Highway Emergency Relief: Federal Highway Administration Should Enhance Accountability over Project Decisions
Released: 2019-10-17T00:00:00

Letter

Background

In 2017, three sequential hurricanes—Harvey, Irma, and Maria—created an unprecedented demand for federal disaster response and recovery resources. According to the Federal Emergency Management Agency (FEMA), these hurricanes ranked among the top five costliest on record, costing $125 billion (Harvey); $90 billion (Maria); and $50 billion (Irma). As a result of these storms, Florida, Texas, and Puerto Rico faced hardships, including devastation to infrastructure, such as highways and bridges. The island of Puerto Rico in particular was severely affected, which created multiple challenges for federal response efforts. Specifically, within a 2-week period Puerto Rico was hit by both hurricanes Irma and Maria, resulting in power outages that lasted up to 11 months and the need for commodities, such as food and water, and requiring one of the largest recovery efforts in history. The federal response was complicated by several factors, including the remoteness of the island, limited local preparedness, outdated infrastructure, and workforce capacity constraints.

The Emergency Relief Program provides assistance to repair or reconstruct highways and bridges on federal-aid highways and roads and bridges on federally owned public lands that have sustained serious damage from natural disasters or catastrophic failures. FEMA is responsible for providing funds to repair and replace roadways damaged as a result of disasters that are not eligible for federal-aid highway funding. For natural disasters or other events to be eligible for emergency relief funding, the President must declare the event to be an “emergency” or a “major disaster” under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, or the governor must declare an emergency with the concurrence of the Secretary of Transportation. Damage to highways must be severe, occur over a wide area, and result in unusually high expenses to the highway agency.

Congress has provided funds for highway emergency relief since at least 1938 and, since 1972, has authorized $100 million annually in “contract authority” for the Emergency Relief Program to be paid from the Highway Trust Fund. Accordingly, FHWA may obligate up to $100 million of funds from the Highway Trust Fund in any one fiscal year for the program. Congress also regularly provides funds to the Emergency Relief Program from general revenues through supplemental appropriations. Most recently, Congress passed the Bipartisan Budget Act of 2018 in February 2018, and the Additional Supplemental Appropriations for Disaster Relief Act, 2019 in June 2019, which included more than $3 billion for the FHWA Emergency Relief Program to repair damages caused by a number of natural disasters. According to FHWA officials, these funds will be used to address damaged related to the 2017 hurricanes.

FHWA’s Emergency Relief Program regulations further define policies for the program and the eligibility requirements for selecting projects. These regulations state that emergency relief funds are not intended to correct preexisting deficiencies or duplicate assistance available under another federal program or compensation from insurance or other sources. Emergency relief projects are to be promptly constructed, and construction funds must be obligated within two years (i.e., by the end of the second fiscal year following the disaster) unless suitable justification is provided to FHWA. Emergency relief regulations specify the activities that emergency relief funds may be used for as well as those activities they may not be used for, such as reconstruction of facilities affected by long-term, predictable developing situations or deficient bridges scheduled for replacement with other funds.

Because the statute and its regulations are, by necessity, fairly broad, FHWA publishes guidance to further assist the agency in administering the Emergency Relief Program. The Emergency Relief Manual, updated in 2013, is a guide for FHWA and state and local agency personnel for requesting, obtaining, and administering emergency relief funds. The manual provides additional information and examples of the types of activities and projects that are both eligible and ineligible for funding, the process for states to apply for emergency relief funding, and the documents and reports that are required to be prepared. FHWA’s Emergency Relief Order, issued in 2016, further defines the application and review process and the roles and responsibilities of FHWA and state personnel.

As with other federal-aid highway programs, the Emergency Relief Program is a partnership in which states plan and execute projects to complete necessary repairs, and FHWA provides assistance to states in applying for funds and conducts oversight to determine eligibility and ensure that federal requirements are met. States and territories are required to conduct damage inspections, submit documentation to their respective FHWA division office to determine if repairs are eligible for federal funds, enter into project agreements, and complete final project inspections. The FHWA division office is responsible for reviewing damage inspections to determine whether proposed projects are eligible for emergency relief funds. FHWA headquarters officials use the information collected from these inspections to allocate funds to each state or territory for particular events; division offices obligate those funds and ultimately reimburses the states for allowable expenses.

