Practices and Performance Measures for Local Public Agency Federally Funded Highway Projects (2013)

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57 APPENDIX A List of Respondents, DOT Survey Questionnaire, and Summary of Results List of DOT Survey Respondents Alabama: Victor Jordan, Alabama Department of Transportation, Transportation Planner Illinois: Darrell W. Lewis, P.E., Illinois Department of Transportation, Acting Engineer of Local Roads & Streets Alaska: Clint Adler, Alaska Department of Transpo. & Public Facilities, Chief of Research, Development, & Technology Transfer Iowa: “Charlie” M.J. Purcell, Iowa Department of Transportation, Director, Office of Local Systems Arkansas: Steve Morgan, Arkansas State Highway and Transporta- tion Dept., Senior Programs and Contracts Engineer Kansas: Ron Seitz, Kansas Department of Transportation, Chief, Bureau of Local Projects California: Susan Harrington, California Department of Transporta- tion, Resource Manager Kentucky: Jackie Jones, Kentucky Transportation Cabinet, Executive Staff Advisor Colorado: Steve Markovetz, Colorado Department of Transporta- tion, Professional Engineer I Louisiana: Ann Wills, Louisiana Department of Transportation, Assistant to the Secretary for Policy Connecticut: Hugh Hayward P.E., Connecticut Department of Trans- portation, Principal Engineer Maine: Michael Laberge, Maine Dept. of Transpo., Multimodal Pro- gram, Local Projects Coordinator Delaware: Jeff Niezgoda, Delaware Department of Transporta- tion, Transportation Enhancement Manager/ Planning supervisor Maryland: Stephen Pearce, Maryland State Highway Administration, fed- eral Aid Liaison Engineer Florida: Roosevelt Petithomme, Florida Department of Transpor- tation, State LAP Administrator Massachusetts: Pamela Marquis, Massachusetts Highway, ROW Compliance Administrator Georgia: Genetha Rice-Singleton, Georgia Department of Trans- portation, Program Control Administrator Michigan: Rudolph S. Cadena, Michigan Department of Transportation, Local Agency Programs Engineer Hawaii: Mike Medeiros, Hawaii Department of Transportation, CE VI / Project Coordination and Control Minnesota: Lynnette Roshell, Minnesota Department of Transportation, State Aid Project Development Engineer Idaho: Monica Crider, Idaho Transportation Department, State Design Engineer Mississippi: Sharpie Smith, Mississippi Department of Transportation, State LPA Engineer

58 Missouri: Kenny Voss, Missouri Department of Transportation, Local Programs Administrator Oregon: Beth V. Duncan, Oregon Department of Transportation, Certi- fication Program Manager Montana: Mike Wherley, Montana Department of Transportation, Enhancement Program Manager Pennsylvania: Christine Spangler, Pennsylvania Department of Transporta- tion, Project Development Engineer Nebraska: Jim Wilkinson, Nebraska Department of Roads, Local Projects Engineer South Carolina: Michael M. Peterson, South Carolina Department of Transpor- tation, Local Public Agency Administrator Nevada: Kristena Shigenaga, Nevada Department of Transporta- tion, Assistant Chief Road Design Engineer South Dakota: Laurie Schultz, South Dakota Department of Transportation, Administration Program Manager New Hampshire: Nancy J. Mayville, New Hampshire Department of Trans- portation, Municipal Highways Engineering Tennessee: Kip Mayton, Tennessee Department of Transportation, Trans- portation Manager 1 New Jersey: Michael Russo, New Jersey Department of Transpor- tation, Director, Division of Local Aid and Economic Development Texas: Richard Kirby, Texas Department of Transportation, Con- struction Division, Contract Administration New Mexico: Kimberly Wildharber, New Mexico Department of Trans- portation, Contract Manager Utah: Matthew Swapp, Utah Department of Transportation, Local Government Programs Engineer North Carolina: Jimmy Travis, P.E., North Carolina Department of Trans- portation, Manager, Program Management Office Vermont: Susan E. Scribner, Vermont Agency of Transportation, Local Transportation Facilities Program Manager North Dakota: Kim Adair, North Dakota Department of Transportation, Transit Section Manager Virginia: Russell Dudley, Virginia Department of Transportation, Assis- tant Director New York: Diane L. Kenneally, P.E., NYS Department of Transporta- tion, Director, Local Programs Bureau Washington: Kathleen Davis, Washington State Department of Transporta- tion, Director of Highways and Local Programs Ohio: Randy Lane, Ohio Department of Transportation, Local Programs Manager Wisconsin: David M. Simon, P.E., Wisconsin Department of Transporta- tion, Project Services Supervisor Oklahoma: Mark Scott, Oklahoma Department of Transportation, Local Government Assistant Division Manager Wyoming: Martin Kidner, Wyoming Department of Transportation, State Planning Engineer INTRODUCTION/BACKGROUND The purpose of this survey is to gather information on the current practices and performance measures used for developing and delivering federally funded local public agency (LPA) projects. Effective delivery of federally funded transportation projects by local public agencies has been cited as a serious concern by Congress, FHWA, state departments of transportation (DOTs), LPA program applicants, and transportation interest groups. The recent NCHRP Synthesis Report 414 focused on the identifying practices and tools for effective delivery of small-scale federal-aid projects in only a small number of states. Find- ings of the study indicated that major hurdles exist in the federal-aid project development and delivery process, many of which were related to projects granted to LPAs. For this reason, NCHRP Synthesis Topic 43-04 includes practices and performance measures used by all DOTs, as they relate to the LPA program. A special emphasis is placed on documenting the experiences of DOTs who have implemented a LPA Certification program for federal-aid applicants.

