Environmental Handbook
Categorical Exclusion (CE)
This handbook outlines the process for making a determination of categorical exclusion (CE)
for a state or Federal Highway Administration (FHWA) CE project.
TxDOT Environmental Affairs Division
Release Date: July 2015
610.01.GUI
Version 3
Categorical Exclusion (CE)
Table of Contents
Table of Figures ............................................................................................................................................ 2
1.0 Introduction ........................................................................................................................................... 3
1.1 Applicable Projects ...................................................................................................................... 3
1.2 Regulatory Overview .................................................................................................................... 3
1.3 Compliance Paths ........................................................................................................................ 5
1.4 Responsible Party ........................................................................................................................ 5
1.5 Helpful Suggestions ..................................................................................................................... 6
2.0 Procedural Requirements ..................................................................................................................... 6
2.1 Classification ................................................................................................................................ 6
2.2 Scoping ........................................................................................................................................ 7
2.3 Documentation ............................................................................................................................. 7
2.4 Approval ....................................................................................................................................... 7
2.5 Project File ................................................................................................................................... 8
3.0 Glossary ................................................................................................................................................ 8
4.0 Abbreviations and Acronyms .............................................................................................................. 10
Appendix A: Revision History ...................................................................................................................... 11
Table of Figures
Figure 1: CE Determination Process ........................................................................................................... 4
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Categorical Exclusion (CE)
1.0 Introduction
This handbook outlines the process for making a determination of categorical exclusion (CE) for a state or
Federal Highway Administration (FHWA) assigned CE project. It does not outline the process for CEs for
other federal agencies; refer any questions about these CEs to the Texas Department of Transportation
(TxDOT) Environmental Affairs Division (ENV) Project Delivery Section at (512) 416-2763. A CE
determination is a decision that a project meets the criteria for categorical exclusion under the National
Environmental Policy Act (NEPA) and 43 TAC 2. A CE determination is not a document, nor does a CE
determination require an environmental review document.
CEs are defined in 40 CFR 1508.4 as projects that do not individually or cumulatively have a significant
environmental effect. FHWA further defines CEs as actions that “do not induce significant impacts to
planned growth or land use for the area; do not require the relocation of significant numbers of people; do
not have a significant impact on any natural, cultural, recreational, historic or other resource; do not
involve significant air, noise, or water quality impacts; do not have significant impacts on travel patterns;
or do not otherwise, either individually or cumulatively, have any significant environmental impacts”
(23 CFR 771.117(a)).
While the process outlined here is applicable for state and federal projects, this guidance applies to
federal projects only when the FHWA is the U.S. Department of Transportation agency with jurisdiction
over the project. The ultimate approval authority for CE determinations for state projects and assigned
FHWA projects is the department delegate. The approval authority for FHWA projects that are not
assigned to TxDOT is FHWA.
1.1 Applicable Projects
An action may be classified as a CE if it meets the definition in 23 CFR 771.117(a) and does not
exhibit any of the criteria from 23 CFR 771.117(b) listed below.
 Significant environmental impacts
 Substantial controversy on environmental grounds
 Significant impact on properties protected by Section 4(f) of the U.S. Department of
Transportation Act or Section 106 of the National Historic Preservation Act
 Inconsistencies with any federal, state, or local law, requirement, or administrative determination
relating to the environmental aspects of the action
1.2 Regulatory Overview
The Memorandum of Understanding between the Federal Highway Administration and the Texas
Department of Transportation Concerning State Of Texas' Participation in the Project Delivery
Program Pursuant To 23 U.S.C. 327 (Assignment MOU) assigns responsibility to TxDOT to make
FHWA CE determinations for certain federal CE project types. CE determinations for state-funded
projects follow the same process as federally-funded FHWA CE determinations. The CE
determination process is outlined in Figure 1.
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Categorical Exclusion (CE)
Figure 1
CE Determination Process
FHWA rules, codified at 23 CFR 771.117, provide for two levels of CE activities: (c)- and (d)-list, and
each of these lists the different CE classifications that can be applied to those activities. The CE
classification and required supporting documentation are based on project-type and site-specific
factors.
