INTRODUCTION

Historically, one of the most important uses of functional classification has been to identify
those streets and roads that are eligible for federal funds. Since the early 1920s, functional
classification has been used to assign facilities to a Federal-aid Highway System. The original
Federal-aid Primary, Federal-aid Secondary, Federal-aid Urban, and National Interstate
systems all relied on functional classification to select eligible routes. In 1968 and again in
1973, Federal-aid Highway Acts specifically mandated nationwide studies in cooperation with
States and local governments to bring greater consistency to highway classifications and to
classify all public streets and highways according to their function. The results of these
studies were then used to revise the respective Federal-aid Highway systems. The functional
classification systems and the Federal-aid systems have also been realigned following each
decennial Census since 1970.

In 1991, the Intermodal Surface Transportation Efficiency Act (ISTEA) eliminated the
Primary, Secondary, and Urban Federal-aid systems and created the National Highway
System (NHS). However, ISTEA continued the requirement that a street, road, or highway
had to be classified higher than a Local in urban areas and higher than a Local and Minor
Collector in rural areas before federal funds could be spent on it. The selection of routes
eligible for NHS funding was also based on functional criteria. In 1998, the Transportation
Equity Act changed eligibility requirements slightly. The Act allows up to 15% of amounts
reserved for rural areas to be spent on rural minor collectors. In urban areas, an eligible
facility must still be classified above an Urban Local.

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CONCEPT, DEFINITION & SYSTEM CHARACTERISTICS

Functional Classification is the process by which streets and highways are grouped into
classes, or systems, according to the character of service they are intended to provide.

There are three highway functional classifications: arterial, collector, and local roads. All
streets and highways are grouped into one of these classes, depending on the character of the
traffic (i.e., local or long distance) and the degree of land access that they allow. These
classifications are described in Table 1.

Functional
Services Provided
System
Arterial Provides the highest level of service at the greatest speed for the longest
uninterrupted distance, with some degree of access control.
Collector Provides a less highly developed level of service at a lower speed for shorter
distances by collecting traffic from local roads and connecting them with arterials.
Local Consists of all roads not defined as arterials or collectors; primarily provides
access to land with little or no through movement.
Table 1 : Functional Classification Systems

Typically, travelers will use a combination of arterial, collector, and local roads for their trips.
Each type of road has a specific purpose or function. Some provide land access to serve each
end of the trip. Others provide travel mobility at varying levels, which is needed en route.
There is a basic relationship between functionally classified highway systems in serving
traffic mobility and land access. Arterials provide a high level of mobility and a greater
degree of access control, while local facilities provide a high level of access to adjacent
properties but a low level of mobility. Collector roadways provide a balance between mobility
and land access.

The hierarchy of the Functional Class System is further categorized by the three area types (1)
rural areas, (2) urbanized area, and (3) small urban areas as shown in Table 2.

Table 2 – The Hierarchy of functional system

Rural areas Urbanized areas Small Urban areas

Principal arterial Principal arterial Principal arterial

Minor arterial roads Minor arterial streets Minor arterial streets
Collector roads Collector streets Collector streets
Local roads Local streets Local streets

In rural areas, routes on the principal arterial system are subclassified as Interstate and other
principal arterials; and routes on the collector road system are subclassified as major collector

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roads and minor collector roads. In urbanized and small urban areas, the routes on the
principal arterial system are subclassified as Interstate, other freeways and expressways, and
other principal arterials.

For complete information on functionally classifying roads, refer to the guidance contained in
the Federal Highway Administration (FHWA) manual, Highway Functional Classification –
Concepts, Criteria and Procedures, March 1989.

Current Highway Functional Classifications

The highway system of the United States consists of slightly over 6.3 million km (3.9 million
miles) of road.' Of this total, 5.0 million km (3.1 million miles) are located in rural areas, and
the remaining 1.3 million km (800,000 miles) are urban streets. Each of these rural and urban
streets has been given a specific functional classification, as illustrated in Table 3.3. In terms
of jurisdictional responsibility, about 5 percent of the total is administered by the Federal
Government, approximately 16 percent is under State control, and the remaining 79 percent is
under the control of county and local governments.