59 DEFINITIONS Federal-aid projects: Projects funded with federal fund both on and off the federal-aid system, on and off the National High- way System (NHS), and off right-of-way; all phases of project delivery (planning through project close-out/reimbursement). Local Public Agency (LPA): any agency that receives federal transportation funds. These funds are administered by the FHWA and passed through the state DOT to the local agency applicants for improving their infrastructure or other transpor- tation services. Each state DOT which receives these funds has a designated local LPA coordinator with the responsibility to ensure the compliance of all state and federal-aid regulations related to the delivery process of locally administrated projects. Performance Measurement: Performance measurement is the use of statistical evidence to determine progress toward specific defined organizational objectives. This includes both evidence of actual fact, such as measurement of pavement sur- face smoothness, and measurement of customer perception, such as would be accomplished through a customer satisfaction survey. Programmatic Agreements (PA): a document that spells out the terms of a formal, legally binding agreement between two agencies such as a state DOT and another state and/or federal agency. It also establishes a process for consultation, review, and compliance with one or more federal laws Categorical Exclusion (CE): a determination that an action (proposal or project) has no significant impacts and an Envi- ronmental Impact Statement (or Environmental Assessment for that matter) is not required. Small Local Public Agency (LPA): rural counties or municipalities with less than or equal to 5,000 population. Medium Local Public Agency (LPA): medium cities and counties with greater than 5,000 and less than or equal to 30,000 population. Large Local Public Agency (LPA): large cities and counties with more than 50,000 population. metropolitan planning organization (MPO): Per Federal Transportation Legislation (23 USC 134(b) and 49 USC 5303(c)), MPO is defined as the designated local decision making body that is responsible for carrying out the metropolitan transporta- tion planning process. An MPO must be designated for each urban area with a population of more than 50,000 people. RPO (regional planning organization): An organization that performs planning for multi-jurisdictional areas. MPOs, regional councils, economic development associations, rural transportation associations are examples of RPOs. These orga- nizations are also sometimes referred to as a regional transportation planning authority (RTPA), Regional Planning Affiliation (RPA), or other similar designations. Please identify your contact information. NCHRP will email you a link to the online report when it is completed. Agency: ______________________________________________________ Address: _____________________________________________________ City: _________________________________________________________ State: ________________________________________________________ ZIP: _________________________________________________________ Questionnaire Contact: __________________________________________ Position/Title: _________________________________________________ In case of questions and for NCHRP to send you a link to the final report, please provide: Tel: __________________________________________________________ E-mail: _______________________________________________________

60 General Comment The first series of questions are intended to establish a compendium of Practices and Performance Measures used by state departments of transportation for implementation and delivery of the LPA federal-aid program. The questions ask the recipi- ent to assess current practices and use of performance measures. A second series of specific questions focuses only on DOTs with LPA certification programs, as well as address any streamlining activities that may be implemented in the near future. Organizational Structure The questions in this section relate to organizational structure of the local public agency (LPA) program in your state: 1. Identification of contact information 2. Does your state DOT have a formal LPA program? …… Yes (Go to Question 3) …… No (Go to Question 54) 3. Is your state DOT mostly decentralized or centralized? …… Decentralized …… Centralized 4. How is your state DOT structured to handle LPA program? …… Central office staff only …… Central office and district office staff …… District office staff only …… Other (comment box) 5. Does your state DOT use project development teams, task forces, etc., to coordinate the LPA program (i.e., educate and/ or provide tools to LPAs)? …… Yes …… No 6. Estimate the number of local agencies participating in LPA in your state …… 0–25 …… 25–50 …… 50–75 …… 75–100 ……More than 100 (Please specify) 7. What is the basis for an LPA’s eligibility to receive federal funds? Check all that apply. …… No certification, pre-qualification, or other eligibility requirements …… Appropriate and available LPA staff size …… Level of funding …… Population (or size) of city, county, or municipality …… LPA certification by the state DOT …… Number of federal projects awarded annually

