DEPARTMENT OF HOMELAND SECURITY

Office of the Secretary

6 CFR Chs. I and II

[DHS Docket No. OGC-RP-04-001]

Unified Agenda of Federal Regulatory and Deregulatory Actions

AGENCY: Office of the Secretary, DHS. 

ACTION: Semiannual regulatory agenda. 

SUMMARY: This regulatory agenda is a semiannual summary of all current and projected rulemakings, 

existing regulations, and completed actions of the Department of Homeland Security (DHS) and its 

components. This agenda provides the public with information about DHS’s regulatory activity. DHS 

expects that this information will enable the public to be more aware of, and effectively participate in, the 

Department’s regulatory activity. DHS invites the public to submit comments on any aspect of this 

agenda. 

FOR FURTHER INFORMATION CONTACT: 

 General 

 Please direct general comments and inquiries on the agenda to the Regulatory Affairs Law Division, 

U.S. Department of Homeland Security, Office of the General Counsel, 245 Murray Lane, Mail Stop 0485, 

Washington, DC 20528-0485. 

 Specific 
 

 Please direct specific comments and inquiries on individual regulatory actions identified in this agenda 

to the individual listed in the summary of the regulation as the point of contact for that regulation. 

SUPPLEMENTARY INFORMATION: DHS provides this notice pursuant to the requirements of the 

Regulatory Flexibility Act (Pub. L. 96-354, Sept. 19, 1980) and Executive Order 12866 “Regulatory 

Planning and Review” (Sep. 30, 1993) as incorporated in Executive Order 13563 “Improving Regulation & 

Regulatory Review” (Jan. 18, 2011), which require the Department to publish a semiannual agenda of 

regulations. The regulatory agenda is a summary of all current and projected rulemakings, as well as 

actions completed since the publication of the last regulatory agenda for the Department. DHS’s last 

semiannual regulatory agenda was published on February 13, 2012, at 77 FR 7960. 

 Beginning in fall 2007, the Internet became the basic means for disseminating the Unified Agenda. 

The complete Unified Agenda is available online at www.reginfo.gov. 

 As part of the Unified Agenda, Federal agencies are also required to prepare a Regulatory Plan of the 

most important significant regulatory actions that the agency reasonably expects to issue in proposed or 

final form in that fiscal year. As in past years, for fall editions of the Unified Agenda, the entire Regulatory 

Plan and agency regulatory flexibility agendas, in accordance with the publication requirements of the 

Regulatory Flexibility Act, are printed in the Federal Register.

 The Regulatory Flexibility Act (5 U.S.C. 602) requires Federal agencies to publish their regulatory 

flexibility agenda in the Federal Register. A regulatory flexibility agenda shall contain, among other 

things, “a brief description of the subject area of any rule which is likely to have a significant economic 

impact on a substantial number of small entities.” DHS’s printed agenda entries include regulatory 

actions that are in the Department’s regulatory flexibility agenda. Printing of these entries is limited to 

fields that contain information required by the agenda provisions of the Regulatory Flexibility Act. 

Additional information on these entries is available in the Unified Agenda published on the Internet. 
 

 The semiannual agenda of the Department conforms to the Unified Agenda format developed by the 

Regulatory Information Service Center. 

Dated: October 19, 2012. 

NAME: Christina E. McDonald,

Associate General Counsel for Regulatory Affairs.
The 160 Regulatory Agendas

Office of the Secretary - Proposed Rule

Title

Regulation 

Identifier 

Number

Freedom of Information Act and Privacy Act Procedures 1601-AA00

Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance 1601-AA04

Regulations Regarding Nondiscrimination on the Basis of Race, Color, or National Origin in Programs or Activities

Receiving Federal Financial Assistance 1601-AA05

Petitions for Rulemaking, Amendment, or Repeal 1601-AA56

Office of the Secretary - Final Rule

Title

Regulation 

Identifier 

Number

Supplemental Standards of Ethical Conduct for Employees of the Department of Homeland Security 1601-AA17

Professional Conduct for Practitioners Rules and Procedures, and Representation and Appearances 1601-AA58

Classified National Security Information 1601-AA68

Office of the Secretary - Long-term Action

Title

Regulation 

Identifier 

Number

Enforcement of Nondiscrimination on the Basis of Disability in Department of Homeland Security Programs or Activities 1601-AA03

Collection of Alien Biometric Data Upon Exit From the United States at Air and Sea Ports of Departure; United States

Visitor and Immigrant Status Indicator Technology Program (US-VISIT) 1601-AA34

Nondiscrimination in Matters Pertaining to Faith-Based Organizations 1601-AA40

Ammonium Nitrate Security Program 1601-AA52

Homeland Security Acquisition Regulation, Subcontractor Labor Hour Rates Under Time and Materials Contracts 1601-AA65

Office of the Secretary - Completed Action

Title

Regulation 

Identifier 

Number

Designation of Taiwan for the Visa Waiver Program 1601-AA67

U.S. Citizenship and Immigration Services - Proposed Rule

Title

Regulation 

Identifier 

Number

Asylum and Withholding Definitions 1615-AA41

New Asylum and Withholding Bars for Recruitment or Use of Child Soldiers 1615-AB79

Exception to the Persecution Bar for Asylum, Refugee, and Temporary Protected Status, and Withholding of Removal 1615-AB89

Employment Authorization for Certain H-4 Dependent Spouses 1615-AB92

Electronic Filing of Requests for Immigration Benefits; Requiring an Application To Change or Extend Nonimmigrant

Status To Be Filed Electronically 1615-AB94

Immigration Benefits Business Transformation: Nonimmigrants; Student and Exchange Visitor Program 1615-AB95

Application of the William Wilberforce Trafficking Victims Protection Reauthorization Act of 2008 to Unaccompanied Alien

Children Seeking Asylum 1615-AB96

Implementation of AC21, the VWPPA, and the ACWIA 1615-AB97

Administrative Appeals Office: Procedural Reforms To Improve Efficiency 1615-AB98

Enhancing Opportunities for High-Skilled H-1B1 and E-3 Nonimmigrants and EB-1 Immigrants 1615-AC00
U.S. Citizenship and Immigration Services - Final Rule

Title

Regulation 

Identifier 

Number

Petitioning Requirements for the H-1C Nonimmigrant Classification Under Public Law 106-95 1615-AA35

Nonimmigrant Classes; Spouses and Children of Lawful Permanent Residents; V Classification 1615-AA53

K Nonimmigrant Classification; Legal Immigration Family Equity (LIFE) Act 1615-AA56

New Classification for Victims of Severe Forms of Trafficking in Persons; Eligibility for T Nonimmigrant Status 1615-AA59

Adjustment of Status to Lawful Permanent Resident for Aliens in T and U Nonimmigrant Status 1615-AA60

New Classification for Victims of Criminal Activity; Eligibility for the U Nonimmigrant Status 1615-AA67

Implementation of Amendments Affecting Petitions for Employment Creation for Aliens 1615-AA90

Petitions Filed on Behalf of H-1B Temporary Workers Subject to the Annual Numerical Limitation 1615-AB68

Application of Immigration Regulations to the Commonwealth of the Northern Mariana Islands 1615-AB77

Temporary Nonagricultural Employment of H-2B Nonimmigrants in Guam 1615-AB91

Provisional Unlawful Presence Waivers of Inadmissibility for Certain Immediate Relatives 1615-AB99

U.S. Citizenship and Immigration Services - Long-term Action

Title

Regulation 

Identifier 

Number

Inadmissibility and Deportability on Public Charge Grounds 1615-AA22

Classification of Aliens as Children of United States Citizens Based on Intercountry Adoptions Under the Hague

Convention 1615-AA43

Registration Requirement for Petitioners Seeking To File H-1B Petitions on Behalf of Aliens Subject to Numerical

Limitations 1615-AB71

Special Immigrant Juvenile Petitions 1615-AB81

Qualifications, Designation, and Duties of Civil Surgeons, and Revocation of Civil Surgeon Designations 1615-AB88

U.S. Coast Guard - Proposed Rule

Title

Regulation 

Identifier 

Number

Numbering of Undocumented Barges 1625-AA14

Outer Continental Shelf Activities 1625-AA18

Cargo Securing on Vessels Operating in U.S. Waters 1625-AA25

Transportation Worker Identification Credential (TWIC); Card Reader Requirements 1625-AB21

Consolidated Cruise Ship Regulations 1625-AB30

Assessment Framework and Organizational Restatement Regarding Preemption for Certain Regulations Issued by the

Coast Guard 1625-AB32

Updates to Maritime Security 1625-AB38

Lifesaving Equipment, Production Testing, and Harmonization With International Standards 1625-AB46

Vessel Documentation User Fees--Annual Renewal Fee 1625-AB56

Revision of Coast Guard Auxiliary Regulations 1625-AB66

Ballast Water Management Reporting and Recordkeeping 1625-AB68

Tonnage Regulations Amendments 1625-AB74

Revision of Crane Regulation Standards for Mobile Offshore Drilling Units, Offshore Supply Vessels, and Floating Outer

Continental Shelf Facilities 1625-AB78

Lifesaving Devices on Uninspected Vessels 1625-AB83

Deepwater Ports 1625-AB92

U.S. Coast Guard - Final Rule

Title

Regulation 

Identifier 

Number

Implementation of the 1995 Amendments to the International Convention on Standards of Training, Certification, and

Watchkeeping (STCW) for Seafarers, 1978 1625-AA16

Commercial Fishing Industry Vessels 1625-AA77

Vessel Requirements for Notices of Arrival and Departure, and Automatic Identification System 1625-AA99
Nontank Vessel Response Plans and Other Vessel Response Plan Requirements 1625-AB27

Marine Vapor Control Systems 1625-AB37

Waiver of Citizenship Requirements for Crewmembers on Commercial Fishing Vessels 1625-AB61

Offshore Supply Vessels of at Least 6000 GT ITC 1625-AB62

Bulk Packaging To Allow for Transfer of Hazardous Liquid Cargoes 1625-AB63

Inland Waterways Navigation Regulations 1625-AB84

Commercial Fishing Vessels--Implementation of 2010 Legislation 1625-AB85

Adding International Energy Efficiency (IEE) Certificate to List of Certificates a Recognized Classification Society May

Issue 1625-AB90

Inland Waterways Navigation Regulations; Sacramento, CA 1625-AB95

U.S. Coast Guard - Long-term Action

Title

Regulation 

Identifier 

Number

Safety Zone Regulations 1625-AA00

Special Anchorage Areas/Anchorage Grounds Regulations 1625-AA01

Discharge-Removal Equipment for Vessels Carrying Oil 1625-AA02

Regatta and Marine Parade Regulations 1625-AA08

Regulated Navigation Areas 1625-AA11

Marine Transportation-Related Facility Response Plans for Hazardous Substances 1625-AA12

Tank Vessel Response Plans for Hazardous Substances 1625-AA13

Security Zone Regulations 1625-AA87

Dry Cargo Residue Discharges in the Great Lakes 1625-AA89

Inspection of Towing Vessels 1625-AB06

Potable Water Standards for Inspected Vessels 1625-AB51

MARPOL Annex 1 Update 1625-AB57

Amendments to Chemical Testing Requirements in 46 CFR 16 and 33 CFR 95 1625-AB58

Harmonization of Standards for Fire Protection and Extinguishing Equipment 1625-AB59

Top Screen Information Collection From MTSA-Regulated Facilities Handling Chemicals 1625-AB64

Vessels in U.S. Navigable Waters--Vital System Maintenance 1625-AB72

Revision to Transportation Worker Identification Credential (TWIC) Requirements for Mariners 1625-AB80

Vessel Traffic Service Updated, Including Establishment of Vessel Traffic Service in Port Arthur, Texas, and Expansion

of a VTS Special Area in Puget Sound, Washington 1625-AB81

Changes to the Inland Navigation Rules of the Road 1625-AB88

Great Lakes Pilotage Rates--2013 Annual Review and Adjustment 1625-AB89

Cruise Vessel Security and Safety Act of 2010; Implementation 1625-AB91

2012 Liquid Chemical Categorization Updates 1625-AB94

U.S. Coast Guard - Completed Action

Title

Regulation 

Identifier 

Number

Drawbridge Regulations 1625-AA09

Standards for Living Organisms in Ships' Ballast Water Discharged in U.S. Waters 1625-AA32

Validation of Merchant Mariners' Vital Information and Issuance of Coast Guard Merchant Mariner's Documents (MMDs) 1625-AA81

Validation of Merchant Mariners' Vital Information and Issuance of Coast Guard Merchant Mariner's Licenses and

Certificates of Registry 1625-AA85

Approval of Classification Societies 1625-AB35

General Bridge Regulation, Amendment 1625-AB36

Carbon Dioxide Fire Suppression Systems on Commercial Vessels 1625-AB44

Changes to Standard Numbering System, Vessel Identification System, and Boating Accident Report Database 1625-AB45

Inflatable Personal Flotation Devices 1625-AB60

Reconsideration of Letters of Recommendation for Waterfront Facilities Handling LNG and LHG 1625-AB67

Great Lakes Pilotage Rates--2012 Annual Review and Adjustment 1625-AB70
Exemption of Certain Seagoing Barges From Inspection 1625-AB71

Wider Caribbean Region Special Area Under MARPOL Annex V 1625-AB76

Alternate Tonnage Threshold For Oil Spill Response Vessels 1625-AB82

2012 Technical Amendments to 33 CFR 1625-AB86

2012 Technical Amendments to 46 CFR 1625-AB87

U.S. Customs and Border Protection - Proposed Rule

Title

Regulation 

Identifier 

Number

Waiver of Passport and Visa Requirements Due to an Unforeseen Emergency 1651-AA97

Amendments to Importer Security Filing and Additional Carrier Requirements 1651-AA98

U.S. Customs and Border Protection - Final Rule

Title

Regulation 

Identifier 

Number

Importer Security Filing and Additional Carrier Requirements 1651-AA70

Changes to the Visa Waiver Program To Implement the Electronic System for Travel Authorization (ESTA) Program 1651-AA72

Implementation of the Guam-CNMI Visa Waiver Program 1651-AA77

Clarification of Countries and Geographic Areas Eligible for Participation in the Guam-Commonwealth of the Northern

Mariana Islands Visa Waiver Program 1651-AA81

Electronic System for Travel Authorization (ESTA): Fee for Use of the System 1651-AA83

Exemption From Entry Requirements for Certain Department of Defense Vessels and Aircraft 1651-AA89

Boquillas Border Crossing 1651-AA90

Closing of the Port of Whitetail, Montana 1651-AA93

Internet Publication of Administrative Seizure/Forfeiture Notices 1651-AA94

Extension of Border Zone in the State of New Mexico 1651-AA95

Definition of Form I-94 to Include Electronic Format 1651-AA96

U.S. Customs and Border Protection - Long-term Action

Title

Regulation 

Identifier 

Number

Morses Line Border Crossing 1651-AA88

U.S. Customs and Border Protection - Completed Action

Title

Regulation 

Identifier 

Number

Establishment of Global Entry Program 1651-AA73

Permissible Sharing of Client Records by Customs Brokers 1651-AA80

Transportation Security Administration - Proposed Rule

Title

Regulation 

Identifier 

Number

Aviation Security Infrastructure Fees (ASIF) 1652-AA01

Modification of the Aviation Security Infrastructure Fee (ASIF) (Market Share) 1652-AA43

General Aviation Security and Other Aircraft Operator Security 1652-AA53

Security Training for Surface Mode Employees 1652-AA55

Freight Railroads and Passenger Railroads--Vulnerability Assessment and Security Plan 1652-AA56

Standardized Vetting, Adjudication, and Redress Services 1652-AA61

Passenger Screening Using Advanced Imaging Technology 1652-AA67

Transportation Security Administration - Final Rule

Regulation 
Title Identifier 

Number

Aircraft Repair Station Security 1652-AA38

Transportation Security Administration - Long-term Action

Title

Regulation 

Identifier 

Number

Protection of Sensitive Security Information (SSI) 1652-AA08

Flight Training for Aliens and Other Designated Individuals; Security Awareness Training for Flight School Employees 1652-AA35

Ronald Reagan Washington National Airport: Enhanced Security Procedures for Certain Operations 1652-AA49

Drivers Licensed by Canada or Mexico Transporting Hazardous Materials To and Within the United States 1652-AA50

Transportation Security Administration - Completed Action

Title

Regulation 

Identifier 

Number

Sensitive Security Information: Disclosure in Federal Civil Court Proceedings 1652-AA54

Air Cargo Screening 1652-AA64

U.S. Immigration and Customs Enforcement - Proposed Rule

Title

Regulation 

Identifier 

Number

Amendment to Accommodate Process Changes with SEVIS II Implementation 1653-AA44

Adjustments to Limitations on Designated School Official Assignment and Study By F-2 and M-2 Nonimmigrants 1653-AA63

Optional Practical Training for F-1 Nonimmigrant Students With Prior STEM Degrees 1653-AA64

Standards To Prevent, Detect and Respond to Sexual Abuse and Assault in Confinement Facilities 1653-AA65

New Treasury Determination of Interest Rate for Cash Deposits to Secure Immigration Bonds 1653-AA66

Procedures for Declining To Accept Immigration Bonds Underwritten by Treasury-Certified Surety Companies and Their

Agents Acting as Co-Obligors 1653-AA67

Classification and Clarification of Form I-9 Substantive and Technical or Procedural Paperwork Failures and Violations 1653-AA68

U.S. Immigration and Customs Enforcement - Final Rule

Title

Regulation 

Identifier 

Number

Addition of Law Enforcement Specialists 1653-AA62

U.S. Immigration and Customs Enforcement - Long-term Action

Title

Regulation 

Identifier 

Number

Protection and Assistance for Victims of Trafficking 1653-AA09

Continued Detention of Aliens Subject to Final Orders of Removal 1653-AA13

Extending the Period of Duration of Status for Certain F and J Nonimmigrant Aliens 1653-AA30

Requiring Certification of All Service-Approved Schools for Enrollment in the Student and Exchange Visitor Information

System (SEVIS) 1653-AA31

Extending Period for Optional Practical Training by 17 Months for F-1 Nonimmigrant Students With STEM Degrees and

Expanding the CAP-GAP Relief for All F-1 Students With Pending H-1B Petitions 1653-AA56

Continued Detention of Aliens Subject to Final Orders of Removal 1653-AA60

U.S. Immigration and Customs Enforcement - Completed Action

Title

Regulation 

Identifier 

Number

Technical Amendments Relating to Immigration Bonds 1653-AA20

Strengthening Control Over Immigration Surety Bonds 1653-AA45
Federal Emergency Management Agency - Proposed Rule

Title

Regulation 

Identifier 

Number

Management Costs 1660-AA21

Public Assistance Cost Estimating Format for Large Projects 1660-AA73

Debris Removal: Increased Federal Cost Share and Eligibility of Force Account Labor Straight-Time Costs Under the

Public Assistance Program 1660-AA76

Federal Emergency Management Agency - Final Rule

Title

Regulation 

Identifier 

Number

Housing Assistance Due to Structural Damage 1660-AA68

Debris Removal: Eligibility of Force Account Labor Straight-Time Costs Under the Public Assistance Program for

Hurricane Sandy 1660-AA75

Federal Emergency Management Agency - Long-term Action

Title

Regulation 

Identifier 

Number

Disaster Assistance; Federal Assistance to Individuals and Households 1660-AA18

National Flood Insurance Program (NFIP); Assistance to Private Sector Property Insurers 1660-AA28

Disaster Assistance; Public Assistance Repetitive Damage 1660-AA47

Federal Emergency Management Agency - Completed Action

Title

Regulation 

Identifier 

Number

National Flood Insurance Program (NFIP); Insurance Coverage and Rates 1660-AA09

Disaster Assistance; Crisis Counseling Regular Program; Amendment to Regulation 1660-AA23

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA00

 View Related Documents

Title: Freedom of Information Act and Privacy Act Procedures

Abstract: This rulemaking action will propose to revise 6 CFR part 5, which contains the Department of Homeland Security's

(DHS) Freedom of Information Act (5 U.S.C. 552) (FOIA) and Privacy Act (5 U.S.C. 552a) regulations. This rulemaking action

will amend DHS' FOIA regulations, including those provisions governing information subject to Privacy Act exemptions and

procedures for verification of the identity of Privacy Act requesters. FOIA provides for the disclosure of agency records to the

public unless that information is exempt under clearly delineated statutory language. The Privacy Act regulates the collection,

maintenance, use, and dissemination of Personally Identifiable Information (PII) maintained by agencies and departments of the

executive branch, including DHS. The procedures established here would assist the Department in satisfying its responsibilities

to the public to disclose Departmental information while at the same time safeguarding individual privacy.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 5 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 107-296, 116 Stat 2135; 5 USC 301; 5 USC 552 to 552a

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:
Timetable:

Action Date FR Cite

Interim Final Rule 01/27/2003 68 FR 4056 

Interim Final Rule Effective 01/27/2003 

Interim Final Rule Comment Period End 02/26/2003 

NPRM 05/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: James Holzer 

Director, Disclosure and FOIA Operations

Department of Homeland Security

Office of the Secretary

1601 N. Kent Street, Arlington, VA 22209

Arlington , VA 22209 

Phone: 703 235-0149 

E-Mail: james.holzer@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA04

 View Related Documents

Title: Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance

Abstract: An interim final rule established for the Department of Homeland Security procedures for effectuating title IX of the

Education Amendments of 1972, as amended (except sections 904 and 906 of those Amendments), which is designed to

eliminate (with certain exceptions) discrimination on the basis of sex in any education program or activity receiving Federal

financial assistance, whether or not such program or activity is offered or sponsored by an educational institution as defined in

these title IX regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 17.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 107-296, 116 Stat 2135; 5 USC 301; 20 USC 1681 to 1683; 20 USC 1685 to 1688

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 03/06/2003 68 FR 10892 

Interim Final Rule Effective 03/06/2003 

Interim Final Rule Comment Period End 04/07/2003 

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Energy Affected: No

Agency Contact: Tamara Kessler 

Acting Officer for Civil Rights and Civil Liberties

Department of Homeland Security

Office of the Secretary

Mail Stop 0190, 245 Murray Lane SW, Bldg. 410, Washington, DC 20528-0190

Washington , DC 20528-0190 

Phone: 202 357-6272 
E-Mail: tamara.kessler@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA05

 View Related Documents

Title: Regulations Regarding Nondiscrimination on the Basis of Race, Color, or National Origin in Programs or Activities

Receiving Federal Financial Assistance

Abstract: An interim final rule effectuates the provisions of title VI of the Civil Rights Act of 1964 to the end that no person in

the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits

of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance from the

Department of Homeland Security.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 21.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 107-296, 116 Stat 2135; 5 USC 310; 42 USC 2000d to 2000d-7

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 03/06/2003 68 FR 10904 

Interim Final Rule Effective 03/06/2003 

Interim Final Rule Comment Period End 04/07/2003 

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Energy Affected: No

Agency Contact: Tamara Kessler 

Acting Officer for Civil Rights and Civil Liberties

Department of Homeland Security

Office of the Secretary

Mail Stop 0190, 245 Murray Lane SW, Bldg. 410, Washington, DC 20528-0190

Washington , DC 20528-0190 

Phone: 202 357-6272 

E-Mail: tamara.kessler@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA56

 View Related Documents

Title: Petitions for Rulemaking, Amendment, or Repeal

Abstract: The Administrative Procedure Act requires all agencies to allow members of the public to petition for the issuance of

new rules or changes to or repeal of existing rules. Pursuant to that requirement, DHS is proposing a petition process for

departmental rulemaking actions.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 6 USC 101 et seq; 5 USC 553(e)
Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Christina McDonald 

Associate General Counsel for Regulatory Affairs

Department of Homeland Security

Office of the Secretary

Washington, DC 20528

Washington , DC 20528 

Phone: 202 447-3626 

E-Mail: christina.mcdonald@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA17

 View Related Documents

Title: Supplemental Standards of Ethical Conduct for Employees of the Department of Homeland Security

Abstract: This regulation will supplement the executive branch-wide Standards of Ethical Conduct for employees of the

Department of Homeland Security. This regulation will replace the existing supplemental ethics regulations of other

departments, pieces of which were incorporated into DHS, that have continued to apply to those employees whose duties and

organizational structure have remained largely unchanged after their incorporation. Two significant areas to be addressed by the

supplemental regulation are outside employment and the prohibited purchase of Government-owned, seized, or forfeited

property by DHS employees.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 5 CFR 4601 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 CFR 2635.105

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 

NPRM 10/12/2011 76 FR 63206 

NPRM Comment Period End 12/12/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal
Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Susan Heller 

Associate General Counsel, Ethics

Department of Homeland Security

Office of the Secretary

Office of the General Counsel, Washington, DC 20528

Washington , DC 20528 

Phone: 202 447-3266 

FAX: 202 282-9099

E-Mail: susan.heller@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA58

 View Related Documents

Title: Professional Conduct for Practitioners Rules and Procedures, and Representation and Appearances

Abstract: On February 2, 2010, the Department of Homeland Security (DHS) published an interim rule with request for

comments in the Federal Register implementing amendments to its regulations to conform the grounds of discipline and

procedures regulations with those promulgated by the Department of Justice (DOJ); clarify who is authorized to represent

applicants and petitioners in cases before DHS; remove duplicative rules, procedures, and authority; improve the clarity and

uniformity of existing regulations; make technical and procedural changes; and conform terminology. The final rule will finalize

the interim rule with additional changes to terminology.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 1; 8 CFR 292 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 and 1103; 8 USC 1291

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 02/02/2010 75 FR 5225 

Interim Final Rule Effective 03/04/2010 

Interim Final Rule Comment Period End 03/04/2010 

Interim Final Rule Comment Period Extended 01/31/2011 76 FR 5267 

Interim Final Rule Comment Period End 03/02/2011 

Final Rule 06/00/2013 

Additional Information: CIS 2446-08

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Rachel McCarthy 

Disciplinary Counsel

Department of Homeland Security

Office of the Secretary

70 Kimball Avenue, Room 103, S. Burlington, VT 05403

S. Burlington , VT 05403 

Phone: 802 660-1779 

E-Mail: rachel.mccarthy@uscis.dhs.gov
Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA68

 View Related Documents

Title: Classified National Security Information

Abstract: The Department of Homeland Security (DHS) is revising its procedures for managing classified national security

information. DHS is updating its regulations to incorporate new and revised procedures pursuant to Executive Order 13526,

"Classified National Security Information." Further, DHS is delegating to the Chief Security Officer of DHS the responsibility of

serving as the "Senior Agency Official" pursuant to Executive Order 13526.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 7 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: EO 13526; EO 13142; PL 107-296; 5 USC 301; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 05/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: No Federalism: No

Related RINs: Related to 1601-AA02

Agency Contact: Danny Fischler 

Attorney-Advisor

Department of Homeland Security

Office of the Secretary

Washington, DC 20528

Washington , DC 20528 

Phone: 202 282-9197 

E-Mail: danny.fischler@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA03

 View Related Documents

Title: Enforcement of Nondiscrimination on the Basis of Disability in Department of Homeland Security Programs or Activities

Abstract: An interim final rule established for the Department of Homeland Security procedures for the enforcement of section

504 of the Rehabilitation Act of 1973, as amended, which prohibits discrimination on the basis of handicap, as it applies to

programs or activities conducted by the Department. The rule establishes standards for what constitutes discrimination on the

basis of mental or physical handicap, provides a definition for individuals with handicaps and qualified individuals with

handicaps, and establishes a complaint mechanism for resolving allegations of discrimination. The Department will issue a

Notice of Proposed Rulemaking to propose to revise and update the interim final rule to reflect statutory changes and the

current structure of the Department.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 15.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 107-296, 116 Stat 2135; 5 USC 301; 29 USC 794

Legal Deadline: None
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Interim Final Rule 03/06/2003 68 FR 10886 

Interim Final Rule Comment Period End 04/07/2003 

Interim Final Rule Effective 04/07/2003 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Energy Affected: No

Agency Contact: Tamara Kessler 

Acting Officer for Civil Rights and Civil Liberties

Department of Homeland Security

Office of the Secretary

Mail Stop 0190, 245 Murray Lane SW, Bldg. 410, Washington, DC 20528-0190

Washington , DC 20528-0190 

Phone: 202 357-6272 

E-Mail: tamara.kessler@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA34

 View Related Documents

Title: Collection of Alien Biometric Data Upon Exit From the United States at Air and Sea Ports of Departure; United States

Visitor and Immigrant Status Indicator Technology Program (US-VISIT)

Abstract: DHS established the United States Visitor and Immigrant Status Indicator Technology Program (US-VISIT) in

accordance with a series of legislative mandates requiring that DHS create an integrated automated entry-exit system that

records the arrival and departure of aliens, verifies aliens' identities, and authenticates travel documents. The NPRM proposed

that all aliens provide biometric identifiers at entry and upon departure at any air and sea port of entry at which facilities exist to

collect such information.

Priority: Economically Significant Agenda Stage of Rulemaking: Long-term Action

Major: Yes Unfunded Mandates: Private Sector

CFR Citation: 8 CFR 215.1; 8 CFR 215.8 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 to 1104; 8 USC 1182; 8 USC 1184 to 1185 (pursuant to EO 13323); 8 USC 1221; 8 USC

1365a, 1365b; 8 USC 1379; 8 USC 1731 to 1732

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

NPRM 04/24/2008 73 FR 22065 

NPRM Comment Period End 06/23/2008 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Previously Reported as 1650-AA04

Agency Contact: Steve Yonkers 

Senior Policy Advisor

Department of Homeland Security

Office of the Secretary

245 Murray Lane, Washington, DC 20528

Washington , DC 20528 

Phone: 202 282-9740 

E-Mail: steve.yonkers@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA40

 View Related Documents

Title: Nondiscrimination in Matters Pertaining to Faith-Based Organizations

Abstract: This rule will implement Executive Branch policy that, consistent with constitutional church-state parameters, faithbased organizations compete on an equal footing with other organizations for Federal funding, and participate on an equal

footing with other organizations in federally funded activities. This rulemaking is intended to ensure that the Department's

programs are implemented in a manner consistent with the requirements of the First Amendment to the Constitution.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 19 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: EO 13279; EO 13403

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

NPRM 01/14/2008 73 FR 2187 

NPRM Comment Period End 02/13/2008 

Regulatory Flexibility Analysis Required: No Government Levels Affected: State

Small Entities Affected: Organizations Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: David L. Myers 

Director, DHS Center for Faith Based and Community Initiatives

Department of Homeland Security

Office of the Secretary

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 646-4380 

FAX: 202 646-2689

E-Mail: david.myers1@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA52
 View Related Documents

Title: Ammonium Nitrate Security Program

Abstract: This rulemaking will implement the December 2007 amendment to the Homeland Security Act entitled "Secure

Handling of Ammonium Nitrate." The amendment requires the Department of Homeland Security to "regulate the sale and

transfer of ammonium nitrate by an ammonium nitrate facility...to prevent the misappropriation or use of ammonium nitrate in an

act of terrorism."

Priority: Economically Significant Agenda Stage of Rulemaking: Long-term Action

Major: Yes Unfunded Mandates: Private Sector

CFR Citation: 6 CFR 31 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 2008 Consolidated Appropriations Act, sec 563, subtitle J--Secure Handling of Ammonium Nitrate, PL 110-

161

Legal Deadline: 

Action Source Description Date

NPRM Statutory Publication of Notice of Proposed Rulemaking 05/26/2008 

Other Statutory Publication of Final Rule 12/26/2008 

Regulatory Plan:

Statement of Need: Pursuant to section 563 of the 2008 Consolidated Appropriations Act, subtitle J--Secure Handling of

Ammonium Nitrate, Public Law 110-161, the Department of Homeland Security is required to promulgate a rulemaking to create

a registration regime for certain buyers and sellers of ammonium nitrate. The rule, as proposed by this NPRM, would create that

regime, and would aid the Federal Government in its efforts to prevent the misappropriation of ammonium nitrate for use in acts

of terrorism. By preventing such misappropriation, this rule could limit terrorists' abilities to threaten the public and to threaten

the Nation's critical infrastructure and key resources. By securing the Nation's supply of ammonium nitrate, it should be much

more difficult for terrorists to obtain ammonium nitrate materials for use in improvised explosive devices. As a result, there is a

direct value in the deterrence of a catastrophic terrorist attack using ammonium nitrate, such as the Oklahoma City attack that

killed over 160 and injured 853 people.

Legal Basis: Section 563 of the 2008 Consolidated Appropriations Act, subtitle J--Secure Handling of Ammonium Nitrate,

Public Law 110-161, authorizes and requires this rulemaking.

Alternatives: The Department considered several alternatives when developing the Ammonium Nitrate Security Program

proposed rule. The alternatives considered were: (a) Register individuals applying for an AN Registered User Number using a

paper application (via facsimile or the U.S. mail) rather than through in person application at a local Cooperative Extension

office or only through a web-based portal; (b) verify AN Purchasers through both an Internet based verification portal and call

center rather than only a verification portal or call center; (c) communicate with applicants for an AN Registered User Number

through U.S. Mail rather than only through email or a secure web-based portal; (d) establish a specific capability within the

Department to receive, process, and respond to reports of theft or loss rather than leverage a similar capability which already

exists with the ATF; (e) require AN Facilities to maintain records electronically in a central database provided by the

Department rather than providing flexibility to the AN Facility to maintain their own records either in paper or electronically; (f)

require agents to register with the Department prior to the sale or transfer of ammonium nitrate involving an agent rather than

allow oral confirmation of the agent with the AN Purchaser on whose behalf the agent is working; and (g) exempt explosives

from this regulation rather than not exempting them. As part of its notice of proposed rulemaking, the Department sought public

comment on the numerous alternative ways in which the final Ammonium Nitrate Security Program could carry out the

requirements of the Secure Handling of Ammonium Nitrate provisions of the Homeland Security Act.

Costs and Benefits: The Department estimates the number of entities that purchase ammonium nitrate to range from 64,950

to 106,200. These purchasers include farms, fertilizer mixers, farm supply wholesalers and cooperatives (co-ops), golf courses,

landscaping services, explosives distributors, mines, retail garden centers, and lab supply wholesalers. The Department

estimates the number of entities that sell ammonium nitrate to be between 2,486 and 6,236, many of which are also

purchasers. These sellers include ammonium nitrate fertilizer and explosive manufacturers, fertilizer mixers, farm supply

wholesalers and co-ops, retail garden centers, explosives distributors, fertilizer applicator services, and lab supply wholesalers.

Individuals or firms that provide transportation services within the distribution chain may be categorized as sellers, agents, or

facilities depending upon their business relationship with the other parties to the transaction. The total number of potentially

regulated farms and other businesses ranges from 64,986 to 106,236 (including overlap between the categories). The cost of

this proposed rule ranges from $300 million to $1,041 million over 10 years at a 7 percent discount rate. The primary estimate is

the mean which is $670.6 million. For comparison, at a 3 percent discount rate, the cost of the program ranges from $364

million to $1.3 billion with a primary (mean) estimate of $814 million. The average annualized cost for the program ranges from

$43 million to $148 million (with a mean of $96 million), also employing a 7 percent discount rate. Because the value of the

benefits of reducing risk of a terrorist attack is a function of both the probability of an attack and the value of the consequence,

it is difficult to identify the particular risk reduction associated with the implementation of this rule. These elements and related

qualitative benefits include point of sale identification requirements and requiring individuals to be screened against the Terrorist

Screening Database (TSDB), resulting in known bad actors being denied the ability to purchase ammonium nitrate. The

Department of Homeland Security aims to prevent terrorist attacks within the United States and to reduce the vulnerability of

the United States to terrorism. By preventing the misappropriation or use of ammonium nitrate in acts of terrorism, this

rulemaking will support the Department's efforts to prevent terrorist attacks and reduce the Nation's vulnerability to terrorist
attacks. This rulemaking is complementary to other Department programs seeking to reduce the risks posed by terrorism,

including the Chemical Facility Anti-Terrorism Standards program (which seeks in part to prevent terrorists from gaining access

to dangerous chemicals) and the Transportation Worker Identification Credential program (which seeks in part to prevent

terrorists from gaining access to certain critical infrastructure), among other programs.

Risks: Explosives containing ammonium nitrate are commonly used in terrorist attacks. Such attacks have been carried out

both domestically and internationally. The 1995 Murrah Federal Building attack in Oklahoma City claimed the lives of 167

individuals and demonstrated firsthand to America how ammonium nitrate could be misused by terrorists. In addition to the

Murrah Building attack, the Provisional Irish Republican Army used ammonium nitrate as part of its London, England bombing

campaign in the early 1980s. More recently, ammonium nitrate was used in the 1998 East African Embassy bombings and in

the November 2003 bombings in Istanbul, Turkey. Additionally, since the events of 9/11, stores of ammonium nitrate have been

confiscated during raids on terrorist sites around the world, including sites in Canada, England, India, and the Philippines.

Timetable:

Action Date FR Cite

ANPRM 10/29/2008 73 FR 64280 

Correction 11/05/2008 73 FR 65783 

ANPRM Comment Period End 12/29/2008 

NPRM 08/03/2011 76 FR 46908 

Notice of Public Meetings 10/07/2011 76 FR 62311 

Notice of Public Meetings 11/14/2011 76 FR 70366 

NPRM Comment Period End 12/01/2011 

Final Rule 12/00/2013 

Regulatory Flexibility Analysis Required: Business Government Levels Affected: Federal

Federalism: Yes

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Jon MacLaren 

Ammonium Nitrate Program Manager

Department of Homeland Security

Office of the Secretary

Infrastructure Security Compliance Division (NPPD/ISCD), Mail Stop 0610, 245 Murray Lane SW., Arlington, VA 20598-0610

Arlington , VA 20598-0610 

Phone: 703 235-5263 

E-Mail: jon.m.maclaren@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA65

 View Related Documents

Title: Homeland Security Acquisition Regulation, Subcontractor Labor Hour Rates Under Time and Materials Contracts

Abstract: The Department of Homeland Security (DHS) is proposing to amend its Homeland Security Acquisition Regulation

(HSAR) parts 3016 and 3052 to require DHS contracts for time and material or labor hours (T&M/LH) to include separate labor

hour rates for subcontractors and a description of the method that will be used to record and bill for labor hours for both

contractors and subcontractors.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 48 CFR 3016; 48 CFR 3052 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 5 USC 302; 41 USC 418b (a); 41 USC 418b(b); 41 USC 414; 48 CFR part 1, subpart 1.3; DHS

Delegation Number 0700

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:
Action Date FR Cite

Final Rule 

NPRM 08/21/2012 77 FR 50449 

NPRM Comment Period End 10/22/2012 

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Jeremy F. Olson 

Senior Procurement Analyst

Department of Homeland Security

Office of the Secretary

Office of the Chief Procurement Officer, Washington, DC 20528

Washington , DC 20528 

Phone: 202 447-5197 

FAX: 202 447-5310

E-Mail: jerry.olson@hq.dhs.gov

Department of Homeland Security (DHS) 

Office of the Secretary ( OS ) RIN: 1601-AA67

 View Related Documents

Title: Designation of Taiwan for the Visa Waiver Program

Abstract: The Department of Homeland Security (DHS), in consultation with the Department of State, has evaluated Taiwan for

Visa Waiver Program (VWP) designation to ensure that it meets the requirements set forth in 217 of the INA, as amended by

section 711 of the Implementing Recommendations of the 9/11 Commission Act of 2007, Public Law No. 110-53 (9/11 Act). The

Secretary has determined that Taiwan has satisfied the statutory requirements for initial VWP designation; therefore, the

Secretary, in consultation with the Secretary of State and with reference to the Taiwan Relations Act 1979 (Pub. L. No. 96-8),

has designated Taiwan for participation in the VWP. This final rule adds Taiwan to the list of countries authorized to participate

in the VWP.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 217 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 8 USC 1187

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 10/22/2012 77 FR 64409 

Final Rule Effective 11/01/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Gianfranco Corti 

Director

Department of Homeland Security

Office of the Secretary

Washington, DC 20528

Washington , DC 20528 

Phone: 202 282-8732 

E-Mail: gianfranco.corti@hq,dhs.gov
Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA41

 View Related Documents

Title: Asylum and Withholding Definitions

Abstract: This rule proposes to amend Department of Homeland Security regulations that govern asylum eligibility. The

amendments focus on portions of the regulations that deal with the definitions of membership in a particular social group, the

requirements for failure of State protection, and determinations about whether persecution is inflicted on account of a protected

ground. This rule codifies long-standing concepts of the definitions. It clarifies that gender can be a basis for membership in a

particular social group. It also clarifies that a person who has suffered or fears domestic violence may under certain

circumstances be eligible for asylum on that basis. After the Board of Immigration Appeals published a decision on this issue in

1999, Matter of R-A-, Int. Dec. 3403 (BIA 1999), it became clear that the governing regulatory standards required clarification.

The Department of Justice began this regulatory initiative by publishing a proposed rule addressing these issues in 2000.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 2; 8 CFR 208 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 8 USC 1158; 8 USC 1226; 8 USC 1252; 8 USC 1282

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rule provides guidance on a number of key interpretive issues of the refugee definition used by

adjudicators deciding asylum and withholding of removal (withholding) claims. The interpretive issues include whether

persecution is inflicted on account of a protected ground, the requirements for establishing the failure of State protection, and

the parameters for defining membership in a particular social group. This rule will aid in the adjudication of claims made by

applicants whose claims fall outside of the rubric of the protected grounds of race, religion, nationality, or political opinion. One

example of such claims which often fall within the particular social group ground concerns people who have suffered or fear

domestic violence. This rule is expected to consolidate issues raised in a proposed rule in 2000 and to address issues that

have developed since the publication of the proposed rule. This rule should provide greater stability and clarity in this important

area of the law. This rule will also provide guidance to the following adjudicators: USCIS asylum officers, Department of Justice

Executive Office for Immigration Review (EOIR) immigration judges, and members of the EOIR Board of Immigration Appeals

(BIA).

Legal Basis: The purpose of this rule is to provide guidance on certain issues that have arisen in the context of asylum and

withholding adjudications. The 1951 Geneva Convention relating to the Status of Refugees contains the internationally accepted

definition of a refugee. United States immigration law incorporates an almost identical definition of a refugee as a person

outside his or her country of origin "who is unable or unwilling to return to, and is unable or unwilling to avail himself or herself

of the protection of, that country because of persecution or a well-founded fear of persecution on account of race, religion,

nationality, membership in a particular social group, or political opinion." Section 101(a)(42) of the Immigration and Nationality

Act.

Alternatives: A sizable body of interpretive case law has developed around the meaning of the refugee definition. Historically,

much of this case law has addressed more traditional asylum and withholding claims based on the protected grounds of race,

religion, nationality, or political opinion. In recent years, however, the United States increasingly has encountered asylum and

withholding applications with more varied bases, related, for example, to an applicant's gender or sexual orientation. Many of

these new types of claims are based on the ground of "membership in a particular social group," which is the least well-defined

of the five protected grounds within the refugee definition. On December 7, 2000, DOJ published a proposed rule in the Federal

Register providing guidance on the definitions of "persecution" and "membership in a particular social group." Prior to publishing

a new proposed rule, the Department will be considering how the nexus between persecution and a protected ground might be

further conceptualized; how membership in a particular social group might be defined and evaluated; and what constitutes a

State's inability or unwillingness to protect the applicant where the persecution arises from a non-State actor. The alternative to

publishing this rule would be to allow the standards governing this area of law to continue to develop piecemeal through

administrative and judicial precedent. This approach has resulted in inconsistent and confusing standards, and the Department

has therefore determined that promulgation of the new proposed rule is necessary.

Costs and Benefits: By providing a clear framework for key asylum and withholding issues, we anticipate that adjudicators

will have clear guidance, increasing administrative efficiency and consistency in adjudicating these cases. The rule will also

promote a more consistent and predictable body of administrative and judicial precedent governing these types of cases. We

anticipate that this will enable applicants to better assess their potential eligibility for asylum, and to present their claims more

efficiently when they believe that they may qualify, thus reducing the resources spent on adjudicating claims that do not qualify.

