Last Updated: Wednesday, November 26, 2008 12:26 PM

SER - Posting History

• 11-26-08: Templates are now available for public notice language to be used where conformity requirements apply. Specific language is provided for various areas based on the combination of pollutants involved, and the type of PM10 or PM2.5 hot spot analysis done. This language should be used in Draft and Final NEPA document public notices wherever conformity applies, and must be used in PM10 and PM2.5 areas where hot spot analysis and interagency consultation is done based on EPA's March 2006 guidance. Public notice for conformity is not required for projects processed with a NEPA CE.
• 11-25-08: Templates are now available for three types of notices that FHWA sends on behalf of Caltrans to the Office of the Federal Register for publication: Notice of Intent, Notice of Availability, and Notice of Statute of Limitations on Claims. These templates adhere to the requirements of the Office of the Federal Register for document format and signatory authority.
• 11-21-08: Other Guidance: Guidance for Preparers of Cumulative Impact Analysis: One key word was changed in Step 1(Identify resources to consider in the cumulative impact analysis). To clarify that the cumulative impact analysis should focus on issues meeting either category 1) "those resources significantly impacted by the project", or category 2) "resources in poor or declining health or at risk even if project impacts are relatively small (less than significant)", the word "or" replaced the word "and" on this list.
• 11-05-08: Chapter 35: the State Clearinghouse submittal process for the draft IS/ND or MND has been updated to include the Notice of Completion.
• 10-01-08: The Environmental Certification form has been updated to add a footnote reminding districts to send a copy of each completed Environmental Certification to the EMO Chief.
• 09-26-2008: Chapter 38 and Forms & Templates page: Updated NEPA Delegation Tracking Spreadsheet and Instructions posted with a revision date of 9-19-08.
• 09-26-2008: Chapter 20 has been updated to provide links to each nationwide programmatic Section 4(f) evaluation
• 09-16-2008: Quality Control Certification Forms
  • Updated Internal and External Quality Control Certification Forms posted, with a revision date of September 15, 2008. Changes are as follows:
    • Technical Specialist Review area of the form changed to further clarify review requirements and the review that occurred. Check boxes have been added next to the list of technical study areas. The box is to be checked for each stand-alone technical study prepared for the environmental document. Technical specialist review is required for each resource topic with a stand-alone technical study.
    • Peer reviewer statement slightly modified to match the peer reviewer requirement in Chapter 38.
  • Section 4(f)
    • Section 4(f) has moved to the NEPA QC Reviewer area of the form to further clarify that the NEPA QC reviewer performs the Section 4(f) review.
    • The NEPA QC reviewer will use the form to identify the Section 4(f) finding for the project: None De minimis Programmatic Individual
    • The NEPA QC reviewer will check the box that corresponds with the Section 4(f) finding for the project
  • Environmental Branch Chief Signature has been specified on the form to be the last signature: "signed only after all other QC signatures are gathered".
  • External Quality Control Form
    • Section 4(f) now specifies the Section 4(f) finding for the project
    • Signing statements for the Environmental Consultant and the Local Agency have been modified slightly to more accurately reflect their roles in the process.
• 09-16-2008: CE/CE Form
  • Updated CE/CE form posted, with a revision date of September 15, 2008. The form was slightly modified to add a printed name above each signature block and to correct citations to 23 CFR 771.117
• 08-06-08: SER Vol. 1, Chapter 17 has been updated. Information on Location Hydraulic Study, Floodplain Evaluation Report and Summary Floodplain Encroachment Report has been revised.
• 08-04-08: SER Chapter 1 has been updated to add a link to DOT Order 5660.1A, under the section on Executive Order 11990 Protection of Wetlands.
• 08-01-08: SER Policy Memos have been updated to add Bruce Behrens Memo of July 16, 2008 titled "Procedures for Determining Legal Sufficiency of Environmental Documents under the NEPA Pilot Program". This document supercedes Mr. Behrens memo (same subject) of October 15, 2007.
• 07-31-08: SER Forms and Templates: the Notice of Availability - FONSI form has been updated.
• 07-30-08: SER Chapter 6 has been revised to update the links to the Sample Participating Agency Invitation Letter and the Sample Joint Participating and Cooperating Agency Invitation Letter.
• 07-18-08: SER Chapter 38 (NEPA Delegation) has been updated with clarifying changes to:
  
