US Department of Transportation

FHWA PlanWorks: Better Planning, Better Projects

US Department of Transportation

FHWA Planworks: Better Planning, Better Projects

ENV-3: Approve Purpose and Need/Reach Consensus on Project Purpose

Environmental Review/NEPA Merged with Permitting

Description:

At this Key Decision the agreed to purpose and need for both NEPA and the Section 404 permitting process are documented. If alternatives do not meet the stated purpose and need they will be eliminated. There should be as much specificity as possible in the purpose and need statement in order to effectively analyze alternatives. For this reason, there is a close link to this Key Decision and ENV-4 (Reach Consensus on Study Area) and ENV-5 (Approve Evaluation Criteria, Methods and Measures) and some sources suggest combining these decisions. It should also be noted that the purpose and need statement may be modified, or made more specific, as information is developed through the analysis. If there are supporting goals or a secondary purpose, consider agreement and documentation of those at this Key Decision.

Input from partners and stakeholders is important at this step to substantiate the project purpose and need, to gauge the public reaction to the purpose and need, and to identify any missing aspects of the purpose and need.

There is information developed in prior Key Decisions that informs this step. In order to effectively execute this Key Decision there is essential information created at COR-2 which provides the problem statements and opportunities that are relevant to the project.

Basics:

The first table describes the purpose and anticipated outcome of a Key Decision. If the decision is federally mandated, the purpose and outcome will relate to the legal intent.

The second table describes roles for key partners with legal decision making authority in the transportation process. The roles indicate the influence a partner can have on a decision, and show each partner where their input is most needed. For a full understanding of roles see the Partner Portal.

Purpose

To formally document the purpose and need for the project and supporting goals if applicable.

Outcome

An approved Purpose and Need Statement with supporting goals if applicable.

Partner	Role Type	Description
MPO	Advisor	Informs project purpose and need based on regional analysis of deficiencies and identified need.
FHWA/FTA	Decision Maker	Approves the development of the purpose and need in accordance with federal requirements.
State DOT	Decision Maker	Ensures purpose and need is supported and documented with agreement by all partners.
Resource Agency	Decision Maker	USACE approves a purpose and need that can be used for Section 404 requirements. Other resource agencies are advisors, supporting a purpose and need that represents the true need for the project and can be supported by all partners.
Public Transportation Operator(s)	Advisor	Informs project purpose and need based on regional analysis of deficiencies and identified need.

Links to Decisions

This table identifies the connection to other Key Decisions. The linkages highlight the importance of collaboration across transportation phases. Practitioners are encouraged to document the basis of the decision and consider information from previous Key Decisions.

Transportation Phases	Key Decision	What is Linked?	Purpose of Linkage
From Long Range Transportation Planning	LRP-2 - Approve Vision and Goals	The vision and goals as approved for the LRTP	To ensure the approved purpose and need is consistent with the regional transportation vision and goals
From Long Range Transportation Planning	LRP-4 - Approve Transportation Deficiencies	Information about the transportation deficiencies documented in the LRTP	To ensure that the purpose and need is consistent with deficiencies in the LRTP.
To Corridor Planning	COR-2 - Approve Problem Statements and Opportunities	The problem statement and opportunities defined in the corridor plan	To provide a foundation for the development of the purpose and need
To Corridor Planning	COR-3 - Approve Goals for the Corridor	The goals for the corridor	To inform the purpose and need for the environmental process.

Questions to Consider

Questions are a way to gather input from partners and stakeholders that can be used to inform the decision. Decision makers can discuss the questions provided to ensure a broad array of interests are considered to support a collaborative process. Questions also allow staff to collect stakeholder interests, ensure these are included in the decision, and provide a response based on the decision outcome. Although Public Transportation is not represented by a PlanWorks Application, the information provided may be useful in a collaborative transportation process.

