APPENDIX A

Survey Questionnaire

The following e-mail was sent to the survey recipients to introduce the survey questionnaire.

Dear Stormwater Professional,

The National Cooperative Highway Research Program (NCHRP) of the Transportation Research Board (TRB) under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO) and in cooperation with the Federal Highway Administration (FHWA) is preparing a synthesis on Stormwater Retrofit Programs and Practices Through Third-Party Partnerships. The purpose of this survey is to document state departments’ of transportation (DOTs) practices on retrofitting permanent stormwater facilities to existing transportation infrastructure through the use of third-party partnerships. The results of the survey will be incorporated into a synthesis of highway agency practice, with the intent of helping DOTs evaluate and improve their processes for these stormwater retrofit projects.

Typically, staff within a DOT’s water quality, hydraulics, or environmental programs office would be the appropriate person to fill out this survey since it asks detailed questions about permanent stormwater programs and permitting. If you are not the appropriate person to complete this survey, please forward it to the correct person at your DOT.

Consultation among DOT staff is encouraged, but we can only allow one respondent per DOT. Please have supporting documentation ready as the survey will allow multiple uploads up to 100 MB each. The supporting documentation of interest are any written policies your DOT uses regarding permanent stormwater facilities and policies governing third-party agreement pertaining to those facilities. If your DOT does not have any permanent water quality facilities, please complete the first four questions and submit your survey response.

Please complete this survey by February 29, 2024. We estimate that it should take no more than 20 minutes to complete. It is designed so that you can exit and return to the survey. If you have any questions or issues with the survey, please contact our principal investigator, Stephen Harelson.

If you are unable to complete the survey at one sitting, you can return to the survey at any time by reentering through the provided survey link as long as you access it through the same computer.

Reentering the survey will return you to the last completed question. Survey navigation is conducted by selecting the “prev” (previous) or “next” button at the bottom of each page. Do not use your browser’s navigation controls. Until you submit the survey, you may revise your answers at any time. There is no time limit once you begin the survey. However, if you begin the survey and do not complete it, your partial response will be recorded on February 29, 2024. Thank you for sharing your time and expertise with the DOT community.

Stormwater Retrofit Programs and Practices Through Third-Party Partnerships NCHRP Synthesis Topic 55-07 Survey Questionnaire

This questionnaire seeks to document state Department of Transportation (DOT) practices regarding stormwater retrofit partnerships with third parties. For the purposes of this questionnaire, please consider the following definitions.

Permanent Stormwater Facilities are those that are designed and constructed to reduce, minimize, and treat stormwater runoff after completion of a transportation facility throughout the life of that facility. These facilities differ from construction-phase stormwater facilities or practices that are removed or inactivated upon construction completion and/or site stabilization. These facilities are also sometimes referred to as Post-Construction Stormwater Facilities, Permanent Water Quality Facilities, Water Quality Treatment Facilities, and similar names.

Permanent Stormwater Facility Retrofits are permanent stormwater facilities that are constructed to reduce, minimize, and treat flows from existing infrastructure. The retrofits differ from permanent stormwater facilities that are constructed as part of new development of infrastructure. However new development permanent stormwater facilities can include facilities that provide treatment for flows from new development as well as retrofit treatment for existing, legacy infrastructure.

Proprietary Stormwater Treatment Devices are emerging stormwater technologies that are used to provide stormwater reduction, minimization and treatment through innovative techniques. A list of examples of such technologies can currently be found at https://ecology.wa.gov/Regulations-Permits/Guidance-technical-assistance/Stormwater-permittee-guidance-resources/Emerging-stormwater-treatment-technologies

Offsite Flow Permanent Stormwater Facilities are permanent Stormwater Facilities constructed and/or funded by DOTs that treat flows that emanate from offsite sources. In some instances, the offsite flows are treated in isolation, and the DOT can receive credit to mitigate untreated DOT discharges. In other instances, both the offsite flows and onsite DOT flows are treated in a shared facility. In the shared facility, the offsite sources can be either upstream or downstream of the DOT sources and the shared facility can be constructed in DOT right-of-way, or outside of DOT right-of-way. These shared facilities are also sometimes referred to as regional or watershed-based facilities.

Local Agency means a municipality, county, special district, or other governmental or quasi-governmental agency that is a subdivision within a state.

Other State Agency means another agency within a state that is not a DOT.

