Consideration of Environmental Factors in Transportation Planning: Review and Analysis of Current Policies, Practices and Trends

Amekudzi, Meyer and Henck 1
Consideration of Environmental Factors in Transportation Planning: Review and
Analysis of Current Policies, Practices and Trends

Adjo Amekudzi, Ph.D., Assistant Professor, Transportation Systems, School of Civil and
Environmental Engineering, Georgia Institute of Technology, Atlanta GA 30332, (404)
894-0404 (T), Fax: (404) 894-2278 (F), adjo.amekudzi@ce.gatech.edu

Michael Meyer, Ph.D., P.E., Professor, Transportation Systems, School of Civil and
Environmental Engineering, Georgia Institute of Technology, Atlanta, GA 30332 (404)
355-2246 (T), (404) 896-2278 (F), mike.meyer@ce.gatech.edu

Heather Henck, M.S., Graduate Research Assistant, Transportation Systems, School of
Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta, GA
30332, gtg662d@prism.gatech.edu

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Amekudzi, Meyer and Henck 2
ABSTRACT
A growing number of state Departments of Transportation (DOTs) and metropolitan
planning organizations (MPOs) are considering environmental factors in a more
systematic way earlier in the transportation planning process, recognizing that there are
benefits to be gained from better decisions, which reduce potential public controversy
and result in shorter times to project implementation. This paper reviews current trends
and practices for considering environmental factors in transportation planning at a
systems level, in state DOTs and MPOs. The study is based on a review of the literature,
and a survey and case studies of state DOTs and MPOs. The study results indicate that
there are various levels of ongoing activity for considering environmental factors in
planning in different agencies around the country. Agencies tend to place different
emphases on various environmental factors depending on their unique set of needs. And
while they are making gradual progress, several agencies identify competing priorities
and the lack of appropriate planning tools as obstacles to considering environmental
factors in transportation planning.
















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INTRODUCTION
This paper reviews current policies, practices and trends in state Departments of
Transportation (DOTs) and Metropolitan Planning Organizations (MPOs) for
systematically considering environmental factors in the transportation planning process,
prior to project implementation. The paper reports interim results of a research project
being sponsored by the National Highway Cooperative Research Program (NCHRP
Project 8-38) Consideration of Environmental Factors in Transportation Planning (1).
The purpose of the research project is to determine what state DOTs and MPOs are doing
to consider environmental factors in transportation systems planning and subsequently, to
develop guidance on enabling policies, programs, planning procedures and analytical
tools for considering environmental factors in transportation planning. This paper
focuses on the current status of systems-level environmental considerations in
transportation planning agencies. The development of guidance on environmental
considerations in transportation planning will be reported elsewhere at a future date.

Background
Transportation planning is undertaken for many reasons, and thus transportation plans
can serve many purposes. First and foremost, transportation planning provides
information to those who have to make decisions regarding investment in the
transportation system. This information not only relates to expected changes in system
performance given the investment, but also what negative consequences can be expected
on the natural and human environment. Ever since the late 1960s, transportation
planning has considered environmental impacts in a systematic way as part of the
environmental analysis component of project development. Experience has shown,
however, that in many cases, waiting until this stage of transportation decision-making
can create significant delays in project completion when environmental issues that could
have been resolved earlier in the process are raised as part of project design. An
important question thus becomes, is there some way of considering environmental issues
earlier in systems planning that not only will help save project development time later on,
but also lead to better projects?

Objectives and Outline
The objectives of this paper are to review current policies, practices and trends in state
DOTS and MPOs for considering environmental factors in transportation planning prior
to project development. The purpose is to characterize the nature of the current practices
and trends in state DOTs and MPOs for addressing environmental factors in planning,
and identify enablers and obstacles to the consideration of environmental factors in
transportation planning. The following sections of the paper report on key findings on
the subject based on a review of the environmental, transportation and systems planning
literature, a survey of state DOTs and MPOs, and case studies of selected DOTs and
MPOs. The findings are analyzed and conclusions are drawn to identify some of the best
practices in systems-level considerations of environmental factors in transportation
planning, as well as critical issues that need to be addressed to support the consideration
of environmental factors earlier in the planning process.

