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Federal Highway Administration (FHWA) Emergency Relief (ER) Program
Contents
6. Performing Emergency Repairs
9. Minimum Event and Site Cost Thresholds
13. Documenting Damages: Detailed Damage Inspection Reports (DDIRs)
14. Mobile Solution for Assessment and Reporting (MSAR)
15. Environmental Documentation
18. Damage Survey Summary Report (DSSR)
19. Detailed Damage Inspections
21. Documentation for Project Authorizations
22. Funding for Emergency Repairs
24. Reimbursement Documentation Requirements
25. Programmatic Financial Reporting
This article is currently under development
** Note to reviewers:
- Some links to other HKP sections, articles or resource documents are not established yet but they will be when the articles get published on the Knowledge Portal.
The Federal Highway Administration (FHWA) Emergency Relief (ER) program provides reimbursement from the Highway Trust Fund to repair or reconstruct Federal-aid highways and roads on federal lands seriously damaged by (1) natural disasters or (2) catastrophic failures triggered by an external cause.
The program supplements resources committed by states, their political subdivisions, or other federal agencies to help pay for unusually significant expenses resulting from extraordinary conditions. FHWA’s Emergency Relief Manual serves as the primary guidance document for the ER program.
Red Flag
Basic components of the ER program (e.g., statutory authority, eligibility considerations) are discussed in HKP article Disaster-Aid Funding Overview. This article assumes the reader has read the Disaster-Aid Funding Overview article and determined that the event and facility in question are likely eligible for ER funding.
The following sections review steps KYTC takes when seeking ER reimbursement for an event or damaged site(s). A flowchart in Section 26 captures the process and actions different KYTC divisions are responsible for.
23 USC § 125 authorizes the use of Highway Trust Fund monies to repair or reconstruct Federal-aid highways and roads on federal lands that suffer serious damage from natural disasters or catastrophic failures triggered by external causes. 23 CFR § 668 describes FHWA regulations related to the program.
Allocation – Twice a year FHWA assesses the financial needs of an authorized ER event. FHWA coordinates with KYTC Program Management and “deposits” moneys toward qualified events.
Betterment — Added protective features or changes that modify or improve the function or character of a facility from what existed prior to the disaster or catastrophic failure.
CFR 667 List – Periodic Evaluation of Facilities Repeatedly Requiring Reconstruction Due to Emergency Events – Once a year FHWA will request a list of sites impacted more than once. List is also tracked through the Transportation Asset Management Plans (TAMP)
D-A Coordinator — KYTC Program Management Disaster Coordinator. The Division of Program Management has dedicated disaster coordinators for both the FEMA PA and FHWA ER programs.
De–obligation – Towards the end of the federal fiscal year FHWA will ask KYTC if previously obligated funds were not obligated, then the funds are to be returned to FHWA.
DDIR — Detailed Damage Inspection Report. The DDIR provides a comprehensive assessment of damage incurred to a structure, facility, or infrastructure on a site-by-site basis. It provides the scope/cost to make repairs. The DDIR must be approved by FHWA to seek reimbursement.
DSSR – Damage Survey Summary Report. The purpose of the report is to summarize the damage assessment and provide information and documentation for the FHWA Division Administrator to make a finding that a natural disaster or catastrophic failure has occurred within the intent of 23 USC § 125.
KYEM – Kentucky Emergency Management (KYEM) is the state agency responsible for coordinating disaster preparedness, response, recovery, and mitigation efforts within the Commonwealth of Kentucky.
MSAR – An FHWA software (web-based and/or mobile) application serves as a portal for project management and storing FWHA-ER related event information.
Obligation — The federal government’s legal commitment to pay or reimburse a state or local government for the federal share of eligible project costs.
Stafford Act – Federal law that constitutes the statutory authority for most Federal disaster response activities especially as they pertain to FEMA and FEMA programs.
UPAC – FHWA system for tracking User Profile and Access Control System
Immediate disaster response includes actions associated with the re-opening of state and federal highways and assisting access for first responders (EMS, fire, police). These immediate response actions are the same for both the FEMA PA and FHWA ER programs. During this phase, emergency repairs are started, and damage data are collected for each site and tracked on the KYTC Initial Damages Spreadsheet. Project costs will be initially charged to maintenance funds unless special funding has been set up. These costs will be tracked by the Department Object Code (DOC) set up for the project. Each site is evaluated for its eligibility under either the FHWA ER or FEMA PA program. Disaster response is discussed in the HKP article Disaster-Aid Overview (Section 3 — Disaster Response).
