Purpose & Need Class How to Write a Better Statement FHWA-Ohio Division Presented by: ODOT Office of...

Purpose & Need Class How to Write a Better

Statement

FHWA-Ohio Division

Presented by:

ODOTOffice of Environmental

Services

Agenda Introductions/Course Objectives Administrative & Regulatory Process Developing P&N Putting It All Together Course Wrap-Up Test

2

Introductions Name Company Environmental Experience Class Expectations

3

Course Objectives Understand Federal Requirements Understand the foundation of an

approved NEPA Document is the P&N Understand P&N relationship with

Alternative Analysis, Section 4(f), Wetland Findings, Logical Termini, etc.

4

Course Objectives Write and review P&N Statements

that: Focus on transportation problems Advance a project efficiently Provide a clear basis for evaluating

alternatives Are legally defensible

5

Regulations

Policy & Procedures

Federal Law & Regulations Law

National Environmental Policy Act of 1969

Regulations CEQ (40 CFR 1502) FHWA (23 CFR 771)

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Policy & Guidance FHWA Technical Advisory (T6640.8a)

10/3/87 Purpose & Need in Environmental

Documents 9/18/1990

FHWA/FTA Joint Guidance on Purpose & Need 7/23/2003

Development of Logical Termini 11/5/1993

FHWA Guidance-Linking Planning and NEPA 2/22/2005

CEQ 40 Most Asked Questions ceq.hss.doe.gov/nepa/regs/

40/40p3.htm

8

Federal Law & Regulations

National Environmental Policy Act of 1969The purpose of this Act are: To declare a national policy which will encourage productive and enjoyable harmony between man and his environment; to promote efforts which will prevent or eliminate damage to the environment and biosphere and stimulate the health and welfare of man; to enrich the understanding of the ecological systems and natural resources important to the Nation Established a systematic, interdisciplinary

approach for decision-making Study, develop, and describe appropriate

alternatives to recommended courses of action 9

CEQ Regulations 40 CFR 1500.1 (c) - Purpose

Ultimately…it is not better documents but better decisions that count. NEPA’s purpose is not to generate paperwork - even excellent paperwork - but to foster excellent action.

40 CFR 1502.13 - Purpose and Need The statement shall briefly specify

the underlying purpose and need to which the agency is responding in proposing the alternatives including the proposed action

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CEQ Regulations 40 CFR 1502.14 - Alternatives

Heart of the environmental document

Agencies shall:“…evaluate all reasonable alternatives, and for alternatives which were eliminated from detailed study, briefly discuss the reasons for their having been eliminated.”

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FHWA Regulations 23 CFR 771.111(f)

…the action evaluated in each EIS or finding of no significant impact (FONSI) shall: Connect logical termini Have independent utility Not restrict consideration of

alternatives for other reasonably foreseeable transportation improvements

Guidance and Policy for preparation of P&N based upon 40 CFR 1500 and 23 CFR 771

12

FHWA DefinitionPurpose States concisely and clearly why the

undertaking is being proposed Articulates intended positive outcomes

Need Transportation problem(s) to be

addressed Defines causes of existing problems Factual, quantifiable data

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FHWA GuidanceFHWA Technical Advisory (T6640.8A)

(10/30/1987)Guidance for Preparing and Processing

Environmental and Section 4(f) Documents

www.environment.fhwa.dot.gov/projdev/impTA6640.asp

Section II - Part B Purpose & Need for Action Describe location, length, termini,

proposed improvements, etc. Identify and describe the

transportation or other needs which the proposed action is intended to satisfy (e.g., provide system continuity, alleviate traffic congestion, and correct safety or roadway deficiencies)

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Section V - Part D Clearly demonstrate that a "need"

exists and define the "need" in terms understandable to the public

Forms the basis for the “No Build" discussion in the Alternatives section and assist with the identification of reasonable alternatives and selection of the preferred

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On projects where a law, Executive Order, or regulation mandates an evaluation of avoidance alternatives, explanation of the project need should be more specific so that avoidance alternatives that do not meet the stated project need can be readily dismissed