61 …… Federal-aid program type …… Local match availability …… Fund source used to provide local match …… Complexity of ROW issues (purchase required, urban vs. rural location, etc.) …… Extent of environmental process involvement …… Size or complexity of project scope …… Project status (i.e., construction-ready) …… Previous satisfactory execution of federal-aid projects …… Current and future workload of LPA …… Other qualifications (comment box) 8. In your opinion, which local agencies have had the most success in developing and executing federal-aid projects? Check all that apply. ……MPOs …… Large agencies (see definition of size) ……Medium agencies (see definition of size) …… Small agencies (see definition of size) 9. Does your state DOT have a written LPA manual? …… Yes (Go to Question 10 ) …… No (Go to Question 12) 10. If Yes to Question 9, is your state DOT LPA manual available online? …… Yes (please provide link: ) …… No 11. How often is the manual formally updated? …… Every 1–3 years …… Every 3–5 years …… Every 5–10 years …… No formal plan for update …… Not yet updated 12. Is training available regarding LPA program? Check all that apply. …… Yes …… Upon Request (Go to Question 13) …… Available online (Go to Question 13) …… Routinely held (Go to Question 13) …… No (Go to question 14) 13. Does the training your DOT offers include the following topics related to the LPA process? Check all that apply. …… Eligibility requirements

62 …… Project management risk assessment …… Program requirements …… State requirements …… Federal-aid requirements …… Quality assurance …… Reimbursement process …… Federal-aid 101 …… Other (specify) Project Development The questions in this section relate to the project development process for the local public agency (LPA) projects in your state: 14. What was the total amount of federal funding (out of the entire amount allotted to the state) that was allocated to local agencies in your state for Federal Fiscal Year 2011? …… $0–$50,000 …… $50,000–$100,000 …… $100,000–$300,000 …… $300,000–$600,000 …… $600,000–$1,000,000 …… $1,000,000–$1,400,000 …… $1,400,000–$1,800,000 …… $1,800,000–$2,000,000 …… >$2,000,000 (Please specify) 15. Out of the total amount of federal funding allocated to local agencies annually, estimate the percentage that are typi- cally Congressionally directed funding (earmarks)? …… 0–10% …… 11–25% …… 26–50% …… 51–75% …… 76–100% …… N/A 16. Does your state DOT (or MPO) have a minimum project cost to determine eligibility for federal funding? …… Yes (Go to Question 17) …… No, but a maximum cost limit applied (Go to Question 18) …… No (Go to Question 19) 17. If Yes to Question 16, what is the minimum project cost limit by your state DOT to potential LPA projects? Go to Ques- tion 19 …… ≤$50,000

63 …… $50,000–$100,000 …… $100,000–$300,000 …… $300,000–$600,000 …… $600,000–$1,000,000 …… >$1,000,000 (Please specify) 18. If No but a maximum cost limit applied to Question 16, estimate the maximum project cost applied by your state DOT to potential LPA projects. …… ≤$50,000 …… $100,000 …… $500,000 …… $300,000–$1,000,000 …… >$1,000,000 (Please specify) 19. Does your state DOT apply performance measures when LPAs receive federal-aid funds? …… Yes …… No 20. What are some innovative alternative funding allocation techniques your state DOT has implemented? Check all that apply. …… None (Go to Question 22) …… Set percentage of funds taken off the top of state transportation funds …… Set percentage of funds taken off the top of federal funds provided to state …… Federal for state funding exchange between the state DOT and LPAs …… Depends on the type of project (e.g., safety, trails, transit, bridge, etc.) …… Other (comment box) 21. Is the innovative funding allocation done at the MPO/RPO level or by your state DOT? Check all that apply. ……MPO/RPO …… State DOT …… Other (comment box) 22. Does your state legislation provide flexibility for other innovative ways to assist LPAs in guaranteeing the local match amount required for federally funded projects? …… Yes …… No 23. How are conflicts between the state DOT design guidelines and the local community’s need resolved? …… No formal alternatives to resolve conflicts …… Through the use of design exceptions …… Through the use of abbreviated state DOT design standards on some LPA projects …… Allow use of LPA design standards on some LPA projects …… Development of context sensitive solutions by a team of DOT and LPA representatives …… Please describe any other tools you have established: (comment box)

64 24. How do conflicts over design guidelines or standards impact project delivery? Check all that apply. …… Not an issue experienced in our state …… Delay the completion of LPA project reviews …… Postponement of LPA project milestones …… Requires revisits of NEPA process …… Expansion of initial project scope …… Requires additional funding commitments …… Other (comment box) Project Implementation The questions in this section relate to aspects of local public agency (LPA) project implementation in your state: 25. What types of federal-aid fund does your state DOT receive for LPA projects? Check all that apply. …… Surface Transportation Program (STIP) …… Recreational trails …… National Scenic Byways …… Transportation Enhancements Activities …… Safety (HSIP, SRTS, HRRR) …… Non-motorized Transportation Pilot Program (NTPP) …… Congestion Mitigation Air Quality (CMAQ) …… Road improvement projects (widening, overlays) …… Bridge projects (repair, reconstruction) …… Accessibility (sidewalks, curbs, ADA) …… Other (please specify): 26. Which LPA projects (awarded federal-aid funds) historically take the longest to complete? Check all that apply. …… Surface Transportation Program (STIP) …… Recreational trails …… National Scenic Byways …… Transportation Enhancements Activities …… Safety (HSIP, SRTS, HRRR) …… Non-motorized Transportation Pilot Program (NTPP) …… Congestion Mitigation Air Quality (CMAQ) …… Road improvement projects (widening, overlays) …… Bridge projects (repair, reconstruction) …… Accessibility (sidewalks, curbs, ADA) …… Other (please specify):