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CURRENT POLICIES, PRACTICES AND TRENDS
To characterize how environmental factors are currently considered in systems planning,
a literature search, a national survey of state departments of transportation and
metropolitan planning organizations, and multiple case studies were conducted. The
following sections present the major findings of these efforts.

Literature Review
The consideration of environmental factors in transportation systems planning was the
subject of a national study in the 70s: the study findings are reported in NCHRP Report
156: Transportation Decision-Making – A Guide to Social and Environmental
Considerations (2). The study resulted in the following three key findings:
1) The over-all process through which social, economic, and environmental
considerations are brought into transportation planning and decision-making is as
important as the particular techniques used for predicting impacts;
2) Issues of social equity must be explicitly recognized and taken into consideration
in transportation decision-making, and
3) Different groups of people can be expected to have different interests and
different priorities.
The approach and supporting techniques offered for considering environmental factors in
transportation planning emphasize the following: (I) Community interaction, (II)
Evaluation and reporting; (III) Consideration of alternatives, (IV) Identification of
impacts and affected interests; (V) Process management; and (VI) Institutional
arrangements and decision-making. As the report appropriately notes, actual practices
change slowly within organizations as large and as complex as state transportation
agencies.

To a large extent, laws and regulations are important drivers in the consideration of
environmental factors in transportation planning, both in the US and the international
community. The availability or lack of appropriate data and analytical tools may also be
an enabler or obstacle in the consideration of environmental factors in planning. This
section discusses laws, policies and regulations in the US; summarizes international
experiences with the consideration of environmental factors in planning; and presents
various tools for incorporating environmental factors in transportation planning.

Laws, Policies, and Regulations
The Intermodal Surface Transportation Efficiency Act (ISTEA) and the Transportation
Equity Act for the 21st Century (TEA-21) are key pieces of the legislative framework for
the consideration of environmental factors in systems planning. TEA-21 provided an
impetus for environmental considerations earlier in the planning process, as well as
‘streamlining’ of the environmental process. Regulations developed to implement
environmental streamlining have met with opposition from various groups, and thus have
not been widely promulgated. Because the federal planning regulations have not been
promulgated for TEA-21, the requirements set forth in the legislation itself, and the
existing planning regulations from ISTEA, are presently operational. Two of the most
notable sections in TEA-21, consist of the consolidation of planning factors for state
planning [Section 1204 (c)] and metropolitan planning [Section 1203 (f)] from sixteen to
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Amekudzi, Meyer and Henck 5
seven, including one factor explicitly related to the environment: “protect and enhance
the environment, promote energy conservation, and improve quality of life” (3).


Other federal laws and Executive Orders that have motivated the consideration of
environmental factors in transportation planning include the following:

• The National Environmental Protection Act (NEPA) of 1969
• The Clean Water Act Amendments (CWA) of 1997
• The Clean Air Act (CAA) Amendments of 1990
• The Endangered Species Act of 1998
• Title VI of the Civil Rights act of 1964, and
• Executive Order 12898 of 1994 – Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations

The website http://www.fhwa.dot.gov/environment/ provides a comprehensive listing of
laws, regulations and guidance on the consideration of environmental factors in
transportation decision-making.

A number of states have also enacted laws or adopted policies and regulations to support
or promote the consideration of environmental factors in transportation planning. Laws
or policies were identified in 34 of the 50 states. Table 1 presents examples of these state
laws to characterize the nature of state-level legislation that currently exists to support or
promote the consideration of environmental factors in transportation.