In addition, a more consistent and predictable body of law on these issues will likely result in fewer appeals, both administrative

and judicial, and reduce associated litigation costs. The Department has no way of accurately predicting how this rule will

impact the number of asylum applications filed in the United States. Based on anecdotal evidence and on the reported

experience of other nations that have adopted standards under which the results are similar to those we anticipate for this rule,

we do not believe this rule will cause a change in the number of asylum applications filed.
Risks: The failure to promulgate a final rule in this area presents significant risk of further inconsistency and confusion in the

law. The Government's interests in fair, efficient, and consistent adjudications would be compromised.

Timetable:

Action Date FR Cite

NPRM 12/07/2000 65 FR 76588 

NPRM Comment Period End 01/22/2001 

NPRM 05/00/2013 

Additional Information: CIS No. 2092-00 Transferred from RIN 1115-AF92

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Ted Kim 

Deputy Chief, Asylum Division, Office of Refugee, Asylum, and International Operations

Department of Homeland Security

U.S. Citizenship and Immigration Services

20 Massachusetts Avenue NW., Suite 3200, Washington, DC 20259

Washington , DC 20259 

Phone: 202 272-1614 

FAX: 202 272-1994

E-Mail: ted.h.kim@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB79

 View Related Documents

Title: New Asylum and Withholding Bars for Recruitment or Use of Child Soldiers

Abstract: The Child Soldier Accountability Act of 2008 (CSAA) establishes a criminal offense for the recruitment or use of child

soldiers, and also establishes grounds of inadmissibility and removability for aliens who have engaged in such recruitment or

use. The Departments of Homeland Security (DHS) and the Department of Justice (DOJ), therefore, are amending their

companion immigration regulations to specify that aliens who are inadmissible or deportable for recruitment or use of child

soldiers are considered ineligible for asylum and withholding of removal due to the serious nonpolitical crime bar.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 208; 8 CFR 1208 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-340

Legal Deadline: The Child Soldier Accountability Act (CSAA) requires the Attorney General and Secretary of Homeland

Security (Secretary), within 60 days of the CSAA's enactment, to promulgate a final rule establishing that an alien subject to

these grounds of inadmissibility or deportability shall be considered an alien with respect to whom there are serious reasons to

believe that the alien committed a serious nonpolitical crime.

Action Source Description Date

Other Statutory CSAA PL 110-340 12/02/2008 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/00/2012 

Additional Information: CIS 2467-08

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No
Energy Affected: No

Related Agencies: Joint : DOJ

Agency Contact: Ted Kim 

Deputy Chief, Asylum Division, Office of Refugee, Asylum, and International Operations

Department of Homeland Security

U.S. Citizenship and Immigration Services

20 Massachusetts Avenue NW., Suite 3200, Washington, DC 20259

Washington , DC 20259 

Phone: 202 272-1614 

FAX: 202 272-1994

E-Mail: ted.h.kim@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB89

 View Related Documents

Title: Exception to the Persecution Bar for Asylum, Refugee, and Temporary Protected Status, and Withholding of Removal

Abstract: This joint rule proposes amendments to Department of Homeland Security (DHS) and Department of Justice (DOJ)

regulations to describe the circumstances under which an applicant will continue to be eligible for asylum, refugee, or temporary

protected status, special rule cancellation of removal under the Nicaraguan Adjustment and Central American Relief Act, and

withholding of removal, even if DHS or DOJ has determined that the applicant's actions contributed, in some way, to the

persecution of others. The purpose of this rule is to resolve ambiguity in the statutory language precluding eligibility for asylum,

refugee, and temporary protected status of an applicant who ordered, incited, assisted, or otherwise participated in the

persecution of others. The proposed amendment would provide a limited exception for actions taken by the applicant under

duress and clarify the required levels of the applicant's knowledge of the persecution.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 1; 8 CFR 208; 8 CFR 244; 8 CFR 1244 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1158; 8 USC 1226; PL 107-26; PL 110-229

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rule resolves ambiguity in the statutory language precluding eligibility for asylum, refugee, and

temporary protected status of an applicant who ordered, incited, assisted, or otherwise participated in the persecution of others.

The proposed amendment would provide a limited exception for actions taken by the applicant under duress and clarify the

required levels of the applicant's knowledge of the persecution.

Legal Basis: In Negusie v. Holder, 129 S. Ct. 1159 (2009), the Supreme Court addressed whether the persecutor bar should

apply where an alien's actions were taken under duress. DHS believes that this is an appropriate subject for rulemaking and

proposes to amend the applicable regulations to set out its interpretation of the statute. In developing this regulatory initiative,

DHS has carefully considered the purpose and history behind enactment of the persecutor bar, including its international law

origins and the criminal law concepts upon which they are based.

Alternatives: DHS did consider the alternative of not publishing a rulemaking on these issues. To leave this important area of

the law without an administrative interpretation would confuse adjudicators and the public.

Costs and Benefits: The programs affected by this rule exist so that the United States may respond effectively to global

humanitarian situations and assist people who are in need. USCIS provides a number of humanitarian programs and protection

to assist individuals in need of shelter or aid from disasters, oppression, emergency medical issues, and other urgent

circumstances. This rule will advance the humanitarian goals of the asylum/refugee program, and other specialized programs.

The main benefits of such goals tend to be intangible and difficult to quantify in economic and monetary terms. These forms of

relief have not been available to certain persecutors. This rule will allow an exception to this bar from protection for applicants

who can meet the appropriate evidentiary standard. Consequently, this rule may result in a small increase in the number of

applicants for humanitarian programs. To the extent a small increase in applicants occurs, there could be additional fee costs

incurred by these applicants.

Risks: If DHS were not to publish a regulation, the public would face a lengthy period of confusion on these issues. There

could also be inconsistent interpretations of the statutory language, leading to significant litigation and delay for the affected

public.

Timetable:

Action Date FR Cite

NPRM 03/00/2013 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related Agencies: Joint : DOJ

Agency Contact: Molly Groom 

Chief, Refugee and Asylum Law Division, Office of the Chief Counsel

Department of Homeland Security

U.S. Citizenship and Immigration Services

20 Massachusetts Avenue NW., Washington, DC 20259

Washington , DC 20259 

Phone: 202 272-1400 

FAX: 202 272-1408

E-Mail: molly.m.groom@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB92

 View Related Documents

Title: Employment Authorization for Certain H-4 Dependent Spouses

Abstract: The Department of Homeland Security (DHS) proposes to amend its regulations by extending the availability of

employment authorization to H-4 dependent spouses of principal H-1B nonimmigrants who have begun the process of seeking

lawful permanent resident status through employment and have extended their authorized period of admission or "stay" in the

U.S. under section 104(c) or 106(a) of Public Law 106-313, also known as the American Competitiveness in the Twenty-First

Century Act of 2000 (AC21). Allowing the eligible class of H-4 dependent spouses to work encourages professionals with high

demand skills to remain in the country and help spur the innovation and growth of U.S. companies.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 274a.12(c) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: INA sec 214(a)(1) 8 USC 1184(a)(1); INA 274A(h)(3) 8 USC 1324a(h)(3); 8 CFR 274a.12(c); sec 104(c) of

PL 106-313; sec 106(a) of PL 106-313; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need: Congress intended that the AC21 provisions allowing for extension of H-1B status past the 6th year for

workers who are the beneficiaries of certain pending or approved employment-based immigrant petitions or labor certification

applications would minimize the disruption to U.S. businesses employing H-1B workers that would result if such workers were

required to leave the United States. DHS recognizes that the limitation on the period of stay is not the only event that could

cause an H-1B worker to leave his or her employment and cause disruption to the employer's business, inclusive of the loss of

significant time and money invested in the immigration process. The rule, as proposed by this NPRM, is intended to mitigate

some of the negative economic effects of limiting H-1B households to one income during lengthy waiting periods in the

adjustment of status process. Also, this rule will encourage H-1B skilled workers to not abandon their adjustment application

because their H-4 spouse is unable to work.

Legal Basis: Sections 103(a), and 274A(h)(3) of the Immigration and Nationality Act (INA) generally authorize the Secretary

to provide for employment authorization for aliens in the United States. In addition, section 214(a)(1) of the INA authorizes the

Secretary to prescribe regulations setting terms and conditions of admission of nonimmigrants.

Alternatives: An alternative considered by DHS was to permit employer authorization for all H-4 dependent spouses. In

enacting AC21, Congress was especially concerned with avoiding the disruption to U.S. businesses caused by the required

departure of H-1B workers (for whom the businesses intended to file employment-based immigrant visa petitions) upon the

expiration of workers' maximum six-year period of authorized stay. Although the inability of an H-4 spouse to work may cause

an H-1B worker to consider departing from the United States prior to his or her eligibility for an H-1B extension. This alternative

was rejected in favor of the proposed process to limit employment authorization to the smaller sub-class of H-4 nonimmigrants

who intend to remain in the United States permanently and who have been granted an extension of H status under the

provisions of AC21.

Costs and Benefits: The proposed changes would only impact spouses of H-1B workers who have been admitted or have

extended their stay under the provisions of AC21. The costs of the rule would stem from filing fees and the opportunity costs of

time associated with filing an Application for Employment Authorization for those eligible H-4 spouses who decide to seek

employment while residing in the United States. Allowing certain H-4 spouses the opportunity to work would result in a

negligible increase to the overall domestic labor force. The benefits of this rule are retaining highly-skilled persons who intend

to adjust to lawful permanent resident status. This is important when considering the contributions of these individuals to the

U.S. economy, including advances in entrepreneurial and research and development endeavors, which are highly correlated
with overall economic growth and job creation. In addition, the proposed amendments would bring U.S. immigration laws more

in line with other countries that seek to attract skilled foreign workers.

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Kevin J. Cummings 

Chief, Business and Foreign Workers Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Washington, DC 20529-2140

Washington , DC 20529-2140 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: kevin.j.cummings@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB94

 View Related Documents

Title: Electronic Filing of Requests for Immigration Benefits; Requiring an Application To Change or Extend Nonimmigrant

Status To Be Filed Electronically

Abstract: The Department of Homeland Security (DHS) is proposing regulations to govern the electronic filing of requests for

immigration benefit requests with the U.S. Citizenship and Immigration Services (USCIS). DHS also proposes to mandate

electronic applications in the new Integrated Operating Environment that is under development, with limited exceptions, for an

Application to Extend/Change Nonimmigrant Status from any individual in the M, J, B-1, and B-2 classifications; change of

status requests to the F, M, J, B-1, or B-2 classifications; and reinstatement of status requests in the F or M classification.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 204 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1151; 8 USC 1153

Legal Deadline: None

Regulatory Plan:

Statement of Need: USCIS is in the process of transforming its operations to improve service, operational efficiency, and

national security. This rule will allow USCIS to modernize its processes, which will provide applicants and petitioners with better

and faster services and enhance the ability of USCIS to process cases with greater accuracy, security, and timeliness.

Legal Basis: Authority for this rule falls within the broad authority of the Secretary of Homeland Security to administer DHS,

the administration of immigration and nationality laws, and other delegated authority. See Homeland Security Act of 2002,

Public Law 107-296 section 102 (Nov. 25, 2002), 6 U.S.C. 112, and the Immigration and Nationality Act of 1952, as amended,

section 103, 8 U.S.C. 1103. The Government Paperwork Elimination Act (GPEA) provides that, when possible, Federal

agencies are directed to make available electronic forms and provide for electronic filing and submissions when conducting

agency business with the public. See Public Law 105-277, section 1703 (Oct. 21, 1998), 44 U.S.C. 3504. GPEA also

establishes the means for the use and acceptance of electronic signatures. The INA provides a detailed list of classes of

nonimmigrant aliens. See, e.g., INA sections 101(a)(15)(B), (C), (F), and (M); 8 U.S.C. 1101(a)(15) (B), (C), (F), and (M). The

Secretary of Homeland Security may authorize a change to any other nonimmigrant classification in the case of any alien who

is lawfully admitted to the United States as a nonimmigrant, maintains his or her lawful status, does not fall under certain

nonimmigrant visa categories that are listed in the statute, and is not inadmissible or whose inadmissibility has been waived

under the pertinent sections of the immigration and nationality laws of the United States. See INA section 248(a); 8 U.S.C.

1258(a). This rule is also proposed in compliance with Executive Order 13571 "Streamlining Service Delivery and Improving

Customer Service." See Executive Order No. 13571, 76 FR 24339 (Apr. 27, 2011). Executive Order 13571 tasks each Federal

department and agency with establishing an initiative that uses technology to improve the experience of individuals and entities

receiving services from that Federal department or agency. See Executive Order No. 13571, section 2(a).
Alternatives: DHS has examined the alternative of maintaining paper processing for applications to extend/change status

(Form I-539) and has determined that the continuation of legacy data systems and current processes do not meet the need for

USCIS to modernize operations.

Costs and Benefits: DHS is proposing to mandate the electronic filing of stand-alone applications to extend/change

nonimmigrant status. Only a limited number of nonimmigrants would be impacted by this change. Specifically, those individuals

in the following nonimmigrant classifications would be required to file this application electronically: B-1, B-2, F, M, or J. In

transforming its immigration benefit processes into a paperless system, DHS anticipates the following benefits: • Streamlined

operations • More timely submission and adjudication of the benefit requested • Reduced requests for additional or missing

information • Enhanced security for the applicant • Enhanced customer service For those applicants that do not currently

possess or have access to the tools needed to submit immigration benefit requests electronically--namely, computer, Internet

service, and a scanner--this rule would result in additional costs to these petitioners or applicants. DHS is in the process of

examining the potential monetary costs and benefits of the proposed rule to affected populations.

Risks: Populations with no or limited Internet access and individuals with no or limited English proficiency may be affected by

this rule. This risk can be mitigated by including a waiver process.

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Dan Konnerth 

Policy and Coordination Chief, Office of Transformation Coordination

Department of Homeland Security

U.S. Citizenship and Immigration Services

6th Floor, 633 Third Street NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 233-2381 

E-Mail: dan.m.konnerth@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB95

 View Related Documents

Title: Immigration Benefits Business Transformation: Nonimmigrants; Student and Exchange Visitor Program

Abstract: The Department of Homeland Security (DHS) is amending its nonimmigrant regulations to enable U.S. Citizenship

and Immigration Services (USCIS) to migrate from a paper-file based, non-integrated systems environment to an electronic,

customer-focused, centralized case management environment for benefit processing. This rulemaking, the second in a series of

business transformation rules, primarily focuses on 8 CFR part 214, reorganizes and streamlines general information relating to

nonimmigrant classifications, and relocates other information relating to specific, individual nonimmigrant classifications to a

separate subpart for each major nonimmigrant classification. DHS is making these amendments because part 214 contains more

than 20 nonimmigrant classifications, and it has become very large and complex to navigate. This regulation will provide the

public with simpler, better organized regulatory requirements for each nonimmigrant classification and facilitate future revisions.

DHS is also finalizing four interim final rules affecting the H-1B (RIN 1615-AB68), H-1C (RIN 1615-AA35), K (RIN 1615-AA56),

and V (RIN 1615-AA53) nonimmigrant classes.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 212; 8 CFR 214; 8 CFR 245; 8 CFR 248; 8 CFR 274a (To search for a specific CFR, visit

the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 5 USC 552; 5 USC 552a; 8 USC 1101; 8 USC 1103

Legal Deadline: None

Regulatory Plan:

Statement of Need: USCIS is in the process of transforming its operations to improve service, operational efficiency, and

national security. This rule will provide the public with clearly written, better organized regulatory requirements for each

nonimmigrant classification.

Legal Basis: The Homeland Security Act of 2002, Public Law 107-296, section 102, 116 Stat. 2135 (Nov. 25, 2002), 6 U.S.C.

112, and the Immigration and Nationality Act of 1952 (INA), charge the Secretary of Homeland Security (Secretary) with

administration and enforcement of the immigration and nationality laws. See INA section 103, 8 U.S.C. 1103. This rule will

significantly enhance the ability of USCIS to fully implement the Government Paperwork Elimination Act (GPEA). See Public
Law 105-277, tit. XVII, section 1701 to 1710, 112 Stat. 2681 at 2681-749, (Oct. 21, 1998) (codified at 44 U.S.C. 3504 & note).

GPEA provides that, when possible, Federal agencies use electronic forms, electronic filing, and electronic submissions to

conduct agency business with the public. Id. The USCIS modernization and transformation effort will move its operations away

from a paper-based system to an electronic environment wherever possible in an effort to implement the requirements of

GPEA.

Alternatives: The regulations for the more than 20 nonimmigrant classifications are included in 8 CFR 214. As more

nonimmigrant classifications have been added to the Act and as the statutory requirements for existing classifications have

become more complex, sections within 8 CFR 214 have become increasingly difficult to read, comprehend, and cite. DHS will

reorganize 8 CFR 214 to address this lack of clarity.

Costs and Benefits: DHS will amend its regulations at 8 CFR part 214 to streamline and reorganize the content into a more

reader-friendly and logical format. DHS is not making substantive changes to the content or requirements of existing

regulations. There are no additional costs anticipated as a result of this rulemaking.

Risks: This rule may initially lead to confusion for those who are familiar with the previous organization of 8 CFR 214. USCIS

can mitigate this risk by informing the public of these changes.

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Additional Information: CIS# 2505-11. RINs 1615-AA35, 1615-AA53, 1615-AA56, and 1615-AB68 will be merged under this

rule, RIN 1615-AB95. Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 1615-AB83; Related to 1615-

AA35; Related to 1615-AA53; Related to 1615-AA56; Related

to 1615-AB68

Agency Contact: Dan Konnerth 

Policy and Coordination Chief, Office of Transformation Coordination

Department of Homeland Security

U.S. Citizenship and Immigration Services

6th Floor, 633 Third Street NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 233-2381 

E-Mail: dan.m.konnerth@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB96

 View Related Documents

Title: Application of the William Wilberforce Trafficking Victims Protection Reauthorization Act of 2008 to Unaccompanied Alien

Children Seeking Asylum

Abstract: This rule implements the provisions of the William Wilberforce Trafficking Victims Protection Reauthorization Act of

2008 (TVPRA), Public Law 110-457, 122 Stat. 5074 (Dec. 23, 2008) relating to unaccompanied alien children seeking asylum.

Specifically, the rule proposes to amend Department of Homeland Security (DHS) and Department of Justice (DOJ) regulations

relating to asylum applications filed by unaccompanied alien children. The rule will amend both DHS and DOJ regulations to

reflect that U.S. Citizenship and Immigration Services (USCIS) has initial jurisdiction over any asylum application filed by an

unaccompanied alien child. The rule will also add new special procedures for all children in interviews before USCIS officers

and for unaccompanied alien children in proceedings before immigration judges in the Executive Office for Immigration Review.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: Undetermined

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-457

Legal Deadline: None

Regulatory Plan:

Statement of Need: The TVPRA mandated promulgation of regulations taking into account the specialized needs of

unaccompanied alien children and addressing both procedural and substantive aspects of handling unaccompanied alien

children's cases. This rule will codify existing agency guidance on the specialized needs of unaccompanied alien children. The

rule will also codify agency guidance implementing the TVPRA. Such guidance has been in effect since March 2009 and, based
on experience gained in following the guidance, will be revised in the rule.

Legal Basis: The purpose of this rule is to comply with the TVPRA mandate to promulgate regulations taking into account the

specialized needs of unaccompanied alien children and addressing both procedural and substantive aspects of handling

unaccompanied alien children's cases.

Alternatives: N/A

Costs and Benefits: Congress has given USCIS initial jurisdiction over the asylum claims of unaccompanied alien children.

New costs can accrue when EOIR immigration judges transfer cases involving unaccompanied alien minors to USCIS for

asylum interviews and adjudication if USCIS does not grant the asylum application and the case is returned to EOIR for further

adjudication. This additional cost is offset, however, when USCIS grants such an application because the costs of USCIS

asylum adjudications are generally much lower than the processing of immigration court applications for that benefit. In addition,

USCIS provides a non-adversarial setting for asylum seeker interviews and has recently developed extensive and ongoing

training in children's issues. These factors can assist unaccompanied children in expressing their fear of return to their native

countries. Unaccompanied alien children also compose a uniquely vulnerable population with often compelling protection issues;

therefore, affording unaccompanied alien children every consideration in the asylum process greatly benefits them. Finally,

benefits will also accrue because the regulation will improve upon the process initially implemented upon passage of the

TVPRA, incorporating lessons learned and optimizing the procedures for USCIS and EOIR.

Risks: N/A

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Federal

Federalism: No

Energy Affected: No

Related Agencies: Joint : DOJ

Agency Contact: Ted Kim 

Deputy Chief, Asylum Division, Office of Refugee, Asylum, and International Operations

Department of Homeland Security

U.S. Citizenship and Immigration Services

20 Massachusetts Avenue NW., Suite 3200, Washington, DC 20259

Washington , DC 20259 

Phone: 202 272-1614 

FAX: 202 272-1994

E-Mail: ted.h.kim@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB97

 View Related Documents

Title: Implementation of AC21, the VWPPA, and the ACWIA

Abstract: The American Competitiveness in the 21st Century Act (AC21), Public Law 106-313, was enacted on October 17,

2000, along with two bills, the Visa Waiver Permanent Program Act (VWPPA), Public Law 106-311, and a bill to increase the

fee for certain H-1B petitions. An earlier piece of legislation, the American Competitiveness and Workforce Improvement Act

(ACWIA), Public Law 105-277, was enacted to place certain conditions on the employment of H-1B workers. Together, these

bills make significant changes to the H-1B classification. Public Law 106-313 increased the numerical H-1B cap to 195,000 for

fiscal year 2000-2002 and the percentage of the fees that the Department of Homeland Security (DHS) receives to 4 percent. It

exempts certain aliens from the numerical cap, provides for the "portability" of employment authorization, and in certain

circumstances extensions of stay for certain aliens who have permanent residence applications pending. Public Law 105-277

imposes penalties for employers violating certain representations and prohibits retaliation against H-1B workers who disclose

these violations. Finally, on November 2, 2002, the President approved enactment of Public Law 107-273, The 21st Century

Department of Justice Appropriations Act (21st Century DOJ Appropriations Act), which codified a provision that amends section

106(a) of AC21. This regulation clarifies several interpretive questions raised by the bills and ensures that DHS practice is

consistent with these laws.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 8 CFR 103; 8 CFR 202; 8 CFR 204; CFR 205; 8 CFR 214; 8 CFR 245; 8 CFR 248 (To search for a specific

CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 105-277; PL 106-313; PL 107-273; INA 101(a)(15)(H); PL 106-396; 8 USC 1184(g)(5)

Legal Deadline: None
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 11/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Undetermined

Federalism: Undetermined

Energy Affected: No

Related RINs: Duplicate of 1615-AA55

Agency Contact: Kevin J. Cummings 

Chief, Business and Foreign Workers Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Washington, DC 20529-2140

Washington , DC 20529-2140 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: kevin.j.cummings@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB98

 View Related Documents

Title: Administrative Appeals Office: Procedural Reforms To Improve Efficiency

Abstract: This proposed rule revises the requirements and procedures for the filing of motions and appeals before the

Department of Homeland Security (DHS), U.S. Citizenship and Immigration Services, and its Administrative Appeals Office. The

proposed changes are intended to streamline the existing processes for filing motions and appeals and will reduce delays in the

review and appellate process. This rule also proposes additional changes necessitated by the establishment of DHS and its

components.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 204; 8 CFR 205; 8 CFR 210; 8 CFR 214; 8 CFR 245a; 8 CFR 320; 8 CFR 105 (new); ... (To

search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 552; 5 USC 552a; 8 USC 1101; 8 USC 1103; 8 USC 1304; 6 USC 112

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rule proposes to make numerous changes to streamline the current appeal and motion processes

which: (1) Will result in cost savings to the Government, applicants, and petitioners; and (2) will provide for a more efficient use

of USCIS officer and clerical staff time, as well as more uniformity with Board of Immigration Appeals appeal and motion

processes.

Legal Basis: 5 U.S.C. 301; 5 U.S.C. 552; 5 U.S.C. 552a; 8 U.S.C. 1101 and notes 1102, 1103, 1151, 1153, 1154, 1182,

1184, 1185 note (sec. 7209 of Pub. L. 108-458; title VII of Pub. L. 110-229), 1186a, 1187, 1221,1223, 1225 to 1227, 1255a,

and 1255a note, 1281, 1282, 1301 to 1305, 1324a ,1356, 1372, 1379, 1409(c), 1443 to 1444, 1448, 1452, 1455, 1641, 1731 to

1732; 31 U.S.C. 9701; 48 U.S.C. 1901, 1931 note; section 643, Public Law 104-208, 110, Stat. 3009-708; section 141 of the

Compacts of Free Association with the Federated States of Micronesia and the Republic of the Marshall Islands, and with the

Government of Palau; title VII of Public Law 110-229; Public Law 107-296, 116 Stat. 2135 (6 U.S.C. 1 et seq.); Public Law 82-

414, 66 Stat. 173, 238, 254, 264; title VII of Public Law 110-229; E.O. 12356.

Alternatives: The alternative to this rule would be to continue under the current process without change.

Costs and Benefits: As a result of streamlining the appeal and motion process, DHS anticipates quantitative and qualitative
benefits to DHS and the public. We also anticipate cost savings to DHS and applicants as a result of the proposed changes.

Risks:

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Additional Information: Previously 1615-AB29 (CIS 2311-04), which was withdrawn in 2007. DHS has included this rule in its

Final Plan for the Retrospective Review of Existing Regulations, which DHS issued on August 22, 2011.

Regulatory Flexibility Analysis Required: Governmental

Jurisdictions Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Duplicate of 1615-AB29

Agency Contact: William K. Renwick 

Supervisory Citizenship and Immigration Appeals Officer

Department of Homeland Security

U.S. Citizenship and Immigration Services

Administrative Appeals Office, Washington, DC 20529-2090

Washington , DC 20529-2090 

Phone: 703 224-4501 

E-Mail: william.k.renwick@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AC00

 View Related Documents

Title: Enhancing Opportunities for High-Skilled H-1B1 and E-3 Nonimmigrants and EB-1 Immigrants

Abstract: The Department of Homeland Security (DHS) proposes to amend its regulations affecting high-skilled workers within

the nonimmigrant classifications for specialty occupation professionals from Chile and Singapore (H-1B1) and from Australia (E3), and the immigration classification for employment-based first preference (EB-1) outstanding professors or researchers. DHS

proposes changes that would harmonize the regulations for E-3 and H-1B1 nonimmigrant classifications with existing regulations

for other, similarly situated nonimmigrant classifications. DHS is proposing these changes to the regulations to encourage and

facilitate the employment and retention of these high-skilled workers.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 204; 8 CFR 214; 8 CFR 248; 8 CFR 274a (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1151; 8 USC 1153; 8 USC 1154; 8 USC 1182; 8 USC 1184; 8 USC

1186a; 8 USC 1255; 8 USC 1641; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need: DHS proposes to amend its regulations to improve the programs serving the E-3 and H-1B1

nonimmigrant classifications and the EB-1 immigrant classification for outstanding professors and researchers. The regulatory

changes to these categories would significantly improve procedures to more effectively encourage and facilitate the retention of

these high-skilled workers in the United States.

Legal Basis:

Alternatives:

Costs and Benefits: The portion of the proposed rule addressing E-3 and H-1B1 visas would extend the period of

employment authorized while requests for an extension of these employment-based nonimmigrant visa classifications are being

reviewed. We do not anticipate that this rule would impose any additional costs. The benefits of this portion of the proposed

rule include easing the regulatory burden on employers of E-3 and H-1B1 nonimmigrants and avoiding potential gaps in

employment for these nonimmigrant workers. The portion of the proposed rule addressing the evidentiary requirements for the

EB-1 outstanding professor and researcher employment-based immigrant classification would allow for the submission of

comparable evidence (achievements not listed in the criteria such as important patents or prestigious, peer-reviewed funding

grants) for that listed in 8 CFR 204.5(i)(3)(i)(A)–(F) to establish that the EB-1 professor or researcher is recognized

internationally as outstanding in his or her academic field. We do not anticipate that this part of the proposed rule would impose

additional costs. The non-quantified benefits would include the harmonization of the evidentiary requirements for EB-1
outstanding professors and researchers with other comparable employment-based immigrant classifications and easing

petitioners' recruitment of these highly skilled individuals by expanding the range of evidence that may be adduced to support

their petitions.

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: Business; Organizations Federalism: No

Energy Affected: No

Agency Contact: Kevin J. Cummings 

Chief, Business and Foreign Workers Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Washington, DC 20529-2140

Washington , DC 20529-2140 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: kevin.j.cummings@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA35

 View Related Documents

Title: Petitioning Requirements for the H-1C Nonimmigrant Classification Under Public Law 106-95

Abstract: On November 12, 1999, the Nursing Relief for Disadvantaged Areas Act (NRDAA) was enacted, creating a new H1C nonimmigrant nurse category. This rule amends the Department of Homeland Security's regulations to implement the

NRDAA requirements related to the adjudication petitions for the H-1C classification. Congress did not reauthorize the NRDAA

in 2009, and therefore USCIS stopped accepting petitions for the H-1C nonimmigrant category after December 21, 2009. This

expiration does not affect the ability of nurses to apply for readmission and, in limited circumstances, extension of stay for H1Cs who have not exceeded the 3-year limit for admission in this classification.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 214.1; 8 CFR 214.2; 8 CFR 248.3; 8 CFR 299.1 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1182; 8 USC 1184; 8 USC 1186a; 8 USC 1187

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 06/11/2001 66 FR 31107 

Interim Final Rule Comment Period End 08/10/2001 

Final Rule 04/00/2013 

Additional Information: CIS No. 2050-00; Transferred from RIN 1115-AF76. This rule will be merged with RIN 1615-AB95.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Related RINs: Merge with 1615-AB95

Agency Contact: Dan Konnerth 
Policy and Coordination Chief, Office of Transformation Coordination

Department of Homeland Security

U.S. Citizenship and Immigration Services

6th Floor, 633 Third Street NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 233-2381 

E-Mail: dan.m.konnerth@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA53

 View Related Documents

Title: Nonimmigrant Classes; Spouses and Children of Lawful Permanent Residents; V Classification

Abstract: Section 1102 of the Legal Immigration Family Equity (LIFE) Act of 2000 amends the Immigration and Nationality Act

to create a new V nonimmigrant classification for the spouses and children of lawful permanent residents, awaiting the

availability of an immigrant visa number in the appropriate preference category, in accordance with the monthly Visa Bulletin of

the Department of State (DOS). Eligible spouses and children of lawful permanent residents residing abroad who obtain the V

nonimmigrant visa from DOS may work and reside in the United States on the basis of the V nonimmigrant classification until

they can apply for adjustment of status to that of lawful permanent resident. Certain eligible spouses and children of lawful

permanent residents already present in the United States may be granted the V classification until they can apply to adjust

status to that of lawful permanent resident.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 204 and 205; 8 CFR 212; 8 CFR 214; 8 CFR 245; 8 CFR 248; 8 CFR 299 (To search for a

specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1102; PL 106-553

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 09/07/2001 66 FR 46697 

Interim Final Rule Effective 09/07/2001 

Interim Final Rule Comment Period End 11/06/2001 

Final Rule 04/00/2013 

Additional Information: CIS No. 2117-01; Transferred from RIN 1115-AG08. Rule is being merged with RIN 1615-AB95.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Related RINs: Merge with 1615-AB95

Agency Contact: Dan Konnerth 

Policy and Coordination Chief, Office of Transformation Coordination

Department of Homeland Security

U.S. Citizenship and Immigration Services

6th Floor, 633 Third Street NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 233-2381 

E-Mail: dan.m.konnerth@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA56
 View Related Documents

Title: K Nonimmigrant Classification; Legal Immigration Family Equity (LIFE) Act

Abstract: Section 1103 of the Legal Immigration Family Equity Act (LIFE), Public Law 106-553, finalizes the interim rule that

created a new nonimmigrant classification under Immigration and Nationality Act section 101(a)(15)(K) for the spouses and

children of U.S. citizens who have pending immigrant visa applications. This rule establishes this classification in DHS

regulations, including creating filing and adjudication procedures, as well as procedures for adjusting status from this new

nonimmigrant classification to that of a lawful permanent resident.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 212; 8 CFR 214; 8 CFR 245; 8 CFR 248; 8 CFR 274a (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: PL 106-553

Legal Deadline: 

Action Source Description Date

Other Statutory 12/21/2000 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 08/14/2001 66 FR 42587 

Interim Final Rule Comment Period End 10/15/2001 

Final Rule 04/00/2013 

Additional Information: This rule is being merged with RIN 1615-AB95.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Related RINs: Merge with 1615-AB95

Agency Contact: Dan Konnerth 

Policy and Coordination Chief, Office of Transformation Coordination

Department of Homeland Security

U.S. Citizenship and Immigration Services

6th Floor, 633 Third Street NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 233-2381 

E-Mail: dan.m.konnerth@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA59

 View Related Documents

Title: New Classification for Victims of Severe Forms of Trafficking in Persons; Eligibility for T Nonimmigrant Status

Abstract: T classification was created by 107(e) of the Victims of Trafficking and Violence Protection Act of 2000 (VTVPA),

Public Law 106-386. The T nonimmigrant classification was designed for eligible victims of severe forms of trafficking in persons

who aid law enforcement with their investigation or prosecution of the traffickers, and who can establish that they would suffer

extreme hardship involving unusual and severe harm if they were removed from the United States. The rule establishes

application procedures and responsibilities for the Department of Homeland Security (DHS) and provides guidance to the public

on how to meet certain requirements to obtain T nonimmigrant status. The Trafficking Victims Protection Reauthorization Act of

2008, Public Law 110-457, made amendments to the T nonimmigrant status provisions of the Immigration and Naturalization

Act.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule
Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 212; 8 CFR 214; 8 CFR 274a; 8 CFR 299 (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: 5 USC 552; 5 USC 552a; 8 USC 1101 to 1104; 8 USC 1182; 8 USC 1184; 8 USC 1187; 8 USC 1201; 8

USC 1224 to 1227; 8 USC 1252 to 1252a; 22 USC 7101; 22 USC 7105

Legal Deadline: None

Regulatory Plan:

Statement of Need: T nonimmigrant status is available to eligible victims of severe forms of trafficking in persons who have

complied with any reasonable request for assistance in the investigation or prosecution of acts of trafficking in persons, and

who can demonstrate that they would suffer extreme hardship involving unusual and severe harm if removed from the United

States. This rule addresses the essential elements that must be demonstrated for classification as a T nonimmigrant alien, the

procedures to be followed by applicants to apply for T nonimmigrant status, and evidentiary guidance to assist in the application

process.

Legal Basis: Section 107(e) of the Trafficking Victims Protection Act (TVPA), Public Law 106-386, as amended, established

the T classification to create a safe haven for certain eligible victims of severe forms of trafficking in persons who assist law

enforcement authorities in investigating and prosecuting the perpetrators of these crimes.

Alternatives: To develop a comprehensive Federal approach to identifying victims of severe forms of trafficking in persons, to

provide them with benefits and services, and to enhance the Department of Justice's ability to prosecute traffickers and prevent

trafficking in persons in the first place, a series of meetings with stakeholders were conducted with representatives from key

Federal agencies; national, State, and local law enforcement associations; non-profit, community-based victim rights

organizations; and other groups. DHS is considering and using suggestions from these stakeholders in developing this

regulation.

Costs and Benefits: Applicants for T nonimmigrant status do not pay application or biometric fees. The anticipated benefits of

these expenditures include: Assistance to trafficked victims and their families, prosecution of traffickers in persons, and the

elimination of abuses caused by trafficking activities. Benefits which may be attributed to the implementation of this rule are

expected to be: 1. An increase in the number of cases brought forward for investigation and/or prosecution; 2. Heightened

awareness by the law enforcement community of trafficking in persons; 3. Enhanced ability to develop and work cases in

trafficking in persons cross-organizationally and multi-jurisdictionally, which may begin to influence changes in trafficking

patterns.

Risks: There is a 5,000-person limit to the number of individuals who can be granted T-1 status per fiscal year. Eligible

applicants who are not granted T-1 status due solely to the numerical limit will be placed on a waiting list maintained by U.S.

Citizenship and Immigration Services (USCIS). To protect T-1 applicants and their families, USCIS will use various means to

prevent the removal of T-1 applicants on the waiting list, and their family members who are eligible for derivative T status,

including its existing authority to grant deferred action, parole, and stays of removal.

Timetable:

Action Date FR Cite

Interim Final Rule 01/31/2002 67 FR 4784 

Interim Final Rule Effective 03/04/2002 

Interim Final Rule Comment Period End 04/01/2002 

Interim Final Rule 09/00/2013 

Additional Information: CIS No. 2132-01; AG Order No. 2554-2002 There is a related rulemaking, CIS No. 2170-01, the new

U nonimmigrant status (RIN 1615-AA67). Transferred from RIN 1115-AG19

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; Local; State

Small Entities Affected: No Federalism: No

Related RINs: Related to 1615-AA67

Agency Contact: Laura M. Dawkins 

Chief, Regulatory Coordination Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Suite 1200, 20 Massachusetts Avenue NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: laura.dawkins@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA60
 View Related Documents

Title: Adjustment of Status to Lawful Permanent Resident for Aliens in T and U Nonimmigrant Status

Abstract: This rule sets forth measures by which certain victims of severe forms of trafficking who have been granted T

nonimmigrant status and victims of certain criminal activity who have been granted U nonimmigrant status may apply for

adjustment to permanent resident status in accordance with Public Law 106-386, Victims of Trafficking and Violence Protection

Act of 2000; and Public Law 109-162, Violence Against Women and Department of Justice Reauthorization Act of 2005. The

Trafficking Victims Protection Reauthorization Act of 2008, Public Law 110-457, made amendments to the T nonimmigrant

status provisions of the Immigration and Naturalization Act. The Department of Homeland Security (DHS) will issue another

interim final rule to make the changes required by recent legislation.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 204; 8 CFR 214; 8 CFR 245 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 552; 5 USC 552a; 8 USC 1101 to 1104; 8 USC 1182; 8 USC 1184; 8 USC 1187; 8 USC 1201; 8

USC 1224 to 1227; 8 USC 1252 to 1252a; 8 USC 1255; 22 USC 7101; 22 USC 7105

Legal Deadline: None

Regulatory Plan:

Statement of Need: This regulation is necessary to permit aliens in lawful T or U nonimmigrant status to apply for adjustment

of status to that of lawful permanent residents. T nonimmigrant status is available to aliens who are victims of a severe form of

trafficking in persons and who are assisting law enforcement in the investigation or prosecution of the acts of trafficking. U

nonimmigrant status is available to aliens who are victims of certain crimes and are being helpful to the investigation or

prosecution of those crimes.

Legal Basis: This rule implements the Victims of Trafficking and Violence Protection Act of 2000 (VTVPA), Public Law 106-

386, 114 Stat. 1464 (Oct. 28, 2000), as amended, to permit aliens in lawful T or U nonimmigrant status to apply for adjustment

of status to that of lawful permanent residents.

Alternatives: DHS did not consider alternatives to managing T and U applications for adjustment of status. Ease of

administration dictates that adjustment of status applications from T and U nonimmigrants would be best handled on a first in,

first out basis, because that is the way applications for T and U status are currently handled.

Costs and Benefits: DHS uses fees to fund the cost of processing applications and associated support benefits. In the 2008

interim final rule, DHS estimated the fee collection resulting from this rule at approximately $3 million in the first year, $1.9

million in the second year, and an average about $32 million in the third and subsequent years. To estimate the new fee

collections to be generated by this rule, DHS estimated the fees to be collected for new applications for adjustment of status

from T and U nonimmigrants and their eligible family members. After that, DHS estimated fees from associated applications that

are required such as biometrics, and others that are likely to occur in direct connection with applications for adjustment, such as

employment authorization or travel authorization. DHS is in the process of updating these cost estimates. The anticipated

benefits of these expenditures include: Continued assistance to trafficked victims and their families, increased investigation and

prosecution of traffickers in persons, and the elimination of abuses caused by trafficking activities. Benefits that may be

attributed to the implementation of this rule are expected to be: 1. An increase in the number of cases brought forward for

investigation and/or prosecution; 2. Heightened awareness of trafficking-in-persons issues by the law enforcement community;

and 3. Enhanced ability to develop and work cases in trafficking in persons cross-organizationally and multi-jurisdictionally,

which may begin to influence changes in trafficking patterns.

Risks: Congress created the U nonimmigrant status ("U visa") to provide immigration protection to crime victims who assist in

the investigation and prosecution of those crimes. Although there are no specific data on alien crime victims, statistics

maintained by the Department of Justice have shown that aliens, especially those aliens without legal status, are often reluctant

to help in the investigation or prosecution of crimes. U visas are intended to help overcome this reluctance and aid law

enforcement accordingly.

Timetable:

Action Date FR Cite

Interim Final Rule 12/12/2008 73 FR 75540 

Interim Final Rule Effective 01/12/2009 

Interim Final Rule Comment Period End 02/10/2009 

Interim Final Rule 09/00/2013 

Additional Information: CIS No. 2134-01 Transferred from RIN 1115-AG21

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; Local; State

Small Entities Affected: No Federalism: No

Agency Contact: Laura M. Dawkins 

Chief, Regulatory Coordination Division

Department of Homeland Security

U.S. Citizenship and Immigration Services
Suite 1200, 20 Massachusetts Avenue NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: laura.dawkins@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA67

 View Related Documents

Title: New Classification for Victims of Criminal Activity; Eligibility for the U Nonimmigrant Status

Abstract: This rule sets forth application requirements for a new nonimmigrant status. The U classification is for non-U.S.

Citizen/Lawful Permanent Resident victims of certain crimes who cooperate with an investigation or prosecution of those crimes.

There is a limit of 10,000 principals per year. This rule establishes the procedures to be followed in order to petition for the U

nonimmigrant classifications. Specifically, the rule addresses the essential elements that must be demonstrated to receive the

nonimmigrant classification, procedures that must be followed to make an application, and evidentiary guidance to assist in the

petitioning process. Eligible victims will be allowed to remain in the United States. The Trafficking Victims Protection

Reauthorization Act of 2008, Public Law 110-457, made amendments to the U nonimmigrant status provisions of the

Immigration and Nationality Act. The Department of Homeland Security will issue another interim final rule to make the changes

required by the legislation.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 204; 8 CFR 212; 8 CFR 214; 8 CFR 299 (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: 5 USC 552; 5 USC 552a; 8 USC 1101; 8 USC 1101 note; 8 USC 1102

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rule provides requirements and procedures for aliens seeking U nonimmigrant status. U

nonimmigrant classification is available to alien victims of certain criminal activity who assist government officials in the

investigation or prosecution of that criminal activity. The purpose of the U nonimmigrant classification is to strengthen the ability

of law enforcement agencies to investigate and prosecute such crimes as domestic violence, sexual assault, and trafficking in

persons, while offering protection to alien crime victims in keeping with the humanitarian interests of the United States.

Legal Basis: Congress created the U nonimmigrant classification in the Battered Immigrant Women Protection Act of 2000

(BIWPA). Congress intended to strengthen the ability of law enforcement agencies to investigate and prosecute cases of

domestic violence, sexual assault, trafficking of aliens, and other crimes, while offering protection to victims of such crimes.

Congress also sought to encourage law enforcement officials to better serve immigrant crime victims.

Alternatives: DHS has identified four alternatives, the first being chosen for the rule: 1. USCIS would adjudicate petitions on a

first in, first out basis. Petitions received after the limit has been reached would be reviewed to determine whether or not they

are approvable, but for the numerical cap. Approvable petitions that are reviewed after the numerical cap has been reached

would be placed on a waiting list and written notice sent to the petitioner. Priority on the waiting list would be based upon the

date on which the petition is filed. USCIS would provide petitioners on the waiting list with interim relief until the start of the next

fiscal year in the form of deferred action, parole, or a stay of removal. 2. USCIS would adjudicate petitions on a first in, first out

basis, establishing a waiting list for petitions that are pending or received after the numerical cap has been reached. Priority on

the waiting list would be based upon the date on which the petition was filed. USCIS would not provide interim relief to

petitioners whose petitions are placed on the waiting list. 3. USCIS would adjudicate petitions on a first in, first out basis.

However, new filings would be reviewed to identify particularly compelling cases for adjudication. New filings would be rejected

once the numerical cap is reached. No official waiting list would be established; however, interim relief until the start of the next

fiscal year would be provided for some compelling cases. If a case was not particularly compelling, the filing would be denied or

rejected. 4. USCIS would adjudicate petitions on a first in, first out basis. However, new filings would be rejected once the

numerical cap is reached. No waiting list would be established nor would interim relief be granted.

