Currently, there are no requirements for the long-range  statewide transportation plan to include specific project information, a  financial plan demonstrating how the plan is to be funded and  implemented, performance measures for achieving goals, or a regularly  updated schedule, and the state is not required to obtain federal approval  for the plan. Draft legislation authorizing  surface transportation programs would require USDOT to set  transportation planning performance measures for MPOs and require  MPOs to develop performance targets to meet those measures. State DOTs Conduct a Variety of Long- and Short-Range Planning Activities, and Surveyed RPOs Are Generally Satisfied Their Needs Are Considered

		State DOTs Conduct Several Research Activities to Develop Long-Range Plans, but Many Plans Do Not Include Performance Elements and Project- Specific Information

Through our survey and interviews, we found that state DOTs commonly  conduct several research activities in developing their long-range  statewide transportation plans, including developing inventories and  reviewing existing transportation assets, conducting corridor studies, and  using transportation demand models. STIP Development Activities

Research to assess needs. Allocating funding. STIP Project Selection Factors

State DOTs reported that they select projects for inclusion in their STIP  based on a range of factors, but funding availability and political and  public support were of greater importance than the results of economic  analysis of a transportation project’s benefits. Funding, Public Involvement, and Administrative Requirements Are the Primary Challenges in Statewide Planning

		State DOTs Report Facing Funding Challenges in Developing Long-Range Plans and STIPs

In our survey, we asked each of the 52 state DOTs, including Washington,  D.C. and Puerto Rico, to identify the top three challenges that they  encountered in developing both their long-range statewide transportation  plans and their STIPs. Involving the public. Data limitations. Complying with federal requirements. USDOT Has Limited Oversight Authority of Long-Range Statewide Transportation Plans, and STIP Oversight Focuses on Process

		USDOT Has Limited Oversight Authority of Long-Range Statewide Transportation Plans, and Some States’ Plans Are Updated Infrequently

USDOT has limited oversight authority over long-range statewide  transportation plans. Pursuant to federal law, USDOT’s oversight of the STIP is focused on a  state DOT’s compliance with planning process requirements. Most States Reported Making Some Use of Performance Measurement for Planning, but a Performance-Based Framework Offers Opportunities to Improve Statewide Planning

		Most States Reported Using Some Performance Measures and Targets, but Several Challenges Limit Greater Use of Performance Measurement in Planning

In our survey and interviews, state DOTs reported using performance  measurement—specifically performance measures and targets—in the  statewide transportation planning process. Not  surprisingly, state DOTs also reported that safety and asset condition  measures were considered to be most useful to the statewide planning  process. Forty-one state DOTs  reported that identifying indicators for qualitative measures such as  livability was a great or very great challenge. Those  elements include (1) national transportation goals, (2) collaboratively  developed performance measures, (3) appropriate performance targets,  and (4) revised federal oversight of statewide planning. USDOT officials reported that a performance-based planning  framework would require legislative changes to transition USDOT’s  statewide planning oversight role to focus on transportation outcomes,  such as whether states are making progress in improving highway safety  or maintaining the nation’s transportation assets in a state of good repair. Conclusions

Statewide transportation planning is an important process for deciding  how to spend substantial amounts of federal surface transportation  funds—almost $46 billion in fiscal year 2009. Actions to  accomplish this transition could include  identifying specific transportation outcomes for states to address in  statewide transportation planning and charging USDOT with assessing  states’ progress in achieving these outcomes through its STIP review and  approval process, requiring states to update their long-range statewide transportation plans  on a prescribed schedule to ensure the effective use of federal planning  funds and to address statewide planning outcomes, and requiring USDOT and states to collaboratively develop appropriate  performance measures to track progress in achieving planned  transportation outcomes. USDOT officials provided technical comments which  we incorporated into the report, as appropriate.
Why GAO Did This Study

Through the statewide transportation planning process, states decide how to spend federal transportation funds--almost $46 billion in fiscal year 2009. Draft legislation to reauthorize federal surface transportation legislation would, among other things, revise planning requirements to recognize states' use of rural planning organizations (RPO) and require performance measurement. As requested, GAO examined (1) states' planning activities and RPOs' satisfaction that rural needs are considered, (2) states' planning challenges, (3) the U.S. Department of Transportation's (USDOT) approach to overseeing statewide planning, and (4) states' use of performance measurement and opportunities to make statewide planning more performance based. GAO analyzed planning documents; surveyed departments of transportation in 50 states, Puerto Rico, and Washington, D.C., and 569 RPOs; interviewed officials in 6 states; and held an expert panel on performance-based planning.

What GAO Found

States conduct a variety of long- and short-range planning activities, and the majority of RPOs surveyed reported being generally satisfied that rural needs are considered. To develop required long-range statewide transportation plans (long-range plans), states conduct research activities, such as inventorying assets and modeling traffic. While the resulting plans generally include some performance elements, such as goals, many plans do not include performance targets. Such targets are not required, but prior GAO work shows that targets are useful tools to indicate progress toward achieving goals. To develop required short-range plans--state transportation improvement programs (STIP)--states assess needs and determine funding allocations. However, in selecting projects, states assigned greater importance to factors such as political and public support than to economic analysis of project benefits and costs. While the majority of surveyed RPOs reported being satisfied that their rural needs were considered, some RPOs reported less satisfaction with their role in allocating funds for rural areas. States commonly cited insufficient or uncertain funding to implement transportation projects among the primary challenges to long- and short-range planning. States also reported that involving the public and addressing transportation data limitations were significant long-range planning challenges. Short-range planning challenges included meeting federal requirements to demonstrate the availability of sufficient project funding and to update the STIP to reflect changes. USDOT has a limited role in the oversight of long-range plans, and pursuant to federal law, its STIP oversight focuses on states' compliance with procedures. Furthermore, USDOT is not required to review long-range plans, states are not required to update them on a schedule, and some states reported infrequent updates. For example, 10 states reported not updating plans since the most recent surface transportation authorization in 2005. Limited USDOT oversight and infrequent updates present risks, including the ineffective use of federal planning funds. For the STIP, USDOT's oversight focuses, as required, on states' compliance with federal planning procedures. Information on whether states achieve outcomes such as reducing congestion is limited. While states are not required to set performance outcomes in planning, most states reported using performance measurement in the areas of safety and asset condition. Several challenges limit broader use of performance measures, including identifying indicators for qualitative measures such as livability and collecting data across transportation modes. Through our expert panel and interviews, we identified several elements that could improve states' use of performance measures, including national goals, federal and state collaboration on developing performance measures, appropriate targets, and revised federal oversight focusing on monitoring states' progress in meeting outcomes. To make statewide planning more performance based, Congress should consider requiring states to update their long-range plans on a prescribed schedule, identifying outcomes for statewide planning and directing USDOT to assess states' progress in achieving them, and requiring USDOT and states to collaboratively develop performance measures. USDOT provided technical comments which we incorporated into the report as appropriate.