  • Quality Control Program:
    • Technical Specialist Review
    • Internal Peer Review
  • Class of Action Determination
  • Options for communicating that Environmental Document is ready for approval, in
    
    • Environmental Document Review Process
    • EIS Review Procedures, Signature Authorities
• 07-16-08: SER Chapter 33 has been updated to link to the most recent version of the NEPA/CEQA Re-validation Form (revised April 2008).
• 07-10-08: SER Chapter 15 has been updated to make corrections to the Waters of the U.S. and the State Decision Tree, update wetlands procedures for Local Assistance projects per LAPM Chapter 6 revised May 30, 2008, link to the current PES form, and repair broken links.
• 07-07-08: SER Volume 1 Chapters 3, 5, 14, 17, 18, 19, 20, 22, 28, and 31 have been updated for links to the Local Assistance Procedures Manual (LAPM) Chapter 6 Environmental Procedures (revised May 30, 2008), and the Preliminary Environmental Study (PES) Form (revised May 30, 2008).
• 06-10-08: SER Chapter 31 has been updated to add direct links to the NEPA-only annotated outlines. Chapters 32 and 37 have been updated to add clarifying text regarding local agency use of annotated outlines.
• 06-04-08: SER Chapters 13, 25, 31, 32, and 37 have been updated to link to the most current version of the Annotated Outlines (April 2008).
• 06-03-08: Section 6004: Categorical Exclusion Delegation webpage: The link to the Section 6004 Categorical Exclusion Determination Form has been removed because this form has been superseded by the revised Categorical Exclusion Checklist; and the link to the Categorical Exclusion Checklist has been updated.
• 5-20-2008: The environmental document Annotated Outlines (IS/EA, EIR/EA, EIR/EIS, EA, and EIS, posted on Forms and Templates) have been updated to clarify the following Air Quality sections: Environmental Consequences and Avoidance, and Minimization, and/or Mitigation Measures.
• 5-15-2008: SER Chapter 38 (NEPA Delegation): Correction made to Signature Protocols under Environmental Document Protocols.
• 04-28-2008: SER Chapter 38 (NEPA Delegation) has been revised. Key changes include:
  • Environmental Document Review Process - "The District/Region must also complete the Environmental Document Review Checklist before completion of the quality control process."
  • Quality Control Program - Add: "Note that the environmental branch chief’s quality control review must always occur last, but the other reviews may occur in any order that is determined to be most appropriate by the District/Region. "
  • Quality Control Certification Forms - Add: "Note that environmental documents for all projects require an Internal Quality Control Certification form, regardless of whether they are prepared by the Department, a local agency, or a consultant."
  • Division of Environmental Analysis and Legal Reviews - "The Legal Office will provide its legal review or legal sufficiency comments to the District/Region…"The Headquarters Environmental Coordinator and the Legal Office will coordinate to reach a common understanding on comments before they are submitted to the District/Region."
  • HQ Pre-Approval Review - Add new paragraph before the "No approval action" paragraph, "For the Final EISs, the Legal Office will make a legal sufficiency finding, if appropriate, or advise the District/Region that additional revision is necessary."
  • District Approval of the Draft or Final Document or Record of Decision for Public Circulation/Notification - Add new paragraph to beginning of section:
    "Before public circulation of the DEIS and FEIS, the District/Region must complete the steps below.
    For DED:
    • Legal office concurs that its comments have been addressed and that the DEIS may be signed
    • Headquarters Environmental Coordinator recommends in writing that DEIS is ready for signature.
      For FED:
    • Legal office provides Legal Sufficiency Determination. Headquarters Environmental Coordinator recommends in writing that the FED is ready for signature.
  • District Approval of the Draft or Final Document or Record of Decision for Public - "The ROD may not be published sooner than 30 days after the notice of FEIS is published in the Federal Register."
  • Signature Authorities - "The signature may be delegated to the Deputy District Director for DEIS, but may not be delegated for the FEIS or ROD."
  • Signature Authorities - Added "See Signature Authorities for the signature protocol for each document/determination type."
  • Air Quality - Added a reference to the Air Quality CE conformity checklist and the statement "This checklist is to be completed for each project and included in the project environmental file."
  • Environmental Impact Statement Submittal to U.S. EPA - "…attention Office of Federal Activities in Washington D.C. Add: "At least two copies must also be sent to the EPA Region 9 office in San Francisco."
  • Conflict Resolution With External Agencies - "Where this issue needed resolution does not involve one of the regulatory processes described above, the Department will implement…under Section 6002 of SAFETEA-LU when appropriate and assume the FHWA role, or work with the agencies involved to efficiently and effectively resolve the conflict."
  • End - Insert Useful Links:
    