International Experience
Consideration of environmental factors in infrastructure decision-making has become an
integral element of several planning processes in other countries. Strategic
environmental assessment (SEA) is the process of considering potential environmental
effects of strategic investment decisions that concern policies, plans, and programs. SEA
was originally developed in the European Union (EU) and is a growing activity in
European countries. The European Parliament adopted the SEA-Directive in May 2001,
and the European Council followed suit the following month (11). The purpose of the
SEA-Directive is to ensure proper environmental assessment at strategic decision-making
levels. The requirements set forth in the directive are to be integrated into existing
procedures in member states for the adoption of plans and programs or incorporated in
new procedures established to comply with the Directive. The Directive requires the
preparation of an environmental report that identifies, describes, and evaluates the likely
significant effects on the environment of implementing plans/programs as well as
reasonable alternatives.

Practical experience with SEA can be found in most of the member states in the EU.
SEA is already an official part of planning procedures in some countries, and is practiced
in others even in the absence of legislation. A recent report by the EC, SEA in the
Transport Sector: An Overview of Legislation and Practice in EU Member States,
provides a comprehensive assessment of current transport SEAs in the EU (12). The
report found that the existence of legislation promotes consistency and greater influence
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Amekudzi, Meyer and Henck 6
in SEA application. In addition to the benefits of early detection and mitigation of
environmental effects, SEA was found to provide a more efficient approach to both
policy development and implementation. The report also identified some obstacles to the
successful implementation of SEA, such as the lack of expertise and institutional
collaboration.

Analysis Tools and Data Collection Methods
Various tools can be used to consider environmental factors in transportation planning.
One of the most comprehensive research efforts on data and technologies for
incorporating environmental factors in transportation decision making was recently
completed as NCHRP Project 25-22: Technologies to Improve Consideration of
Environmental Concerns in Transportation Decision Making (13). Twenty-one
technologies were highlighted by the project categorized under five broad headings:
• Geospatial database technologies – These technologies, such as GIS and
interactive databases, provide structured, systematic data tools for collecting,
storing, analyzing, and disseminating information about areas of the earth as they
affect, or are affected by, transportation activities.
• Remote sensing – These technologies provide digital information on land and
earth features that can be combined with spectral analysis and GIS modeling to
create a powerful screening tool for transportation corridor or regional evaluation.
• Transportation impact modeling tools/technologies – These refer to the numerous
models used to evaluate potential environmental effects of transportation projects
such as air quality, noise, water quality, and biological resources.
• Decision analysis tools – These tools, such as prioritization methods and risk
analysis, help transportation agency staff define problems, manage expectations,
identify an appropriate range of alternatives, clarify information needs, identify
and quantify uncertainties, avoid decision traps, and ensure meaningful
involvement of stakeholders.
• Computer-based simulation – These technologies create a 3-D, motion-based
visual environment that allows for real-time analysis and can help provide
insights for traffic management, safety analysis, environmental change,
construction management, and master planning.

A resource guide on assessing the social and economic impacts of transportation projects
was recently completed as a product of NCHRP Project 25-19: Evaluation of Methods,
Tools, and Techniques to Assess the Social and Economic Effects of Transportation
Projects (14). This Guide discusses analysis methods and tools that could be used to
assess the social and economic effects of transportation projects and presents the results
of a survey of state DOTs and MPOs characterizing the level of use of these methods,
tools and techniques. A wide range of tools and methods available for assessing social
and economic impacts is identified, including:

• Resident or neighborhood surveys for studies on neighborhood cohesion;
• Risk models for analyzing the settlement of displaced populations;
• Regression models, spatial interaction and entropy-maximizing models, Markov
models and simulation models for modeling pedestrian movement;
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• Geographic information systems (GIS) and spatial-statistical analysis for
environmental justice analysis;
• Photomontage techniques for visual impact assessment involving the
superimposition of images of transportation system changes onto an existing
street scene;
• Noise prediction models such as STAMINA, the Federal Highway
Administration’s noise prediction software, and
• Simulation models to estimate economic development impacts of transportation
investments.

