursement requests will no longer be utilized by FHWA. A summary of documentation requirements were prepared by FDOT Emergency Management staff, in their July 2007 "Supporting Documentation Requirements for FHWA ER Program and FEMA Public Assistance Program" document. Additionally, reimbursements should be processed as quickly as possible after the event, in order to identify discrepancies and reduce
disputes.

Indirect Cost Eligibility

FHWA will work with FDOT to establish an appropriate indirect cost ratio. Indirect costs for ER projects may be reimbursed in accordance with Federal regulations and guidance. Indirect costs will not be estimated and shown on individual DDIRs. The indirect cost will be estimated based on the ER event total costs, and added to the total ER allocation requested from FHWA headquarters.

We recommend that this guidance be shared with all FDOT employees who may be involved with the ER program and urge that it is shared with FDOT's local agency partners throughout the state. In addition, a Frequently Asked Questions (FAQ) document developed by the FHWA Florida Division is enclosed to serve as another resource for participants in the ER program. The FAQ is found at the following web link:
http://www.fhwa.dot.gov/fldiv/erpfaq.cfm.
FDOT is strongly encouraged to update their internal FDOT ER Manual to be consistent with the FHWA ER Manual (August 2003 version) and FAQ document.

If you have any questions please contact Mr. Chris Richter or Dr. Leslie McCarthy at (850) 942-9650.

Sincerely,

/s/ Leslie McCarthy, PhD, P.E. For: David C. Gibbs Acting Division Administrator
Enclosure(s)

 

cc: Messrs. James Jobe, and Chuck Rohling, FDOT
(MS-21) Mr. Jason Wheeler, (MS-53)


JCR:awa JCR:LM S:ER Damage\2008 ER Guidance_policy letter Final (3) 409


DOT Logo

U.S. Department
of Transportation

Federal Highway
Administration
Florida Division 545 John Knox Road, Suite 200
Tallahassee, Florida 32303

(850) 942-9650
September 12, 2006
In Reply Refer To: HPO-FL

Mr. Denver J. Stutler, Jr., P.E.
Secretary of Transportation
September 12,2006
Florida Department of Transportation
Tallahassee, Florida

Dear Mr. Stutler:

Attention: Mr. Ananth Prasad

Subject: Emergency Relief (ER) Program Requirements

The purpose of this letter is to clarify the FHWA's requirements for emergency and permanent ER projects, and the documentation required for a detailed damage inspection reports (DDIR's). As requested by the FDOT Federal-aid Office we are providing this guidance to expand and clarify the email guidance issued by District 6 on July 11, 2006. We agree there is a statewide need to clarify the application of the ER criteria to emergency repair contracts, permanent restoration projects, and work performed by state or local forces.

During 2004 and 2005 Florida was impacted by 8 hurricanes resulting in substantial reimbursement from FHWA's emergency relief program, for both emergency and permanent repairs totaling over $1.5 billion. Due to the unprecedented impact of these storms on the FHWA, the FDOT and local agencies, we were very lenient concerning contracting requirements and the documentation for emergency repairs for these events. As a result of this experience, there is a need to improve both the damage documentation and compliance with basic federal-aid contract requirements. Of particular importance is the need for Local Agencies to better understand our requirements.

Emergency Repairs

Emergency repairs are those repairs during (meaning after landfall) and immediately following a disaster, which can begin immediately without FHWA's prior approval. Permanent repairs require FHWA review and approval prior to contract advertisement. To be eligible for emergency repair the work performed must always meet one of the following three conditions:

  1. To restore essential traffic
  2. To minimize the extent of the damage
  3. To protect the remaining facility
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Please note that based on current ER guidance, safety is not a consideration to justify emergency repair work.

DDIR Documentation:

For future eligible ER events, if the performance of the emergency repair work has started, FHWA will require a copy of the contract and prices at the time a DDIR is written. The contract and other back up material should be made available to our Transportation Engineer, and will be attached to the DDIR at that time. Our expectation is that there should not be a request to write a DDIR for ongoing work, without having the contract documents available to FHWA staff. For permanent work the DDIR will be written without this documentation, because the work will not be underway and will be performed following normal procedures.

Contract Requirements:

Listed below are the basic federal-aid requirements that must be followed for emergency repair projects and permanent restoration projects. These requirements apply to all State and Local Agency contracts for both emergency and permanent restoration types of projects. These requirements cannot be waived just because there is a State or FEMA emergency declaration.

  1. FHWA Form 1273, titled Standard Federal-aid Provisions, must be physically incorporated (not referenced) into all prime and subcontractor contracts.

  2. Davis-Bacon Wages Act; refer to http://www.fhwa.dot.gov/construction/cqit/dbacon.htm

  3. Buy America

  4. Disadvantaged Business Enterprises (DBE)

  5. Americans with Disability Act (ADA)

  6. Convict Labor Prohibition

Additionally, for emergency work it is important to remember to take the following into account:

  1. Emergency repair projects under the ER Program must comply with the requirements of the National Environmental Policy Act (NEPA).

  2. Negotiated or solicited contracts are allowed for emergency work, but their use should be minimized. Some type of competitive bids are the preferred method.

  3. Regardless of the contract method, there should be documentation on how contracts are negotiated, so1icited, or openly bid.

Permanent work is handled just like a normal federal-aid project, but can be expedited so long as the requirements are met. Permanent repairs require FHWA review and approval in advance of contract advertisement. A detailed engineer's estimate and competitive bids are required like on normal federal-aid projects, but the use of abbreviated plans, a shortened advertisement period, etc; are appropriate depending on the scope of the work.

State and Local Force Account:

The FHWA Form 1273 and Davis Bacon provisions do not apply to state and local employees performing ER work by force account (actual cost of labor, equipment and materials). A public interest funding is not required for emergency work, but is required if state or local employees perform permanent work.

Use of Joint Participation Agreements (JPA's) or Local Agency Program (LAP) Agreements

The FHWA has previously agreed to accept the use of JPA's for the performance of emergency work. Local agencies must be LAP certified to perform permanent work.

If you have any questions, please contact: Mr. Chris Richter at 942-9650.

Sincerely,

/s/ J. Chris Richter
For: David C. Gibbs
Division Administrator

Enclosure

cc: Mr. James Jobe, FDOT (MS-21)

JCR:awa be: CR, SG, RE S:TechSystems\ER reqs for contracts & DDIR's,doc File: 406


 

Flowchart gf Procedural Steps For FHWA Reimbursement After an Event

Flowchart Of Procedural Steps For FHWA Reimbursement After an Event

Explanation of Flow Chart

Identify Eligible Damages on Federal Aid Routes [to]
Prepare Preliminary Estimates of all Eligible Damages & ER Repair that includes backup documents (damage summary, photos, copies of contracts, etc) [to]
EMERGENCY - Coordinate with FDOT. Provide damage estimates, JPA agreement, etc. and
PERMANENT - Coordinate with FDOT. Detailed damage estimates, LAP certification, etc;
From Emergency - Participate in preparing DDIR with FDOT and FHWA
From Permanent - Revise DDIR [to]
DOCUMENTATION [to] Complete all remaining repairs and Request pre-approval for permanent work, let contract [to] Submit invoices for reimbursement to FDOT with relevant backup

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