Table 3: Functional System (Rural and Urban) Mileage and Travel

Functional System Percent of Percent of
Total Mileage Total Travel
Interstate 1.2 22.8
Other Freeway/Expressway .2 6.2
Other Principal Arterial 3.8 24.3
Minor Arterial 5.7 18.4
Major Collector 11.1 7.8
Minor Collector 7.2 2.1
Collector 2.2 5.3
Local 68.6 13.1
TOTAL 100 100

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Functional Classification

Functional Classification is used:

1. For assessing the extent, conditions, and performance of the highway system;
2. As a planning tool for needs assessments;
3. For apportionment of funds;
4. To establish jurisdictional responsibility;
5. Design criteria; and
6. For other planning activities including Section 134 planning requirements.

There are three primary reasons it may become necessary to revise Functional Class:

1. Changes in the Urban Area Boundary (Urbanized Area1 and Urban Clusters2 Boundary)
2. Changes due to construction of routes previously designated as “future”; and
3. Changes initiated by Statewide Planning in doing county transportation plans.

Our current update is initiated due to the Decennial Census revision of Urban Area Boundary.
In the May 1, 2002, Federal Register, the US Bureau of the Census issued the designations of
urbanized areas (UZAs) and urban clusters (UCs) based on the 2000 Census. While the
USDOT has no direct role in the designation of these areas, they are critical to the
administration of the surface transportation program. Key FHWA/FTA program impacts for
planning and environmental are: designation of MPOs and application of metropolitan
planning requirements; designation of Transportation Management areas (TMA); application
of conformity requirements; and, funding availability (STP attributable funds in UZAs over
200,000 population; transit providers serving UZAs of 200,000 or less may use FTA
Urbanized Area Formula Program (49 USC 5307) funds for operating assistance; areas over
200,000 cannot use FTA 49 USC 5307 funds for operating assistance).

On the other hand, Federal transportation legislation (23 USC 101(a)(36) - (37) and 49 USC
5302(a)(16) - (17)) allows responsible state and local officials in cooperation with each other,
and subject to approval by the Secretary of Transportation, to adjust the Census boundaries
outward, as long as they encompass, at a minimum, the entire Census designated area.

Once the adjustments to urban area boundaries are adopted, highways that are impacted by the
new boundaries must be functionally reclassified. The guide on classifying highways
continues to be Highway Functional Classification: Concepts, Criteria and Procedures. Rev.
March 1989.

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An Urbanized Area is a statistical geographic entity designated by the Census Bureau, consisting of a central core and
adjacent densely settled territory that together contain at least 50,000 people, generally with an overall population density of
at least 1,000 people per square mile. Within the transportation planning community Urbanized Areas are typically referred to
as the UZAs.
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An Urban Cluster is a new statistical geographic entity designated by the Census Bureau for the 2000 Census, consisting of a
central core and adjacent densely settled territory that together contains between 2,500 and 49,999 people. Typically, the
overall population density is at least 1,000 people per square mile. Urban Clusters are based on Census block and block group
density and do not coincide with official municipal boundaries. Typically referred as UCs.

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The Census Bureau has created several options for viewing the boundaries of urbanized areas
and urban clusters. The Census Bureau's Map Products web site provides large-scale maps
(30" x 33") in Adobe pdf format that can be downloaded and printed to a large format color
plotter (http://www.census.gov/geo/www/maps/CP_MapProducts.htm).

The Census Bureau issued its list of qualifying Urbanized Areas (UZAs) and Urban Clusters
(UCs) based on population counts from the 2000 Decennial Census in the May 1, 2002
Federal Register. The comprehensive list comprising of 17 UZAs and 90 UCs of North
Carolina can be viewed on the following links.
Urbanized Area: http://www.census.gov/geo/www/ua/ua_state_100302.txt
Urban Cluster: http://www.census.gov/geo/www/ua/uc_state_100302.txt

Transportation Planning Branch, NCDOT is responsible to perform the Functional

Classification updates for North Carolina. The 17 Urbanized Area (population >50000)
boundaries have been coordinated by regional units whereas all the 90 Urban Cluster
boundaries (population between 2500-50000) have been coordinated by Systems Planning
Unit. For the purpose of functional class update 56 UCs with population between 5000-50000
will be processed as small urban area and the remaining UCs with population less than 5000
will be processed as rural area. Table 4 shows the UZAs and UCs by regional units: -
Metrolina, Mountains, Triad, Triangle, Northeast and Southeast.

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DIRECTIONS FOR CHANGING FUNCTIONAL CLASSIFICATION (FC)

There are several copies of the functional classification system throughout NCDOT. Only
one of these is the official map set, and is kept upto date. The official Functional
Classification map is kept by W. M. Petit in Program Development Branch (on P2 of the
Transportation Building). The FC update process requires new maps to be verified against the
official maps and then reclassify the roads affected by the UZA or UC boundary revision.