The Emergency Relief Program’s authorizing statute and FHWA’s regulations and guidance distinguish between federal share payable for emergency and permanent repairs. Specifically, according to FHWA regulations, emergency repairs are undertaken during or immediately after a disaster to restore essential traffic, minimize the extent of damage, or protect the remaining facilities. Emergency repairs are eligible to receive 100 percent federal reimbursement if they are accomplished within 180 days of the disaster. By statute, this deadline may be extended taking into consideration any delay in the ability of the state to access damaged facilities to evaluate damage and the cost of repair. FHWA and federal regulations also state that emergency repairs can be completed by state and local maintenance workforces, and qualify for categorical exclusions from the National Environmental and Policy Act’s (NEPA) requirements. FHWA’s Emergency Relief Manual further characterizes emergency repairs as repairs that can be completed relatively quickly, may be temporary in nature, and typically require little preliminary engineering or design effort, e.g., erecting barricades and detour signs. States and local transportation agencies may begin emergency repairs without prior FHWA authorization.

Permanent repairs are undertaken after the occurrence of a disaster to restore the highway to its pre-disaster conditions. Permanent repairs receive a federal share, between 80 and 90 percent, depending on the type of roadway being repaired. However, in response to the level of devastation in Puerto Rico, Congress provided a 100 percent federal share for all emergency relief projects, including permanent repairs, necessary to address damage caused by hurricanes Irma and Maria in Puerto Rico. FHWA’s regulations state that permanent repairs are to be done through a competitively bid contract, unless the state demonstrates that another method is more cost effective (e.g., the use of abbreviated plans or a shortened advertisement period). In addition, many, but not all, permanent repairs meet the criteria for categorical exclusions from NEPA’s requirements. FHWA’s Emergency Relief Manual indicates that typically permanent repairs (1) should have obligated funds for construction within 2 years, (2) require the development of plans, specifications, and estimates, and (3) must receive prior FHWA authorization.

Our prior work has raised concerns about FHWA’s management and oversight of the Emergency Relief Program. In 2007 we reported on the expanding scope of eligible activities funded by the Emergency Relief Program over time, resulting in projects that went beyond the original intent of the program. We recommended to FHWA and suggested that Congress consider tightening the program’s eligibility standards, but this recommendation has not been implemented and FHWA does not plan to do so.

In 2012, we raised concerns about FHWA’s partnership relationship with the states, particularly its oversight of the Emergency Relief Program, which we first reported in November 2011. For example, we were unable to determine the basis of FHWA’s eligibility decisions on 81 emergency relief projects representing $193 million in federal funds because of missing or incomplete documentation. In addition, we identified cases where FHWA showed a lack of independence in decisions, placing its partners’ interests above federal interests. For example, FHWA allowed two states to retain unused Emergency Relief Program allocations to fund new emergencies, despite FHWA’s policy that these funds are made available to other states with potentially higher- priority emergencies. We concluded that while FHWA’s partnership relationship with the states yields benefits such as proactively identifying issues before they become problems, it also poses risks. Thus we recommended that FHWA develop a strategy to mitigate these risks. In March 2014, FHWA announced it had established an enhanced risk- based oversight approach that, while not targeting the specific risks we identified related to state partnerships, addressed the intent of our recommendation to increase transparency and consistency.

To Date, States and Puerto Rico Have Identified $1 Billion in Highway and Bridge Damages Caused by the 2017 Hurricanes

Following hurricanes Harvey, Irma, and Maria, state and local officials prepared damage assessments that identified more than 2,500 projects eligible for emergency relief funds costing approximately $1 billion. Projects range in size and cost from replacing signage and traffic signals to multi-million dollar bridge and highway repairs (see fig. 1).

