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Other Guidance

Environmental Requirements for Encroachment Permits

The Environmental Management Office has created a Fact Sheet entitled “Environmental Requirements for Encroachment Permits (PDF)” which discusses CEQA and NEPA requirements for encroachment permits and other right-of-way use agreements, clarifies the meaning of highway versus non-highway uses, and also briefly touches upon other requirements such as Section 106 compliance, Section 7 consultation, and Section 4(f).

Roadway Lighting Environmental Assessment Fact Sheet

The Division of Environmental Analysis has prepared a “Roadway Lighting Environmental Assessment Fact Sheet (PDF)” to provide a basic summary of environmental resources that may require assessment for the potential of roadway lighting to produce adverse effects.

Considering Equity in Community Impact Analysis for Projects

The Environmental Management Office has posted a new Fact Sheet entitled “Considering Equity in Community Impact Analysis for Projects.”  This guidance was developed by the Community Impacts Analysis Working Group in cooperation with the Environmental Management Office.

Senate Bill (SB) 743 Implementation

Information on Senate Bill (SB) 743 Implementation, including the Transportation Analysis Framework (TAF) and the Transportation Analysis under CEQA (TAC) guidance documents can be found on the Office of Smart Mobility and Climate Change’s Senate Bill (SB) 743 Implementation website.

Fact Sheet for Updated NEPA Regulations

The Division of Environmental Analysis, Environmental Management Office has updated the “Fact Sheet on the Council on Environmental Quality’s Update to the Regulations Implementing the Procedural Provisions of the National Environmental Policy Act.”  On April 20, 2022, the Council on Environmental Quality published in the Federal Register a Final Rule to reverse a number of the updates to the NEPA regulations that were enacted by a Final Rule published on July 16, 2020.  In particular, the previous definitions of effects were restored.  These revisions were effective May 20, 2022.  This Final Rule was considered a “Phase I” rulemaking and further revisions are anticipated in a “Phase 2” rulemaking. The Fact Sheet (PDF) has been updated to reflect the changes made by the April 20, 2022 Final Rule.  

Fact Sheet for CEQA Guidelines Update

The Environmental Management Office has created a fact sheet summarizing the recent updates to the CEQA Guidelines (PDF). These updates must be applied to steps not yet undertaken in the CEQA process by the effective date of April 27, 2019. Please see the fact sheet for full details.

Fact Sheet for Different Types of Caltrans Projects

The Environmental Management Office has created a fact sheet for Different Types of Caltrans Projects (PDF). This document provides a basic summary of Caltrans roles and responsibilities under CEQA and NEPA for different project types.

Final Caltrans Environmental Records Retention Policy

The GNEIS Office has prepared "Final Caltrans Environmental Records Retention Policy (PDF)" that must be implemented for all NEPA Assignment 23 USC 326 and 23 USC 327 projects.

Environmental Risk Register Guidance

The Environmental Management Office has prepared Environmental Risk Register Guidance (PDF) and two example risk registers - Level 1 (PDF) and Level 2 (PDF) to assist Environmental staff in the identification of environmental risks for project risk registers.

Fact Sheet for CEQA Document Types

The Environmental Management Office has prepared a CEQA Document Types Fact Sheet (PDF) to provide direction on determining the appropriate CEQA determination/document type for projects on the State Highway System (SHS) where Caltrans is the CEQA lead agency.

Fact Sheet for NEPA CEs and Transportation Conformity Requirements

The Division of Environmental Analysis, Environmental Management Office and the Division of Transportation Planning, Office of Regional Planning have developed a Fact Sheet for NEPA CEs (PDF) to clarify when a transportation conformity determination may be required for a project for which a Categorical Exclusion (CE) will be prepared under the National Environmental Policy Act (NEPA).

Fact Sheet that provides clarification on projects exempt from air quality conformity requirements under 23 CFR 93.126

The Division of Environmental Analysis, Environmental Management Office and the Division of Transportation Planning, Office of Regional Planning have developed a Fact Sheet that provides clarification on projects exempt from air quality conformity requirements (PDF) under 23 CFR 93.126.

Fact Sheet for FAST ACT Section 1304 Amendments to the 23 USC 139 Efficient Environmental Review Process

The Environmental Management Office has developed a Fact Sheet for FAST ACT Section 1304 Amendments to the 23 USC 139 Efficient Environmental Review Process (PDF).

