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57 APPENDIX B Focus State Interview Guides Four types of structured interviews were conducted with the ten focus states as the more in-depth portion of this research. The first was with the state department of transportation (DOT) LPA personnel who participated in the completion of the writ- ten survey questionnaire. The second was with personnel from resource agencies that participate in the administration and delivery of small-scale federal-aid projects. The third was with personnel from various DOT program offices, such as Design and Construction, at the central or district office, as applicable. The fourth was with personnel from FHWA division offices. The structured interview questions are presented in the following sections to this appendix. FOCUS STATE DOT LPA STRUCTURED INTERVIEWS NCHRP 41-02: State DOT LPA Coordinators CONDITIONS: The following questions are intended to guide the interview discussion toward pertinent topics. They have been selected due to their aptitude to prompt more detailed discussion and to keep the written survey questionnaire to a man- ageable size. It should be noted that not all questions applied in each situation and that this document serves as a clearinghouse of questions meant to guide the interviews. The following questions pertain to streamlining practices related to the LPA program: Are there interpretations of federal policy that present challenges to streamlining? Y/N1. Which regulations specifically present a challenge to the efficiency of LPA program (e.g., Davis-Bacon wage rates, ⢠Buy America, Uniform Act, NEPA, etc.)? What justifications are there for policy changes or agency enforcement of streamlining practices?⢠What changes to the LPA process would improve the efficiency of small-scale projects? 2. How do the DOT and FHWA work together to get small-scale projects federally funded? 3. Are there communication or organizational efficiencies created for this purpose?⢠How do you work with MPOs to encourage successful application of federal funds on specific federal-aid programs ⢠(HSIP, SRTS, RTP, TE, etc.)? What measures are taken in your state to ensure that local agencies, state DOT, and FHWA employees are interpreting 4. regulations (as they affect small-scale project delivery) in a similar manner? How has your state explored or implemented âoff-systemâ streamlining measuresâhave they been used?5. If so, what has been the outcome? ⢠If so, in which federal-aid programs specifically (RTP, TE activities, SRTS, etc.)? ⢠When an inconsistency is found among flexibility provisions, what recourse is available to the LPA or state DOT to 6. resolve the problem? (transferability?) Is your DOT aware that some flexibilities may require state legislation to be encouraged? 7. What streamlining (efficiency) strategies has your state implemented?8. Which have been successful? Which have not?â¢
58 Do you have relevant examples of cutting costs by streamlining and standardizing certain procedures to make ⢠project delivery simpler? Is the Common Rule used for off-ROW, RTP, and TE projects? (Y/N/donât know) 9. If you answered âyesâ in Question 8 above, does its use have a streamlining effect in project delivery? ⢠(Y/N/donât know) [For definition of Common Rule, see last portion of this document] The following questions pertain to the oversight of the LPA program: How would you rate the consistency in the administration of federal-aid programs within your state, as they relate to 1. LPA? What are some characteristics of effective small-scale project delivery? Are they rare? If so, why?2. What measures are used in your state to reduce small-scale project inefficiencies?⢠What are some criteria used by your DOT staff in deciding which small-scale projects to dedicate more time/effort to 3. for âhands-onâ oversight? The following questions pertain to the structure of the LPA program: What do you see as the roles of the federal, state, and local agencies in the LPA process?1. Does your state DOT delegate responsibilities (all or in part) to local agency during any project delivery phase in an 2. attempt to streamline the process? Y/N (check all that apply) Planning  Right-of-Way  Environmental   Design  Construction/Inspections   Do local agencies exist in your state that refuse to use federal funding? If so, why? Y/N3. How have you included nonprofit/for-profit organizations in the process?4. Further questions relating to Certification, depending on the stateâs answer to #19 in the Survey: If your state has a Certification Process for LPAs, what exactly do they need to provide to acquire certification?5. If your DOT has a LPA Certification Process, what does being certified mean in terms of delegating level of authority 6. and streamlining projects delivery? Can LPA certification be revoked? Y/N7. Does a process exist for recertification once revoked? Y/N What does process involve exactly?8. Does your state include a process for periodic recertification (without revocation)? 9.