Costs and Benefits: DHS estimated the total annual cost of this interim rule to petitioners to be $6.2 million in the IFR

published in 2007. This cost included the biometric services fee, the opportunity cost of time needed to submit the required

forms, the opportunity cost of time required for a visit to a USCIS Application Support Center, and the cost of traveling to an

Application Support Center. DHS is currently in the process of updating our cost estimates since U nonimmigrant visa

applicants are no longer required to pay the biometric service fee. This rule will strengthen the ability of law enforcement

agencies to investigate and prosecute such crimes as domestic violence, sexual assault, and trafficking in persons, while

offering protection to alien crime victims in keeping with the humanitarian interests of the United States.

Risks: In the case of witness tampering, obstruction of justice, or perjury, the interpretive challenge for USCIS was to

determine whom the BIWPA was meant to protect, given that these criminal activities are not targeted against a person.
Accordingly it was determined that a victim of witness tampering, obstruction of justice, or perjury is an alien who has been

directly and proximately harmed by the perpetrator of one of these three crimes, where there are reasonable grounds to

conclude that the perpetrator principally committed the offense as a means: (1) to avoid or frustrate efforts to investigate, arrest,

prosecute, or otherwise bring him or her to justice for other criminal activity; or (2) to further his or her abuse or exploitation of,

or undue control over, the alien through manipulation of the legal system.

Timetable:

Action Date FR Cite

Interim Final Rule 09/17/2007 72 FR 53013 

Interim Final Rule Effective 10/17/2007 

Interim Final Rule Comment Period End 11/17/2007 

Interim Final Rule 09/00/2013 

Additional Information: Transferred from RIN 1115-AG39

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; Local; State

Small Entities Affected: No Federalism: No

Agency Contact: Laura M. Dawkins 

Chief, Regulatory Coordination Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Suite 1200, 20 Massachusetts Avenue NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: laura.dawkins@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA90

 View Related Documents

Title: Implementation of Amendments Affecting Petitions for Employment Creation for Aliens

Abstract: This rule amends the Department of Homeland Security regulations to implement changes made by the 21st Century

Department of Justice Appropriations Authorization of 2001. This legislation made various changes to the EB-5 alien immigrant

classification. This rule finalizes requirements and procedures for special determinations on the applications and petitions of

qualifying aliens whose employment creation immigrant petitions were approved after January 1, 1995, and before August 31,

1998.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 204; 8 CFR 216; 8 CFR 245; 8 CFR 299 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1151; 8 USC 1153 and 1154; ...

Legal Deadline: 

Action Source Description Date

Other Statutory 03/02/2003 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 09/28/2011 76 FR 59927 

NPRM Correction 10/04/2011 76 FR 61288 

NPRM Comment Period End 11/28/2011 

Final Action 09/00/2013 
Additional Information: CIS No. 2253-03; Regulatory actions announced in 1115-AF27 are merged with this rulemaking.

Transferred from RIN 1115-AG93

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Alexandra Haskell 

EB-5 Program Manager, Service Center Operations

Department of Homeland Security

U.S. Citizenship and Immigration Services

20 Massachusetts Avenue NW., Mailstop 2060, Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: alexandra.p.haskell@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB68

 View Related Documents

Title: Petitions Filed on Behalf of H-1B Temporary Workers Subject to the Annual Numerical Limitation

Abstract: The Department of Homeland Security is finalizing its interim regulation governing petitions filed on behalf of alien

workers subject to the annual numerical limitations applicable to the H-1B nonimmigrant classification. This rule precludes a

petitioner from filing duplicate petitions on behalf of the same alien temporary worker. This rule also makes accommodations for

petitioners to create a more efficient filing process for H-1B petitions subject to the annual numerical limitation. Finally, this rule

clarifies treatment of incorrect cap exemption claims and removes certain unnecessary regulatory language.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 214 (h) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1184(g); INA 214(g); INA 101(a)(15)(h); 8 USC 1101(a)(15)(H)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 03/24/2008 73 FR 15389 

Interim Final Rule Effective 03/24/2008 

Interim Final Rule Comment Period End 05/23/2008 

Final Action 04/00/2013 

Additional Information: CIS 2434-07. This rule will be merged with RIN 1615-AB95.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Small Entities Affected: Business Federalism: No

Energy Affected: No

Related RINs: Merge with 1615-AB95

Agency Contact: Dan Konnerth 

Policy and Coordination Chief, Office of Transformation Coordination

Department of Homeland Security

U.S. Citizenship and Immigration Services

6th Floor, 633 Third Street NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 233-2381 

E-Mail: dan.m.konnerth@uscis.dhs.gov
Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB77

 View Related Documents

Title: Application of Immigration Regulations to the Commonwealth of the Northern Mariana Islands

Abstract: This final rule amends the Department of Homeland Security (DHS) and the Department of Justice (DOJ) regulations

to comply with the Consolidated Natural Resources Act of 2008 (CNRA). The CNRA extends the immigration laws of the United

States to the Commonwealth of the Northern Mariana Islands (CNMI). This rule finalizes the interim rule and implements

conforming amendments to their respective regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 208 and 209; 8 CFR 214 and 215; 8 CFR 217; 8 CFR 235; 8 CFR 248; 8 CFR 264; 8 CFR 274a (To

search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-229

Legal Deadline: 

Action Source Description Date

Other Statutory Consolidated Natural Resources Act (CNRA) of 2008 11/28/2009 

Regulatory Plan:

Statement of Need: This rule finalizes the interim rule to conform existing regulations with the CNRA. Some of the changes

implemented under the CNRA affect existing regulations governing both DHS immigration policy and procedures and

proceedings before the immigration judges and the Board. Accordingly, it is necessary to make amendments both to the DHS

regulations and to the DOJ regulations. The Secretary and the Attorney General are making conforming amendments to their

respective regulations in this single rulemaking document.

Legal Basis: Congress extended the immigration laws of the United States to the CNMI. The stated purpose of the CNRA is

to ensure effective border control procedures, to properly address national security and homeland security concerns by

extending U.S. immigration law to the CNMI (phasing-out the CNMI's nonresident contract worker program while minimizing to

the greatest extent practicable the potential adverse economic and fiscal effects of that phase-out), to maximize the CNMI's

potential for future economic and business growth, and to assure worker protections from the potential for abuse and

exploitation.

Alternatives:

Costs and Benefits: Costs: The interim rule established basic provisions necessary for the application of the INA to the CNMI

and updated definitions and existing DHS and DOJ regulations in areas that were confusing or in conflict with how they are to

be applied to implement the INA in the CNMI. As such, that rule made no changes that had identifiable direct or indirect

economic impacts that could be quantified. Benefits: This final rule makes additional regulatory changes in order to lessen the

adverse impacts of the CNRA on employers and employees in the CNMI and assist the CNMI in its transition to the INA.

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 10/28/2009 74 FR 55725 

Interim Final Rule Comment Period End 11/27/2009 

Correction 12/22/2009 74 FR 67969 

Final Action 04/00/2013 

Additional Information: CIS 2460-08.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 1615-AB76; Related to 1615-AB75

Agency Contact: Kevin J. Cummings 

Chief, Business and Foreign Workers Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Washington, DC 20529-2140

Washington , DC 20529-2140 

Phone: 202 272-1470 

FAX: 202 272-1480
E-Mail: kevin.j.cummings@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB91

 View Related Documents

Title: Temporary Nonagricultural Employment of H-2B Nonimmigrants in Guam

Abstract: This final rule amends the Department of Homeland Security (DHS) regulations affecting the reporting of H-2B

construction wage rates in Guam. DHS has determined that U.S. Citizenship and Immigration Services (USCIS) is not the

appropriate subagency to evaluate prevailing wage rates in Guam and is amending its regulations by removing the agency

approval requirements. This direct final rule removes USCIS from the process of setting appropriate prevailing wage rates for H2B construction occupations on Guam. The U.S. Department of Labor will now determine and evaluate prevailing wage rates for

construction occupations on Guam using its current process without additional review or oversight by USCIS.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 214 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 to 1103

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Direct Final Rule 04/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Kevin J. Cummings 

Chief, Business and Foreign Workers Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Washington, DC 20529-2140

Washington , DC 20529-2140 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: kevin.j.cummings@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB99

 View Related Documents

Title: Provisional Unlawful Presence Waivers of Inadmissibility for Certain Immediate Relatives

Abstract: On April 2, 2012, the Department of Homeland Security (DHS) published a proposed rule at 77 FR 19902 to amend

its regulations to allow certain immediate relatives of U.S. citizens who are physically present in the United States to request

provisional unlawful presence waivers under section 212(a)(9)(B)(v) of the Immigration and Nationality Act of 1952 (INA); 8

U.S.C. 1182(a)(9)(B)(v) in anticipation of immigrant visa processing abroad. The final rule implements the provisional unlawful

presence waiver process, and finalizes clarifying amendments to other provisions in part 212 of title 8 of the Code of Federal

Regulations. Based on the final rule, individuals who are immediate relatives of U.S. citizens who are physically present in the

United States and are seeking immigrant visas through consular processing abroad will be able to apply for provisional unlawful

presence waivers while in the United States. These changes will significantly reduce the length of time U.S. citizens are

separated from their immediate relatives who are consular processing abroad and reduce the degree of interchange between
DOS and USCIS, creating greater efficiencies for both the U.S. Government and most applicants.

Priority: Economically Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 212 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 5 USC 552; 5 USC 552a; 8 USC 1101; 8 USC 1103; 8 USC 1304; 8 USC 1182 and note; 8

USC 1184; 8 USC 1187; 8 USC 1223; 8 USC 1225; 8 USC 1226; 8 USC 1227; 8 USC 1255; 8 USC 1304; 8 USC 1356; 8

USC 1185 and note (section 7209 of Pub. L. 108-458); 31 USC 9701; PL 107-296, 116 Stat 2135 (6 USC 1 et seq); EO 12356,

47 FR 14874, 47 FR 15557; 3 CFR 1982 Comp p 166; 8 CFR 2; sec 212.1(q) also issued under sec 702, PL 110-229, 122 Stat

754, 854

Legal Deadline: None

Regulatory Plan:

Statement of Need: Currently, certain spouses, children, and parents of U.S. citizens (immediate relatives) who are in the

United States are not eligible to apply for lawful permanent resident (LPR) status while in the United States. These immediate

relatives must travel abroad to obtain an immigrant visa from the Department of State (DOS) and, in many cases, also must

request from DHS a waiver of the inadmissibility as a result of their unlawful presence in the United States. These immediate

relatives cannot apply for the waiver until after their immigrant visa interviews and must remain outside of the United States,

separated from their U.S. citizen spouses, parents, or children while their waiver applications are adjudicated by USCIS. In

some cases, waiver application processing can take well over 1 year, prolonging the separation of these immediate relatives

from their U.S. citizen spouses, parents, and children. In addition, the action required for these immediate relatives to obtain

LPR status in the United States--departure from the United States to apply for an immigrant visa at a DOS consulate abroad--is

the very action that triggers the unlawful presence inadmissibility grounds under section 212(a)(9)(B)(i) of the INA; 8 U.S.C.

1182(a)(9)(B)(i). As a result, many immediate relatives who may qualify for an immigrant visa are reluctant to proceed abroad to

seek an immigrant visa. In addition, the action required for these immediate relatives to obtain LPR status in the United States

(i.e., departure from the United States to apply for an immigrant visa at a DOS consulate abroad) is the very action that triggers

the unlawful presence inadmissibility grounds under section 212(a)(9)(B)(i) of the INA; 8 U.S.C. 1182(a)(9)(B)(i).

Legal Basis: The Secretary of Homeland Security (Secretary)'s authority to promulgate this final rule is found in the

Homeland Security Act of 2002, Public Law 107-296, section 102, 116 Stat. 2135, 6 U.S.C. 112, and section 103 of the INA, 8

U.S.C. 1103, which give the Secretary the authority to administer and enforce the immigration and nationality laws. The

Secretary's discretionary authority to waive the ground of inadmissibility for unlawful presence can be found in INA section

212(a)(9)(B)(v), 8 U.S.C. 1182(a)(9)(B)(v). The regulation governing certain inadmissibility waivers is 8 CFR 212.7. The fee

schedule for provisional unlawful presence waiver applications is found at 8 CFR 103.7(b)(1)(i)(AA).

Alternatives:

Costs and Benefits: This final rule is expected to result in a reduction in the time that U.S. citizens are separated from their

alien immediate relatives, thus reducing the financial and emotional hardship for these families. In addition, the Federal

Government should achieve increased efficiencies in processing immigrant visas for individuals subject to the unlawful presence

inadmissibility bars under section 212(a)(9)(B) of the INA; 8 U.S.C. 1182(a)(9)(B). Estimates of the preliminary costs of the rule

were developed assuming that current demand is constrained because of concerns that families may endure lengthy

separations under the current system. Due to uncertainties as to the degree of the current constraint of demand, DHS used a

range of constraint levels with corresponding increases in demand to estimate the costs. In the proposed rule, 77 FR 19913,

DHS estimated that the discounted total ten-year cost of this rule would range from approximately $100.6 million to

approximately $303.8 million at a seven percent discount rate. Compared with the current waiver process, this rule requires that

provisional waiver applicants submit biometric information. Included in the total cost estimate is the cost of collecting biometrics,

which we estimated in the proposed rule to range from approximately $28 million to approximately $42.5 million discounted at

seven percent over ten years. In addition, as this rule significantly streamlines the current process, DHS expects that additional

applicants will apply for the provisional waiver as compared to the current waiver process. To the extent that this rule induces

new demand for immediate relative visas, additional immigration benefit forms, such as the Petition for Alien Relative, Form I130, will be filed compared to the pre-rule baseline. These additional forms will involve fees being paid by applicants to the

Federal Government for form processing and additional opportunity costs of time being incurred by applicants to provide the

information required by the forms. The cost estimate in the proposed rule also includes the impact of this induced demand,

which we estimate will range from approximately $72.6 million to approximately $261.3 million discounted at seven percent over

ten years. DHS is currently drafting the final rule in response to comments, and preparing final cost estimates.

Risks:

Timetable:

Action Date FR Cite

NPRM 04/02/2012 77 FR 19902 

NPRM Comment Period End 06/01/2012 

Final Action 12/00/2012 

Additional Information: Includes Retrospective Review under EO 13563.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No
Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1615-ZB10

Agency Contact: Mark Phillips 

Chief, Residence and Naturalization Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Suite 1100, Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: mark.phillips@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA22

 View Related Documents

Title: Inadmissibility and Deportability on Public Charge Grounds

Abstract: The Department of Homeland Security is amending its regulations governing determinations of whether an alien is

inadmissible to the United States, ineligible to adjust status to lawful permanent resident, or has become deportable on public

charge grounds. This rule is intended to alleviate confusion over the meaning of the term "public charge" in immigration law,

reduce negative consequences generated by this confusion, and provide aliens with better guidance as to the types of public

benefits that will and will not be considered in public charge determinations. This interim rule will also address the public

comments on the proposed public charge rule published on May 26, 1999.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 212; 8 CFR 237; 8 CFR 245a.18 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 to 1103; 8 USC 1182 and 1183; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

NPRM 05/26/1999 64 FR 28676 

NPRM Comment Period End 07/26/1999 

Additional Information: CIS No. 1989-99 Transferred from RIN 1115-AF45

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mark Phillips 

Chief, Residence and Naturalization Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Suite 1100, Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: mark.phillips@uscis.dhs.gov
Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AA43

 View Related Documents

Title: Classification of Aliens as Children of United States Citizens Based on Intercountry Adoptions Under the Hague

Convention

Abstract: This rule amends Department of Homeland Security (DHS) regulations relating to intercountry adoptions by U.S.

citizens. First, to facilitate the ratification of the Convention on Protection of Children and Cooperation in Respect of Intercountry

Adoption, signed at The Hague on May 29, 1993 (Convention), the rule establishes administrative procedures for the

immigration of children who are habitually resident in Convention countries and who are adopted by U.S. citizens. Second, the

rule makes other amendments to DHS regulations relating to the immigration of adopted children, to reflect the changes to

those provisions necessary to comply with the Convention. The U.S. Senate consented to ratification of the Convention in 2000

conditioned on the adoption of the necessary implementing regulations. Accordingly, this rule is necessary to establish the

regulations necessary for the United States to ratify the Convention.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 204 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1151; 8 USC 1153 and 1154; 8 USC 1182; 8 USC 1186a; 8 USC 1255; 8

USC 1641

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule 10/04/2007 72 FR 56832 

Interim Final Rule Effective 11/05/2007 

Interim Final Rule Comment Period End 12/03/2007 

Interim Final Rule; Reopening 03/25/2008 73 FR 15635 

Interim Final Rule Comment Period End 05/27/2008 

Comment Period Extended 05/27/2008 

Additional Information: CIS No. 2098-07 Transferred from RIN 1115-AF96

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Julia L. Harrison 

Chief, Operations Division, Field Operations Directorate

Department of Homeland Security

U.S. Citizenship and Immigration Services

111 Massachusetts Avenue NW., 2nd Floor, Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1709 

FAX: 202 272-0923

E-Mail: julia.l.harrison@uscis.dhs.gov

Agency Contact: Donna P. Campagnolo 

Branch Chief, Adoptions and Humanitarian Branch, Operations Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

111 Massachusetts Avenue NW., 2nd Floor, Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-8296 

E-Mail: donna.p.campagnolo@uscis.dhs.gov
Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB71

 View Related Documents

Title: Registration Requirement for Petitioners Seeking To File H-1B Petitions on Behalf of Aliens Subject to Numerical

Limitations

Abstract: The Department of Homeland Security will finalize its regulations governing petitions filed on behalf of alien workers

subject to annual numerical limitations. This rule proposes to establish an electronic registration program for petitions subject to

numerical limitations for the H-1B nonimmigrant classification. This action is necessary because the demand for H-1B specialty

occupation workers by U.S. companies may exceed the numerical limitation. This rule is intended to allow USCIS to more

efficiently manage the intake and lottery process for these H-1B petitions.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 214 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1184(g)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 

NPRM 03/03/2011 76 FR 11686 

NPRM Comment Period End 05/02/2011 

Additional Information: USCIS 2443-08. Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Agency Contact: Susan Arroyo 

Chief of Staff, Service Center Operations

Department of Homeland Security

U.S. Citizenship and Immigration Services

20 Massachusetts Avenue NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1094 

FAX: 202 272-1543

E-Mail: susan.k.arroyo@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB81

 View Related Documents

Title: Special Immigrant Juvenile Petitions

Abstract: This rule makes procedural changes and resolves interpretive issues following the amendments mandated by

Congress. It will enable juvenile aliens who have been abused, neglected, or abandoned and placed in State custody by a

juvenile court, to obtain special immigrant status. Such status will enable these juveniles to be placed into more stable

environments.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 204; 8 CFR 205; 8 CFR 245 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1151; 8 USC 1153; 8 USC 1154
Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 

NPRM 09/06/2011 76 FR 54978 

NPRM Comment Period End 11/07/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; State

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Laura M. Dawkins 

Chief, Regulatory Coordination Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Suite 1200, 20 Massachusetts Avenue NW., Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: laura.dawkins@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Citizenship and Immigration Services ( USCIS ) RIN: 1615-AB88

 View Related Documents

Title: Qualifications, Designation, and Duties of Civil Surgeons, and Revocation of Civil Surgeon Designations

Abstract: Civil surgeons are physicians authorized to conduct legally required medical examinations of aliens applying for

certain immigration benefits. The Department of Homeland Security regulations do not define uniform standards for civil surgeon

designation or procedures for granting and revoking civil surgeon designations. This rule proposes to amend the regulations to

clearly define the roles and responsibilities of the civil surgeon, as well as the role of U.S. Citizenship and Immigration Services,

which is responsible for administering the civil surgeon program.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 232 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 8 USC 1222; 8 USC 1224

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No
Small Entities Affected: Business Federalism: No

Energy Affected: No

Agency Contact: Mark Phillips 

Chief, Residence and Naturalization Division

Department of Homeland Security

U.S. Citizenship and Immigration Services

Office of Policy and Strategy, 20 Massachusetts Avenue NW., Suite 1100, Washington, DC 20529

Washington , DC 20529 

Phone: 202 272-1470 

FAX: 202 272-1480

E-Mail: mark.phillips@uscis.dhs.gov

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA14

 View Related Documents

Title: Numbering of Undocumented Barges

Abstract: Title 46 U.S.C. 12301, as amended by the Abandoned Barge Act of 1992, requires that all undocumented barges of

more than 100 gross tons operating on the navigable waters of the United States be numbered. This rulemaking would establish

a numbering system for these barges. The numbering of undocumented barges will allow identification of owners of barges

found abandoned. This rulemaking supports the Coast Guard's broad role and responsibility of maritime stewardship.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 189 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 12301

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Request for Comments 10/18/1994 59 FR 52646 

Comment Period End 01/17/1995 

ANPRM 07/06/1998 63 FR 36384 

ANPRM Comment Period End 11/03/1998 

NPRM 01/11/2001 66 FR 2385 

NPRM Comment Period End 04/11/2001 

NPRM Reopening of Comment Period 08/12/2004 69 FR 49844 

NPRM Reopening Comment Period End 11/10/2004 

Supplemental NPRM 12/00/2012 

Additional Information: The docket number for this rulemaking is USCG-1998-3798. The docket is located at

www.regulations.gov. The old docket number is CGD 93-091.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Denise Harmon 

Project Manager

Department of Homeland Security

U.S. Coast Guard

National Vessel Documentation Center, 792 T.J. Jackson Drive, Falling Waters, WV 25419

Falling Waters , WV 25419 
Phone: 304 271-2506 

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA18

 View Related Documents

Title: Outer Continental Shelf Activities

Abstract: The Coast Guard is the lead Federal agency for workplace safety and health, on facilities and vessels engaged in the

exploration for, or development or production of, minerals on the Outer Continental Shelf (OCS), other than for matters generally

related to drilling and production that are regulated by the Bureau of Ocean Energy Management, Regulation, and Enforcement

(BOEMRE). This project would revise the regulations on OCS activities by: 1) Adding new requirements, for OCS units for

lifesaving, fire protection, training, hazardous materials used as stores, and accommodation spaces; 2) adding standards for

electrical and machinery installations in hazardous locations; 3) providing regulations for dynamic positioning systems; 4)

providing for USCG acceptance and approval of specified classification society plan reviews, inspections, audits, and surveys;

and 5) requiring foreign vessels engaged in OCS activities to comply with rules similar to those imposed on U.S. vessels

similarly engaged. This project would affect the owners and operators of facilities and vessels engaged in offshore activities.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 140 to 147 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 43 USC 1333(d)(1); 43 USC 1348(c); 43 USC 1356; DHS Delegation No 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need: The last major revision of Coast Guard OCS regulations occurred in 1982. At that time, the offshore

industry was not as technologically advanced as it is today. Offshore activities were in relatively shallow water near land, where

help was readily available during emergency situations. The equipment regulations required only basic equipment, primarily for

lifesaving appliances and hand-held portable fire extinguishers. Since 1982, the requirements in 33 CFR chapter I, subchapter

N, have not kept pace with the changing offshore technology or the safety problems created as OCS activities extend to deeper

water (10,000 feet) and move farther offshore (150 miles). This rulemaking reassesses all of our current OCS regulations in

order to help make the OCS a safer workplace.

Legal Basis: The authority for the Coast Guard to prescribe, change, revise, or amend these regulations is provided under 14

U.S.C. 85; 43 U.S.C. 1333(d)(1), 1347(c), 1348(c), 1356; and Department of Homeland Security Delegation No. 0170.1. Section

145.100 also issued under 14 U.S.C. 664 and 31 U.S.C. 9701.

Alternatives: The Coast Guard considered filling the shortfall in existing OCS regulations by extending the current vessel and

Mobile Offshore Drilling Unit regulations. This approach was rejected after concluding that the differences between fixed and

floating units made this approach impractical. We also considered requiring compliance with industry standards. Those

standards, though, do not cover all of the areas needing regulation. The new rule would adopt available consensus standards

where appropriate. Nonregulatory alternatives, such as agency policy documents and voluntary acceptance of industry

standards, were also considered. They were also rejected because enforceable regulations are necessary in order to carry out

the relevant statutes.

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Request for Comments 06/27/1995 60 FR 33185 

Comment Period End 09/25/1995 

NPRM 12/07/1999 64 FR 68416 

NPRM Correction 02/22/2000 65 FR 8671 

NPRM Comment Period Extended 03/16/2000 65 FR 14226 

NPRM Comment Period Extended 06/30/2000 65 FR 40559 

NPRM Comment Period End 11/30/2000 

Supplemental NPRM 07/00/2013 

Additional Information: Docket Numbers: The notice of request for comments published June 27, 1995, was assigned Coast

Guard docket number 95-016. Following the request for comments, that docket was terminated. This project continues under

Docket No. USCG-1998-3868 and RIN 1625-AA18. This docket may be viewed online by going to www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No
Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Dan Lawrence 

Program Manager

Department of Homeland Security

U.S. Coast Guard

Commandant, CG-5222, 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1382 

E-Mail: james.d.lawrence@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA25

 View Related Documents

Title: Cargo Securing on Vessels Operating in U.S. Waters

Abstract: This rulemaking applies to vessels of 500 gross tons or more traveling on international voyages. It would require

manuals to guide vessel crews in securing certain cargo to prevent its loss at sea and would prescribe when and how the loss

or jettisoning of cargo must be reported. It would also authorize third party organizations to review and approve CSMs on behalf

of the Coast Guard.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 97; 46 CFR 91 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 3306

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/01/2000 65 FR 75201 

NPRM Comment Period End 03/01/2001 

Supplemental NPRM 04/00/2013 

Additional Information: The docket number for this rulemaking is USCG-USCG-2000-7080. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Ken Smith 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant (CG-OES-2) 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1413 

E-Mail: ken.a.smith@uscg.mil
Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB21

 View Related Documents

Title: Transportation Worker Identification Credential (TWIC); Card Reader Requirements

Abstract: The Coast Guard is establishing electronic card reader requirements for maritime facilities and vessels to be used in

combination with TSA's Transportation Worker Identification Credential. Congress enacted several statutory requirements within

the Security and Accountability For Every (SAFE) Port Act of 2006 to guide regulations pertaining to TWIC readers, including

the need to evaluate TSA's final pilot program report as part of the TWIC reader rulemaking. During the rulemaking process, we

will take into account the final pilot data and the various conditions in which TWIC readers may be employed. For example, we

will consider the types of vessels and facilities that will use TWIC readers, locations of secure and restricted areas, operational

constraints, and need for accessibility. Recordkeeping requirements, amendments to security plans, and the requirement for

data exchanges (i.e., Canceled Card List) between TSA and vessel or facility owners/operators will also be addressed in this

rulemaking.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR, subchapter H (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1226; 33 USC 1231; 46 USC ch 701; 50 USC 191 and 192; EO 12656

Legal Deadline: The final rule is required 2 years after the commencement of the pilot program.

Action Source Description Date

Other Statutory SAFE Port Act, codified at 46 USC 70105(k) 08/20/2010 

Regulatory Plan:

Statement of Need: The Maritime Transportation Security Act (MTSA) of 2002 explicitly required the issuance of a biometric

transportation security card to all U.S. merchant mariners and to workers requiring unescorted access to secure areas of

MTSA-regulated facilities and vessels. On May 22, 2006, the Transportation Security Administration (TSA) and the Coast Guard

published a notice of proposed rulemaking (NPRM) to carry out this statute, proposing a Transportation Worker Identification

Credential (TWIC) Program where TSA conducts security threat assessments and issues identification credentials, while the

Coast Guard requires integration of the TWIC into the access control systems of vessels, facilities, and Outer Continental Shelf

facilities. Based on comments received during the public comment period, TSA and the Coast Guard split the TWIC rule. The

final TWIC rule, published in January of 2007, addressed the issuance of the TWIC and use of the TWIC as a visual

identification credential at access control points. The ANPRM, published in March of 2009, proposed a risk-based approach to

TWIC reader requirements and included proposals to classify MTSA-regulated vessels and facilities into one of three risk

groups, based on specific factors related to TSI consequence, and apply TWIC reader requirements for vessels and facilities in

conjunction with their relative risk-group placement. This rulemaking is necessary to comply with the SAFE Port Act and to

complete the implementation of the TWIC Program in our ports. By requiring electronic card readers at vessels and facilities,

the Coast Guard will further enhance port security and improve access control measures.

Legal Basis: The statutory authorities for the Coast Guard to prescribe, change, revise, or amend these regulations are

provided under 33 U.S.C. 1226, 1231; 46 U.S.C. chapter 701; 50 U.S.C. 191, 192; Executive Order 12656, 3 CFR 1988 Comp.,

p. 585; 33 CFR 1.05-1, 6.04-11, 6.14, 6.16, and 6.19; Department of Homeland Security Delegation No. 0170.1.

Alternatives: The implementation of TWIC reader requirements is mandated by the SAFE Port Act. The Coast Guard is

currently considering several regulatory alternatives regarding how to implement the TWIC reader requirements. These

alternatives will be further explored in the NPRM.

Costs and Benefits: The main cost drivers of this proposal are the acquisition and installation of TWIC readers and the

maintenance of the affected entity's TWIC reader system. Costs, which we would distribute over a phased-in implementation

period, consist predominantly of the costs to purchase, install, and integrate approved TWIC readers to their current physical

access control system. Recurring annual costs will be driven by costs associated with canceled card list updates, opportunity

cost associated with delays and replacement of TWICs that cannot be read, and maintenance of the affected entity's TWIC

reader system. At this time, we are still developing our estimates for the impacts of this proposed rule. The benefits of the

rulemaking include the enhancement of the security of vessel ports and other facilities by ensuring that only individuals who

hold valid TWICs are granted unescorted access to secure areas at those locations. It will also implement the 2002 MTSA

transportation security card requirements, thereby ensuring compliance with those statutes.

Risks: USCG used risk-based decision-making to develop this proposed rule.

Timetable:

Action Date FR Cite

ANPRM 03/27/2009 74 FR 13360 

Notice of Public Meeting 04/15/2009 74 FR 17444 

ANPRM Comment Period End 05/26/2009 

Notice of Public Meeting Comment Period End 05/26/2009 

NPRM 02/00/2013 
Additional Information: The docket number for this rulemaking is USCG-2007-28915. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AB02 Related Agencies: Common: TSA

Agency Contact: LCDR Loan O'Brien 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant, (CG-FAC-2), 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1133 

E-Mail: loan.t.o'brien@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB30

 View Related Documents

Title: Consolidated Cruise Ship Regulations

Abstract: This rulemaking proposes requirements for the screening of all baggage, personal items, and persons--including

passengers, crew and visitors--intended for carriage on a cruise ship. New screening regulations would enhance the Coast

Guard's broad role and responsibility of maritime security. It will implement an important facet of cruise ship security, further

enhancing the overall security of passengers.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR subchapter H (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1226; 33 USC 1231

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Additional Information: The docket number for this rulemaking is USCG-2006-23846. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: Undetermined

Small Entities Affected: No Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: LCDR Loan O'Brien 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant, (CG-FAC-2), 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1133 
E-Mail: loan.t.o'brien@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB32

 View Related Documents

Title: Assessment Framework and Organizational Restatement Regarding Preemption for Certain Regulations Issued by the

Coast Guard

Abstract: The proposed rule will operate in two ways. First, it will describe the Coast Guard's interpretation of the preemptive

effect of certain current Coast Guard regulations. This analysis will apply to previously promulgated regulations even if a

complete description of federalism implications was clearly articulated in the development of the regulation. Second, the rule will

set forth criteria and a process that the Coast Guard will undertake in future regulatory projects for evaluating the preemptive

impact of those regulations. This part of the analysis is prospective in nature and will lay out a roadmap for future regulatory

projects regarding federalism and preemption principles. This rulemaking will support the Coast Guard's broad role and

responsibility of further enhancing maritime stewardship by reinforcing a uniform maritime regulatory regime that is predictable

and useful for maritime interests.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 1.06 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 14 USC 2; 14 USC 91; 33 USC 1223; 33 USC 1231; 33 USC 1903(b); 46 USC 3203; 46 USC 3306; 46 USC

3703; 46 USC 3717; 46 USC 4302; 46 USC 6101; DHS Delegation No 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need: In light of recent Federal court cases and the President's May 20, 2009, memorandum regarding

preemption, the Coast Guard believes that a clear agency statement of the preemptive impact of our regulations, particularly

those regulations issued prior to the promulgation of E.O. 13132, can be of great benefit to State and local governments, the

public, and regulated entities. Therefore, the Coast Guard intends to issue a general statement of preemption policy, coupled

with specific statements of policy regarding regulations issued under the authority of statutes with preemptive effect, including,

among others, the Ports and Waterways Safety Act (PWSA) of 1972, as amended (33 U.S.C. 1221 et seq.). The Coast Guard

proposes to publish these policies in a new section 1.06 of title 33 of the Code of Federal Regulations, to allow for easy access

by interested persons and parties.

Legal Basis: The statutory authorities for the Coast Guard to prescribe, change, revise, or amend these regulations are

provided under 14 U.S.C. 2 and 91; 33 U.S.C. 1223, 1231, and 1903(b); 46 U.S.C. 3203, 3306, 3703, 3717, 4302, and 6101;

and Department of Homeland Security Delegation No. 0170.1.

Alternatives:

Costs and Benefits:

Risks: Not applicable to this rulemaking.

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Additional Information: The docket number for this rulemaking is USCG-2008-1259. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: LCDR Lineka Quijano 

Program Manager (Commandant CG-0941)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7121, Washington, DC 20593-7121

Washington , DC 20593-7121 

Phone: 202 372-3972 

E-Mail: lineka.n.quijano@uscg.mil
Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB38

 View Related Documents

Title: Updates to Maritime Security

Abstract: The Coast Guard proposes certain additions, changes, and amendments to 33 CFR, subchapter H. Subchapter H is

comprised of parts 101 through 106. Subchapter H implements the major provisions of the Maritime Transportation Security Act

of 2002. This rulemaking is the first major revision to subchapter H. The proposed changes would further the goals of domestic

compliance and international cooperation by incorporating requirements from legislation implemented since the original

publication of these regulations, such as the SAFE Port Act, and including international standards such as STCW security

training. This rulemaking has international interest because of the close relationship between subchapter H and the International

Ship and Port Security Code (ISPS).

Priority: Economically Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR subchapter H (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1226; 33 USC 1231; 46 USC ch 701; 50 USC 191 and 192; EO 12656; 3 CFR 1988 Comp p 585;

33 CFR 1.05-1; 33 CFR 6.04-11; 33 CFR 6.14; 33 CFR 6.16; 33 CFR 6.19; DHS Delegation No 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rulemaking is needed to incorporate Coast Guard Policy Advisory Council (PAC) decisions on the

interpretation of regulations, guidance provided in response to questions to the Maritime Transportation Security Act of 2002

(MTSA) hotline, and to implement various requirements found in the Security and Accountability for Every Port Act of 2006, the

Coast Guard and Maritime Transportation Act of 2006, and the Coast Guard Authorization Act of 2010. In addition, this

rulemaking is needed to incorporate recommendations from the Merchant Marine Personnel Advisory Committee. It also

incorporates various U.S. Maritime Administration and International Maritime Organization voluntary consensus standards

related to maritime security training.

Legal Basis: The fundamental legal basis for subchapter H remains the Maritime Transportation Security Act of 2002 as

amended by the Security and Accountability for Every Port Act of 2006, the Coast Guard and Maritime Transportation Act of

2006, and the Coast Guard Authorization Act of 2010.

Alternatives: The Coast Guard is currently evaluating a number of alternatives based on applicability and risk (threat,

vulnerability, and consequence). However, an overall update to make necessary changes to subchapter H and address

improvements resulting from our experience since 2003 is prudent.

Costs and Benefits: The Coast Guard is currently estimating the costs associated with this rulemaking. The benefit from

these provisions is compliance with mandates and harmonization with international standards. This rulemaking expands and

improves competencies associated with Maritime Domain Awareness (MDA). MDA is the effective understanding of anything

associated with the global maritime domain that could impact the United States' security, safety, economy, or environment. The

proposed rule would improve MDA through training, exercise, and security plan enhancements.

Risks: With this rulemaking, the Coast Guard seeks to maintain the risk reduction goals established with the promulgation of

the original MTSA regulations by incorporating provisions related to more recent legislation and warranted by our experience

with subchapter H since 2003.

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Additional Information: The Regulations.gov docket number for this rulemaking is USCG-2007-0009. Includes Retrospective

Review under E.O. 13563

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: LCDR Loan O'Brien 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant, (CG-FAC-2), 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 
Phone: 202 372-1133 

E-Mail: loan.t.o'brien@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB46

 View Related Documents

Title: Lifesaving Equipment, Production Testing, and Harmonization With International Standards

Abstract: The Coast Guard amended its regulations for certain lifesaving equipment, including launching appliances (winches

and davits), release mechanisms, survival craft (lifeboats, inflatable life rafts, and inflatable buoyant apparatuses), rescue boats,

and automatic disengaging devices. The currently effective rule harmonizes the Coast Guard's design, construction, and

performance standards for this lifesaving equipment with international standards. In addition, the rule provides for the use of

qualified independent laboratories, instead of Coast Guard inspectors, during the approval process and for production

inspections of certain types of lifesaving equipment. The Coast Guard additionally updated the lifesaving equipment regulations

for inflatable life rafts and inflatable buoyant apparatuses to harmonize Coast Guard regulations with recently adopted

international standards affecting assumed occupant weight. The Coast Guard proposes to further amend the lifesaving

equipment regulations for release mechanisms to harmonize Coast Guard regulations with recently adopted international

standards affecting construction materials.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 160 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 2103 and 2104; 46 USC 3301; 46 USC 3305 and 3306; 46 USC 3703; 46 USC 4102; 46 USC 4302;

46 USC 4502; DHS Delegation 0170.1, paragraph 92

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/31/2010 75 FR 53458 

NPRM Comment Period End 11/29/2010 

Interim Final Rule 10/11/2011 76 FR 62962 

SNPRM 10/11/2011 76 FR 62714 

Interim Final Rule Effective 11/10/2011 76 FR 62962 

SNPRM Comment Period End 11/25/2011 76 FR 62714 

Interim Final Rule 02/21/2012 77 FR 9859 

Interim Final Rule Effective 03/22/2012 

Second NPRM 11/26/2012 77 FR 70390 

Second NPRM Comment Period End 01/25/2013 

Additional Information: The docket number for this rulemaking is USCG-2010-0048 [Formerly USCG-2007-27669]. The docket

can be found at www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Related RINs: Previously Reported as 1625-AB15

Agency Contact: George Grills 

Project Manager (CG-5214)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1385 
E-Mail: george.g.grills@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB56

 View Related Documents

Title: Vessel Documentation User Fees--Annual Renewal Fee

Abstract: The Coast Guard proposes to amend 46 CFR part 67 to include a new annual fee for renewals of endorsements

upon the Certificate of Documentation. The Coast Guard is required to establish user fees for services related to the

documentation of vessels. This proposed rule would establish a fee to cover the current costs of the vessel documentation

services provided by the Coast Guard.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 46 CFR 67 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 31 USC 9701; 46 USC 2110

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Undetermined

Federalism: No

Energy Affected: No

Agency Contact: Mary Jager 

CG-DCO-832

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7681, Washington, DC 20593-7681

Washington , DC 20593-7681 

Phone: 202 372-1331 

E-Mail: mary.k.jager@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB66

 View Related Documents

Title: Revision of Coast Guard Auxiliary Regulations

Abstract: The proposed regulatory revisions would align the program's regulations with changes in statutory language that were

made in 1996, 2002, and 2004. They would clarify the U.S. Coast Guard Auxiliary's organization and status as the Coast

Guard's volunteer workforce element, commensurately broaden the role of the Coast Guard Auxiliary as provided for in the

afore listed legal authorities, and provide additional liability protection for Coast Guard Auxiliarists assigned to Coast Guard duty.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 5 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 14 USC 23; 14 USC 92; 14 USC 633; 14 USC 821

Legal Deadline: None
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/00/2012 

Additional Information: The docket number for this rulemaking is USCG-1999-6712. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Stephen J. Minutolo 

Project Manager

Department of Homeland Security

U.S. Coast Guard

CG-BSX-11 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1267 

E-Mail: stephen.j.minutolo@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB68

 View Related Documents

Title: Ballast Water Management Reporting and Recordkeeping

Abstract: This rulemaking would amend the ballast water management reporting and recordkeeping requirement in 33 CFR

part 151, subparts C and D. Obtaining a more complete understanding of vessels' ballasting operations supports the Coast

Guard's broad roles and responsibilities of maritime safety and environmental stewardship.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 151 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 16 USC 4711; DHS Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 01/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: Business Federalism: No

Energy Affected: No
RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Scott A. Newsham 

Project Manager (CG-OES-3)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1435 

E-Mail: scott.a.newsham@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB74

 View Related Documents

Title: Tonnage Regulations Amendments

Abstract: The Coast Guard proposes to amend its tonnage measurement regulations to codify relevant interpretations, reflect

the statutory amendments made by the Coast Guard Authorization Act of 2010, and incorporate enhancements and

administrative updates to tonnage requirements. These proposed changes would provide a stronger regulatory framework for

consistent application of the Coast Guard's tonnage measurement regulations.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 46 CFR 69 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 2301; 46 USC 14101; 46 USC 14103; 46 USC 14302; 46 USC 14303; 46 USC 14305; 46 USC

14501; 46 USC 14503; 46 USC 14512; 46 USC 14514; 46 USC 14522

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/00/2012 

Additional Information: Docket No. USCG-2011-0522

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Marcus J. Akins 

Regulatory Development Manager

Department of Homeland Security

U.S. Coast Guard

Marine Safety Center (MSC-4), Tonnage Division, 2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 475-3349 

E-Mail: marcus.j.akins@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB78

 View Related Documents

Title: Revision of Crane Regulation Standards for Mobile Offshore Drilling Units, Offshore Supply Vessels, and Floating Outer

Continental Shelf Facilities
Abstract: This rule would propose to revise the current regulations to reflect current crane inspection and design standards,

and expand applicability of the existing standards regarding who may apply to issue crane certifications and to perform

inspections. This rule would support the Coast Guard's strategic goals of maritime safety and mobility, and protection of natural

resources.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 46 CFR 107; 46 CFR 108; 46 CFR 109 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 43 USC 1333; 46 USC 3103; 46 USC 3306; 46 USC 3307; 46 USC 3316

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: Business; Organizations Federalism: No

Energy Affected: No

Agency Contact: Ken Smith 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant (CG-OES-2) 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1413 

E-Mail: ken.a.smith@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB83

 View Related Documents

Title: Lifesaving Devices on Uninspected Vessels

Abstract: Section 619 of the 2010 Coast Guard Authorization Act, (Act) (Pub.L. 111-281) amends title 46, United States Code

(U.S.C.) 4102(b), and directs the Coast Guard to require the installation, maintenance, and use of life preservers and other

lifesaving devices for individuals on uninspected vessels. Currently, uninspected commercial barges not carrying passengers for

hire do not meet this mandate. This proposed rule would fulfill that statutory mandate by changing 46 CFR 25.25 and several

associated tables by removing the exemption from existing regulations for uninspected commercial barges not carrying

passengers for hire and prescribe regulations requiring the installation, maintenance, and use of lifesaving devices to enhance

the safety of persons working aboard these vessels.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 2; 46 CFR 24; 46 CFR 25; 46 CFR 30; 46 CFR 70; 46 CFR 90; 46 CFR 188 (To search for a specific

CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-281; 33 USC 1903(b); 46 USC 3306; 46 USC 4102; 46 USC 4302; Department of Homeland Security

Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:
Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Small Entities Affected: Business Federalism: No

Energy Affected: No

Agency Contact: Martin L. Jackson 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant (CG-ENG-4) , 2100 2nd Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1391 

E-Mail: martin.l.jackson@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB92

 View Related Documents

Title: Deepwater Ports

Abstract: The Coast Guard plans to update its regulations addressing licensing, construction, design, equipment, and operation

of deepwater ports.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 148 to 150 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1504; DHS Delegation No. 0170.1(75)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Federal; State

Federalism: No

Energy Affected: No

Agency Contact: Kevin Tone 

Project Manager, G-PSO-5

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1441 

Department of Homeland Security (DHS) 
U.S. Coast Guard ( USCG ) RIN: 1625-AA16

 View Related Documents

Title: Implementation of the 1995 Amendments to the International Convention on Standards of Training, Certification, and

Watchkeeping (STCW) for Seafarers, 1978

Abstract: The International Maritime Organization (IMO) comprehensively amended the International Convention on Standards

of Training, Certification, and Watchkeeping (STCW) for Seafarers, 1978, in 1995 and 2010. The 1995 amendments came into

force on February 1, 1997. This project implements those amendments by revising current rules to ensure that the United States

complies with their requirements on: The training of merchant mariners, the documenting of their qualifications, and watchstanding and other arrangements aboard seagoing merchant ships of the United States. In addition, the Coast Guard has

identified the need for additional changes to the interim rule issued in 1997. This project supports the Coast Guard's broad role

and responsibility of maritime safety. It also supports the roles and responsibilities of the Coast Guard of reducing deaths and

injuries of crew members on domestic merchant vessels and eliminating substandard vessels from the navigable waters of the

United States. The Coast Guard published an NPRM on November 17, 2009, and Supplemental NPRM (SNPRM) on March 23,

2010. At a June 2010 diplomatic conference, the IMO adopted additional amendments to the STCW convention which change

the minimum training requirements for seafarers. In response to feedback and to the adoption of those amendments, the Coast

Guard developed a second Supplemental NPRM to incorporate the 2010 Amendments into the 1990 interim rule.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 10; 46 CFR 11; 46 CFR 12; 46 CFR 15 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 46 USC 2103; 46 USC chs. 71 and 73; DHS Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need: The Coast Guard proposed to amend its regulations to implement changes to its interim rule published on

June 26, 1997. These proposed amendments go beyond changes found in the interim rule and seek to more fully incorporate

the requirements of the International Convention on Standards of Training, Certification, and Watchkeeping for Seafarers, 1978,

as amended (STCW), in the requirements for the credentialing of United States merchant mariners. The new changes are

primarily substantive and: (1) Are necessary to continue to give full and complete effect to the STCW Convention; (2)

Incorporate lessons learned from implementation of the STCW through the interim rule and through policy letters and NVICs;

and (3) Attempt to clarify regulations that have generated confusion.