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CEs defined in 23 CFR 771.117(c) are considered (c)-list CEs. Determinations for (c)-list CEs often
require little or no analysis.
As a result of FHWA rule changes in 2014, CEs defined in 23 CFR 771.117(d), referred to as (d)-list
activities, consist of relatively uncommon activities and certain (c)-list projects that do not meet
constraints in 23 CFR 771.117(e).
A CE determination is documented with the CE Determination Form, which is available online in the
TxDOT NEPA and Project Development Toolkit, and any supporting documentation retained in the
project file. It is important to note that the preparer of the documentation supporting a CE
determination may be different from the preparer of the CE determination. The preparer of the CE
determination verifies, on the department delegate’s behalf, that the project file supports the
determination, regardless of who prepared the project file. The preparer of the CE determination must
be a TxDOT employee certified to prepare and review environmental documents and documentation.
1.3 Compliance Paths
These compliance paths are the possible outcomes of the CE determination process for a state CE or
federal CE where FHWA is the lead agency.
 Determination of Categorical Exclusion for a State Project – The project will have no
significant impacts on the environment and there are no unusual circumstances, as described in
43 TAC 2.81(c)(2).
 Determination of Categorical Exclusion for a Project Assigned to TxDOT – The project has
no significant impact(s) on the environment and there are no unusual circumstances, as
described in 23 CFR 771.117(b). As such, the project is categorically excluded from the
requirements to prepare an environmental review document under NEPA. FHWA has assigned
TxDOT the responsibility to make this determination.
 Project Not Assigned to TxDOT by FHWA – The project is not a project type assigned to
TxDOT by FHWA, and the project must be reviewed by FHWA. Projects not assigned to TxDOT
include those that involve the following activities.
 Any highway projects authorized under 23 U.S.C. 202 the tribal transportation program
(23 USC 202), federal lands transportation program (23 USC 203), and federal lands access
program (23 USC 204) unless such projects will be designed and constructed by TxDOT.
 Any project crossing state boundaries.
 Any project crossing or adjacent to an international boundaries if it requires the issuance of a
new Presidential Permit by the U.S. Department of State, or the modification of an existing,
Presidential Permit.
 Any project for which FHWA reassumes approval authority.
1.4 Responsible Party
1.4.1 Project Sponsor
The project sponsor, who can be a TxDOT district or an approved local government, is
responsible for completing the following tasks.
 Review the proposed project activities to determine if it meets the criteria outlined in 23 CFR
771.117. to be classified as a CE.
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 Determine the required environmental compliance tasks.
 Collaborate with the department delegate to prepare the project scope, outlining the required
environmental tasks and associated responsibilities.
 Ensure that any required environmental studies, resource agency coordination, and public
participation are complete.
 Coordinate the required environmental studies with the appropriate resource specialists,
including relevant specialists at other state and federal agencies, if applicable.
 Prepare all required documentation, as agreed to in the scope, supporting the CE
determination, and maintain the project file.
 Document and implement any environmental permits, issues, or commitments (EPICs).
 Ensure that the project information is entered in the Environmental Compliance Oversight
System (ECOS). Local government sponsors must ensure that project information is included
in the project file.
 Notify the department delegate that the project file is for review and request a CE
determination.
1.4.2 Department Delegate
The department delegate, as designated by the executive director, is responsible for completing
the following tasks.
 Collaborate with the project sponsor to prepare the project scope outlining the required
environmental tasks and associated responsibilities.
 Review the project file and verify that the proposed CE determination is valid by signing the
Proposed CE Determination Section of the CE Determination Form, which is available online
in the TxDOT NEPA and Project Development Toolkit.
 Approve the CE, if appropriate, by signing the final section of the form. The form cannot be
signed if it is incomplete. A CE determination based on an incomplete form is invalid.