59 The following questions pertain to development or design issues that may impact small-scale projects: What challenges has your state found in trying to implement environmental document âbundlingâ? How have you 1. overcome these challenges, either organizationally, legislatively, or otherwise? The following questions pertain to contract issues that may impact small-scale projects: Has your DOT used the Common Rule for procurement? Y/N/donât know1. What elements of state DOT procurement help streamline the process?⢠Definition of Common Rule {from OMB Circular A-102} Common Rule: Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Govern- ments. âCommonâ Federal Government-wide Regulation Addressed to State and Local Government Grantees. The Common Rule Preamble states the following Federalism Grant Administration Implications: States should be given the maximum administrative discretion possible with respect to national programs they ⢠administer States will expend and account for federal grant funds according to their own laws and procedures⢠Local governments will administer federal âpass throughâ funds sub-granted from a state according to state laws ⢠and procedures. FOCUS STATE RESOURCE AGENCY STRUCTURED INTERVIEWS NCHRP 41-02: State Recreational Trails Program Coordinator CONDITIONS: The questions presented are to be used in interviews with state Recreational Trails Program coordina- tors (Parks & Recreation Department, Recreation & Conservation, Department of Natural Resources & Conservation, etc.) regarding discussion on the administration of the Recreational Trails Program (RTP) and streamlining efforts identified by each agency. Estimate the typical total length of time in years to deliver (from planning to closeout) a Recreational Trails project 1. administered by a local agency or non-profit group. How have you included nonprofit/for-profit organizations in the process?2. Do you require accommodations for nonmotorized transportation (bikes, pedestrians) in the design of RTP projects? 3. Y/N If âYes,â have you found a way to implement these requirements in an efficient manner? How?⢠If there is 4. one obstacle to streamlining delivery of small-scale RTP projects that you could remove, what would it be? List one or two practices that your Agency has found most effective 5. for streamlining delivery of small-scale RTP projects. FOCUS STATE DOT PROGRAM OFFICE STRUCTURED INTERVIEWS NCHRP 41-02: State DOT Design or Construction Staff CONDITIONS: The questions presented are to be used to guide interviews with representatives from DOT Central Offices or District Office Design and Construction Engineers regarding discussion on the design, construction, and close-out phases of small-scale federal-aid projects and streamlining efforts identified by each agency.
60 Do you require accommodations for non-motorized transportation (bikes, pedestrians) in any small-scale LPA design 1. projects? Y/N If âYes,â have you found a way to implement these requirements in an efficient manner? How?⢠What are some innovative approaches your DOT takes to helping LPAs meet Americans with Disabilities Act (ADA) 2. accommodations in applicable small-scale projects? Who at your DOT provides oversight of LPA program by helping to ensure compliance 3. from the outset with federal requirements, such as: Buy America (steel and iron products permanently incorporated into project) Inclusion of FHWA 1273 in LPA contracts Provisions in bid documents for change orders & claims Provisions to prohibit use of convict-produced materials/labor DOT Approval of Public Interest Finding for proprietary products DOT Approval of Cost Effectiveness Finding for force account labor (use of LPA forces) Is a consistent process implemented by your DOT to ensure timely final inspection of LPA projects? Y/N: 4. Who at your DOT does the final inspections? (You, District staff, Consultant staff)?⢠How do you decide which small-scale projects warrant a detailed final inspection and which LPA projects only need ⢠a âwindshieldâ inspection? Are independent assurance (IA) reviews conducted on small-scale projects in your state? Y/N5. If so, how are they structured? How do you decide which LPAs or projects to target? ⢠How often are they conducted?⢠How do you feel they contribute to streamlining the LPA program as a whole?⢠Does a process exist at your state DOT for validation of payment quantities on small-scale projects? Y/N6. How often are pay quantities documented for small-scale projects?7. Not documented   Daily  Weekly  Monthly  Quarterly  Annually  At close-out only  Depends on size/complexity/budget of project  In your estimation, does this process contribute to any streamlining of LPA project completion on the back-end?⢠What types of small-scale projects does the DOT deem that project-level quality assurance is necessary?8. FOCUS STATE FHWA DIVISION OFFICE STRUCTURED INTERVIEWS NCHRP 41-02: FHWA Division Office LPA Contact CONDITIONS: The questions presented are to be used to guide interviews with FHWA Division Office staff responsible through collateral duties for the LPA program.
61 How many people in your Division Office are routinely involved in the LPA program?1. How do you decide which parts of the LPA program to apply oversight on? 2. Is your decision criteria by project phase, project complexity, project cost, project type (specific such as HSIP/a. SRTS/RTP/TE, etc., or routine federal aid) or a combination of these factors? What specific actions has your Division Office taken to assist the state in administering small-scale projects more 3. efficiently and cost effectively? How do you work with DOT or MPOs to encourage successful application of federal funds on specific federal-aid 4. programs (HSIP, SRTS, RTP, TE, etc.)? Has your Division Office allowed grouping small-scale projects under a single environmental document to satisfy the 5. NEPA process? Through a joint project agreement (JPA) per each specific project?a. How does your Division ensure that regulations are being interpreted correctly?6. How does your Division ensure requirements are implemented only where necessary, rather than blanket (across-the-board)?
