1、AASHTO PRACTITIONERS HANDBOOKThe Practitioners Handbooks are produced by the Center for Environmental Excellence by AASHTO. The Handbooks provide practical advice on a range of environmental issues that arise during the planning, development, and operation of transportation projects.The Handbooks ar
2、e primarily intended for use by project managers and others who are responsible for coordinating compliance with a wide range of regulatory requirements. With their needs in mind, each Handbook includes: key issues to consider; a background briefi ng; practical tips for achieving compliance. In addi
3、tion, key regulations, guidance materials, and sample documents for each Handbook are posted on the Centers web site at http:/environment.transportation.orgDEFINING THE PURPOSE AND NEED AND DETERMINING THE RANGE OF ALTERNATIVES FOR TRANSPORTATION PROJECTSThis Handbook provides recommendations for de
4、fi ning the purpose and need and determining the range of alternatives in environmental impact statements and environmental assessments for transportation projects, in accordance with the National Environmental Policy Act (NEPA).Issues covered in this Handbook include:Understanding the legislative a
5、nd planning contextDetermining the needsDefi ning the project purposeScreening alternativesInvolving agencies and the publicAmerican Association of State Highway and Transportation Offi cials07August 2007Center for Environmental Excellence by AASHTOCopyright 2007, Center for Environmental Excellence
6、 by AASHTO (American Association of State Highway and Transportation Officials). All Rights Reserved. This book, or parts thereof, may not be reproduced in any form without written permission of the publisher. Printed in the United States of America.This material is based upon work supported by the
7、Federal Highway Administration under Cooperative Agreement No. DTFH61-07-H-00019. Any opinions, findings, and conclusions or recommendations expressed in this publication are those of the Author(s) and do not necessarily reflect the view of the Federal Highway Administration. 2007 by the American As
8、sociation of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Defining the Purpose and Need and Determining the Range of Alternatives for Transportation Projects OverviewOne of the most important tasks in any National Environmental Policy A
9、ct (NEPA) study is the definition of the projects purpose and need. The purpose and need is important because it plays a key role in determining the range of alternatives that will be considered. The purpose and need also can be important in selecting the preferred alternative, especially in cases w
10、here the project is subject to other laws that require consideration of project purpose, such as Section 404 of the Clean Water Act and Section 4(f) of the U.S. Department of Transportation Act.This Handbook is intended to provide practitioners with practical suggestions for defining purpose and nee
11、d and for determining the range of alternatives. The handbook covers both legal principles and practical considerations, and specifically focuses on the issues involved in developing the purpose and need and range of alternatives for highway projects.key issues to considerUnderstanding the Legislati
12、ve and Planning ContextIs there any legislation (Federal, state, or local) that should be considered in defining the project purpose?Are there any provisions in adopted statewide or metropolitan transportation plans that are relevant to defining the project purpose?Has a purpose and need been define
13、d for this project in a corridor or sub-area study, pursuant to the statewide and metropolitan planning regulations (23 C.F.R. Part 450)?If planning decisions are being used to support the purpose and need, how much time has passed since those decisions were made? Is there a need to re-consider or u
14、pdate those planning decisions?Determining the NeedsWhat data is available to evaluate the transportation needs in the project area?What data is needed in order to assess the transportation needs in the project area?Are there any data gapsthat is, any data that is needed but is not readily available
15、?If there are data gaps, how will those gaps be addressed?If the study has been underway for several years, what steps will be taken to make sure that the data underlying the purpose and need is still valid?How will the supporting information for the purpose and need be documented? For example, will
16、 technical reports be prepared?Defining the Project PurposeIs there a single purpose of the project, or does the project serve multiple purposes?If there are multiple purposes, are some more important than others? What are the true “drivers” of the project?How is the need for this project distinct f
17、rom the need for other similar projects that are being proposed in the same region? What are the differentiae?Are the project purposes achievable? 2007 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. Definin