Following a number of natural disasters in 2017—including hurricanes Harvey, Irma, and Maria—Congress appropriated more than $1 billion to the Emergency Relief Program in February 2018 to help states repair and rebuild federal-aid highways. As of September 2019, FHWA has allocated $634 million to repair hurricane-related damage in Florida, Texas, and Puerto Rico. Specifically, immediately following the hurricanes in August, September, and November 2017 FHWA allocated $122.5 million in quick release funding to Florida, Texas, and Puerto Rico. In April 2018, FHWA allocated an additional $242 million to Florida, Puerto Rico, and Texas. Further, on February 6, 2019 FHWA allocated $130 million more to Puerto Rico for damages caused by hurricanes Irma and Maria (see fig. 2). FHWA subsequently de-allocated $69 million from Florida on February 27, 2019, because state officials determined the funds were no longer necessary for hurricane-related repairs. Most recently, in September 2019, FHWA allocated an additional $208 million to Puerto Rico.

While the estimated repair costs exceed the amount of funds allocated by FHWA, officials stated that additional emergency relief funds are allocated and reimbursed approximately every 6 months and states and territories will be reimbursed for all eligible expenses related to hurricanes Harvey, Irma, and Maria as they are completed. These funding decisions are to be made as FHWA continues to review and approve projects and Congress appropriates additional funds. As we have noted in prior work, the $100 million in annual authorized funding has not been enough to meet the needs of the program. Therefore, states have relied on supplemental appropriations to fund repairs caused by natural disasters and catastrophic events.

FHWA Did Not Justify Key Decisions and May Have Inappropriately Classified Emergency Relief Projects

We identified a number of cases in which FHWA did not document decisions to classify emergency relief projects as emergency repairs (those necessary to restore essential traffic, undertaken during or immediately after a disaster and generally accomplished within 180 days) as opposed to permanent repairs (those undertaken to restore a facility to pre-disaster conditions). Specifically, 22 out of 25 emergency repair projects we reviewed—which account for approximately $50 million in emergency relief funds—did not include a documented justification for classifying repairs as an emergency repair instead of a permanent repair. In addition, out of approximately 1,200 eligible projects in Puerto Rico, FHWA officials reported undertaking 34 more than 180 days after the hurricanes and continuing to classify them as emergency repairs without documenting the basis for doing so.

Without documentation it is not possible to definitively determine the justification for why projects were classified as emergency repairs and we identified at least three projects that may have been inappropriately classified because they (1) may not have been necessary to restore essential traffic, or (2) were not undertaken during or immediately after the disaster. For example:

The Lynchburg Ferry ($10.7 million project in Texas). This project rebuilt the ferry docks and landings, which are used to transport up to 10 passenger vehicles at a time across the Houston Ship Channel (1,100 feet). FHWA classified the project as an emergency repair to restore essential traffic but did not document the basis for this decision.

When asked, FHWA officials from the Texas Division stated that engineers used their professional judgment to determine that the ferry route provided essential traffic. It is not clear, however, that the ferry was necessary to restore traffic as several alternative routes were available immediately following the disaster on existing highways that service the same locations and typically result in faster travel times than the ferry (see fig. 3). According to officials, engineers did not assess these alternative routes and there is no requirement for them to do so.

This project was a significant commitment of emergency relief funds, representing approximately 11 percent of the emergency relief funding Texas received in the aftermath of Hurricane Harvey. Because the project was classified as an emergency repair, Texas was permitted to use a non-competitive bidding process to solicit and hire contractors to complete the work, instead of a competitive bidding process designed to achieve the best possible price and quality of work. The project was completed within the required 180 day time frame required to receive 100 percent federal reimbursement.

FHWA’s oversight of this project raises issues we cited in past work concerning its partnership with the states, namely putting the partner’s interest above federal interests. Had FHWA classified this project as a permanent repair instead of an emergency repair, state and local agencies would have been responsible for paying approximately $2.1 million in matching funds on the $10.7 million project. Moreover, prior to the hurricane, the ferry docks and landings were in poor condition and local officials were in the initial stages of planning a project to replace it, including hiring a consultant to identify potential sources of federal funds. Because substantive planning and design work had not yet been completed, this project was eligible for emergency relief funds, which, according to officials, resulted in a new, state-of-the-art facility.

Ciales Bridge ($4.9 million project in Puerto Rico). This project will install a temporary 80 meter long bridge over the Rio Grande de Manati River. FHWA classified this project an emergency repair to restore essential traffic and extended the project beyond 180 days but did not document the basis for either decision, as described below.