Category	Questions to Consider
Long Range Planning	Is the purpose and need consistent with the LRTP vision and goals and identified transportation deficiencies?
Programming	No specific questions.
Corridor Planning	Do the problems and opportunities from any relevant corridor planning study inform the development of the purpose and need? Are there relevant corridor planning goals to inform the purpose and need?
Environmental Review	Has the purpose and need been made publicly available? Are there potential non-transportation purposes or benefits that the project might fulfill? Is the purpose and need broad enough to address the full range of alternatives that consider both direct and indirect effects? Do the partners agree to move forward on the approved purpose and need? Has the study area boundary been considered with the identified purpose and need? Is the approved purpose and need consistent with current federal regulations?
Bicycles and Pedestrians	Does the purpose and need consider bicycle and pedestrian network gaps, challenges, or needs?
Capital Improvement	Have capital improvement partners provided input about the project purpose and need? Do any existing capital improvement plans suggest ideas that should incorporated into the purpose and need?
Economic Development	Have economic development and competitiveness goals been identified that should be considered in the development of the purpose and need? What are the economic related problems and opportunities that should inform purpose and need? Does the project provide a way to raise revenues or financing for other non-transportation needs?
Freight	Has input from freight stakeholders been received? Will existing freight plans help define the purpose and need? Are freight interests represented in the approved purpose and need? If not, how will the basis of the decision be communicated to freight stakeholders?
Greenhouse Gas Emissions	This Key Decision is not associated with the Application.
Health in Transportation	Will the project purpose and need support community health in the project area and address needs identified by health and community stakeholders such as improving health equity, noise, safety, air quality, availability of active transportation, or access to health services and community resources? How does the purpose and need statement specifically address any health-related needs, problems, opportunities, or goals identified during long-range planning or corridor planning? Have community and health stakeholders, plans, or studies identified any needs for inclusion, such as addressing disparities in health outcomes experienced by vulnerable populations?
Human Environment and Communities	Has any human environment and community data and information used to develop the purpose and need been validated? How does the project purpose and need address any community objections to the infrastructure change? Has the approved purpose and need been communicated to community stakeholders and the public?
Land Use	What are the land use related problems and opportunities identified by stakeholders? How does the purpose and need reflect input regarding land use planning and development? Does the purpose and need account for land use context, goals, forecasts, and growth patterns on travel demand and congestion? To what extent are smart growth principles reflected in the purpose and need?
Linking Planning and Operations	Has data and information on system operations and performance and/or reliability been considered in developing the purpose and need? If TSMO is part of the purpose and need, is this clearly articulated in the purpose and need?
Natural Environment and Implementing Eco Logical	Have ecological goals been identified that should be considered in the development of the purpose and need or supporting goals for the project?
Performance Measures	In developing the purpose and need, has the selection of performance measurements been considered?
Planning and Environment Linkages	Is there regional/corridor-level information to consider in developing the project purpose and need? Did this information come from an identified PEL study process? Is the purpose and need informed by the transportation deficiencies identified in long range planning? Is the purpose and need consistent with the approved regional vision and goals? Have the problems, opportunities, and goals identified in a PEL corridor planning study informed the development of purpose and need?
Public Private Partnerships	Has information about financial feasibility or the potential for tolling been used to inform the purpose and need?
Public Transportation	Does the purpose and need consider the public transportation network and potential public transportation network gaps, challenges, or deficiencies? Is the approved purpose and need broad enough to allow a public transportation alternative to be considered?
Safety	Has crash history, emergency response, and other safety data been considered in developing the purpose and need?
Stakeholder Collaboration	Is the purpose and need for this improvement apparent to stakeholders? Have stakeholders identified additional needs and/or purposes that have not been considered? Have conflicts in the stakeholder interests been observed? What is the rationale for how information was handled from the stakeholders, and how has this been communicated to stakeholders? Do stakeholders understand the process for developing the project? Have the opportunities for input been made clear? Who is supportive of the project, and who has expressed concerns/opposition? Are the perspectives of both of these groups understood? If there is opposition to the project, how will this group be specifically engaged What do stakeholders care about in the project area? What are their concerns? Have stakeholders identified any information that is different from previous plans? If so, how were those inconsistencies addressed?
Transportation Conformity	Has information about the air quality context for the region been considered? Is there potential for impact to the air quality conformity determination? If so, how is this reflected in the purpose and need?
Visioning and Transportation	Has the relevance of the visioning goals, values, and consensus vision to the purpose and need been considered? If scenario planning was used as a basis for the adopted future, is there data or analyses that might inform the project purpose and need?