18、g the Purpose and Need and Determining the Range of Alternatives for Transportation ProjectsWill criteria or methods be used to differentiate among alternatives that do and do not meet the project purposes?Have the project purposes changed over time? If so, how will this change be explained?Will “go
19、als and objectives” be defined in addition to “purpose and need”? What is the difference between the two terms, and how will it be explained to the public?Is the project purpose stated clearly, succinctly, and consistently throughout the NEPA document?Screening AlternativesWhat criteria will be used
20、 to determine whether an alternative meets purpose and need?Aside from purpose and need, what other factorssuch as environmental impacts and costwill be considered in the screening process?If alternatives screening will be based partly on factors such as environmental impacts and cost, what specific
21、 criteria will be used? Is enough information available at the screening stage to make meaningful judgments about impacts and cost?How will the alternatives screening process be documented?After the screening process has been completed, what steps will be taken to ensure that screening-level decisio
22、ns remain valid? Are there any circumstances that warrant re-consideration and updating of screening decisions?Involving Agencies and the PublicIf an environmental impact statement (EIS) is being prepared, what opportunity for involvement will be provided for agencies and the public in developing th
23、e purpose and need and determining the range of alternatives? Will these opportunities occur in sequential steps or simultaneously?Is the project subject to a NEPA/404 merger agreement? If so, what additional process steps apply to the development of the purpose and need under that agreement?If the
24、project involves an environmental assessment (EA), will there be any agency coordination or public involvement regarding purpose and need and the range of alternatives?How will your agency coordination and public involvement efforts be documented?Are there any controversies regarding the purpose and
25、 need and/or the range of alternatives? If so, how have those concerns been addressed?background briefingThis section provides a brief introduction to key concepts related to the purpose and need chapter and the screening of alternatives in the NEPA process. This section summarizes key principles an
26、d requirements from the Council on Environmental Quality (CEQ) NEPA regulations, 40 C.F.R. Part 1500; the Federal Highway Administration (FHWA) NEPA regulations, 23 C.F.R. Part 771; CEQ and FHWA guidance documents; and court decisions.In addition, this section briefly discusses Section 6002 of the S
27、afe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), which is now contained in 23 U.S.C. 139. This section also considers FHWAs statewide and metropolitan planning regulations (23 C.F.R. Part 450), as well as Appendix A to the planning regulations. Append
28、ix A contains detailed guidance on linking the planning and NEPA processes.Purpose and NeedWhy a Purpose and Need is Required. The CEQ regulations require every environmental impact statement (EIS) to “briefly specify the underlying purpose and need to which the agency is responding in proposing the
29、 alternatives including the 2007 by the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law.Defining the Purpose and Need and Determining the Range of Alternatives for Transportation Projects proposed action.”1In additi
30、on, the CEQ regulations require an environmental assessment (EA) to include “a brief discussion of the need for the proposal.”2Importance of Purpose and Need in NEPA. The purpose and need is a key factor in determining the range of alternatives considered in an EIS. Specifically, the purpose and nee
31、d limits the range of alternatives because an agency can dismiss, without detailed study, any alternative that fails to meet the projects purpose and need. A well-defined, succinct purpose and need is a fundamental building block of any EIS.Importance of Purpose and Need for Other Laws. The purpose
32、and need also plays an important role in determining the requirements of other laws. In particular, the project purpose is important for two key federal laws that apply to many transportation projects: Section 4(f) of the Department of Transportation Act and Section 404 of the Clean Water Act.Sectio
33、n 4(f). Under Section 4(f) of the Department of Transportation Act, the U.S. Department of Transportation (U.S. DOT) is required to determine whether there is any “prudent and feasible” alternative that avoids the use of significant publicly owned parks, recreation areas, and wildlife or waterfowl r