District crews go out and assess initial damages and start tracking on the Initial Damages spreadsheet and/or MSAR. The initial damages spreadsheet includes much information: county, route, mile point, type of damage, and preliminary repair costs. The initial damages spreadsheet also includes columns to indicate if the damage is on a FEMA PA or FHWA ER route. If the site is eligible for FHWA ER funding, more detailed information will be added to the Detailed Damage Inspection Report (DDIR) at a later date (See Section 13). The initial damages spreadsheet will be included when KYTC makes a formal request for FHWA ER funding.
As hazardous conditions subside, all potential sites need to be inspected, and emergency repair work can begin. The ER Program distinguishes between emergency and permanent repairs. Emergency repairs occur during or immediately after an event and must fulfill one of the following objectives:
- Restore essential traffic
- Minimize the extent of damage
- Protect remaining facilities
Examples of emergency repairs include:
- Installing and removing barricades and detour signs
- Flagging and pilot cars during the emergency period
- Construction of temporary roadway connections (detours)
- Installing temporary detour bridges
- Temporary substitute highway traffic service, including ferry or transit service
- Debris removal
- Slide removal
- Dynamiting and other removal of drift piled up on bridges
- Placing riprap around piers and bridge abutments to relieve severe ongoing scour
- Placing riprap on the downstream slopes of approach fills to prevent scour
- Replacing washed out embankments and approach fills
- Regrading of roadway surfaces, roadway fills, and embankments
- Placing final roadway surfaces when needed to restore essential traffic
Emergency repairs typically require little preliminary engineering but should be executed in a manner that reduces the need for follow-up permanent repairs. Usually state and local maintenance forces have the capabilities to complete emergency repairs. Work located outside the travelled way or repairs to non-essential facilities (e.g., rest areas) are not generally considered emergency repairs. District staff must decide what can be done under the definition of emergency repairs.
Emergency repairs must be fully documented, see the following sections of this article for more information:
Special considerations related to debris removal require coordination between the FHWA ER and FEMA PA programs; and facilitated via Kentucky Emergency Management (KYEM). The primary source of funding for debris removal is the FEMA PA program — even on Federal-aid facilities. However, disaster-related debris removal from Federal-aid highways is eligible for FHWA ER funds when:
- The Governor makes an emergency or disaster declaration, but the President does not issue an emergency or a major disaster declaration under the Stafford Act. If the FHWA Division Administrator concurs with the Governor’s declaration, ER funds may be used for debris removal on eligible sites on Federal-aid highways in counties covered by the Governor’s declaration.
- The President declares an emergency or a major disaster, but FEMA determines that debris removal is not eligible under the Stafford Act. In this case, ER funds may be used for debris removal on eligible sites on Federal-aid highways that FEMA deems ineligible under the PA program. FHWA division offices should request and review documentation on FEMA’s determination to verify debris removal is eligible under the ER program.
- The Governor’s declaration covers counties not included in the President’s declaration. ER funds may be used for debris removal on eligible sites on Federal-aid highways that are included in the Governor’s declaration but not the President’s declaration.
ER funds can only be obtained following a disaster declaration/proclamation from the Governor or the President. The Governor’s declaration should be shared with FHWA as soon as possible. This is a key component to having a disaster being eligible for ER funds but there are subsequent actions also required to establish the reimbursement process. This includes the state formally requesting FHWA ER funds with a letter of intent (Section 10), FHWA’s acceptance and the submittal of the DSSR (Section 18).
Thresholds are based on the federal share of costs resulting from the event. The federal share as used here is the amount of FHWA ER funding that would be needed to cover costs for the event. To qualify for funding under the ER Program, an event must have caused, overall, at least $700,000 (Federal share) in eligible damage. To cause $700,000 in federal share expenses at an 80/20 share split, the project would have to have an overall cost of $875,000. If damages amount to less than $700,000 (Federal share) it is generally considered to be heavy maintenance or routine emergency repair. This threshold changes over time and should be verified with FHWA for each event. For exceptions to this damage threshold, see 23 CFR 668.105(j).
