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

2. 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. 2 Purpose & Need Training Class

3. 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 3 Purpose & Need Training Class

4. This Class is For You  Ask questions!!  Share experiences  Peer interaction encouraged 5 Purpose & Need Training Class

5. Agenda  Regulatory Process  Developing a P&N  Case Studies  Review/Q&A 4 Purpose & Need Training Class

6. Introductions  Name  Company  Environmental and P&N Experience  Class Expectations Purpose & Need Training Class 6

7. Regulations, Policy & Procedures

8. 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 8 Purpose & Need Training Class

9. 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” 9 Purpose & Need Training Class

10. 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 10 Purpose & Need Training Class

11. 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.” 11 Purpose & Need Training Class

12. 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 12 Purpose & Need Training Class

13. 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 13 Purpose & Need Training Class

14. 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.htm Purpose & Need Training Class 14

15. 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. Purpose & Need Training Class 15

16. 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 Purpose & Need Training Class 16

17. 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 Training Class 17

18. Purpose & Need in Environmental Documents 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 Purpose & Need Training Class 18

19. 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 19 Purpose & Need Training Class

20. FHWA/FTA Joint 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 20 Purpose & Need Training Class

21. Logical Termini  Rational end points for a transportation improvement and for review of environmental impacts 21 Purpose & Need Training Class

22. 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 22 Purpose & Need Training Class

23. Logical Termini Development  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 Purpose & Need Training Class

24. Logical Termini Development  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 24 Purpose & Need Training Class

25. 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 25 Purpose & Need Training Class

26. 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 26 Purpose & Need Training Class

27. 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 27 Purpose & Need Training Class

28. 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 28 Purpose & Need Training Class

29. Linking Planning & NEPA  A statement of the transportation problem  Not solution-based  Based on articulated planning factors and developed through a certified planning process 29 Purpose & Need Training Class

30. 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) 30 Purpose & Need Training Class

31. Purpose & Need and ODOT’s PDP

32. ODOT’s PDP 32 Purpose & Need Training Class

33. Five Project Paths Path 1Path 5 Least ComplexMost complex ODOT’s PDP 33 Purpose & Need Training Class

34. 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 34 Purpose & Need Training Class

35. 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 35 Purpose & Need Training Class

36. 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 36 Purpose & Need Training Class

37. 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 37 Purpose & Need Training Class

38. Developing a Purpose & Need

39. 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 39 Purpose & Need Training Class

40. 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 40 Purpose & Need Training Class

41. Basic Format  Project History  Purpose Statement  Need Elements  Goals and Objectives - optional  Summary  Logical Termini/Independent Utility 41 Purpose & Need Training Class

42. Online CE 42 Purpose & Need Training Class

43. Online CE 43 Purpose & Need Training Class

44. Online CE 44 Purpose & Need Training Class

45. Project History

46. 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 46 Purpose & Need Training Class

47. Planning and Development  Land Use/Visioning Documents  MPO  TIP/STIP  Local Comprehensive Plans  Community Mission Statements 47 Purpose & Need Training Class

48. 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 Purpose & Need Training Class 48

49. Legislative Intent  Consider if the following is identified as part of specific legislation:  Particular facility design  Particular termini  Particular mode of travel Purpose & Need Training Class 49

50. Purpose Statement

51.  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 Purpose & Need Training Class 51

52. Need Elements

53. 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 Purpose & Need Training Class 53

54. Transportation Needs  Mobility  Congestion  Facility Deficiencies  Safety  System Linkage  Modal Inter-relationship  Access  Emergency Evacuation Purpose & Need Training Class 54

55. Non-Traditional Needs  Economic Development/Growth  Environmental Protection  National Defense Purpose & Need Training Class 55

56. 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 Purpose & Need Training Class 56

57. 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 Purpose & Need Training Class 57

58. 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 Purpose & Need Training Class 58

59. 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 Purpose & Need Training Class 59

60. 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 Purpose & Need Training Class 60

61. Congestion  Highway Capacity Manual (HCM) software is another analysis tool Purpose & Need Training Class 61

62. Facility Deficiencies  Poor pavement conditions  Poor bridge conditions  Substandard geometrics  Substantiate with data Purpose & Need Training Class 62

63. 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 Purpose & Need Training Class 63

64. 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) Purpose & Need Training Class 64

65. Safety  Only include if data indicates high crash rate and the project will address the need Purpose & Need Training Class 65

66. Safety  Based on accepted engineering practices  Not relevant without documented crash data  Does not increase justification for a project  Consider unintended negative consequences Purpose & Need Training Class 66

67. 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 Purpose & Need Training Class 67

68. 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 Purpose & Need Training Class 68

69.  Can be a primary need or goal  Rare to have system linkage as a primary need System Linkage Purpose & Need Training Class 69

70. 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. Purpose & Need Training Class 70

71. Access  More than likely a purpose of an undertaking  Related to another transportation problem  Congestion on nearby facilities  Desire to promote economic development Purpose & Need Training Class 71

72. 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 Purpose & Need Training Class 72

73. Non-Traditional Need Elements

74. 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 Purpose & Need Training Class 74

75. 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 Purpose & Need Training Class 75

76. 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].” Purpose & Need Training Class 76

77. Economic Development/Growth  Identify source(s) to support  Possible sources include:  MPO Metropolitan Transportation Plan  Comprehensive Transportation Plan  County and/or municipal visioning document  Land Development Plans Purpose & Need Training Class 77

78. Economic Development/Growth  Resolutions or other forms of support:  Individual Developments  Non-governmental Entities Downtown Development Commissions Chambers of Commerce  Capital Improvement Programs Purpose & Need Training Class 78

79. Economic Development/Growth  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 Purpose & Need Training Class 79

80. 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 Purpose & Need Training Class 80

81. 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) Purpose & Need Training Class 81

82. 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 Purpose & Need Training Class 82

83. 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 Purpose & Need Training Class 83

84. Purpose & Need Training Class 84

85. Goals & Objectives  Optional and discretionary  Out of planning  Community perspective, not transportation perspective  Consistent with and follows local development plans  Considers aesthetic design Purpose & Need Training Class 85

86. 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 Purpose & Need Training Class 86

87. 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 Purpose & Need Training Class 87

88. Summary  Restate Purpose Statement  Briefly summarize need elements Purpose & Need Training Class 88

89. 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 Purpose & Need Training Class 89

90. 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 Purpose & Need Training Class 90

91. 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 Purpose & Need Training Class 91

92. 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

93. 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 Purpose & Need Training Class 93

94. Time For Lunch!

95. Case Studies

96. Putting it All Together  Format:  Project History  Purpose Statement  Need Elements  Goals & Objectives  Summary  Logical Termini & Independent Utility Purpose & Need Training Class 96

98. Group Discussion

99. Wise You Are

100. 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 Class 100

101. 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

102. OES Contacts Major 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 Staff 102 Purpose & Need Training Class

103. Test  Follow post-class test instructions  Two weeks to complete  A passing score of 75% is required 103 Purpose & Need Training Class

104. Questions

105. Thank You For Coming Today!