65 27. Which LPA projects (awarded federal-aid funds) present the most risk of not being completed within the planned bud- get? Check all that apply. …… Surface Transportation Program (STIP) …… Recreational trails …… National Scenic Byways …… Transportation Enhancements Activities …… Safety (HSIP, SRTS, HRRR) …… Non-motorized Transportation Pilot Program (NTPP) …… Congestion Mitigation Air Quality (CMAQ) …… Road improvement projects (widening, overlays) …… Bridge projects (repair, reconstruction) …… Accessibility (sidewalks, curbs, ADA) …… Other (please specify): 28. Does your state DOT combine * LPA projects in any of the following project delivery phases? Check all that apply. …… Planning (TIP/STIP) phase …… Environmental phase/permitting …… ROW acquisition …… Design phase/Utilities …… Procurement (consultant or ad, bid award) phase …… Construction contracting/inspection * combine = tying together or bundling several smaller projects into a single large project, at any phase of project delivery 29. What policies and procedures are in place to assist with LPA project delivery? Check all that apply. …… Federal regulations, policy, and guidance …… State regulations, policy, and guidance …… Local regulations and guidance ……MPO or RPO guidance …… Others (please specify) 30. Does your state DOT generally apply a “one size fits all” application of federal requirements on LPA projects rather than make individual distinctions per specific LPA project? …… Yes …… No 31. How does your state DOT minimize scope increase in LPA projects? Check all that apply. …… No project scope increase allowed after final plans, specifications, and estimates (PS & E) are completed and approved …… Firm funding commitment from sponsor prior to consideration …… Early collaboration with stakeholders to finalize project scope …… Others (comment box)

66 32. Identify project delivery tools used to improve internal and external communications and involvement, implement or streamline processes, and lead to overall efficiencies. Check all that apply. …… Improved communications through joint project agreements (JPAs) or other agreements …… Advanced project programming …… Risk determination (on-time delivery of projects, obligation deadlines, etc.) …… Continuous and improved monitoring and reporting …… Funds not obligated by deadline set in JPAs are subject to reprogramming with loss of funds to sponsor …… Tracking LPA project funding obligations …… Use of categorical exclusions/programmatic agreements …… Implemented a statewide LPA certification program …… Improved project oversight during construction …… Other (comment box) 33. Does your state DOT set specific performance metrics for LPA projects and share them with local agencies who receive federal-aid funds? …… Yes (Go to Question 34) …… No (Go to Question 36) 34. If Yes to Question 33, what performance measures and/or tools does your agency use to evaluate project delivery and describe how they are used? Check all that apply. …… Quantifiable savings in time to complete projects …… Quantifiable savings in project costs ……Managing or monitoring delivery by tracking obligations against programmed projects …… Provide LPAs with automated project expiration dates and live updates from DOT financial tracking system …… Host monthly or quarterly meetings with LPAs that have active federally funded projects …… Predetermination of LPAs capacity for handling the number or complexity of projects …… Use of project administrative checklists …… Consistent quality assurance process incorporated statewide for LPA project design …… Use of consultants to assist in performing design reviews …… Others (comment box) 35. Does your state DOT provide statewide reports for meeting performance goals related to LPA projects? Please provide a link to view these reports. …… Yes—please provide link. …… No 36. Has your state DOT generated programmatic agreements for certain LPA projects related to any of the following? Check all that apply …… Issues related to endangered species and other natural resources …… State historic preservation issues …… Parks and recreation issues ……Water management district issues …… Transit agencies

67 …… Corps of Engineers, Coast Guard, etc. …… Other (comment box) 37. If any of the above boxes are checked in Question 36, please describe the details of or provide an example of the specific programmatic agreement. 38. Has your state DOT applied categorical exclusions for certain LPA projects? …… Safety projects under certain dollar value …… Projects with no change in construction footprint …… Projects with no ROW purchase required …… Other (comment box) 39. If any of the above boxes are checked in Question 38, please describe the details of or provide an example of the specific categorical exclusions. 40. How can your state DOT improve LPA oversight during construction? Check all that apply. …… Use of less stringent DOT materials and construction specifications tailored for LPA use …… Target to develop procedures for periodic LPA project inspections …… Provide adequate staff performing on-site inspections during construction …… Use of construction checklists …… Standard follow-up procedure for addressing deficiencies found during inspections (e.g., develop methods/reports to monitor trends from reviews and project site visits) …… Construction contract administration/quality assurance training for oversight staff …… State DOT tracking of LPA construction contracting events (e.g., subcontracts, materials certification test results, etc.) …… Consistent quality assurance process incorporated statewide for LPA project construction and close-out [e.g., conduct specific audits during construction (contractor payment reviews, Davis-Bacon compliance, etc.)] …… State DOT independent assurance (IA) reviews of LPAs …… Use of consultants to assist in performing inspection of LPA projects …… Development of a specific monitoring and oversight plan for project …… Other (comment box) LPA Certification Process The following questions pertain to measures taken by the state DOT to administer and monitor the certification program for local public agencies applying for federal-aid funds: 41. In your opinion, should federal regulation be established to require certification program for LPAs? …… Yes (Go to Question 42) …… No (Go to Question 43) 42. If Yes to Question 41, what performance measures should be used to direct the amount and type of federal funding to LPA projects? (comment box) 43. Is there a LPA certification/qualification process in your state? …… Yes (Go to Question 44) …… No (Go to Question 54)

