California Transportation Commission (CTC) Submittal Guidance

Background

The California Transportation Commission (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 findings 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, approve a Resolution of Necessity, 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.

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

The 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. As a responsible agency under CEQA, the CTC must also consider any addendums, subsequent, supplemental, or new environmental documents prepared for a previously approved project, prior to taking action on that project.

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
• CTC vote to approve Resolutions of Necessity

Which types of environmental products are submitted to the CTC?

Environmental products that are submitted to the CTC

• “Final” Initial Study with Negative Declaration (ND) or Mitigated Negative Declaration (MND)
• Notice of Preparation (NOP) for an Environmental Impact Report (EIR)
• Draft Environmental Impact Report (DEIR)
• Final Environmental Impact Report (FEIR)
• Addendum for ND, MND, and EIR
• Supplemental EIR
• Subsequent ND, MND, EIR

Environmental products that are not submitted to the CTC

CEQA Exemptions (Categorical, Common Sense, and Statutory) are not 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.

Submittal Instructions

Beginning in 2020, the CTC submittal process was transitioned to an electronic filing process. This process is now permanent. All CTC submittals should be filed with the CTC Liaison electronically. Please send electronic versions of the following:

• 1 Transmittal Memo (See “Required Transmittal Memo Contents” below for detailed information by document type)
• 1 signed copy of the ND, MND, NOP, DEIR, FEIR, Addendum, Supplemental, or Subsequent Environmental Document
• For final documents, 1 signed Project Report or Supplemental Project Report (if applicable)
• 1 ADA compliant copy of FEIR Findings
• 1 ADA compliant copy of FEIR Statement of Overriding Considerations (SOC) if prepared for project – note that not all FEIRs require an SOC
• 1 copy of the Notice of Determination (NOD)
• If filing an Addendum, Supplemental, or Subsequent Environmental Document, 1 copy of the original NOD – Please note that Districts should not file a new NOD for an Addendum
• 1 ADA compliant location style map (see map template and examples below)
• The title of the map must match the title of the environmental document
• Beginning and ending postmiles (or other appropriate identifiers consistent with the Environmental Document) should identify the location of the project on the map, especially for linear projects
• All maps should be 8.5 x 11” black and white
• All maps should be in Word and contain Alt Text for the map image
• 1 PDF copy of the mitigation and monitoring summary or Environmental Commitments Record (ECR) in the MND or EIR
• If the MND or EIR did not include this as an appendix, the project mitigation and monitoring summary or ECR will need to be submitted separately as part of the submittal package
• Staff names and contact information should be removed from ECRs prior to publishing in an environmental document and/or submitting to the CTC

When sending documents in, include an email with the following information on the subject line:

• District, county, route, post mile, and EA of the project
• The document type being submitted (ND, MND, NOP, DEIR, FEIR, Addendum, Supplemental or Subsequent Environmental Document)
• Reason for the submittal (Future Consideration of Funding, Route Adoption, etc.)
• Example subject line: 03-SAC-99-PM 7.8/10.2, 00000, DEIR, Future Consideration of Funding

Please use one of the following methods to electronically submit a project:

• Submit an email package directly to the CTC Liaison. Limit it to no more than one email, do not break up large pdf documents into multiple emails.
• Use FILR. People who have not used FILR will need to request access to the X drive from IT in order to share documents.
• Use an FTP site and/or Dropbox. Share the password and other relevant information so the CTC Liaison has access to it.
• If the options above are not available, use the super container. Please make using this option a last resort.

For more details on electronic submittal procedures, please contact the CTC Liaison (contact information is found at the bottom of this page).

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 the CTC website for more guidance.

• CTC Submittal Flowchart (PDF) - NOTE:  This flowchart is temporarily unavailable as updates are being made.

Please note, the CTC is requiring the following to be ADA compliant:

• Location Style Maps
• Statements of Overriding Consideration (if applicable, FEIR only)
• Findings (FEIR only)

Please email electronic, ADA compliant, pdf versions of Statements and/or Findings to the CTC Liaison using one of the methods described above.  Compliant pdfs are generally those that pass PDF Accessibility Checker Version 3 (PAC 3).  Maps are to be sent in Word.   

Map Template

To facilitate ADA compliance, Districts must use the template below to create maps for CTC submittals.  As detailed above, maps must have a title that matches the Environmental Document, beginning and ending postmiles (or other appropriate identifiers consistent with the Environmental Document) to identify the location of a project, and be 8.5 x 11” in black and white.  The instructions below describe how to insert a map into the Word template and make it ADA compliant.

