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61 Appendix A Case example Screening Criteria and discussion Guide A.1âCASe SeleCtion The case examples are selected to represent different contexts and types of resource allocation processes. The cases are intended to include a diversity of planning environments and contexts of resource allocation decisions. The following general profiles served as criteria for selecting case examples: 1. Include at least one agency that has significant top-down discretion to determine resource allocation strategies based on performance targets, planning objectives and anticipated outcomes. 2. Include at least one agency that has acquired greater discretion over its resource allocation process over time; exploring the factors that led to the level of agency discretion and how the agency has used this discretion to achieve different outcomes. 3. Inasmuch as possible, include a diversity of agencies with respect to size, geographic coverage, urban-rural dynamics, modal and program complexity. Case examples were identified that illustrate the different functional roles of modal systems and con- nections in the larger transportation system (such as inter-modal access, workforce commuting, regional connectivity freight accessibility and others). A.2âinterview diSCuSSion Guide The following questions were used as a general discussion guide for the case example interviews. Some modifications were made for each specific state agency, but all topics were covered during the course of the conversation. Agency Resource Allocation Generally How does the agency approach the allocation of resources among different programs of work? How are resource allocation decisions managed in the agency and what other entities are involved in the process? Why do you approach resource allocation in this way? ⢠How did the process come about? What are the key factors driving how resource allocation decisions in your agency are made at the program level? Who is involved in these decisions (from inside or outside of the DOT)? ⢠Role of MPOs, regional offices, various divisions Are there programs or funding streams that are allocated based on policies, rules or decisions made outside of your agency? To what degree do certain programs, for which funding is dictated from outside, limit the discretion your agency has over how to allocate resources among programs? What are the important tools, models, methods, and data that inform resource allocation decisions in your agency? How are resource allocation decisions between programs related to your long range planning and proj- ect programming processes? Key Topics for the Synthesis What role do performance measures or performance targets play in the way your agency allocates resources among programs?
62 Can you discuss how the strategy considers funding across modes? (Strengths/weaknesses) Please comment on considerations of urban and rural balance, geographic or other transportation areas/ markets/strata that are considered in the resource allocation strategy. How does the agency manage trade-offs in the allocation process? ⢠Is public and stakeholder input important? Are there any particular technologies, data, models or other resources that you believe could signifi- cantly improve your resource allocation decisions? In what ways are your agencyâs resource allocation decisions scrutinized, and by whom? How does your agency handle this scrutiny? What factors have helped your agency to address scrutiny or questions about your allocation decisions (describe)? Are there any ways you believe your agency could better address scrutiny or questions about resource allocation decisions (describe)? Do you feel that your agency had sufficient discretion over its capital budgets to set and pursue per- formance targets consistent with FAST Act (or by contrast do you feel that your agency is unable to allocate funds sufficiently to follow performance targets)? Are there any other aspects of the way your agency allocates resources among programs that you believe may be of interest to other states?
