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Page 167
Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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Suggested Citation:"Chapter 6. Expanded FCS Implementation." National Academies of Sciences, Engineering, and Medicine. 2018. Developing an Expanded Functional Classification System for More Flexibility in Geometric Design. Washington, DC: The National Academies Press. doi: 10.17226/25178.
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167 EXPANDED FCS IMPLEMENTATION This section discusses the potential impacts of the Expanded FCS on other areas where the existing FCS is used. The literature review and practitioner survey has identified and documented the ubiquitous applications of functional classification within and outside of the geometric design process. Functional classification is used for various applications, ranging from Federal-aid funding and project prioritization, to serving as the basis for safety performance function categorization within the Highway Safety Manual. Functional classification is a major factor in shaping many local land use and access management policies. These applications are reviewed here to determine where the impacts of functional classification warrant further scrutiny. EXPANDED FCS IMPLEMENTATION IMPACTS Beyond providing direction for design element selection, the FCS is used for various applications from Federal-aid funding to project prioritization and even serves as a basis for some construction and maintenance activities. These uses were identified in the survey sent to all state highway agencies. Figure 53 shows those uses where more than 50 percent of respondents stated that they use functional classifications in decision making. These applications have been reviewed to determine where functional classification consideration may be appropriate as it relates directly to the regional network functionality of the roadway, and where it may only serve as a generalized surrogate for context. The Expanded FCS largely maintains the same roadway types as the existing classification while expanding the context categories to address information to be considered in geometric design and other phases of the planning and design process.

168 Figure 53 Functional classification use by project development activity A series of meetings and conference calls with stakeholders from state DOTs and FHWA were undertaken to identify concerns and issues that the Expanded FCS implementation may pose. This section presents the issues identified and provides considerations for possible mitigation. However, the recommendations here should be viewed as preliminary and additional work is recommended to explore fully how these could be resolved. The ultimate goal of the NCHRP 15-52 is to develop a classification system that will be ultimately accepted and adopted in the AASHTO Green Book and other documents. The various issues identified are a result of meetings with FHWA and the WAG. These groups provided a wide range of users, from federal and state to local agencies and thus could cover the spectrum of possible concerns. It should be noted that while these issues were identified, all members expressed interest in the proposed classification approach and indicated that the system will be relatively easily incorporated into the existing project development process. It was also felt that the Expanded FCS will provide improved granularity of the transportation needs and context in which projects are proposed. This will aid in project definition and scoping, since it will require an earlier identification of the various issues and modes to be addressed and could result in a project scoped more properly and closer to its context. The proposed system has the potential to encourage and allow more discussions early in the programming and planning stage and thus enhance the final design alternatives. 0.00% 10.00% 20.00% 30.00% 40.00% 50.00% 60.00% 70.00% 80.00% 90.00% 100.00%

169 Federal-aid Funding A primary issue raised by various stakeholders was the exclusion of the rural minor collector designation. Currently, the dividing line between major and minor collectors is used to identify roadways that are and are not available for Federal-aid funding. The combination of these classifications does not allow for the differentiation of Federal-aid eligibility within the FCS itself and an additional category would need to be identified to serve this purpose. Moreover, it is believed that it would be inappropriate simply to classify minor collectors as local roads as the speed and access classifications associated with minor collectors would not be consistent with proposed design values for local roadway types. A potential solution to this issue could be the development of a Federal-aid layer for collectors in the Expanded FCS that would determine whether the roadway qualifies for Federal-aid funding. Another issue related to Federal-aid funding was the expressed concern regarding accountability, in that there is a need for accountability of expenditures by functional classification category (e.g. urban collector). The fact that the Expanded FCS develops more categories that overlap with the existing categories could create an issue, if not formally adopted and tracked by the FHWA. There was also concern (primarily from local agencies and MPOs) that the creation of more functional classification categories could lead to development of refined funding categories, such as creating specific funding categories for suburban contexts. It is believed that increased funding categorization could limit the funding flexibility that is currently available, thus allowing agencies to address higher priority needs first within the entire system and within segments of the system. FHWA Policy In order for the Expanded FCS to be widely accepted and used by all agencies, there is a need for FHWA to adopt and develop it as a national policy (i.e., similar to the current classification policy). This will allow for a wider acceptance of the classification and quicker implementation. It is envisioned that several agencies (those that are currently exploring and considering other classification systems or are on the initial stages of such efforts) could adopt the Expanded FCS. However, the development of FHWA guidelines as well as inclusion in the Green Book will allow for the wider acceptance of the classification. The lack of an FHWA policy was a concern raised by state divisions of planning, since FHWA heavily regulates planning activities.