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FHWA GuidancePurpose & Need in Environmental

Documents(9/18/1990)

www.environment.fhwa.dot.gov/projdev/tdmneed.asp

In many ways, P&N is the most important section of an environmental document

Establishes why the agency is proposing to spend public funds, while at the same time causing significant environmental impacts

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FHWA GuidancePurpose & Need in Environmental

Documents A clear and well-justified P&N

explains to the public and decision-makers why expenditure of funds is necessary and worthwhile

Priority being given to the action relative to other needed highway projects is warranted

Although significant environmental impacts may be expected, P&N should justify why impacts are acceptable

18

FHWA GuidanceFHWA/FTA Joint Guidance on P&N

(7/23/2003)www.environment.fhwa.dot.gov/

guidebook/Gjoint.asp Lead agency has the authority and

responsibility to define 'purpose and need' for NEPA analysis

For Federal-Aid (FHWA Title 23 US Code funded) projects, lead federal agency is FHWA

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FHWA Guidance Joint-lead or cooperating agencies

should afford substantial deference to the lead agency's articulation of a project’s P&N

P&N is the cornerstone for the alternatives analysis, but should not discuss solutions

Care should be taken to ensure P&N is not so narrow as to unreasonably point to a single solution

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FHWA Guidance Logical Termini

Rational end points for a transportation improvement

Rational end points for review of environmental impacts

21

FHWA GuidanceGuidance on the Development of Logical Project

Termini(11/5/1993)

www.environment.fhwa.dot.gov/projdev/tdmtermini.asp

In developing a project which can be advanced through stages of planning, environmental, design, and construction, the project sponsor needs to consider a “whole” or integrated project

Should satisfy an identified need and consider the context of the local area’s socioeconomics and topography, future travel demand, and other planned infrastructure improvements

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FHWA Guidance Proposed improvements may miss the

mark by only peripherally satisfying the need or by causing unexpected side effects which require additional corrective action

“Segmentation" may occur where a transportation need extends throughout an entire corridor but environmental issues and needs are discussed for only a segment of the corridor

23

FHWA Guidance Three general principles at 23 CFR

771.111(f) used to frame a highway project: Logical termini connection should be

of sufficient length to address environmental matters on a broad scope

Independent utility or significance Reasonable expenditure even if no

additional transportation improvements in the area are made

Consideration of alternatives for other reasonably foreseeable transportation improvements is not restricted 24

FHWA GuidanceLINKING PLANNING & NEPA

(2/22/2005)www.fhwa.dot.gov/hep/

plannepalegal050222.htm A sound transportation planning

process is the primary source of an undertaking’s P&N

P&N is where planning and NEPA intersect

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The following information from planning studies can be used in the P&N: Goals and objectives from the

transportation planning process Results of analyses from

management systems (e.g., congestion, pavement, bridge, and/or safety)

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With proper documentation and public involvement, a P&N derived from the planning process can legitimately narrow the alternatives analyzed for NEPA

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Alternatives eliminated during the planning process because they do not meet P&N, can be omitted from the detailed analysis of alternatives in the NEPA document

Explain the rationale for elimination of alternatives in the NEPA document

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FHWA Guidance A statement of the transportation

problem Not solution-based

Based on articulated planning factors and developed through a certified planning process

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FHWA Guidance Specific enough so range of

alternatives developed offer solutions to the transportation problem

Not so specific as to "reverse engineer” a solution

May reflect other priorities and limitations in the area (i.e. environmental resources, growth management, land use, and economic development)

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Purpose & Needand

ODOT’s PDP

ODOT’s PDP

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ODOT’s PDP

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ODOT’s PDP Revised PDP being used on all new

projects No more Major, Minor, Minimal

Replaced with five paths that are based on project type and complexity

Five phases of project development: Planning Preliminary Engineering Environmental Engineering Final Engineering Construction

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Path 1 projects typically Exempt or CE Level 1 No documentation required for

