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

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103 APPENDIX B List of Respondents and LPA Survey Questionnaire List of LPA Survey Respondents Florida: • City of Gainesville • City of Jacksonville • City of Key West Hawaii: • County of Hawaii • Illinois: • City of Urbana • Jackson County Iowa: • City of Des Moines Kentucky: • Louisville Metro Public Works and Assets Maine: • City of Bangor • Town of China Minnesota: • City of Moorhead • Freedom County • Hennepin County Missouri: • City of Grandview • Meramec Regional Planning Commission Nebraska: • City of Blair • City of Hastings • City of Lincoln • City of Omaha • Lancaster County • Lincoln County Nevada: • Storey County New York: • Monroe County • Yates County North Carolina: • Town of Apex • Town of Cary Ohio: • Geauga County • Seneca County • Tuscarawas County Oregon: • City of Corvallis • City of Eugene • City of Portland • Clackamas County • Deschutes County • Linn County Pennsylvania: • Franklin County • Lewisburg Borough • Montgomery County Utah: • Sandy City Washington: • Columbia County

104 INTRODUCTION/BACKGROUND Many transportation agencies (DOTs) are seeking innovative approaches to reduce inefficiencies associated with these proj- ects including environmental reviews and permitting; right of way, acquisition; time-sensitive stakeholder issues, such as funding match; compliance with federal regulations, etc. In addition, pending federal transportation legislation would require use of performance measures in administering the federal-aid highway program. Research such as this may be used to inform future policy decisions that may affect the administration and oversight of local public agency (LPA) federal-aid projects. The purpose of this survey is to solicit valuable input regarding how a select group of local public agencies are handling the delivery of federal-aid projects through the LPA program. Another goal is to identify successful practices that LPAs and their state DOT have employed to improve efficiencies in project delivery. Surveys are being sent to a small group of LPAs identified by the respondents to the DOT Survey Questionnaire. 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): A Local Public Agency (LPA) is 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 transportation services. Each state DOT which receives these funds has a designated local LPA coor- dinator 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 spe- cific defined organizational objectives. This includes both evidence of actual fact, such as measurement of pavement surface smoothness, and measurement of customer perception, such as would be accomplished through a customer satisfaction survey. Programmatic Agreements (PA): A Programmatic Agreement (PA) is 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 estab- lishes a process for consultation, review, and compliance with one or more federal laws. Categorical Exclusion (CE): Categorical Exclusion (CE) is a determination that an action (proposal or project) has no significant impacts and an Environmental Impact Statement (or Environmental Assessment for that matter) is not required. Metropolitan planning organization (MPO): Per Federal Transportation Legislation (23 USC 134(b) and 49 USC 5303(c)), Metropolitan Planning Organization (MPO) is defined as the designated local decision making body that is responsible for carrying out the metropolitan transportation planning process. An MPO must be designated for each urban area with a popu- lation 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. Responsible Charge: The Code of Federal Regulations (23 CFR 635.105 - Supervising Agency) provides that the state DOT is responsible for construction of federal-aid projects, whether it or a local public agency (LPA) performs the work. The regula- tion provides that for locally administered projects, the LPA must provide a full time employee to be in “responsible charge” of the project. The duties of the person in responsible charge cannot be delegated to a general engineering consultant (GEC). State Transportation Improvement Program (STIP): The staged, multi-year, statewide, intermodal program of transporta- tion projects, consistent with the statewide transportation plan and planning processes as well as metropolitan plans, TIPs, and processes.

105 Transportation Improvement Program (TIP): The document prepared by a metropolitan planning organization that lists projects to be funded with FHWA/FTA funds for the next one- to three-year period or for the period required by the state. 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: _______________________________________________________ General Comments The following survey questionnaire is intended to establish a compendium of Practices and Performance Measures used by Local Public Agencies in the delivery of projects in the federal-aid program. The recipient is asked to describe the following items: details regarding organization; strategies for project development and delivery; tools implemented to provide per- formance measures; and practices followed that result in streamlined delivery of federally funded projects. In addition, the recipient will be asked to assess the LPA certification program (if the agency is certified by their state DOT to conduct projects with federal funds) and the impact of the certification program. Organizational Structure The questions in this section relate to organizational structure of the local public agency (LPA). 1. Identification of contact information. 2. How would you describe your agency? …… County …… City ……Municipality (township, borough, village, etc.) ……MPO …… RPO …… Transportation authority …… Other (describe) 3. What is the total staff size of your agency’s public works and/or engineering or equivalent department? …… None, use consultants for engineering activities …… Less than 30 people …… 30 to 100 people …… Greater than 100 people