Acronyms Used in the Survey (in order of their appearance in the survey)

Contact Information

1. How can we best reach you? *
   1. Name: ___________________________________________________ Title: ______
   2. Agency: ___________________________________________________
   3. Street Address: ___________________________________________ City: _______
   4. State: ___________________________________________________
   5. Zip Code: ___________________________________________________
   6. Telephone: ___________________________________________________
   7. E-mail: ______________________________________________________
2. Which DOT do you represent? *
   1. ( ) Alabama
   2. ( ) Alaska
   3. ( ) Arizona
   4. ( ) Arkansas
   5. ( ) California
   6. ( ) Colorado
   7. ( ) Connecticut
   8. ( ) Delaware
   9. ( ) Florida
   10. ( ) Georgia
   11. ( ) Hawaii
   12. ( ) Idaho
   13. ( ) Illinois

1. ( ) Indiana
2. ( ) Iowa
3. ( ) Kansas
4. ( ) Kentucky
5. ( ) Louisiana
6. ( ) Maine
7. ( ) Maryland
8. ( ) Massachusetts
9. ( ) Michigan
10. ( ) Minnesota
11. ( ) Mississippi
12. ( ) Missouri
13. ( ) Montana
14. ( ) Nebraska
15. ( ) Nevada
16. ( ) New Hampshire
17. ( ) New Jersey
18. ( ) New Mexico
19. ( ) New York
20. ( ) North Carolina
21. ( ) North Dakota
22. ( ) Ohio
23. ( ) Oklahoma
24. ( ) Oregon
25. ( ) Pennsylvania
26. ( ) Puerto Rico
27. ( ) Rhode Island
28. ( ) South Carolina
29. ( ) South Dakota
30. ( ) Tennessee
31. ( ) Texas
32. ( ) Utah
33. ( ) Vermont
34. ( ) Virginia
35. ( ) Washington
36. ( ) Washington, DC
37. ( ) West Virginia
38. ( ) Wisconsin
39. ( ) Wyoming

3. Does your DOT own or manage permanent stormwater facilities intended to reduce, minimize and treat runoff after completion of a transportation facility throughout the life of that facility?*
   1. ( ) Yes
   2. ( ) No

3A. If you answered No to Question 3, Why not? (Select all that apply.)*

[ ] They don’t exist.

[ ] They are owned/managed by a local agency

[ ] They are owned/managed by another state agency

[ ] Other (Please Specify):______________________________________*

3B. When your DOT works within the boundaries of other MS4 permittees (municipalities, counties, etc.), which MS4/TS4 permit requirements are controlling for improvements constructed by your DOT?*

( ) A. State DOT MS4/TS4 permit requirements

( ) B. Underlying municipality MS4 permit requirements

( ) C. More stringent requirements, regardless of whether it is the DOT MS4/TS4 permit requirements or underlying municipality MS4 requirements which are more stringent

( ) D. Varies, dependent upon situation

3C. This survey is focused on DOTs that own or manage permanent stormwater facilities. Since your DOT does not have any such facilities, your survey is complete. Thank you for your attention. Answer submit to exit.*

( ) Submit

4. Which agencies regulate your transportation facilities and require permanent stormwater facilities? (Select all that apply.)*
   1. [ ] A. State regulatory agency
   2. [ ] B. Federal EPA
   3. [ ] C. US Army Corps of Engineers
   4. [ ] D. US Fish and Wildlife Service
   5. [ ] E. Other Federal (Please specify):______________________________________*
   6. [ ] F. The DOT has no permanent stormwater facilities.
5. What type of separate storm sewer system (MS4 or TS4) permit does your DOT hold?*
   1. ( ) A. None
   2. ( ) B. Statewide Phase 1 MS4
   3. ( ) C. Phase 1 urbanized areas only MS4 (Urban Areas with population of at least 50,000)
   4. ( ) D. Phase 2 MS4
   5. ( ) E. Statewide Phase 1 TS4 Permit
   6. ( ) F. Phase 1 urbanized areas only TS4 (Urban Areas with population of at least 50,000)
   7. ( ) G. Phase 2 TS4
   8. ( ) H. Other (Please Specify):______________________________________*
6. Does your DOT have a stormwater retrofit program where permanent stormwater facilities are constructed to reduce, minimize, or treat runoff from existing facilities?*
   1. ( ) A. Yes
   2. ( ) B. No
   3. ( ) C. The DOT has had them in the past, but they have been eliminated.
   4. ( ) D. The DOT has such a program, but it exists in name only and is not funded or staffed.

6A. If you responded yes to question 6, what regulation motivates the establishment of this permanent stormwater facility retrofit program? (Select all that apply.)*

[ ] A. It’s included in the language of the DOT’s MS4/TS4 or other permit.

[ ] B. It’s included in a state statute or regulation.

[ ] C. It’s an operational decision by the DOT.