34、efuges, as well as any significant historic sites. In general, an alternative that does not meet the purpose of a project is not prudent and therefore can be eliminated from consideration under Section 4(f). The agency responsible for determining “prudence” under Section 4(f) is the U.S. Department
35、of Transportationspecifically FHWA, for highway projects that require FHWA approval.Section 404. Under Section 404 of the Clean Water Act, the U.S. Army Corps of Engineers is required to determine whether there is any “practicable” alternative that avoids the use of aquatic resources within its juri
36、sdiction. In general, an alternative that does not meet the purpose of a project is not practicable and therefore can be eliminated from consideration under Section 404.3The determination of “practicability” under Section 404 is distinct from the determination of “reasonableness” under NEPA. The age
37、ncy responsible for determining “practicability” under Section 404 is the Corps.Direction Provided in SAFETEA-LU for Defining the Purpose and Need. In Section 6002 of SAFETEA-LU, which is now 23 U.S.C. 139, Congress required a purpose and need statement to include “a clear statement of the objective
38、s that the proposed action is intended to achieve” and listed the following objectives that can be included:“Achieving a transportation objective identified in an applicable statewide or metropolitan transportation plan”;“Supporting land use, economic development, or growth objectives established in
39、 applicable Federal, state, local, or tribal plans”; and“Serving national defense, national security, or other national objectives, as established in Federal laws, plans, or policies.”According to FHWAs guidance on Section 6002, this section in SAFETEA-LU does not substantively change the concept of
40、 purpose and need that was established by CEQ. It simply provides examples of some purposes that can be included in a purpose and need statement. The decision about which goals to include still should be made on a case-by-case basis.Linking Planning and NEPAGuidance in “Appendix A” to the Planning R
41、egulations. In 2005, FHWA and FTA issued joint guidance on linking the transportation planning and NEPA processes. In 2007, this guidance was incorporated, with some changes, into Appendix A of the new statewide and metropolitan transportation planning regulations (23 C.F.R. Part 450). Appendix A re
42、fers to the transportation planning process as the “primary source” of the purpose and need, and lists four specific ways in which the planning process can be used to develop a purpose and need:(a) Goals and objectives from the transportation planning process may be part of the projects purpose and
43、need statement;140 C.F.R. 1506.13.240 C.F.R. 1508.9. The regulation states in full that an environmental assessment “shall include brief discussions of the need for the proposal, of alternatives as required by section 102(2)(E), of the environmental impacts of the proposed action and alternatives, a
44、nd a listing of agencies and persons consulted.” Section 102(2)(E) requires Federal agencies to “study, develop, and describe appropriate alternatives to recommended courses of action in any proposal which involves unresolved conflicts concerning alternative uses of available resources.” This genera
45、l requirement has been interpreted by CEQ to require an analysis of alternatives in EAs.3See 40 C.F.R. 230.3(q) (“The term practicable means available and capable of being done after taking into consideration cost, existing tech-nology, and logistics in light of overall project purposes.”). 2007 by
46、the American Association of State Highway and Transportation Officials.All rights reserved. Duplication is a violation of applicable law. Defining the Purpose and Need and Determining the Range of Alternatives for Transportation Projects(b) A general travel corridor or general mode(s) (e.g., highway
47、, transit, or a highway/transit combination) resulting from planning analyses may be part of the projects purpose and need statement;(c) If the financial plan for a metropolitan transportation plan indicates that funding for a specific project will require special funding sources (e.g., tolls or pub
48、lic-private financing), such information may be included in the purpose and need statement; or(d) The results of analyses from management systems (e.g., congestion, pavement, bridge, and/or safety) may shape the purpose and need statement.The use of these planning-level goals and choices must be app
49、ropriately explained during NEPA scoping and in the NEPA document.4Role of Lead Agencies in Defining Purpose and Need. In general, the responsibility for defining a projects purpose and need rests with the lead Federal agency preparing the NEPA document. For transportation projects, the lead Federal agency is a transportation agencyfor example, FHWA for a highway project. Under the environmental review process defined in Section 6002 of SAFETEA-LU (23 U.S.C. 139), a state or local agency that is servin
