Submitting Environmental Documents to the California Transportation Commission (CTC)

This guidance is only for projects where Caltrans is the CEQA lead agency. For projects where Caltrans is not the CEQA lead agency, the CEQA lead agency must contact the CTC directly. Please see: CTC for more guidance.

The CTC is responsible for programming and allocating funds for the construction of highway, passenger rail, and transit improvements throughout California (Chapter 1106, Statutes of 1977). In accordance with the California Public Resources Code (PRC) Section 21102, an allocation will not be made by the Commission for any project that may have a significant effect on the environment, other than a project involving only feasibility or planning studies, unless a final environmental document is submitted to the Commission and the Commission has adopted a resolution to consider the project for future funding, route adoption and/or public road connections.

Under the California Environmental Quality Act (CEQA), a responsible agency is an agency other than the lead agency that has a legal responsibility for also carrying out or approving a project. Because the CTC has discretionary authority with respect to the funding and programming of Caltrans projects, the CTC is a responsible agency pursuant to CEQA. A responsible agency participates in the CEQA process by reviewing the lead agency’s CEQA document, and uses that document when making its own subsequent decision on the project. According to PRC § 21002.1(d), a responsible agency “shall be responsible for considering only the effects of those activities involved in a project which it is required by law to carry out or approve.” A responsible agency prepares and issues its own finding and notice of determination for the project.

Environmental documentation for projects is to be sent to the CTC whenever the project requires the CTC to program and allocate funds, approve a route adoption or approve a new road connection. The responsibility to coordinate and submit environmental documentation to the CTC lies with the CEQA lead agency. Under CEQA, a lead agency is the public agency which has the principal responsibility for carrying out or approving a project which may have a significant effect on the environment. The roles and responsibilities of partners developing projects on the State Highway System are set forth in cooperative agreements completed for individual projects.

The California Transportation Commission (CTC) expects to see all environmental documents for projects on which it takes action. This applies even to projects with a small budget and small scope (e.g., Minor A Projects), as long as an environmental document was prepared. Categorical Exemptions and Statutory Exemptions are not submitted. Environmental documents must be submitted to the CTC for projects requiring any of the following CTC actions:

  • CTC vote to approve funds; and/or
  • CTC vote to approve a new public road connection; and/or
  • CTC vote to approve a route adoption

For projects requiring CTC approval actions (see above), the following kinds of environmental products must be submitted:

For an Initial Study (IS) with Negative Declaration (ND) or Mitigated Negative Declaration (MND)

When an IS with ND or MND is prepared for a project requiring one or more CTC approval actions (see above), submit each of the following signed documents when ready:

  • "Final" IS with signed ND or MND

For an Environmental Impact Report (EIR)

When an EIR is prepared for a project requiring one or more CTC approval actions (see above), submit each of the following signed documents when each becomes ready:

  • Notice of Preparation (NOP)
  • Draft Environmental Impact Report (DEIR)
  • Final Environmental Impact Report (FEIR)

Environmental Products That Are Not Submitted to the CTC

Categorical and Statutory Exemptions document exemption from CEQA. They do not need to be submitted to the CTC.

A "Draft" IS with proposed ND or MND does not need to be submitted to the CTC.

National Environmental Policy Act (NEPA) documents, when they are prepared separately from the CEQA documents, do not need to be sent to the CTC as part of the submittal package. The CTC is a state agency with no authority over NEPA-related matters.

This section provides detailed instructions for each type of submittal: "Final" IS with ND or MND; NOP; DEIR; and FEIR. The mailing address for the submittal follows this section.

  • Submittal of "Final" Initial Study (IS) with Signed Negative Declaration (ND) or Mitigated Negative Declaration (MND)

    When submitting a "Final" IS to the CTC with a signed ND or a signed MND, include the following items in the submittal package. Also send a copy of the transmittal memo to the Division of Environmental Analysis Environmental Coordinator assigned to the region, and include one (1) copy of the Notice of Determination (NOD).

    1. A transmittal memo* that includes:
      1. County/Route/Postmile descriptor(s), and Project Number(s).
      2. Project funding information:
        1. Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
        2. Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
        3. Estimated dollar amount from each funding source;
        4. Total estimated project cost;
        5. Programming year (e.g., 2010 SHOPP);
        6. Estimated year to begin construction (e.g., FY 2014-2015); and
        7. Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
      3. What future action(s) the Department intends to request from the CTC for the project:
        1. Vote of funds; and/or
        2. Vote to approve a Route Adoption; and/or
        3. Vote to approve New Public Road Connection
    2. Three (3) copies of the "Final" IS with approved ND or approved MND.
    3. One (1) copy of the approved (signed) project approval document (e.g., Project Report, Project Scope Summary Report).
    4. Three (3) copies of the signed ND or signed MND.
    5. Three (3) copies of the page with IS approval signatures.
    6. One (1) copy of the NOD.
    7. One (1) copy of the project vicinity map, reproducible in 8.5"x11" black and white format.
  • Submittal of Notice of Preparation (NOP) to the CTC

    When submitting an NOP to the CTC, include the following items in the submittal package. Also send a copy of the transmittal memo to the Division of Environmental Analysis Environmental Coordinator assigned to the region.