Exempt projects Anything above Exempt requires a

P&N For projects that are not CE Exempt

and those in Paths 2-5, P&N should be prepared in Task 1.3.G of the Planning Phase

Complete P&N before identifying alternatives

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ODOT’s PDP

ODOT’s PDP District’s Role

Research and prepare May hire consultant to prepare

Locals and consultants must send P&N to district for review and approval For local projects, districts can

no longer prepare CE 2 documents or higher

Seek local stakeholder concurrence Ensure consistent quality control

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ODOT’s PDP ODOT-OES will advise and assist with:

Finalizing P&N for all projects during NEPA

Any questions you may have P&N for CE Level 3 projects and

above must be sent into OES for concurrence

OES submits draft P&N for CE Level 4s and higher to FHWA for concurrence

DO NOT WAIT - involve OES early

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ODOT’s PDP OES submits draft to FHWA for

concurrence that the P&N: Defines the existing transportation

problem(s) and need(s) to the level independent utility can be established

Establishes logical termini and any intermediate control points to address environmental matters

Is adequate to evaluate, eliminate or advance planning level conceptual alternatives

Does not restrict consideration of alternatives for other foreseeable transportation improvements

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ODOT’s PDP P&N refined throughout the Planning,

Preliminary Engineering, and Environmental Engineering Phases (the Planning and Environmental stages of a project)

Draft P&N until approved in the NEPA document

FHWA Ohio Division has delegated authority to ODOT to review and approve P&Ns for CE Level 1-3 projects Based on acceptance of the PDP Based on implementation of the

Programmatic CE Agreement 39

DevelopingPurpose & Need

Importance of P&N P&N is used to:

Communicate and coordinate effectively with stakeholders and the public

Evaluate alternatives Justify impacts Establish logical

termini/independent utility Manage controversy

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Importance of P&N A well-written P&N will:

Describe how the project was developed

Present a shared understanding of the transportation problems and objectives

Assist in defining project scope Guide the development and

evaluation of alternatives Avoid developing an ill-conceived

project Ensure decisions are legally

defensible43

Basic Structure Project History Purpose Statement Need Elements Goals and Objectives - optional Summary Logical Termini/Independent Utility

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45

CE OnLine

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CE OnLine

Project History Brief discussion of the context for the

project Provide background on existing

facility Describe actions taken to date Funding status, schedule, etc.

Prior Investigations Traffic Studies Safety Studies Planning Studies

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Project History Land Use/Visioning or Planning

Documents MPO TIP/STIP Local Comprehensive Plans Local Community Mission

Statements

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Project History Legislative Intent

Federal, State or Local government mandate

Consider congressional and/or state directives

Congressional Earmarks Conference Report (if one exists)

helpful in clarifying intent associated with legislation

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Project History Legislative Intent

Consider if the following is identified as part of specific legislation: Particular facility design Particular termini Particular mode of travel

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Purpose Statement Clearly and concisely states primary

objectives to be attained A range of potential purposes can

exist i.e. Mobility, Safety, Access

Articulates the intended positive outcomes An alternative that does not

achieve primary purposes would be eliminated

1-2 sentences in length

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Transportation Needs Quantified data obtained through

analyses will determine if a well-defined and well-supported need exists

Do not include any reference to solutions

Need Elements Defines existing and future

conditions Desired conditions Determined by analyses 1-2 well defined needs vs. several

poorly supported needs 1-2 paragraphs per need element

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Transportation Needs

Mobility Congestion Facility Deficiencies Safety System Linkage Modal Inter-relationship Access Emergency Evacuation

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Transportation Needs Non-Traditional

Economic Development/Growth Environmental Protection National Defense

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Mobility Movement of people and goods Identified and addressed during

planning with respect to all modes Transit, rail, aviation, pedestrian

and bicycle Ability to meet traffic demands Can be considered a primary need or

goal

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Mobility Identify source(s) to support Possible sources might include:

MPO Metropolitan Transportation Plan

Community Comprehensive Plan State Transportation Plans County and/or municipal visioning

documents Land Development Plans

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Transportation NeedsCongestion