Mitigation under CEQA

The Environmental Management Office (EMO) has posted guidance on Mitigation under CEQA (PDF) and a supplemental flowchart (PDF).

CIA Template

The Environmental Management Office (EMO) has updated the Community Impact Assessment (CIA) template (DOCX) to include Equity considerations (July 2022).

Fact Sheet for FSTIP Considerations in NEPA Approvals

The Environmental Management Office has updated its FSTIP Fact Sheet (PDF) which outlines the requirements for FSTIP considerations in NEPA approvals. In addition, a sample ESR (PDF) has been provided on the SER forms and templates page. The ESR contains a new checkbox for the FSTIP/RTP project page attachment. Districts are encouraged to incorporate the changes into their ESRs.

The FHWA has posted new "Guidelines for the Visual Impact Assessment of Highway Projects" (FHWA, 2015).

The FHWA has posted new "Guidelines for the Visual Impact Assessment of Highway Projects" (FHWA, 2015).

NOTE: Please see the Policy Memorandum (PDF) dated November 6, 2015 for more information regarding the use of this guidance.

Fact Sheet for New Categorical Exclusions under 23 CFR 771.117(c), CEs moved FROM the "d list" TO the "c list," and Programmatic Agreements for CEs

The Division of Environmental Analysis (DEA) has developed the "Fact Sheet for New Categorical Exclusions under 23 CFR 771.117(c), CEs moved FROM the "d list" TO the "c list," and Programmatic Agreements for CEs. (PDF)".  These CEs are effective November 5, 2014.

Fact Sheet for Categorical Exclusions under 23 CFR 771.117(c)(22) and 771.117(c)(23)

The Division of Environmental Analysis (DEA) has developed the "Fact Sheet for Categorical Exclusions under 23 CFR 771.117(c)(22) and 771.117(c)(23) (PDF)." for projects within an existing operational right-of-way and projects receiving limited federal funding. These CEs are effective 02-12-2014. This Fact Sheet was revised February 7, 2019 to reflect that Section 1314 of the FAST Act provided for annual inflation adjustments based on the Consumer Price Index.

Alternatives Analysis—Frequently Asked Questions

The Division of Environmental Analysis (DEA) has developed the "Alternatives Analysis Frequently Asked Questions (PDF)" to provide guidance on the development of alternatives, including requirements for NEPA documents, requirements for CEQA documents, when avoidance alternatives are required, the difference between a design option and an alternative, and other important considerations.

Guidance on Incorporating Sea Level Rise

This Guidance on Incorporating Sea Level Rise (PDF) provides a framework for determining when and how to address sea level rise impacts on the Department's projects during the planning and project initiation phases.

Tracking FESA Consultations and Automatic Elevation Procedures

This Memorandum on Tracking Federal Endangered Species Act Consultations and Automatic Elevation Procedures (PDF) outlines automatic elevation procedures.

Dispute Resolution Process with FWS for Section 7

This guidance (PDF) is for the dispute resolution process flowchart and elevation ladder.

Guidance for Preparers of Cumulative Impact Analysis

This guidance for Preparers of Cumulative Impact Analysis recommends practical and flexible approaches for identifying cumulative impacts and preparing sound cumulative impact analyses for surface transportation projects in California. An introduction and three issue papers are also part of the guidance.

Guidance for Preparers of Growth-related, Indirect Impact Analyses

The “Guidance for Preparers of Growth-related, Indirect Impact Analyses” includes introductory information and five additional chapters: Regulatory Framework and Definitions; Land Use, Transportation and Growth; Key Concepts for Growth-related Impact Analyses; Making the First Cut; and, Performing the Analysis. This document is available upon request.  Please contact Jennifer.Clark@dot.ca.gov for a copy.

Environmental Commitments Record

This Environmental Commitments Record memo (PDF) requires each District to create and maintain an Environmental Commitments Record. A sample Environmental Commitments Record (ECR) form can be found on the SER Forms and Templates page.

Mitigation in Areas with Habitat Conservation Plans

The Federal Highway Administration (FHWA) has released a memo on "Mitigation in Areas with Habitat Conservation Plans" (PDF) on December 3, 2004. In this memo, FHWA clarifies the guidance pertaining to the cost of mitigation on approved conservation plans.