Legal Basis: The authority for the Coast Guard to prescribe, change, revise, or amend these regulations is provided under 46

U.S.C. 2103 and 46 U.S.C. chapters 71 and 73; and Department of Homeland Security Delegation No. 0170.1.

Alternatives: For each proposed change, the Coast Guard has considered various alternatives. We considered using policy

statements, but they are not enforceable. We also considered taking no action, but this does not support the Coast Guard's

fundamental safety and security mission. Additionally, we considered comments made during our 1997 rulemaking to formulate

our alternatives. When we analyzed issues, such as license progression and tonnage equivalency, the alternatives chosen were

those that most closely met the requirements of STCW.

Costs and Benefits: In the SNPRM, we estimated the annualized cost of this rule over a 10-year period to be $32.8 million

per year at a 7 percent discount rate. We estimate the total 10-year cost of this rulemaking to be $230.7 million at a 7 percent

discount rate. The changes in anticipated costs since the publication of 2009 NPRM are due to the 2010 amendments to the

STCW Convention: Medical examinations and endorsements, leadership and management skills, engine room management

training, tankerman endorsements, safety refresher training, and able seafarer deck and engine certification requirements.

However, there would be potential savings from the costs of training requirements as the Coast Guard would accept various

methods for demonstrating competence, including the on-the-job training and preservation of the "hawsepipe" programs. We

anticipate the primary benefit of this rulemaking is to ensure that the U.S. meets its obligations under the STCW Convention.

Another benefit is an increase in vessel safety and a resulting decrease in the risk of shipping casualties.

Risks: No risks.

Timetable:

Action Date FR Cite

Notice of Meeting 08/02/1995 60 FR 39306 

Supplemental NPRM Comment Period End 09/29/1995 

Notice of Inquiry 11/13/1995 60 FR 56970 

Comment Period End 01/12/1996 

NPRM 03/26/1996 61 FR 13284 

Notice of Public Meetings 04/08/1996 61 FR 15438 

NPRM Comment Period End 07/24/1996 

Notice of Intent 02/04/1997 62 FR 5197 

Interim Final Rule 06/26/1997 62 FR 34505 

Interim Final Rule Effective 07/28/1997 

NPRM 11/17/2009 74 FR 59353 
NPRM Comment Period End 02/16/2010 

Supplemental NPRM 03/23/2010 75 FR 13715 

Supplemental NPRM 08/01/2011 76 FR 45908 

Public Meeting Notice 08/02/2011 76 FR 46217 

Supplemental NPRM Comment Period End 09/30/2011 

Final Rule 04/00/2013 

Additional Information: The docket number for this rulemaking is USCG-2004-17914. The docket is located at

www.regulations.gov. The old docket number is CGD 95-062. Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Mark Gould 

Project Manager, CG-5221

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1409 

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA77

 View Related Documents

Title: Commercial Fishing Industry Vessels

Abstract: This proposed rule would have amended commercial fishing industry vessel requirements to enhance maritime

safety. Commercial fishing is one of the most dangerous industries in America. The Commercial Fishing Industry Vessel Safety

Act of 1988 (the Act, codified in 46 U.S.C. chapter 45) gives the Coast Guard regulatory authority to improve the safety of

vessels operating in that industry. Although significant reductions in industry deaths were recorded after the Coast Guard issued

its initial rules under the Act in 1991, we believe more deaths and serious injury can be avoided through compliance with new

regulations in the following areas: vessel stability and watertight integrity, vessel maintenance and safety equipment including

crew immersion suits, crew training and drills, and improved documentation of regulatory compliance. This regulatory project

was opened in 2002 to consider regulatory changes to improve safety in the commercial fishing industry, which remains one of

the most hazardous occupations in the United States. The Coast Guard is now intending to withdraw this rulemaking, subject to

public comment on why it should remain open, in light of the 2010 adoption by Congress of new legislation that provides the

Coast Guard with important new regulatory authority over commercial fishing safety. Withdrawal of this project will help the

Coast Guard focus its regulatory efforts on timely regulatory implementation of its 2010 statutory authority, which will be done

under a separate RIN (1625-AB85).

Priority: Economically Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 46 CFR 28 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 4502(a) to 4502(d); 46 USC 4505 and 4506; 46 USC 6104; 46 USC 10603; DHS Delegation No.

0170.1(92)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

ANPRM 03/31/2008 73 FR 16815 

ANPRM Comment Period End 12/15/2008 
Notice of Withdrawal 03/00/2013 

Additional Information: The docket number for this rulemaking is USCG-2003-16158. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AB85

Agency Contact: Jack Kemerer 

Project Manager, CG-5433

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1249 

E-Mail: jack.a.kemerer@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA99

 View Related Documents

Title: Vessel Requirements for Notices of Arrival and Departure, and Automatic Identification System

Abstract: This rulemaking would expand the applicability for Notice of Arrival and Departure (NOAD) and Automatic

Identification System (AIS) requirements. These expanded requirements would better enable the Coast Guard to correlate

vessel AIS data with NOAD data, enhance our ability to identify and track vessels, detect anomalies, improve navigation safety,

and heighten our overall maritime domain awareness. The NOAD portion of this rulemaking could expand the applicability of the

NOAD regulations by changing the minimum size of vessels covered below the current 300 gross tons, require a notice of

departure when a vessel is departing for a foreign port or place, and mandate electronic submission of NOAD notices to the

National Vessel Movement Center. The AIS portion of this rulemaking would expand current AIS carriage requirements for the

population identified in the Safety of Life at Sea (SOLAS) Convention and the Marine Transportation Marine Transportation

Security Act (MTSA) of 2002.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 62; 33 CFR 66; 33 CFR 160; 33 CFR 161; 33 CFR 164; 33 CFR 165 (To search for a specific CFR,

visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1223; 33 USC 1225; 33 USC 1231; 46 USC 3716; 46 USC 8502 and ch 701; sec 102 of PL 107-

295; EO 12234

Legal Deadline: None

Regulatory Plan:

Statement of Need: There is no central mechanism in place to capture vessel, crew, passenger, or specific cargo information

on vessels less than or equal to 300 gross tons (GT) intending to arrive at or depart from U.S. ports unless they are arriving with

certain dangerous cargo (CDC) or at a port in the 7th Coast Guard District; nor is there a requirement for vessels to submit

notification of departure information. The lack of NOAD information of this large and diverse population of vessels represents a

substantial gap in our maritime domain awareness (MDA). We can minimize this gap and enhance MDA by expanding NOAD

applicability to vessels greater than 300 GT, all foreign commercial vessels and all U.S. commercial vessels coming from a

foreign port, and further enhance (and corroborate) MDA by tracking those vessels (and others) with AIS. This information is

necessary in order to expand our MDA and provide Nation maritime safety and security.

Legal Basis: This rulemaking is based on congressional authority provided in the Ports and Waterways Safety Act (see 33

U.S.C. 1223(a)(5), 1225, 1226, and 1231) and section 102 of the Maritime Transportation Security Act of 2002 (codified at 46

U.S.C. 70114).

Alternatives: Our goal is to extend our MDA and to identify anomalies by correlating vessel NOAD data with AIS data. NOAD

and AIS information from a greater number of vessels, as proposed in this rulemaking, would expand our MDA. We considered

expanding NOAD and AIS to even more vessels, but we determined that we needed additional legislative authority to expand

AIS beyond what we propose in this rulemaking, and that it was best to combine additional NOAD expansion with future AIS

expansion. Although not in conjunction with a proposed rule, the Coast Guard sought comment regarding expansion of AIS

carriage to other waters and other vessels not subject to the current requirements (68 FR 39369, Jul. 1, 2003; USCG 2003-

14878; see also 68 FR 39355). Those comments were reviewed and considered in drafting this rule and are available in this

docket. To fulfill our statutory obligations, the Coast Guard needs to receive AIS reports and NOADs from vessels identified in
this rulemaking that currently are not required to provide this information. Policy or other nonbinding statements by the Coast

Guard addressed to the owners of these vessels would not produce the information required to sufficiently enhance our MDA to

produce the information required to fulfill our Agency obligations.

Costs and Benefits: This rulemaking will enhance the Coast Guard's regulatory program by making it more effective in

achieving the regulatory objectives, which, in this case, is improved MDA. We provide flexibility in the type of AIS system that

can be used, allowing for reduced cost burden. This rule is also streamlined to correspond with Customs and Border

Protection's APIS requirements, thereby reducing unjustified burdens. We are further developing estimates of cost and benefit

that were published in 2008. In the 2008 NPRM, we estimated that both segments of the proposed rule would affect

approximately 42,607 vessels. The total number of domestic vessels affected is approximately 17,323 and the total number of

foreign vessels affected is approximately 25,284. We estimated that the 10-year total present discounted value or cost of the

proposed rule to U.S. vessel owners is between $132.2 and $163.7 million (7 and 3 percent discount rates, respectively, 2006

dollars) over the period of analysis. The Coast Guard believes that this rule, through a combination of NOAD and AIS, would

strengthen and enhance maritime security. The combination of NOAD and AIS would create a synergistic effect between the

two requirements. Ancillary or secondary benefits exist in the form of avoided injuries, fatalities, and barrels of oil not spilled into

the marine environment. In the 2008 NPRM, we estimated that the total discounted benefit (injuries and fatalities) derived from

68 marine casualty cases analyzed over an 8-year data period from 1996 to 2003 for the AIS portion of the proposed rule is

between $24.7 and $30.6 million using $6.3 million for the value of statistical life (VSL) at 7 percent and 3 percent discount

rates, respectively. Just based on barrels of oil not spilled, we expect the AIS portion of the proposed rule to prevent 22 barrels

of oil from being spilled annually. The Coast Guard may revise costs and benefits for the final rule to reflect changes resulting

from public comments.

Risks: Considering the economic utility of U.S. ports, waterways, and coastal approaches, it is clear that a terrorist incident

against our U.S. Maritime Transportation System (MTS) would have a direct impact on U.S. users and consumers and could

potentially have a disastrous impact on global shipping, international trade, and the world economy. By improving the ability of

the Coast Guard both to identify potential terrorists coming to the United States while the terrorists are far from our shores and

to coordinate appropriate responses and intercepts before the vessel reaches a U.S. port, this rulemaking would contribute

significantly to the expansion of MDA, and consequently is instrumental in addressing the threat posed by terrorist actions

against the MTS.

Timetable:

Action Date FR Cite

NPRM 12/16/2008 73 FR 76295 

Notice of Public Meeting 01/21/2009 74 FR 3534 

Notice of Second Public Meeting 03/02/2009 74 FR 9071 

NPRM Comment Period End 04/15/2009 

Notice of Second Public Meeting Comment Period End 04/15/2009 

Final Rule 04/00/2013 

Additional Information: We have indicated in past notices and rulemaking documents, and it remains the case, that we have

worked to coordinate implementation of AIS MTSA requirements with the development of our ability to take advantage of AIS

data (68 FR 39355 and 39370, Jul. 1, 2003). The docket number for this rulemaking is USCG-2005-21869. The docket can be

found at www.regulations.gov.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Small Entities Affected: Business Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AA93; Related to 1625-AB28

Agency Contact: LCDR Michael D. Lendvay 

Program Manager, Office of Commercial Vessel, Foreign and Offshore Vessel Activities Div. (CG-CVC-2)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1234 

E-Mail: michael.d.lendvay@uscg.mil

Agency Contact: Jorge Arroyo 

Project Manager, Office of Navigation Systems (CG-5531)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7683, Washington, DC 20593-7683

Washington , DC 20593-7683 

Phone: 202 372-1563 

E-Mail: jorge.arroyo@uscg.mil
Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB27

 View Related Documents

Title: Nontank Vessel Response Plans and Other Vessel Response Plan Requirements

Abstract: This rulemaking would establish regulations requiring owners or operators of nontank vessels to prepare and submit

oil spill response plans. The Federal Water Pollution Control Act defines nontank vessels as self-propelled vessels of 400 gross

tons or greater that operate on the navigable waters of the United States, carry oil of any kind as fuel for main propulsion, and

are not tank vessels. The NPRM proposed to specify the content of a response plan, and among other issues, address the

requirement to plan for responding to a worst case discharge and a substantial threat of such a discharge. Additionally, the

NPRM proposed to update International Shipboard Oil Pollution Emergency Plan (SOPEP) requirements that apply to certain

nontank vessels and tank vessels. Finally, the NPRM proposed to require vessel owners and operators to submit their vessel

response plan control number as part of the notice of arrival information. This project supports the Coast Guard's broad roles

and responsibilities of maritime stewardship.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: Undetermined

CFR Citation: 33 CFR 151; 33 CFR 155; 33 CFR 160 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 3 USC 301 to 303; 33 USC 1223; 33 USC 1231; 33 USC 3121; 33 USC 1903; 33 USC 1908; 46 USC 6101

Legal Deadline: 

Action Source Description Date

Other Statutory Coast Guard Authorization Act of 2010 04/15/2012 

Regulatory Plan:

Statement of Need: This rule implements the statutory requirement for an owner or operator of a self-propelled, nontank

vessel of 400 gross tons or greater, which operates on the navigable waters of the United States, to prepare and submit an oil

spill response plan to the Coast Guard. This rule specifies the content of a vessel response plan (VRP), including the

requirement to plan for responding to a worst-case discharge (WCD) and a substantial threat of such a discharge as mandated

in statute. The rule also specifies the procedures for submitting a VRP to the Coast Guard. This rule will improve our Nation's

pollution response planning and preparedness posture, and help limit the environmental damage resulting from nontank vessel

marine casualties.

Legal Basis: Section 311(j)(5) of the Federal Water Pollution Control Act (FWPCA) (33 U.S.C. 1321(j)(5)), as amended by

section 4202 of the Oil Pollution Act of 1990 (OPA 90) (Pub. L. 101-380, 104 Stat 484); the Coast Guard and Maritime

Transportation Act of 2004 (Pub. L. 108-293, 118 Stat. 102); and the Coast Guard and Maritime Transportation Act of 2006

(Pub. L. 109-241, 120 Stat. 516) sets out the statutory mandate requiring tank and nontank vessel owners or operators to

prepare and submit oil or hazardous substance discharge response plans for certain vessels operating on the navigable waters

of the United States.

Alternatives: In the development of these regulations, the Coast Guard considered four alternatives: Three regulatory

alternatives and one non-regulatory alternative. The alternatives are: (1) Establish regulations for the submission of NTVRPs to

the USCG; (2) amend the tank vessel response plan (TVRP) regulations to incorporate NTVRPs; (3) acceptance of flagapproved SOPEPs; and (4) provide interpretive guidance through USCG's Navigation and Vessel Inspection Circular (NVIC).

Costs and Benefits: We are developing the cost and benefit estimates associated with this step of the rulemaking. The cost

elements associated with this rule include: (1) Nontank vessel plan development, maintenance, and submission; (2) the service

of an Oil Spill Response Organization (OSRO); (3) the contract with a Qualified Individual (QI) along with a Spill Management

Team; and (4) training and exercises. We expect this proposed rule to provide quantifiable benefits in the form of barrels of oil

not spilled into the water in addition to qualitative benefits, which include improved preparedness and reaction to an incident,

including a worst-case discharge and improved effectiveness of onboard and shore-side response activities. In the 2009

NPRM, we estimated that the rulemaking would affect about 2,951 U.S. flag vessels and 1,228 associated planholders. We

estimated the total 10-year present value cost of the proposed rule to U.S. flag nontank vessel owners and operators to be

about $111.4 million at a 7 percent discount rate and $134.8 million at a 3 percent discount rate. We found the training and

exercise requirements to be the most costly element or over 90 percent of the total discounted cost of the proposed rule for

vessel owners. We estimated the total U.S. annualized cost of the proposed rule over the 10-year period of analysis to be

about $15.8 million at both 7 and 3 percent discount rates.

Risks: Response plans are required by statute. A response plan will not prevent a discharge of oil, but it may help minimize

the discharge and resulting damage to the environment. We estimate the proposed rule would prevent between 2,014 and

2,446 barrels of oil from being spilled into the water during the 10-year period of analysis.

Timetable:

Action Date FR Cite

NPRM 08/31/2009 74 FR 44970 

Public Meeting 09/25/2009 74 FR 48891 

NPRM Comment Period End 11/30/2009 

Final Rule 04/00/2013 
Additional Information: The docket number for this rulemaking is USCG-2008-1070. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AA19; Related to 1625-AA26

Agency Contact: Mr. Timothy M. Brown 

Project Manager, Office of Commercial Vessel Compliance (CG-CVC-1)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., Stop 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-7581 

E-Mail: timothy.m.brown@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB37

 View Related Documents

Title: Marine Vapor Control Systems

Abstract: The Coast Guard proposes to revise the existing safety regulations for facility and vessel vapor control systems

(VCSs). The proposed changes would make VCS requirements more compatible with new Federal and State environmental

requirements, regulate industry advancements in VCS technology, and codify the standards in the design and operation of a

VCS at a tank barge cleaning facility. These changes would increase the safety of operations by regulating the design,

installation, and use of VCSs, but would not require the installation or use of the systems.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 154 to 156; 46 CFR 35; 46 CFR 39 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 33 USC 1225; 42 USC 7511b(f)(2); 46 USC 3703

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 10/21/2010 75 FR 65151 

NPRM Comment Period End 04/21/2011 

Final Rule 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Previously Reported as 1625-AB01

Agency Contact: Sara Ju 

Project Manager, CG-5223

Department of Homeland Security

U.S. Coast Guard

COMMANDANT (CG-5223), 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1422 
E-Mail: sara.s.ju@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB61

 View Related Documents

Title: Waiver of Citizenship Requirements for Crewmembers on Commercial Fishing Vessels

Abstract: The Coast Guard is adding to its regulations a description of the procedures for requesting and processing waivers

from the citizenship requirements on commercial fishing vessels. Title 46 U.S.C. 8103 provides for relief from the requirement

that not more than 25 percent of the total number of unlicensed seamen on a U.S. documented vessel may be aliens lawfully

admitted to the United States under the Immigration and Nationality Act (INA) of 1952. We believe we can improve our efforts to

inform the commercial fishing industry of this statutorily provided relief by incorporating our application procedure policy into our

regulations.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 28 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 4502; 46 USC 4505 and 4506; 46 USC 8103

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/18/2011 76 FR 51317 

NPRM Correction 09/20/2011 76 FR 58226 

NPRM Comment Period End 11/16/2011 

Final Rule 01/00/2013 

Additional Information: The docket number for this rulemaking is USCG-USCG-2010-0625. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: David Belliveau Department of Homeland Security

U.S. Coast Guard

Fishing Vessel Division, CG-CVC-3, 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1247 

E-Mail: david.j.belliveau@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB62

 View Related Documents

Title: Offshore Supply Vessels of at Least 6000 GT ITC

Abstract: The Coast Guard Authorization Act of 2010 removed the size limit on offshore supply vessels (OSVs). The Act also

directed the Coast Guard to issue, as soon as is practicable, a regulation to implement section 617 of the Act and to ensure the

safe carriage of oil, hazardous substances, and individuals in addition to the crew on vessels of at least 6,000 gross tonnage as

measured under the International Convention on Tonnage Measurement of Ships (6,000 GT ITC). Accordingly, the Coast

Guard's rule will address design, manning, carriage of personnel, and related topics for OSVs of at least 6,000 GT ITC. This
rulemaking will meet the requirements of the Act and will support the Coast Guard's mission of marine safety, security, and

stewardship.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-281, sec 617

Legal Deadline: 

Action Source Description Date

Other Statutory Coast Guard Authorization Act of 2010 01/01/2012 

Regulatory Plan:

Statement of Need: In section 617 of Public Law 111-281, Congress removed OSV tonnage limits and instructed the Coast

Guard to promulgate regulations to implement the amendments and authorities of section 617. Additionally, Congress directed

the Coast Guard to ensure the safe carriage of oil, hazardous substances, and individuals in addition to the crew on OSVs of at

least 6,000 GT ITC.

Legal Basis: The statutory authority to promulgate these regulations is found in section 617(f) of Public Law 111-281.

Alternatives: The Coast Guard Authorization Act removed OSV tonnage limits and the Coast Guard will examine alternatives

during the development of the regulatory analysis.

Costs and Benefits: The Coast Guard is currently developing a regulatory impact analysis of regulations that ensure the safe

carriage of oil, hazardous substances, and individuals in addition to the crew on OSVs of at least 6,000 GT ITC. A potential

benefit of this rulemaking is the ability of industry to expand and take advantage of new commercial opportunities in the building

of larger OSVs.

Risks: No risks.

Timetable:

Action Date FR Cite

Interim Final Rule 04/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Thomas L. Neyhart 

Program Manager (CG-ENG-1)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1360 

E-Mail: thomas.l.neyhart@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB63

 View Related Documents

Title: Bulk Packaging To Allow for Transfer of Hazardous Liquid Cargoes

Abstract: The proposed rule would permit the use of United Nations-approved portable tanks for the transfer of hazardous

liquid cargoes to and from portable tanks on vessels. The proposed rule would align Coast Guard regulations with the

Department of Transportation's Hazardous Materials Regulations and the International Maritime Organization's International

Maritime Dangerous Goods Code for the construction and use of portable tanks. The use of certain Intermediate Bulk

Containers (IBCs) would also be allowed for the transfer of hazardous liquid cargoes to and from offshore supply vessels. This

proposed rule would also amend the list of hazardous liquid cargoes in table 46 CFR 98.305(a) to include additional cargoes.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 46 CFR 98.30; 46 CFR 98.33 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 3306; 46 USC 3703; DHS Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:
Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits: The proposed rule would primarily affect offshore supply vessels that transport hazardous materials to

and from production and exploration platforms. The only cost requirement pertains to the amended list of approved hazardous

liquid cargoes. Certain materials that have been added would require that the vessel have on board at least one toxic vapor

detector. Currently, industry is using portable tanks that meet U.S. regulations. However, these do not meet IMO standards and

are no longer being manufactured. Without the proposed rule, industry would need to apply to the government for special

permits to use IMO-approved tanks or IBCs. The proposed rule would benefit industry by eliminating applications for special

permits. Government would benefit from not having to process these applications.

Risks:

Timetable:

Action Date FR Cite

NPRM 03/09/2012 77 FR 14327 

NPRM Comment Period End 05/08/2012 

Final Rule 01/00/2013 

Additional Information: The docket number for this rulemaking is USCG-2011-0088. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: LT Elizabeth J. Newton 

Project Manager (CG-ENG-5)

Department of Homeland Security

U.S. Coast Guard

Office of Hazardous Materials (CG-ENG-5), 2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1419 

E-Mail: elizabeth.j.newton@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB84

 View Related Documents

Title: Inland Waterways Navigation Regulations

Abstract: This rulemaking proposes to amend 33 CFR 162.138(a)(ii) in order to redefine the geographical points therein

described that demarcate an area of the Detroit River in which certain vessels are restricted to speeds not greater than 12

statute miles per hour (10.4 knots). This proposed amendment is in response to concerns voiced by shipping industry

representatives whose vessels operate within the affected area.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 162 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1231; Department of Homeland Security Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:
Action Date FR Cite

NPRM 05/08/2012 77 FR 27007 

NPRM Comment Period End 07/09/2012 

Final Rule 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: LT Michael C. Petta 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Ninth District Legal, 1240 E. 9th Street, Cleveland, OH 44199

Cleveland , OH 44199 

Phone: 216 902-6010 

E-Mail: michael.c.petta@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB85

 View Related Documents

Title: Commercial Fishing Vessels--Implementation of 2010 Legislation

Abstract: The Coast Guard is implementing those requirements of a 2010 statute that pertain to uninspected commercial

fishing industry vessels and that took effect upon enactment of the statute but that, to be implemented, require amendments to

Coast Guard regulations affecting those vessels. The applicability of the regulations is being changed, and new requirements are

being added to safety training, equipment, vessel examinations, vessel safety standards, the documentation of maintenance,

and the termination of unsafe operations. This rulemaking promotes the Coast Guard strategic goal of maritime safety.

Priority: Economically Significant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: Private Sector

CFR Citation: 46 CFR 28; 46 CFR 42 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 111-281; title VI (Marine Safety)

Legal Deadline: 

Action Source Description Date

Other Statutory CGAA2010 Requirements in effect since 10/15/2010 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 04/00/2013 

Additional Information: The docket number for this rulemaking is USCG-2012-0025. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: Governmental

Jurisdictions Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Related to 1625-AA77

Agency Contact: Jack Kemerer 

Project Manager, CG-5433

Department of Homeland Security
U.S. Coast Guard

2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1249 

E-Mail: jack.a.kemerer@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB90

 View Related Documents

Title: Adding International Energy Efficiency (IEE) Certificate to List of Certificates a Recognized Classification Society May

Issue

Abstract: The Coast Guard proposes to amend its Vessel Inspection Alternatives regulations to add the International Energy

Efficiency (IEE) Certificate to the list of certificates that a recognized classification society may issue on behalf of the Coast

Guard. We make this proposal because Annex VI of the International Convention for the Prevention of Pollution by Ships, 1973,

as modified by the Protocol of 1978, has been amended to address energy efficiency for ships, and these amendments call for

the issuance of IEE Certificates starting January 1, 2013. This proposed rule would enable recognized classification societies to

apply to the Coast Guard to issue IEE Certificates to vessel owners and help to ensure that the demand for IEE Certificates is

met.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 46 CFR 8.320 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1903; 33 USC 1904; 46 USC 3103; 46 USC 3306; 46 USC 3316; 46 USC 3703

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 12/10/2012 77 FR 73334 

Final Rule Effective 01/09/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Energy Affected: No

Related Agencies: Joint : EPA

Agency Contact: Wayne Lundy 

Program Manager, Office of Design and Engineering Standards, CG-5213

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1379 

E-Mail: wayne.m.lundy@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB95

 View Related Documents

Title: Inland Waterways Navigation Regulations; Sacramento, CA

Abstract: This rulemaking would remove the Decker Island restricted anchorage area in Sacramento River. The restricted

anchorage area was needed to prevent non-government vessels from transiting through or anchoring in anchorage area. The
United States Army relinquished control of the Island in 1975, and the restriction is no longer necessary. This rulemaking

supports the Coast Guard's responsibility for maritime safety.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR 162.205 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USCG 1231; Department of Homeland Security Delegation No.0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Direct Final Rule 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: LT Lucas Mancini Department of Homeland Security

U.S. Coast Guard

Eleventh Coast Guard District (dpw), Coast Guard Island Building 50, Almeda, CA 94501-5100

Almeda , CA 94501-5100 

Phone: 510 437-3801 

E-Mail: lucas.w.mancini@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA00

 View Related Documents

Title: Safety Zone Regulations

Abstract: The Coast Guard uses these routine and frequent regulations to establish control of access to maritime areas to

ensure the safety of events, vessels, or individuals. Many of these zones are of short duration, ranging from a few hours to a

few days, and all are geographically limited in area. Safety zones, defined in 33 CFR 165.20, are established for events such as

fireworks displays, high-speed races, bridge repairs, dredging, or salvage operations, or the transit of dangerous cargoes such

as explosives or liquefied petroleum gas. Safety zones are promulgated by Captains of the Port or District Commanders. These

routine and frequent rulemakings support the Coast Guard's broad roles and responsibilities of maritime safety and maritime

stewardship. Safety zones under the Outer Continental Shelf Lands Act are also included in these routine and frequent

regulations. A total of 150 events are expected annually.

Priority: Routine and Frequent Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 147; 33 CFR 165 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 14 USC 85; 33 USC 1226; 33 USC 1231; 33 USC 1333; 46 USC 701; 46 USC 3306; 46 USC 3703; 50 USC

191; 50 USC 195; 33 CFR 1.05-1; 33 CFR 6.04-1; 33 CFR 6.04-6; 33 CFR 160.5; PL 107-295; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:
Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Additional Information: Routine and frequent rulemakings issued under this RIN will each have an individual docket number.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: Mr. George Detweiler 

Commandant (CG-5533), Program Manager

Department of Homeland Security

U.S. Coast Guard

ATTN: Navigation Standards Division, 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1566 

E-Mail: george.h.detweiler@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA01

 View Related Documents

Title: Special Anchorage Areas/Anchorage Grounds Regulations

Abstract: These routine and frequent regulations are established where maritime and commercial interests require them for

safety of navigation. Special anchorage areas are areas in which vessels of not more than 65 feet may anchor without

displaying the required lights or sound signals because they have been found to be unnecessary to maintain marine safety in

this environment. These special anchorage areas are limited geographically, and, depending on the purpose of the designation,

establish both long- and short-term anchorages. Anchorage grounds are limited geographically, delineate the types and size of

vessel that may use the anchorage, and may place time and other restrictions on use of the anchorage. Regulations

designating special anchorage areas and anchorage grounds are promulgated by District Commanders in response to requests

from appropriate officials. These routine and frequent rulemakings support the Coast Guard's broad role and responsibility of

maritime safety. Approximately five actions are expected annually.

Priority: Routine and Frequent Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 110 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 471; 33 USC 1221 to 1236; 33 USC 2030; 33 USC 2035; 33 USC 2071

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Additional Information: Routine and frequent rulemakings issued under this RIN will have individual docket numbers.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mr. George Detweiler 

Commandant (CG-5533), Program Manager

Department of Homeland Security
U.S. Coast Guard

ATTN: Navigation Standards Division, 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1566 

E-Mail: george.h.detweiler@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA02

 View Related Documents

Title: Discharge-Removal Equipment for Vessels Carrying Oil

Abstract: The Oil Pollution Act of 1990 directed the President by August 18, 1992, to require periodic inspection of dischargeremoval equipment to ensure that it is available in an emergency, and to require carriage of discharge removal equipment by

vessels operating in the navigable waters of the United States and carrying oil or hazardous substances. This action

implemented those provisions. This project supports the Coast Guard's broad role and responsibility of maritime stewardship.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 155 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1321

Legal Deadline: 

Action Source Description Date

Other Statutory 08/18/1992 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

ANPRM 08/30/1991 56 FR 43534 

ANPRM Comment Period End 10/16/1991 

NPRM 09/29/1992 57 FR 44912 

NPRM Comment Period Extended 10/26/1992 57 FR 48489 

NPRM Comment Period End 10/29/1992 

NPRM Comment Period Extended 11/16/1992 57 FR 48489 

Interim Final Rule 12/22/1993 58 FR 67988 

Interim Final Rule Effective 01/21/1994 

Correction 01/26/1994 59 FR 3749 

Interim Final Rule Comment Period End 02/22/1994 

Notice 03/27/2012 77 FR 18151 

Notice Comment Period End 05/29/2012 

Additional Information: The docket number for this rulemaking is USCG-2011-0430. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Small Entities Affected: Business Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Previously Reported as 2115-AD66

Agency Contact: David A. Du Pont 

Project Manager, CG-523

Department of Homeland Security

U.S. Coast Guard

Office of Standards Evaluation and Development, 2100 2nd SW., STOP 7126, Washington, DC 20593-7126
Washington , DC 20593-7126 

Phone: 202 372-1497 

E-Mail: david.a.dupont@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA08

 View Related Documents

Title: Regatta and Marine Parade Regulations

Abstract: These routine and frequent regulations provide for the safety of participants and spectators during regattas and

marine parades. The regulations specify such controls as separate participant and spectator areas, separation schemes for

watercraft in the area of the event, and temporary restrictions on waterways to accommodate the event. These rules are shortterm in nature (usually a single event of one to three days, for only part of each day), and usually encompass only a portion of a

navigable waterway. These rules are promulgated by District Commanders and Captains of the Port in response to requests

from event sponsors. These rulemakings support the Coast Guard's maritime safety and maritime stewardship missions with

regard to the mobility of commercial and recreational vessel traffic. Approximately 50 actions are expected annually.

Priority: Routine and Frequent Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 100 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1233

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Additional Information: Routine and frequent rulemakings issued under this RIN will have individual docket numbers. Regatta

and Marine Parade regulations are also referred to as Special Local Regulations.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: Business; Organizations Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: Mr. George Detweiler 

Commandant (CG-5533), Program Manager

Department of Homeland Security

U.S. Coast Guard

ATTN: Navigation Standards Division, 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1566 

E-Mail: george.h.detweiler@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA11

 View Related Documents

Title: Regulated Navigation Areas

Abstract: These routine and frequent regulations establish operating requirements for vessels within specified geographic

areas to ensure safety on the navigable waters where some special or unusual circumstance exists. Regulated navigation areas

are limited areas in which the Coast Guard specifies operational or vessel restrictions, such as vessel entry, movement, or
departure, and vessel size, speed, horsepower, or draft limitations. Regulated navigation areas are promulgated by District

Commanders, usually at the request of Coast Guard marine safety officials or local maritime safety officials. These routine and

frequent rulemakings support the Coast Guard's broad roles and responsibilities of maritime safety and maritime stewardship. A

total of 5-10 actions are expected annually.

Priority: Routine and Frequent Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 165 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1231; 33 USC 1226; 46 USC 701; 50 USC 191; 50 USC 195

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Additional Information: Routine and frequent rulemakings issued under this RIN will have individual docket numbers.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Mr. George Detweiler 

Commandant (CG-5533), Program Manager

Department of Homeland Security

U.S. Coast Guard

ATTN: Navigation Standards Division, 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1566 

E-Mail: george.h.detweiler@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA12

 View Related Documents

Title: Marine Transportation-Related Facility Response Plans for Hazardous Substances

Abstract: This project would implement provisions of the Oil Pollution Act of 1990 (OPA 90) that require an owner or operator

of a marine transportation-related facility transferring bulk hazardous substances to develop and operate in accordance with an

approved response plan. The regulations would apply to marine transportation-related facilities that, because of their location,

could cause harm to the environment by discharging a hazardous substance into or on the navigable waters or adjoining

shoreline. A separate rulemaking, under RIN 1625-AA13, was developed in tandem with this rulemaking and addresses

hazardous substances response plan requirements for tank vessels. This project supports the Coast Guard's broad roles and

responsibilities of maritime safety and maritime stewardship by reducing the consequence of pollution incidents. This action is

considered significant because of substantial public and industry interest.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR 154 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1321(j); PL 101-380; PL 108-293

Legal Deadline: 

Action Source Description Date

Other Statutory Coast Guard Authorization Act of 2010 04/15/2012 

Regulatory Plan:

Statement of Need: This rulemaking is intended to reduce the impact from hazardous substance spills from marine
transportation-related facilities.

Legal Basis: Section 4202(a) of OPA 90, codified at 33 U.S.C. 1321(j)(5), mandates that the President issue regulations

requiring the preparation of oil and hazardous substance discharge response plans. Although section 4202(b)(4) of OPA 90

established an implementation schedule for these response plans for oil, it did not establish a deadline for submission or

approval of hazardous substances response plans. The Coast Guard has issued separate final rules governing response plan

requirements for vessels carrying oil in bulk as cargo and facilities that handle, store, or transport oil in bulk. Under 33 U.S.C.

1321, "hazardous substances" are designated by the Administrator of the Environmental Protection Agency. The Administrator

has designated 297 chemicals as hazardous substances under this section.

Alternatives: Potential alternatives of this rule are under consideration.

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

ANPRM 05/03/1996 61 FR 20084 

Notice of Public Hearings 07/03/1996 61 FR 34775 

ANPRM Comment Period End 09/03/1996 

NPRM 03/31/2000 65 FR 17416 

NPRM Comment Period End 06/29/2000 

Notice To Reopen Comment Period 02/17/2011 76 FR 9276 

Comment Period Reopen End 05/18/2011 

Additional Information: The docket number for this rulemaking is USCG-1999-5705. The docket can be found at

www.regulations.gov. The Old Docket Number is CGD 94-048. Public hearings regarding this rulemaking were held in

Washington, DC, on July 30, 1996; Houston, TX, on August 5, 1996; and Houston, TX, on February 26 and 27, 1997. Public

meetings for the notice of proposed rulemaking were held in New Orleans, LA, on May 10 and 11, 2000.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AA13

Agency Contact: CDR Michael Roldan 

Project Manager, CG-521

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1420 

E-Mail: luis.m.roldan@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA13

 View Related Documents

Title: Tank Vessel Response Plans for Hazardous Substances

Abstract: This project would implement provisions of the Oil Pollution Act of 1990 that require an owner or operator of a tank

vessel carrying bulk hazardous substances to develop and submit to the Coast Guard a response plan and operate in

accordance with an approved response plan. The regulations would apply to vessels operating on the navigable waters or within

the Exclusive Economic Zone (EEZ) of the United States that carry bulk hazardous substances. Additionally, this project would

update shipboard marine pollution emergency plans for noxious liquid substance (SMPEP-NLS) requirements that apply to

certain nontank vessels and tank vessels. A separate rulemaking, under RIN 1625-AA12, would address hazardous substances

response plan requirements for marine transportation-related facilities. This project supports the Coast Guard's broad roles and

responsibilities of maritime safety and maritime stewardship by reducing the consequences of pollution incidents.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR 151; 33 CFR 155 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1231; 33 USC 1321(j); PL 101-380; PL 108-293

Legal Deadline: 
Action Source Description Date

Other Statutory Coast Guard Authorization Act of 2010 04/15/2012 

Regulatory Plan:

Statement of Need: This rulemaking is intended to reduce the impact from hazardous substance spills from vessels.

Legal Basis: Section 4202(a) of the Oil Pollution Act of 1990 (OPA 90), codified at 33 U.S.C. 1321(j)(5), mandates that the

President issue regulations requiring the preparation of oil and hazardous substance discharge response plans. Although

4202(b)(4) of OPA 90 established an implementation schedule for these response plans for oil, it did not establish a deadline

for submission or approval of hazardous substances response plans. The Coast Guard has issued separate final rules

governing response plan requirements for vessels carrying oil in bulk as cargo and facilities that handle, store, or transport oil in

bulk. Under section 1321, "hazardous substances" are designated by the Administrator of the Environmental Protection Agency.

In 2004, Congress amended OPA 90 to include noxious liquid substances listed in International Bulk Chemical Code for which

they may require response plans, codified at 33 USC 1321(j)(5)(b). The substances contained in the IBC represent a

comprehensive list of hazardous substances transported in bulk by vessels. Regulation 17 of Annex II of MARPOL 73/78,

SMPEP-NLS requirements, became effective January 1, 2003.

Alternatives: A regulatory assessment analyzing potential alternatives of this rule is under consideration.

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

ANPRM 05/03/1996 61 FR 20084 

Notice of Public Hearings 07/03/1996 61 FR 34775 

ANPRM Comment Period End 09/03/1996 

NPRM 03/22/1999 64 FR 13734 

Notice of Public Hearing 06/15/1999 64 FR 31994 

NPRM Comment Period Extended 06/15/1999 64 FR 31994 

NPRM Comment Period End 06/21/1999 

NPRM Extended Comment Period End 08/30/1999 

Notice To Reopen Comment Period 02/17/2011 76 FR 9276 

Comment Period End 05/18/2011 

Additional Information: The docket number for this rulemaking is USCG-1998-4354. The docket is located at

www.regulations.gov. The old docket number is CGD 94-032. Public meetings regarding this rulemaking were held in

Washington, DC, on July 30, 1996; Houston, TX, on August 5, 1996; and Houston, TX, on February 26 and 27, 1997. Public

meetings for the notice of proposed rulemaking were held in Houston, TX, on August 12 and 13, 1999.

Regulatory Flexibility Analysis Required: Governmental

Jurisdictions Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AA12

Agency Contact: Raymond Martin 

Project Manager CG-5225

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW, STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1449 

E-Mail: raymond.w.martin@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA87

 View Related Documents

Title: Security Zone Regulations

Abstract: The Coast Guard uses these routine and frequent regulations to establish control of access to maritime areas to

ensure the security of vessels, waterfront facilities, or individuals. Many of these zones are of short duration, a few hours to a

few days, and all are geographically limited in area. Security zones are established for Presidential or Vice Presidential visits,
high-profile events such as the Olympics, controversial events such as transport of spent nuclear fuel, and in response to the

threat of terrorist attacks. Some security zones are implemented only at heightened security levels and only for the duration of

the heightened alert. Security zones are promulgated by Captains of the Port or District Commanders. These routine and

frequent rulemakings support the Coast Guard's broad roles and responsibilities of maritime security, safety, and stewardship.

The total number of actions expected is 100 annually.

Priority: Routine and Frequent Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 165 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1226; 33 USC 1231; 50 USC 191; 33 CFR 6

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Additional Information: Routine and frequent rulemakings issued under this RIN will each have an individual docket number.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Wayne Young 

Project Manager, CG-5441

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1118 

E-Mail: wayne.young@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA89

 View Related Documents

Title: Dry Cargo Residue Discharges in the Great Lakes

Abstract: The historical practice of bulk dry cargo vessels on the Great Lakes is to discharge cargo residues ("dry cargo

residue" or DCR) overboard. Dry cargo residue is cargo that remains on the deck or cargo spaces after loading or unloading

operations. Generally, these residues include limestone and other clean stone, iron ore (such as taconite), coal, salt, and

cement. These substances are primarily inorganic, non-toxic, and non-hazardous. Public Law 108-293, sec. 623(b), gives the

Coast Guard regulatory authority over DCR discharges in the Great Lakes. An Interim Rule (73 FR 56492, Sep. 29, 2008) allows

the discharge of bulk DCR in limited areas of the Great Lakes by self-propelled vessels and by any barge that is part of an

integrated tug and barge unit. A supplemental notice of proposed rulemaking, prior to issuance of a final rule, is under study

and could propose vessel or facility to use control measures to reduce the amount of residue discharges in the Great Lakes.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 151 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 108-293

Legal Deadline: None

Regulatory Plan:

Statement of Need:
Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 

NPRM 05/23/2008 73 FR 30014 

NPRM Comment Period End 07/22/2008 

Interim Final Rule 09/29/2008 73 FR 56492 

Interim Final Rule Comment Period End 01/15/2009 

Supplemental NPRM 07/30/2012 77 FR 44528 

Supplemental NPRM Comment Period End 10/29/2012 

Additional Information: Supplementary information about this rulemaking may be found in the docket for this rulemaking. The

docket number for this rulemaking is USCG-2004-19621. The docket can be found at www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Mr. John C. Morris 

Project Manager

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1433 

E-Mail: john.c.morris@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB06

 View Related Documents

Title: Inspection of Towing Vessels

Abstract: This rulemaking would implement a program of inspection for certification of towing vessels, which were previously

uninspected. It would prescribe standards for safety management systems and third-party auditors and surveyors, along with

standards for construction, operation, vessel systems, safety equipment, and recordkeeping.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 2; 46 CFR 15; 46 CFR 136 to 144 (To search for a specific CFR, visit the Code of Federal Regulations

) 

Legal Authority: 46 USC 3103; 46 USC 3301; 46 USC 3306; 46 USC 3308; 46 USC 3316; 46 USC 3703; 46 USC 8104; 46

USC 8904; DHS Delegation No 0170.1

Legal Deadline: On October 15, 2010, the Coast Guard Authorization Act of 2010 was enacted as Public Law 111-281. It

requires that a proposed rule be issued within 90 days after enactment and that a final rule be issued within 1 year of

enactment.

