Resource Allocation of Available Funding to Programs of Work (2017)

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63 Appendix B Survey Questionnaire The survey was accessed by means of an online tool at surveygizmo.com. The following text version was created before building the online version and closely resembles the question formats. The Transportation Research Board (TRB) is preparing a synthesis on Resource Allocation of Avail- able Funds to Programs of Work. This is being done for NCHRP, under the sponsorship of the American Association of State Highway and Transportation Officials, in cooperation with the Federal Highway Administration. Resource allocation decisions between programs have become increasingly difficult for transportation agencies as a result of funding challenges and changing transportation needs throughout United States. While agencies structure their programs of work in many ways, most likely have some basic distinctions between capital and operating programs, between modal programs, between geographic regions, etc. The term “resource allocation strategy” refers to the process or processes by which an agency arrives at an allocation of its resources between broad programs of work (not to be confused with prioritization of indi- vidual projects independent of programmatic considerations). This strategy could be defined a centralized, written budget or policy document, but could also include any strategy resulting in a deliberate framework channeling investment into particular program areas. Policies may utilize a variety of tools such as a bud- getary process, performance targets, etc. Decision makers in charge of a resource allocation choice, confront the challenge of balancing many different factors, such as implications for transportation performance and societal well-being, which may be the focus of several distinct actors. Decision makers and planners may lack information on the long-term implications of past decisions. This questionnaire is part of the effort in NCHRP Synthesis Topic 47-10 to gather information on the experiences, challenges and approaches of agencies with making tough resource allocation decisions across programs. We are interested in the experience and opinions of agen- cies, whether they are following well-defined processes for allocating resources among programs, or are approaching ongoing questions of programmatic allocation on a case-by-case basis differently each year. You will be asked to complete 8 to 16 questions based upon your agency’s experience with transportation resource allocation strategies. All responses to the survey are strictly confidential. This questionnaire is being sent to State Departments of Transportation. Your cooperation in complet- ing the questionnaire will ensure the success of this effort. If you are not the appropriate person at your agency to complete this questionnaire, please forward it to the correct person. Thank you very much for your time and expertise. Please enter the date (MM/DD/YYYY). ______________________ Please identify the contact information for your agency’s primary respondent. The primary respondent may need to consult with others in the agency. NCHRP will e-mail a link to the online report to this contact when the project is completed. Questionnaire Contact (First Name, Last Name) _____________________________________________ Title: _______________________________________________________________________________ Agency: ____________________________________________________________________________ Address: ____________________________________________________________________________ ____________________________________________________________________________ City _______________________________________ State: ______________ Zip: ______________ Tel: _____________________________ E-mail: __________________________________________

64 Please indicate if you know of a resource allocation strategy in your agency or in another transportation agency that could serve as an instructive case example for this NCHRP effort, and if you would be willing to be contacted about it: Yes No Please answer the following questions: 1. Does your agency have a strategic process for allocating all, or a significant portion of its program resources/revenues among programs of work? Yes No If you answered “No” to Question #1, skip directly to Question #12 2. What programs/categories are addressed by your agency’s resource allocation strategy (check all that apply)? Highway Preservation Bridge Preservation/Rehabilitation Highway Expansion Bridge Expansion Highway Safety Highway Operation & Routine Maintenance Ports/Waterways Aviation Transit Capital Transit Operating Bicycle & Pedestrian Others (specify): 3. Over what percentage of your agency’s annual resources does the agency have discretion to allocate among programs (in comparison to resources that are designated for a particular program based on a federal or state statutory or other external requirement). Indicate the percentage of outlays that are made according to an agency resource allocation process. Less than 20% 20%–40% 40%–60% 60%–80% More than 80% 4. What is the dollar value of annual outlays your agency made for transportation programs (all programs combined) in the last fiscal year? Please enter approximate millions of dollars. For all programs combined: ____________________ For all programs included in your agency’s allocation strategy: ____________________

