Federal Funding Flexibility: Use of Federal-Aid Highway Fund Transfers by State DOTs (2022)

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B-1   State Survey Questionnaire A P P E N D I X B National Survey Federal Funding Flexibility: Use of Federal-Aid Highway Fund Transfers by State DOTs This is a national survey conducted for the National Cooperative Highway Research Program Project 19-17, “Federal Funding Flexibility: Use of Federal-Aid Highway Fund Transfers by State DOTs.” The objective of this research is to examine how states have used the funding flexibility provided in Moving Ahead for Progress in the 21st Century (MAP-21) to advance federal and state priorities while efficiently and effectively utilizing available resources. This national survey is distributed to all 50 state departments of transportations (DOTs), as well as selected metropolitan planning organizations (MPOs). Based on the survey responses, the research team will identify financial management and policy priorities for states and MPOs with regard to authorized transferability of funding between federal highway funding categories and to other modes. We encourage that you provide your written response to the survey by December 11, 2020. Your response to the survey is critical to the success of this research. Please return your response via email. If you have any questions about the survey or the research in general, please contact Viktor Zhong by email or by phone. An email reminder will be sent two weeks after this initial request. Four weeks after the initial request, the research team will make follow-up phone calls to the agencies whose responses have not been received or require additional information. Thank you for supporting this important research for the transportation industry. Your timely response will be much appreciated.

B-2 Federal Funding Flexibility: Use of Federal-Aid Highway Fund Transfers by State DOTs National Survey Federal Funding Flexibility: Use of Federal-Aid Highway Fund Transfers by State DOTs 1. Has your state used the transfer authority made available under MAP-21 and the FAST Act to transfer federal-aid highway fund between federal highway funding categories or to other modes? If so, to what extent does your state use the transfer authority? Click or tap here to enter text. 2. How does your organization determine how much to transfer, and from which funding category (CMAQ, STP, NHPP, etc.) to which funding category? Please briefly describe the institutional process of decision-making, and identify the key personnel in the following three questions. Click or tap here to enter text. 3. Who in your organization (CFO, financial manager, planner/programmer, or others) has a full understanding of transferability rules and regulations? Click or tap here to enter text. 4. Who in your organization (CFO, financial manager, planner/programmer, or others) determines how transfers are carried out, e.g., how much to transfer and from/to which funding categories (CMAQ, STP, NHPP, etc.)? Click or tap here to enter text. 5. Who in your organization (CFO, financial manager, planner/programmer, or others) approves the transfer? Click or tap here to enter text. 6. What are the trade-offs, if any, of having the ability to transfer funds between programs and/or modes? Click or tap here to enter text. 7. Do you find transfers useful in the following situations: • Fully obligating the federal program? Click or tap here to enter text. • Facilitating meeting programmatic goals? Click or tap here to enter text. • Facilitating collaboration with local or regional entities as it relates to set-asides and their priorities? Click or tap here to enter text. • Preparing for rescission impacts? Click or tap here to enter text. • Other situations—please explain. Click or tap here to enter text.

State Survey Questionnaire B-3 8. Do you think the requirements to meet specific performance targets will impact how your agency transfers funds? Click or tap here to enter text. 9. Has your state transferred federal-aid highway funds to a local or regional entity? If so, what is the policy goal for that? Was the goal achieved effectively through the transfer? Click or tap here to enter text. 10. Please answer the following questions about your experience with using transfer provisions between FHWA funding categories: • Do you transfer funds between FHWA funding categories frequently or only in rare circumstances? Click or tap here to enter text. • If such transfer is rare or it has never occurred, why? Click or tap here to enter text. • From what programs has fund been transferred? Click or tap here to enter text. • To what programs has fund been transferred? Click or tap here to enter text. • Are there particular projects that benefited? Click or tap here to enter text. • What kind of information/hurdles have you had to comply with in order to get approval? Click or tap here to enter text. 11. Please answer the following questions about your experience with using transfer provisions between FHWA funding categories and other modes: • Do you transfer funds between FHWA funding categories and other modes frequently or only in rare circumstances? Click or tap here to enter text. • If such transfer is rare or it has never occurred, why? Click or tap here to enter text. • From what federal highway funding categories has fund been transferred to other modes? Click or tap here to enter text. • To what modes has fund been transferred? Click or tap here to enter text. • Are there particular projects that benefited? Click or tap here to enter text. • What kind of information/hurdles have you had to comply with in order to get approval? Click or tap here to enter text. 12. Have the existing constraints on funding transferability limited your agency’s ability to utilize federal-aid highway funds effectively and efficiently? If so, please describe the limitation. Click or tap here to enter text. 13. If existing rules of funding transferability are to change in the upcoming reauthorization, what opportunities and/or risks do you perceive? Click or tap here to enter text.