Purpose & Need Training How to Write a Better Statement November 12, 2015 FHWA-Ohio Division Presented by: Office of Environmental Services

Purpose & Need TrainingHow to Write a Better

StatementNovember 12, 2015

FHWA-Ohio Division

Presented by:

Office ofEnvironmental Services

Why Are You Here? Increase project management awareness Understand Federal requirements Understand the foundation of an approved

NEPA Document is the P&N Understand relationship between P&N and

Alternatives Analysis, Logical Termini, etc.

2Purpose & Need Training Class

Class Objective Learn how to write and review P&Ns that:

Focus on transportation problems Advance a project efficiently Provide a basis for evaluating alternatives Are legally defensible


This Class is For You Ask questions!! Share experiences Peer interaction encouraged


Agenda Regulatory Process Developing a P&N Case Studies Review/Q&A


Introductions Name Company Environmental and P&N Experience Class Expectations

Purpose & Need Training Class 6

Regulations, Policy & Procedures

Federal Law & Regulations

Law National Environmental Policy Act of 1969

(NEPA)

Regulations Council on Environmental Quality (CEQ)

40 CFR 1502 Federal Highway Adminstration (FHWA)

23 CFR 771


NEPA Established a systematic, interdisciplinary

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

alternatives to recommended courses of action

“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”


CEQ Regulations 40 CFR 1500.1 (c) - Purpose

Not better documents but better decisions 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 briefly specifies the

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


CEQ Regulations 40 CFR 1502.14 - Alternatives

Form the “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.”


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

P&N Guidance and Policy is based upon 40 CFR 1500 and 23 CFR 771


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


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

10/30/87 P&N in Environmental Documents

9/18/1990 FHWA/FTA Joint Guidance on P&N

7/23/2003 Development of Logical Termini

11/5/1993 Linking Planning and NEPA

2/22/2005 CEQ 40 Most Asked Questions

ceq.hss.doe.gov/nepa/regs/40/40p3.htmPurpose & Need Training Class 14

FHWA Technical Advisory Guidance for Preparing and Processing

Environmental and Section 4(f) Documents(T6640.8A)

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 needs

which the proposed action is intended to satisfy Provide system continuity, alleviate traffic

congestion, improve safety, correct roadway deficiencies, etc.


FHWA Technical Advisory

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

define the "need" in understandable terms Forms the basis for the “No Build" discussion in

the Alternatives section Assists in the identification of reasonable

alternatives and in the selection of the preferred


FHWA Technical Advisory 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


Purpose & Need in Environmental

Documentswww.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


Purpose & 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, justify why impacts are acceptable


FHWA/FTAJoint Guidance on P&N

www.environment.fhwa.dot.gov/guidebook/Gjoint.asp

Lead agency has authority and responsibility to define 'purpose and need' for NEPA analysis

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


Logical Termini Rational end points for a transportation

improvement and for review of environmental impacts


Logical Termini Development

Guidance on Development of Logical Project Termini

(11/5/1993)www.environment.fhwa.dot.gov/projdev/tdmtermini.asp

In developing a project that can be advanced through 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 socio-economics and topography, future travel demand, and other planned infrastructure improvements



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



Three general principles at 23 CFR 771.111(f): 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


Linking 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


Linking Planning & NEPA The following information from planning

studies can be used in the P&N: Goals and objectives from the transportation

planning process Analysis results from management systems

Congestion Pavement Bridge Safety


Linking Planning & NEPA With proper documentation and public

involvement, a P&N derived from the planning process can legitimately narrow the alternatives analyzed for NEPA


Linking Planning & NEPA 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


Linking Planning & NEPA A statement of the transportation problem

Not solution-based

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


Linking Planning & NEPA Specific enough so range of alternatives

developed offer solutions to the existing 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, land use, and economic development)


Purpose & Needand

ODOT’s PDP

ODOT’s PDP


Five Project Paths

Path 1 Path 5 Least Complex Most complex

ODOT’s PDP


Purpose and Need Developed in the Planning Phase Refined as the project advances through the

Preliminary and Environmental Engineering Phases

Considered draft until the environmental document is approved

FHWA has delegated authority to ODOT to review and approve P&Ns for D1 and D2 projects Based on acceptance of the PDP Based on implementation of the CE PA


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 no longer

prepare D1 documents or higher Seek local stakeholder concurrence Ensure consistent quality control


OES’s Role Advise and assist with:

Finalizing P&N during NEPA Any questions you may have

P&N for D2 projects and above must be sent into OES for concurrence

OES submits Draft P&N for D3’s, EA’s, and EIS’s to FHWA for concurrence

DO NOT WAIT - Involve OES Early


FHWA’s Role Provides concurrence that the P&N:

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

Establishes logical termini Is adequate to evaluate, eliminate or

advance planning level alternatives Does not restrict consideration of

alternatives for other foreseeable transportation improvements


Developing aPurpose & Need

Why Have a P&N? The P&N is designed to:

Communicate and coordinate project elements effectively with stakeholders and the public

Evaluate alternatives Justify impacts Establish logical termini and independent

utility Manage controversy


A Well-Written P&N… Describes how the project was developed Presents a shared understanding of the

transportation problems and objectives Assists in defining project scope Guides the development and evaluation of

alternatives Avoids developing an ill-conceived project Ensures decisions are legally defensible


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


Online CE


Online CE


Online CE


ProjectHistory

Project Context and Status

Background on existing facility How the project was initiated/developed

Actions taken to date Funding status, schedule, etc. Prior investigations/studies

Traffic Safety Planning


Planning and Development

Land Use/Visioning Documents MPO TIP/STIP Local Comprehensive Plans Community Mission Statements