[ ] D. Add another option (Please Specify):______________________________________*

7. What triggers the construction of the permanent stormwater facility retrofits? (Select all that apply)*
   1. [ ] A. Any new construction, regardless of project size
   2. [ ] B. Any new construction with added capacity
   3. [ ] C. Any new construction with substantial increased impervious area or substantial disturbed area
   4. [ ] D. A plan or program identifying prioritized locations, unrelated to new construction
   5. [ ] E. Treatment to address TMDL findings
   6. [ ] F. The decision documents of NEPA studies
   7. [ ] G. Other (Please Specify):______________________________________*
8. What types of permanent stormwater facility retrofits does your DOT utilize? (Select all that apply.)*
   1. [ ] A. Retention facilities designed to capture stormwater runoff and only release it via evaporation or infiltration
   2. [ ] B. Flow-through facilities designed to capture stormwater runoff and filter it through soil and vegetation
   3. [ ] C. Detention facilities designed to capture stormwater runoff and release it downstream at a slow rate, treating sediment and other pollutants through settlement or biological action occurring in the detained volume of stormwater
   4. [ ] D. Proprietary stormwater treatment devices that filter, hydraulically separate, or otherwise remove pollutants from stormwater
   5. [ ] E. Permeable pavements or pavement disconnection
   6. [ ] F. Constructed wetlands
   7. [ ] G. Land conservation
   8. [ ] H. Stream restoration
   9. [ ] I. Wetland mitigation
   10. [ ] J. Trash racks in catch basins/inlets
   11. [ ] K. Other (please specify):______________________________________*
9. How is the construction of permanent stormwater facility retrofits funded? (Select all that apply.)*
   1. [ ] A. Included in the construction budget of larger transportation projects and not separately tracked.
   2. [ ] B. Included in the construction budget of larger transportation projects, with a budget line item or other accounting measure that shows the funds are explicitly intended for permanent stormwater facilities.

1. [ ] C. A separate fund within the DOT budget that is deployed to construct permanent stormwater facilities within larger infrastructure projects.
2. [ ] D. A separate fund within the DOT budget that is deployed to construct stand-alone permanent stormwater facility projects.
3. [ ] E. Other (please specify):______________________________________*

10. Does your DOT have any written guidance on the establishment of third-party agreements for permanent stormwater facility retrofits?*
    1. ( ) Yes
    2. ( ) No

10A. If you answered yes to question 10, Would you prefer to upload the files or provide a web link to access them?*

( ) Upload the files at a link on the next page

( ) Type in a web link address in this box: ____________________________________________*

10B. Upload the documents here:
(5 Files Max. 10 MB per file)

__________1
__________2
__________3
__________4
__________5

11. Does your DOT have any written guidance regarding the performance, inspection, operation, and maintenance of permanent stormwater facilities?*
    1. ( ) A. Only for DOT-owned facilities.
    2. ( ) B. Both for DOT-owned and facilities owned and/or operated through third-party agreements.
    3. ( ) C. Only for facilities owned and/or operated through third-party agreements.
    4. ( ) D. The DOT has no formal written guidance.

11A. If you answered A, B, or C to question 11, Would you prefer to upload the files or provide a web link to access them?*

( ) Upload the files at a link on the next page.

( ) Type a web link address in this box-:____________________________________________*

11B. Upload the documents here:
(5 Files Max. 10 MB per file)*

__________1

__________2
__________3
__________4
__________5

12. When constructing or funding permanent stormwater facility retrofits, does your DOT design the facility to treat runoff from non-DOT sources?*
    1. ( ) A. Never
    2. ( ) B. Rarely
    3. ( ) C. Occasionally
    4. ( ) D. Routinely
    5. ( ) E. Always

12A. If your response to question 12 is anything other than A, Never, which of the following best describes the reason for the construction and funding of permanent stormwater facility retrofits to treat non-DOT sources?*

( ) A. Treating offsite flows to eliminate the need to treat other onsite flows that are less feasible to treat.

( ) B. Mandated by a regulator or local agency to treat offsite flows as part of a permit condition or mitigation strategy to address impacts of transportation project.

( ) C. Creation of water quality banking system.

( ) D. Participation in a regional watershed water quality cooperative with other agencies or municipalities.

( ) E. Payment of in lieu fees.

