California Department of Transportation


Last Updated: Wednesday, November 5, 2014 9:33 AM

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 exit ct for more guidance.

Project types that trigger the need to submit an environmental document to the CTC

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.

Which types of environmental products are submitted to the CTC

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.

Detailed submittal instructions

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. Whether the project conforms to the baseline agreement;
      8. 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" x 11" 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" x 11" 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. Whether the project conforms to the baseline agreement;
      8. 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" x 11" 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. Whether the project conforms to the baseline agreement.
      8. 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" x 11" black and white format.

Where to mail the submittal package:

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 additional questions about the submittal process, please contact:


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

Locating CTC E-resolution numbers:

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.