170 Transition from Current FCS A final issue raised is that much guidance that is provided to engineers is based on the existing FCS. Many data sets currently are aligned to these classifications. This includes research efforts in access management, highway safety crash prediction models and crash modification factors, and environmental guidance for issues important to rural and urban environments. While this guidance includes all of the roadways and contexts currently in place, additional guidance may be needed to assist practitioners in selecting which of the existing guidance is most pertinent to the new categories, such as suburban and rural town contexts. In the long term, the increased resolution of the context categories and documentation of that in operational databases, such as the HPMS, will allow for more refined research and guidance that addresses the specific and unique needs of the new categories being proposed. NCHRP Project 15-47 is currently updating the geometric design process and has recommended the need for consideration of context as part of the process. The research team had developed a strawman classification system, independent of this effort, which is identical to the one proposed here. Their system was developed in order to provide a basis for their design guidance recommendations and the similarity supports the idea of extended context categories to reflect appropriate contextual design. Conclusion The overall conclusion from this effort is that the proposed classification system will not negatively affect any of the project development phases but on the contrary, it has the potential to facilitate them and result in a more contextually appropriate design. The proposed system has the potential to encourage and require discussions of the context at an earlier stage, thus identifying users and multimodal issues that could be addressed early on. However, some measure of sensitivity must be applied to existing regulations and guidance. IMPLEMENTATION PLAN The implementation plan for NCHRP 15-52 outlines the stages for developing the research project and realizing the findings. The initial problem statement was provided by the NCHRP 15-52 RFP titled, Developing a Context-Sensitive Functional Classification System for More Flexibility in Geometric Design. The proposing/performing research team presented a solution idea/concept. The research work plan and implementation plan is shown in Table 38.

171 Table 38 NCHRP 15-52 research implementation plan Stage Elements Product Concept development a. Concept Research b. New Integrated Process c. Innovative Framework Review d. Case Studies (Concept Testing) e. Documentation Research Report User Guide and Case Studies New approach demonstration a. Rationale and Benefits b. Framework Description and Demonstrations TRB Publications Papers and Presentations Workshops and Webinars New approach implementation a. Practitioner Champions b. DOT/MPO Acceptance (and Green Book Inclusion) c. NHI Short Courses Workshops Short Courses Green Book The first stage encompasses the research project activity and its products as shown above. The next two stages are necessary to accomplish implementation. The activities and products are outlined above. While these stages constitute a plan, the fulfilment of the plan requires implementation activity—action steps being accomplished. It should be noted that at the completion of stage one, over 20 researchers and practitioners were involved in the development of the innovative Expanded FCS. This does not include the many professionals at local and state levels that participated in the research survey used to identify and document the uses and shortcomings of the traditional FCS. Implementation of any innovation requires that particular roadblocks be addressed. The type of innovation involved with NCHRP 1552 and specifically, the innovative Expanded FCS framework suggests that at least the following roadblocks will present themselves and will be addressed. These roadblocks are presented in terms of the expected questions that will arise: • Can a consensus be achieved for a new FCS? • How easy is it to explain its use to all potential users and stakeholders? • What are the benefits of a new FCS? • Is it easy to understand and apply the new FCS process/framework? • What resources are required to implement the new FCS? • Is it being championed by potential/actual users? • Does it work wherever applied on projects? • Can it be applied for just selected projects?