Legislative Intent Federal, State or Local government mandate

Consider legislative (federal/state) directives Congressional Earmarks

Conference Report (if one exists) helpful in clarifying intent of earmark


Legislative Intent Consider if the following is identified as part of

specific legislation: Particular facility design Particular termini Particular mode of travel


PurposeStatement

Purpose Statement States primary objectives to be attained

Be clear and concise 1-2 sentences in length

A range of potential purposes can exist Mobility, safety, access

Articulates the intended positive outcomes An alternative that does not achieve primary

purposes would be eliminated

Do not include any reference to solutions


NeedElements

What Are Needs? Quantified data obtained through technical

analysis that determines if well-defined and supported needs exist Defines existing and future conditions Desired condition presented One or two paragraphs per need element


Transportation Needs Mobility

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


Non-Traditional Needs Economic Development/Growth

Environmental Protection National Defense


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


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

MPO Metropolitan Transportation Plan Community Comprehensive Plan State Transportation Plans County or municipal visioning document Land Development Plans


Congestion 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


Congestion MPO planning documents (Plans and TIPs) are

source, within urban counties Same set of measures may not apply to every

project

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


Congestion 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


Congestion Highway Capacity Manual (HCM) software is

another analysis tool


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


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


Safety Often times an inherent benefit Crash data supports existing and future

conditions Often considered purpose of a project, but can

be a need as well (e.g. crashes)


Safety Only include if data indicates high crash rate

and the project will address the need


Safety Based on accepted engineering practices Not relevant without documented crash data Does not increase justification for a project Consider unintended negative consequences


System Linkage Defined as linking:

Two or more existing transportation facilities A new link between two interstates

Different types of modal facilities Establishing an intermodal facility

Two or more geographic areas A rail link between Norfolk and Columbus


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


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

need

System Linkage


Modal 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.


Access More than likely a purpose of an undertaking Related to another transportation problem

Congestion on nearby facilities Desire to promote economic development


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


Non-TraditionalNeed Elements

Economic Development/Growth

New employment, schools, new land use, etc. Land use changes indicate a need may exist

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

will evolve and prosper A desirable outcome of a transportation

undertaking Transportation facilities rarely the sole factor



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



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].”



Identify source(s) to support Possible sources include:

MPO Metropolitan Transportation Plan Comprehensive Transportation Plan County and/or municipal visioning document Land Development Plans



Resolutions or other forms of support: Individual Developments Non-governmental Entities

Downtown Development Commissions Chambers of Commerce

Capital Improvement Programs



Do not discuss if not substantiated Focus on existing transportation problems to

avoid defining a broad purpose that may require consideration of a vast range of non-transportation alternatives for promoting economic development/growth


Environmental Protection

Incorporates 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


National Defense Transportation systems considered vital to our

national defense/security Critical surface transportation systems that

transportation professionals should be aware of: Strategic Highway Network (STRAHNET) Railroads for National Defense (RND) Ports for National Defense (PND)


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


National Defense For inclusion as a primary need, there must be

an identified need from a military perspective If located on the STRAHNET, but underlying

needs are defined by local community, this element could be a goal



Goals & Objectives Optional and discretionary

Out of planning

Community perspective, not transportation perspective

Consistent with and follows local development plans

Considers aesthetic design


Goals & Objectives Secondary elements/other desirable outcomes Is not a core purpose of the undertaking Goals and objectives are not a basis for

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

preferred alternative


Goals & Objectives Aesthetic design (CSS/CSD)

Complete Streets Connection to bike/pedestrian facilities Integrating transit stops, shelters, lanes Burying utilities underground Sidewalks/medians to improve safety


Summary Restate Purpose Statement Briefly summarize need elements


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, city, or municipal boundaries are not

end points


Independent Utility Establishes independent significance May be implied by logical termini May need to be specifically addressed Distinct from project construction phasing Not dependent on any other action


Length Recommendations Level of detail needed can vary

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

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

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


Points to Remember P&N is the foundation needed to adequately

evaluate, eliminate, and advance alternatives Re-examine and update P&N, as needed Define existing transportation problem(s)

Measurable, quantifiable data Comprehensive, specific, and concise Identify and quantify needs to the level that

logical termini and independent utility can be established

Include appropriate maps, illustrations, photos, charts, graphs, spreadsheets, etc., in appendices Purpose & Need Training Class 92

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 Hazardous


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

Time For Lunch!

Case Studies

Putting it All Together Format:

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


Group Discussion

Wise You Are

Course Summary Quantified discussion in CE’s should be brief

1 or 2 paragraphs per need element The equivalent of 1-2 pages of text

Quantified discussion in an EA or EIS can be more detailed 3-5 pages of text

Contact OES if length recommendations exceeded

Purpose & Need Training Class100

Course Summary Provide a clear, concise and well justified P&N The P&N is the foundation for developing,

evaluating and eliminating alternatives DOES NOT include a discussion of solutions Does not restrict consideration of other

alternatives

The P&N is a legally defensible document

101

Purpose & Need Training Class

OES ContactsMajor New Projects Larry Hoffman – Districts 3, 4, 8, 12

Heather McColeman – Districts 1, 2, 5, 6, 7, 9, 10, 11

Non Major New Projects Erica Schneider – Administrative Environmental Asst.

Kevin Davis - Policy Supervisor

Doug App – Districts 1, 2, 5, 8, 10, 12

Veronica Trecazzi – Districts 3, 4, 6, 7, 9, 11

Consultants should always contact

ODOT District Environmental Staff102


Test Follow post-class test instructions Two weeks to complete A passing score of 75% is required

103


Questions

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