A site must have at least $5,000 (Federal share) in repairs to be eligible for ER funds. Sites that sustain less than $5,000 in damage are generally considered to require heavy maintenance.
The definition of a site is somewhat flexible. As stated in the FHWA Emergency Relief Manual:
“Generally, a site is an individual location where damage has occurred. However, a site could include several adjoining locations where similar damage, related to the same cause, has occurred. FHWA preference is that multiple sites are within one quarter of a mile to each other. For example, where flooding waters in a drainage course that runs along or continually crosses under a highway has caused damage at several locations within a reasonable distance of each other, it would be acceptable to package these together as a single site.”
KYTC generally groups damages on one route into a single site.
If minimum event cost thresholds are met, the ER application process can begin with the Transportation Secretary sending a Letter of Intent to FHWA which notifies FHWA of the Cabinet’s plans to use ER funds. This letter is drafted by the D-A Coordinator and includes the Governor’s declaration.
The letter of intent includes the Initial Damages Spreadsheet and a sampling of photographs of the damages.
FHWA responds to the Letter of Intent with a Letter of Acknowledgment which addresses the following items:
- Acknowledgement the Letter of Intent was received
- Effective date of the disaster
- Emergency operations
- Preliminary engineering
- Use of force account
- Waiver of competitive bidding for emergency repairs
- Guidance for permanent work
- Time frame and items needed for Damage Survey Summary Report
- Time limit for programming
- Payment contingent on approval by the FHWA Division Administrator
- Record keeping requirements
FHWA’s Emergency Relief Manual (Appendix C) contains a sample FHWA Letter of Acknowledgement.
Next, FHWA assigns an event number and disaster sequence number. The number has the following format: KY2022-01. The two letter characters (KY) are the state where the event occurred. The next four digits represent the federal fiscal year in which the event occurred. The final two digits are the disaster code sequence number for the federal fiscal year in which the event occurred. Here are example event numbers for disasters that recently impacted Kentucky:
- KY2022-01 — Western Kentucky Tornado which occurred on December 10, 2021
- KY2022-02 — Ice storms that occurred on January 1, 2022
- KY2022-03 — Eastern Kentucky Floods that occurred in July 2022.
At this time, if not already established by the FHWA KY Division, the event number can be established in FHWA’s Mobile Solution for Assessment and Reports (MSAR) portal. The D-A Coordinator makes the request to add the event to the MSAR Portal from the FHWA Kentucky Division.
The ER program has detailed accounting systems that verify cost data to ensure costs are associated to the appropriate disaster code sequence. The event number should be promptly shared with all personnel and used on all documentation.
Once FHWA has accepted the event, the D-A Coordinator creates a project in FHWA’s Information System — User Profile and Access Control System (UPACs).
District staff should look for opportunities for betterments during and immediately after the Initial Damage Assessment. Betterments are protective features or changes designed to modify or improve the function or character of a facility relative to what existed prior to the disaster or catastrophic failure.
KYTC can justify the expense of betterments by comparing the cost of a betterment to costs that would potentially be incurred if a facility were to suffer recurring damage across the design life for the basic repair. Justifications for betterments cannot account for other factors often included in highway benefit/cost evaluations (e.g., traffic delays costs, added user costs, motorist safety, economic impacts). Examples of treatments previously approved as betterments 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
The Kentucky Transportation Center maintains a list of damaged sites provided by the D-A Coordinator. This information includes the county, route, mile point, latitude and longitude. This list gets updated per event occurrences and gets reflected in updated Transportation Asset Management Plan (TAMP) documents and in the CRF 667 lists that are both submitted to FHWA.
For more information on how emergency repairs, permanent repairs, and betterments differ, view the FHWA video Emergency versus Permanent Repairs.
Red Flag
Once FHWA acknowledges KYTC is seeking ER reimbursements, the Initial Damages Spreadsheet is translated to a more detailed tracking spreadsheet maintained by the D-A Coordinator. This spreadsheet continuously tracks activities associated with obtaining all Project Development actions and other documents necessary to request the TC-10. Federal numbers and TC-10 numbers are also tracked on this spreadsheet.