First step is to define congestion Determine desired performance

level Range of measures can be used:

Levels of service (LOS) Volume-to-capacity (V/C) ratios Vehicle hours of delay

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MPO planning documents (Plans and TIPs) are source, within urban counties

Same set of measures may not apply to every project

58http://www.dot.state.oh.us/Divisions/Planning/SPR/StatewidePlanning/Pages/MPO_Map.aspx


The Travel Demand Model (TDM) is used in the Transportation Planning process and its data can be used to define congestion Provides sufficient data to establish

a congestion-related need Includes capacity for a particular

transportation facility Estimates the demand for that

facility

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Highway Capacity Manual (HCM) software is another analysis tool

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Facility Deficiencies Poor pavement conditions Poor bridge conditions Substandard geometrics Substantiate need with data

61


Facility Deficiencies Data can come from various sources:

Pavement Management System Bridge Management System Maintenance Management System Roadway Design Manuals and

Guidelines Structure Standards – federal, state,

local

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Safety Transportation improvements often

produce safety benefits Crash data will help support existing

and future conditions Often considered purpose of a

project, but can be a need as well

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Transportation NeedsSafety

Only include if data indicates high crash rate and the project will likely address the need

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Transportation NeedsSafety

Based on accepted engineering practices

Not relevant without documented crash data

Does not increase justification of an undertaking

Consider unintended negative consequences

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System Linkage Defined as:

Linking two or more existing transportation facilities A new link between two

interstates Linking different types of modal

facilities Establishing an intermodal

facility Linking two or more geographic

areas A rail link between Norfolk and

Columbus66


System Linkage Linking two or more regional traffic

generators and/or geographic areas Mall, regional sports complex, etc.

Linking an existing transportation network to a geographic area that currently is not connected

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System Linkage Can be a primary need or goal Rare to have system linkage as a

primary need

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Transportation NeedsModal Inter-relationship

Appropriate to include intermodal connectivity Define modes to be included Explain in quantifiable terms

Define how proposed facility will interface with and serve to complement airports, rail and port facilities, mass transit, etc.

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Access More than likely a purpose of an

undertaking Related to another transportation

problem Congestion on nearby facilities Desire to promote economic

development

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Emergency Evacuation In Ohio, only applies to nuclear power

plant evacuation routes A documented need must exist

State or local policy and/or evacuation study

Proposed undertaking must be located on a designated evacuation route

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Non-Traditional Need

Economic Development/Growth New employment, schools, land use

plans, etc. Land use changes indicate need to

improve or add to highway capacity Some communities have a vision for

how they to evolve and prosper A desirable outcome of a

transportation undertaking Transportation facilities rarely the

sole factor

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Economic Development/Growth Transportation infrastructure and

other public infrastructure collectively help determine community growth

Transportation infrastructure can facilitate the changing of land uses and lead to growth

Job creation is not a transportation need

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Economic Development/Growth Purpose statement should not be

written: “The purpose is to promote

growth/economic development” P&N is grounded in transportation:

“ The purpose is to provide transportation infrastructure to support community growth/development as identified in [a plan].”

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Economic Development/Growth Identify source(s) to support Possible sources include:

MPO Metropolitan Transportation Plan

Comprehensive Transportation Plan County and/or municipal visioning

documents Land Development Plans

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Economic Development/Growth Resolutions or other forms of

support: Individual Developments Non-governmental Entities

Downtown Development Commissions

Chambers of Commerce Capital Improvement Programs

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Economic Development/Growth Should not be discussed if not

substantiated Focusing on existing transportation

problems avoids defining a broad purpose that requires consideration of a vast range of non-transportation alternatives for promoting growth/economic development

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Environmental Protection Often incorporate elements that help

protect the environment Rarely a transportation need Focus on the underlying reasons for

proposing the action based on a transportation need

Mitigation projects should reference main project

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National Defense Transportation systems considered

vital to our national defense/security Critical surface transportation modal

systems that transportation professionals should be aware of: Strategic Highway Network

(STRAHNET) Railroads for National Defense

(RND) Ports for National Defense (PND)