68 44. If Yes to Question 43, who is the prime contact for this program/process? Name Division E-mail Phone 45. How many LPA’s are currently certified by your state DOT? …… 0–15 …… 16–30 …… 31–45 …… 46–60 …… 61–75 …… 76–90 ……More than 90 46. Does your state DOT require LPAs to attend training on the LPA program and related policies and regulations? …… Yes …… No (Go to question 48) 47. If Yes to Question 46, how often is training made available to LPAs? Check all that apply …… Upon request ……Monthly …… Annually …… Available online …… Once, at time of certification …… Periodically, at time of recertification 48. Is the certification of LPAs formally reviewed and updated periodically? …… Yes (Go to Question 49) …… No (Go to Question 50) 49. If Yes to Question 48, at which frequency is an LPA’s certification reviewed? …… Every year …… Every 3 to 5 years ……With every new project application …… Other (specify timeframe) 50. What types of events make the recertification of an LPA necessary? Check all that apply …… Change or reduction in LPA staff …… Inability of LPA to provide financial match …… LPA performance history on past projects delivered …… Requested by the MPO or RPO …… Requested by the LPA …… Periodic expiration of certification (frequency preset by DOT) …… Others (describe)

69 51. Who delivers LPA certification and recertification training in your state? Check all that apply. …… DOT District Office …… DOT Central Office …… Consultants ……MPO or RPO …… Local Technical Assistance Program (LTAP) …… Other (specify) 52. What is the average time it typically takes for a LPA to become certified by your state DOT from start to finish? …… <30 days …… <3 months …… <6 months …… >1 year 53. Your help is solicited to gather more in-depth information on the success you are having with the LPA program in your state. Please identify up to six (6) exemplary LPA-certified agencies in your state who have successfully developed and delivered federally funded transportation projects. The LPAs that you suggest should be those who are active in overall success of the LPA program in your state. Please consider providing examples from small, medium, and large LPAs who are certified. The LPA contacts you provide will be invited to participate in a brief survey that will enhance the findings from this survey. Contact Name: Affiliation: Phone: E-mail Address: (After this Question 53, go to Question 58) 54. If No to Question 43, is your state DOT considering implementing an LPA certification process? …… Yes (Go to Question 55) …… No (Go to Question 56) …… Others (Specify) 55. If Yes to Question 54, which division in your state DOT will be responsible for LPA certification implementation process? …… DOT District Office …… DOT Central Office …… Consultants ……MPO or RPO …… Local Technical Assistance Program (LTAP) …… Other (specify) 56. If No to Question 54, what are main reasons why your state DOT has not implemented an LPA certification process? Check all that apply …… Limited funds …… Limited workforce …… Haven’t seen positive impacts from other DOT certification LPA programs …… Limited demand from LPAs (e.g., even without training, LPAs are operating efficiently) …… Other (specify)

70 57. Your help is requested to gather more in-depth information on the success you are having with the LPAs delivering federally funded projects in your state. Please identify up to six (6) LPA contacts in your state who have successfully developed and delivered federally funded transportation projects. The LPAs that you suggest should be those who are active in overall success of the LPA program in your state. Please consider providing examples from small, medium, and large LPAs. The LPA contacts you provide will be invited to participate in a brief survey that will enhance the findings from this survey. Contact Name: Affiliation: Phone: E-mail Address: Effectiveness of LPA Certification Process The questions in this section relate to your assessment of the effectiveness of the LPA Certification program administered by your agency: 58. Do you have performance measures in place to evaluate the success of key elements of your state DOT’s LPA certifica- tion program? …… Yes (Go to Question 59) …… No (Go to Question 60) 59. If Yes to Question 58, provide an example of one or two of the performance measures you have instituted and are find- ing success with: << describe >> 60. In your opinion, is there evidence that shows that the LPA certification process has helped both your state DOT and the LPAs to better comply with federal-aid requirements? …… Yes …… No 61. In your opinion, has the certification process helped participating LPAs achieve more of the performance metrics set by your state DOT for project delivery? …… Yes …… No …… Other (describe) 62. Identify specific project phases in which the certification of LPAs has improved project delivery. Check all that apply. …… Planning phase …… Environmental phase/permitting …… ROW acquisition …… Design phase/Utilities …… Procurement (consultant or ad, bid award) phase …… Construction contracting/inspection 63. How does your state DOT hold LPA’s accountable when performance measures are not met? …… None …… Decertification …… Loss of funding if obligations do not meet programming targets …… Other (describe)