1.5 Helpful Suggestions
Guidance on Choosing a Categorical Exclusion in the TxDOT NEPA and Project Development Toolkit
contains helpful information on how to identify an appropriate CE. The Instructions for Using the CE
Determination Form contains instructions and guidance for using the CE Determination Form and
completing a CE determination. If there is any uncertainty as to whether a project meets the
conditions for a CE, the project sponsor should contact ENV. Early planning and coordination are
essential to a timely completion of the documentation process.
2.0 Procedural Requirements
2.1 Classification
Projects processed as a CE must meet the requirements of 23 CFR 771.117 (c), (d), or 43 TAC 2.81.
First, the project sponsor must review the project information to determine the project activities. If the
project activities are not consistent with the actions listed in 23 CFR 771.117 (c) or (d), the project
may be processed as a CE under what is referred to as (d)-list open-ended authority for CEs.
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Processing as an “open-ended (d) CE requires prior approval by ENV. If the project can be processed
as a CE, determine the appropriate type of CE from the (c)- or (d)-list (23 CFR 771.117 (c) and (d)).
For more information on how to choose an appropriate CE, refer to the Guidance on Choosing a
Categorical Exclusion, which is available in the TxDOT NEPA and Project Development Toolkit.
2.2 Scoping
Once the appropriate type of CE is selected, the next step is to determine the required environmental
compliance tasks specific to both the type of CE and the project specifics. Project sponsors are
required to determine what activities should be scoped. Some activity types do not involve changes to
the physical environment that directly result in environmental impacts. Thus, the full range of project
tasks may not be necessary. Once the activities are determined, the project sponsor and department
delegate collaboratively prepare a project scope describing the performance of project tasks and the
preparation of documentation for a CE, as required by 43 TAC 2.44.
If a project does not require any tasks to make an environmental decision, the scope consists of
Biological Evaluation Form task, a biology No Coordination Required task, and a CE Determination
Checklist task. These tasks are mandatory for all CE projects, and a project that needs only these
tasks is ready for review and approval. A TxDOT scope consisting only of these tasks does not
require a Project Scope Review task. However, a local government sponsor project always must have
a Project Scope Review task to comply with the regulatory requirement to confirm the project’s
proposed classification.
The project scope can be prepared by either a TxDOT district or a local government sponsor outside
of TxDOT. When the project sponsor is a TxDOT district, the project scope is prepared in ECOS.
When the project sponsor is a local government outside of TxDOT, the scope is prepared using the
Project Scope for Categorical Exclusions (CEs), which is available online in the TxDOT NEPA and
Project Development Toolkit, and later entered in ECOS. Refer to the Section 2.6 below for additional
details.
2.3 Documentation
CE decisions are documented with the CE Determination Form, which is available online in the
TxDOT NEPA and Project Development Toolkit, and the supporting documentation retained in the
project file. Groups of CE projects can be approved with a single CE determination, regardless as to
whether the same CE classification applies to all of the projects in the group or not.
The completion of any required environmental studies or coordination identified in the project scope is
the documentation that supports a CE determination. Supporting documentation may include but is
not limited to technical documentation, expanded detail in the project description, project plans, maps,
and photographs of the project area.
The project sponsor is responsible for preparing the appropriate supporting documentation for a CE
determination, and, once complete, the project sponsor requests that the department delegate review
the documentation and approve the CE.
2.4 Approval
The ultimate approval authority for CE determinations for state projects and assigned FHWA projects
is the department delegate. The approval authority for FHWA projects that are not assigned to
TxDOT is FHWA. For (d)-list CE projects, the district engineer/administrator is the department
delegate. For (c)-list CE projects, a person with appropriate signature authority for the project type is
the department delegate.
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The proposed CE determination is confirmed by reviewing the project file. This review is performed by
a TxDOT reviewer on behalf of the department delegate. The reviewer completes and signs of the
Proposed CE Determination Section of the CE Determination Form, and submits it to the department
delegate.
