Purpose and Need
Definition and Background Information
A project's "Need" is an identified transportation deficiency or problem, and its "Purpose" is the set of objectives that will be met to address the transportation deficiency. A reasonable solution or range of solutions is developed and evaluated based on these objectives.
- A clear, concise, well justified Purpose and Need statement is the foundation of every transportation project. It is critical for identifying a reasonable range of project alternatives; it expedites project delivery; and it leads to a more precisely defined project scope, schedule, and cost. Just as importantly, it explains to the public, stakeholders, and decision makers that the expenditure of funds is necessary and worthwhile, and that the project's priority relative to other transportation projects is warranted. It ensures that the right project is built.
- A quality Purpose and Need statement also meets the requirements of federal and state regulations: an Environmental Impact Statement shall "briefly specify the underlying purpose and need to which the agency is responding in proposing the alternatives including the proposed action" (40 CFR §1502.13); an Environmental Impact Report shall "contain a statement of objectives sought by the proposed project" and it "should include the underlying purpose of the project" [14 CCR §151.24(b)].
- A project's basic purpose and need must be founded in a transportation planning document and will remain consistent throughout project development. As supporting data and input are assembled during the project approval process, these can be used to refine the solutions being considered, thereby permitting a more focused analysis of those solutions that truly address the problem to be solved. All subsequent project activities must reflect this final project purpose and need. Key factors in the successful development and refinement of a sound Purpose and Need statement include broad participation from functional units and stakeholders. It is also crucial that project data are transmitted and retained for each phase of the project development process.
Purpose and Need, or Need and Purpose - Which is it?
The need for a project drives its purpose; this is how the phrase "need and purpose" came into usage. It conveys how practitioners should approach this topic: first define the need(s) for a project, and the project purpose(s) will flow from that. However, "purpose and need" is the expression most commonly seen in statutes and regulations, and it is also more commonly used in case law, guidance, and general practice. Based on this preponderance of usage, the Purpose and Need Team and its sponsors and advisors recommend that practitioners retain the statutory usage and refer to "purpose and need."Purpose and Need - Why, Who, When, What, How: A Compilation of Practical Information
Why: A Well-Defined Purpose and Need Statement is Important
- Avoids developing an ill-conceived project
- Develops a shared understanding of the transportation problems, objectives, and possible solutions
- Defines a project's scope, guiding development of alternatives, and evaluating alternatives
- Achieves environmental streamlining
- Helps to identify potential context sensitive solutions
- Allows transportation decisions to be legally defensible
- Justifies impacts and spending of funds
- Helps justify projects for programming
Who: Who Develops the Purpose and Need, Who Participates, and Who Reviews
See Acronym definitions below.
| RTP | TCR/RCR |
PID | PA&ED | |
| Develops Purpose and Need | MPO or RTPA |
CT System Planning |
PDT (CT/Local Agency) |
PDT (CT Environmental Planning) |
| Contributes to Development |
CT |
Other CT functional units | Other CT functional units Other External Stakeholders |
Other CT functional units Other External Stakeholders FHWA Regulatory agencies Resource Agencies |
| Reviews Draft |
CT |
MPO or RTPA |
MPO or RTPA |
MPO or RTPA |
When: When a project's Purpose and Need is developed (ongoing, increasingly detailed)
See Acronym definitions below.
| RTP | TCR/RCR |
PID | PA&ED | |
| When Developed | Developed when the RTP is drafted: continuous process |
Update as needed |
At initiation of PID, refined throughout PID process |
At initiation of environmental document, refined throughout environmental process |
| How Developed |
Identifies existing future system deficiencies [through modeling, traffic surveys, counts, trends, demographics, safety data, land use, etc.] Deficiencies are turned into basic statements of intent that may encompass groups of projects Public and stakeholder participation |
Identifies existing future corridor deficiencies [through modeling, traffic surveys, counts, trends, demographics, safety data, land use, etc.] Public and stakeholder participation |
Looks at project background, current data PDT meetings Public and stakeholder participation |
Looks at project background, current data PDT meetings Consultation with regulatory and resource agencies Public and stakeholder participation |
What: Elements of a project's Purpose and Need
A project's purpose and need is a package comprised of:
- Purpose and Need statement itself. A quality purpose and need statement must briefly and precisely state the transportation problem and the intended project objective.