172 Suffice it to say, the Expanded FCS that has been developed provides the roadway planner/designer with a framework and systematic process to achieve a more context sensitive roadway design that reasonably accommodates all modes. The process includes several roadway types and context categories and provides multimodal user design considerations that can achieve successful solutions that will be acceptable to a wider range of stakeholders. This achievement should be widely beneficial to any transportation agency and can be developed with a reasonable effort that could eliminate costly do-overs and the early development of dissatisfaction among the project’s stakeholders. The products already developed and anticipated will address the potential roadblock questions listed above. Table 39 summarizes the updated implementation plan indicating obstacles, action steps, responsibilities, and the products/tools of each stage from the current time into the multi-year future required for implementation. If this plan is followed successfully, the implementation of the Expanded FCS can be expected within a few years. While the plan may be reasonable, it will require responsible parties to act and that the products/tools will be available. Table 39 Implementation steps and timetable Staging Primary Obstacles Action Steps Responsibilities Products/Tools Near Term 2014-2016 Develop Concept • Achieved consensus • Communicability • Research concepts • Prepare guide • Conduct case studies • Publish report NCHRP project team Advisory groups NCHRP panel Guide Case studies Research report Mid-Term 2016-2017 Explain and Demonstrate Process • Perceived advantages • Perceived simplicity • TRB meetings • AASHTO meetings • Selected group meetings NCHRP project team NCHRP panel Presentations Webinars Long Term 2017-2019 Champions and Training • Perceived credibility • Proven reliability/use • Selected state DOTs • Selected MPOs • Green Book modification Champions/trainers AASHTO committees Workshops Short courses Green Book FCS AND EXPANDED FCS RELATIONSHIP Special concerns regarding implementation of the Expanded FCS at the transportation agency- level center around the resources required. In a general sense, the new framework requires a

173 broader perspective toward the accommodation of multimodal users. It also requires seeing a greater and more discrete gradation of context. This does not mean that the traditional urban-rural assignment cannot be for other purposes such as project funding. This delineation can and should be made for those purposes as required. The relationship is shown in Table 40. Table 40 Existing and Expanded FCS relationship Expanded FCS Context Categories Rural Rural Town Suburban Urban Urban Core Rural Urban Roadway Type Classification Existing FCS Expanded FCS Principal Arterial Principal Arterial Minor Arterial Minor Arterial Major Collector Collector Minor Collector Local Local In addition, the requirement to accommodate multimodal users presumes that a network approach is taken for user modes. That network information needs to be available or assembled for expected users: vehicular, bike, and pedestrian as well as transit and freight as appropriate. While any given roadway may not accommodate all users, the broader or surrounding network should be adapted to provide for the prescribed users. An agency may choose to have network information available for the entire jurisdiction in advance or collect/develop it on a project-by- project basis. PILOT IMPLEMENTATION A pilot implementation of the Expanded FCS was undertaken to determine the efforts required for adoption of the Expanded-FCS by a state agency and to identify, if necessary, refinements to the proposed Expanded FCS. The research team developed a one-day workshop on the Expanded FCS explaining the concepts and steps required for the implementation of the classification. The training was delivered to Pennsylvania and Washington DOTs. The workshop evolved as a series of charrettes where each step of the process was briefly presented followed by a work session on a local corridor(s). This provided the required basic knowledge of the local conditions and allowed for addressing local complications or issues that