The department delegate starts the ECOS CE Determination Checklist Task. To approve the CE
project, the department delegate selects the checkbox for the appropriate CE determination, and
signs the CE Determination Form. The CE Determination Form must be completely filled out before
final signature. The final approval must be signed by a person with appropriate signature authority for
the project type.
The project file in ECOS must be complete before approval can be issued. The date entered in the
ECOS NEPA Clear Date Field must be the date the CE Determination Form was signed by the
department delegate. After signing the CE Determination Form, the department delegate will end the
ECOS CE Determination Checklist Task. Use the date the form was signed as the end date for the
task. If the department delegate determines that the project cannot be approved, the form is not
signed, and the ECOS CE Determination Checklist Task is closed out. The date of the department
delegate’s review is entered as the end date for the task.
As outlined in the Guidance on Choosing a Categorical Exclusion, when using a single CE
determination to approve multiple CEs, do not clear a CE more than once, unless the CE needs a
new approval under a new classification.
2.5 Project File
The project sponsor is responsible for retaining all project information, including scoping,
environmental studies, resource agency coordination, correspondence, and public participation
documents that are related to the environmental decision in the project file. At the time the project is
approved for NEPA, the project file must be complete and entered into ECOS, where TxDOT project
files are maintained.
It is the project sponsor’s responsibility to maintain the project file. If the project sponsor is outside of
TxDOT, the project sponsor is responsible for maintaining a copy of the project file and requesting
district assistance to enter the project file in ECOS.
3.0 Glossary
Department Delegate – The district, division, or other operational unit of TxDOT designated by the
executive director that has the authority to review and approve on the TxDOT’s behalf work conducted
under 43 TAC Chapter 2, including an environmental review document (43 TAC 2.8).
Determination of Categorical Exclusion (CE) – Also referred to as a CE determination. A documented
determination that a proposed project meets the requirements of 43 CFR 771.117.
Environmental Review Document – An environmental assessment, an environmental impact statement,
a reevaluation, a supplemental environmental impact statement, or, for an FHWA transportation project, a
document prepared to demonstrate that it qualifies as a categorical exclusion when FHWA requires a
narrative document as opposed to a checklist. An environmental review document includes any attached
environmental reports.
Project File – The project file is a compilation of correspondence, notices, background reports, and
environmental review documents that provide a record of the environmental review, public involvement,
and decision-making processes related to the project. The official project file is uploaded and recorded in
ECOS.
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Project Scope – The project sponsor, in collaboration with the department delegate, prepares a detailed
project scope, which is a detailed description or standardized checklist, outlining the preparation of the
CE documentation and performance of related tasks (43 TAC 2.44).
Project Sponsor – As defined in 43 TAC 2.7, the project sponsor accepts the responsibility for preparing
the CE documentation and performing any related tasks outlined in the project scope. A TxDOT district,
division, or office or a municipality, county, group of adjoining counties, regional mobility authority, local
government corporation, or transportation corporation may be a project sponsor. Private entities and
other types of local government entities may not serve as project sponsors.
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4.0 Abbreviations and Acronyms
Assignment MOU
CE
CFR
ECOS
ENV
Memorandum of Understanding between the Federal Highway Administration and
the Texas Department of Transportation Concerning State Of Texas' Participation in
the Project Delivery Program Pursuant To 23 U.S.C. 327
Categorical Exclusion
Code of Federal Regulations
Environmental Compliance Oversight System
TxDOT Environmental Affairs Division
EPICs
Environmental Permits, Issues, and Commitments
FHWA
Federal Highway Administration
NEPA
National Environmental Policy Act
TAC
TxDOT
USC
Texas Administrative Code
Texas Department of Transportation
U.S. Code
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Appendix A: Revision History
The following table shows the revision history for this guidance document.
Revision History
Effective Date
Month, Year
Reason for and Description of Change
July 2015
Version 3: Revised to reflect authorization to approve projects under (d)-list openended approval authority for CEs.
March 2015
Version 2: Revised to reflect elimination of independent review for (d)-list projects,
to clarify certain elements of scoping, and to correct hyperlinks.
February 2014
Version 1 was released.
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