Programmatic biological opinion based on FHWA's minor transportation projects

This Agreement in Principle for Interim Criteria for Injury to Fish from Pile Driving Activities memo (PDF) issued by the Fish and Wildlife Service describes the Programmatic Biological Opinion on the Effects of Minor Transportation Projects on the San Joaquin Kit Fox, Giant Kangaroo Rat, Tipton Kangaroo Rat, Blunt-nosed Leopard Lizard, California Jewelflower, San Joaquin Woolly-threads, Bakersfield Cactus, and Recommendations for the San Joaquin Antelope Squirrel.

Purpose and Need Report

The Purpose and Need Team's Final Report (PDF) examines ways to improve the process of preparing well-defined purpose and need statements for transportation projects. For additional information, visit the Purpose and Need page.

Environmental Compliance in case of emergency

In cases of natural disasters, Environmental professionals need to know "What is an Emergency for Environmental Compliance Purposes?", "What Type of Environmental Document is Needed for Emergency Repairs?" and other important issues. For more information, regarding contracts and emergency projects visit the Emergency Projects and Environmental Compliance page.

Inferred Presence of Federally Listed Species (FHWA—CA Division)

A document template was released for inferring presence of federally listed species based on the best available scientific evidence. There must be a supportable and reasonable expectation that a species is present in the project area and will be affected by the work. Download the memo (PDF).  Download the template (DOC).

Disposal Site Quality Team Final Report

Accessibility Assistance: Caltrans makes every attempt to ensure our documents are accessible. Due to variances between assistive technologies, there may be portions of this document (content of Appendix B through Appendix G) which are not accessible. Where documents cannot be made accessible, we are committed to providing alternative access to the content. Should you need additional assistance, please contact us at (916) 654-2852 or visit https://dot.ca.gov/request-ada-compliant-documents.

This report addresses Caltrans and FHWA policies on disposal, staging, and borrow areas, including plant sites, contractor yards, and access roads. Download the file (PDF). The team recommended a new policy and modification of existing guidance.

General Guidelines for Identifying and Evaluating Historic Landscapes

This document was prepared to assist those who encounter potential historic landscapes in the course of conducting environmental studies for transportation projects. The guidelines (PDF) focus on recognizing, describing, and recording historic landscapes; evaluating them for eligibility for the National Register of Historic Places and the California Register of Historical Resources; assessing project effects; and treating eligible historic landscapes that may be wholly or partially included within a transportation project's designated Area of Potential Effects (APE). The guidance is based on documents prepared by the National Park Service (NPS), particularly the National Register bulletins which provide technical information on identifying and evaluating landscapes for the National Register of Historic Places; Preservation Brief No. 36, "Protecting Cultural Landscapes"; and the journal CRM's "Thematic Issue on the Preservation of Cultural Landscapes." (February 1999 - This document replaces the November 1996 version.) .

Water Conveyance Systems in California, Historic Context Development and Evaluation Procedures

The Water Conveyance System study (PDF) provides a broad overview of the history and development by private companies, corporations, and individuals of the state's waters. Water development in California occurred during Missionization and greatly accelerated during the California Gold Rush when mountain streams were impounded and canals and ditches were constructed to provide water for mining during the hot, dry summers. During the 1880s irrigation companies were formed and California's agricultural systems began to rely upon a year-round supply of water for row crops and orchards. By the 20th Century the state embarked on massive reclamation projects involving moving water from the north to the south and from the Colorado River west into Southern California. Today, water still remains a contentious issue as municipalities and farmers compete for this valuable natural resource. (December 2000)

A Historical Context and Archaeological Research Design for Agricultural Properties in California

The first of several Caltrans efforts to improve the quality of historical archaeological studies in California. Caltrans staff and consultants working under Section 106 regulations on Caltrans projects are encouraged to use this document as a streamlining tool for evaluation of agricultural properties under Criterion D (PDF) of the National Register. Researchers should draw upon the identified research themes to determine specific issues and questions that may be relevant to a site under evaluation. The historic context will also be useful to historians and architectural historians evaluating built environment properties.

A Historical Context and Archaeological Research Design for Mining Properties in California

The second of several Caltrans efforts to improve the quality of historical archaeological studies in California. Caltrans staff and consultants working under Section 106 regulations on Caltrans projects are encouraged to use this document as a streamlining tool for evaluation of mining properties under Criterion D (PDF) of the National Register. Researchers should draw upon the identified research themes to determine specific issues and questions that may be relevant to a site under evaluation. The historic context will also be useful to historians and architectural historians evaluating built environment properties.