( ) F. Other (Please Specify):______________________________________*

12B. If your response to question 12 is A, Never, has your DOT ever considered or pursued constructing or funding permanent stormwater facility retrofits to treat runoff from non-DOT sources, but the project was never completed?*

( ) Yes

( ) No

13. When your DOT works within the boundaries of other MS4 permittees (municipalities, counties, etc.), which MS4/TS4 permit requirements are controlling for improvements constructed by your DOT?*
    1. ( ) A. State DOT MS4/TS4 permit requirements
    2. ( ) B. Underlying municipality MS4 permit requirements
    3. ( ) C. More stringent requirements, regardless of whether it is the DOT MS4/TS4 permit requirements or underlying municipality MS4 requirements which are more stringent.
    4. ( ) D. Varies dependent upon situation

14. What approximate percentage of your DOT permanent stormwater facilities have been constructed with third-party partners?*
    1. ( ) A. 0%
    2. ( ) B. 1%–10%
    3. ( ) C. 11%–20%
    4. ( ) D. 21%–30%
    5. ( ) E. 31%–50%
    6. ( ) F. 51%–100%
15. What approximate percentage of your DOT permanent stormwater facilities are operated or maintained with third-party partners?*
    1. ( ) A. 0%
    2. ( ) B. 1%–10%
    3. ( ) C. 11%–20%
    4. ( ) D. 21%–30%
    5. ( ) E. 31%–50%
    6. ( ) F. 51%–100%
16. Are your DOT third-party partners primarily located in … ?*
    1. ( ) A. Urban areas
    2. ( ) B. Uniformly throughout the state
    3. ( ) C. High-priority Watersheds
    4. ( ) D. Randomly distributed
    5. ( ) E. We have no third-party partners
17. What type of third-party partners does your DOT have? (Select all that apply.)*
    1. [ ] A. Municipalities
    2. [ ] B. Counties
    3. [ ] C. Special Districts or other quasi-government agencies
    4. [ ] D. Other state agencies
    5. [ ] E. Federal agencies
    6. [ ] F. Private businesses
    7. [ ] G. Private non-profit organization
    8. [ ] H. Schools or Universities
    9. [ ] I. The DOT has no third-party partners
    10. [ ] J. None of these options apply,
18. What best describes your DOT’s experience on the construction and/or funding of offsite flow permanent stormwater facility retrofits that provide offsite flow treatment (i.e., facilities that treat runoff

18. from offsite, non-DOT sources). These offsite flow permanent stormwater facilities could either treat solely the offsite flows or be shared facilities where both DOT and offsite flows are treated in the same facility. In this survey, we are primarily interested in water quality treatment facilities, not flow reduction facilities.*
    1. ( ) A. Considerable experience constructing and/or funding offsite flow facilities in cooperation with third-party agencies.
    2. ( ) B. Limited experience constructing and/or funding offsite flow facilities in cooperation with third-party agencies.
    3. ( ) C. No experience.
19. Has your DOT used any of the following approaches to participate in offsite flow permanent stormwater facilities RETROFIT projects, not new development? In this survey, we are primarily interested in water quality treatment facilities, not flow reduction facilities. (Select all that apply.)*
    1. [ ] A. The DOT distributes funds to a local agency to pay for the construction and operation of the facility by that local agency, and eliminates any active participation by the DOT.
    2. [ ] B. The DOT partners with a local agency to construct and operate regional facilities with shared responsibilities defined in a third-party agreement.
    3. [ ] C. The DOT pays their MS4/TS4 permitting agency or other statewide or regional authority a cash in lieu payment that is used to construct offsite permanent stormwater facilities that might or might not directly treat DOT runoff. The cash in lieu payments are used to satisfy the DOT’s permanent stormwater quality permit requirements, and the funds are pooled with other contributors and deployed by the lead agency to construct the facilities that are most effective on a regional basis.
    4. [ ] D. The DOT constructs and/or funds offsite permanent stormwater facilities that accept offsite flows, and uses the treatment benefit to replace onsite treatment requirements in other parts of their transportation system.
    5. [ ] E. None of these options apply.
20. Has your DOT used any of the following approaches to participate in offsite flow permanent stormwater facilities FOR NEW DEVELOPMENT, not retrofits? In this survey, we are primarily interested in water quality treatment facilities, not flow reduction facilities. (Select all that apply.)*
    1. [ ] A. The DOT distributes funds to a local agency to pay for the construction and operation of the facility by that local agency and eliminates any active participation by the DOT.
    2. [ ] B. The DOT partners with a local agency to construct and operate regional facilities with shared responsibilities defined in a third-party agreement.
    3. [ ] C. The DOT pays their MS4/TS4 permitting agency or other statewide or regional authority a cash in lieu payment that is used to construct offsite permanent stormwater facilities that might or might not directly treat DOT runoff. The cash in lieu payments are used to satisfy the DOT’s permanent stormwater quality permit requirements, and the funds are pooled with other contributors and deployed by the lead agency to construct the facilities that are most effective on a regional basis.