106 4. For federally funded transportation projects executed by your agency, is there a full-time employee responsible for their management? …… Yes, always …… Yes, most of the time …… Sometimes …… No, consultants perform this function …… No, not required 5. What is the number of staff who are mainly involved in developing applications for federal funds, defining federally funded project scopes, or supervising construction of transportation projects? …… Less than 5 …… Between 6 and 10 …… None, use consultants for these actions …… Other (comment box) Project Development The questions in this section relate to the project development process for the local public agency (LPA) projects in your agency. 6. What amount of federal-aid funding did your agency receive for transportation projects by year in the last three fiscal years? …… $0–$50,000 …… $50,000–$100,000 …… $100,000–$300,000 …… $300,000–$600,000 …… >$600,000 7. How many projects are typically developed annually to be eligible for federal-aid funding? …… 0–5 …… 5–15 …… Greater than 15 8. Are you aware of regional strategies or policies in place that have been developed by your DOT, MPO, or RPO to sup- port LPAs in successfully obtaining federal funds for scoping transportation projects? …… Yes (please provide an example) …… No 9. What is/are the source(s) of non-federal match typically used to support projects eligible for receiving federal-aid? Check all that apply. …… Local funds …… State DOT funds (state aid) …… Other state agency funds (Natural Resources, Parks and Recreation, etc.) …… Private funds (Public Private Partnerships , non-profit and for-profit) …… In-kind (non-monetary donations of materials, equipment, services, or right-of-way) …… Other sources (please describe in comment box)

107 10. Are there innovative techniques that you have developed or are using to provide matching funds to the projects funded by the federal-aid program? …… Yes (please describe—comment box) …… No 11. What practices do you use to more effectively develop candidate projects to qualify for federal funds? Check all that apply. …… None …… Guarantee of local match portion prior to project application …… Projects that only require categorical exclusions …… Use of joint project agreement (JPA) with DOT ……MPO or RPO active involvement in project scoping and development …… Advanced project programming in STIP or TIP …… Advance ROW negotiation and purchase by LPA …… Designation of specific trained staff for administering federal requirements …… Other practices (please describe) 12. Are there agency or regional strategies in place that have been developed to determine the optimal methods of project delivery (e.g., use of consultants, type of contract, etc.)? …… Yes (please describe—comment box) …… No Project Implementation The questions in this section relate to project implementation process for the local public agency (LPA) projects that have been federally funded. 13. What would you rate as the major hurdles to delivering projects which have received federal funds? Check all that apply. …… None …… Length of and/or meeting the requirements of the environmental process (NEPA, Section 4f, obtaining permits, etc.) …… Fund limitations during design or construction phase …… Conflict with public interest or project scope changes …… FHWA staff availability for guiding federal requirements …… DOT staff availability for oversight of federal requirements …… Lack of support from DOT or FHWA on guiding the LPA through federal requirements …… Delayed communications or approvals from DOT or FHWA …… Project funded but not construction-ready …… Others (please describe) 14. Are there innovative practices that you have developed or are using to overcome the project delivery hurdles identified? Check all that apply. …… None (skip to Question 16) …… Activities approved through the state DOT Certification Program

108 …… Advanced project construction programming …… Improved project monitoring and reporting …… Risk management program (e.g. determination that project can be obligated in a year, programmed in TIP, on-time delivery of projects, etc.) …… Use of categorical exclusions/programmatic agreements …… Use of your own LPA materials or construction specifications, or an abbreviated DOT specification provided for LPAs …… Use of your own in-house work force (force account) to build projects …… Others (specify in comment box) 15. In your opinion, what were some of the positives impacts of the innovative practices that you identified? Check all that apply. …… Reduction in project delivery time …… Reduction in cost ……Minimization of project scope creep …… Enhanced community satisfaction …… Other (describe) 16. 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) 17. 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) 18. How does your agency minimize project scope increases and what tools have you established to do this? Check all that apply. …… None …… No project scope increase allowed after final PS & E completed & approved …… Firm funding commitment from sponsor prior to consideration …… Early collaboration with stakeholders to confirm final project scope …… Other tools (comment box)

109 19. How does your agency/would your agency measure success when building a project with federal funds? (comment box) 20. Has your agency benefitted from programmatic agreements between your agency and state agencies or between state and federal agencies (e.g., Corps of Engineers, Fish and Wildlife Service, Forest Service, U.S. Coast Guard, EPA, etc.)? …… Yes (Go to Question 21) …… No (Go to Question 22) 21. If answered “Yes” to Question 20, then please describe an example of when a programmatic agreement was used suc- cessfully and how it impacted your agency’s performance. Please include project name. (comment box) 22. Has the state DOT applied for or used categorical exclusions in the federal-aid program for your projects? …… Yes (Go to Question 23) …… No (Go to Question 24) 23. If answered “Yes” to Question 22, then please describe an example of when a categorical exclusion was used success- fully and how it impacted your agency’s performance. Please include project name. (comment box) 24. How does your agency improve project oversight during construction? Check all that apply. …… None …… Application of quality assurance to all federally funded projects …… Consistent procedure for periodic inspections of your federally funded projects …… Use of construction checklists …… Standard follow-up procedure for addressing deficiencies found during inspections …… Formal tracking of construction contracting events (e.g., subcontracts, materials certification test results, etc.), with updates to DOT …… Use of consultants to assist in more frequent inspection of your projects …… Other practices (comment box) 25. Has your MPO or RPO been helpful in streamlining processes for project development or for the delivery of federal-aid projects? …… Yes (Please describe) …… No Evaluation of LPA Certification Program The questions in this section relate to your assessment of the effectiveness of the LPA Certification program administered by the DOT in your state. 26. Is your agency formally LPA-certified by the DOT? …… Yes (Go to Question 27) …… No (Go to Question 49) 27. Does your state DOT provide training as part of LPA certification? …… Yes (Go to Question 28) …… No (Go to Question 29)