65 Factors Accounting for Share of Resources Allocated by Program Unimportant Somewhat Important Very Important Program needs as determined by analytic methods or models (pavement, bridge, travel demand, etc.) Performance trends or objectives as benchmarked by quantifiable performance measures set by the agency outside of a long-range planning process Investment or performance targets set in a long-range planning process Investment or performance targets set by legislature, secretary, transportation board or other executive body Benefit-cost, return on investment or other Economic Analysis Special studies or plans of program needs Other factors (describe):_______________________ Please list other factors or give additional detail on how the agency makes resource allocation decisions. _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ 6. Which action was most significant in initiating the development of your agency’s resource allocation strategy? Specify one. Internal proposal by staff, which was approved by leadership over time Agency staff or consultant work with public input as part of a long range planning process Agency staff or consultant work with public input outside of a long range planning process Direction from elected or appointed officials/bodies, which was implemented by agency staff Direction from an independent board or commission A process specified by state legislation Other (describe):_________________________________ 7. Were any other efforts important to the development of your agency’s strategy? Check all that apply. Internal proposal by staff, which was approved by leadership over time Agency staff or consultant work with public input as part of a long range planning process Agency staff or consultant work with public input outside of a long range planning process Direction from elected or appointed officials/bodies, which was implemented by agency staff Direction from an independent board or commission Legislative action Other (describe):_________________________________ 8. Why does your agency use the resource allocation strategy that it does? Check all that apply. Ensure objectivity and consistency in funding levels over time Ensure minimum core needs are met for each program Achieve long-term performance targets/goals Ensure transparency in investment decisions Satisfy requirements of state statutes Satisfy executive policy objectives of secretary, governor, board of transportation or other policy entity Other (specify:)____________________________________________________ 5. What factors determine how resources are allocated under your agency’s strategy (for those resources over which the agency has discretion)?

66 9. What factors could help your agency to be more confident in your resource allocation strategy and its associated decisions? Factors Accounting for Share of Resources Allocated by Program Unimportant Somewhat Important Very Important Better performance benchmarking data (more years, more variables, more confidence in accuracy) More case studies or ex-post evaluations of investment outcomes at the program level More agency discretion over program investment levels More input from stakeholders or the public about needs and outcomes Better predictive models for transportation performance impacts (pavement, bridge condition models, travel demand models, etc.) Better predictive models of economic outcomes (benefit-cost models, economic impact analysis) Other factors (describe):_______________________ Please list other factors or give additional detail on the factors above. _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ 10. How much support or scrutiny does your allocation strategy get from stakeholders, elected officials and others outside the agency? Policy is respected and broadly supported by stakeholders outside the agency Policy is generally accepted but sometimes questioned/scrutinized Policy is controversial but has sufficient support not to be changed Policy is widely seen as inadequate and will likely be changed soon Other (specify:)_______________________________________________ 11. What factors contribute to the level of support/acceptance of your resource allocation strategy? Factors Relating to Resource Allocation Strategy Unimportant Somewhat Important Very Important Data and models demonstrating how the policy meets core needs Consistency/transparency of how allocation decisions are made Involvement of stakeholders in initial development of the policy Ability to demonstrate the outcomes of allocation decisions Other factors (describe):_______________________ Please list other factors or give additional detail on the factors above (e.g., where is there particularly strong support or opposition to the strategy?). _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ If you answered “Yes” to Question #1, skip directly to Question #14 12. What factors do you believe prevent your agency from having a more formal resource allocation strategy? Very small percentage of resources over which agency has discretion (due to federal and state requirements dictating how funds are spent) Limited staff or technical resources to consistently implement a resource allocation strategy Unpredictable funding cycles, needs and resource levels make consistent policy impractical Political environment does not allow state discretion in resource allocation, as elected officials and other policy bodies specify all resource decisions Other (specify):_____________________________________________

67 13. What factors could make it easier for your agency to allocate resources among programs? Factors Accounting for Share of Resources Allocated by Program Unimportant Somewhat Important Very Important Better performance benchmarking data (more years, more variables, more confidence in accuracy) More case studies or ex-post evaluations of investment outcomes at the program level More agency discretion over program investment levels More input from stakeholders or the public about needs and outcomes Better predictive models for transportation performance impacts (pavement, bridge condition models, travel demand models, etc.) Better predictive models of economic outcomes (benefit-cost models, economic impact analysis) Other factors (describe)_______________________ 14. How long have you been with your agency? ______________years 15. In this time, has your agency experienced an increase or decrease in the amount of discretion it has over resource allocation among programs? Agency has more discretion over resource allocation Agency has about the same level of discretion over resource allocation Agency has less discretion over resource allocation 16. For your agency, what issues do you believe account for the change in discretion? Factor Unimportant Somewhat Important Very Important Authority (or constraint) due to state laws or programs Authority (or constraint) from governors, secretaries, transportation boards or other executives Need to meet requirements associated with federal transportation law Need to justify utilization of scarce funds Need to respond to instability in funding levels or program needs Enhanced agency abilities (or continued inability) to predict, benchmark or report the outcomes of resource allocation decisions Other (specify):___________________________ Details on factors affecting changing discretion at your agency. _________________________________________________________________________ _________________________________________________________________________ _________________________________________________________________________ 17. Do you have a policy document or example guidance that describes your resource allocation strategy that you could share with the research team? (Yes/No) If you answered yes, please provide a link to the document below, or provide contact information for who should be contacted for more information. Alternatively, you can upload files here, or e-mail directly to kschroeck@edrgroup.com. 18. (Optional) Please provide any additional comments you have regarding your agency’s strategy for making cross- programmatic funding allocations: ______________________________________________________________