Action Source Description Date

NPRM Statutory 01/13/2011 

Other Statutory 10/15/2011 

Regulatory Plan:

Statement of Need: This rulemaking would implement section 415 of the Coast Guard and Maritime Transportation Act of

2004. The intent of the proposed rule is to promote safer work practices and reduce casualties on towing vessels by ensuring

that towing vessels adhere to prescribed safety standards. This proposed rule was developed in cooperation with the Towing

Vessel Safety Advisory Committee. It would establish a new subchapter dedicated to towing vessels, covering vessel

equipment, systems, operational standards, and inspection requirements.
Legal Basis: Proposed new subchapter authority: 46 U.S.C. 3103, 3301, 3306, 3308, 3316, 8104, 8904; 33 CFR 1.05; DHS

Delegation 0170.1. The Coast Guard and Maritime Transportation Act of 2004 (CGMTA 2004), Public Law 108-293, 118 Stat.

1028, (Aug. 9, 2004), established new authorities for towing vessels as follows: Section 415 added towing vessels, as defined in

section 2101 of title 46, United States Code (U.S.C.), as a class of vessels that are subject to safety inspections under chapter

33 of that title (Id. at 1047). Section 415 also added new section 3306(j) of title 46, authorizing the Secretary of Homeland

Security to establish, by regulation, a safety management system appropriate for the characteristics, methods of operation, and

nature of service of towing vessels (Id.). Section 409 added new section 8904(c) of title 46, U.S.C., authorizing the Secretary to

establish, by regulation, "maximum hours of service (including recording and recordkeeping of that service) of individuals

engaged on a towing vessel that is at least 26 feet in length measured from end to end over the deck (excluding the sheer)."

(Id. at 1044-45).

Alternatives: We considered the following alternatives for the notice of proposed rulemaking (NPRM): One regulatory

alternative would be the addition of towing vessels to one or more existing subchapters that deal with other inspected vessels,

such as cargo and miscellaneous vessels (subchapter I), offshore supply vessels (subchapter L), or small passenger vessels

(subchapter T). We do not believe, however, that this approach would recognize the often "unique" nature and characteristics of

the towing industry in general and towing vessels in particular. In addition to inclusion in a particular existing subchapter (or

subchapters) for equipment-related concerns, the same approach could be adopted for use of a safety management system by

requiring compliance with title 33, Code of Federal Regulations, part 96 (Rules for the Safe Operation of Vessels and Safety

Management Systems). Adoption of these requirements, without an alternative safety management system, would also not be

"appropriate for the characteristics, methods of operation, and nature of service of towing vessels." The Coast Guard has had

extensive public involvement (four public meetings, over 100 separate comments submitted to the docket, as well as extensive

ongoing dialogue with members of the Towing Safety Advisory Committee (TSAC)) regarding development of these regulations.

Adoption of one of the alternatives discussed above would likely receive little public or industry support, especially considering

the TSAC efforts toward development of standards to be incorporated into a separate subchapter dealing specifically with the

inspection of towing vessels. An approach that would seem to be more in keeping with the intent of Congress would be the

adoption of certain existing standards from those applied to other inspected vessels. In some cases, these existing standards

would be appropriately modified and tailored to the nature and operation of certain categories of towing vessels. The adopted

standards would come from inspected vessels that have demonstrated "good marine practice" within the maritime community.

These regulations would be incorporated into a subchapter specifically addressing the inspection for certification of towing

vessels. The law requiring the inspection for certification of towing vessels is a statutory mandate, compelling the Coast Guard

to develop regulations appropriate for the nature of towing vessels and their specific industry.

Costs and Benefits: We estimate that owners and operators of towing vessels would incur additional annualized costs in the

range of $14.3 million to $17.1 million at 7% discounted from this rulemaking. The cost of this rulemaking would involve

provisions for safety management systems, standards for construction, operation, vessel systems, safety equipment, and

recordkeeping. Our cost assessment includes existing and new vessels. The Coast Guard developed the requirements in the

proposed rule by researching both the human factors and equipment failures that caused towing vessel accidents. We believe

that the proposed rule would address a wide range of causes of towing vessel accidents and supports the main goal of

improving safety in the towing industry. The primary benefit of the proposed rule is an increase in vessel safety and a resulting

decrease in the risk of towing vessel accidents and their consequences. We estimate an annualized benefit of $28.5 million

from this rule.

Risks: This regulatory action would reduce the risk of towing vessel accidents and their consequences. Towing vessel

accidents result in fatalities, injuries, property damage, pollution, and delays.

Timetable:

Action Date FR Cite

Final Rule 

NPRM 08/11/2011 76 FR 49976 

Notice of Public Meetings 09/09/2011 76 FR 55847 

NPRM Comment Period End 12/09/2011 

Additional Information: The Regulations.gov docket number is USCG-2006-24412.

Regulatory Flexibility Analysis Required: Business;

Governmental Jurisdictions; Organizations Government Levels Affected: State

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Patrick Mannion 

Project Manager, CG-5222

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1439 

E-Mail: patrick.j.mannion@uscg.mil
Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB51

 View Related Documents

Title: Potable Water Standards for Inspected Vessels

Abstract: The Coast Guard is proposing new regulations to comply with 46 U.S.C. 3305(a)(1)(D), which requires the Coast

Guard to ensure through its inspection process that each vessel subject to inspection has an adequate supply of potable water

for drinking and washing by passengers and crew.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 32; 46 CFR 56; 46 CFR 72; 46 CFR 92; 46 CFR 108; 46 CFR 116; 46 CFR 127; 46 CFR 167 to 169;

46 CFR 177 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 3305; 46 USC 3306

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rulemaking is needed to establish a single standard for potable water on inspected vessels so that

the Coast Guard can meet its statutory mandate to ensure, through the inspection process, that all inspected vessels have an

adequate supply of potable water for washing and drinking by the passengers and crew.

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Small Entities Affected: Business Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Thane Gilman 

Program Manager, CG-ENG-3

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1383 

E-Mail: thane.gilman@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB57

 View Related Documents

Title: MARPOL Annex 1 Update

Abstract: In this rulemaking, the Coast Guard would amend the regulations in subchapter O (Pollution) of title 33 of the CFR,

including regulations on vessels carrying oil, oil pollution prevention, oil transfer operations, and rules for marine environmental

protection regarding oil tank vessels, to reflect changes to international oil pollution standards adopted since 2004. Additionally,

this regulation would update shipping regulations in title 46 to require Material Safety Data Sheets, in accordance with

international agreements, to protect the safety of mariners at sea.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 33 CFR 151; 33 CFR 155 to 157; 46 CFR 197 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 33 USC 1902; 46 USC 3306
Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 

NPRM 04/09/2012 77 FR 21360 

NPRM Comment Period End 07/26/2012 77 FR 21360 

Comment Period Extended 09/07/2012 77 FR 43741 

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Scott Hartley 

Program Manager CG-OES-2

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1437 

E-Mail: scott.e.hartley@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB58

 View Related Documents

Title: Amendments to Chemical Testing Requirements in 46 CFR 16 and 33 CFR 95

Abstract: This rulemaking supports the Commandant's Marine Safety strategic goal by making numerous small improvements

to the drug and alcohol testing program. These changes would close loopholes, increase the efficiency and reliability of drug

test reporting, and reorganize 46 CFR 16 into question and answer format. Amendments to 33 CFR 95 would authorize Coast

Guard civilian marine investigators to order post-accident drug tests (in the same way as active duty mariner investigators do).

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 16; 33 CFR 95 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 2103; 46 USC 7101; 46 USC 7302; 46 USC 7701; DHS Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Notice With Request for Comments 01/20/2012 77 FR 2935 

Notice Comment Period End 03/20/2012 
Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: Yes

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Robert C. Schoening 

Commandant (CG-INV-1)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7581, Washington, DC 20593-0001

Washington , DC 20593-0001 

Phone: 202 372-1033 

E-Mail: robert.c.schoening@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB59

 View Related Documents

Title: Harmonization of Standards for Fire Protection and Extinguishing Equipment

Abstract: The Coast Guard proposes to amend its regulations for fire, protection, detection, and extinguishing equipment on

inspected and uninspected vessels and outer continental shelf facilities. These changes are necessary to ensure Coast Guard

regulations remain current and address advances in new technologies. The proposed rules would also harmonize the Coast

Guard's regulations with the appropriate national and international consensus standards for fire protection, detection, and

extinguishing equipment.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR 140; 33 CFR 145; 46 CFR 25; 46 CFR 28; 46 CFR 31 and 32; 46 CFR 34; 46 CFR 71 and 72; 46 CFR

76; 46 CFR 91; 46 CFR 95; 46 CFR 107 and 108; 46 CFR 116; 46 CFR 118; 46 CFR 132; 46 CFR 159; 46 CFR 161 and 162;

46 CFR 164; 46 CFR 169; 46 CFR 175; 46 CFR 177; 46 CFR 181; 46 CFR 189 and 190; 46 CFR 193 (To search for a specific

CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 3306; 46 USC 3503; 46 USC 3703; 46 USC 4102; 46 USC 4302; DHS Delegation # 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: LCDR John Miller 

Project Manager, Office of Design and Engineering Standards, CG-ENG-4

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1372 

E-Mail: john.h.miller@uscg.mil

Department of Homeland Security (DHS) 
U.S. Coast Guard ( USCG ) RIN: 1625-AB64

 View Related Documents

Title: Top Screen Information Collection From MTSA-Regulated Facilities Handling Chemicals

Abstract: The Coast Guard proposes to require facilities regulated under the Maritime Transportation Security Act of 2002

(Pub. L. 107-295) (MTSA) that transport or handle certain chemicals of interest to submit a "Top-Screen" to the Department of

Homeland Security (DHS). DHS developed Top-Screen under the Chemical Facility Anti-Terrorism Standards (Department of

Homeland Security Appropriations Act of 2007 (Pub. L. 109-295, section 550)) (CFATS). This NPRM would provide the

information to allow DHS to develop a comprehensive risk picture.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 105 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 70103

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: LCDR Loan O'Brien 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant, (CG-FAC-2), 2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1133 

E-Mail: loan.t.o'brien@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB72

 View Related Documents

Title: Vessels in U.S. Navigable Waters--Vital System Maintenance

Abstract: This rulemaking seeks to reduce the threat to safety in U.S. navigable waters from poorly maintained vessels by

requiring all vessels to maintain certain equipment and technical systems. This rulemaking supports the Coast Guard strategic

goals of marine safety, maritime mobility, and the protection of marine resources.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 164.25 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1222(5); 33 USC 1233; 33 USC 1231; 46 USC 2103; 46 USC 3703; DHS Delegation No. 0170.1,

paragraph (70); DHS Delegation No. 0170.1, paragraph (92)(b)

Legal Deadline: None

Regulatory Plan:

Statement of Need:
Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Thane Gilman 

Program Manager, CG-ENG-3

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1383 

E-Mail: thane.gilman@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB80

 View Related Documents

Title: Revision to Transportation Worker Identification Credential (TWIC) Requirements for Mariners

Abstract: The Coast Guard is revising its merchant mariner credentialing regulations to implement the requirements of section

809 of Coast Guard Authorization Act of 2010, Public Law 111-281. Section 809 eliminates the requirement for certain mariner

populations to hold a Transportation Worker Identification Credential (TWIC). The Coast Guard is also adjusting its regulations to

provide an exemption for certain fees associated with merchant mariner credentialing for those mariners not required to hold a

TWIC, but who may still be required to visit a TWIC enrollment center to provide the information necessary to obtain a Merchant

Mariner Credential. This rulemaking implements section 809 through revised regulations addressing the applicability of the TWIC

requirements and the process of obtaining an MMC for affected mariners, and will supercede Coast Guard Policy Letter 11-15

issued December 2011, which provided a policy solution to offer affected mariners some of the relief presented by section 809

while the Coast Guard worked on this rulemaking.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 10; 46 CFR 11; 46 CFR 12; 46 CFR 15 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: sec 809 of the Coast Guard Authorization Act of 2010, PL 111-281, codified at 46 USC 70105(b)(2); 46 USC

2110(g)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 10/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal
Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Davis Breyer 

Project Manager

Department of Homeland Security

U.S. Coast Guard

CG-OES-1, 2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1445 

E-Mail: davis.j.breyer@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB81

 View Related Documents

Title: Vessel Traffic Service Updated, Including Establishment of Vessel Traffic Service in Port Arthur, Texas, and Expansion

of a VTS Special Area in Puget Sound, Washington

Abstract: The Coast Guard proposes to revise the Vessel Traffic Service (VTS)-related regulations in 33 CFR part 161. The

proposed revisions will establish a mandatory-participation VTS in Port Arthur, Texas; consolidate two existing VTS Special

Areas in Puget Sound, Washington into one expanded VTS Special Area, and make two minor revisions to the VTS regulations.

One revision will update the designated frequencies for the Maritime Mobile Service Identifiers for Louisville, KY and Los

Angeles/Long Beach, CA; the other revision will amend an outdated reference to the term "Dangerous Cargo" to the updated

term "Certain Dangerous Cargos."

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR 161.12; 33 CFR 161.19; 33 CFR 161.55; 33 CFR 161.70 (To search for a specific CFR, visit the Code

of Federal Regulations ) 

Legal Authority: 33 USC 1221

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 

NPRM 09/10/2012 77 FR 55439 

NPRM Comment Period End 12/10/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: LCDR Patricia Springer Department of Homeland Security

U.S. Coast Guard

Room (CG-7413), 2100 Second Street SW., STOP 7684, Washington, DC 20593-7684

Washington , DC 20593-7684 

Phone: 202 372-1553 

E-Mail: patricia.j.springer@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB88

 View Related Documents
Title: Changes to the Inland Navigation Rules of the Road

Abstract: The Coast Guard proposes to amend the inland navigation rules in 33 CFR parts 83 through 88 to incorporate

amendments made by the International Maritime Organization to the Convention on the International Regulations for Preventing

Collisions at Sea to which the U.S. is a signatory, and to incorporate recommendations advised by the Navigation Safety

Advisory Council. These changes would harmonize domestic and international law by reducing and alleviating equipment

requirements on vessels, addressing technological advancements, such as wing-in-ground craft, and making reference to

applicable requirements easier to locate by creating uniformity of the two sets of rules.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 33 CFR 83; 33 CFR 84; 33 CFR 85; 33 CFR 86; 33 CFR 87; 33 CFR 88 (To search for a specific CFR, visit the

Code of Federal Regulations ) 

Legal Authority: Coast Guard and Maritime Transportation Authorization Act of 2004 (Pub. L. 108-293); Department of

Homeland Security Delegation 0170.1, Delegation to the Commandant of the Coast Guard.

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 

NPRM 08/28/2012 77 FR 52175 

NPRM Comment Period End 10/29/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: LCDR Megan Cull 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Office of Navigation Systems (CG-NAV-3), 2100 Second Street SW., STOP 7580, Washington, DC 20593-7580

Washington , DC 20593-7580 

Phone: 202 372-1565 

E-Mail: megan.l.cull@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB89

 View Related Documents

Title: Great Lakes Pilotage Rates--2013 Annual Review and Adjustment

Abstract: The Coast Guard proposes rate adjustments for 2013 pilotage services on the Great Lakes, which were last

amended in February 2012. The proposed adjustments would establish new base rates and are made in accordance with a

required full ratemaking procedure. The proposed update reflects changes in benchmark contractual wages and benefits and an

adjustment for inflation.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 401 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 9303(f)

Legal Deadline: 

Action Source Description Date

Other Statutory The statutory deadline is March 1st of each year. 03/01/2013 

Regulatory Plan:
Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 

NPRM 08/01/2012 77 FR 45539 

NPRM Comment Period End 10/01/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Agency Contact: Paul Wasserman 

Director, Great Lakes Pilotage (CG-5522)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1535 

E-Mail: paul.m.wasserman@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB91

 View Related Documents

Title: Cruise Vessel Security and Safety Act of 2010; Implementation

Abstract: The Coast Guard proposes to comply with the Cruise Vessel Security and Safety Act of 2010 (CVSSA) which

includes the requirement to issue implementing regulations. The proposed rule will clarify definitions, update existing regulations,

and propose performance standards to comply with CVSSA.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 46 CFR 73; DHS Delegation No 0170.1(92.a) (92.b) (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 5 USC 553; 46 USC 2103; 46 USC 3507(j)

Legal Deadline: None

Regulatory Plan:

Statement of Need: Some CVSSA terms are not defined statutorily and can be differently interpreted by the regulated public.

For example, the CVSSA applies to vessels that "embark" or "disembark" passengers in the U.S., which may or may not be

interpreted as including port calls in which a passenger leaves the vessel but later returns. The NPRM proposes defining the

terms to exclude such port calls. CVSSA requirements for video crime surveillance systems, technology to detect falls

overboard, adequate medical supplies, and crew training do not provide standards for determining what systems and

technology is acceptable, what supplies are adequate, or how often refresher training must be provided. The NPRM proposes

parameters so that both regulators and the public can know when a vessel is in compliance with those requirements.

Legal Basis: 46 U.S.C. 2103 (regulatory authority to implement 46 U.S.C. Subtitle II); 46 U.S.C. 3507(j) (regulatory authority

to issue "such regulations as are necessary to implement this section"); Department of Homeland Security Delegation No.

0170.1(92.a), (92.b)

Alternatives: Alternatives include: No Action

Costs and Benefits: We do not expect this rulemaking to be classified as economically significant under Executive Order

12866 because it is not anticipated to have an annual effect on the economy of $100 million or more. The relatively small

worldwide population of less than 200 cruise vessels affected by this action in most cases already complies with the law. The

impact of this rulemaking on the Coast Guard is expected to be neutral as compliance inspection and enforcement will be
integrated into ongoing activities. The Coast Guard is developing and implementing mandates within existing budget authorities.

This will clarify provisions in the CVSSA. Negligible risk is involved.

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: LCDR Latasha Pennant 

Program Manager

Department of Homeland Security

U.S. Coast Guard

Office of Design and Engineering Standards (CG-521), 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1358 

E-Mail: latasha.e.pennant@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB94

 View Related Documents

Title: 2012 Liquid Chemical Categorization Updates

Abstract: The primary purpose of this rulemaking is to update information contained in 46 CFR parts 30, 150, 151, 153, and

154 text and tables about the characteristics of liquid chemical cargoes. The updating would be based on: The latest

"Provisional Categorization of Liquid Substances" Circular (MEPC.2/Circ. 17; Dec. 17, 2011) of the MEPC and the March 2012

Annex to the IBC Code; Coast Guard approvals of liquid chemical cargoes for domestic-only carriage; and on Coast Guard

information about chemicals that are either no longer being manufactured or no longer shipped by bulk on vessels.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 46 CFR 30; 46 CFR 150 and 151; 46 USC 153 and 154 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 33 USC 1903; 46 USC 2103; 46 USC 3306; 46 USC 3703; DHS Delegation No 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need: Regulatory text and tables meant to convey current information about liquid chemical cargo

characteristics are badly out of date and are no longer accurate. The current regulation requires updating and, through annual

rulemakings, to keep the information up to date. This project would further the Coast Guard strategic goals of maritime safety,

maritime mobility, and marine environmental protection.

Legal Basis: The statutory basis for this rulemaking is 46 U.S.C. 3703, which requires the Secretary to prescribe regulations

relating to the operation of vessels that carry liquid bulk dangerous cargoes, and to the types and grades of cargo those

vessels carry. Additional regulatory authority is provided by 33 U.S.C. 1903 (regulations to implement the International

Convention for the Prevention of Pollution from Ships, 1973 (MARPOL)), 46 U.S.C. 2103 (merchant marine regulatory authority),

and 46 U.S.C. 3306 (regulations for the safety of individuals and property on inspected vessels). The Secretary's authority

under these statutes is delegated to the Coast Guard in DHS Delegation No. 0170.1-33 U.S.C. 1903 by paragraph (77), and

the 46 U.S.C. statutes by paragraph (92).

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No
Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Ms. Aryan Nejad Roshanak 

Program Manager (CG-ENG-5)

Department of Homeland Security

U.S. Coast Guard

Department of Homeland Security, 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1415 

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA09

 View Related Documents

Title: Drawbridge Regulations

Abstract: These routine and frequent regulations establish operating schedules and notice requirements for drawbridges across

navigable waterways. Drawbridge regulations establish the permanent draw operation schedules for bridges and specify what

notice mariners must give to request an opening. Short-term deviations from the permanent schedule may be issued for bridge

repairs or to test the effectiveness of a proposed new opening schedule. Drawbridge regulations are promulgated by District

Commanders usually at the request of the bridge owner or operator, or of local officials or local Coast Guard bridge

administration officials. These routine and frequent rulemakings support the Coast Guard's broad roles and responsibilities of

maritime safety and maritime stewardship in relation to the mobility of commercial and recreational vessel traffic. The total

actions expected are 140 annually.

Priority: Routine and Frequent Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 117 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 499

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM-Withdrawn 05/30/2012 77 FR 31814 

Additional Information: Routine and frequent rulemakings issued under this RIN will have individual docket numbers.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: Business; Governmental Jurisdictions Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: Alesia Steinberger 

Program Manager, CG-5511

Department of Homeland Security

U.S. Coast Guard

Room 5-0910, 2100 Second Street SW., STOP 7683, Washington, DC 20593-7683

Washington , DC 20593-7683 

Phone: 202 372-1515 

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA32

 View Related Documents
Title: Standards for Living Organisms in Ships' Ballast Water Discharged in U.S. Waters

Abstract: This rulemaking adds performance standards to 33 CFR part 151, subparts C and D, for discharges of ballast water.

It supports the Coast Guard's broad roles and responsibilities of maritime safety and maritime stewardship. This project is

economically significant.

Priority: Economically Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: Private Sector

CFR Citation: 33 CFR 151 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 16 USC 4711

Legal Deadline: None

Regulatory Plan:

Statement of Need: The unintentional introduction of nonindigenous species into U.S. waters via the discharge of vessels'

ballast water has had significant impacts to the Nation's aquatic resources, biological diversity, and coastal infrastructures. This

rulemaking would amend the ballast water management requirements (33 CFR part 151, subparts C and D) and establish

standards that specify the level of biological treatment that must be achieved by a ballast water treatment system before ballast

water can be discharged into U.S. waters. This would increase the Coast Guard's ability to protect U.S. waters against the

introduction of nonindigenous species via ballast water discharges.

Legal Basis: Congress has directed the Coast Guard to develop ballast water regulations to prevent the introduction of

nonindigenous species into U.S. waters under the Nonindigenous Aquatic Nuisance Prevention and Control Act of 1990 and

reauthorized and amended it with the National Invasive Species Act of 1996. This rulemaking does not have a statutory

deadline.

Alternatives: The Coast Guard would use the standard rulemaking process to develop regulations for ballast water discharge

standards. Nonregulatory alternatives such as navigation and vessel inspection circulars and the Marine Safety Manual have

been considered and may be used for the development of policy and directives to provide the maritime industry and our field

offices guidelines for implementation of the regulations. Nonregulatory alternatives cannot be substituted for the standards we

would develop with this rule. Congress has directed the Coast Guard to review and revise its BWM regulations not less than

every 3 years based on the best scientific information available to the Coast Guard at the time of that review. On August 28,

2009, the Coast Guard published the Notice of Proposed Rulemaking (NPRM) entitled Standards for Living Organisms in Ships'

Ballast Water Discharged in U.S. Waters in the Federal Register (74 FR 44632). The proposed rule included implementation

schedules for phase-one and phase-two discharge standards. The proposed phase-one standard is the same standard adopted

by the International Maritime Organization (IMO) for concentration of living organisms in ballast water discharges. The

implementation of phase-one was based on a vessel's ballast water capacity and construction date. The Coast Guard would

conduct a practicability review prior to the phase-two standard, to determine whether technology to achieve a more stringent

standard than the IMO standard can practicably be implemented.

Costs and Benefits: This rulemaking would affect certain vessels operating in U.S. waters seeking to discharge ballast water

into waters of the United States. Owners and operators of these vessels would be required to install and operate Coast Guard

approved ballast water management systems before discharging ballast water into U.S. waters. Cost estimates for individual

vessels vary due to the vessel class, type, and size, and the particular technology of the ballast water management system

installed. We expect the highest annual costs of this rulemaking during the periods of installation as the bulk of the existing fleet

of vessels must meet the standards according to proposed implementation schedules. The primary cost driver of this rulemaking

is the installation costs for existing vessels. Operating and maintenance costs are substantially less than the installation costs.

We evaluated the benefits of this rulemaking by researching the impact of aquatic nonindigenous species (NIS) invasions in

U.S. waters, since ballast water discharge is one of the vectors of NIS introductions in the marine environment. The primary

benefit of this rulemaking would be the economic and environmental damages avoided from the reduction in the number of new

invasions as a result of the reduction in concentration of organisms in discharged ballast water. We expect that the benefits of

this rulemaking would increase as the technology is developed to achieve more stringent ballast water discharge standards.

"The Coast Guard prepared a regulatory analysis, available in the docket, of the costs and benefits of the 2012 final rule. This

analysis is based on the best available data at the time of the rule publication. In this analysis, we estimated the total costs to

be about $649 million over a 10-year period of analysis (this and other values below are rounded and estimated at a 7 percent

discount rate). We estimated the annualized cost over the same period to be approximately $92 million per year. In the same

analysis, we estimated annualized benefits (damages avoided) to be as high as $470 million per year, with a mid-range

estimate of $141 million to $240 million per year. We estimated total benefits to be as high as $3 billion, with a mid-range

estimate of about $.989 billion to $1.68 billion over a 10-year period of analysis. We estimate the quantified benefits exceed the

costs of this rule. These estimates have been revised as a result of public comments on the 2009 notice of proposed

rulemaking that resulted in revisions to the applicability." The Coast Guard received public comments on the impacts of the

NPRM and will incorporate these comments into a revised Regulatory Analysis for the next rulemaking publication. We will

continue to develop information on costs and benefits of more stringent ballast water discharge standards.

Risks: Ballast water discharged from ships is a pathway for the introduction and spread of nonindigenous aquatic nuisance

species. These organisms, which may be plants, animals, bacteria, or pathogens, have the potential to displace native species,

degrade native habitats, spread disease, and disrupt human economic and social activities that depend on water resources. It is

estimated that for areas such as San Francisco Bay and Chesapeake Bay, one NIS becomes established per year. At this time,
it is difficult to estimate the reduction of risk that would be accomplished by promulgating this rulemaking; however, it is

expected that a major reduction will occur.

Timetable:

Action Date FR Cite

ANPRM 03/04/2002 67 FR 9632 

ANPRM Comment Period End 06/03/2002 

NPRM 08/28/2009 74 FR 44632 

Public Meeting 09/14/2009 74 FR 46964 

Public Meeting 09/22/2009 74 FR 48190 

Public Meeting 09/28/2009 74 FR 49355 

Notice--Extension of Comment Period 10/15/2009 74 FR 52941 

Public Meeting 10/22/2009 74 FR 54533 

Public Meeting Correction 10/26/2009 74 FR 54944 

NPRM Comment Period End 12/04/2009 74 FR 52941 

Final Rule 03/23/2012 77 FR 17254 

Final Rule Correction 06/08/2012 77 FR 33969 

Final Rule Effective 06/21/2012 

Additional Information: The Regulations.gov docket number for this rulemaking is USCG-2001-10486.

Regulatory Flexibility Analysis Required: Business Government Levels Affected: State

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Mr. John C. Morris 

Project Manager

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1433 

E-Mail: john.c.morris@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA81

 View Related Documents

Title: Validation of Merchant Mariners' Vital Information and Issuance of Coast Guard Merchant Mariner's Documents (MMDs)

Abstract: This rulemaking finalizes one section of the January 6, 2004, interim rule that has not been addressed by

subsequent related rulemakings. The section to be finalized is 46 CFR 12.01-1(a)(1): Purpose of rules in this part, which states

that the rules are to provide a "comprehensive and adequate means of determining and verifying the identity, citizenship,

nationality, and professional qualifications an applicant must possess to be eligible for certification to serve on merchant vessels

of the United States."

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 12 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 21; 46 USC 73; 46 USC 75; 46 USC 77

Legal Deadline: None

Regulatory Plan:

Statement of Need: Subsequent rulemakings have addressed the majority of the 2004 interim rule provisions. As a result, the

Coast Guard intends to finalize the single remaining section that has been addressed in subsequent rulemakings. The most

recent significant rulemaking documents for rulemakings addressing the interim rule provisions are as follows: (1) Transportation

Worker Identification Credential (TWIC) Implementation in the Maritime Sector; Hazardous Materials Endorsement for a

Commercial Driver's License (74 FR 13114); (2) Seafarer's Training, Certification, and Watchkeeping Code (STCW Code) (75

FR 13715); (3) Maritime Identification Credentials (74 FR 2865); (4) Consolidation of Merchant Mariner Qualification Credentials

(74 FR 11196); (5) Training and Service Requirements for Merchant Marine Officers (73 FR 52789); (6) Large Passenger

Vessel Crew Requirements (74 FR 47729); (7) Crewmember Identification Documents (74 FR 19135).

Legal Basis: In the interests of marine safety and seamen's welfare, the Coast Guard was given general superintendence of

merchant marine personnel by 46 U.S.C. 2103, 46 U.S.C. chapter 71, and Secretary of Homeland Security Delegation No.
0170.1.

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Notice of Meeting 02/20/2003 68 FR 8326 

Notice of Policy 04/08/2003 68 FR 17064 

Interim Final Rule 01/06/2004 69 FR 526 

Correction to Interim Final Rule 02/11/2004 69 FR 6575 

Interim Final Rule Comment Period End 04/05/2004 

Notice of Intent 06/16/2011 76 FR 35173 

Comment Period End 08/15/2011 

Final Rule 05/29/2012 77 FR 31518 

Final Rule Effective 06/28/2012 

Additional Information: The docket number for this rulemaking is USCG-2003-14500. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AA85; Related to 1625-

AA41; Related to 1625-AB02 Related Agencies: Common: TSA

Agency Contact: Gerald P. Miante 

Program Manager, CG-5221

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1407 

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AA85

 View Related Documents

Title: Validation of Merchant Mariners' Vital Information and Issuance of Coast Guard Merchant Mariner's Licenses and

Certificates of Registry

Abstract: This rulemaking finalizes one section of the January 13, 2006, interim rule that has not been addressed by

subsequent related rulemaking. The section to be finalized is 46 CFR 10.107(b): Definitions in subchapter B, specifically the

definition of "Dangerous drug," which is defined as "a narcotic drug, a controlled substance, or a controlled-substance analogue

(as defined in section 102 of the Comprehensive Drug Abuse and Control Act of 1970 (21 U.S.C. 802))." This definition was

originally published in the January 13, 2006, interim rule as 46 CFR 10.103.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 10 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 2103; DHS Delegation No. 0170.1, para (92)

Legal Deadline: None

Regulatory Plan:

Statement of Need: The interim rule previously published in the Federal Register (69 FR 526) on January 6, 2004 was never

published as a final rule. However, subsequent rulemakings have addressed the majority of the interim rule provisions. As a

result, the Coast Guard is finalizing the single remaining section that has not been addressed in subsequent rulemakings and

remains unfinalized, 46 CFR 12.01-1(a)(1): Purpose of rules in this part. The most recent significant rulemaking documents for

rulemakings addressing the interim rule provisions are as follows : (1) Transportation Worker Identification Credential (TWIC)

Implementation in the Maritime Sector; Hazardous Materials Endorsement for a Commercial Driver's License (74 FR 13114); (2)

Seafarer's Training, Certification and Watchkeeping Code (STCW Code) (75 FR 13715); (3) Maritime Identification Credentials

(74 FR 2865); (4) Consolidation of Merchant Mariner Qualification Credentials (74 FR 11196); (5) Training and Service

Requirements for Merchant Marine Officers (73 FR 52789); (6) Large Passenger Vessel Crew Requirements (74 FR 47729);
and (7) Crewmember Identification Documents (74 FR 19135).

Legal Basis: In the interests of marine safety and seamen's welfare, the Coast Guard was given general superintendence of

merchant marine personnel by 46 U.S.C. 2103, 46 U.S.C. chapter 71, and Secretary of Homeland Security Delegation No.

0170.1.

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 01/13/2006 71 FR 2154 

Interim Final Rule Effective 01/13/2006 

Interim Final Rule Comment Period End 04/13/2006 

Notice of Intent 06/16/2011 76 FR 35169 

Comment Period End 08/15/2011 

Final Rule 05/29/2012 77 FR 31515 

Final Rule Effective 06/28/2012 

Additional Information: The docket number for this rulemaking is USCG-2004-17455. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1625-AA81; Related to 1625-AB02 Related Agencies: Common: TSA

Agency Contact: Gerald P. Miante 

Program Manager, CG-5221

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1407 

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB35

 View Related Documents

Title: Approval of Classification Societies

Abstract: This rule would incorporate the provisions of 46 U.S.C. 3316(c) regarding approval of classification societies into 46

CFR part 2. Federal law requires that classification societies conducting certain work in the United States be approved by the

Coast Guard. In this rule, we detail application procedures and performance standards that classification societies must meet in

order to obtain approval by the Coast Guard. Through this rule, we seek to improve marine safety and environmental protection

by assuring the consistency and quality of work conducted by classification societies that review, examine, survey, or certify the

construction, repair, or alteration of a vessel in the United States.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 2 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: sec 622, PL 111-281; 33 USC 1903; 46 USC 1333; 46 USC 2110; 46 USC 3103; 46 USC 3205; 46 USC

3306; 46 USC 3307; 46 USC 3703; 46 USC 701; EO 12234; 45 FR 58801; 3 CFR, 1980 Comp p 277; DHS Delegation No

0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:
Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/23/2010 75 FR 21212 

NPRM Comment Period End 07/22/2010 

NPRM Comment Period Reopened 08/05/2011 76 FR 47531 

NPRM Comment Period Reopened End 09/06/2011 

Final Rule 08/09/2012 77 FR 47544 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: LT Alfred J. Giordano 

Program Manager

Department of Homeland Security

U.S. Coast Guard

Office of Design and Engineering Standards, Human Element & Ship Design Div. (CG-5212), 2100 Second Street SW., STOP

7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1362 

E-Mail: alfred.j.giordano@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB36

 View Related Documents

Title: General Bridge Regulation, Amendment

Abstract: This rulemaking would define the terms "Unreasonable Obstruction to Navigation" and "Unused Bridges," and clarify

the use of these terms as applied to the Coast Guard's ability to require the owner to remove a bridge that is no longer used for

land transportation purposes.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 114 and 114.05; 33 CFR 116; 33 CFR 118 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 33 USC 494; 33 USC 502

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Proposed Rule; Withdrawal 03/22/2012 77 FR 16784 

Additional Information: The docket number for this rulemaking is USCG-2008-1188. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: http://www.regulations.gov Public Comment URL: http://www.regulations.gov

Agency Contact: J. Christopher Jaufmann 
Project Manager

Department of Homeland Security

U.S. Coast Guard

COMMANDANT CG-5511, 2100 Second Street SW., STOP 7580, Washington, DC 20593-7580

Washington , DC 20593-7580 

Phone: 202 372-1512 

E-Mail: josef.c.jaufman@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB44

 View Related Documents

Title: Carbon Dioxide Fire Suppression Systems on Commercial Vessels

Abstract: The Coast Guard proposes to amend the current regulations for carbon dioxide fire suppression systems on

commercial vessels. This proposed rule concerns the use of carbon dioxide (CO2) flooding systems to suppress fires on

commercial vessels. Once, carbon dioxide systems were the only fire suppression systems that were suitable for certain

manned spaces, but the potential lethality of carbon dioxide has always been a concern. In recent years, alternative systems

have been developed that are comparable to carbon dioxide fire suppression, but are much safer in the event of an accidental

discharge, or a discharge that takes place prematurely, before workers can evacuate the protected space. We would amend

existing regulations to clarify that approved alternatives to carbon dioxide systems may be used, add new regulations to set

general parameters for those approved alternatives, and add a new requirement for lockout valves in manned spaces using

carbon dioxide systems.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 13; 46 CFR 25; 46 CFR 27; 46 CFR 34; 46 CFR 76; 46 CFR 95; 46 CFR 108; 46 CFR 118 (To search

for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1903(b); 43 USC 1333; 46 USC 2103; 46 USC 3306; 46 USC 3703; 46 USC 4102; 46 USC 4302;

46 USC 4502; 46 USC 6101; EO 12234; 45 FR 58801; 3 CFR, 1980 Comp p 277; DHS Delegation No 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/24/2010 75 FR 8432 

NPRM Comment Period End 05/25/2010 

Final Rule 06/07/2012 77 FR 33860 

Final Rule Effective 07/09/2012 

Additional Information: The docket number for this rulemaking is USCG-2006-24797. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Previously Reported as 1625-AB04

Agency Contact: LCDR Suzanne Hemann 

Project Manager, Office of Design and Engineering Standards, CG-5214

Department of Homeland Security

U.S. Coast Guard

Commandant (CG-5214), 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1356 

E-Mail: suzanne.e.hemann@uscg.mil
Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB45

 View Related Documents

Title: Changes to Standard Numbering System, Vessel Identification System, and Boating Accident Report Database

Abstract: The Coast Guard proposed to amend its regulations related to numbering of undocumented vessels and reporting of

casualties. These changes would align and modernize terminology used in the Standard Numbering System (SNS), the Vessel

Identification System (VIS), and casualty reporting. The proposal would also require validation of vessel hull identification

numbers, require SNS vessel owners to provide personally identifiable information, while providing administrative flexibility for

States. Together, the proposed changes would improve recreational boating safety efforts, enhance law enforcement

capabilities, advance maritime security, and clarify requirements for all stakeholders.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 173 and 174; 33 CFR 181 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 31 USC 9701; 46 USC 2110; 46 USC 4302; 46 USC 4310; 46 USC 6101 and 6102; 46 USC 12301 and

12302; 46 USC 12502; PL 100-710; DHS Security Delegation No 0170.1

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 05/07/2010 75 FR 25137 

NPRM Comment Period End 08/05/2010 

Reopening of Public Comment Period 08/16/2010 75 FR 49869 

Reopening of Public Comment Period End 10/15/2010 

Final Rule 03/28/2012 77 FR 18689 

Final Rule Effective 04/27/2012 

Additional Information: The docket number for this rulemaking is USCG-2003-14963. The docket can be found at

www.regulations.gov.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Previously Reported as 1625-AA70

Agency Contact: Jeff Ludwig 

Project Manager, CG-BSX-21

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1061 

E-Mail: jeffrey.a.ludwig@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB60

 View Related Documents

Title: Inflatable Personal Flotation Devices
Abstract: The Coast Guard is harmonizing structural and performance standards for inflatable recreational personal flotation

devices (PFDs) with industry consensus standards. This rulemaking will also slightly modify regulatory text in anticipation of a

potential rulemaking addressing the population for which PFDs are approved, but this rulemaking does not change the scope of

that current population.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 160 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 4302

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Direct Final Rule 03/30/2011 76 FR 17561 

Direct Final Rule Comment Period End 05/31/2011 

Direct Final Rule--Notice of Withdrawal 09/13/2011 76 FR 56294 

Direct Final Rule Withdrawal Effective 09/13/2011 

NPRM 09/29/2011 

NPRM Comment Period End 11/28/2011 

Final Rule 04/03/2012 77 FR 19937 

Final Rule Effective 05/03/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Brandi A. Baldwin 

Office of Design and Engineering Standards Lifesaving and Fire Safety Division (CG-5214)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1394 

E-Mail: brandi.a.baldwin@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB67

 View Related Documents

Title: Reconsideration of Letters of Recommendation for Waterfront Facilities Handling LNG and LHG

Abstract: Under 33 CFR part 127, the Coast Guard issues a Letter of Recommendation (LOR) as to the suitability of a

waterway for liquefied natural gas (LNG) or liquefied hazardous gas (LHG) marine traffic associated with a new or modified LNG

or LHG facility. Currently, Coast Guard reconsideration of LORs follows the process set forth in 33 CFR 127.015, "Appeals."

This rulemaking would clarify the purpose of the LOR, and would articulate a process specific to LORs. This action would

increase efficiency and support the Coast Guard's mission of marine safety, security, and environmental stewardship.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 127.009 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1231; DHS Delegation No. 0170.1

Legal Deadline: None

Regulatory Plan:
Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 12/16/2011 76 FR 78188 

NPRM Comment Period End 03/15/2012 

Final Rule 11/28/2012 77 FR 70886 

Final Rule Effective 12/28/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Ken Smith 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Commandant (CG-OES-2) 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1413 

E-Mail: ken.a.smith@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB70

 View Related Documents

Title: Great Lakes Pilotage Rates--2012 Annual Review and Adjustment

Abstract: The Coast Guard proposes adjustments to the 2012 rates for pilotage services on the Great Lakes, which were last

amended in February 2011. The proposed adjustments would establish new base rates and are made in accordance with a

required full ratemaking procedure. This rulemaking promotes the Coast Guard's strategic goal of maritime safety.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 401 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 9303(f)

Legal Deadline: 

Action Source Description Date

Other Statutory Overall description of the Deadline appears in 46 U.S.C. 9303(F) 03/01/2012 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/04/2011 76 FR 47095 

NPRM Comment Period End 10/03/2011 

Final Rule 02/28/2012 77 FR 11752 

Final Rule Effective 08/01/2012 
Additional Information: The docket number for this rulemaking is USCG-2011-0328. The docket can be found at

http://www.regulations.gov

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Public Comment URL: http://www.regulations.gov

Agency Contact: Paul Wasserman 

Director, Great Lakes Pilotage (CG-5522)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7581, Washington, DC 20593-7581

Washington , DC 20593-7581 

Phone: 202 372-1535 

E-Mail: paul.m.wasserman@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB71

 View Related Documents

Title: Exemption of Certain Seagoing Barges From Inspection

Abstract: The Coast Guard would revise 46 CFR 90.05-25, 46 CFR 91.01-10, and the vessel inspection tables in 46 CFR

2.01-7, 46 CFR 24.01-5, 46 CFR 30.01-5, 46 CFR 70.05-1 46 CFR 90.05-1, and 46 CFR 188.05-1 addressing the inspection

and certification of seagoing barges to align with the Coast Guard Authorization Act of 1993 (46 U.S.C. 3302), which explicitly

exempts certain seagoing barges from inspection. This rule also aligns the statutory definition of seagoing barges for certification

purposes with 46 U.S.C. 2101(32).

