Purpose & Need Class How to Write a Better Statement

1. 0 Purpose & Need Class How to Write a Better Statement Presented by: FHWA-Ohio Division ODOT Office of Environmental Services

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

3. Introductions • Name • Company • Environmental Experience • Class Expectations

4. 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.

5. 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

6. RegulationsPolicy & Procedures

7. Federal Law & Regulations • Law • National Environmental Policy Act of 1969 • Regulations • CEQ (40 CFR 1502) • FHWA (23 CFR 771)

8. 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

9. Federal Law & Regulations National Environmental Policy Act of 1969 The 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

10. 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

11. 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.”

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

13. FHWA Definition • Purpose • 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

14. FHWA Guidance FHWA 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)

15. FHWA Guidance FHWA Technical Advisory (T6640.8A) 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

16. FHWA Guidance FHWA Technical Advisory (T6640.8A) • 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

17. FHWA Guidance Purpose & 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

18. FHWA Guidance 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, P&N should justify why impacts are acceptable

19. FHWA Guidance FHWA/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

20. 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

21. FHWA Guidance • Logical Termini • Rational end points for a transportation improvement • Rational end points for review of environmental impacts

22. FHWA Guidance Guidance 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

23. 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

24. 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

25. FHWA Guidance 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

26. FHWA Guidance LINKING PLANNING & NEPA • 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)

27. FHWA Guidance 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

28. FHWA Guidance 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

29. FHWA Guidance • A statement of the transportation problem • Not solution-based • Based on articulated planning factors and developed through a certified planning process

30. 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)

31. Purpose & NeedandODOT’s PDP

32. ODOT’s PDP

33. ODOT’s PDP

34. 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 ODOT’s PDP

35. ODOT’s PDP • 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.Gof the Planning Phase • Complete P&N before identifying alternatives

36. 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

37. 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

38. 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

39. 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

41. DevelopingPurpose & Need

42. 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

43. Importance of P&N • A well-written P&N will: • Describe how the project was developed • Present a shared understanding of the transportation problemsand objectives • Assist in defining project scope • Guide the development and evaluation of alternatives • Avoid developing an ill-conceived project • Ensure decisions are legally defensible

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

45. CE OnLine

46. CE OnLine

47. 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

48. Project History • Land Use/Visioning or Planning Documents • MPO • TIP/STIP • Local Comprehensive Plans • Local Community Mission Statements

49. 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

50. Project History • Legislative Intent • Consider if the following is identified as part of specific legislation: • Particular facility design • Particular termini • Particular mode of travel