FHWA officials said that they were not aware of another route to carry essential traffic at the time they approved the emergency repair. However, we identified an alternative route on a nearby roadway that uses another bridge less than a mile away. When we asked officials about this nearby route, they said that it is not sufficient for essential traffic, because it is too narrow to safely accommodate two-way traffic, has load limitations, and lacks lighting and pavement markings. Officials stated that the temporary bridge was necessary to quickly restore essential traffic until a new permanent bridge could be built. However, construction on the temporary bridge is not planned for completion until October 2019—more than 2 years after Hurricane Maria hit, raising questions about whether an emergency situation exists and the project is needed to quickly restore essential traffic.

FHWA also continued to classify this project as an emergency repair even though the contract for the project was not signed within 180 days after the emergency occurred and FHWA did not document the rationale for doing so. By statute, emergency repair projects must be accomplished within 180 days to receive a 100 percent federal share, but may be extended taking into consideration any delay in the ability of the state to access damaged facilities. According to FHWA officials in Puerto Rico, while division offices should document decisions regarding emergency repair projects, the statutory provision that projects can only be extended beyond 180 days if the damaged facilities are inaccessible does not apply to Puerto Rico because it is funded at a 100 percent federal share, and therefore, such a determination and documentation was not necessary.

There are, however, statutory and regulatory provisions other than the percentage of costs covered by the federal government that apply to emergency projects, including contracting and environmental requirements. Because this project was classified as an emergency repair, officials used a bidding technique—called short-list bid—that limited the number of firms which were permitted to submit proposals. This project also received a categorical exclusion for emergencies and was not subject to further environmental review under NEPA. However, although these projects went forward, FHWA’s policy regarding time limits on the use of expedited contracting and environmental procedures is not clear. After we raised this and similar issues on other projects with FHWA, officials stated that the administration’s position was that emergency repair projects using expedited contracting and environmental procedures are only permitted within the first 180 days of a disaster. According to these officials, as a matter of policy, 180 days after the disaster is a “pencils down” moment when projects should be subject to permanent repair requirements, including environmental and contracting requirements. Officials acknowledged this policy is not well documented, and stated they planned to address this gap in future updates to program guidance. These updates—initially planned for 2019—have taken more time than anticipated and are currently planned for 2020, but officials were unable to provide a specific timeline.

The classification of the project as an emergency repair raises questions about whether the project was an efficient use of federal funds. The $4.9 million temporary bridge involves considerable construction such as building footings with 5-million pounds of concrete and reinforced steel (see fig. 4) and, as stated previously, is not planned for completion until October 2019. FHWA officials stated this structure will be torn down within a couple of years and replaced by a $6.4 million permanent structure.

PR-14 Bridge ($1.4 million project in Puerto Rico). This project will construct a temporary bridge across one of a few main routes on the south-central side of the island that is located in one of Puerto Rico’s mountainous municipalities that is rural and relatively sparsely populated. FHWA officials classified the temporary bridge as an emergency repair to restore essential traffic, including the transportation of people and commercial goods but did not document the basis for this decision.

According to officials, this bridge was necessary to restore essential traffic because damage caused by the hurricane led to a reduction in the vehicle load limit from 5 tons to 3 tons. However, the basis for this determination is not clear since the bridge was never closed to traffic and a reduced load limit from 5 to 3 tons would not significantly affect the type of vehicle traffic able to safely cross the bridge. For example, the pre-existing 5-ton limit would have already prevented most types of ambulances and commercial trucks from using the bridge, and the 3-ton limit still permits most passenger vehicles and some types of light-duty trucks. In addition, according to officials, one of the reasons for installing a temporary bridge instead of waiting on the planned installation of a permanent bridge was to quickly restore traffic. However, the temporary bridge will not be completed until February 2020—almost 2 and a half years after the hurricanes, which raises questions about whether or not the project was necessary to quickly restore essential traffic. As with the Ciales Bridge, FHWA did not document the basis for classifying this project as an emergency repair even though it was undertaken more than 180 days after the emergency occurred. The project was contracted using a pre-existing contract and not competitively bid and received a categorical exclusion from NEPA requirements. Similar to the Ciales Bridge, this $1.4 million temporary bridge will be torn down within a couple of years and replaced by a $4.2 million permanent structure.