At this point, affected Districts have staff begin preparing the other essential documentation necessary for seeking reimbursement. The primary document to be prepared is a Detailed Damage Inspection Report (DDIR). A DDIR is required for individual sites if repairs exceed $5,000. If costs are under $5,000, they are not tracked by the ER process. FHWA deems such sites as heavy maintenance.
The DDIR includes the following information:
- ER Event number (e.g. KY 20##-0#)*
- Federal Number: 9020 (###)*
- D-A Coordinator obtains the number and provides it to the District
- Program Management staff establishes this number
- A single federal number can be used for multiple sites along an individual corridor
- This anticipates that the same grouping will be under a single TC-10, when funds are requested
- Location: District, county, route, mile point
- Dates of event that caused the damage
- Brief description of damage
- Description of scope of repairs. There is a section for Emergency Repairs and for Permanent Repairs. A site can have both emergency and permanent repairs. There is only one DDIR per damaged site.
- Cost Estimate for emergency repairs and permanent repairs
- Calculation of 80% used for permanent repairs; 90% for interstates
- Emergency repairs are reimbursed at 100% if completed within the first 180 days; else it reverts to 90% reimbursable on interstates, and 80% reimbursable on all other routes.
- Indication of who/how work is being performed: state forces, Master Agreement, letting
- Attachments
- Photographs
- Master Agreement(s) (if used). Note: must be federal
- Geotechnical report (if required, see Section 5.1 of HKP Article Disaster-Aid Funding Overview)
- KYTC approvals: District section supervisor and PD&P Branch Manager
*Both the Event Number and the Federal Number should be used on the accompanying Project Development documents (environmental document, Right of Way and Utility Certifications).
As groups of DDIRs are completed and signed by the District, they should be uploaded to ProjectWise and shared with FHWA via email or through the MSAR portal. FHWA reviews the DDIR. It is common for the agency to request additional information. After reviewing the DDIR, FHWA decides whether to approve it. Sometimes a DDIR is rejected but changes can be made and the DDIR resubmitted. Once construction is underway, should repairs exceed 20% of the approved cost, a revised DDIR must be submitted before additional funds are requested through Program Management. If the overrun is less than 20%, the D-A Coordinator requests the amount.
Depending on the event’s overall size, it can take months to prepare all DDIRs. KYTC typically focuses on DDIRs which require emergency repairs first.
Two methods are used to prepare a DDIR: via PDF or digitally using FHWA’s Mobile Solution for Assessment & Reporting (MSAR) Portal and/or app (see Section 14). FHWA significantly prefers the MSAR Portal or app as it streamlines their approval process and goes into their nationwide database. DDIRs that are created by PDF must be submitted via email to both the KYTC D-A Coordinator and the FHWA Kentucky Division ER Coordinator.
Red Flag
FHWA’s MSAR web-based application is a portal that is both computer and mobile accessed (smart phone and tablet). By computer, the application functions as a nationwide portal for storing all ER related events and communications between FHWA and KYTC. DDIRs can be uploaded and reviewed and go through FHWA’s review process digitally. The program sends emails to individuals to identify actions needed. FHWA can use this process to request additional information for a DDIR. The mobile interface can be used for data collection and functions very similar to the computer application. The MSAR app can be directly used in the field to capture data via smartphones or tablets. Data can then be uploaded to the MSAR portal. If data entered into the application without an internet connection, this data is stored on the local device until the internet connection is reestablished. MSAR provides the following benefits:
- At the inception of an event or immediately after the D-A Coordinator contacts the FHWA KY-Division ER Coordinator to request an event is created in MSAR.
- Field personnel can rapidly deploy and complete Damage Assessments, DDIRs anytime, anywhere
- Available for popular mobile devices and operating systems (iOS, Android)
- Permits field personnel to collect data, photos, voice, video, and geolocation information in real time at the scene of the event
- Enables communication and information sharing in near real time with command centers across multiple Federal agencies
- Provides data to management, program officials, and field staff information in near real time to support prompt decision making and accelerate disaster declaration and funding.
- Provides a consolidated data source for information at the disaster, program, partner, and unit levels
- Facilitates collaboration, standardization, and oversight of activities to ensure compliance with regulations
- Expedites FHWA reviews and responses to the DDIR approval process.
- Expedites FHWA reviews because reviewers can be based around the nation and not limited to reviewers situated only in Kentucky.