The methodology for the FC update is location dependant i.e. rural vs. urban. Therefore, to
simplify the process, the directions will be subdivided into the following components:
A- General
B- Rural Procedure – (rural areas with population less than 2500 plus UCs with population
between 2500-5000)
C- Small Urban Area Procedure (UCs with population between 5000-50000)
D- Urbanized Area Procedure (UZAs with population above 50000)
E- Submittals

A- General

Transportation Planning Branch, GIS unit and Program Development Branch are working
cooperatively to perform the FC update. GIS will perform the mapping whereas Program
Development Branch will update the affected TIP projects. FHWA has set a deadline of June
2004 with the expectation of completion of revised Highway Performance Monitoring System
(HPMS).

So far, all the smoothed 2000 UC and UZA boundary maps have been provided to GIS unit to
produce the Functional Class maps with new boundaries and resulting functional
classification of roads. For some of us who still have to submit maps, you can use the
following procedure to convert your files in shape format as preferred by GIS.

Procedure:

1) Open the UZA map in Transcad.

2) See the no. of layers to be exported from layer box.. You are required to export Proposed
Urban area, Urban Cluster and all the county roads layer that fall in your area.
3) Look for “Proposed Urban Area” shown by purple box, Urban Area by yellow box and
County name by gray line to represent county roads. (Transcad exports one layer at a
time).
4) Starting with Urban Area, make it your working layer in the map.
5) Go to Tools- Export:- “Export Urban Area Geography” box opens up.
 Tab: Export: Select “All features”
 To: ESRI Shape
 Check √ : Include built in Data
 Click on Coordinate tab. Export Coordinate box opens up. Under Coordinate System
 Class – North America NAD 83 (U.S. State Plane)
 Zone – 3200: North Carolina

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  Unit Conversion: Units – Feet
 Click OK to export.
6) Save the file in desired locations.
7) Repeat step 4 to 6 to export Proposed Urban Area and Save it.
8) Repeat step 4 to 6 to export county roads and Save it.
9) Once all layers are exported as shape files close Transcad.

10) Open Arcmap.

11) Click on + icon on menu bar to add data i.e. our converted shape files from where you
have saved them.
12) Select all the layers at the same time to add.
13) It might give a message that says, “ spatial reference information missing”, Ignore it by
clicking ok.
14) Zoom to the Urban layer if not so by default.
15) Check the layer sequence – with roads on top, UA next and last would be Proposed Urban
area.
16) Click on color box for Proposed UA to edit it.
 Symbol Selector box opens up. Click on Properties – Type: Simple Fill Symbol
 Click on arrow next to color box. Select Lilac Dust as you color for Proposed Urban area
layer.
 Click on arrow next to Outline color; Select Black for outline.
 Outline width: set to 2.0
 Click on outline tab: Select “Dashed 6:1”

NOTE: If you were doing more than one map, saving your setting would help to minimize the
repetitive work.
 Click on save.
 Symbol name – Proposed Urban Area Outline
 Category – Proposed Urban Area, Click OK
 The setting is saved. You can see it if you scroll down.

17) Then click on Symbol Selector box.

18) Click OK on symbol Property Editor.
19) For Urban Area repeat Step 17 to 19, with Color selection of Yucca Yellow.
 Outline : Black
 Outline width : 2.0
 Click OK, Save the setting and Click OK.
20) Right click on FC roads layer name to edit it.
 Click on properties from the drop down menu.
 Click Symbology.
 Click on Categories on left under Show tab.
 Select unique values under categories.
 Click on scroll down arrow under “ Value Fields” to select FUNCLA.
 Uncheck <all other values> box.
 Click “add all values” tab below white screen. White screen will show up nos. represented
by color lines.

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 Click on the line to edit the color. Check the color-coding provided at the end of this
write up.
 On double clicking, “ Symbol Selector” Box opens up. Click on color arrow to select
appropriate color.
 Save the setting with width 2 and name them. Except local (8) and other (0) with width 1.
 Click OK to layer Properties box.
 Repeat the above steps for other road layers too.
21) Right click on layer to open drop down menu. Click on “ Save as layer file”. Save it at
desired location.
22) Repeat step 21 to save each layer as layer file.
23) Finally save the map (mxd).