While officials did not document decisions to classify emergency relief projects as emergency repairs, FHWA did improve the documentation of emergency relief projects in some areas since the last time we examined the program in 2011. Specifically, we found more consistent documentation of the onsite damage inspections, cost estimates, and FHWA oversight of eligibility determinations. For example, 39 out of 39 emergency relief projects we reviewed included photographs of the damage and a repair cost estimate; whereas, only 24 out of 83 projects we examined in 2011 included this information.

According to Federal Internal Control Standards, to achieve objectives and identify and respond to risks, management should clearly document all transactions and significant events, and define objectives clearly, including specific terms so that they can easily be understood. FHWA did not clearly document transactions and significant events because: (1) in the case of classifying projects as emergency repairs, there is no requirement to do so, and (2) in the case of extending emergency repair projects in Puerto Rico, existing requirements did not apply. FHWA officials stated that these decisions were made as part of an ongoing dialogue between FHWA, the states, and Puerto Rico that is done through emails and in-person and telephone meetings. However, by not documenting emergency repair decisions, such as whether alternative strategies or repairs were considered and the rationale for classifying projects as emergency repairs after the emergency has passed, FHWA lacks definitive explanations for its decisions. This, in turn, raises questions as to whether those decisions were appropriate. When questioned about individual projects, including the examples in Texas and Puerto Rico previously discussed, officials often could not provide concrete rationales for these decisions.

In addition, because guidance in the Emergency Relief Manual is intentionally flexible and written to apply to a wide range of circumstances, key terms are not clearly defined and easily understood and applied. This is particularly true for the term “essential traffic,” which is being broadly applied to provide support for repairs necessary to restore any type of traffic without fully considering potential alternatives. While FHWA’s manual generally describes projects to restore essential traffic (e.g., detours that relieve excess traffic directly attributable to the disaster), it does not discuss how to determine whether a project will relieve excess traffic or require officials to evaluate alternative routes. Moreover, FHWA’s guidance and policy are not clear on the time frames for when emergency repair projects must adhere to contracting and environmental requirements. This lack of clearly defined and easily understood terms in emergency relief guidance could result in FHWA inappropriately classifying projects as emergency repairs, which affects: the federal fiscal exposure in a disaster, the level of FHWA oversight because projects may begin without prior authorization, the extent to which projects must be competitively bid, and potentially the level of environmental review accorded a project.

Moreover, unclear guidance increases the chances that program guidance could be inconsistently applied, potentially giving access to emergency relief funds to one state and not another. We identified several instances in which officials in one Division Office made emergency repair decisions that differed from another division office. For example, FHWA officials in Florida did not include highway finishes, such as pavement markings, as part of emergency repair projects, while officials in the Puerto Rico Division did. FHWA officials in Puerto Rico also reported that FHWA officials from different division offices who came to assist in the aftermath of the 2017 hurricanes had substantively different interpretations of emergency relief guidance, including how to define emergency repairs and what was and was not essential traffic.

Conclusions

For many years, FHWA’s Emergency Relief Program has provided crucial funding to states and territories to rebuild transportation infrastructure, including in the aftermath of hurricanes Harvey, Irma, and Maria. The consecutive timing and scale of these disasters overwhelmed local, state, and territorial governments, and Puerto Rico was hit particularly hard. Given the level of devastation, it was imperative for the federal response to be quick and effective, and that essential services be quickly restored to help people rebuild and recover. However, it is not clear that emergency relief funds are always being used for the purposes intended or put to the highest use. In the absence of well-documented rationales for classifying projects, more clearly defined terms and circumstances for making these decisions, and time frames for accomplishing them, FHWA may have inappropriately classified projects as emergency repairs. While this represent a small percentage of projects undertaken in response to the 2017 hurricanes, FHWA’s actions may have resulted in the federal government forgoing millions of dollars in state contributions, thus increasing the federal fiscal exposure in disasters. Moreover, permitting projects to proceed under expedited contracting requirements many months after the disaster deprived the federal government of a valuable tool intended to ensure the best price for services it receives. Finally, in an environment where needs outweigh funding, multi-million dollar bridge projects are being constructed that will be torn down in a couple of years to make way for other multi-million dollar bridge projects. FHWA’s decision-making invites questions we have raised before about the partnership relationship between FHWA and the states. In high stress and politically sensitive situations like natural disasters in particular, the relationship could lead FHWA to put states’ interests before federal ones or give the appearance of having done so. If FHWA’s decisions are, in fact, appropriate, documentation and clearer guidance could reduce unnecessary skepticism, enhance transparency, and result in more effective use of limited resources.