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National Defense FHWA Perspective:

Identify minimum highway infrastructure needed to fulfill the mission of USDOD

Integrate public highway needs into civil policies, plans, and programs

Ensure defense readiness of highway infrastructure

Establish policy on how DOD uses highway system

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National Defense For inclusion as a primary need, there

must be an identified need from a military perspective If project is located on STRAHNET

(network), but underlying needs are defined by local community, this element could be a goal

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Goals & Objectives Optional and discretionary - come

from planning Community perspective rather than a

transportation perspective Consistent with and follows local plan Aids in the development of context

sensitive solutions

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Goals & Objectives Secondary elements/other desirable

outcomes Is not a core purpose of the

undertaking Goals are not a basis for eliminating

alternatives in the screening stage May be a factor in the selection of a

preferred alternative

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Goals & Objectives Context Sensitive Solutions

Complete Streets Connection to bike/pedestrian

facilities Integrating transit stops, shelters,

lanes Burying utilities underground Sidewalks/medians to improve

safety

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Summary Restate Purpose Statement Briefly summarize Needs discussed

above

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Logical Termini Transportation problem begins and

ends Federal Actions shall not be

segmented Does not preclude phasing of

construction under a single NEPA action

State/Municipal boundaries are not end points

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Independent Utility Establishes independent significance May be implied by logical termini May need to be specifically addressed Distinct from project construction

phasing Demonstrates that the project is not

dependent on any other action

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Length Recommendations

Level of detail needed can vary Quantified discussion for CE’s should

be brief 1 or 2 paragraphs per need element 1-2 pages of text overall

An EA/EIS typically involves complex environmental and engineering decisions that may require a more detailed quantified discussion 3-5 pages of text

When length recommendations are exceeded, contact OES to initiate consultation with FHWA

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Points to Remember Must provide tangible, quantifiable

data to support the need Comprehensive, specific, and concise Include appropriate maps,

illustrations, photos, charts, graphs, spreadsheets, etc., in appendices

Re-examine and update P&N as appropriate throughout project development

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Points to Remember Eliminate “FLUFF”

“Just the Facts” Opinions do not

count Avoid subjective words

May, Maybe, Likely, Could

Avoid words with legal interpretations Significant,

Segment, and Hazardous

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http://en.wikipedia.org/wiki/File:Jackwebbbbigseptemberman.jpg

Points to Remember Define existing transportation

problem(s) Identify and quantify needs to the

level that independent utility can be established

Establish logical termini Adequately evaluates, eliminates or

advances alternatives

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Time For Lunch!

Case Study

Putting it All Together You will be assigned the task of

writing a real life P&N based on handouts

You will be given a set of facts and mapping for a transportation problem

After completion you will exchange with your neighbor for peer review

Class discussion of results

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Putting it All Together Format:

Project History Purpose Statement Need Elements Goals & Objectives Summary Logical Termini & Independent

Utility

96

Group Discussion

Wise You Are

Course Summary NEPA’s purpose is to document better

decision-making, not better documents

Quantified discussion in CE’s should be brief 1 or 2 paragraphs per need element Overall, 1-2 pages of text

Quantified discussion in EA/EIS more detailed 3-5 pages of text

When length recommendations exceeded, contact ODOT-OES

101

Course Summary Provide a clear, concise and well

justified P&N Statement The P&N is a legally defensible

document The P&N serves as the foundation for

evaluating alternatives, but DOES NOT include a discussion of solutions Does not restrict consideration of

other alternatives

102

ODOT ContactsMajor New Projects Larry Hoffman - Districts 3, 4, 8, 12 Carmen Stemen - Districts 1, 2, 5, 6,

7, 9, 10, 11

Non Major New Projects Kevin Davis - Policy Supervisor Amber Hewitt - Districts 3, 4, 6, 7, 9,

11 Doug App - Districts 1, 2, 5, 8, 10, 12

Consultants should always contactODOT District Environmental Staff

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Questions

Test Open Book You have one hour A passing score of 75% is required

105

Thank You!

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