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4 A Guidebook for Sustainability Performance Measurement for Transportation Agencies sustainability stool (see Figure 1). Equity is not seen as a separate leg of the stool; instead, it is seen as an overarching principle that plays a major part in each of the other principles. Achieving sustainability should not be a trade-off among the principles, but rather an intersection of all of these principles. As communities strive for sustainability, they work to make decisions that will promote, rather than diminish, progress in each of these principles. Figure 1. Principles of sustainability and the significance of equity. SUSTAINABILITY AND SUSTAINABLE TRANSPORTATION Globally, sustainability requires a comprehensive, multidisciplinary approach and the participation of a wide set of actors. The transportation sector can be viewed as a major contributor to the bigger picture of sustainability. Transportation agencies can set their own goals to support broader sustainability and play their part in promoting a sustainable future. This guide can help transportation agencies assess their goals relative to the higher level principles of sustainability, while recognizing that each agency--from any sector--is constrained by its mission and scope of authority. The aim is to help transportation agencies do their part--to operationalize the general sustainability principles within their specific transportation context. How Can Transportation Agencies Apply Sustainability Concepts? Transportation sustainability extends beyond the organizational boundaries of national, state, and local transportation agencies, and it cuts across the various divisions and departments that are part of a transportation agency. Sustainability applies to every stage of decision-making: planning, design, and implementation of projects and infrastructure, as well as day-to-day

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What Does Sustainability Mean to Transportation Agencies? 5 operations and maintenance. Therefore, to make progress in incorporating sustainability, agencies need to acknowledge the overlaps among their organizational boundaries and be willing to collaborate. In addition, the presence of an authorizing environment or the specifics of legislative mandates influence how sustainability is implemented. Many agencies, across all levels of government, are responsible for transportation infrastructure in the United States: National level - Congress and the Executive Branch - U.S. Department of Transportation (U.S. DOT) - FHWA - Federal Transit Administration State level - State DOTs - Independent state toll authorities Regional and local level - Metropolitan planning organizations - Local public works and transportation departments - Public transit agencies - Local-level toll authorities Given this broad set of transportation agency actors, sustainability performance measures are needed that can support the work of individual agencies and provide insight into progress on a broader scale. Within any transportation agency, sustainability can be influenced by decisions that are made at several different points in the project development process--usually by separate organizational units that are often compartmentalized. For example, protection of watersheds depends--in equal measure--on choices made by different agency offices that are responsible for which projects get built, how they are designed and constructed, and how they will be maintained over their lifespans. Typically, transportation decisions include long-range planning, programming, environmental review, project design, construction, maintenance, and operations. Ultimately, each of these steps in project development and infrastructure management affects sustainability and can be used as opportunities to develop and confirm sustainability goals and actions. These steps and their roles in an agency's sustainability approach are discussed in the following. Long-range transportation planning State DOTs and metropolitan planning organizations (MPOs) use the long-range planning process to develop a vision for state or regional transportation investment--building on a variety of complex national, state, and local transportation interests and considering the levels of funding anticipated. States and regions use different approaches to develop their long-range transportation plans (LRTPs),