Please send all the accompanying files when you send the map to Avani Patel. She will
coordinate with the GIS. At times the map needs to be set back to the data source.

Color coding required by FHWA for Functional Class (all future routes should be in the
appropriate color using a dashed line):
Rural Maps:
1 = Principal Arterial (Interstate): - Blue
3 = Principal Arterial (Other): - Red
4 = Minor Arterial : - Green
6 = Major Collector: - Purple
7 = Minor Collector: - Yellow
8 = Local: - Grey
0 = Other: - Grey

Urban Maps:
1 = Principal Arterial (Interstate): - Blue
2 = Principal Arterial (Freeway & Expressway): - Brown
5 = Principal Arterial (Other): - Red
6 = Minor Arterial: - Green
7 = Minor Collector: - Yellow
8 = Local: - Grey
0 = Other: - Grey

The maps will be sent back to Systems Planning Unit for review prior to final print. The
Systems Planning unit will involve Regional units for the review of maps in their respective
regions.

All Regional units will be provided with the following sets of maps for the areas in their unit,
to review for correctness and accuracy.
1) Urbanized Areas (UZA). (eg. Rockymount, Wilmington, CAMPO)
2) Urban Clusters (UC) (eg. Tarboro, Whiteville, Elkin, Roxboro)
3) Rural Areas (eg. Nash county, Edgecombe county, Davidson county)

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The Project Engineer and their supervisor (and group manager where applicable) must review
all the maps. Then the maps will also be reviewed by Program Development Branch (Al
Avant & W. M. Petit).

All revisions or comments will then be sent back to GIS unit for final edit.

Following is the Checklist that would be performed for all the three areas:

1) Smoothed Boundaries.
Check the smoothed boundaries for UZAs against the map provided to you. The UC
boundaries would be checked by Systems Planning Unit.

2) Functional Classification of roads.

Comparing the maps against the official copy kept by W. M. Petit (Program Development
Branch – P2 floor). Match color to color for both UZA and UC maps.

B. Rural Procedure – (Rural areas with population less than 2500 plus UCs with
population between 2500-5000)

At Regional Units: The maps should be checked for errors against the official copy of
functional class maps kept by W. M. Petit in Program Development Branch. Now no. the
functional class legend on the rural map as follows:
Interstate -1, Other principal Arterial –2, Minor Arterial –3, Major Collector –4, and Minor
Collector –5. Local road/ No classification – 0, (you would have to add the local road by
yourself below the legend).

On reviewing the map, if any roads found that need to either have a functional class on it or
have a different functional class than the official map, then circle the link and write down the
no. next to it that correctly represents it’s functional class as shown in the correct map.

Eg. A road on your map is colored purple i.e. major collector but official map shows it yellow
(minor collector) then circle the road on your map from start to end of the road that need to be
changed to yellow and write 5 next to it.

If a road on official map is classified as Other principal arterial and the same road on your
map is functionally unclassified then circle the road and write the no. 2 next to it.

If any road on your map is classified whereas official map shows it as a local road i.e. no
classification then circle the road and write 0 next to it.

Particular attention must be given to coordination with the adjacent counties, states, and
municipalities. The engineer making changes to FC that encroaches on other areas is
responsible for all necessary changes, including those in adjacent areas. In some instances, if
this affects an MPO, the coordinator may assist in this work.

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Once reviewed, forward the maps back to Systems Planning Unit to coordinate once again
with the GIS.

GIS makes the correction as suggested by regional units and returns it back to Transportation
Planning Branch for final review. The map is then finalized if everything is found correct.

Changes in the rural will be approved by NCDOT and then submitted to FHWA for approval.
If the change involves a change in Functional Classification for a road that a municipality
owns, NCDOT will coordinate with the RPO, and then submit the change to FHWA for
approval. The FHWA approval will be done electronically. Systems Planning unit will
coordinate this effort of getting approval from FHWA. Table 5. provides the RPO contact
list for the rural areas for approval.

C. Small Urban Area Procedure (UCs with population between 5000-50000)

At Regional Units: Follow the same procedures as Rural area. Label the legend to represent
the correction on the map. For small urban areas, the labeling should be: -
Interstate -1, Freeway & Expressway –2, Other principal Arterial –3, Minor Arterial –4,
Collector –5. Local road/ No classification – 0, (you would have to add the local road by
yourself below the legend).

Follow the same correction procedure as rural. Also, note that the small urban areas with UCs
have additional corrections to be made. Expanding the boundary of UCs within the state may
change some of the classifications. The rural routes should be upgraded to a higher
classification when they cross UC boundary.