- Creates a database for FHWA
MSAR is an excellent tool, but it does not eliminate the need for KYTC to internally track event-related administration costs and actions of the Project Development documents. DDIRs for individual sites approved in MSAR must be exported out from MSAR as a PDF and stored in ProjectWise. The PDF is used as back-sourcedata by the Division of Program Management to request a TC-10, as required by KYTC-FHWA funding agreements (separate of ER).
A limitation of MSAR is that while reports can be run for an event, there is an underlying assumption that data for all sites have been inputted. Thus, in the early months following the event the potential overall impact of the event can only reflect that data which has been submitted.
Another limitation of MSAR is that there is no means to digitally communicate with other KYTC/FHWA software, specifically, FMIS. It also cannot communicate with KYTC applications eMARS or OMS. Therefore, tracking the DDIR estimates to ultimate expenditures occurs on the aforementioned tracking spreadsheet, maintained by the D-A Coordinator.
In 2023 KYTC committed to purchasing 100 MSAR licenses. The licenses must be renewed annually. The expectation is to have sufficient licenses for all 12 Districts and Central Office staff. KYTC Training PowerPoint presentation and FHWA MSAR training presentation are located on ProjectWise.
The environmental process for ER projects is very similar to the standard process for projects in the Enacted Highway Plan. KTYC’s Division of Environmental Analysis (DEA) and the District Environmental Coordinator (DEC) prepare most of the environmental documentation on these projects.
Most projects for which ER funding is sought are eligible for a Categorical Exclusion Minor Project (CEMP), which is a National Environmental Policy Act (NEPA) designation reserved for projects that have little or no environmental impact. Every site for which reimbursement is sought must have an environmental document before KYTC seeks a TC-10. This process involves the following steps:
- DECs and subject-matter experts conduct site visits to gather information
- CEMP work done per county, per route. CEMPs can be combined into more than 20 sites along a particular corridor or numerous sites in a county.
- DECs and the Project Development Branch Manager approve the CEMP
- DECs send the CEMP to DEA, sharing the document with the Division of Program Management
- Depending on the event size, DEA staff may be able to assist with preparing the environmental document.
- Accurate mile points are critical for establishing the footprint of the environmental work. Inaccurate mile points force DEA staff to revisit sites to determine impacts.
- The Division Program Management includes the CEMP with the DDIR as back-source This is required as part of FHWA administrative processes to establish funding (requesting the TC-10).
For more information about CEMP’s see Section EA-404 of the Environmental Analysis Guidance Manual.
The KYTC Secretary makes a formal request for ER funds to the FHWA Kentucky Division once thresholds are met (See Section 9). It is possible and even probable that additional damages may be identified, however it is not necessary to submit a follow-up request. Usually, this request is made within 1 to 2 weeks of the event occurrence. The request will include the initial damages spreadsheet, and a small sampling of supporting photographs and preliminary estimates. This request precedes the Damage Survey Summary Report.
A request for ER funds must include a comprehensive list of all known eligible project sites and preliminary repair costs. KYTC may request partial ER funding based on information obtained from windshield surveys, detailed damage inspections, or a combination of both.
For high-cost disasters where funding needs to be expedited, ER funds can be allocated early through a Quick Release method. Funds distributed in this manner serve as a down payment and are used to pay for emergency operations until the standard application is submitted and approved. When using this method, an initial damage assessment may be based on flyovers, news telecasts, and other means of quickly estimating the extent of damage.
KYTC leadership makes the determination for consideration of using Quick Release funds.
The D-A Coordinator prepares a Damage Survey Summary Report (DSSR) that summarizes the damage assessment and provides information and documentation to the FHWA Division Administrator, who uses the report to determine if ER funds can be spent. The report describes the general nature and extent of the resulting emergency situation and delineates the limits of serious damage to Federal-aid highway facilities. The sudden and unusual nature of the disaster should be documented, and evidence of external cause should be included for a catastrophic failure. The DSSR contains:
- A description of the type and extent of damages and the estimated cost of restoration or reconstruction of Federal-aid routes for each county. This also includes provision of the Federal share of the estimated cost of repair work and determination how much ER funds are needed for repairs during the current fiscal year. It is appropriate to use an updated version of the Initial Damages Spreadsheet.