Recommendations for Executive Action

We are making the following two recommendations to FHWA:

The Administrator of FHWA should require FHWA division offices to document the rationale for classifying projects as emergency repairs, such as a description of why an emergency repair is necessary and which alternative strategies or repairs were considered, and to more clearly define the circumstances under which projects are classified as emergency repairs, including what constitutes restoration of essential traffic. (Recommendation 1)

The Administrator of FHWA should identify a specific timeline for clarifying the policy on the acceptable time frames for accomplishing emergency repair projects undertaken under expedited contracting and environmental requirements, and require FHWA division offices to document the rationale for decisions to extend projects beyond these time frames. (Recommendation 2)

Agency Comments

We provided a draft of this report to DOT for review and comment. In comments, reproduced in appendix II, DOT concurred with our recommendations. DOT also provided technical comments, which we incorporated as appropriate.

We are sending copies of this report to the appropriate congressional committees and the Secretary of the Department of Transportation. In addition, the report is available at no charge on the GAO website at http://www.gao.gov.

If you or your staff have any questions about this report, please contact me at (202) 512-2834 or flemings@gao.gov. Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report. GAO staff who made key contributions to this report are listed in appendix III.

Appendix I: Results of GAO’s File Review of the Emergency Relief Project Documentation Available in Three FHWA Division Offices

In 2011, we reported on how Federal Highway Administration (FHWA) officials applied Emergency Relief Program guidance to a selected group of projects that received funding. In that review, we selected a nongeneralizable sample of eligible Emergency Relief Program projects in three states—New York, Texas, and Washington—that matched criteria such as receiving more than $1 million in obligated federal funds and approval by FHWA between fiscal years 2007 through 2010. We reviewed those projects’ files to determine whether they included required or recommended documentation cited in federal statute, regulations, and FHWA program guidance. In our 2011 report, we found many instances of missing or incomplete documentation, such as required repair cost estimates, because FHWA lacked clear requirements for how states submitted and FHWA approved key project documentation, leading to FHWA division offices applying eligibility criteria differently. We recommended that FHWA standardize their procedures for reviewing emergency relief documentation and making eligibility decisions, including retaining damage inspection reports with detailed repair cost estimates. In response, FHWA issued an Order in February 2016 that included procedures to ensure that FHWA makes eligibility determinations consistently and transparently that we determined addressed our recommendation.

To evaluate how FHWA officials applied Emergency Relief Program guidance to selected projects in recent emergency events and whether documentation had improved since our 2011 report, we conducted a file review of 39 nongeneralizable emergency relief projects—25 of which included emergency repairs—in Texas, Florida, and Puerto Rico. These projects, which FHWA determined were eligible for Emergency Relief Program funding, were necessary to repair damage caused by three 2017 hurricanes: Harvey, Irma, and Maria. The purpose of this review was to determine whether each project file included information showing the project met eligibility requirements or information required or recommended in federal statute, regulations, and FHWA program guidance. To select these 39 project files (13 projects each from Texas, Florida, and Puerto Rico), we used the following criteria:

We reviewed those with the highest estimated cost to ensure the inclusion of projects likely to receive the most federal funds. The 39 project files we selected represented over 38 percent of Emergency Relief funds allocated to those three states for the 2017 hurricanes, as of February 2019.

We selected a mix of road and bridge projects to ensure we reviewed a selection of projects that could include different types or amounts of documentation. States typically have more data and oversight processes in place for bridges than other roads, as most bridges are required to be inspected at least every 2 years.

We selected a mix of a state and local agency projects to ensure we reviewed a selection of projects that may have been prepared with different levels of detail. Though state agencies ultimately submit all Emergency Relief Program requests to FHWA, local agencies prepare some of the paperwork for projects within their jurisdictions and could provide a different level of detail in their project files than state agencies.