Template (DOCX) | Instructions (PDF)

Three map examples accepted by the Commission as of December 2021, developed using the template, follow:  

• Map example 1 (PDF)
• Map example 2 (PDF)
• Map example 3 (PDF)

1. County/Route/Postmile descriptor(s), and Project Number(s).
2. Project funding information:
   • Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
   • Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
   • Estimated dollar amount from each funding source;
   • Total estimated project cost;
   • Programming year (e.g., 2022 SHOPP);
   • Estimated year to begin construction (e.g., FY 2024-2025); and
   • Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
3. Any legal challenges the District is aware of. 
4. What future action(s) Caltrans intends to request from the CTC for the project:
   • Vote of funds; and/or
   • Vote to approve a Route Adoption; and/or
   • Vote to approve New Public Road Connection

Notice of Preparation

The transmittal memo must include the following:

1. County/Route/Postmile descriptor(s), and Project Number(s).
2. Project funding information:
   • Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
   • Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
   • Estimated dollar amount from each funding source;
   • Total estimated project cost;
   • Programming year (e.g., 2022 SHOPP);
   • Estimated year to begin construction (e.g., FY 2024-2025); and
   • 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 EIR, 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.

Draft EIR

The transmittal memo must include the following:

1. County/Route/Postmile descriptor(s), and Project Number(s).
2. Project funding information:
   • Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
   • Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
   • Estimated dollar amount from each funding source;
   • Total estimated project cost;
   • Programming year (e.g., 2022 SHOPP);
   • Estimated year to begin construction (e.g., FY 2024-2025); and
   • 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 EIR, 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.

Final EIR

The transmittal memo must include the following:

1. County/Route/Postmile descriptor(s), and Project Number(s).
2. Project funding information:
   • Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
   • Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
   • Estimated dollar amount from each funding source;
   • Total estimated project cost;
   • Programming year (e.g., 2022 SHOPP);
   • Estimated year to begin construction (e.g., FY 2024-2025); and
   • Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
3. Any legal challenges the District is aware of. 
4. Brief statement explaining why the decision was made to prepare an EIR, rather than an ND or MND.
5. What future action(s) Caltrans intends to request from the CTC for the project:
   • Vote of funds; and/or
   • Vote to approve a Route Adoption; and/or
   • Vote to approve New Public Road Connection.

Addendums

Please submit addendums as soon as they are completed to avoid delays when projects go before the CTC for allocation requests or Resolutions of Necessity.

• 1 signed addendum – Please note that this only applies when a project revalidation required an actual addendum under CEQA (i.e., the box on the revalidation form has been checked indicating that “an addendum has been or will be prepared”). Do not submit the revalidation form until the addendum is complete and included on the revalidation form or included as an attachment.
• 1 copy of the original NOD that was filed for the project (Districts should not file a new NOD with the State Clearinghouse for addendums)
• 1 ADA compliant location style map (see map template and examples above)
  • The title of the map must match the title provided on the addendum
  • Beginning and ending postmiles (or other appropriate identifiers consistent with the addendum) should identify the location of the project on the map, especially for linear projects
  • All maps should be 8.5 x 11” black and white
  • All maps should be in Word and contain Alt Text for the map image
• 1 Transmittal Memo. The transmittal memo must include the following:
  1. County/Route/Postmile descriptor(s), and Project Number(s).
  2. Project funding information:
     • Whether the project is fully funded, not fully funded, or funded through a certain project phase (e.g., through PS&E);
     • Funding source(s) (e.g., IIP, RIP, SHOPP, TCRP, Measure funds, etc.);
     • Estimated dollar amount from each funding source;
     • Total estimated project cost;
     • Programming year (e.g., 2022 SHOPP);
     • Estimated year to begin construction (e.g., FY 2024-2025); and
     • Any unusual aspects of funding as applicable (e.g., grandfathered funds, project to be funded and built in phases, etc.).
  3. The date of the meeting (month and year) at which the original environmental document was approved by the CTC and the e-resolution number.
  4. Brief statement explaining why the decision was made to prepare an addendum. 

Supplemental, Subsequent, or New Environmental Document

When districts file a NOD for a project that includes a route adoption, new public road connection, or a funding request, Caltrans must go to the CTC for their approval as a responsible agency. For a project where a NOD has been filed, but changes require a Supplemental or Subsequent EIR, or a Subsequent IS/ND or MND, then Caltrans must return to the CTC for approval upon issuance of a new NOD. The Commission cannot approve an allocation unless a final environmental document for a project is submitted to it, and it adopts a resolution of approval. When submitting a subsequent, supplemental, or new environmental document for a project, follow the procedures described for environmental documents, but include both the original NOD as well as the new NOD.

Contacts

Submit all materials with a transmittal memo to:

Encanta Engleby
Phone: (916) 208-9475