Data

The following list of data may be needed to support the Key Decision. Practitioners collect this information for decision makers to consider. Although Public Transportation is not represented by a PlanWorks Application, the information provided may be useful in a collaborative transportation process.

Category	Data to Consider
Long Range Planning	Data from the long range plan related to transportation deficiencies, vision and goals, community characteristics, preferred plan scenario, traffic forecasts, roadway and system characteristics and performance, reliability, and financial expectations
Programming	No specific data
Corridor Planning	Data from the Corridor Plan including problem statements and opportunities, goals for the corridor, and traffic forecasts
Environmental Review	Information about the study area and evaluation criteria and measures that may be used during this process
Bicycles and Pedestrians	Information about the potential benefits and bicycle- and pedestrian- stakeholder needs associated with the project
Capital Improvement	Input from capital improvement partners Capital improvement plan elements relevant to project purpose and need
Economic Development	Data informing economic needs and deficiencies that the project may impact Data from local economic development plans
Freight	Input from appropriate freight stakeholders participating in advisory committees or working groups Mobility, safety, and other potential freight benefits
Greenhouse Gas Emissions	This Key Decision is not associated with the Application.
Health in Transportation	Input from health and community stakeholders about the transportation-related health needs in the project area, including air quality, crash-risk, obesity rates, access to active transportation and community resources, and environmental justice concerns Local plans or studies relating to health, such as environmental plans, environmental justice studies, health impact assessments, comprehensive plans, and school siting plans Health-related material from the long-range planning and corridor planning processes
Human Environment and Communities	Information about the human environment in the project area Stakeholder input and potential objections
Land Use	Local land use master/comprehensive plan documents, zoning, and previously documented land use issues Data from local land planning activities to support the need for the project, and data from an approved regional land use model, where applicable
Linking Planning and Operations	Data and information on system operations and performance/reliability in the project area
Natural Environment and Implementing Eco Logical	Information from ecological plans, including goals and priorities, related to sensitive areas and conservation and restoration priorities in the area
Performance Measures	Applicable performance measures and targets Monitoring data from the project area or similar projects
Planning and Environment Linkages	Documentation of PEL activities and agreements from long range and/or corridor planning
Public Private Partnerships	Information on the feasibility of revenue generation strategies (e.g., Level 1 or Level 2 Traffic and Revenue Studies, Project Delivery Feasibility Studies, Value for Money Study) Potential negative impacts of P3 project delivery strategy and/or revenue generation strategy that have been identified
Public Transportation	Information about the local public transportation network, existing needs, and potential benefits to and from public transportation associated with the project
Safety	Relevant safety data
Stakeholder Collaboration	Proponents and opponents of the project and their perspectives Emerging stakeholder issues that may impact the project Summary of initial public comment on the project need
Transportation Conformity	Regional air quality context for the region Conformity status
Visioning and Transportation	Visioning scope and adopted future Scenario planning information, if available

Links to Applications

The interaction between transportation decision making and other planning processes will ensure that important values and goals outside the transportation process are recognized and considered. Although Public Transportation is not represented by a PlanWorks Application, the information provided may be useful in a collaborative transportation process.