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 90.05-25; 46 CFR 91.01-10; 46 CFR 2.01-7; 46 CFR 24.01-5; 46 CFR 30.01-5; 46 CFR 70.05-1; 46

CFR 90.05-1; 46 CFR 188.05-1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 46 USC 3302; 46 USC 2101(32)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Direct Final Rule 12/14/2011 76 FR 77712 

Direct Final Rule Comment Period End 02/13/2012 

Direct Final Rule: Correction 03/29/2012 77 FR 18929 

Direct Final Rule: Withdrawal 04/06/2012 77 FR 20727 

Direct Final Rule Correction Effective 04/12/2012 77 FR 18929 

Direct Final Rule; Withdrawal of Correction Effective 04/11/2012 04/13/2012 77 FR 22232 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: LT Douglas Tindall 

Program Manager (CG-5222)

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7126, Washington, DC 20593-7126
Washington , DC 20593-7126 

Phone: 202 372-1411 

E-Mail: douglas.tindall@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB76

 View Related Documents

Title: Wider Caribbean Region Special Area Under MARPOL Annex V

Abstract: This rule includes the Wider Caribbean Region as a special area for the purposes of MARPOL Annex V. The

designation of these areas was accomplished through the treaty. This rulemaking memorializes that action in 33 CFR part

151.53(c), where the Coast Guard maintains a list of special areas currently in effect.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 151.53; app A to 33 CFR 151 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 33 USC 1930(a)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 04/02/2012 77 FR 19537 

Additional Information: Docket No. USCG-2009-0365

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: David Condino 

Ports and Facilities Division

Department of Homeland Security

U.S. Coast Guard

2100 Second Street SW., STOP 7561, Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1145 

E-Mail: david.a.condino@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB82

 View Related Documents

Title: Alternate Tonnage Threshold For Oil Spill Response Vessels

Abstract: The Coast Guard seeks to establish an alternate maximum tonnage threshold, for oil spill response vessels (OSRVs)

that are also certificated as offshore supply vessels (OSVs). Establishing alternate tonnage thresholds provides a mechanism for

the Coast Guard to regulate vessels under tonnages assigned using the system of the 1969 International Tonnage

Measurement (TM) Convention at the option of a vessel's owner. This would help owners avoid the fitting of undesirable vessel

design features whose sole purpose is to artificially reduce tonnage assigned under the U.S. domestic measurement system.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 126 (To search for a specific CFR, visit the Code of Federal Regulations ) 
Legal Authority: Title 46 USC 3702(f)(2)(A) and 14104(b)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 12/12/2011 76 FR 77128 

Interim Final Rule Comment Period End 02/10/2012 

Final Rule 06/29/2012 77 FR 38729 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Brian T. Ellis 

Project Manager

Department of Homeland Security

U.S. Coast Guard

Marine Safety Center, Tonnage Division, Washington, DC 20593

Washington , DC 20593 

Phone: 202 475-5636 

E-Mail: brian.t.ellis@uscg.dhs.gov

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB86

 View Related Documents

Title: 2012 Technical Amendments to 33 CFR

Abstract: This rule makes nonsubstantive changes throughout title 33 of the Code of Federal Regulations. The purpose of this

rule is to make conforming amendments and technical corrections to Coast Guard navigation and navigable water regulations.

This rule will have no substantive effect on the regulated public. These changes are provided to coincide with the annual

recodification of title 33 on July 1.

Priority: Info./Admin./Other Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 33 CFR 1; 33 CFR 2; 33 CFR 27; 33 CFR 40; 33 CFR 45; 33 CFR 66; 33 CFR 80; 33 CFR 83 to 85; 33 CFR

100 and 101; 33 CFR 110; 33 CFR 114 to 118; 33 CFR 136; 33 CFR 138; 33 CFR 162; 33 CFR 165; 33 CFR 177 (To search

for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 553

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 06/21/2012 77 FR 37305 

Correcting Amendments 07/20/2012 77 FR 42637 
Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Leo Huott 

Regulatory Development Manager

Department of Homeland Security

U.S. Coast Guard

Office of Standard Evaluation & Development (CG-5232), 2100 Second Street SW., Washington, DC 20593

Washington , DC 20593 

Phone: 202 372-1027 

E-Mail: leo.s.huott@uscg.mil

Department of Homeland Security (DHS) 

U.S. Coast Guard ( USCG ) RIN: 1625-AB87

 View Related Documents

Title: 2012 Technical Amendments to 46 CFR

Abstract: This rule makes nonsubstantive changes throughout title 46 of the Code of Federal Regulations. The purpose of this

rule is to make conforming amendments and technical corrections to Coast Guard shipping regulations. This rule will have no

substantive effect on the regulated public. These changes are provided to coincide with the annual recodification of title 46 on

October 1.

Priority: Info./Admin./Other Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 46 CFR 4; 46 CFR 10; 46 CFR 11; 46 CFR 15; 46 CFR 28; 46 CFR 39; 46 CFR 62; 46 CFR 110; 46 CFR 111;

46 CFR 114; 46 CFR 120; 46 CFR 125; 46 CFR 129; 46 CFR 134; 46 CFR 169; 46 CFR 175; 46 CFR 183 (To search for a

specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 553

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 10/01/2012 77 FR 59768 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Paul Crissy 

Regulatory Development Manager

Department of Homeland Security

U.S. Coast Guard

Office of Standard Evaluation & Development (CG REG-1), 2100 Second Street SW., STOP 7126, Washington, DC 20593-7126

Washington , DC 20593-7126 

Phone: 202 372-1093 

E-Mail: paul.h.crissy@uscg.mil

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA97

 View Related Documents
Title: Waiver of Passport and Visa Requirements Due to an Unforeseen Emergency

Abstract: This rule proposes to reinstate a 1996 amendment to 8 CFR 212.1(g) regarding a waiver of documentary

requirements for nonimmigrants seeking admission to the United States. The 1996 amendment allowed the former Immigration

and Naturalization Service (INS) to waive passport and visa requirements due to an unforeseen emergency while preserving its

ability to fine carriers for unlawfully transporting aliens to the United States who do not have a valid passport or visa. On

November 20, 2009, the United States Court of Appeals for the Second Circuit invalidated the 1996 amendment based on

procedural grounds. This DHS proposal would reinstate the 1996 amendment and make some additional technical amendments.

DHS and the State Department are acting jointly in this matter.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 212.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 212(a)(7)(B) INA (8 USC 1182(a)(7))

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 05/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Patrick Bruce 

General Attorney, Office of Chief Counsel

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-3051 

E-Mail: patrick.bruce@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA98

 View Related Documents

Title: Amendments to Importer Security Filing and Additional Carrier Requirements

Abstract: The Importer Security Filing (ISF) regulations require carriers and importers to provide to CBP, via a CBP-approved

electronic data interchange system, information necessary to enable CBP to identify high-risk shipments to prevent smuggling

and ensure cargo safety and security. Importers and carriers must submit specified information before the cargo is brought into

the United States by vessel in accordance with specified time frames. To increase the accuracy and reliability of the advance

information, this rule will propose changes to the ISF regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 19 CFR 4.7c; 19 CFR 149.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 109-347, sec 203; 5 USC 301; 19 USC 66; 19 USC 1431; 19 USC 1433; 19 USC 1434; 19 USC 1624;

19 USC 2071 note; 46 USC 60105

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:
Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 05/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Related RINs: Related to 1651-AA70

Agency Contact: Craig Clark 

Program Manager, Vessel Manifest & Importer Security Filing, Office of Cargo and Conveyance Security

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-3052 

E-Mail: craig.clark@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA70

 View Related Documents

Title: Importer Security Filing and Additional Carrier Requirements

Abstract: This interim final rule implements the provisions of section 203 of the Security and Accountability for Every Port Act

of 2006. It amended CBP Regulations to require carriers and importers to provide to CBP, via a CBP-approved electronic data

interchange system, information necessary to enable CBP to identify high-risk shipments to prevent smuggling and insure cargo

safety and security. Under the rule, importers and carriers must submit specified information to CBP before the cargo is brought

into the United States by vessel. This advance information improves CBP's risk assessment and targeting capabilities, assists

CBP in increasing the security of the global trading system, and facilitates the prompt release of legitimate cargo following its

arrival in the United States. The interim final rule requested comments on those required data elements for which CBP provided

certain flexibilities for compliance and on the revised costs and benefits and Regulatory Flexibility Analysis. CBP plans to issue

a final rule after CBP completes a structured review of the flexibilities and analyzes the comments.

Priority: Economically Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: Private Sector

CFR Citation: 19 CFR 4; 19 CFR 12.3; 19 CFR 18.5; 19 CFR 103.31a; 19 CFR 113; 19 CFR 123.92; 19 CFR 141.113; 19 CFR

146.32; 19 CFR 149; 19 CFR 192.14 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 109-347, sec 203; 5 USC 301; 19 USC 66; 19 USC 1431; 19 USC 1433 to 1434; 19 USC 1624; 19 USC

2071 note; 46 USC 60105

Legal Deadline: None

Regulatory Plan:

Statement of Need: Vessel carriers are currently required to transmit certain manifest information by way of the CBP Vessel

Automated Manifest System (AMS) 24 hours prior to lading of containerized and non-exempt break bulk cargo at a foreign

port. For the most part, this is the ocean carrier's or non-vessel operating common carrier's (NVOCC) cargo declaration. CBP

analyzes this information to generate its risk assessment for targeting purposes. Internal and external government reviews have

concluded that more complete advance shipment data would produce even more effective and vigorous cargo risk

assessments. In addition, pursuant to section 203 of the Security and Accountability for Every Port Act of 2006 (Pub. L. 109-

347, 6 U.S.C. 943) (SAFE Port Act), the Secretary of Homeland Security, acting through the Commissioner of CBP, must

promulgate regulations to require the electronic transmission of additional data elements for improved high-risk targeting,

including appropriate security elements of entry data for cargo destined to the United States by vessel prior to loading of such

cargo on vessels at foreign seaports. Based upon its analysis, as well as the requirements under the SAFE Port Act, CBP is

requiring the electronic transmission of additional data for improved high-risk targeting. Some of these data elements are being

required from carriers (Container Status Messages and Vessel Stow Plan) and others are being required from "importers," as

that term is defined for purposes of the regulations. This rule intends to improve CBP's risk assessment and targeting

capabilities and enables the agency to facilitate the prompt release of legitimate cargo following its arrival in the United States.

The information will assist CBP in increasing the security of the global trading system and, thereby, reducing the threat to the
United States and world economy.

Legal Basis: Pursuant to section 203 of the Security and Accountability for Every Port Act of 2006 (Pub. L. 109-347, 6 U.S.C.

943) (SAFE Port Act), the Secretary of Homeland Security, acting through the Commissioner of CBP, must promulgate

regulations to require the electronic transmission of additional data elements for improved high-risk targeting, including

appropriate security elements of entry data for cargo destined to the United States by vessel prior to loading of such cargo on

vessels at foreign seaports.

Alternatives: CBP considered and evaluated the following four alternatives: Alternative 1 (the chosen alternative): Importer

Security Filings and Additional Carrier Requirements are required. Bulk cargo is exempt from the Importer Security Filing

requirements; Alternative 2: Importer Security Filings and Additional Carrier Requirements are required. Bulk cargo is not

exempt from the Importer Security Filing requirements; Alternative 3: Only Importer Security Filings are required. Bulk cargo is

exempt from the Importer Security Filing requirements; and Alternative 4: Only the Additional Carrier Requirements are required.

Costs and Benefits: When the NPRM was published, CBP estimated that approximately 11 million import shipments

conveyed by 1,000 different carrier companies operating 37,000 unique voyages or vessel-trips to the United States will be

subject to the rule. Annualized costs range from $890 million to $7.0 billion (7 percent discount rate over 10 years). The

annualized cost range estimate resulted from varying assumptions about the importers' estimated security filing transaction

costs or fees charged to the importers by the filing parties, the potential for supply chain delays, and the estimated costs to

carriers for transmitting additional data to CBP. The regulation may increase the time shipments are in transit, particularly for

shipments consolidated in containers. For such shipments, the supply chain is generally more complex and the importer has

less control of the flow of goods and associated security filing information. Foreign cargo consolidators may be consolidating

multiple shipments from one or more shippers in a container destined for one or more buyers or consignees. In order to ensure

that the security filing data is provided by the shippers to the importers (or their designated agents) and is then transmitted to

and accepted by CBP in advance of the 24-hour deadline, consolidators may advance their cut-off times for receipt of

shipments and associated security filing data. These advanced cut-off times would help prevent a consolidator or carrier from

having to unpack or unload a container in the event the security filing for one of the shipments contained in the container is

inadequate or not accepted by CBP. For example, consolidators may require shippers to submit, transmit, or obtain CBP

approval of their security filing data before their shipments are stuffed into the container, before the container is sealed, or

before the container is delivered to the port for lading. In such cases, importers would likely have to increase the times they hold

their goods as inventory, and thus incur additional inventory carrying costs to sufficiently meet these advanced cut-off times

imposed by their foreign consolidators. The high end of the cost ranges presented assumes an initial supply chain delay of 2

days for the first year of implementation (2008) and a delay of 1 day for years 2 through 10 (2009 to 2017). Ideally, the

quantification and monetization of the benefits of this regulation would involve estimating the current level of risk of a

successful terrorist attack, absent this regulation, and the incremental reduction in risk resulting from implementation of the

regulation. CBP would then multiply the change by an estimate of the value individuals place on such a risk reduction to

produce a monetary estimate of direct benefits. However, existing data limitations and a lack of complete understanding of the

true risks posed by terrorists prevent us from establishing the incremental risk reduction attributable to this rule. As a result,

CBP has undertaken a "break-even" analysis to inform decisionmakers of the necessary incremental change in the probability

of such an event occurring that would result in direct benefits equal to the costs of the proposed rule. CBP's analysis finds that

the incremental costs of this regulation are relatively small compared to the median value of a shipment of goods, despite the

rather large absolute estimate of present value cost. The benefit of this rule is the improvement of CBP's risk assessment and

targeting capabilities, while at the same time, enabling CBP to facilitate the prompt release of legitimate cargo following its

arrival in the United States. The information will assist CBP in increasing the security of the global trading system, thereby

reducing the threat to the United States and the world economy.

Risks:

Timetable:

Action Date FR Cite

NPRM 01/02/2008 73 FR 90 

NPRM Comment Period Extended 02/01/2008 73 FR 6061 

NPRM Comment Period End 03/03/2008 

NPRM Comment Period End 03/18/2008 

Interim Final Rule 11/25/2008 73 FR 71730 

Interim Final Rule Effective 01/26/2009 

Interim Final Rule Comment Period End 06/01/2009 

Correction 07/14/2009 74 FR 33920 

Correction 12/24/2009 74 FR 68376 

Final Action 02/00/2013 

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Craig Clark 

Program Manager, Vessel Manifest & Importer Security Filing, Office of Cargo and Conveyance Security
Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-3052 

E-Mail: craig.clark@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA72

 View Related Documents

Title: Changes to the Visa Waiver Program To Implement the Electronic System for Travel Authorization (ESTA) Program

Abstract: CBP issued an interim final rule, which implemented the Electronic System for Travel Authorization (ESTA) for aliens

who travel to the United States under the Visa Waiver Program (VWP) at air or sea ports of entry. Under the rule, VWP

travelers must provide certain biographical information to CBP electronically before departing for the United States. This

advance information allows CBP to determine before their departure whether these travelers are eligible to travel to the United

States under the VWP and whether such travel poses a security risk. The interim final rule also fulfilled the requirements of

section 711 of the Implementing recommendations of the 9/11 Commission Act of 2007 (9/11 Act). In addition to fulfilling a

statutory mandate, the rule serves the twin goals of promoting border security and legitimate travel to the United States. By

modernizing the VWP, the ESTA increases national security and to provide for greater efficiencies in the screening of

international travelers by allowing for vetting of subjects of potential interest well before boarding, thereby reducing traveler

delays at the ports of entry. CBP requested comments on all aspects of the interim final rule and plans to issue a final rule after

completion of the comment analysis.

Priority: Economically Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 8 CFR 217.5 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 8 USC 1187

Legal Deadline: None

Regulatory Plan:

Statement of Need: Section 711 of the 9/11 Act requires the Secretary of Homeland Security, in consultation with the

Secretary of State, to develop and implement a fully automated electronic travel authorization system to collect biographical and

other information in advance of travel to determine the eligibility of the alien to travel to the United States, and to determine

whether such travel poses a law enforcement or security risk. CBP issued the ESTA interim final rule to fulfill these statutory

requirements. Under the interim final rule, VWP travelers are now required to provide certain information to CBP electronically

before departing for the United States. VWP travelers who receive travel authorization under ESTA are not required to complete

the paper Form I-94W when arriving on a carrier that is capable of receiving and validating messages pertaining to the

traveler's ESTA status as part of the traveler's boarding status. By automating the I-94W process and establishing a system to

provide VWP traveler data in advance of travel, CBP is able to determine the eligibility of citizens and eligible nationals from

VWP countries to travel to the United States and to determine whether such travel poses a law enforcement or security risk,

before such individuals begin travel to the United States. ESTA provides for greater efficiencies in the screening of international

travelers by allowing CBP to identify subjects of potential interest before they depart for the United States, thereby increasing

security and reducing traveler delays upon arrival at U.S. ports of entry.

Legal Basis: The ESTA program is based on congressional authority provided under section 711 of the Implementing

Recommendations of the 9/11 Commission Act of 2007 and section 217 of the Immigration and Nationality Act (INA).

Alternatives: When developing the interim final rule, CBP considered three alternatives to this rule: 1. The ESTA

requirements in the rule, but with a $1.50 fee per each travel authorization (more costly) 2. The ESTA requirements in the rule,

but with only the name of the passenger and the admissibility questions on the I-94W form (less burdensome) 3. The ESTA

requirements in the rule, but only for the countries entering the VWP after 2009 (no new requirements for VWP, reduced

burden for newly entering countries) CBP determined that the rule provides the greatest level of enhanced security and

efficiency at an acceptable cost to traveling public and potentially affected air carriers.

Costs and Benefits: The purpose of ESTA is to allow DHS and CBP to establish the eligibility of certain foreign travelers to

travel to the United States under the VWP, and whether the alien's proposed travel to the United States poses a law

enforcement or security risk. Upon review of such information, DHS will determine whether the alien is eligible to travel to the

United States under the VWP. Costs to Air & Sea Carriers CBP estimated that eight U.S.-based air carriers and eleven sea

carriers will be affected by the rule. An additional 35 foreign-based air carriers and five sea carriers will be affected. CBP

concluded that costs to air and sea carriers to support the requirements of the ESTA program could cost $137 million to $1.1

billion over the next 10 years depending on the level of effort required to integrate their systems with ESTA, how many

passengers they need to assist in applying for travel authorizations, and the discount rate applied to annual costs. Costs to

Travelers ESTA will present new costs and burdens to travelers in VWP countries who were not previously required to submit

any information to the U.S. Government in advance of travel to the United States. Travelers from Roadmap countries who
become VWP countries will also incur costs and burdens, though these are much less than obtaining a nonimmigrant visa

(category B1/B2), which is currently required for short-term pleasure or business to travel to the United States. CBP estimated

that the total quantified costs to travelers will range from $1.1 billion to $3.5 billion depending on the number of travelers, the

value of time, and the discount rate. Annualized costs are estimated to range from $133 million to $366 million. Benefits As set

forth in section 711 of the 9/11 Act, it was the intent of Congress to modernize and strengthen the security of the Visa Waiver

Program under section 217 of the Immigration and Nationality Act (INA, 8 U.S.C. 1187) by simultaneously enhancing program

security requirements and extending visa-free travel privileges to citizens and eligible nationals of eligible foreign countries that

are partners in the war on terrorism. By requiring passenger data in advance of travel, CBP may be able to determine, before

the alien departs for the United States, the eligibility of citizens and eligible nationals from VWP countries to travel to the United

States under the VWP, and whether such travel poses a law enforcement or security risk. In addition to fulfilling a statutory

mandate, the rule serves the twin goals of promoting border security and legitimate travel to the United States. By modernizing

the VWP, ESTA is intended to both increase national security and provide for greater efficiencies in the screening of

international travelers by allowing for the screening of subjects of potential interest well before boarding, thereby reducing

traveler delays based on potentially lengthy processes at U.S. ports of entry. CBP concluded that the total benefits to travelers

could total $1.1 billion to $3.3 billion over the period of analysis. Annualized benefits could range from $134 million to $345

million. In addition to these benefits to travelers, CBP and the carriers should also experience the benefit of not having to

administer the I-94W except in limited situations. While CBP has not conducted an analysis of the potential savings, it should

accrue benefits from not having to produce, ship, and store blank forms. CBP should also be able to accrue savings related to

data entry and archiving. Carriers should realize some savings as well, though carriers will still have to administer the I-94 for

those passengers not traveling under the VWP and the Customs Declaration forms for all passengers aboard the aircraft and

vessel.

Risks:

Timetable:

Action Date FR Cite

Interim Final Action 06/09/2008 73 FR 32440 

Interim Final Rule Effective 08/08/2008 

Interim Final Rule Comment Period End 08/08/2008 

Notice--Announcing Date Rule Becomes Mandatory 11/13/2008 73 FR 67354 

Final Action 08/00/2013 

Additional Information: http://www.cbp.gov/xp/cgov/travel/id_visa/esta/

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1651-AA83

Agency Contact: Suzanne Shepherd 

Director, Electronic System for Travel Authorization

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-2073 

E-Mail: suzanne.m.shepherd@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA77

 View Related Documents

Title: Implementation of the Guam-CNMI Visa Waiver Program

Abstract: This rule amends Department of Homeland Security (DHS) regulations to implement section 702 of the Consolidated

Natural Resources Act of 2008 (CNRA). This law extends the immigration laws of the United States to the Commonwealth of

the Northern Mariana Islands (CNMI) and provides for a joint visa waiver program for travel to Guam and the CNMI. This rule

implements section 702 of the CNRA by amending the regulations to replace the current Guam Visa Waiver Program with a

new Guam-CNMI Visa Waiver Program. The amended regulations set forth the requirements for nonimmigrant visitors who seek

admission for business or pleasure and solely for entry into and stay on Guam or the CNMI without a visa. This rule also

establishes six ports of entry in the CNMI for purposes of administering and enforcing the Guam-CNMI Visa Waiver Program.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No
CFR Citation: 8 CFR 100.4; 8 CFR 212.1; 8 CFR 233.5; 8 CFR 235.5; 19 CFR 4.7b; 19 CFR 122.49a (To search for a specific

CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-229, sec 702

Legal Deadline: 

Action Source Description Date

Other Statutory PL 110-229 11/04/2008 

Regulatory Plan:

Statement of Need: Currently, aliens who are citizens of eligible countries may apply for admission to Guam at a Guam port

of entry as nonimmigrant visitors for a period of fifteen (15) days or less, for business or pleasure, without first obtaining a

nonimmigrant visa, provided that they are otherwise eligible for admission. Section 702(b) of the Consolidated Natural

Resources Act of 2008 (CNRA), supersedes the Guam visa waiver program by providing for a visa waiver program for Guam

and the Commonwealth of the Northern Mariana Islands (Guam-CNMI Visa Waiver Program). Section 702(b) requires DHS to

promulgate regulations within 180 days of enactment of the CNRA to allow nonimmigrant visitors from eligible countries to

apply for admission into Guam and the CNMI, for business or pleasure, without a visa, for a period of authorized stay of no

longer than 45 days.

Legal Basis: The Guam-CNMI Visa Waiver Program is based on congressional authority provided under 702(b) of the

Consolidated Natural Resources Act of 2008 (CNRA).

Alternatives: None

Costs and Benefits: The most significant change for admission to the CNMI as a result of the rule will be for visitors from

those countries who are not included in either the existing U.S. Visa Waiver Program or the Guam-CNMI Visa Waiver Program

established by the rule. These visitors must apply for U.S. visas, which require in-person interviews at U.S. embassies or

consulates and higher fees than the CNMI currently assesses for its visitor entry permits. CBP anticipates that the annual cost

to the CNMI will be $6 million. These are losses associated with the reduced visits from foreign travelers who may no longer

visit the CNMI upon implementation of this rule. In addition, we estimate Government implementation costs of between $87 and

91 million over the 5-year period of analysis. The anticipated benefits of the rule are enhanced security that will result from the

federalization of the immigration functions in the CNMI.

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 01/16/2009 74 FR 2824 

Interim Final Rule Effective 01/16/2009 

Interim Final Rule Comment Period End 03/17/2009 

Technical Amendment; Change of Implementation Date 05/28/2009 74 FR 25387 

Final Action 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Related RINs: Related to 1651-AA81

Agency Contact: Hui Won 

Program Manager

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue, Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-4084 

E-Mail: hui.won@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA81

 View Related Documents

Title: Clarification of Countries and Geographic Areas Eligible for Participation in the Guam-Commonwealth of the Northern

Mariana Islands Visa Waiver Program

Abstract: This rule amends Department of Homeland Security (DHS) regulations to clarify that individuals holding British

National (Overseas) (BN(O)) passports are eligible for participation in the Guam-Commonwealth of the Northern Mariana Islands

(CNMI) Visa Waiver Program. The Guam-CNMI Visa Waiver Program allows certain nonimmigrant aliens to enter Guam and/or

the CNMI as nonimmigrant visitors for business or pleasure without a visa for a period of authorized stay not to exceed forty-
five days.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 212.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-229, sec 702

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 03/23/2011 76 FR 16231 

Interim Final Rule Comment Period End 05/23/2011 

Final Action 06/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Related RINs: Related to 1651-AA77

Agency Contact: Hui Won 

Program Manager

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue, Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-4084 

E-Mail: hui.won@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA83

 View Related Documents

Title: Electronic System for Travel Authorization (ESTA): Fee for Use of the System

Abstract: Under the Department of Homeland Security (DHS) regulations, nonimmigrant aliens who wish to enter the United

States under the Visa Waiver Program at air or sea ports of entry must obtain a travel authorization electronically through the

Electronic System for Travel Authorization (ESTA) from Customs and Border Protection prior to departing for the United States.

This rule amends the DHS regulations to require ESTA applicants to pay a fee. The fee is authorized by section 711 of the

Implementing the Recommendations of the 9/11 Commission Act of 2007 (9/11 Act) and mandated by the Travel Promotion Act

and consists of the sum of $10 per travel authorization and an amount that will at least ensure recovery of the full costs of

providing and administering the ESTA system. This document also announces the amount of the fee.

Priority: Economically Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 8 CFR 217.5(a) (Revision); 8 CFR 217.5(h) (New) (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: PL 110-53, sec 711, 9/11 Act; 8 USC 1187; PL 111-145

Legal Deadline: 

Action Source Description Date

Other Statutory 

According to Public Law 111-145 (March 4, 2010) DHS must establish a

fee and begin assessment and collection of the fee no later than 6

months after the date of enactment. 

09/04/2010 
Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 08/09/2010 75 FR 47701 

Interim Final Rule Effective 09/08/2010 

Interim Final Rule Comment Period End 10/08/2010 

Final Rule 06/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Related RINs: Related to 1651-AA72

Agency Contact: Suzanne Shepherd 

Director, Electronic System for Travel Authorization

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-2073 

E-Mail: suzanne.m.shepherd@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA89

 View Related Documents

Title: Exemption From Entry Requirements for Certain Department of Defense Vessels and Aircraft

Abstract: Under current regulations, certain vessels and aircraft owned or chartered by the Department of Defense (DoD) are

exempt from entry requirements and, in some cases, reporting requirements upon their arrival in the United States from a

foreign place. The exemptions generally apply when the vessel or aircraft is transporting cargo that is solely the property of the

DoD or when it is transporting passengers traveling on official business of the United States. This rule would revise the criteria

for applying these exemptions to better address the manner in which the DoD moves cargo and passengers in support of its

missions. Under the rule, CBP is considering whether to revise the entry exemption to make it apply to certain DoD-owned or

chartered vessels and aircraft carrying cargo and/or passengers approved for carriage in the Defense Transportation System

(DTS), the secure system used by DoD to move cargo and passengers in support of DoD's missions. Additionally, CBP is

considering whether certain DoD-owned vessels that are transporting only passengers and/or cargo approved for carriage in the

DTS should also be exempt from reporting their arrival.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 19 CFR 4.0(h); 19 CFR 4.5; 19 CFR 122.1(n); 19 CFR 122.41 (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: 19 USC 1433; 19 USC 1434; 19 USC 1441; 19 USC 1644a

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:
Risks:

Timetable:

Action Date FR Cite

NPRM 02/09/2012 77 FR 6704 

NPRM Comment Period End 04/09/2012 

Final Rule 05/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Agency Contact: Michel Chausse 

Chief, Ocean, Air & Rail Manifest Branch, Office of Field Operations

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-3656 

E-Mail: michel.l.chausse@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA90

 View Related Documents

Title: Boquillas Border Crossing

Abstract: This rule would create a new border crossing in the Big Bend National Park called Boquillas. It would be established

as a Class B port of entry for immigration purposes and as a Customs station for customs purposes, under the supervision of

the El Paso port of entry. CBP and the National Park service plan to partner on the construction of a joint use facility in the Big

Bend National Park which will provide facility requirements to operate a border crossing. On May 19, 2010, President Obama

and Mexican President Calderon issued a joint statement recognizing that the Big Bend National Park in the United States and

the Protected Areas of Maderas del Carmen, Canon de Santa Elena, Ocampo, and Rio Bravo del Norte in Mexico together

comprise one of the largest and most significant ecological complexes in North America. The opening of the Boquillas crossing

would help establish the Big Bend-Rio Bravo region as a natural area of binational interest. The opening of the Boquillas

crossing is also expected to encourage more travel and tourism in the area.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 100.4(a); 19 CFR 101.4(c) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 9 USC 2; 19 USC 66; 19 USC 1624

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM Correction 10/05/2011 76 FR 61288 

NPRM 10/28/2011 76 FR 66862 

NPRM Comment Period End 12/27/2011 

Final Rule 12/00/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Agency Contact: Colleen Manaher 

Director, Land Border Integration Program Management Office

Department of Homeland Security
U.S. Customs and Border Protection

Office of Field Operations, 1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-3003 

E-Mail: colleen.m.manaher@dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA93

 View Related Documents

Title: Closing of the Port of Whitetail, Montana

Abstract: U.S. Customs and Border Protection (CBP) is proposing to close the port of entry of Whitetail, Montana. The

proposed change is part of CBP's continuing program to more efficiently utilize its personnel, facilities, and resources, and to

provide better service to carriers, importers, and the general public.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 19 CFR 101.3(b)(1); 8 CFR 100.4(a) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 6 USC 112; 6 USC 203; 6 USC 211; 8 USC 1103; 19 USC 2; 19 USC 66; 19 USC 1624

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/24/2011 76 FR 52890 

NPRM Comment Period End 10/24/2011 

Final Rule 01/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Agency Contact: Roger Kaplan 

Director, Programs and Policy, Office of Field Operations

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 325-4543 

E-Mail: roger.kaplan@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA94

 View Related Documents

Title: Internet Publication of Administrative Seizure/Forfeiture Notices

Abstract: This rule proposes to amend the Customs and Border Protection (CBP) regulations to allow for publication of

seizure/intent-to-forfeit notices on an official Government forfeiture Web site. The changes proposed in this rule are intended to

reduce administrative costs and improve the effectiveness of CBP's notice procedures as Internet publication would reach a

broader range of the public and provide access to more parties who may have an interest in the seized merchandise.
Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 19 CFR 162.45(b) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 19 USC 66; 19 USC 1592; 19 USC 1593a; 19 USC 1607; 19 USC1608; 19 USC 1624; 6 USC

101; 8 USC 1324(b)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/08/2012 77 FR 6527 

NPRM Comment Period End 04/09/2012 

Final Action 02/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Dennis McKenzie 

Director, Fines, Penalties, and Forfeitures Division

Department of Homeland Security

U.S. Customs and Border Protection

Office of Field Operations, 1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-1808 

FAX: 202 344-2747

E-Mail: dennis.mckenzie@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA95

 View Related Documents

Title: Extension of Border Zone in the State of New Mexico

Abstract: Under current Department of Homeland Security regulations, certain nonimmigrant Mexican nationals presenting a

Border Crossing Card, or other proper immigration documentation, are not required to obtain a CBP Form I-94 (Form I-94),

Arrival/Departure Record, if they remain within 25 miles of the border (75 miles in Arizona). This rule amends the DHS

regulations to extend the distance these visitors may travel in New Mexico without obtaining a Form I-94 from 25 miles to 55

miles. This change is intended to promote commerce in southern New Mexico while still ensuring that sufficient safeguards are

in place to prevent illegal entry to the United States.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 235.1 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 and note; 8 USC 1103; 8 USC 1185 and note; 8 USC 1201

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:
Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/09/2012 77 FR 47558 

NPRM Comment Period End 10/09/2012 

Final Rule 05/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Agency Contact: Colleen Manaher 

Director, Land Border Integration Program Management Office

Department of Homeland Security

U.S. Customs and Border Protection

Office of Field Operations, 1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-3003 

E-Mail: colleen.m.manaher@dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA96

 View Related Documents

Title: Definition of Form I-94 to Include Electronic Format

Abstract: Currently, CBP generally issues the Form I-94 to aliens at the time they lawfully enter the United States. CBP is

transitioning to an automated process whereby it will create a Form I-94 in an electronic format based on passenger, passport,

and visa information currently obtained electronically from air and sea carriers and the Department of State as well as through

the inspection process. This rule will amend the regulations accordingly.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 1.4; 8 CFR 264.1(b) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1201; 8 USC 1301; 8 USC 1303 to 1305; 5 USC 301; PL 107-296, 116

Stat 2135; 6 USC 1 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule 02/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Suzanne Shepherd 

Director, Electronic System for Travel Authorization

Department of Homeland Security

U.S. Customs and Border Protection
1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-2073 

E-Mail: suzanne.m.shepherd@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA88

 View Related Documents

Title: Morses Line Border Crossing

Abstract: CBP officers are currently stationed at Morses Line, Vermont, a border crossing located within the port limits of the

port of entry of Highgate Springs/Alburg, Vermont, to accept entries of merchandise, collect duties, and enforce the various

provisions of the customs, navigation, and immigration laws. As an aging facility, the Morses Line border crossing no longer

meets operational, safety, and technology standards. Extensive and costly upgrades would be required to bring the border

crossing in line with modern requirements. Based on internal analyses, feedback from many individuals in the local community,

and consultation with members of Congress, DHS is evaluating the potential closure of the Morses Line border crossing.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 100.4(a) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 19 USC 2; 19 USC 66; 19 USC 1624

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

ANPRM 10/05/2011 76 FR 61622 

ANPRM Comment Period End 12/05/2011 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

Agency Contact: Roger Kaplan 

Director, Programs and Policy, Office of Field Operations

Department of Homeland Security

U.S. Customs and Border Protection

1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 325-4543 

E-Mail: roger.kaplan@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA73

 View Related Documents

Title: Establishment of Global Entry Program

Abstract: CBP already operates several regulatory and nonregulatory international registered traveler programs, also known as

trusted traveler programs. In order to comply with the Intelligence Reform Terrorism Prevention Act of 2004 (IRPTA), CBP is

proposing to amend its regulations to establish another international registered traveler program called Global Entry. The Global

Entry program would expedite the movement of low-risk, frequent international air travelers by providing an expedited inspection
process for pre-approved, pre-screened travelers. These travelers would proceed directly to automated Global Entry kiosks upon

their arrival in the United States. This Global Entry Program, along with the other programs that have already been established,

are consistent with CBP's strategic goal of facilitating legitimate trade and travel while securing the homeland. A pilot of Global

Entry has been operating since June 6, 2008.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 235; 8 CFR 103 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1365b(k)(1); 8 USC 1365b(k)(3); 8 USC 1225; 8 USC 1185(b)

Legal Deadline: None

Regulatory Plan:

Statement of Need: CBP has been operating the Global Entry program as a pilot at several airports since June 6, 2008, and

the pilot has been very successful. As a result, there is a desire on the part of the public that CBP establish the program as a

permanent program, and expand the program to additional airports and to citizens from other countries, if possible. By

establishing this program, CBP will make great strides toward facilitating the movement of people in a more efficient manner,

thereby accomplishing our strategic goal of balancing legitimate travel with security. Through the use of biometric and

recordkeeping technologies, the risk of terrorists entering the United States would be reduced. Improving security and facilitating

travel at the border, both of which are accomplished by Global Entry, are primary concerns within CBP jurisdiction.

Legal Basis: The Global Entry program is based on section 7208(k) of the Intelligence Reform and Terrorism Prevention Act

of 2004 (IRTPA), as amended by section 565 of the Consolidated Appropriations Act, which requires the Secretary of Homeland

Security to create a program to expedite the screening and processing of pre-approved low-risk air travelers into the United

States.

Alternatives:

Costs and Benefits: Global Entry is a voluntary program that provides a benefit to the public by speeding the CBP processing

time for participating travelers. Travelers who are otherwise admissible to the United States will be able to enter or exit the

country regardless of whether they participate in Global Entry. CBP estimates that over a 5-year period, 250,000 enrollees will

be processed (an annual average of 50,000 individuals). CBP estimates that each application will require 40 minutes (0.67

hours) of the enrollee's time to search existing data resources, gather the data needed, and complete and review the

application form. Additionally, an enrollee will experience an "opportunity cost of time" to travel to an Enrollment Center upon

acceptance of the initial application. We assume that 1 hour will be required for this time spent at the Enrollment Center and

travel to and from the Center, though we note that during the pilot program, many applicants coordinated their trip to an

Enrollment Center with their travel at the airport. CBP has used 1 hour of travel time so as not to underestimate potential

opportunity costs for enrolling in the program. CBP used a value of $28.60 for the opportunity cost for this time, which is taken

from the Federal Aviation Administration's "Economic Values for FAA Investment and Regulatory Decisions, A Guide." (Jul. 3,

2007) This value is the weighted average for U.S. business and leisure travelers. For this evaluation, CBP assumed that all

enrollees will be U.S. citizens, U.S. nationals, or Lawful Permanent Residents.

Risks:

Timetable:

Action Date FR Cite

NPRM 11/19/2009 74 FR 59932 

NPRM Comment Period End 01/19/2010 

Final Rule 02/06/2012 77 FR 5681 

Additional Information: Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.globalentry.gov

Agency Contact: John P. Wagner 

Executive Director, Admissibility and Passenger Programs

Department of Homeland Security

U.S. Customs and Border Protection

Office of Field Operations, 1300 Pennsylvania Avenue NW., Washington, DC 20229

Washington , DC 20229 

Phone: 202 344-2118 

E-Mail: john.p.wagner@cbp.dhs.gov

Department of Homeland Security (DHS) 

U.S. Customs and Border Protection ( USCBP ) RIN: 1651-AA80
 View Related Documents

Title: Permissible Sharing of Client Records by Customs Brokers

Abstract: This document proposes to amend Customs and Border Protection (CBP) regulations in title 19 of the Code of

Federal Regulations (CFR) pertaining to the obligations of customs brokers to keep clients' information confidential.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 19 CFR 111.24 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 19 USC 66; 19 USC 1202 (General Note 3(i), Harmonized Tariff Schedule of the United States (HTSUS)); 19

USC 1624; 19 USC 1641

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 10/27/2010 75 FR 66050 

NPRM Comment Period End 12/27/2010 

Withdrawn 03/26/2012 77 FR 17367 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Anita S. Harris 

Chief, Broker Compliance Branch, Trade Policy and Programs

Department of Homeland Security

U.S. Customs and Border Protection

Office of International Trade, 1400 L Street NW., Washington, DC 20229-1143

Washington , DC 20229-1143 

Phone: 202 863-6069 

FAX: 202 863-6540

E-Mail: anita.harris@dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA01

 View Related Documents

Title: Aviation Security Infrastructure Fees (ASIF)

Abstract: The Transportation Security Administration (TSA) will complete an economic analysis, respond to comments

received, and take final action on the interim final rule (IFR) issued February 20, 2002. The IFR established the Aviation

Security Infrastructure Fee (ASIF) imposed on air carriers and foreign air carriers in air transportation, foreign air transportation,

and intrastate air transportation to help defray TSA's costs of providing U.S. civil aviation security services. The Aviation and

Transportation Security Act (ATSA) (Pub. L. 107-71; Nov. 19, 2001), codified at 49 U.S.C. 44940, requires TSA to impose a

uniform fee, the "September 11th Security Fee," on certain aviation passengers at no more than $2.50 per enplanement

originating in the United States, up to $5.00 per one-way trip and $10.00 per round trip. To the extent that TSA estimates that

the September 11th Security Fee will not cover TSA's estimated annual costs for providing specified security services, ATSA

authorizes TSA to impose a second fee, the ASIF, on carriers based on the costs they incurred for screening passengers and

property in calendar year 2000.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 49 CFR 1511 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 114; 49 USC 40113; 49 USC 44901; 49 USC 44940
Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule Effective 02/18/2002 

Interim Final Rule 02/20/2002 67 FR 7926 

Interim Final Rule; Fed Reg Correction 02/25/2002 67 FR 8579 

Notice--Information Collection; Approval 02/28/2002 67 FR 9355 

Interim Final Rule; Comment Period End 03/18/2002 

Interim Final Rule; Comment Period Extended 03/20/2002 67 FR 12954 

Interim Final Rule; Extension of Comment Period End 04/02/2002 

Notice--Guidance Appendix A 05/01/2002 67 FR 21582 

Notice-Information Collection; 60-Day New Collection 01/27/2004 69 FR 3938 

Notice-Information Collection; 30-Day New Collection 05/18/2004 69 FR 28141 

Notice-Information Collection; 60-Day Renewal 05/09/2007 72 FR 26417 

Notice-Information Collection; 30-Day Renewal 09/06/2007 72 FR 51238 

Notice-Information Collection; 60-Day Renewal Records Retention 03/04/2010 75 FR 9920 

Notice-Information Collection; 30-Day Renewal Records Retention 08/05/2010 75 FR 47311 

NPRM 06/00/2013 

Additional Information: Transferred from RIN 2110-AA02.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Related to 1652-AA00; Related to 1652-AA43

Agency Contact: Michael Gambone 

Deputy Director, Office of Revenue

Department of Homeland Security

Transportation Security Administration

Office of Finance and Administration, TSA-14, HQ, W12-319, 601 South 12th Street, Arlington, VA 20598-6014

Arlington , VA 20598-6014 

Phone: 571 227-1081 

FAX: 571 227-2904

E-Mail: michael.gambone@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Traci Klemm 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, E12-335N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3596 

E-Mail: traci.klemm@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA43
 View Related Documents

Title: Modification of the Aviation Security Infrastructure Fee (ASIF) (Market Share)

Abstract: On February 20, 2002 (67 FR 7926), the Transportation Security Administration (TSA) published an interim final rule

(IFR) that established the Aviation Security Infrastructure Fee (ASIF), which is imposed on air carriers and foreign air carriers in

air transportation, foreign air transportation, and intrastate air transportation to help defray TSA's costs of providing U.S. civil

aviation security services. TSA is developing a notice of proposed rulemaking (NPRM) that will propose to amend current ASIF

requirements, see 49 CFR part 1511, by modifying the method that TSA uses to assess the ASIF, reapportioning the amount to

be paid per airline. The NPRM will also respond to any comments submitted regarding the IFR. On November 5, 2003, the

Transportation Security Administration (TSA) published a notice requesting comment on possible changes in order to allow for

open industry and public input. TSA sought comments on issues regarding how to impose the ASIF, and whether, when, and

how often the ASIF should be adjusted.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 49 CFR 1511 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 44901; 49 USC 44940

Legal Deadline: None

Regulatory Plan:

Statement of Need: Reapportioning the ASIF based on a market share methodology will provide for a more equitable

distribution of the costs of civil aviation security.

Legal Basis: The Aviation and Transportation Security Act (ATSA) (Pub. L. 107-71; Nov. 19, 2001), codified at 49 U.S.C.

44940, requires TSA to impose a uniform fee, the "September 11th Security Fee," on certain aviation passengers at no more

than $2.50 per enplanement originating in the United States, up to $5.00 per one-way trip and $10.00 per round trip. To the

extent that the September 11th Security Fee does not cover TSA's estimated annual costs for providing specified security

services, ATSA authorizes TSA to impose a second fee, the ASIF, on carriers based on the costs they incurred for screening

passengers and property in calendar year 2000. Beginning in fiscal year 2005, ATSA authorized TSA to change the way the

ASIF is apportioned among air carriers according to a carrier's market share or other appropriate measure, in lieu of the

carrier's actual screening costs in calendar year 2000. See 49 U.S.C. 44940(2)(B)(iii).

Alternatives: As part of this rulemaking, TSA will consider options for determining market share.