- A description of the limits of areas involved and the nature and characteristics of the disaster or catastrophe (including the dates it occurred). This information differentiates ordinary and extraordinary natural disasters, except when the President has declared a major disaster has occurred over the area involved.
- Photos showing the extent of serious damages in areas recommended for ER funds. At least one photo showing eligible damages should be included for each affected county.
The FHWA Division Office reviews the DSSR and other pertinent information. The Division Administrator determines if the event qualifies for ER funding. If so, the Division Administrator requests funding from FHWA Headquarters. FHWA will provide a written response to KYTC on the determination of eligibility for the event.
FHWA uses a risk-based approach to determine which sites are visited and whether visits can be accomplished virtually. In recent years FHWA has relied on photographs in lieu of in person site inspections for some sites, however, site inspections could be required. Further, FHWA may rely on photos from KYTC’s Photolog Viewer. KYTC’s Photolog Viewer is valuable for documenting pre-event conditions and comparing them to post-event photos.
While FHWA reviews the DSSR, the D-A Coordinator valuates individual sites by corridor and confers with District branch managers to determine if multiple sites along a corridor should be grouped or if all sites in a county should be grouped. Once groupings are established, the D-A Coordinator requests Federal Numbers from others in the Division of Program Management. Generally, groupings establish the sites that will — optimistically — be included on a TC-10 request.
If multiple locations on a corridor require repairs but a particular site needs immediate attention, the D-A Coordinator and Districts can expedite repairs by requesting more than one Federal Number. Depending on the number and type of impacts on a corridor, it is possible to group upwards of 20 sites on a single Federal Number.
The D-A Coordinator coordinates the development of documentation uploaded to ProjectWise. Required documentation includes:
- DDIRs
- Environmental documents
- Property valuation documentation
- Minor Acquisition Reviews
- Appraisals
- Right of Way Certification
- Utility Certification
- Project Development Checklist (if construction delivery is by KYTC letting)
- Other documents including photographs, Master Agreements, and geotechnical reports
While multiple sites can be grouped under a single Federal Number, each site within a group must have its own respective DDIR. However, Project Development documents can be based on the overall grouping. All documents are stored in ProjectWise, with individual folders dedicated to each impacted site (based on county, route and mile point). Once a DDIR is approved, whether via PDF or MSAR, the FHWA-approved document is saved to the site-specific ProjectWise folder.
Federal Numbers are requested for each site within the affected event area. This action occurs early in the process when the Districts have finalized their initial list of damages and have started work on DDIRs. The D-A Coordinator will request the federal numbers then share with the respective districts. There are three types of Project Development documents that are ultimately needed to request funding (the TC-10), in addition to the approved DDIR. Those Project Development documents all must show the federal number.
Once the FHWA-approved DDIR is available and all Project Development documents are collected, the D-A Coordinator requests a TC-10 for the site/group. PDFs of the DDIR, environmental document, Right of Way and Utility Certifications are provided to Program Management as part of the TC-10 request. The DDIR and environmental PDFs will be stored as back-source information that Program Management must maintain in their separate records, per programmatic agreements between KYTC and FHWA.
Once the TC-10 is approved, project authorizations are processed using the advanced construction (AC) process. This generates an appropriation code used for project charges. If the Quick Release method is used, ER funds will already have been appropriated and an ER appropriation code is used on project authorizations. See Section 25 for FHWA ER Financial Reporting requirements.
Emergency repairs can ensue as soon as identified. The DDIR process as described above can occur post the repairs. HOWEVER, documentation is still an absolute must. Multiple pictures should be taken. Quantities must be captured. These will be used to write the DDIR. Emergency repairs completed within 180 days of the event are 100% reimbursable. After 180 days, the reimbursement reduces to 90% on interstates and 80% on all other routes.
Permanent repairs are undertaken after a disaster to restore a roadway to its pre-disaster condition. They usually occur after emergency repairs have been completed. Permanent repairs typically require:
- Development of plans, specifications, and estimates
- Some design effort
- Geotechnical studies or other engineering studies
- Structural analysis
- Environmental reviews
- Utility assessments
Permanent repairs cannot be initiated until the TC-10 and PR-1 documents are approved, the District is notified, and permanent repairs can begin.
KYTC can retain consultants to complete one or more of these activities. For more information, consult the HKP article Disaster-Aid Funding Overview (Section 5 — Execution of Design).