Eg. A rural map has major collector and minor collector in its classification. When these
major (purple) and minor collectors (yellow) cross the Urban cluster boundary they are just
known as collector and shown by purple color. Hence, a rural major or minor collector just
becomes a collector in urban area.

Also ensure that an urban classified roads should not be shown on rural map. So request to
unclassify the urban roads which are shown on the edge of rural & urban cluster. Functional
classification should result in an integrated network and avoid stubs. In case of conflicts
where the functional classification does not seem to represent an integrated network, you may
choose to use Mainframe to find further details to identify the correct classification. Each unit
has their own Mainframe keeper you can contact.

Routes on military installations restricted to public travel do not have to be functionally

classified.

Particular attention must be given to coordination with the adjacent counties, states, and
municipalities. The engineer making changes to FC that encroaches on other areas is
responsible for all necessary changes, including those in adjacent areas. In some instances, if
this affects an MPO, the coordinator may assist in this work.

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Future routes should be functionally classified with the existing system only if they are
included in the State TIP with the construction to begin within 6 years. Where applicable, the
same classification should be given to the future route and the existing route that it will
replace until the future route is constructed.

Once reviewed, forward the maps back to Systems Planning Unit to coordinate once again
with the GIS.

GIS makes the correction as suggested by regional units and returns it back to Transportation
Planning Branch for final review. The map is then finalized if everything is found correct.

Changes in the rural will be approved by NCDOT and then submitted to FHWA for approval.
If the change involves a change in Functional Classification for a road that a municipality
owns, NCDOT will coordinate with the RPO, and then submit the change to FHWA for
approval. The FHWA approval will be done electronically. Systems Planning unit will
coordinate this effort of getting approval from FHWA. Table 5. provides the RPO contact
list for the small urban areas for approval.

D. Urbanized Area Procedure (UZAs with population above 50000)

At Regional Units: Follow the same procedures as small urban area to perform correction.

Once reviewed, forward the maps back to Systems Planning Unit to coordinate once again
with the GIS.

GIS makes the correction as suggested by regional units and returns it back to Transportation
Planning Branch for final review. The map is then finalized if everything is found correct.

Changes in the Urbanized Area will be approved by respective TAC/ TCC and NCDOT and
then submitted to FHWA for approval. The FHWA approval will be done electronically.
Systems Planning unit will coordinate this effort of getting approval from FHWA.

Note:

IMPACT ON FUNDING: Because the MPA should have included the 1990 Census-defined
urbanized area PLUS any additional area anticipated to be urbanized within the next 20 years,
it is most likely that no changes will be needed immediately to the TP or TIP. However, in
cases where the UZA boundary has increased significantly, the MPO should review and
adjust its MPA boundary by the next TP update after 10/1/02 or within 3 years (which ever is
sooner) to incorporate new urbanized areas outside the current MPA, as well as additional
area expected to become urbanized in the next 20 years. New MPA boundaries must be
approved by the MPO and the Governor and submitted to the FHWA and the FTA (23 CFR
450.308 (d)). Projects in this expanded area could then be added to the TP and TIP in the
future.

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AIR QUALITY NON-ATTAINMENT AND CONFORMITY: Newly designated
urbanized areas, which are designated as air quality non-attainment or maintenance areas,
would have already been demonstrating conformity. Before being designated as an urbanized
area, these areas were considered isolated rural non-attainment or maintenance areas, and
would have been demonstrating conformity according to the requirements for these areas in
40 CFR 93.109(g).
Within three years of an area's designation as an urbanized area by the Census Bureau, the
area's MPO must develop a new TP and TIP, and the MPO and the USDOT must make a
conformity determination for the TP and TIP. A new conformity determination cannot occur
until a TP and TIP is in place. A conformity determination would be required to advance:
 a new non-exempt project that has not received a conformity determination; or
 an existing non-exempt project that has already received a conformity determination
but 3 years have elapsed since the most recent major step to advance the project had
occurred or the project's design concept and scope has changed significantly.
If a TP and TIP and conformity determination are not completed within three years, then the
area would be in a conformity lapse. (See the joint FHWA/FTA Guidance in the February 7,
2002 Federal Register notice, for more information on conformity lapses.
www.fhwa.dot.gov/environment/conformity/con_guid.htm.)

E. Submittals

Letter to RPO
Letter to MPO
Letter to FHWA

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