1. [ ] D. The DOT constructs and/or funds offsite permanent stormwater facilities that accept offsite flows and uses the treatment benefit to replace onsite treatment requirements in other parts of their transportation system.
2. [ ] E. None of these options apply
21. Regardless of your answer to questions 19 and 20, check any of the approaches that your DOT has considered to construct offsite flow permanent stormwater facilities. In this survey, we are primarily interested in water quality treatment facilities, not flow reduction facilities. (Select all that apply.)*
    1. [ ] A. The DOT distributes funds to a local agency to pay for the construction and operation of the facility by that local agency and eliminates any active participation by the DOT.
    2. [ ] B. The DOT partners with a local agency to construct and operate regional facilities with shared responsibilities defined in a third-party agreement.
    3. [ ] C. The DOT pays their MS4/TS4 permitting agency or other statewide or regional authority a cash in lieu payment that is used to construct offsite permanent stormwater facilities that might or might not directly treat DOT runoff. The cash in lieu payments are used to satisfy the DOT’s permanent stormwater quality permit requirements, and the funds are pooled with other contributors and deployed by the lead agency to construct the facilities that are most effective on a regional basis.
    4. [ ] D. The DOT constructs and/or funds offsite permanent stormwater facilities that accept offsite flows, and uses the treatment benefit to replace onsite treatment requirements in other parts of their transportation system.
    5. [ ] E. None of these options apply.
22. In partnering with another agency on offsite flow permanent stormwater facilities, what are the most important ingredients for success that your DOT has experienced? (Select all that apply.)*
    1. [ ] A. Clearly defined responsibilities in the third-party agreement
    2. [ ] B. Partnering with an agency that is well equipped to meet their commitments
    3. [ ] C. A symbiotic relationship between the partners (i.e., each brings something the other needs and does not have)
    4. [ ] D. Contingency planning for when things don’t go as planned
    5. [ ] E. Staff and executive buy-in on both sides of the partnership
    6. [ ] F. A formal mechanism to make the agreement permanent or ensure it outlives the current staff
    7. [ ] G. Other (Please Specify):__________________________________________________*
23. In partnering with a third party on offsite flow permanent stormwater facilities, what are the obstacles to a successful partnership that your DOT has experienced? (Select all that apply.)*
    1. [ ] A. Lack of funding from the third-party partner
    2. [ ] B. Different vision as to what constitutes good implementation of the technology between the DOT and the third-party partner
    3. [ ] C. Varying standards and permit requirements between the DOT and the third-party partner

1. [ ] D. Difficulty in identifying who is the lead partner—the DOT or the third-party partner
2. [ ] E. Agreements that are forgotten with staff turnover
3. [ ] F. None of these options apply
24. How does your DOT ensure that third-party agreements for permanent stormwater improvements are memorialized so that commitments made for construction, operations, maintenance, and stormwater permit compliance continue to be met in the decades ahead? (Select all that apply.)*
    1. [ ] A. Rely on staff and institutional memory
    2. [ ] B. Record document as encumbrance on property at county clerk/deed registry/etc.
    3. [ ] C. Use of GIS or other DOT-based database to track
    4. [ ] D. Memorandum of Agreement
    5. [ ] E. Memorandum of Understanding
    6. [ ] F. E-mail or Letter in File
    7. [ ] G. The DOT is still seeking a suitable method
    8. [ ] H. Other (Please Specify):______________________________________*
25. This synthesis will also include case examples discussing current state DOT–third-party permanent stormwater retrofit partnerships. During the development of the case examples, additional follow-up questions will be required to develop a better understanding of current approaches to these state DOT–third-party partnerships. DOTs participating in the case examples will be provided with an opportunity to review the case example write-up. The estimated time commitment for your agency for the case example is 1 to 1.5 hours for the follow-up interview and 1 hour to review the write-up. Would your agency be interested in participating in a case example?*
    1. ( ) A. Yes, I am willing to participate in a follow-up interview and write-up review. (Survey Complete)
    2. ( ) B. Yes, I am willing to participate in a follow-up interview and write-up review, and I also recommend inviting my co-worker to the follow-up interview, as they have a greater understanding of this topic. (Continue to Question 30.)
    3. ( ) C. No, I am not willing to participate in a follow-up interview. (Survey Complete)

25A. Co-worker Contact Information*

Name: ___________________________________________________ Title: ______

E-mail Address:______________________________________________

Phone Number:______________________________________________

26. You have completed the survey. To submit your answers, click “Submit” below and your responses will be finalized. Thank you for participating.*
    Thank You!