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Notice; Requesting Comment-Imposition of the Aviation Security

Infrastructure Fee (ASIF) 11/05/2003 68 FR 62613 

Notice--Imposition of ASIF; Comment Period Extended 12/31/2003 68 FR 75611 

Notice--Imposition of ASIF; Comment Period End 01/05/2004 

Notice--Imposition of ASIF; Extended Comment Period End 02/05/2004 

NPRM 08/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Related to 1652-AA00; Related to 1652-AA01

Agency Contact: Michael Gambone 

Deputy Director, Office of Revenue

Department of Homeland Security

Transportation Security Administration

Office of Finance and Administration, TSA-14, HQ, W12-319, 601 South 12th Street, Arlington, VA 20598-6014

Arlington , VA 20598-6014 

Phone: 571 227-1081 

FAX: 571 227-2904

E-Mail: michael.gambone@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028
Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Traci Klemm 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, E12-335N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3596 

E-Mail: traci.klemm@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA53

 View Related Documents

Title: General Aviation Security and Other Aircraft Operator Security

Abstract: On October 30, 2008 (73 FR 64790), the Transportation Security Administration (TSA) issued a Notice of Proposed

Rulemaking (NPRM), proposing to amend current aviation transportation security regulations to enhance the security of general

aviation by expanding the scope of current requirements, and by adding new requirements for certain large aircraft operators

and airports serving those aircraft. TSA also proposed that all aircraft operations, including corporate and private charter

operations, with aircraft having a maximum certificated takeoff weight (MTOW) above 12,500 pounds (large aircraft) be required

to adopt a large aircraft security program. TSA also proposed to require certain airports that serve large aircraft to adopt security

programs. After considering comments received on the NPRM and sponsoring public meetings with stakeholders, TSA decided

to revise the original proposal to tailor security requirements to the general aviation industry. TSA is preparing a supplemental

NPRM (SNPRM), which will include a comment period for public comments. TSA is considering the following proposed

provisions in the SNPRM: (1) The type of aircraft subject to TSA regulation; (2) compliance oversight; (3) watch list matching of

passengers; (4) prohibited items; (5) scope of the background check requirements and the procedures used to implement the

requirement; and (6) other issues. Additionally, in the SNPRM, TSA plans to propose security measures for foreign aircraft

operators commensurate with measures for U.S. operators.

Priority: Economically Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Yes Unfunded Mandates: Private Sector

CFR Citation: 49 CFR 1515; 49 CFR 1520; 49 CFR 1522; 49 CFR 1540; 49 CFR 1542; 49 CFR 1544; 49 CFR 1550 (To

search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 6 USC 469; 18 USC 842; 18 USC 845; 46 USC 70102 to 70106; 46 USC 70117; 49 USC 114; 49 USC

114(f)(3); 49 USC 5103; 49 USC 5103a; 49 USC 40113; 49 USC 44901 to 44907; 49 USC 44913 to 44914; 49 USC 44916 to

44918; 49 USC 44932; 49 USC 44935 to 44936; 49 USC 44942; 49 USC 46105

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis: 49 U.S.C. 114, 40113, 44903.

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 10/30/2008 73 FR 64790 

Notice--NPRM Comment Period Extended 11/25/2008 73 FR 71590 

Notice--Public Meetings; Requests for Comments 12/18/2008 73 FR 77045 

NPRM Comment Period End 12/29/2008 

NPRM Extended Comment Period End 02/27/2009 

Supplemental NPRM 08/00/2013 

Additional Information: Public Meetings held on: Jan. 6, 2009, at White Plains, NY; Jan. 8, 2009, at Atlanta, GA; Jan 16, 2009,

at Chicago, IL; Jan. 23, 2009, at Burbank, CA; and Jan. 28, 2009, at Houston, TX. Additional Comment Sessions held in

Arlington, VA, on April 16, 2009, May 6, 2009, and June 15, 2009.
Regulatory Flexibility Analysis Required: Business Government Levels Affected: Local

Federalism: No

Energy Affected: No

International Impacts: This regulatory action will be likely to have international trade and investment effects, or otherwise be of

international interest.

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1652-AA03; Related to 1652-AA04

Agency Contact: Kerwin Wilson 

Acting Assistant General Manager, General Aviation Security

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-3788 

E-Mail: kerwin.wilson@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Denise Daniels 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-127S, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3443 

FAX: 571 227-1381

E-Mail: denise.daniels@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA55

 View Related Documents

Title: Security Training for Surface Mode Employees

Abstract: The Transportation Security Administration (TSA) intends to propose a new regulation to improve the security of

freight railroads, public transportation, passenger railroads, and over-the-road buses in accordance with the Implementing

Recommendations of the 9/11 Commission Act of 2007. This rulemaking will propose general requirements for the

owner/operators of a freight railroad, public transportation system, passenger railroad, and an over-the-road bus operation

determined by TSA to be high-risk to develop and implement a security training program to prepare security-sensitive

employees, including frontline employees identified in sections 1402 and 1501 of the Act, for potential security threats and

conditions. The rulemaking will also propose extending the security coordinator and reporting security incident requirements

applicable to rail operators under current 49 CFR part 1580 to the non-rail transportation components of covered public

transportation agencies. In addition, the rulemaking will also propose requiring the affected over-the-road bus owner/operators

to identify security coordinators and report security incidents, similar to the requirements for rail in current 49 CFR 1580. The

regulation will take into consideration any current security training requirements or best practices.

Priority: Economically Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 49 CFR 1520; 49 CFR 1570; 49 CFR 1580; 49 CFR 1582 (New); 49 CFR 1584 (New) (To search for a specific

CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 114; PL 110-53, secs 1408, 1517, and 1534

Legal Deadline: According to sec. 1408 of Public Law 110-53, Implementing Recommendations of the 9/11 Commission Act of

2007 (Aug. 3, 2007; 121 Stat. 266), interim final regulations for public transportation agencies are due 90 days after the date of

enactment (Nov. 1, 2007), and final regulations are due 1 year after the date of enactment of this Act. According to sec. 1517 of

the same Act, final regulations for railroads and over-the-road buses are due no later than 6 months after the date of

enactment.

Action Source Description Date

Other Statutory Interim Rule for public transportation agencies is due 90 days after date

of enactment. 11/01/2007 
Other Statutory Rule for railroads and over-the-road buses are due 6 months after date

of enactment. 02/03/2008 

Other Statutory Rule for public transportation agencies is due 1 year after date of

enactment. 08/03/2008 

Regulatory Plan:

Statement of Need: A security training program for freight railroads, public transportation agencies and passenger railroads,

and over-the-road bus operations is proposed to prepare freight railroad security-sensitive employees, public transportation,

passenger railroad security-sensitive employees, and over-the-road bus security-sensitive employees for potential security

threats and conditions.

Legal Basis: 49 U.S.C. 114; sections 1408, 1517, and 1534 of Public Law 110-53, Implementing Recommendations of the

9/11 Commission Act of 2007 (Aug. 3, 2007; 121 Stat. 266).

Alternatives: TSA is required by statute to publish regulations requiring security training programs for these owner/operators.

As part of its notice of proposed rulemaking, TSA will seek public comment on the alternative ways in which the final rule could

carry out the requirements of the statute.

Costs and Benefits: TSA will estimate the costs that the freight railroad systems, public transportation agencies, passenger

railroads, and over-the-road bus (OTRB) entities covered by this proposed rule would incur following its implementation. These

costs will include estimates for the following elements: (1) Creating or modifying a security training program and submitting it to

TSA; (2) Training (initial and recurrent) all security-sensitive employees; (3) Maintaining records of employee training; (4) Being

available for inspections; (5) As applicable, providing information on security coordinators and alternates; and (6) As applicable,

reporting security concerns. TSA will also estimate the costs TSA itself would expect to incur with the implementation of this

rule. TSA has not quantified benefits. TSA, however, expects that the primary benefit of the Security Training NPRM will be the

enhancement of the United States surface transportation security by reducing the vulnerability of freight railroad systems, public

transportation agencies, passenger railroads, and over-the-road bus entities to terrorist activity through the training of securitysensitive employees. TSA uses a break-even analysis to assess the trade-off between the beneficial effects of the Security

Training NPRM and the costs of implementing the rulemaking. This break-even analysis uses scenarios extracted from the TSA

Transportation Sector Security Risk Assessment (TSSRA) to determine the degree to which the Security Training NPRM must

reduce the overall risk of a terrorist attack in order for the expected benefits of the NPRM to justify the estimated costs. For its

analyses, TSA uses scenarios with varying levels of risk, but only details the consequence estimates. To maintain consistency,

TSA developed the analyses with a method similar to that used for the break-even analyses conducted in earlier DHS rules.

After estimating the total consequence of each scenario by monetizing lives lost, injuries incurred, and capital replacement and

clean-up, TSA will use this figure and the annualized cost of the NPRM for freight rail, public transportation, passenger rail, and

OTRB owner/operators to calculate a breakeven annual likelihood of attack.

Risks: The Department of Homeland Security aims to prevent terrorist attacks within the United States and to reduce the

vulnerability of the United States to terrorism. By providing for security training for personnel, TSA intends in this rulemaking to

reduce the risk of a terrorist attack on this transportation sector.

Timetable:

Action Date FR Cite

NPRM 07/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Local

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1652-AA56; Merge with 1652-

AA57; Merge with 1652-AA59

Agency Contact: Scott Gorton 

Manager, Freight Rail Security Branch

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-423N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-1251 

FAX: 571 227-2930

E-Mail: scott.gorton@tsa.dhs.gov

Agency Contact: Steve Sprague 

Highway Passenger, Infrastructure and Licensing Branch Chief; Highway and Motor Carrier Programs

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-1468 

E-Mail: steve.sprague@tsa.dhs.gov
Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: David Kasminoff 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-310N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3583 

FAX: 571 227-1378

E-Mail: david.kasminoff@tsa.dhs.gov

Agency Contact: Traci Klemm 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, E12-335N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3596 

E-Mail: traci.klemm@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA56

 View Related Documents

Title: Freight Railroads and Passenger Railroads--Vulnerability Assessment and Security Plan

Abstract: The Transportation Security Administration (TSA) will propose a new regulation to improve the security of freight

railroads and passenger railroads in accordance with the Implementing Recommendations of the 9/11 Commission Act of 2007.

This rulemaking will propose thresholds for which a risk determination can be made to determine whether a freight railroad and

passenger railroad should be considered "high risk." The rulemaking will also propose requirements for vulnerability

assessments and security plans for owner/operators of those railroads. The proposed requirements include procedures for TSA's

review and approval of these assessments and plans, and recordkeeping requirements. The regulation will take into

consideration any current security assessment and planning requirements or best practices.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 49 CFR 1520; 49 CFR 1570; 49 CFR 1580; 49 CFR 1582 (New) (To search for a specific CFR, visit the Code of

Federal Regulations ) 

Legal Authority: 49 USC 114; PL 110-53, sec 1512

Legal Deadline: According to section 1512 of Public Law 110-53, Implementing Recommendations of the 9/11 Commission Act

of 2007 (Aug. 3, 2007; 121 Stat. 266), a final regulation for freight railroads and passenger railroads is due no later than 12

months after the date of enactment of the Act.

Action Source Description Date

Other Statutory Rule for freight railroads and passenger railroads is due no later than 12

months after date of enactment. 08/03/2008 

Regulatory Plan:

Statement of Need: The rulemaking will propose requirements for owner/operators of high-risk freight railroads and high-risk

passenger railroads to conduct vulnerability assessments and adopt and carry out security plans to address the railroad

carrier's preparedness and response for potential security threats and conditions.

Legal Basis: 49 U.S.C. 114; section 1512 of Public Law 110-53, Implementing Recommendations of the 9/11 Commission

Act of 2007 (Aug. 3, 2007; 121 Stat. 266).

Alternatives: TSA is required by statute to publish regulations requiring vulnerability assessments and security plans for

owner/operators of high-risk freight railroads and high-risk passenger railroads. As part of its notice of proposed rulemaking,

TSA will seek public comment on the alternative ways in which the final rule could carry out the requirements of the statute.

Costs and Benefits: TSA will estimate the costs that the freight rail systems and passenger railroad carriers covered by this
proposed rule would incur following its implementation. These costs will include estimates for the following elements: (1)

Completing, modifying, or updating a vulnerability assessment and submitting it to TSA; (2) Developing, modifying, or updating

a security plan and submitting it to TSA; (3) Implementing a security plan; (4) Maintaining records, including master copies of

the vulnerability assessment and security plan and all plans or documents referenced in the security plan; and (5) Being

available for inspection. The expected primary benefit of the Vulnerability Assessment and Security Plan NPRM will be to

enhance U.S. surface transportation security by reducing vulnerability to terrorist attacks in two different ways. First,

vulnerability assessments, as required in this proposed rule, would identify assets and infrastructure that are critical to

owner/operators and provide an assessment of security risks that need to be mitigated at these locations. Second, in an effort

to mitigate security risks, security plans would help target resources and mitigation strategies toward security gaps in an

owner/operator's specific freight or passenger railroad operation to include addressing the risks identified by the vulnerability

assessments. TSA has not quantified benefits. For the purposes of this rulemaking, TSA employs a break-even analysis to

compare the cost of the risk reduction resulting from the proposed rule with the dollar value of the type of terrorist attacks that

could potentially be averted due to the requirements in the proposed rule. This provides a framework for evaluating the tradeoff

between program costs and benefits. For purposes of this analysis, TSA evaluates three scenarios in the freight rail mode of

surface transportation and three scenarios in the passenger railroad mode of surface transportation covered by the proposed

rule. For each scenario, TSA calculates a total monetary consequence from an estimated statistical value of the human

casualties and capital replacement resulting from the attack. TSA compared an expected value of the monetary cost of an

attack to each rail mode and TSA's annualized cost of conducting vulnerability assessments and implementing security plans,

discounted at 7 percent, to estimate how often an attack of that nature would need to be averted for the expected benefits to

equal estimated costs. For a given level of pre-existing or baseline risk of an attack, the calculation of the break-even point--the

reduction in baseline risk for which the estimated costs and expected benefits are equal--and a detailed description of each

scenario is presented in the regulatory evaluation for this NPRM.

Risks: The Department of Homeland Security aims to prevent terrorist attacks within the United States and to reduce the

vulnerability of the United States to terrorism. By providing for owner/operators of high-risk freight railroads and owner/operators

of high-risk passenger railroads to conduct vulnerability assessments and adopt and carry out security plans, TSA intends in

this rulemaking to reduce the risk of a terrorist attack on the passenger rail transportation sector.

Timetable:

Action Date FR Cite

NPRM 08/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Local

Federalism: Undetermined

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1652-AA55; Merge with 1652-

AA58; Merge with 1652-AA60

Agency Contact: Scott Gorton 

Manager, Freight Rail Security Branch

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-423N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-1251 

FAX: 571 227-2930

E-Mail: scott.gorton@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: David Kasminoff 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-310N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3583 

FAX: 571 227-1378

E-Mail: david.kasminoff@tsa.dhs.gov

Agency Contact: Traci Klemm 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security
Transportation Security Administration

Office of the Chief Counsel, TSA-2, E12-335N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3596 

E-Mail: traci.klemm@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA61

 View Related Documents

Title: Standardized Vetting, Adjudication, and Redress Services

Abstract: The Transportation Security Administration (TSA) intends to propose new regulations to revise and standardize the

procedures, adjudication criteria, and fees for most of the security threat assessments (STA) of individuals for which TSA is

responsible. In accordance with the Implementing Recommendations of the 9/11 Commission Act of 2007 (9/11 Act), the scope

of the rulemaking will include transportation workers from all modes of transportation who are required to undergo an STA in

other regulatory programs, including certain aviation workers and frontline employees for public transportation agencies and

railroads. In addition, TSA will propose fees to cover the cost of the STAs and credentials for some personnel. TSA plans to

improve efficiencies in processing STAs and streamline existing regulations by simplifying language and removing

redundancies. As part of this proposed rule, TSA will propose revisions to the Alien Flight Student Program (AFSP) regulations.

TSA published an interim final rule for ASFP on September 20, 2004. TSA regulations require aliens seeking to train at Federal

Aviation Administration-regulated flight schools to complete an application and undergo an STA prior to beginning flight training.

There are four categories under which students currently fall; the nature of the STA depends on the student's category. TSA is

considering changes to the AFSP that would improve the equity among fee payers and enable the implementation of new

technologies to support vetting.

Priority: Economically Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Yes Unfunded Mandates: Undetermined

CFR Citation: Not Yet Determined (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 114; PL 110-53, secs 1411, 1414, 1520, 1522, 1602; 6 USC 469

Legal Deadline: None

Regulatory Plan:

Statement of Need: Through this rulemaking, TSA proposes to carry out statutory mandates to perform security threat

assessments (STA) of certain transportation workers pursuant to the 9/11 Act. Also, TSA proposes to fully satisfy 6 U.S.C. 469,

which requires TSA to fund security threat assessment and credentialing activities through user fees. The proposed rulemaking

would increase transportation security by enhancing identification and immigration verification standards, providing for more

thorough vetting, improving the reliability and consistency of the vetting process, and increasing fairness to vetted individuals by

providing more robust redress and reducing redundant STA requirements.

Legal Basis: 49 U.S.C. 114(f): Under the Aviation and Transportation Security Act (ATSA) (Pub. L. 170-71, Nov. 19, 2001,

115 Stat. 597), TSA assumed responsibility to oversee the vetting of certain aviation workers. See 49 U.S.C. 44936. Under the

Maritime Transportation Security Act (MTSA), (Pub. L. 107-295, sec. 102, Nov. 25, 2002, 116 Stat. 2064), codified at 46 U.S.C.

70105, TSA vets certain merchant mariners and individuals who require unescorted access to secure areas of vessels and

maritime facilities. Under the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and

Obstruct Terrorism Act (USA PATRIOT Act) (Pub. L. 107-56, Oct. 25, 2001, 115 Stat. 272), TSA vets individuals seeking

hazardous materials endorsements (HME) to commercial driver's licenses (CDL) issued by the States. In the Implementing

Recommendation of the 9/11 Commission Act of 2007 (Pub. L. 110-53, Aug. 3, 2007, 121 Stat. 266), Congress directed TSA

to vet additional populations of transportation workers, including certain public transportation and railroad workers. In 6 U.S.C.

469, Congress directed TSA to fund vetting and credentialing programs through user fees.

Alternatives: TSA considered a number of viable alternatives to lessen the impact of the proposed regulations on entities

deemed "small" by the Small Business Administration (SBA) standards. This included: (1) Extending phone pre-enrollment to

populations eligible to enroll via the Web; and (2) changing the current delivery and activation process and instituting

centralized activation of biometric credentials that allow applicants to receive their credentials through the mail rather than

returning to the enrollment center to pick up the credential. These alternatives are discussed in detail in the rule and regulatory

evaluation.

Costs and Benefits: TSA conducted a regulatory evaluation to estimate the costs regulated entities, individuals, and TSA

would incur to comply with the requirements of the NPRM. The NPRM would impose new requirements for some individuals,

codify existing requirements not included in the Code of Federal Regulations (CFR), and modify current STA requirements for

many transportation workers. The primary benefit of the NPRM would be that it will improve TSA's vetting product, process, and

structure by improving STAs, increasing equity, decreasing reliance on appropriated funds, and improving reusability of STAs

and mitigating redundant STAs. TSA has not quantified benefits. TSA uses a break-even analysis to assess the trade-off

between the beneficial effects of the NPRM and the costs of implementing the rulemaking. This break-even analysis uses

scenarios from the TSA Transportation Sector Security Risk Assessment (TSSRA) to determine the degree to which the NPRM
must reduce the overall risk of a terrorist attack in order for the expected benefits of the NPRM to justify the estimated costs.

For its analyses, TSA uses scenarios with varying levels of risk, but only details the consequence estimates. To maintain

consistency, TSA developed the analyses with a method similar to that used for the break-even analyses conducted in earlier

DHS rules. After estimating the total consequences of each scenario by monetizing lives lost, injuries incurred, capital

replacement, and clean-up, TSA will use this figure and the annualized cost of the NPRM to calculate the frequency of attacks

averted in order for the NPRM to break even. TSA estimates that the total savings to the alien flight students, over a 5-year

period, will be $18,107 at a 7 percent discount rate.

Risks:

Timetable:

Action Date FR Cite

NPRM 07/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563.

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Undetermined

Federalism: Undetermined

Energy Affected: No

Related RINs: Related to 1652-AA35

Agency Contact: George J. Petersen 

Acting Division Director Programs

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E3-416N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2215 

FAX: 571 227-1374

E-Mail: george.petersen@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: John Vergelli 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

DHS, TSA, Office of the Chief Counsel, TSA-2, HQ, E12-309N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-4416 

FAX: 571 227-1378

E-Mail: john.vergelli@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA67

 View Related Documents

Title: Passenger Screening Using Advanced Imaging Technology

Abstract: This Notice of Proposed Rulemaking (NPRM) is being issued to comply with the decision rendered by the U.S. Court

of Appeals for the District Columbia Circuit in Electronic Privacy Information Center (EPIC) v. U.S. Department of Homeland

Security (DHS) on July 15, 2011, 653 F.3d 1 (D.C. Cir. 2011). The Court directed TSA to conduct notice and comment

rulemaking on the use of advanced imaging technology (AIT) in the primary screening of passengers. As a result, the

Transportation Security Administration (TSA) proposes to amend its civil aviation regulations to clarify that screening and

inspection of an individual conducted to control access to the sterile area of an airport or to an aircraft may include the use of

AIT.

Priority: Economically Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 49 CFR 1540.107 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 44925
Legal Deadline: In the July 15, 2011, decision described below, the U.S. Court of Appeals for the District Columbia Circuit

directed TSA promptly to proceed to conduct notice and comment rulemaking.

Action Source Description Date

NPRM Judicial TSA issue an NPRM by the end of March 2013. 03/31/2013 

Regulatory Plan:

Statement of Need: TSA is proposing regulations to respond to the decision of the U.S. Court of Appeals for the District of

Columbia Circuit in EPIC v. DHS 653 F.3d 1 (D.C. Cir. 2011).

Legal Basis: In its decision in EPIC v. DHS 653 F.3d 1 (D.C. Cir. 2011), the Court of Appeals for the District of Columbia

Circuit found that TSA failed to justify its failure to conduct notice and comment rulemaking and remanded to TSA for further

proceedings.

Alternatives: In the NPRM, TSA requests comment on several alternatives to AIR screening.

Costs and Benefits: TSA is currently evaluating the costs and benefits of this proposed rule.

Risks: DHS aims to prevent terrorist attacks and to reduce the vulnerability of the United States to terrorism. By screening

passengers with AIT, TSA will reduce the risk that a terrorist will smuggle a non-metallic threat on board an aircraft.

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Agency Contact: Adam D. Freimanis 

Portfolio Branch Manager, Passenger Screening Program

Department of Homeland Security

Transportation Security Administration

Office of Security Capabilities, TSA-16, HQ, 601 South 12th Street, Arlington, VA 20598-6016

Arlington , VA 20598-6016 

Phone: 571 227-2952 

FAX: 571 227-1931

E-Mail: adam.freimanis@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Linda L. Kent 

Assistant Chief Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-126S, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-2675 

FAX: 571 227-1381

E-Mail: linda.kent@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA38

 View Related Documents

Title: Aircraft Repair Station Security

Abstract: The Transportation Security Administration (TSA) proposed to add a new regulation to improve the security of

domestic and foreign aircraft repair stations, as required by the section 611 of Vision 100--Century of Aviation Reauthorization

Act and section 1616 of the 9/11 Commission Act of 2007. The regulation proposed general requirements for security programs

to be adopted and implemented by certain repair stations certificated by the Federal Aviation Administration (FAA). A notice of

proposed rulemaking (NPRM) was published in the Federal Register on November 18, 2009, requesting public comments to be
submitted by January 19, 2010. The comment period was extended to February 19, 2010, at the request of the stakeholders to

allow the aviation industry and other interested entities and individuals additional time to complete their comments. TSA has

coordinated its efforts with the FAA throughout the rulemaking process to ensure that the final rule does not interfere with FAA's

ability or authority to regulate part 145 repair station safety matters.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 49 CFR 1554 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 114; 49 USC 44924

Legal Deadline: Section 611(b)(1) of Vision 100--Century of Aviation Reauthorization Act (Pub. L. 108-176; Dec. 12, 2003;

117 Stat. 2490), codified at 49 U.S.C. 44924, requires that TSA issue "final regulations to ensure the security of foreign and

domestic aircraft repair stations." Section 1616 of the Implementing Recommendations of the 9/11 Commission Act of 2007

(Pub. L. 110-531; Aug. 3, 2007; 21 Stat. 266) requires TSA issue a final rule on foreign repair station security.

Action Source Description Date

Other Statutory Rule within 240 days of the date of enactment of Vision 100. 08/08/2004 

Other Statutory Rule within 1 year after the date of enactment of 9/11 Commission Act. 08/03/2008 

Regulatory Plan:

Statement of Need: The Transportation Security Administration (TSA) is proposing regulations to improve the security of

domestic and foreign aircraft repair stations. The NPRM proposed to require certain repair stations that are certificated by the

Federal Aviation Administration to adopt and carry out a security program. The proposal will codify the scope of TSA's existing

inspection program. The proposal also provides procedures for repair stations to seek review of any TSA determination that

security measures are deficient.

Legal Basis: Section 611(b)(1) of Vision 100--Century of Aviation Reauthorization Act (Pub. L. 108-176; Dec. 12, 2003; 117

Stat. 2490), codified at 49 U.S.C. 44924, requires that TSA to issue "final regulations to ensure the security of foreign and

domestic aircraft repair stations" within 240 days from date of enactment of Vision 100. Section 1616 of Public Law 110-53,

Implementing Recommendations of the 9/11 Commission Act of 2007 (Aug. 3, 2007; 121 Stat. 266) requires that the FAA may

not certify any foreign repair stations if the regulations are not issued within 1 year after the date of enactment of the 9/11

Commission Act unless the repair station was previously certificated or is in the process of certification.

Alternatives: TSA is required by statute to publish regulations requiring security programs for aircraft repair stations. As part of

its notice of proposed rulemaking, TSA sought public comment on the numerous alternative ways in which the final rule could

carry out the requirements of the statute.

Costs and Benefits: TSA anticipates costs to aircraft repair stations mainly related to the establishment of security programs,

which may include adding such measures as access controls, a personnel identification system, security awareness training,

the designation of a security coordinator, employee background verification, and contingency plan. The NPRM estimated the

total 10-year undiscounted cost of the program at $403 million. The cost of the program, discounted at 7 percent, is $285

million. Security coordinator and training costs represent the largest portions of the program. TSA has not quantified benefits.

However, a major line of defense against an aviation-related terrorist act is the prevention of explosives, weapons, and/or

incendiary devices from getting on board a plane. To date, efforts have been primarily related to inspection of baggage,

passengers, and cargo, and security measures at airports that serve air carriers. With this rule, attention is given to aircraft that

are located at repair stations and to aircraft parts that are at repair stations to reduce the likelihood of an attack against aviation

and the country. Since repair station personnel have direct access to all parts of an aircraft, the potential exists for a terrorist to

seek to commandeer or compromise an aircraft when the aircraft is at one of these facilities. Moreover, as TSA tightens security

in other areas of aviation, repair stations increasingly may become attractive targets for terrorist organizations attempting to

evade aviation security protections currently in place. TSA uses a break-even analysis to assess the trade-off between the

beneficial effects of the final rule and the costs of implementing the rulemaking. This break-even analysis uses three attack

scenarios to determine the degree to which the final rule must reduce the overall risk of a terrorist attack in order for the

expected benefits of the final rule to justify the estimated costs. For its analyses, TSA uses scenarios with varying levels of risk,

but only details the consequence estimates. To maintain consistency, TSA developed the analyses with a method similar to that

used for the break-even analyses conducted in earlier DHS rules. After estimating the total consequences of each scenario by

monetizing lives lost, injuries incurred, and capital replacement, TSA will use this figure and the annualized cost of the final rule

to calculate the frequency of attacks averted in order for the final rule to break even.

Risks: The Department of Homeland Security aims to prevent terrorist attacks within the United States and to reduce the

vulnerability of the United States to terrorism. By requiring security programs for certain aircraft repair stations, TSA will focus

on preventing unauthorized access to repair work and to aircraft to prevent sabotage or hijacking.

Timetable:

Action Date FR Cite

Notice--Public Meeting; Request for Comments 02/24/2004 69 FR 8357 

Report to Congress 08/24/2004 

NPRM 11/18/2009 74 FR 59873 

NPRM Comment Period Extended 12/29/2009 74 FR 68774 

NPRM Comment Period End 01/19/2010 

NPRM Extended Comment Period End 02/19/2010 
Final Rule 03/00/2013 

Regulatory Flexibility Analysis Required: Business Government Levels Affected: No

Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Celio Young 

Program Manager, Repair Stations

Department of Homeland Security

Transportation Security Administration

Office of Transportation Sector Network Management, General Aviation Division, TSA-28, HQ, E5, 601 South 12th Street,

Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-3580 

FAX: 571 227-1362

E-Mail: celio.young@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Linda L. Kent 

Assistant Chief Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-126S, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-2675 

FAX: 571 227-1381

E-Mail: linda.kent@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA08

 View Related Documents

Title: Protection of Sensitive Security Information (SSI)

Abstract: The Transportation Security Administration (TSA) will issue a rulemaking document responding to comments received

on the interim final rule (IFR) issued May 18, 2004. In the IFR, published jointly with the Office of the Secretary of

Transportation (OST) in May 2004, TSA revised its Sensitive Security Information (SSI) regulations to expand the 2002

regulatory framework governing information generally related to aviation security to cover information related to security in

maritime transportation, consistent with the security framework required by the U.S. Coast Guard's regulations implementing the

Maritime Transportation Security Act (MTSA). This expansion was the main theme of the IFR. However, the IFR also continued

TSA's 2002 regulations coverage for vulnerability assessments and, with some changes, certain other SSI for all modes. TSA

and OST issued a technical amendment to the IFR in January 2005 to address provisions of the regulations that inadvertently

restricted sharing of SSI. Specifically, the amendment removed the limiting words "aviation or maritime" from 49 CFR 15.11 and

49 CFR 1520.11 in order to clearly permit the sharing of vulnerability assessments and other documents properly designated as

SSI with covered persons who meet the need-to-know requirements regardless of mode of transportation.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 49 CFR 15; 49 CFR 1520 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 114; 49 USC 5103; 49 USC 40119; 49 USC 44901 to 44907; 49 USC 44913 and 44914; 49 USC

44916 to 44918; 49 USC 44935 and 44936; 49 USC 44942; 49 USC 46105

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:
Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule; Request for Comments 05/18/2004 69 FR 28066 

Interim Final Rule Effective 06/17/2004 

Interim Final Rule; Comment Period End 07/19/2004 

Technical Amendment 01/07/2005 70 FR 1379 

Notice--Information Collection; 60-Day Renewal 02/14/2007 72 FR 7059 

Notice--Information Collection; 30-Day Renewal 06/18/2007 72 FR 33511 

Additional Information: Joint rulemaking with Department of Transportation, Office of the Secretary (RIN No. 2105-AD33)

Transferred from RIN 2110-AA10

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 1652-AA05; Related to 1652-AA49 Related Agencies: Joint: DOT; Joint: OST

Agency Contact: Holly Dickens 

Deputy Chief, Sensitive Security Information (SSI) Program

Department of Homeland Security

Transportation Security Administration

Office of Security Services & Assessments, OLE/FAMS, TSA-18, HQ, E11-123S, 601 South 12th Street, Arlington, VA 20598-

6018

Arlington , VA 20598-6018 

Phone: 571 227-3723 

E-Mail: ssi@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Amy Steiner 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-345N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-1536 

FAX: 571 227-1380

E-Mail: amy.steiner@tsa.dhs.gov

Agency Contact: Alice Crowe 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-320N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-2652 

FAX: 571 227-1379

E-Mail: alice.crowe@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA35

 View Related Documents

Title: Flight Training for Aliens and Other Designated Individuals; Security Awareness Training for Flight School Employees
Abstract: The Transportation Security Administration (TSA) will take final action on the interim final rule (IFR) issued

September 20, 2004 by completing a regulatory analysis, amending the rule to incorporate the exemptions and interpretations,

and responding to comments received. The IFR was published and effective on September 20, 2004 (69 FR 56324). The IFR

created a new part 1552, Flight Schools, in title 49 of the Code of Federal Regulations (CFR). This IFR applies to flight schools

and to individuals who apply for or receive flight training. After comments were received, exemptions and interpretations were

issued. TSA also issued a notice on April 13, 2009, that prescribes fees for processing requests from alien flight students who

take recurrent training. TSA requires flight schools to notify TSA when aliens and other individuals designated by TSA apply for

flight training or recurrent training. TSA has established standards relating to the security threat assessment process that TSA

will conduct to determine whether such individuals are a threat to aviation or national security, and thus prohibited from receiving

flight training. In addition, TSA has established a fee to cover a portion of the costs of the security threat assessments that TSA

will perform under this rule. Finally, TSA has established standards for security awareness training for certain flight school

employees. These requirements will help ensure that individuals who might use aircraft to perform terrorist attacks in the United

States do not obtain flight training that would enable them to do so. These requirements will also improve security at flight

schools.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 49 CFR 1552 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 6 USC 469(b); 49 USC 114; 49 USC 44939; 49 USC 46105

Legal Deadline: Requires the Transportation Security Administration (TSA) to establish a process to implement the

requirements of section 612(a) of Vision 100-Century of Aviation Reauthorization Act (Pub. L. 108-176, Dec. 12, 2003; 117 Stat.

2490), including the fee provisions, not later than 60 days after the enactment of the Act.

Action Source Description Date

Other Statutory section 612(a) of Vision 100 requires TSA to issue an interim final rule

within 60 days of enactment of Vision 100. 02/10/2004 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule; Request for Comments 09/20/2004 69 FR 56324 

Interim Final Rule Effective 09/20/2004 

Interim Final Rule; Comment Period End 10/20/2004 

Notice--Information Collection; 60-Day Renewal 11/26/2004 69 FR 68952 

Notice--Information Collection; 30-Day Renewal 03/30/2005 70 FR 16298 

Notice--Information Collection; 60-Day Renewal 06/06/2008 73 FR 32346 

Notice--Information Collection; 30-Day Renewal 08/13/2008 73 FR 47203 

Notice--Alien Flight Student Program Recurrent Training Fees 04/13/2009 74 FR 16880 

Notice-Information Collection; 60-Day Renewal 09/21/2011 76 FR 58531 

Notice-Information Collection; 30-Day Renewal 01/31/2012 77 FR 4822 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Related to 1652-AA61

Agency Contact: Patrick Eager 

Program Manager, Alien Flight Student Program

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E3, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-4524 

E-Mail: patrick.eager@tsa.dhs.gov

Agency Contact: Chang Ellison 

Acting Section Chief, Aviation

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E3-302N, 601 South 12th Street, Arlington, VA 20598-6028
Arlington , VA 20598-6028 

Phone: 571 227-3604 

FAX: 571 227-1903

E-Mail: chang.ellison@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Denise Daniels 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-127S, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3443 

FAX: 571 227-1381

E-Mail: denise.daniels@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA49

 View Related Documents

Title: Ronald Reagan Washington National Airport: Enhanced Security Procedures for Certain Operations

Abstract: The Interim Final Rule (IFR), published by the Transportation Security Administration (TSA) on July 19, 2005, creates

a new part 1562, subpart B, for General Aviation (GA), in title 49 of the Code of Federal Regulations (CFR). TSA plans to

publish a final rule to respond to the public comments and close out this rulemaking. The IFR restores access to Ronald Reagan

Washington National Airport (DCA) for certain aircraft operations, while maintaining the security of critical Federal Government

and other assets in the Washington, DC, Metropolitan Area. From September 11, 2001, until the IFR became effective on

August 18, 2005, general aviation aircraft operations had been prohibited at DCA. This rule applies to all passenger aircraft

operations into or out of DCA, except foreign air carrier operations functioning under 49 CFR part 1546.101(a) or (b) and U.S.

air carrier operations operating under a full security program required by 49 CFR part 1544. The rule establishes security

procedures for GA aircraft operators and gateway airport operators, and security requirements relating to crewmembers,

passengers, and armed security officers onboard aircraft operating to or from DCA.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 49 CFR 1520; 49 CFR 1540; 49 CFR 1562 (To search for a specific CFR, visit the Code of Federal Regulations

) 

Legal Authority: 46 USC 70102 to 70106; 46 USC 70117; 49 USC 114; 49 USC 5103; 49 USC 40113 and 40114; 49 USC

44901 to 44907; 49 USC 44913 and 44914; 49 USC 44916 to 44918; 49 USC 44935 and 44936; 49 USC 44942; 49 USC

46105

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule; Request for Comments 07/19/2005 70 FR 41586 

Interim Final Rule Effective 08/18/2005 

Notice--Information Collection; Approval and 60-Day Renewal 08/26/2005 70 FR 50391 

Interim Final Rule; Comment Period End 09/19/2005 
Notice--Information Collection; 30-Day Renewal 10/26/2005 70 FR 61831 

Notice--Information Collection; 60-Day Renewal 10/20/2008 73 FR 62304 

Notice - Information Collection; 60-Day Renewal 02/29/2012 77 FR 12321 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Undetermined

Small Entities Affected: Business; Organizations Federalism: No

Energy Affected: No

Related RINs: Related to 1652-AA08

Agency Contact: Kerwin Wilson 

Acting Assistant General Manager, General Aviation Security

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-3788 

E-Mail: kerwin.wilson@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Denise Daniels 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-127S, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-3443 

FAX: 571 227-1381

E-Mail: denise.daniels@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA50

 View Related Documents

Title: Drivers Licensed by Canada or Mexico Transporting Hazardous Materials To and Within the United States

Abstract: The Interim Final Rule (IFR), published by the Transportation Security Administration (TSA) on August 7, 2006,

announced that a commercial motor vehicle driver licensed in Canada or Mexico who holds a Free and Secure Trade (FAST)

program card may use that card as an acceptable credential to transport placarded amounts of hazardous materials or any

quantity of a material listed as a select agent or toxin in 42 CFR part 73 within the United States. The Safe, Accountable,

Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) requires that, as of August 10, 2006,

commercial motor vehicle drivers licensed in Canada or Mexico who transport hazardous materials in the United States must

undergo a background check similar to the one required of U.S.-licensed operators with a hazardous materials endorsement

(HME) on a commercial driver's license (CDL). This rule announced TSA's determination that the background check required to

obtain a credential under the FAST program meets the background check requirements of SAFETEA-LU. The interim rule also

removed TSA's preexisting 49 CFR 1572.201 procedures for commercial drivers licensed in Canada who transport explosives

into the United States (see RIN 1652-AA16).

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 49 CFR 1572.201 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 5103a(h)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:
Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule, Part VI 08/07/2006 71 FR 44874 

Interim Final Rule Effective 08/10/2006 

Interim Final Rule; Comment Period End 10/06/2006 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Related to 1652-AA16

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: John Vergelli 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

DHS, TSA, Office of the Chief Counsel, TSA-2, HQ, E12-309N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-4416 

FAX: 571 227-1378

E-Mail: john.vergelli@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA54

 View Related Documents

Title: Sensitive Security Information: Disclosure in Federal Civil Court Proceedings

Abstract: The Transportation Security Administration (TSA) is withdrawing this action to revise its regulations governing the

protection of Sensitive Security Information (SSI), which would have codified procedures for access to specific SSI in Federal

district court proceedings for civil litigants or their counsel who do not currently have a need to know SSI, if certain requirements

are met. TSA anticipates a review of procedures in the future and will pursue rulemaking at that time. Sensitive Security

Information is primarily information that would be detrimental to transportation security or safety if publicly disclosed. This

proposed rule would have codified an administrative process by which a limited number of individuals representing parties in

Federal civil court proceedings would apply to TSA for access to SSI for use in the litigation, implementing section 525(d) of the

U.S. Department of Homeland Security (DHS) Appropriations Act of 2007.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 49 CFR 1515; 49 CFR 1520 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 49 USC 114; PL 109-295, sec 525; PL 110-161, sec 522; PL 110-329, sec 510; PL 111-83, sec 510

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:
Timetable:

Action Date FR Cite

Withdrawn 10/01/2012 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Holly Dickens 

Deputy Chief, Sensitive Security Information (SSI) Program

Department of Homeland Security

Transportation Security Administration

Office of Security Services & Assessments, OLE/FAMS, TSA-18, HQ, E11-123S, 601 South 12th Street, Arlington, VA 20598-

6018

Arlington , VA 20598-6018 

Phone: 571 227-3723 

E-Mail: ssi@tsa.dhs.gov

Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Amy Steiner 

Attorney, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-345N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-1536 

FAX: 571 227-1380

E-Mail: amy.steiner@tsa.dhs.gov

Department of Homeland Security (DHS) 

Transportation Security Administration ( TSA ) RIN: 1652-AA64

 View Related Documents

Title: Air Cargo Screening

Abstract: Section 1602 of the Implementing Recommendations of the 9/11 Commission Act of 2007 mandates that 100

percent of air cargo transported on passenger aircraft, operated by an air carrier or foreign air carrier in air transportation or

intrastate air transportation, be screened by August 2010, to ensure the security of all such passenger aircraft carrying cargo.

To meet this mandate, the Transportation Security Administration (TSA) issued an Interim Final Rule (IFR), on September 16,

2009, that established the Certified Cargo Screening Program (CCSP) that certifies shippers, manufacturers, and other entities

to screen air cargo intended for transport on a passenger aircraft. Under this rulemaking, each certified cargo screening facility

(CCSF) and its employees and authorized representatives that will be screening cargo must successfully complete a security

threat assessment. The CCSF must also submit to an assessment of their security measures by TSA-approved validators,

screen cargo using TSA-approved methods, and initiate strict chain-of-custody measures to ensure the security of the cargo

throughout the supply chain prior to tendering it for transport on passenger aircraft.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Yes Unfunded Mandates: Private Sector

CFR Citation: 49 CFR 1520; 49 CFR 1522; 49 CFR 1540; 49 CFR 1544; 49 CFR 1548 and 1549 (To search for a specific

CFR, visit the Code of Federal Regulations ) 

Legal Authority: PL 110-53, sec 1602; 49 USC 114; 49 USC 40113; 49 USC 44901 to 44905; 49 USC 44913 to 44914; 49

USC 44916; 49 USC 44935 to 44936; 49 USC 46105

Legal Deadline: Section 1602 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub. L. 110-53,

121 Stat. 266, 478, Aug. 3, 2007) requires that the Secretary of Homeland Security establish a system to screen 50 percent of

cargo on passenger aircraft NLT 18 months after the date of enactment and 100 percent of such cargo NLT 3 years after the

date of enactment. The 9/11 Act also requires that TSA issue a final rule NLT 1 year after the effective date of the interim final

rule (Nov. 2010).

Action Source Description Date

Other Statutory Screen 50 percent of cargo on passenger aircraft. 02/03/2009 
Other Statutory Screen 100 percent of cargo on passenger aircraft. 08/03/2010 

Other Statutory 1 year after effective date of the interim final rule. 11/03/2010 

Regulatory Plan:

Statement of Need: TSA is establishing a system to screen 100 percent of cargo transported on passenger aircraft uplifted in

the United States. The system shall require, at a minimum, that equipment, technology, procedures, personnel, or other

methods approved by the Administrator of TSA, used to screen cargo transported on passenger aircraft, provide a level of

security commensurate with the level of security for the screening of passenger checked baggage.

Legal Basis: 49 U.S.C. 114; section 1602 of the Implementing Recommendations of the 9/11 Commission Act of 2007 (Pub.

L. 110-53, 121 Stat. 266, 478, 10/3/2007), codified at 49 U.S.C. 44901(g).

Alternatives: The Interim Final Rule (IFR) states that as an alternative to establishing the CCSP, TSA considered meeting the

statutory requirements by having aircraft operators screen cargo intended for transportation on passenger aircraft--that is,

continuing the current cargo screening program but expanding it to 85 percent of air cargo on passenger aircraft, with the

remaining 15 percent assumed to be shipped via other modes. Under this alternative, the cost drivers are screening equipment,

personnel for screening, training of personnel, and delays. Delays are the largest cost component, totaling $7.0 billion over 10

years, undiscounted. In summary, the undiscounted 10-year cost of the alternative is $11.1 billion, and discounted at 7 percent,

the cost is $7.7 billion.