A Historical Context and Archaeological Research Design for Townsite Properties in California

The third of several Caltrans efforts (PDF) to improve the quality of historical archaeological studies in California. Caltrans staff and consultants working under Section 106 regulations on Caltrans projects are encouraged to use this document as a streamlining tool for evaluation of townsite properties under Criterion D of the National Register. Researchers should draw upon the identified research themes to determine specific issues and questions that may be relevant to a site under evaluation. The historic context will also be useful to historians and architectural historians evaluating built environment properties.

A Historical Context and Archaeological Research Design for Work Camp Properties in California

The fourth of several Caltrans efforts to improve the quality of historical archaeological studies in California. Caltrans staff and consultants working under Section 106 regulations on Caltrans projects are encouraged to use this document as a streamlining tool for evaluation of work camp properties under Criterion D of the National Register. Researchers should draw upon the identified research themes to determine specific issues and questions that may be relevant to a site under evaluation. The historic context (PDF) will also be useful to historians and architectural historians evaluating built environment properties.

A Historical Context and Methodology for Evaluating Trails, Roads, and Highways in California

This study was prepared in response to the need for a cohesive and comprehensive examination of trails, roads, and highways in California, together with a methodological approach for evaluating these types of properties for the National Register of Historic Places (NRHP). The study documents the development of trails, roads, and highways in California from prehistoric times to the creation of today’s modern highway system. This holistic approach was predicated upon the strong relationship between California’s modern highway system and trails and roads that span hundreds, if not thousands, of years. While railroads and bridges played a significant role in the state’s transportation history, neither property type is discussed in any detail in this study, since a plethora of published and unpublished books and articles have already been written about railroads, and a historic context study and evaluation process has been adopted for bridges. While this study does address archaeological resources, the focus is largely on built environment properties, particularly roads and highways. In addition to Appendix A and B of the report, 10 additional appendices have been digitally scanned for reference, along with the digital version of this study.

Download the Context and Methodology (PDF)
Download the Historic Transportation Study Appendices C to K (PDF)

San Francisco Bay–Delta Regional Context and Research Design for Native American Archaeological Resources

This guidance for Regional Context and Research Design (PDF) for the San Francisco Bay–Delta is intended to provide Caltrans District 4 staff and consultants working in the area with guidance for evaluating and mitigating Native American archaeological sites under National Register Criterion D. It provides a synthesis of regional data and a broad array of research issues applicable to data sets common to the region. It is intended as a tool for archaeologists to more easily construct Archaeological Evaluation Proposals and Reports (Phase II), and Data Recovery Plans, Proposals and Reports (Phase II) by adapting appropriate portions of the context and research issues to project specific archaeological sites.

Bedrock Milling Features in California: Archaeological Context and Research Design

This context and research design (PDF) expands on traditional archaeological approaches to explore potential eligibility of bedrock milling features with and without associated deposits. The plan is part of an ongoing series of thematic archaeological research designs developed by the California Department of Transportation (Caltrans) to aid in the treatment of specific types of cultural resources throughout the state. Our goal is to provide a research context and practical guide for the recordation, evaluation, and mitigation of adverse effects to bedrock milling features.  In addition to a summary of current knowledge and research, emphasis is placed on new archaeometric techniques that can extract data directly from the features, providing an avenue for significance even when deposits are lacking. More importantly, Native American consultation can identify significance under other National Register criteria, linking specific sites to people or events in the past or recognizing even seemingly “isolated” (single) bedrock milling features as part of a broader cultural landscape.

Index for California Highways & Public Works Magazine

Though no longer published, the California Highways & Public Works Magazine (available in many libraries and universities) has been a useful reference for those researching various aspects of California's transportation history. For the first time, a comprehensive index for the years 1937-1967 has been created.

All Articles By Location and Subject (PDF)
All Photographs and Illustrations By Location and Subject (PDF)

Tract Housing in California, 1945-1973: A Context for National Register Evaluation (August 2011) 

Tract Housing in California, 1945-1973: A Context for National Register Evaluation (PDF) (August 2011) - Caltrans staff and consultants preparing compliance documents under Section 106 of the National Historic Preservation Act are encouraged to use this document for the survey and evaluation of post-World War II houses and housing tracts.