110 28. What aspects of the training do you find conducive to successful development or delivery of your federally funded projects? Check all that apply …… None …… Frequency of training …… Accessibility of training (online and recorded, on-site, upon request, etc.) …… Detailed nature of training with respect to federal regulations and process …… Other aspects (comment box) 29. Do you find that being LPA-certified by your state DOT has helped to better plan for and complete projects that are earmarked or programmed to your agency? Check all that apply. …… Yes, for earmarked projects …… Yes, for projects that come from the MPO/RPO project selection process …… No (Go to Question 36) Do you feel that being LPA-certified has helped your agency more successfully conduct activities related to the follow- ing project phases?: 30. Planning/Programming (TIP/STIP) Phase: …… Yes …… No (if Yes, then provide a specific example) 31. Environmental review/permitting …… Yes …… No (if Yes, then provide a specific example) 32. Design phase/utilities …… Yes …… No (if Yes, then provide a specific example) 33. ROW acquisition …… Yes …… No (if Yes, then provide a specific example) 34. Procurement (consultant or ad, bid award) phase …… Yes …… No (if Yes, then provide a specific example) 35. Construction contracting/inspection …… Yes …… No (if Yes, then provide a specific example)

111 36. What are some of the measures that your agency currently tracks which the DOT also uses to evaluate your agency’s performance on federally funded projects? Check all that apply. …… None …… No increase in project scope during project development …… Design phase completed on time …… Percentage of projects notice-to-proceed (NTP) issued on time …… Percentage of projects completed on time …… Project fund obligations tracked to programmed funding …… Other measures (comment box) 37. In your opinion, is there evidence that the LPA certification process has helped your agency to better comply with federal-aid requirements? …… Yes …… No 38. What elements of LPA certification would you rate as being the most helpful? Check all that apply. …… None …… Training related to federally funded projects continuously available …… Reduction in administrative paperwork through checklists, etc. …… Reduction in time required for project initiation and DOT approvals …… Reduction in time for procurement activities …… Use of own construction specifications or design standards …… Use of in-house work force for low-impact projects …… Authority delegated by DOT to conduct a wider variety of activities during project delivery …… Other elements—please provide examples in (comment box) LPA Certification Program Impact on Project Performance The questions in this section are designed to identify how your agency measures the impact of LPA certification on project performance. 39. Since the inception of your state DOT’s LPA Certification Program, have you seen improvements in your agency’s suc- cess in securing federal-aid funds? …… Yes (Go to Question 40) …… No (Go to Question 41) 40. (if yes to Question 39) Please provide an example of how LPA certification has helped your agency in securing more federal-aid funding for projects: (comment box) 41. Since the inception of your state DOT’s LPA Certification Program, have you seen improvements in your agency’s suc- cess in more easily and quickly delivering construction projects with federal funds? …… Yes (Go to Question 42) …… No (Go to Question 43)

112 42. (if Yes to Question 41) Please provide an example of how LPA certification has helped your agency in streamlining construction of federally funded projects: (comment box) 43. Since the inception of state LPA certification program, have you seen improvements in minimizing project scope creep and keeping projects close to the original budget allocated by the DOT? …… Yes (Go to Question 44) …… No (Go to Question 45) 44. (if Yes to Question 43) Please provide an example of how LPA certification has helped your agency in better controlling the financial aspects of federally funded projects: (comment box) 45. What elements of LPA certification do you identify as helping to reduce project delivery time? Check all that apply. …… None …… Spending percentage of funds by a certain time …… Does not require same number and frequency of DOT approvals …… Does not require use of full DOT design standards (highway design manual) …… Does not require use of DOT prequalified design firms …… Does not require use of DOT prequalified Contractors …… Does not require use of full DOT materials or quality assurance (QA) specifications …… Other elements (please describe) 46. Do you have specific performance metrics that were developed specifically for tracking federal-aid project delivery? …… Yes (Go to Question 47) …… No (Go to Question 48) 47. If Yes to Question 46, then please list a few measures used for project tracking. (comment box) 48. Does your organization feel that certification of LPAs has helped your agency overall with meeting performance met- rics for project development and delivery? …… Yes …… No …… Other (explain) 49. In your opinion, should federal regulation be established to require certification program for LPAs? …… Yes (Go to Question 50 …… No (End of Survey) 50. If Yes to Question 49 what performance measures should be used to direct the amount and type of federal funding to LPA projects? (comment box) Thank you for your willingness to participate in this NCHRP Synthesis 43-04. The survey is complete. All responses will be kept anonymous.