    • a. Caltrans’ NEPA Delegation Website
    • b. NEPA Delegation Forms & Templates
    • c. NEPA Delegation Policy Memos
  • Environmental Document Review Process - "All quality control procedures and forms must be completed for both draft environmental document and final environmental documents."
  • Quality Control Certification Forms - Clarified that the QC Certification form is signed at the conclusion of the review "of the draft environmental document and final environmental document." Specified that the QC "form is signed once the environmental document meets standards and requirements in the reviewer's area of expertise."
  • Signature Authorities - Specified for EISs "Any delegation of signature must be in writing."
  • For further details see Chapter 38 Revision History.
• 04-29-2008: SER Chapter 20 [Section 4(f)] has been updated by expanding the discussion of the six individual elements of the Interstate Highway System in California that FHWA designated as being exceptionally significant and thus remain subject to Section 4(f) even though the Interstate Highway System, as a whole, was exempted from 4(f) in SAFETEA-LU.
• 04-18-2008: The Categorical Exclusion Checklist has been revised. Key changes include:
  
  
  • The air quality portions of the Categorical Exclusion (CE) Checklist were largely eliminated in deference to the Air Quality Checklists
  • Resource areas were added to the table of Federal laws, regulations, and executive orders (Question #5)
  • The form was condensed so that all 6004 CE classes are on one page
  • Signature and date were added
  • A slot was added at the top of form to include project identifier and EA
• 04-18-2008: The NEPA/CEQA Re-Validation Form has been revised. Key changes include the creation of "middle" categories for NEPA that more clearly identify how to document minor changes.
• 04-17-2008: The Annotated Outlines have been updated and revised. Key changes include:
  
  
  • NEPA-only annotated outlines now available.
  • Overall format for all outlines updated to consistently follow Affected Environment, Environmental Consequences, Avoidance, Minimization, and/or Mitigation Measures sequence.
  • Climate Change section updated to include latest CA and federal actions on climate change, also allows for disclosure of CO2 emissions for the purpose of comparing project alternatives
  • Section 4(f) updated to reflect new regulatory changes, including references to 23 CFR 774 and the balancing tests for "prudent and feasible" and "least harm." Additionally, guidance for documenting de minimis impact determinations has been included under Parks and Recreation and Cultural Resources sections.
  • Air Quality section minor changes were made to reflect more clearly FHWA’s air quality conformity responsibilities with NEPA Delegation, and the flow of the regional conformity flowchart. Construction emissions text expanded.
  • Noise section guidance now includes the Noise Abatement Decision Report and for the CEQA portion text clarifying that the basis for analysis is the "baseline" rather than the "no-build.
• 04-15-2008: Volume 1, Chapter 20 "Section 4(f)" has been revised to reflect 23 CFR 774, the new regulations which became effective on April 11, 2008. The revision includes the new balancing test for determining whether a feasible avoidance alternative is "prudent"; the new balancing test for identifying the viable alternative with the least overall harm; a link to the new regulations; and changes to procedures and definitions.
• 04-02-2008: Forms and Templates - Revised Internal Quality Control Certification for, External Quality Control Certification form, and the Environmental Document Preparation and Review Tool (Environmental Document Checklist). Key changes include:
  