71 64. In your opinion, what oversight performance measures indicate a healthy LPA program? …… Please describe (comment box) 65. Identify specific project phases in which elements of LPA certification can be implemented, improved, or streamlined. Check all that apply. …… Planning phase …… Environmental phase/Permitting …… ROW acquisition …… Design phase/Utilities …… Procurement (consultant or ad, bid award) phase …… Construction contracting/inspection Thank you for your willingness to participate in this NCHRP Synthesis 43-04. The survey is complete. All responses will be kept anonymous.

72 Summary of DOT Survey Results The responses to the DOT survey questionnaire are presented in this section of the appendix. Organizational Structure Question 2: Does your state DOT have a formal LPA program? FIGURE A1 Survey response to Question 2: “Does your state DOT have a formal LPA program?” Question 3: Is your state DOT decentralized or centralized? FIGURE A2 Survey response to Question 3: “Is your state DOT decentralized or centralized?”

73 Question 4: How is your state DOT structured to handle LPA program? FIGURE A3 Survey response to Question 4: “How is your state DOT structured to handle LPA program?” Question 5: Does your state DOT use project development reams, task forces, etc., to coordinate the LPA program (i.e., edu- cate and/or provide tools to LPAs)? FIGURE A4 Survey response to Question 5: “Does your state DOT use project development reams, task forces, etc., to coor- dinate the LPA program (i.e., educate and/or provide tools to LPAs)?” Question 6: Estimate the number of local agencies participating in LPA in your state. FIGURE A5 Survey response to Question 6: “Estimate the number of local agencies participating in LPA in your state.”

74 Question 7: What is the basis for eligibility for a local agency? (Check all that apply) FIGURE A6 Survey response to Question 7: “What is the basis for eligibility for a local agency?” Question 8: In your opinion, which local agencies have had the most success in developing and executing federal-aid projects? Check all that apply. FIGURE A7 Survey response to Question 8: “In your opinion, which local agencies have had the most success in developing and executing federal-aid projects?”

75 Question 9 Does your state DOT have a written LPA manual? FIGURE A8 Survey response to Question 9: “Does your state DOT have a written LPA manual?” Question 10 Is your state DOT LPA manual available online? If Yes, please provide the link. FIGURE A9 Survey response to Question 10: “Is your state DOT LPA manual available online?”

76 FIGURE A10 Survey response to Question 10: “If Yes, please provide the link.” Figure A10 Continued on p.77

77 Question 11 How often is the manual formally updated? FIGURE A11 Survey response to Question 11: “How often is the manual formally updated?” Figure A10 Continued from p.76

78 Question 12 Is training available regarding LPA Program? (Check all that apply) FIGURE A12 Survey response to Question 12: “Is training available regarding LPA Program? (Check all that apply) Question 13 Does the training your state DOT offers include the following topics related to the LPA process? Check all that apply. FIGURE A13 Survey response to Question 13: “Does the training your state DOT offers include the following topics related to the LPA process? Check all that apply.”

79 Project Development Question 14 What was the total amount of federal funding (out of the entire amount allotted to the state) that was allocated to local agencies in the past fiscal year (FY)? FIGURE A14 Survey response to Question 14: “What was the total amount of federal funding (out of the entire amount allot- ted to the state) that was allocated to local agencies in the past fiscal year (FY)?” Question 15 Out of the total amount of federal funding allocated to local agencies annually, estimate the percentage that are typically Congressionally directed funding (earmarks). FIGURE A15 Survey response to Question 15: “Out of the total amount of federal funding allocated to local agencies annu- ally, estimate the percentage that are typically Congressionally directed funding (earmarks).”

80 Question 16 Does your state DOT (or MPO) have a minimum project cost to determine eligibility for federal funding? FIGURE A16 Survey response to Question 16: “Does your state DOT (or MPO) have a minimum project cost to determine eligibility for federal funding?” Question 17 What is the minimum project cost limit applied by your state DOT to potential LPA projects? FIGURE A17 Survey response to Question 17: “What is the minimum project cost limit applied by your state DOT to potential LPA projects?”

81 Question 18 Estimate the maximum project cost limit applied by your state DOT to potential LPA projects? FIGURE A18 Survey response to Question 18: “Estimate the maximum project cost limit applied by your state DOT to poten- tial LPA projects?” Question 19 Does your state DOT apply performance measures when LPAs receive federal-aid funds? FIGURE A19 Survey response to Question 19: “Does your state DOT apply performance measures when LPAs receive federal-aid funds?”