Application	Description
Bicycles and Pedestrians	Ensure that the role of bicycles and pedestrians has been articulated in the purpose and need.
Capital Improvement	Potential impacts and opportunities to enhance other sector plans and projects will inform the purpose and need. Consider Land Use, Human Environment and Communities, Natural Environment and Implementing Eco-Logical, Economic Development and other Applications of interest.
Economic Development	Consider how economic development goals and opportunities inform the purpose and need. Economic development efforts may also align with other project objectives related to Human Environment and Communities, Health in Transportation, Public-Private Partnerships, and others.
Freight	Identify the importance of this project as seen by freight stakeholders and similar interests to other topics such as Linking Planning and Operations
Greenhouse Gas Emissions	This Key Decision is not associated with the Application.
Health in Transportation	In addition to incorporating health goals into the purpose and need, consider how the health interests interact with other Applications, including Bicycles and Pedestrians, Freight, Human Environment and Communities, Land Use, and Safety. To develop a collaborative approach that reflects the community’s goals, see the Stakeholder Collaboration and Visioning and Transportation Applications.
Human Environment and Communities	The purpose and need is the first opportunity for stakeholder input to a project decision. Consider the Stakeholder Collaboration Application for supporting information. Other inputs to the purpose and need will be topic specific and may be represented in other Applications.
Land Use	Confirm that the purpose and need addresses the land use context and goals, in addition to smart growth principles, where applicable. If land use assumptions were used during Visioning (see Visioning and Transportation Application), this will provide additional information. Consider how the land-use related aspects of the purpose and need may relate to other Applications, such as Bicycles and Pedestrians, Economic Development, Health in Transportation, Human Environment and Communities, and Natural Environment and Implementing Eco-Logical. Also consider Public Transportation.
Linking Planning and Operations	TSMO strategies can potentially addressing multiple needs related to Performance Measures, Safety, Bicycles and Pedestrian, Freight, and Public Transportation.
Natural Environment and Implementing Eco Logical	Analyze ecological goals and priorities to inform a compatible and/or complementary project purpose and need.
Performance Measures	Proactively consider the selection of performance measurement factors that may be used during this environmental review process and whether they are appropriate for, and comprehensive enough, to address whether the preferred alternative meets the purpose and need. All Application topics that relate to the purpose and need should be considered.
Planning and Environment Linkages	Consider documentation from PEL planning studies in developing the project purpose and need. If the approved purpose and need is inconsistent with this documentation, changes in the adopted long range plan (LRP-10) must be considered.
Public Private Partnerships	To include P3 in developing the purpose and need, it is necessary to draw from all information collected and documented previously. In addition, it is important to identify disadvantaged or minority populations that may be impacted by a P3 alternative. Human Environment and Communities and Land Use are key considerations.
Public Transportation	Ensure that the role of public transportation has been articulated in the purpose and need.
Safety	Confirm that information provided on safety issues was considered in the development of the purpose and need. Safety may also be related to Health in Transportation, Bicycles and Pedestrians, Freight, and Public Transportation.
Stakeholder Collaboration	Stakeholder input can help develop a strong statement of purpose that clearly articulates the transportation need for the project as well as understanding the broader community context. See the Visioning Application for additional support. Stakeholder input provides support for the Natural Environment and Human Environment evaluation as well as public involvement planning.
Transportation Conformity	Consider how the air quality goals inform the purpose and need and may also align with other project objectives related to Human or Natural Environment and Health in Transportation. Where transportation control measures are relevant, consider Bicycle and Pedestrian, Land Use, and Public Transportation influences.
Visioning and Transportation	The purpose and need is the first opportunity for stakeholder input to a project decision. Consider the Stakeholder Collaboration Application for supporting information. At the project scale, visioning will closely relate to the Human Environment and Communities, Land Use, Economic Development, Capital Improvement, and Natural Environment and Implementing Eco-Logical Applications. Other inputs to the purpose and need will be topic-specific and may be represented in other Applications.

Examples

In - depth case studies of successful practices in collaborative decision making were used to develop the Decision Guide.Links in this table point to a specific paragraph or section of a case study that supports a Key Decision. It is not necessary to read through an entire case study to find the example; however, full versions are available in the Library.

PlanWorks Case Study Examples:
Hollister Bypass env-3_per-1

Other Examples:
None.