174 agencies may face when implementing the Expanded FCS. At the end of each charrette, a short discussion was to be held to identify pros and cons of the step and issues that may require further attention and clarification on the guide. At the end of the day, time was to be allocated for an open discussion where the entire process was reviewed, and additional comments were solicited aiming to improve both the guide and the workshop. The discussion was also focused on identifying what tools are needed to ensure the implementation of the Expanded FCS throughout the agency. A general agenda for the workshop was developed and presented to the participating DOTs in order to provide a basis for adjusting the workshop goals and approach to fit the needs and objectives of the agency. A sample agenda and the training material are included in Appendix B. Overall, the participants in both workshops provided positive feedback for the Expanded FCS and noted that this can aid in the development of a more contextually appropriate, multimodal design. The use of the local corridors helped in the understanding of the concepts presented even though most of the participants were not very familiar with each corridor, as participants came from various areas of each state. Based on the experience from both DOTs, it is apparent that it is possible for persons not familiar with the context of a corridor to use the context definitions and come to a consensus with the other team members to determine the corridor context and functional classification. Few of the participants had reviewed the guide and were able to consult it during the charrette activities, and thus they were able to provide feedback on the guide specifics. Several of the comments and issues identified during the workshops were similar to those the research team has already considered while developing the guide. For example, there was some discussion about the lack of numerical values in the context definitions (these were not considered appropriate and thus were not used, allowing values to be relative within each area) as well how would one define the boundaries between certain contexts (in this case between urban and suburban). It should be noted here that the new Complete Streets Handbook that the Florida DOT (FLDOT) recently published has also adopted the concepts of the Expanded FCS and includes a set of more-specific values regarding some of the metrics used to identify the specific context categories. This is a step that may be taken by each state or MPO, but may not be practical on a national scale. The need for additional categories within a context category is not recommended, since this will increase the number of categories without having a specific effect on design. In this case, local solutions should be sought in order to address the specific issues through a careful consideration of the users and their needs to be accommodated. The FLDOT Handbook has proposed seven categories, distinguishing between rural natural and agricultural categories and

175 suburban residential and commercial. However, this is to be used mainly for planning purposes and not for design, since the handbook indicates that for design purposes these are to be handled similarly with an added consideration to the needs of the various users for proper accommodation. The open discussion at the end of both workshops also focused on how the Expanded FCS could be implemented. The research team presented the participants with two approaches to achieve this at project level, i.e., one project at a time, or districtwide. Each state decided to follow a customized approach to deal with implementation. The PennDOT was more inclined to classify roads on a project basis and implement this in a gradual manner. The WSDOT determined that the context definitions could be part of the Corridor Sketch Plan (considered to be the first step in the project development where options are considered and evaluated or a larger district wide corridor), since they have the potential to improve bicyclist and pedestrian definition of needs and accommodation. The option of assigning the Expanded FCS to the entire network is also under consideration. This would allow for developing the context-roadway combinations at the high level and then each project will identify and balance the users and their needs. A pilot is under way of this approach for the Eastern District, but it has not been completed yet. The FLDOT approach is to classify all state-maintained roads within the next three years and provide for the context-roadway combinations for all roads. The agency is mindful of potential changes in land use, and thus context, that can occur between the classification and when a project may be designed. However, this is an issue that all agencies face currently, since previously considered rural areas have been developed and become more urbanized. Another issue that they are also considering is the practicality of the seven categories and the possibility of collapsing the two rural and two suburban categories into a single one ad thus align them with the categories in the Expanded FCS. Another issue that is relevant to implementation is the potential of the Expanded FCS to be modified based on the state needs. The design guidance provided in the matrix is generic in nature and identifies several metrics qualitatively, e.g. high, medium and low. The FLDOT Complete Streets Handbook has developed quantitative metrics for several of the same criteria used in the Expanded FCS to reflect the Florida-specific conditions and land use. During the workshops, the qualitative nature of the metrics did not seem to pose any issues, but agencies that require a more quantitative approach could follow the example of FLDOT and develop their own specific criteria both for the classification and design elements. Given the experience of WSDOT and FLDOT, it is recommended that a DOT should attempt to initially reclassify all state-maintained roads and develop the context–roadway combinations. This will allow for aligning all pertinent activities that currently are based on

176 functional classification. Moreover, further and more detailed definition can be achieved at the project level once one is defined to allow for a more accurate reflection of the current context in case this has changed from the initial classification.

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TRB's National Cooperative Highway Research Program (NCHRP) Web-Only Document 230: Developing an Expanded Functional Classification System for More Flexibility in Geometric Design, which documents the methodology of NCHRP Research Report 855: An Expanded Functional Classification System for Highways and Streets builds upon preliminary engineering of a design project, including developing the purpose and need.

In particular, NCHRP Web-Only Document 230 provides additional contexts beyond urban and rural, facilitates accommodation of modes other than personal vehicles and adds overlays for transit and freight.

Two case studies illustrating an application of the expanded system to actual projects are included.

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