  Internal and External Quality Control Certification Form Key Changes

  • Document type now includes CEQA documents
  • Role of Internal Peer Reviewer clarified on form: "Peer reviewer cannot have participated in, supervised, or technically reviewed this document."
  • NEPA QC reviewer statement slightly modified to clarify that NEPA QC reviewer signs both draft and final form.
  • Peer reviewer eliminated from External Certification form (Caltrans' review of an externally prepared documents provides the independence required for the peer review)

  Environmental Document Preparation and Review Tool Key Changes

  • Project identifying information added
  • Checklist updated to more strongly correlate with Annotated Outline requirements
  • Need for assignment language on ED cover specified
  • Signature and date added
• 03-14-2008: Forms and Templates - Annotated Noise Study Report Outline
• 02-13-2008: SER Chapter 38 (NEPA Delegation): Correction made to Assignment Language for Environmental Documents.
  
• 07-2007: Chapter 38 (NEPA Delegation)
• 04-2006: Chapter 39 (Incorporating Mitigation/Permit Conditions into Design)
• 09-2005: Chapter 35 (Initial Study and Negative Declaration)
• 08-2005: Chapter 11 (Air Quality)
• 07-2005: Annotated IS/EA Outline posted
• 07-2005: EIR/EA Annotated Outline posted
• 05-2004: Chapter 37 (Preparing Joint NEPA/CEQA Documentation)
• 04-2004: Chapter 27 (Visual and Aesthetic Review) posted
• 03-2004: Chapter 30 (Categorical Exclusions) revised
• 03-2004: Chapter 17 (Floodplains) revised
• 11-2003: Chapter 37 (Preparing Joint NEPA/CEQA Documentation) revised.
• 10-2003: Chapter 18 (Coastal Zone) posted
• 8-2003: Chapter 13 (Energy) posted
• 6-2003: Chapter 25 (Environmental Justice) posted; Chapter 24 (Community Impacts) posted.
• 5-2003: Chapter 20 (4(f) Resources) revised; Chapter 14 (Biological Resources) posted; Chapter 4 (Environmental Considerations During Trasportation Planning) posted; Chapter 8 (Paleontology) revised
• 4-2003: Chapter 8 (Paleontology) posted
• 3-2003: Chapter 37 (Preparing Joint NEPA/CEQA Documentation) posted; Chapter 28 (Cultural Resources) posted; Chapter 35 (Initial Study/Neq. Dec.) revised; Chapter 36 (EIR) revised
• 1-2003: Chapter 22 (Land Use) posted; Chapter 33 (Reevaluations) posted; Chapter 12 (Noise) posted; Chapter 10 (Hazardous Waste) posted; Chapter 32 (EIS) revised; Environmental Document Outline Forms posted; Chapter 23 (Farmland) posted
• 12-2002: Chapter 36 (Environmental Impact Reports) posted; North/Central Region Environmental Document Templates removed for updating
• 11-2002: Chapter 34 (Exemptions to CEQA) posted
  
• 10-2002: Chapter 3 (Public Participation) posted
  
• 7-2002: Chapter 20 (Section 4(f)) posted
  
• 4-2002: Chapter 17 (Floodplains); Environmental Handbook, Volume 2, Cultural Resources posted
  
• 3-2002: USACoE Nationwide Permit Documents; FHW Review Timlines posted; North/Central Region Environmental Document Templates updated; PEAR Report Template posted
  
• 2-2002: Chapters 19 (Wild and Scenic Rivers), 35 (CEQA IS/ND), and 32 (EIS) posted
  
• 1-2002: Chapter 6 (Scoping) posted
  
• 12-2001: Environmental Handbook Volume 1 reorganized; Forms and Templates posted; Memos posted; Chapter 31 (NEPA EA/FONSI) posted
  
• 11-2001: EA/IS Template posted, Chapters 1, 2, 34 revised
  
• 10-2001: Topic Matrices revised, Chapter 34 (EA) posted, SER site reorganized
  
• 8-2001: Contacts and Suggestion Box posted, Chapter 1 revised
  
• 4-2001: Chapter 15 (Wetlands) posted
• 3-2001: Chapters 1 (Federal Requirements) and 2 (State Requirements) posted, Topic Matrices created.