- Supporting information and data. This must be detailed enough to substantiate the problem and justify the objective expressed in the purpose and need statement. It may include narrative text, tables and graphs, or visuals. In engineering reports and environmental documents, it can be several paragraphs or pages long.
Elements of a Project's Need
- Establishes evidence of current or future transportation problem or deficiency
- Is factual and quantifiable
- Justifies commitment of resources and impacts to the environment
- Identifies a problem that is fixable/solvable
- Establishes and justifies logical termini (23 CFR 771.111(f))
Elements of a Project's Purpose
- Presents objectives to address the need
- Can be used to develop and evaluate potential solutions
- Is achievable
- Is unbiased
- Is comprehensive enough to allow for a reasonable range of alternatives, and specific enough to limit the range of feasible alternatives
- Allows for a range of alternatives that are in context with the setting
- Focuses on multi-modal transportation system
How: Assorted Suggestions and Lessons Learned
Participate actively as a member of a Project Development Team (PDT). Start attending early in the process. Stay involved. Use them as a means of communicating a functional unit‘s concerns to the project team. Use them as a forum to work through project issues. Use them to help retain and transfer project information. This will help the PDT identify the needs, the objectives that must be achieved to meet those need, and the solutions that will fulfill the objectives.
Avoid stating a specific transportation solution as a project’s purpose. For instance, do not state that a project‘s purpose is to "build a four-lane highway." Worded this way, the purpose specifies a solution to the need, rather than an objective. There may be many other possible solutions, but this wording would preclude consideration of those other options. Instead, try to state the purpose as an objective that must be met; this will make it possible to capture various possible solutions. In this example, the actual objective may be to "improve accessibility." This wording allows the project team to consider a range of appropriate solutions to the problem without dictating a specific outcome (for example, improving transit availability/reliability).
Verify that the Purpose and Need is consistent with strategies as defined in state, regional, and local plans, goals and objectives.
When defining a project purpose, be sure that all of the objectives are actually achievable. If certain objectives are not achievable, this can create project delays. In particular, be certain that non-transportation objectives, such as environmental benefits of the project, are achievable before including them in the Purpose and Need statement.
At the Project Approval & Environmental Document stage (PA&ED), identify any project changes since the Project Initiation Document (PID) was prepared. This will help to clarify what the transportation problem is.
Make every effort to keep project files current and accessible. Be aware that others at subsequent phases may need the information in those files so they won’t have to start from scratch to do their work. Each functional unit is part of a much larger process to plan, program and deliver projects and then maintain and operate the facilities. Retaining and transferring project information to others creates continuity, consistency and streamlining.
Advocacy groups can influence the way a project’s purpose and need are defined and can also affect which solutions are considered to meet the stated objectives. Where such input is anticipated, be sure to incorporate resources in project workplans for the interactions.
Acronyms
CT - Caltrans; California Department of Transportation
FHWA - Federal Highway Administration
FTA - Federal Transit Administration
MPO - Metropolitan Planning Organization – (see PDPM Chapter 1, Section 4)
PAED - Project Approval/Environmental Document – (see PDPM Chapter 10 & Chapter 12)
PDPM - Project Development Procedures Manual
PDT - Project Development Team – (see PDPM Chapter 8)
PID - Project Initiation Document – (see PDPM Chapter 9)
RTP - Regional Transportation Plan – (see PDPM Chapter 1, Section 4 & The Regional Transportation Plan Guidelines)
RTPA - Regional Transportation Planning Agency – (see PDPM Chapter 1, Section 4)
TCR/RCR - Transportation Concept Report/Route Concept Report – (see PDPM Chapter 1, Section 4)