The replacement of bridges, construction of retaining structures, highway relocations, or the addition of significant protective measures are usually considered permanent repairs. Work outside of the roadway section and repairs to non-essential facilities (e.g., rest areas) are considered permanent repairs.
Permanent repairs can be done by state forces, contracted out through the KYTC Letting Process, or contracted out by using one of the master agreements (MA) administered by the Division of Maintenance. The HKP article Disaster-Aid Funding Overview (Section 6 — Execution of Construction for Repairs) provides more information.
Red Flag
While there is no hard deadline to complete permanent repairs, construction repairs must be physically started by the end of the second fiscal year following the year in which the disaster occurred. Construction must be initiated by the end of the second federal fiscal year. Example 1: An event that occurred on July 1, 2022, construction must be initiated no later than September 30, 2024; ~26 months. Example 2: An event that occurred November 1, 2022, construction must be initiated no later than September 30, 2025; ~35 months.
Red Flag
Time extensions can be approved by the FHWA Division Administrator in one-year increments if needed they concur with the justification provided with the time extension request. Time extensions are requested via email.
Most of the documentation required for reimbursements is developed by the districts. This documentation should be collected and stored throughout the project and includes:
- If the permanent repairs are carried out through the construction letting process, a Project Development Checklist is required.
- Documentation on Master Agreement – The current versions of the Federal Master Agreements must be used on FHWA ER projects.
- Certified Payrolls – Certified payrolls must be developed and collected for any work on an FHWA ER project. These payrolls should be able to demonstrate compliance with Davis-Bacon Wage Rates.
- Daily Work Reports (DWRs) – Daily work reports must be used to document all work. It is critical to accurately track all quantities on the DWRs.
- Material sampling in accordance with the Standard Specifications for Road and Bridge Construction must be performed and documented on the DWRs.
Where this documentation is stored is up to the Districts. The information can be stored in the D-A ProjectWise event site specific folders. The important aspect is that the documentation needs to be easily located should FHWA request them. Lack of documentation can result in the removal of federal funds.
Emergency repairs are typically financed with state maintenance funds. Once a DDIR and the other Project Development documents are approved, the TC-10 is requested. Once funds are authorized, then the D-A Coordinator advises the district. The District advises their staff to execute Journal Vouchers (JV’s) to move the funds from maintenance funds to the program code.
For Permanent repairs it is absolutely critical that a TC-10 has been approved and funding made available before repairs are performed.
For more information see the Division of Maintenance and Construction ER Memo and the ER Project Checklist.
Red Flag
Programmatic financial reporting requirements are typically handled by D-A Coordinator with assistance from the District.
FHWA manages an event as an overall “program”. It makes semi-annual allocations. It does not provide reimbursement funds on a site-by-site basis. KYTC provides FHWA with an initial forecast of potential allocations for the following intervals: 0-6 months, 7-12 months, and 13-18 months. When FHWA is preparing for a semi-annual allocation, the agency coordinates with the D-A Coordinator to evaluate KYTC expenditures, TC-10s requested, earned and unbilled amounts, amounts that are AC’d and amounts that have been obligated. From these, an anticipated forecast of expenditures is calculated, based on the same time intervals. The program forecast usually includes approximately 4-6 different ER events.
When it is nearing the end of the federal fiscal year, FHWA will ask KTYC for an evaluation of funds obligated but not spent. FHWA’s intent is that for funds not being used, that those moneys be re-allocated to other disaster events around the nation. The D-A coordinator contacts the Districts to assess which events still needs the funds or could/should have funds de-obligated. Generally, broad justification is also provided to FHWA as part of this process.
Both of these forecasts require coordination with the Districts.
Periodically (about once a year) FHWA requests an update of “Periodic Evaluation of Facilities Repeatedly Requiring Reconstruction Due to Emergency Events” per CFR 667. FHWA will request a list of sites impacted more than once. This list is also tracked through the Transportation Asset Management Plans (TAMP). The Kentucky Transportation Center (KTC) tracks these sites on GIS mapping and develops the list. KTC obtains the new sites from the D-A Coordinator’s “TRACKING” sheet for respective events.
Hover over the flowchart below and click the expand icon located in the top right corner to view full size flowchart.