Survey Results
To determine the state-of-the-practice of environmental considerations in transportation
planning, a survey was sent to state DOTs, MPOs and environmental resource agencies.
Respondents answered specific questions on policies and regulations driving their
consideration of environmental factors, the types of factors considered, the data and
analysis tools used, and ongoing activities to integrate better the planning and project
development phases, including environmental streamlining activities. Copies of the
survey instrument may be found in the project’s interim report (1). The survey was
conducted via the Web and followed by target phone calls and emails to increase the
response rate. The results of the survey were compiled and analyzed using MATLAB
(Matrix laboratory), an interactive software system for numerical computations and
graphics.
The survey was sent to 51 members of the American Association of State Highway and
Transportation Officials (AASHTO) – one from each state DOT and from Washington,
DC; 340 members of the American Association of Metropolitan Planning Organizations
(AAMPO); and 293 members of environmental resource associations: the State and
Territorial Air Pollution Program Administrators (STAAPA), the Association of Local
Air Pollution Control Officials (ALAPCO), and the Environmental Council of the States
(ECOS). This section summarizes the results of 34 responses from the states (67%
response rate) and 42 responses from the MPOs (12% response rate). Data obtained from
the environmental resource associations (4% response rate) can be found elsewhere (1).

Key Findings from the Survey
The survey findings indicate that 62% of the state respondents and a similar percentage of
MPO respondents felt that environmental considerations were somewhat important to
very important (rated 3 to 5 on a scale of 1 to 5) in the development of their most recent
transportation plan. This percentage increased to 75% for state DOTs and 71% for MPOs
when asked how important environmental factors are likely to be in the update of the plan
10 years in the future. Generally, there seemed to be a consensus that incorporating
environmental factors earlier in the planning process leads to better decisions and
shortens the time to project implementation. Several DOTs were able to identify specific
examples of where incorporating environmental factors earlier in the planning stages
resulted in tangible benefits.

Twelve important findings from the survey are discussed in more detail below.

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1) The most important environmental factors in current transportation planning are
air quality, land use, socioeconomic considerations, and environmental justice
(See Figure 1).
• State DOTs considered air quality to be the most important factor in the most
recent plan update, as well as the projected most important factor in the update
of the statewide plan 10 years into the future. Alternatively, the MPOs
considered land use to be the most important factor both in the most recent
plan and in the pending 10-year update of the plan.
• The state DOTs identified socioeconomic considerations, land use, and
environmental justice as the next most important factors in planning in the
most recent and 10-year updates of the plan. The MPOs identified air quality,
socioeconomic considerations, and environmental justice as the next most
important environmental factors.

2) The most widely used tools for considering environmental factors in
transportation planning are data trend analyses, geographic information systems
(GIS), environmental impact-specific models, overlay maps, focus groups and
surveys (See Figure 2).
• According to the state DOT respondents, the most commonly used tools
for environmental assessment are data trend analyses, GIS, environmental
impact-specific models, surveys and focus groups.
• According to MPO respondents, the most commonly used tools re data
trend analysis, GIS, overlay maps and environmental-impact specific
models.

3) There is general agreement that only part of the data needed for considering
environmental factors in transportation planning is currently available.
• The majority of the responding state DOTs (58%) and MPOs (51%) were
of the opinion that only some of the data needed for considering
environmental factors in transportation planning is currently available.

4) The most readily available types of data from within agencies relate to air quality,
socioeconomic considerations, terrestrial ecology, noise, energy consumption,
storm water runoff, and erosion.
• According to the state DOTs, the most readily available data in-house relate to
socioeconomic considerations, air quality, and terrestrial ecology.
• According to the MPOs, the most readily available date in-house relate to
noise, energy consumption, storm water runoff, and erosion.

5) The most readily available types of data from outside agencies relate to wetlands,
environmental justice, hazardous wastes, community cohesion and climate.
• According to the state DOTs, the most readily available data from outside the
agency relate to wetlands, environmental justice, and hazardous wastes.
• According to the MPOs, the most readily available data from outside the
agency relate to climate, community cohesion and environmental justice.

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6) Only some of state DOTs and MPOs use performance measures that include
environmental factors in transportation planning. However, most state DOTs and
MPOs do use performance measures in transportation planning.
• Approximately 41% of the responding DOTs and 36% of the responding
MPOs use performance measures that include environmental factors for
transportation planning.
• Approximately 34% of state DOTs and 43% of the MPOs use performance
measures that do not include environmental factors.