For each of the 39 projects in our review, the FHWA division offices in Texas, Florida, and Puerto Rico provided associated project files. Through discussions with state officials, we determined that FHWA’s Mobile Solution for Assessment and Reporting (MSAR) was sufficiently reliable for our purposes of obtaining documentation for file reviews for projects located in Texas. For Puerto Rico, because state officials acknowledged some files were not included in MSAR, we asked for state officials to directly send us additional documentation as needed. As Florida does not use MSAR to record project information or documentation, we asked for state officials to send us relevant project documentation directly. Project files from these locations included information on project type and estimated costs as well as other relevant documents, such as engineering reports, bridge inspection reports, or photographs of the damage. Two analysts reviewed those files for information that is required or recommended by statute or FHWA guidance. This information included much of the same information we had previously evaluated in our 2011 review. To conduct the review, one analyst reviewed the documentation provided by FHWA’s division offices and completed a data collection instrument, then a second analyst reviewed the same documentation to verify the results of that review. Afterwards, the two analysts discussed and resolved any discrepancies and questions. The analysts then analyzed and summarized the results for the 39 eligible projects of this review to determine whether each file included documentation for damage and cost information, emergency repair requirements, and eligibility determination, as detailed below: Damage and cost information: We reviewed whether the project file included a complete detailed damage inspection report (DDIR), which documents an on-site inspection of the damage. FHWA’s Emergency Relief Manual states that a complete DDIR should include a number of details including: the type of federal-aid highway, such as an interstate, freeway, or expressway; the average daily traffic or the typical traffic volume in a location over a 24-hour period; the nature or type of damage, such as a bridge collapse or landslide, and extent or amount of damage, such as fully or partially collapsed; a field site sketch or drawing that shows details of the damage site such as the width of the road or bridge; a total estimated cost for repair; and documentation related to an environmental review recommendation, which would include the potential effects of repairs on nearby species or waterways. For the 39 projects we included in our file review, we found that DDIR documentation generally improved compared to the 2011 review. For instance, each of the 39 projects included a DDIR, photographs of the damage, and the repair’s cost estimate; only 24 of the 83 eligible projects we reviewed in 2011 included each of those pieces of information. However, we found other recommended DDIR documentation to be lacking. For example, of the 39 projects in our review, 36 did not include Average Daily Traffic and 22 did not include the type of federal-aid highway. Figure 3 represents the results of our review of damage and cost information.

Emergency repair requirements: We reviewed whether eligible emergency repair projects included a documented rationale or justification for classifying the project as an emergency repair instead of a permanent repair. As discussed in the body of this report, by statute, emergency repairs are repairs undertaken during or immediately after a disaster specifically to restore essential traffic, to minimize the extent of damage, or to protect the remaining facilities. As discussed in the body of this report, classifying a project as an emergency repair affects the percentage of costs covered by federal funds, level of FHWA oversight, and the extent to which environmental and contracting requirements apply. We found that of the 25 project files that included an emergency repair (out of the 39 in our review), 22 did not include a documented rationale or justification for classifying the project as an emergency repair instead of a permanent repair.

Eligibility determination: We reviewed whether a representative of FHWA signed and recommended eligibility for Emergency Relief funding and whether the applicant or state representative signed and agreed with FHWA’s recommendation. The Emergency Relief Manual states that documentation should include an eligibility recommendation by an FHWA representative and acknowledgement of that recommendation by the applicant. For the 39 projects we included in our file review, we found that documentations of FHWA and applicant signatures generally improved compared to the 2011 review. In our current review, we found that the FHWA and applicant or state representatives signed each of the 39 eligible project files; in our 2011 review, only 36 of the 83 eligible projects included a signature from an FHWA representative and 47 of the 83 eligible projects included a signature from the applicant or state representative.

Appendix II: Comments from the Department of Transportation

Appendix III: GAO Contact and Staff Acknowledgments

GAO Contact

Staff Acknowledgments

In addition to the contact named above, Steve Cohen (Assistant Director), Matthew Cook (Analyst in Charge), Pedro Almoguera, Aditi Archer, Danielle Ellingston, Lauren Friedman, Kathryn Godfrey, Hannah Laufe, Leslie Locke, Cheryl Peterson, Malika Rice, Amy Rosewarne, and Elizabeth Wood made key contributions to this report.