    1. A transmittal memo* that includes:
      1. County/Route/Postmile descriptor(s), and Project Number(s).
      2. Project funding information:
        1. Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
        2. Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
        3. Estimated dollar amount from each funding source;
        4. Total estimated project cost;
        5. Programming year (e.g., 2010 SHOPP);
        6. Estimated year to begin construction (e.g., FY 2014-2015); and
        7. Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
      3. Brief statement explaining why the decision was made to prepare an Environmental Impact Report, rather than an ND or MND.
      4. Bulleted list of alternatives being considered, briefly explaining what each one is or how each one differs.
      5. Bulleted list of potentially significant environmental effects.
      6. Bulleted list of proposed measures to minimize harm.
    2. Three (3) copies of the NOP form.
    3. Three (3) copies of the NOP attachment containing the project description, probable environmental effects, possible alternatives and proposed scoping process.
    4. One (1) copy of the project vicinity map, reproducible in 8.5"x11" black and white format.
  • Submittal of Draft Environmental Impact Report (DEIR) to the CTC

    When submitting a DEIR to the CTC, include the following items in the submittal package. Also send a copy of the transmittal memo to the Division of Environmental Analysis Environmental Coordinator assigned to the region.

    1. A transmittal memo* that includes:
      1. County/Route/Postmile descriptor(s), and Project Number(s).
      2. Project funding information:
        1. Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
        2. Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
        3. Estimated dollar amount from each funding source;
        4. Total estimated project cost;
        5. Programming year (e.g., 2010 SHOPP);
        6. Estimated year to begin construction (e.g., FY 2014-2015); and
        7. Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
      3. Brief statement explaining why the decision was made to prepare an Environmental Impact Report, rather than an ND or MND.
      4. Bulleted list of alternatives being considered, briefly explaining what each one is or how each one differs.
      5. Bulleted list of potentially significant environmental effects.
      6. Bulleted list of proposed measures to minimize harm.
    2. Three (3) copies of the DEIR.
    3. One (1) copy of the approved (signed) design document for this project phase (e.g., Draft Project Report, Draft Project Scope Summary Report). 
    4. Three (3) copies of the Executive Summary.
    5. One (1) copy of the project vicinity map, reproducible in 8.5"x11" black and white format.
  • Submittal of Final Environmental Impact Report (FEIR) to the CTC

    When submitting a FEIR to the CTC, include the following items in the submittal package. Also send a copy of the transmittal memo to the Division of Environmental Analysis Environmental Coordinator assigned to the region, along with one (1) copy of Notice of Determination (NOD), as well as one (1) copy of the Findings of Significant Impact and one (1) copy of the Statement of Overriding Considerations, if these were prepared.

    1. A transmittal memo* that includes:
      1. County/Route/Postmile descriptor(s), and Project Number(s).
      2. Project funding information:
        1. Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
        2. Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
        3. Estimated dollar amount from each funding source;
        4. Total estimated project cost;
        5. Programming year (e.g., 2010 SHOPP);
        6. Estimated year to begin construction (e.g., FY 2014-2015); and
        7. Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
      3. Brief statement explaining why the decision was made to prepare an Environmental Impact Report, rather than an ND or MND.
      4. What future action(s) the Department intends to request from the CTC for the project:
        1. Vote of funds; and/or
        2. Vote to approve a Route Adoption; and/or
        3. Vote to approve New Public Road Connection.
    2. Three (3) copies of the FEIR.
    3. One (1) copy of the approved (signed) project approval document (e.g., Project Report, Project Scope Summary Report).
    4. Three (3) copies of the Executive Summary.
    5. One (1) copy of the Department's NOD.
    6. One (1) copy of the Findings and one (1) copy of the Statement of Overriding Considerations, if these were prepared.
    7. One (1) copy of the project vicinity map, reproducible in 8.5"x11" black and white format.

Submit all materials with a transmittal memo to:

Department of Transportation
Division of Environmental Analysis
Attn: Peter Bond
P.O. Box 942874, M.S. 27
Sacramento, CA 94274-0001

For overnight deliveries, send to:

Department of Transportation
Division of Environmental Analysis
Attn: Peter Bond
1120 N Street, MS 27
Sacramento, CA 95814

For additional questions about the submittal process, please contact:

Peter Bond 
Phone (916) 653-8307
Fax (916) 653-7757

E-Resolution numbers are issued to projects by the Division of Transportation Programming for the purpose of seeking CTC actions. If the project is approved and/or adopted by the CTC, the e-resolution number is formally assigned. To locate your e-resolution number, email the Transportation Programming Office of the CTC Liaison under the "Contact Us" heading and provide your submittal date, the project name, county post miles, and the Project Planning Number (PPNO). If the submittal date is unknown, provide the remaining information. Contact your Project Manager to obtain your PPNO number. The Office of the CTC Liaison will research their Resolution Index based on your provided data. Note that if the project is not listed, the item has not come before the CTC for action.

Contact Information

Jennifer Heichel, Office Chief
Brenda Powell-Jones, Senior Environmental Planner
Chris Kuzak, Senior Environmental Planner
Jennifer Clark, Senior Environmental Planner
Peter Bond, Senior Environmental Planner
Scott Williams, Senior Environmental Planner

For questions regarding the EMO - Caltrans Division of Environmental Analysis web page, contact the webmaster.

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