82 Question 20 What are some innovative alternative funding allocation techniques your state DOT has implemented for the LPA program? (Check all that apply). FIGURE A20 Survey response to Question 20: “What are some innovative alternative funding allocation techniques your state DOT has implemented for the LPA program? (Check all that apply).” Question 21 Is the innovative funding allocation done at the MPO/RPO level or by your state DOT? (Check all that apply). FIGURE A21 Survey response to Question 21: “Is the innovative funding allocation done at the MPO/RPO level or by your state DOT? (Check all that apply).”

83 Question 22 Does your state legislation provide flexibility for other innovative ways to assist LPAs in guaranteeing the local match amount required for federally funded projects? FIGURE A22 Survey response to Question 22: “Does your state legislation provide flexibility for other innovative ways to assist LPAs in guaranteeing the local match amount required for federally funded projects?” Question 23 How are conflicts between the state DOT design requirements and the local community’s needs resolved? (Check all that apply). FIGURE A23 Survey response to Question 23: “How are conflicts between the state DOT design requirements and the local community’s needs resolved? (Check all that apply).”

84 Question 24 How do conflicts over design guidelines or standards impact LPA project delivery? (Check all that apply). FIGURE A24 Survey response to Question 24: “How do conflicts over design guidelines or standards impact LPA project delivery? (Check all that apply).” Project Implementation Question 25 What types of federal-aid funding does your state DOT receive for LPA projects? (Check all that apply). FIGURE A25 Survey response to Question 25: “What types of federal-aid funding does your state DOT receive for LPA projects? (Check all that apply).”

85 Question 26 Which LPA projects (awarded federal-aid funds) historically take the longest to complete? (Check all that apply). FIGURE A26 Survey response to Question 26: “Which LPA projects (awarded federal-aid funds) historically take the longest to complete? (Check all that apply).” Question 27 Which LPA projects (awarded federal-aid funds) present the most risk of not being completed within the planned budget? (Check all that apply). FIGURE A27 Survey response to Question 27: “Which LPA projects (awarded federal-aid funds) present the most risk of not being completed within the planned budget? (Check all that apply).”

86 Question 28 Does your state DOT combine* LPA projects in any of the following project delivery phases? (Check all that apply). *combine = tying together or bundling several smaller projects into a single large project, at any phase of project delivery. FIGURE A28 Survey response to Question 28: “Does your state DOT combine* LPA projects in any of the following project delivery phases? (Check all that apply).” Question 29 What policies and procedures are in place to assist with LPA project delivery? (Check all that apply). FIGURE A29 Survey response to Question 29: “What policies and procedures are in place to assist with LPA project delivery? (Check all that apply).”

87 Question 30 Does your state DOT generally apply a “one size fits all” application of federal requirements on LPA projects rather than make individual distinctions per specific LPA project? FIGURE A30 Survey response to Question 30: “Does your state DOT generally apply a “one size fits all” application of fed- eral requirements on LPA projects rather than make individual distinctions per specific LPA project?” Question 31 How does your state DOT minimize scope increases in LPA projects? (Check all that apply). FIGURE A31 Survey response to Question 31: “How does your state DOT minimize scope increases in LPA projects? (Check all that apply).”

88 Question 32 Identify project delivery tools used to improve internal and external communications and involvement, imple- ment or streamline processes, and lead to overall efficiencies. (Check all that apply). FIGURE A32 Survey response to Question 32: “Identify project delivery tools used to improve internal and external com- munications and involvement, implement or streamline processes, and lead to overall efficiencies. (Check all that apply).” Question 33 Does your state DOT set specific performance metrics for LPA projects and share them with local agencies who receive federal-aid funds? FIGURE A33 Survey response to Question 33: “Does your state DOT set specific performance metrics for LPA projects and share them with local agencies who receive federal-aid funds?”

89 Question 34 What performance measures and/or tools does your agency use to evaluate project execution/delivery and describe how they are used? (Check all that apply). FIGURE A34 Survey response to Question 34: “What performance measures and/or tools does your agency use to evaluate project execution/delivery and describe how they are used? (Check all that apply).” Question 35 Does your state DOT provide statewide reports for meeting performance goals related to LPA projects? Please provide a link to view these reports. FIGURE A35 Survey response to Question 35: “Does your state DOT provide statewide reports for meeting performance goals related to LPA projects? Please provide a link to view these reports.”

90 Question 36 Has your state DOT generated programmatic agreements for certain LPA projects related to any of the following? (Check all that apply). FIGURE A36 Survey response to Question 36: “Has your state DOT generated programmatic agreements for certain LPA projects related to any of the following? (Check all that apply).” Question 37 Please describe the details of, or provide an example of, the specific programmatic agreement. FIGURE A37 Survey response to Question 37: “Please describe the details of, or provide an example of, the specific program- matic agreement.”

91 Question 38 Has your state DOT applied categorical exclusions for certain LPA projects? FIGURE A38 Survey response to Question 38: “Has your state DOT applied categorical exclusions for certain LPA projects?” Question 39 Please describe the details of, or provide an example of, the specific categorical exclusions. FIGURE A39 Survey response to Question 39: “Please describe the details of, or provide an example of, the specific categori- cal exclusions.”