Costs and Benefits: TSA estimates the cost of the rule will be $1.9 billion (discounted at 7 percent) over 10 years. TSA

analyzed the alternative of not establishing the Certified Cargo Screening Program (CCSP) and, instead, having aircraft

operators and air carriers perform screening of all cargo transported on passenger aircraft. Absent the CCSP, the estimated

cost to aircraft operators and air carriers is $7.7 billion (discounted at 7 percent) over 10 years. The bulk of the costs for both

the CCSP and the alternative are attributed to personnel and the impact of cargo delays resulting from the addition of a new

operational process. The qualitative benefits of the final rule are four-fold. First, passenger air carriers will be more firmly

protected against an act of terrorism or other malicious behaviors by the screening of 100 percent of cargo shipped on

passenger aircraft. Second, allowing the screening process to occur throughout the supply chain via the Certified Cargo

Screening Program will reduce potential bottlenecks and delays at the airports. Third, the final rule will allow market forces to

identify the most efficient venue for screening along the supply chain, as entities upstream from the aircraft operator may apply

to become CCSFs and screen cargo. Finally, the CCSP enables members to screen valuable cargo earlier in the supply chain

and avoid any potentially invasive screening that may occur at the aircraft operator level. TSA uses a break-even analysis to

assess the tradeoff between the beneficial effects of the final rule and the costs of implementing the rulemaking. This breakeven analysis uses four attack scenarios to determine the degree to which the final rule must reduce the overall risk of a

terrorist attack in order for the expected benefits of the final rule to justify the estimated costs. For its analyses, TSA uses

scenarios with varying levels of risk, but only details the consequence estimates. To maintain consistency, TSA developed the

analyses with a method similar to that used for the break-even analyses conducted in earlier DHS rules. After estimating the

total consequences of each scenario by monetizing lives lost and capital replacement, TSA will use this figure and the

annualized cost of the final rule to calculate the frequency of attacks averted in order for the final rule to break even.

Risks:

Timetable:

Action Date FR Cite

Interim Final Rule; Request for Comments 09/16/2009 74 FR 47672 

Interim Final Rule Comment Period End 11/16/2009 

Interim Final Rule Effective 11/16/2009 

Final Rule; Request for Comments 08/18/2011 76 FR 51848 

Final Rule; Correction 08/25/2011 76 FR 53080 

Final Rule; Comment Period End 09/19/2011 

Final Rule Effective 09/19/2011 

Final Rule; Reopening of Comment Period 09/30/2011 76 FR 60755 

Final Rule; Reopened Comment Period End 10/31/2011 

Notice - Information Collection; 60 Day Renewal 02/24/2012 77 FR 11146 

Notice 05/23/2012 77 FR 30542 

Notice Effective Date 06/22/2012 77 FR 30542 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Federalism: No

Energy Affected: No

Agency Contact: George Creech 

Acting Branch Chief, Air Cargo Policy & Plans

Department of Homeland Security

Transportation Security Administration

Office of Security Policy & Industry Engagement, TSA-28, HQ, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2414 

E-Mail: george.creech@dhs.gov
Agency Contact: Dominick S. Caridi 

Director, Regulatory and Economic Analysis

Department of Homeland Security

Transportation Security Administration

Office of Security Policy and Industry Engagement, TSA-28, HQ, E10-419N, 601 South 12th Street, Arlington, VA 20598-6028

Arlington , VA 20598-6028 

Phone: 571 227-2952 

FAX: 703 603-0404

E-Mail: dominick.caridi@tsa.dhs.gov

Agency Contact: Alice Crowe 

Senior Counsel, Regulations and Security Standards Division

Department of Homeland Security

Transportation Security Administration

Office of the Chief Counsel, TSA-2, HQ, E12-320N, 601 South 12th Street, Arlington, VA 20598-6002

Arlington , VA 20598-6002 

Phone: 571 227-2652 

FAX: 571 227-1379

E-Mail: alice.crowe@tsa.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA44

 View Related Documents

Title: Amendment to Accommodate Process Changes with SEVIS II Implementation

Abstract: This proposed rule will incorporate language supporting a major reprogramming of SEVIS, known as SEVIS II,

including setup and use of DHS accounts for F/M/J nonimmigrants, designated school officials (DSOs) and responsible officers

(ROs); requirements for DSO training, electronic signatures; limited new reporting responsibilities; and a variety of

miscellaneous system-related clarifications.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 214.3; 8 CFR 214.4 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1356(m); PL 107-56; PL 107-173

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 07/00/2013 

Additional Information: Includes Retrospective Review under E.O. 13563

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Related RINs: Related to 1653-AA42

Agency Contact: Katherine H. Westerlund 

Acting Unit Chief, SEVP Policy, Student and Exchange Visitor Program

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., STOP 5600, Washington, DC 20536-5600

Washington , DC 20536-5600 

Phone: 703 603-3414 

E-Mail: katherine.h.westerlund@ice.dhs.gov
Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA63

 View Related Documents

Title: Adjustments to Limitations on Designated School Official Assignment and Study By F-2 and M-2 Nonimmigrants

Abstract: The proposed rule would revise 8 CFR parts 214.2 and 214.3. First, it would provide additional flexibility to schools in

determining the number of designated school officials (DSOs) to nominate for the oversight of the school's campuses where

international students are enrolled. Current regulation limits the number of DSOs to 10 per school, or 10 per campus in a multicampus school. Second, the proposed rule would permit F-2 and M-2 spouses and children accompanying academic and

vocational nonimmigrant students with F-1 or M-1 nonimmigrant status to enroll in study at an SEVP-certified school so long as

any study remains less than a full course of study.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 8 CFR 214.2(f)(15); 8 CFR 214.3(a); 8 CFR 214 (To search for a specific CFR, visit the Code of Federal

Regulations ) 

Legal Authority: 8 USC 1101 to 1103; 8 USC 1182; 8 USC 1184

Legal Deadline: None

Regulatory Plan:

Statement of Need: The Department of Homeland Security proposes to amend its regulations under the Student and

Exchange Visitor Program to improve management of international student programs and increase opportunities for study by

spouses and children of nonimmigrant students. The proposed rule would grant school officials more flexibility in determining the

number of designated school officials (DSOs) to nominate for the oversight of campuses. The rule also would provide greater

incentive for international students to study in the United States by permitting accompanying spouses and children of academic

and vocational nonimmigrant students with F-1 or M-1 nonimmigrant status to enroll in less than a full course of study at an

SEVP-certified school.

Legal Basis:

Alternatives:

Costs and Benefits: The anticipated costs of the NPRM derive from the existing requirements for the training and reporting to

DHS of additional DSOs. The primary benefits of the NPRM are providing flexibility to schools in the number of DSOs allowed

and providing greater incentive for international students to study in the United States by permitting accompanying spouses and

children of academic and vocational nonimmigrant students in F-1 or M-1 status to enroll in study at a SEVP-certified school so

long as they are not engaged in a full course of study.

Risks:

Timetable:

Action Date FR Cite

NPRM 03/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Related RINs: Previously Reported as 1615-AA19

Agency Contact: Katherine H. Westerlund 

Acting Unit Chief, SEVP Policy, Student and Exchange Visitor Program

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., STOP 5600, Washington, DC 20536-5600

Washington , DC 20536-5600 

Phone: 703 603-3414 

E-Mail: katherine.h.westerlund@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA64

 View Related Documents

Title: Optional Practical Training for F-1 Nonimmigrant Students With Prior STEM Degrees

Abstract: Through this change in regulation, the Department of Homeland Security proposes to enable F-1 nonimmigrant

students on post-completion optional practical training (OPT) to qualify for the 17-month extension based on either a prior
STEM (science, technology, engineering, or mathematics) degree or the most recent degree granted if in a STEM field.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 8 CFR 214.2(f) (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1102

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Agency Contact: Katherine H. Westerlund 

Acting Unit Chief, SEVP Policy, Student and Exchange Visitor Program

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., STOP 5600, Washington, DC 20536-5600

Washington , DC 20536-5600 

Phone: 703 603-3414 

E-Mail: katherine.h.westerlund@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA65

 View Related Documents

Title: Standards To Prevent, Detect and Respond to Sexual Abuse and Assault in Confinement Facilities

Abstract: The Department of Homeland Security (DHS) proposes to issue regulations setting detention standards to prevent,

detect, and respond to sexual abuse and assault in DHS confinement facilities.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 6 CFR 115 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 301; 5 USC 552; 5 USC 552a; 8 USC 1103; 8 USC 1182; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need: The purpose of this rulemaking is to propose regulations setting standards to prevent, detect, and

respond to sexual abuse in Department of Homeland Security (DHS) confinement facilities. The proposed standards build on

current U.S. Immigration and Customs Enforcement (ICE) Performance Based National Detention Standards (PBNDS) and

other DHS detention policies, and respond to the President's May 17, 2012 Memorandum, "Implementing the Prison Rape

Elimination Act," which directs all agencies with Federal confinement facilities to work with the Attorney General to propose

rules or procedures setting standards to prevent, detect, and respond to sexual abuse in confinement facilities.

Legal Basis:

Alternatives:

Costs and Benefits: The NPRM would impose standards to prevent, detect, and respond to sexual abuse and assault in DHS

confinement facilities. These facilities consist of immigration detention facilities and holding facilities. The proposed standards

would impose new requirements for some facilities and codify current requirements for other facilities. Such standards will

require Federal, State, and local agencies, as well as private entities that operate confinement facilities, to incur costs in
implementing and complying with those standards. The primary benefit of the NPRM would be improvements to the prevention,

detection, and response to sexual abuse and assault. DHS will follow DOJ methodology for monetizing the value of preventing

sexual abuse incidents, which includes consideration for costs of medical and mental health care treatment as well as pain,

suffering, and diminished quality of life, among other factors. DHS will use a break-even analysis to assess the trade-off

between the beneficial effects of the NPRM and the costs of implementing the rulemaking. The break-even analysis uses the

monetized estimates of incidents avoided to determine the degree to which the NPRM must reduce the annual incidence of

sexual abuse for the costs of compliance to break even with the monetized benefits of the standards. This does not include nonmonetizable benefits of sexual abuse avoidance. The NPRM will include a Regulatory Impact Assessment.

Risks:

Timetable:

Action Date FR Cite

NPRM 12/00/2012 

NPRM Comment Period End 02/00/2013 

Regulatory Flexibility Analysis Required: Governmental

Jurisdictions Government Levels Affected: Federal; Local; State

Federalism: No

Agency Contact: Alexander Hartman 

Regulatory Coordinator

Department of Homeland Security

U.S. Immigration and Customs Enforcement

500 12th Street SW., Washington, DC 20536

Washington , DC 20536 

Phone: 202 732-6202 

E-Mail: alexander.hartman@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA66

 View Related Documents

Title: New Treasury Determination of Interest Rate for Cash Deposits to Secure Immigration Bonds

Abstract: The Department proposes to amend its regulations at 8 CFR part 293 addressing the payment of interest on cash

bond deposits to reflect a recent determination made by the Department of the Treasury (Treasury) to change the interest rate.

The proposed rule would change the interest rate paid on cash deposited to secure immigration bonds from a fixed rate of 3

percent per annum to a fluctuating "T-Bill rate," as determined each quarter by Treasury, but not exceeding 3 percent per

annum. The rule would better reflect market conditions for interest payments and reduce the amount of interest paid by the

Government on cash bond deposits. By statute, Treasury is authorized to set the interest rate paid on immigration bond cash

deposits provided that the rate does not exceed 3 percent per annum. 8 U.S.C. 1363.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: No

CFR Citation: 8 CFR 293 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1363

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 04/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Agency Contact: Beth Cook 
Associate Legal Advisor

Department of Homeland Security

U.S. Immigration and Customs Enforcement

166 Sycamore Street, Suite 200, Williston, VT 05495

Williston , VT 05495 

Phone: 802 288-7742 

E-Mail: beth.cook@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA67

 View Related Documents

Title: Procedures for Declining To Accept Immigration Bonds Underwritten by Treasury-Certified Surety Companies and Their

Agents Acting as Co-Obligors

Abstract: The Department proposes to amend 8 CFR 103.6 to set forth standards and procedures ICE will follow before

making a determination to stop accepting immigration bonds posted by a surety company that has been certified to issue bonds

by the Department of the Treasury or by an agent acting as a co-obligor with the surety. On March 17, 2011, Treasury

published a proposed rule, Surety Companies Doing Business with the United States, that would amend 31 CFR part 223. See

76 FR 15692-02. This proposed rule would grant agencies the authority to decline bonds from a Treasury-certified surety for

cause, such as when the surety owes unpaid, administratively-final bond debts to the Agency. When Treasury's proposed rule is

final, the Department intends to publish a proposed rule allowing ICE to decline additional immigration bonds from surety

companies and/or their agents when they have failed to pay administratively-final debts or have an unacceptably high breach

rate. The rule would include due process protections for the companies such as advance written notice of the Agency's intention

to decline future bonds, an explanation of the reasons supporting the proposed non-acceptance of the bonds, an opportunity to

respond, and an opportunity to cure the defects. This action would include provisions similar to those in withdrawn actions 1653–

AA20 and 1653–AA45.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 8 CFR 103.6 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 06/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: No

Federalism: No

Agency Contact: Beth Cook 

Associate Legal Advisor

Department of Homeland Security

U.S. Immigration and Customs Enforcement

166 Sycamore Street, Suite 200, Williston, VT 05495

Williston , VT 05495 

Phone: 802 288-7742 

E-Mail: beth.cook@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA68

 View Related Documents
Title: Classification and Clarification of Form I-9 Substantive and Technical or Procedural Paperwork Failures and Violations

Abstract: The Department of Homeland Security (DHS), U.S. Immigration and Customs Enforcement (ICE) proposes to amend

its regulations to classify and clarify certain Form I-9, Employment Eligibility Verification (Form I-9) paperwork failures and

violations set forth in the good faith compliance provision of section 411 of the Illegal Immigration Reform and Immigrant

Responsibility Act of 1996 (IIRIRA), Public Law 104-208. This proposed rule would define a substantive violation, and a

technical or procedural failure. The proposed rule further would revise the current DHS regulations that delineate the

circumstances in which an employer may be subject to penalties for substantive violations, or may not be subject to penalties for

technical or procedural failures, due to the good faith compliance provision when completing the Form I-9 regardless of the

method of creation, retention, and storage of the Form I-9.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Undetermined Unfunded Mandates: Undetermined

CFR Citation: 8 CFR 274a (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1324a

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 05/00/2013 

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Federal

Federalism: No

Agency Contact: Rachel Ross 

Section Chief

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., Washington, DC 20024

Washington , DC 20024 

Phone: 703 603-3651 

E-Mail: rachel.ross@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA62

 View Related Documents

Title: Addition of Law Enforcement Specialists

Abstract: U.S. Immigration and Customs Enforcement is revising 8 CFR parts 103 and 287 to add a new job classification,

"law enforcement specialist," to the list of immigration officer positions in section 103.1(b), the list of immigration officers

authorized to exercise arrest power in section 287.5(c), and the list of immigration officers authorized to issue detainers in

section 287.7(b). This revision is necessary to increase efficiencies and optimize Agency resources.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 287 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1187

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:
Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 04/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Undetermined

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Alexander Hartman 

Regulatory Coordinator

Department of Homeland Security

U.S. Immigration and Customs Enforcement

500 12th Street SW., Washington, DC 20536

Washington , DC 20536 

Phone: 202 732-6202 

E-Mail: alexander.hartman@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA09

 View Related Documents

Title: Protection and Assistance for Victims of Trafficking

Abstract: This rule amends 28 CFR and sets forth implementing guidance for section 107(c) of the Victims of Trafficking and

Violence Protection Act of 2000. The Secretary, the Attorney General, and the Secretary of State are promulgating these

regulations for Federal law enforcement and Department of State (DOS) officials regarding the protection of victims of severe

forms of trafficking who are in custody, the access of such victims to information about their rights and translation services, and

the training of appropriate DHS and DOS personnel in identifying and protecting such victims. The rule also addresses the

authority of Federal law enforcement officials to permit the continued presence in the United States of certain victims of severe

forms of trafficking who are potential witnesses in order to aid prosecutions.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 28 CFR 1100 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 552; 5 USC 552a; 8 USC 1101; 8 USC 1103 and 1104; 8 USC 1252; 22 USC 7101; 22 USC 7105; ...

Legal Deadline: 

Action Source Description Date

Other Statutory Statutory deadline for promulgation of regulations. 04/28/2001 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 

Interim Final Rule 07/24/2001 66 FR 38514 

Interim Final Rule Comment Period End 10/22/2001 

Additional Information: INS No. 2133-01 Transferred from RIN 1115-AG20

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Alexander Hartman 
Regulatory Coordinator

Department of Homeland Security

U.S. Immigration and Customs Enforcement

500 12th Street SW., Washington, DC 20536

Washington , DC 20536 

Phone: 202 732-6202 

E-Mail: alexander.hartman@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA13

 View Related Documents

Title: Continued Detention of Aliens Subject to Final Orders of Removal

Abstract: The U.S. Department of Homeland Security is finalizing, with amendments, the interim rule that was published on

November 14, 2001, by the former Immigration and Naturalization Service (Service). The interim rule included procedures for

conducting custody determinations in light of the U.S. Supreme Court's decision in Zadvydas v. Davis, 533 U.S. 678 (2001),

which held that the detention period of certain aliens who are subject to a final administrative order of removal is limited under

section 241(a)(6) of the Immigration and Nationality Act (Act) to the period reasonably necessary to effect their removal. The

interim rule amended section 241.4 of title 8, Code of Federal Regulations (CFR), in addition to creating two new sections: 8

CFR 241.13 (establishing custody review procedures based on the significant likelihood of the alien's removal in the reasonably

foreseeable future) and 241.14 (establishing custody review procedures for special circumstances cases). Subsequently, in the

case of Clark v. Martinez, 543 U.S. 371 (2005), the Supreme Court clarified a question left open in Zadvydas, and held that

section 241(a)(6) of the Act applies equally to all aliens described in that section. This rule amends the interim rule to conform to

the requirements of Martinez. Further, the procedures for custody determinations for post-removal-period aliens who are subject

to an administratively final order of removal, and who have not been released from detention or repatriated, have been revised

in response to comments received and experience gained from administration of the interim rule published in 2001. This final

rule also makes conforming changes as required by the enactment of the Homeland Security Act of 2002 (HSA). Additionally,

certain portions of the final rule were determined to require public comment and, for this reason, have been developed into a

separate/companion notice of proposed rulemaking; RIN 1653-AA60.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 241 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 and note; 8 USC 1102; 8 USC 1103; 8 USC 1182 and note; 8 USC 1184; 8 USC 1185 note; 8

USC 1187; 8 USC 1223; 8 USC 1225; 8 USC 1226; 8 USC 1227; 8 USC 1231; 8 USC 1253; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need: This rule will improve the post-order custody review process in the final rule related to the Detention of

Aliens Subject to Final Orders of Removal in light of the U.S. Supreme Court's decisions in Zadvydas v. Davis, 533 U.S. 678

(2001), Clark v. Martinez, 543 U.S. 371 (2005) and conforming changes as required by the enactment of the Homeland Security

Act of 2002 (HSA). A companion notice of proposed rulemaking (NPRM) will propose to amend 8 CFR 241.1(g) to provide for a

new 90-day removal period once an alien comes into compliance with his or her obligation to make timely application in good

faith for travel or other documents and not conspire or act to prevent removal.

Legal Basis:

Alternatives:

Costs and Benefits: The changes are administrative and procedural in nature, and will not result in cost impacts to the public.

These changes will allow for expedited review of the post-order custody review process.

Risks:

Timetable:

Action Date FR Cite

Final Action 

Interim Final Rule 11/14/2001 66 FR 56967 

Interim Final Rule Comment Period End 01/14/2002 

Additional Information: INS No. 2156-01 Transferred from RIN 1115-AG29

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Alexander Hartman 
Regulatory Coordinator

Department of Homeland Security

U.S. Immigration and Customs Enforcement

500 12th Street SW., Washington, DC 20536

Washington , DC 20536 

Phone: 202 732-6202 

E-Mail: alexander.hartman@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA30

 View Related Documents

Title: Extending the Period of Duration of Status for Certain F and J Nonimmigrant Aliens

Abstract: This interim rule amended DHS regulations to provide that the Secretary may publish a notice to extend the duration

of status, under specified conditions, of certain F-1 and J-1 nonimmigrant aliens who may be affected adversely because the

numerical limit (cap) on H-1B nonimmigrant aliens has been reached prior to the end of a given fiscal year. This rule was a

necessary stopgap measure because of a large number of F-1 and J-1 nonimmigrant aliens seeking a change of nonimmigrant

status to that of H-1B after completion of their studies or their program. However, many of these aliens were unable to change

their nonimmigrant status for the remainder of a given fiscal year because of the cap on H-1B petitions. This rule allows such

aliens to avoid a lapse in their status because of a circumstance that is not under their control.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 214 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101; 8 USC 1103; 8 USC 1182; 8 USC 1184; 8 USC 1186; ...

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

Interim Final Rule 06/15/1999 64 FR 32146 

Interim Final Rule Comment Period End 08/16/1999 

Additional Information: CIS No. 1992-99 Transferred from RIN 1615-AA27

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Related RINs: Previously Reported as 1115-AF54

Agency Contact: Katherine H. Westerlund 

Acting Unit Chief, SEVP Policy, Student and Exchange Visitor Program

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., STOP 5600, Washington, DC 20536-5600

Washington , DC 20536-5600 

Phone: 703 603-3414 

E-Mail: katherine.h.westerlund@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA31

 View Related Documents
Title: Requiring Certification of All Service-Approved Schools for Enrollment in the Student and Exchange Visitor Information

System (SEVIS)

Abstract: This rule continues the implementation of the process by which schools may be approved to obtain access to the

Student and Exchange Visitor Information System (SEVIS). On October 30, 2001, President George W. Bush issued Homeland

Security Directive No. 2 requiring DHS to conduct periodic reviews of all institutions certified to receive nonimmigrant students.

The Enhanced Border Security and Visa Entry Reform Act of 2002, Public Law 107-173 enacted May 14, 2002, also requires a

periodic review of school approvals. This rule governs the review and certification process that DHS uses to approve schools to

enroll foreign students. While DHS had in place an existing process for certifying and decertifying schools, DHS requires all

previously approved schools to apply for certification in accordance with these new mandates cited above, prior to being allowed

to enroll in SEVIS.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 103; 8 CFR 214 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 5 USC 552 to 552a; 8 USC 1101; 8 USC 1103; 8 USC 1304; 8 USC 1356; 31 USC 1907; EO 12356

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Action 

Interim Final Rule 09/25/2002 67 FR 60107 

Interim Final Rule Effective 09/25/2002 

Interim Final Rule Comment Period End 11/25/2002 

Additional Information: CIS No. 2217-02 Transferred from RIN 1115-AG71

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Energy Affected: No

Related RINs: Previously Reported as 1115-AG71

Agency Contact: Katherine H. Westerlund 

Acting Unit Chief, SEVP Policy, Student and Exchange Visitor Program

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., STOP 5600, Washington, DC 20536-5600

Washington , DC 20536-5600 

Phone: 703 603-3414 

E-Mail: katherine.h.westerlund@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA56

 View Related Documents

Title: Extending Period for Optional Practical Training by 17 Months for F-1 Nonimmigrant Students With STEM Degrees and

Expanding the CAP-GAP Relief for All F-1 Students With Pending H-1B Petitions

Abstract: Currently, foreign students in F-1 nonimmigrant status who have been enrolled on a full-time basis for at least one

full academic year in a college, university, conservatory, or seminary certified by U.S. Immigration and Custom Enforcement's

(ICE) Student and Exchange Visitor Program (SEVP) are eligible for 12 months of optional practical training (OPT) to work for a

U.S. employer in a job directly related to the student's major area of study. The maximum period of OPT is 29 months for F-1

students who have completed a science, technology, engineering, or mathematics (STEM) degree and accept employment with

employers enrolled in U.S. Citizenship and Immigration Services' (USCIS') E-Verify employment verification program. Employers

of F-1 students with an extension of post-completion OPT authorization must report to the student's designated school official

(DSO) within 48 hours after the OPT student has been terminated from, or otherwise leaves, his or her employment with that

employer prior to end of the authorized period of OPT. The final rule will respond to public comments and may make
adjustments to the regulations.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 8 CFR 214 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1101 to 1103; 8 USC 1182; 8 USC 1184 to 1187; 8 USC 1221; 8 USC 1281 and 1282; 8 USC 1301

to 1305

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Final Rule 

Interim Final Rule 04/08/2008 73 FR 18944 

Interim Final Rule Comment Period End 06/09/2008 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

RIN Information URL: www.dhs.gov/sevis/

Agency Contact: Katherine H. Westerlund 

Acting Unit Chief, SEVP Policy, Student and Exchange Visitor Program

Department of Homeland Security

U.S. Immigration and Customs Enforcement

Potomac Center North, 500 12th Street SW., STOP 5600, Washington, DC 20536-5600

Washington , DC 20536-5600 

Phone: 703 603-3414 

E-Mail: katherine.h.westerlund@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA60

 View Related Documents

Title: Continued Detention of Aliens Subject to Final Orders of Removal

Abstract: This notice of proposed rulemaking (NPRM) is proposing to amend the Department of Homeland Security (DHS)

regulatory provisions for custody determinations for aliens in immigration detention who are subject to an administratively final

order of removal. The proposed rule would also clarify the removal period time frame afforded to the Agency following an alien's

compliance with his or her obligations regarding removal subsequent to a period of obstruction or failure to cooperate, and clarify

the removal period time frame when an order of removal becomes administratively final before the alien comes into DHS

custody.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 8 CFR 241 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 8 USC 1223; 8 USC 1227; 8 USC 1231; 8 USC 1253

Legal Deadline: None

Regulatory Plan:

Statement of Need: The companion final rule will improve the post-order custody review process in the final rule related to

the Detention of Aliens Subject to Final Orders of Removal in light of the U.S. Supreme Court's decisions in Zadvydas v. Davis,

533 U.S. 678 (2001), Clark v. Martinez, 543 U.S. 371 (2005) and conforming changes as required by the enactment of the

Homeland Security Act of 2002 (HSA). This notice of proposed rulemaking (NPRM) will propose to amend 8 CFR 241.1(g) to

provide for a new 90-day removal period once an alien comes into compliance with his or her obligation to make timely

application in good faith for travel or other documents and not conspire or act to prevent removal.
Legal Basis:

Alternatives:

Costs and Benefits: This proposed rule will clarify the regulatory provisions concerning the removal of aliens that are subject

to an administratively final order of removal. DHS does not anticipate there will be cost impacts to the public as a result of the

rule.

Risks:

Timetable:

Action Date FR Cite

NPRM 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Related RINs: Related to 1653-AA13

Agency Contact: Alexander Hartman 

Regulatory Coordinator

Department of Homeland Security

U.S. Immigration and Customs Enforcement

500 12th Street SW., Washington, DC 20536

Washington , DC 20536 

Phone: 202 732-6202 

E-Mail: alexander.hartman@ice.dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA20

 View Related Documents

Title: Technical Amendments Relating to Immigration Bonds

Abstract: When DHS receives a cash bond, it is deposited into an account where interest is accumulated from the date the

bond is posted to the date that the bond is paid out. If a cancelled cash bond is unclaimed after a year, the principal and any

accumulated interest are transferred to the U.S. Department of the Treasury account entitled "Payments of Unclaimed Moneys

of Individuals Whose Whereabouts Are Unknown." This regulation concerns the computation of interest on cash bonds. It does

not mention the Treasury Department requirement concerning the disposition of funds from unclaimed cash bonds. Since some

cash bonds obligors have questioned the curtailment of interest a year after the bond is cancelled, we believe that this

regulation should include language that clarifies the Department's requirement to comply with Treasury's regulation.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 8 CFR 293 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 31 USC 1322; 31 USC 9308

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Withdrawn 10/02/2012 

Additional Information: INS No. 2258-03 Transferred from RIN 1115-AG97

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Lori Genest 
Burlington Finance Center

Department of Homeland Security

U.S. Immigration and Customs Enforcement

P.O. Box 5000, Williston, VT 05495

Williston , VT 05495 

Phone: 802 288-7600 

E-Mail: lori.genest@dhs.gov

Department of Homeland Security (DHS) 

U.S. Immigration and Customs Enforcement ( USICE ) RIN: 1653-AA45

 View Related Documents

Title: Strengthening Control Over Immigration Surety Bonds

Abstract: The Department continues to experience problems collecting the funds for breached surety bonds. Several surety

companies and/or their bonding agents continue to circumvent administrative remedies to address immigration surety bond

claims sent out by the Department and have evaded the judicial review process. This rule proposes to strengthen the

Department's control over the collection of immigration surety bonds by improving current DHS procedures and by providing the

Department with stronger enforcement measures. Specifically, this rule will require surety companies and bonding agents to

exhaust administrative remedies by using the Department's appeal procedures, as a prerequisite to challenging the

Department's actions under the Administrative Procedure Act, before seeking judicial review of DHS actions. Also, this rule limits

the exposure of the Department in cases when bonding agents have acted improperly or when authorities have been denied by

their corporate principals and encourages surety companies and bonding agents to respond early if there are any issues or

disputes with the Department's claim. Further, the rule formalizes DHS' reporting requirements to the Department of Treasury

and provides notification to the Treasury of high-dollar volume of unpaid debt over 90 days old. Lastly, the rule adds an

enforcement measure to suspend acceptance of surety bonds from bonding agents and/or surety companies that have large

unpaid balances or who do not otherwise respond to DHS invoices. This rule is necessary to ensure that the Department

receives funds owed by the surety companies.

Priority: Other Significant Agenda Stage of Rulemaking: Completed Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 8 CFR 103 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 8 USC 1103; 8 USC 1356; 31 USC 9701; 31 USC 9305; PL 104-208

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Withdrawn 10/02/2012 

Additional Information: Prior RIN 1653-AA16 was withdrawn in Spring 2004 Agenda.

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Small Entities Affected: No Federalism: No

Agency Contact: Lori Genest 

Burlington Finance Center

Department of Homeland Security

U.S. Immigration and Customs Enforcement

P.O. Box 5000, Williston, VT 05495

Williston , VT 05495 

Phone: 802 288-7600 

E-Mail: lori.genest@dhs.gov

Department of Homeland Security (DHS) 
Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA21

 View Related Documents

Title: Management Costs

Abstract: Section 324 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act) requires FEMA to

promulgate regulations establishing management cost rates for grantees and subgrantees. Management cost rates are used to

determine the maximum amount of funds provided to grantees and subgrantees to reimburse the indirect costs, administrative

expenses, and other expenses not directly chargeable to a specific project incurred by the grantees and subgrantees in the

management and administration of Stafford Act grants. FEMA established management cost rates and procedures in a 2007

interim final rule. As a result of public comments, FEMA will propose substantive revisions to the rate structure, the rates

themselves, and the application process as well as expand the scope of the rule to allow for the reimbursement of management

costs incurred for FEMA's Crisis Counseling Program.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 206; 44 CFR 207 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5165(b)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/30/2002 67 FR 56130 

NPRM Comment Period End 09/30/2002 

Interim Final Rule 10/11/2007 72 FR 57869 

Interim Final Rule Comment Period End 11/13/2007 

Interim Final Rule Effective 11/13/2007 

Reopening Comment Period 08/29/2008 73 FR 50881 

Reopening Comment Period End 09/29/2008 

Notice of Meeting and Reopening Comment Period 11/24/2008 73 FR 70894 

Reopening Comment Period End 12/11/2008 

Second NPRM 03/00/2013 

Additional Information: Transferred from RIN 3067-AD29; Docket ID FEMA-2006-0035

Regulatory Flexibility Analysis Required: No Government Levels Affected: Local; State; Tribal

Small Entities Affected: Governmental Jurisdictions Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Lumumba Yancey 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-1000 

FAX: 202 212-1005

E-Mail: fema-ia-regulations@fema.dhs.gov

Agency Contact: James A. Walke 

Mitigation Directorate

Department of Homeland Security

Federal Emergency Management Agency

1800 South Bell Street, Arlington, VA 20598-3030

Arlington , VA 20598-3030 

Phone: 202 646-2751 

FAX: 202 646-3074

E-Mail: james.walke@fema.dhs.gov
Agency Contact: William W. Roche 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-2340 

E-Mail: william.roche@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA73

 View Related Documents

Title: Public Assistance Cost Estimating Format for Large Projects

Abstract: In this rule the Federal Emergency Management Agency (FEMA) proposes the implementation of the Cost

Estimating Format (CEF) as the standard estimating procedure for large permanent work projects authorized under the Public

Assistance program. FEMA also proposes to implement set ceiling and floor thresholds of plus or minus 10 percent. Under this

rule, FEMA would reimburse an applicant for the portion of an overrun that is greater than the 10 percent ceiling threshold, but

FEMA would not reimburse an applicant for an overrun that is more than the CEF estimate but less than the 10 percent ceiling

threshold. If there is an underrun, an applicant would retain the portion of the underrun that is less than the 10 percent floor

threshold to use for mitigation activities, but would return the portion of the underrun that is greater than the 10 percent floor

threshold.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Proposed Rule

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 206 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5172(e)(3)(C)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 02/00/2013 

Additional Information: Formerly 1660-AA33

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; Local; State

Federalism: No

Energy Affected: No

Agency Contact: William W. Roche 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-2340 

E-Mail: william.roche@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA76

 View Related Documents
Title: Debris Removal: Increased Federal Cost Share and Eligibility of Force Account Labor Straight-Time Costs Under the

Public Assistance Program

Abstract: The Fiscal Year 2007 Department of Homeland Security Appropriations Act authorized a Public Assistance Pilot

Program intended to reduce the costs to the Federal government of providing assistance to States and local governments;

increase flexibility in the administration of assistance; and expedite the provision of assistance under the Robert T. Stafford

Disaster Relief and Emergency Assistance Act. Due to the success of the Pilot Program, this rule proposes to implement two

debris-related Public Assistance Pilot procedures: it proposes to provide the opportunity for a 5 percent Federal cost share

increase for debris removal projects for those Public Assistance applicants that have submitted a debris management plan to

FEMA and have pre-qualified two or more debris and wreckage removal contractors, and it proposes to allow for the

reimbursement of the straight- or regular time salaries and benefits of the employees of Public Assistance applicants who

perform disaster-related debris and wreckage removal work.

Priority: Other Significant Agenda Stage of Rulemaking: Proposed Rule

Major: Yes Unfunded Mandates: No

CFR Citation: 44 CFR 206.228; 44 CFR 206.47 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5170b(a)(3)(A); 42 USC 5173; 42 USC 5192(a)(5)

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 05/00/2013 

Regulatory Flexibility Analysis Required: No Government Levels Affected: No

Federalism: No

Energy Affected: No

Related RINs: Related to 1660-AA75

Agency Contact: William W. Roche 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-2340 

E-Mail: william.roche@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA68

 View Related Documents

Title: Housing Assistance Due to Structural Damage

Abstract: Under the authority of section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as

amended (Stafford Act), the Federal Emergency Management Agency (FEMA) provides grants to individuals and households to

repair or replace their homes after a Presidentially declared major disaster or emergency. FEMA proposes to revise its repair,

replacement, and housing construction assistance regulations to clarify the eligibility criteria for assistance and implement

changes to section 408 of the Stafford Act that were made by the Post-Katrina Emergency Management Reform Act of 2006.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 206 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5174

Legal Deadline: None

Regulatory Plan:
Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 07/30/2012 77 FR 44562 

NPRM Comment Period End 09/28/2012 

Final Action 08/00/2013 

Additional Information: Docket ID FEMA-2010-0035

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; State

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Lumumba Yancey 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-1000 

FAX: 202 212-1005

E-Mail: fema-ia-regulations@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA75

 View Related Documents

Title: Debris Removal: Eligibility of Force Account Labor Straight-Time Costs Under the Public Assistance Program for

Hurricane Sandy

Abstract: The Fiscal Year 2007 Department of Homeland Security Appropriations Act authorized a Public Assistance Pilot

Program intended to reduce the costs to the Federal Government of providing assistance to States and local governments;

increase flexibility in the administration of assistance; and expedite the provision of assistance under the Robert T. Stafford

Disaster Relief and Emergency Assistance Act. Due to the current pressing need for efficient and timely recovery from a

catastrophic disaster event, Hurricane Sandy, which has cast widespread debris over a major portion of the eastern seaboard of

the United States, this rule implements one of the debris-related Public Assistance Pilot procedures: it allows for the

reimbursement of the straight- or regular time salaries and benefits of the employees of Public Assistance applicants who

perform disaster-related debris and wreckage removal work for any major disaster or emergency declared by the President on

or after October 27, 2012, in response to Hurricane Sandy.

Priority: Other Significant Agenda Stage of Rulemaking: Final Rule

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 206 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5121 to 5207

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:
Action Date FR Cite

Interim Final Rule 11/09/2012 77 FR 67285 

Interim Final Rule Comment Period End 01/08/2013 

Additional Information: Includes Retrospective Review under E.O. 13563

Regulatory Flexibility Analysis Required: Undetermined Government Levels Affected: Federal; Local; State; Tribal

Federalism: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Related RINs: Related to 1660-AA76

Agency Contact: William W. Roche 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-2340 

E-Mail: william.roche@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA18

 View Related Documents

Title: Disaster Assistance; Federal Assistance to Individuals and Households

Abstract: This rulemaking implements section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act. In

doing so, the notice of proposed rulemaking would propose further revisions to 44 CFR part 206, subpart D (the Individuals and

Households Program) and remove subpart E (Individual and Family Grant Programs). Among other things, it would propose to

implement section 689 of the Post-Katrina Emergency Management Reform Act of 2006 (PKEMRA), which is related to

individuals with disabilities. It would also propose to revise FEMA's regulations to allow for the payment of security deposits and

the costs of utilities, excluding telephone service. Additionally, the rule would propose to implement section 689f of PKEMRA by

authorizing assistance to relocate individuals displaced from their pre-disaster primary residence, to and from alternate locations

for short- or long-term accommodations.

Priority: Economically Significant Agenda Stage of Rulemaking: Long-term Action

Major: Undetermined Unfunded Mandates: No

CFR Citation: 44 CFR 206 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5174

Legal Deadline: 

Action Source Description Date

Other Statutory 10/15/2002 

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

NPRM 01/23/2002 67 FR 3412 

NPRM Comment Period End 03/11/2002 

Interim Final Rule 09/30/2002 67 FR 61446 

Corrections 10/09/2002 67 FR 62896 

Corrections Effective 10/09/2002 

Interim Final Rule Effective 10/15/2002 

Interim Final Rule Comment Period End 04/15/2003 

Additional Information: Transferred from RIN 3067-AD25; Docket ID FEMA-2008-0005
Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; State

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Lumumba Yancey 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-1000 

FAX: 202 212-1005

E-Mail: fema-ia-regulations@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA28

 View Related Documents

Title: National Flood Insurance Program (NFIP); Assistance to Private Sector Property Insurers

Abstract: This rule amends the Financial Assistance/Subsidy Arrangement (the Arrangement) between FEMA and the private

sector insurers that sell and service flood insurance. Among other things, the rule establishes when FEMA is responsible for

litigation costs and when the insurers are responsible, and clarifies issues of jurisdiction and choice of law when the insurers are

sued.

Priority: Other Significant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 62 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 4001 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

NPRM 10/14/2003 68 FR 59146 

NPRM Comment Period End 11/13/2003 

Interim Final Rule 07/30/2004 69 FR 45607 

Interim Final Rule Comment Period End 09/28/2004 

Interim Final Rule Effective 10/01/2004 

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: No Federalism: No

Energy Affected: No

Agency Contact: Edward L. Connor 

Federal Insurance and Mitigation Administration

Department of Homeland Security

Federal Emergency Management Agency

1800 South Bell Street, Arlington, VA 20598-3010

Arlington , VA 20598-3010 

Phone: 202 646-3429 

FAX: 202 646-7970

E-Mail: edward.connor@fema.dhs.gov
Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA47

 View Related Documents

Title: Disaster Assistance; Public Assistance Repetitive Damage

Abstract: The Disaster Mitigation Act of 2000 reduced the Federal cost share of Federal Emergency Management Agency

(FEMA) Public Assistance for public and certain private nonprofit facilities repetitively damaged in the preceding 10 years by the

same type of event and for which appropriate hazard mitigation had not been implemented. This final rule implements a reduced

Federal cost share to provide an incentive for applicants to mitigate repetitive damage, promote measures that reduce future

loss to life and property, protect Federal investment in public infrastructure, and help build resilient communities.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Long-term Action

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 206.226 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5172

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

Next Action Undetermined 

NPRM 08/11/2009 74 FR 40124 

NPRM Comment Period End 10/13/2009 

Additional Information: Docket ID FEMA-2008-0006

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal; Local; State; Tribal

Small Entities Affected: Governmental Jurisdictions Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: William W. Roche 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-2340 

E-Mail: william.roche@fema.dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA09

 View Related Documents

Title: National Flood Insurance Program (NFIP); Insurance Coverage and Rates

Abstract: The Federal Emergency Management Agency (FEMA) is withdrawing a previously published Notice of Proposed

Rulemaking (NPRM) concerning National Flood Insurance Program (NFIP) insurance premium rates for structures that have

suffered multiple flood losses. The proposed rule would have required owners of such structures to pay a higher premium for

flood insurance if they declined an offer of funding to eliminate or reduce future flood damage. FEMA is withdrawing the NPRM

because it has been superseded by legislation.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No
CFR Citation: 44 CFR 61 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 4001 et seq

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:

Action Date FR Cite

NPRM 08/05/1999 64 FR 42632 

NPRM Comment Period End 09/07/1999 

NPRM-Notice of Withdrawal 05/30/2012 77 FR 31814 

Additional Information: Transferred from RIN 3067-AD02; Docket ID FEMA-2011-0037

Regulatory Flexibility Analysis Required: No Government Levels Affected: Federal

Small Entities Affected: No Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Thomas Hayes 

Federal Insurance and Mitigation Administration

Department of Homeland Security

Federal Emergency Management Agency

1800 South Bell Street, Arlington, VA 20598-3020

Arlington , VA 20598-3020 

Phone: 202 646-3419 

FAX: 202 646-7970

E-Mail: thomas.hayes@dhs.gov

Department of Homeland Security (DHS) 

Federal Emergency Management Agency ( FEMA ) RIN: 1660-AA23

 View Related Documents

Title: Disaster Assistance; Crisis Counseling Regular Program; Amendment to Regulation

Abstract: Under the authority of section 416 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, as

amended, the Federal Emergency Management Agency (FEMA) provides grants for crisis counseling and treatment assistance

to individuals after a presidentially declared major disaster. This rule finalizes, without change, current interim regulations which

establish the requirements and procedures for FEMA's Crisis Counseling Assistance and Training Program.

Priority: Substantive, Nonsignificant Agenda Stage of Rulemaking: Completed Action

Major: No Unfunded Mandates: No

CFR Citation: 44 CFR 206 (To search for a specific CFR, visit the Code of Federal Regulations ) 

Legal Authority: 42 USC 5121 to 5207

Legal Deadline: None

Regulatory Plan:

Statement of Need:

Legal Basis:

Alternatives:

Costs and Benefits:

Risks:

Timetable:
Action Date FR Cite

Applicability Date 09/11/2001 

Interim Final Rule 03/03/2003 68 FR 9899 

Interim Final Rule Effective 03/03/2003 

Interim Final Rule Comment Period End 05/02/2003 

Final Rule 05/16/2012 77 FR 28786 

Final Rule Effective 06/15/2012 

Additional Information: Transferred from RIN 3067-AD32; Docket ID FEMA-2010-0064

Regulatory Flexibility Analysis Required: No Government Levels Affected: Local; State; Tribal

Small Entities Affected: Governmental Jurisdictions Federalism: No

Energy Affected: No

RIN Information URL: www.regulations.gov Public Comment URL: www.regulations.gov

Agency Contact: Lumumba Yancey 

Recovery Directorate

Department of Homeland Security

Federal Emergency Management Agency

500 C Street SW., Washington, DC 20472-3100

Washington , DC 20472-3100 

Phone: 202 212-1000 

FAX: 202 212-1005

E-Mail: fema-ia-regulations@fema.dhs.gov