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6 A Guidebook for Sustainability Performance Measurement for Transportation Agencies and the outcomes are different as well. Transportation plans vary from broad policy statements to specific and detailed preferred investment strategies. An LRTP will often help quantify long-term needs, revenues, and funding gaps; identify and define investment strategies; and/or establish a framework, priorities, or other guidance to drive shorter-term investment decisions. The LRTP can also reflect the state and local sustainability objectives, policies, and programs. While state DOTs and MPOs have significant leeway in how they develop and use their LRTPs, all agencies must comply with federal planning laws, regulation, and guidance. States must self-certify their long-range transportation planning process in conjunction with the submittal of a Statewide Transportation Improvement Plan (STIP) at least once every four years. States also must develop plans around planning factors that establish various considerations that must be incorporated into state planning processes. Long-range planning is a point at which expectations for sustainability performance can be discussed-- particularly in terms of desired sustainability outcomes--and broad performance goals established that drive subsequent investment patterns. Short-range transportation programming State and local transportation departments use capital programming to match priority transportation project needs with the funds to fulfill them. The short-range capital program is a generic term used to describe (1) an agency's list of high-priority transportation projects with well-developed scopes and precise budgets to be built in a defined time frame, and (2) the process used by a state to arrive at the list by deciding how money for transportation will be spent among competing project needs. An effective capital program will combine many short-term, project-level spending decisions in order to make progress in achieving long-term transportation goals. Development of a state or local capital program is usually a collaborative effort between the state DOT and their local and federal partners. Therefore, transportation programming is a point at which broad expectations about sustainability established in long-range planning can be translated into explicit targets associated with implementation of a specific set of projects. Project-level planning Once a transportation project is identified in a capital program, project delivery begins with planning, which takes place before environmental documents are prepared. In general, planning efforts are most extensive for major projects with potential for significant environmental impacts. Minor projects--such as guardrail replacement, acquisition of new buses, or roadway resurfacing--may involve little or no planning activity. The planning phase helps agencies to identify project needs, community concerns, and potential solutions. In many states, early consideration of environmental issues before an environmental document is prepared is an increasingly common part of project planning. Project-level sustainability performance measures may be used to inform project-level planning decisions. Project-level environmental review Transportation infrastructure projects that receive federal support must follow an elaborate environmental review process to ensure that the impacts of federal actions on the environment are considered before the project goes forward. Federal environmental review procedures are guided by the National Environmental Policy Act (NEPA), which also functions as an umbrella process for

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What Does Sustainability Mean to Transportation Agencies? 7 assuring compliance with numerous other media-specific environmental laws and regulations that include permitting and consultation activities involving a variety of federal agencies. Some states have their own, more stringent environmental review procedures that exceed NEPA in certain aspects. Frequent federal partners in the environmental/NEPA process include the U.S. Army Corps of Engineers (U.S. ACE), the U.S. Fish and Wildlife Service, the Advisory Council on Historic Preservation, the U.S. Environmental Protection Agency (U.S. EPA), and others. Most commonly, state DOTs lead the environmental process, but transit agencies or large local transportation departments may also manage these processes. NEPA establishes three classes of environmental review actions for transportation projects. These classes are based on the magnitude of their anticipated environmental impacts. An environmental impact statement (EIS) is required for major projects where a significant environmental impact is anticipated, such as construction of a new segment of controlled access freeway. As in planning, project-level sustainability performance measures may be used to inform project-level environmental decisions. Design, land acquisition, and permitting Once the NEPA process is complete and basic horizontal and vertical alignments for the project are agreed upon, detailed engineering plans can be prepared. Most design work is unrelated to environmental mitigation. Design work may include environmental compensation or enhancement features, such as storm- water control facilities, wetland mitigation, or noise walls. Permits from natural resources agencies, such as the U.S. ACE, may also be required at this phase during project delivery and require time to prepare and approve. Permits may be required for wetland restoration, storm-water runoff control, conservation of historic resources, or special construction management techniques. Sustainability may also find its way into design and right-of-way (ROW) determination related to such components as aesthetics, compatibility, multimodal accommodations, construction requirements, and materials and equipment selection. Design, land acquisition, and permitting are points at which the predictions made during planning and environmental review can be verified and translated into outcome measures of sustainability. Construction, maintenance, and operations During construction, DOTs use contractors to build projects and typically retain an overall project management and oversight role. There can be major sustainability considerations in construction, maintenance, and operations. Construction and staging footprints can affect the amount of land affected by construction. Many projects require erosion control practices and storm-water management that can reasonably be described as environmental costs. Decisions are made on many reconstruction projects to work at night or on weekends, to reclaim or recycle materials from the existing facilities, and to preserve portions of a facility that can continue to serve satisfactorily for the project life. Many of the considerations described also apply to maintenance. Disruption of service, regardless of mode, can be a major sustainability consideration. Sustainability also influences selection of materials and methods and frequency of maintenance; operations affect the ultimate performance of the transportation facilities and services. DOTs at all levels use many tools to deliver efficient and safe operations. How construction, maintenance, and operations work is done can be designed to support an agency's sustainability goals.