92 Question 40 How can your state DOT improve LPA oversight during construction? Check all that apply. FIGURE A40 Survey response to Question 40: “How can your state DOT improve LPA oversight during construction? Check all that apply.” LPA Certification Process Question 41 In your opinion, should federal regulation be established to require certification program for LPAs? FIGURE A41 Survey response to Question 41: “In your opinion, should federal regulation be established to require certifica- tion program for LPAs?”

93 Question 42 What performance measures should be used to direct the amount and type of federal funding to LPA projects? FIGURE A42 Survey response to Question 42: “What performance measures should be used to direct the amount and type of federal funding to LPA projects?” Question 43 Is there a LPA certification/qualification process in your state? FIGURE A43 Survey response to Question 43: “Is there a LPA certification/qualification process in your state?”

94 Question 45 How many LPAs are currently certified by your state DOT? FIGURE A44 Survey response to Question 45: “How many LPAs are currently certified by your state DOT?” Question 46 Does your state DOT require LPAs to attend training on the LPA program and related policies and regulations? FIGURE A45 Survey response to Question 46: “Does your state DOT require LPAs to attend training on the LPA program and related policies and regulations?” Question 47 How often is training made available to LPAs? Check all that apply. FIGURE A46 Survey response to Question 47: “How often is training made available to LPAs? Check all that apply.”

95 Question 48 Is the certification of LPAs formally reviewed and updated periodically? FIGURE A47 Survey response to Question 48: “Is the certification of LPAs formally reviewed and updated periodically?” Question 49 At which frequency is an LPA’s certification reviewed? FIGURE A48 Survey response to Question 49: “At which frequency is an LPA’s certification reviewed?” Question 50 What types of events make the recertification of an LPA necessary? Check all that apply. FIGURE A49 Survey response to Question 50: “What types of events make the recertification of an LPA necessary? Check all that apply.”

96 Question 51 Who delivers LPA certification and recertification training in your state? Check all that apply. FIGURE A50 Survey response to Question 51: “Who delivers LPA certification and recertification training in your state? Check all that apply.” Question 52 What is the average time it typically takes for a LPA to become certified by your state DOT from start to finish? FIGURE A51 Survey response to Question 52: “What is the average time it typically takes for a LPA to become certified by your state DOT from start to finish?” Question 54 Is your state DOT considering implementing an LPA certification process? FIGURE A52 Survey response to Question 54: “Is your state DOT considering implementing an LPA certification process?”

97 Question 55 Which division in your state DOT will be responsible for implementation of the LPA certification process? FIGURE A53 Survey response to Question 55: “Which division in your state DOT will be responsible for implementation of the LPA certification process?” Question 56 What are the main reasons why your state DOT has not implemented a LPA certification process? Check all that apply. FIGURE A54 Survey response to Question 56: “What are the main reasons why your state DOT has not implemented a LPA certification process? Check all that apply.”

98 Effectiveness of LPA Certification Process Question 58 Do you have performance measures in place to evaluate the success of key elements of your state DOT’s LPA certification program? FIGURE A55 Survey response to Question 58: “Do you have performance measures in place to evaluate the success of key elements of your state DOT’s LPA certification program?” Question 59 Provide an example of one or two of the performance measures you have instituted and are finding success with: FIGURE A56 Survey response to Question 59: “Provide an example of one or two of the performance measures you have instituted and are finding success with”

99 Question 60 In your opinion, is there evidence that shows that the LPA certification process has helped both your state DOT and the LPAs to better comply with federal-aid requirements? FIGURE A57 Survey response to Question 60: “In your opinion, is there evidence that shows that the LPA certification pro- cess has helped both your state DOT and the LPAs to better comply with federal-aid requirements?” Question 61 In your opinion, has the certification process helped participating LPAs achieve more of the performance metrics set by your state DOT for project delivery? FIGURE A58 Survey response to Question 61: “In your opinion, has the certification process helped participating LPAs achieve more of the performance metrics set by your state DOT for project delivery?”

100 Question 62 Identify specific project phases in which the certification of LPAs has improved project delivery. Check all that apply. FIGURE A59 Survey response to Question 62: “Identify specific project phases in which the certification of LPAs has improved project delivery. Check all that apply.” Question 63 How does your state DOT hold LPAs accountable when performance measures are not met? FIGURE A60 Survey response to Question 63: “How does your state DOT hold LPAs accountable when performance mea- sures are not met?”

101 Question 64 In your opinion, what oversight performance measures indicate a healthy LPA program? FIGURE A61 Survey response to Question 64: “In your opinion, what oversight performance measures indicate a healthy LPA program?”

102 Question 65 Identify specific project phases in which elements of LPA certification can be implemented, improved, or stream- lined. Check all that apply. FIGURE A62 Survey response to Question 65: “Identify specific project phases in which elements of LPA certification can be implemented, improved, or streamlined. Check all that apply.”