7) DOTs and MPOs have a relatively high level of interaction with each other and
with environmental resource agencies, the governor’s office, environmental
advocacy groups, and public interest groups in the transportation planning
process.
• Approximately 84% of state DOTs stated that they interact on some level with
MPOs, environmental resource agencies, the Governor’s office,
environmental advocacy groups and public interest groups (other than
environmental) in the transportation planning process. The DOTs indicated
that they interact most frequently with MPOs.
• Approximately 79% of MPOs stated that they interact on some level with
DOTs, environmental resource agencies, the Governor’s office, environmental
advocacy groups and public interest groups (other than environmental) in the
transportation planning process. The MPOs indicated that they interact most
closely with the US DOT.

8) Responding DOTs and MPOs identified competing (i.e., other) priorities that do
not focus on environmental issues and a lack of appropriate planning analysis
tools as the most significant obstacles to considering environmental factors in
transportation planning. Lack of data and lack of regulations were perceived as
less important obstacles to considering environmental factors in transportation
planning.
• The highest percentage of DOT respondents (68%) and MPO respondents
(64%) selected “competing priorities that distract from environmental issues”
as an obstacle to considering environmental factors in transportation planning;
53% of the DOT respondents and 58 % of the MPO respondents indicated that
a lack of appropriate planning analysis tools was an obstacle.
• Only 6% of DOT respondents indicated that lack of regulations was a major
obstacle, while 27% of MPO respondents indicated that it was a major
obstacle.

9) A majority of DOT and MPO respondents had taken action to promote the
consideration of environmental factors earlier in the project development process.
• The majority (91%) of DOT respondents and almost two-thirds (62%) of the
MPO respondents indicated that they had taken action to promote the
consideration of environmental factors earlier in the project development
process.
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• Most DOTs had defined purpose and need earlier in the process and entered
into agreements with environmental resource agencies.
• Most MPOs had defined purpose and need earlier in the process and used
environmental experts to identify sensitive areas.

10) The majority of DOTs and MPOs believe that the most important benefit for
considering environmental factors prior to the project development stage is that it
results in better decisions. In addition, MPOs believe that an equally important
benefit is that it shortens the time to project implementation.
• For DOT respondents, other important benefits included engaging the
environmental resource agencies earlier in the process, linking planning better
with project development, improving the agency image, and reducing the
potential level of public controversy and concern.
• For MPO respondents, other important benefits included linking planning
better with project development, reducing the level of potential public
controversy and concern, and helping to develop a constituency for a project.

11)
In varying degrees, respondents could identify specific examples where
considering environmental factors prior to project development had resulted in
benefits.
• Almost one-half (47%) of the state DOT respondents and one-quarter (22%)
of the MPO respondents could identify specific examples where considering
environmental factors earlier in the project development process resulted in
benefits.

12)
A clear majority of the MPO respondents indicated that they believed
implementing agencies in their area would be supportive of addressing
environmental concerns earlier in the project development process.

Summary of Survey Findings
In general, the survey suggests that state DOTs and MPOs recognize the importance of
environmental considerations in transportation planning, but that the state-of-the-practice
is more oriented toward environmental impact-specific issues. The survey indicates that
there is notable variation in the ways in which different agencies are considering
environmental factors in transportation planning. Typically, state DOTs and MPOs place
greater emphasis on air quality and environmental justice issues. This is not surprising
given the Federal emphasis placed on these concerns in recent years. Planning agencies
consider data availability as an issue that needs to be addressed for incorporating
environmental considerations in planning. In addition, they are hindered by the lack of
appropriate analysis tools and competing objectives that are not necessarily focused on
environmental considerations.

Nevertheless, most DOTs and MPOs seem to have taken at least one action to incorporate
environmental factors prior to the project development stage. The survey results indicate
that there is a high level of interaction among implementing agencies, and MPOs seem
optimistic that implementing agencies would be supportive of incorporating
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