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Department of Homeland Security Directives System Instruction Number: 023-01-001-01 Revision: 01



# Instruction Manual on Implementation of the National Environmental Policy Act (NEPA)

Department of Homeland Security Directives System Instruction Number: 023-01-001-01 Revision 01



# Issue Date:DRAFT FOR PUBLIC COMMENT

i 

## Table of Contents

I. List of Acronyms ..................................................................................................... I-1
II. Definitions ............................................................................................................. II-1
III. Introducti on ....................................................................................................... III-1
IV. Managing NEPA Implementation

...................................................................... IV-1
A. Decision-Making and Integration of NEPA with DHS Missi ons ......................... IV-1
B. Primary Point of Cont act within Components ................................................... IV-2
C. Activities Requiring Notification to SEP ............................................................ IV-2
D. Collaborat ion .................................................................................................... IV-4
E. Dispute Reso lution ........................................................................................... IV-4
F. EP&HP Decision Support System (EP&H P DSS)

............................................ IV-5
G. Public Invo lvement ........................................................................................... IV-6
H. Use of Contractors

.......................................................................................... IV-10
I. Performance Metrics and Reporting Requ irements ........................................ IV-10
J. Review of Other A gency NEPA Do cuments ................................................... IV-10
K. Component Supplemental Instructions and Delegation ofAuthority ............... IV-11
L. Administrative Reco rd Requir ements ............................................................. IV-15
V. Procedures for Impl ementing NEPA .....................................................................V-1
A. Overview of NEPA Requirements

......................................................................V-1
B. Categorical Exclusions and Ex traordinary Cir cumstances ................................V-4
C. Environmental Assessm ents .............................................................................V-7
D. Environmental Im pact Stat ement s ...................................................................V-12
E. Mitigation and Monito ring ................................................................................V-17
F. Cooperating and Joint Lead A gency Relati onships .........................................V-18
G. NEPA Analysis and Writ ing .............................................................................V-19
VI. Emergency Ac tions ...........................................................................................VI-1
A. Secure Lives and Pr otect Pr operty ...................................................................VI-1
B. Determine Applicab ility of NEPA ......................................................................VI-1
C. Notification to SEP

............................................................................................VI-1
D. Determine Level of NEPA Evalua tion ...............................................................VI-1
VII. Review of Applications from Persons or Organizations Outside of DHS ......... VII-1 Appendix A. DHS List of Categor ical Excl usions .....................................................A-1DRAFT FOR PUBLIC COMMENT

ii Appendix B. List of Environmental Planning Requirements other than NEPA ......... B-1 Appendix C. Record of Environmental Cons ideration (REC) Template for Categorically Excl uded Actions ................................................................................... C-1DRAFT FOR PUBLIC COMMENT

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### I. List of Acronyms

CATEX Categorical Exclusion CEQ Council on Environmental Quality CFR Code of Federal Regulations DEIS Draft Environmental Impact Statement DHS Department of Homeland Security

EA Environmental Assessment EIS Environmental Impact Statement
EO Executive Order EPA Environmental Protection Agency

EP&HP Environmental Planni ng and Historic Preservation

EP&HP DSS EP&HP Decision Support System

EPPM Environmental Planning Program Manager
FEIS Final Environmental Impact Statement
FOIA Freedom of Information Act FONSI Findings of No Significant Impact FR Federal Register HQ Headquarters MOA Memorandum of Agreement NEPA National Environmental Policy Act NOA Notice of Availability
NOI Notice of Intent
OCRSO Office of the Chie f Readiness Support Officer
OGC Office of the General Counsel
OPA Office of Public Affairs PEA Programmatic Envi ronmental Assessment PEIS Programmatic Environm ental Impact Statement
REC Record of Environmental ConsiderationDRAFT FOR PUBLIC COMMENT

I-2 ROD Record of Decision SEA Supplemental Environmental Assessment SEIS Supplemental Environm ental Impact Statement SEP Sustainability and En vironmental Programs
U.S. United States
U.S.C. United States CodeDRAFT FOR PUBLIC COMMENT

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### II. Definitions

All definitions contai ned in the Council on Environmental Quality (CEQ) Regulations for Implementing the Procedural Provisions ofthe National Environmental Policy Act (NEPA) (40 Code of Federal Regulations [CFR] Parts 1500-1508) apply to this Instruction Manual. Definitions from the CE Q regulations of some of the terms and phrases that are more commonly used in this Instruction Manual ar e provided below for ease of reference. Additional terms and phras es not defined in the CEQ regulations are defined below.
Action : A plan, project, program, policy, rule, regulation, procedure, or legislative proposal, as discussed at 40 C.F.R. §1508.18, subject to DHS's control and responsibility. Projects include actions approv ed by permit or other regulatory decision as well as Federally-assisted activities (e.g., grants). Best Management Practices : Generally accepted and applie d measures or practices to lessen the adverse effects of actions on the human environment (e.g., control stormwater flowing through a construction si te to reduce impacts to water quality). Categorical Exclusion (CATEX) : As defined in 40 C.F.R. §1508.4, activities that do not need to undergo detailed environment al analysis in an EA or EIS because the activities have been determined to not individually or cumu latively have a significant effect on the human environment. Agencies can define categor ies of such activities as a way to reduce unnecessary paperwork and delay. CATE Xs are defined by, and are unique to, each Federal agency; at DHS they may be es tablished for the Department as a whole or for an individual Component. Component: As defined in DHS Directive 252-01, Organization of the Department of Homeland Security, any organization which reports directly to the Office of the Secretary of DHS when approved as such by t he Secretary. This is inclusive of both Operational Component s and Support (also known as H eadquarters) Components. For purposes of this Instruction, the Office of the Secretary al so constitutes a Component. The list of major Components making up DHS is available on the DHS website at https://www.dhs.gov/department-components

. Component Supplemental Instructions : A written policy-type document that describes how a Component implements the requirements of DHS Directive 023-01, and this Instruction Manual with in their respective organizati on. Criteria for Component Supplemental Instructions are provided in Section IV, Part K. Cooperating Agency : As defined in 40 C.F.R. §1508.5, any Federal agency other than a lead agency which has jurisdiction by law orspecial expertise with respect to any environmental impact involved in a proposal (o r a reasonable alternative) for legislation or other major Federal ac tion significantly affecti ng the quality of the human environment. Participation of Cooperating A gencies is not limited to the preparation of Environmental Impact Statement s; it may also be appropria te for Cooperating Agencies to participate in the preparation of Environmental Assessments. Council on Environmental Quality (CEQ) : Title II of NEPA established a council in the Executive Office of the President to overse e implementation of t he Act. The Council isDRAFT FOR PUBLIC COMMENT

II-2 appointed by the President with the advice and consent of t he Senate. The President designates the Chairman. CEQ’s respons ibilities include appraising Federal Government programs and activities in light ofthe policy set forth in Title I of NEPA and formulating and recommending national policies to promote improvem ent of the quality of the environment. Cumulative Impact: As defined in 40 C.F.R. §1508.7, the impact on the environment which results from the in cremental impact of an acti on when added to other past, present, and reasonably foreseeable future actions regardless of what agency (Federal or non-Federal) or person undertakes such other actions. Cumulative impacts can result from individually minorbut collectively significant actions taking place over a period of time.
Decision-Maker : See Proponent. Department: The Department of Homeland Security, which, unless otherwise specified includes all components thereof.
Effects : As defined in 40 C.F.R. §1508.8, effe cts of proposed actions includes ecological (such as the effe cts on natural resources and on the components, structures, and functioning of affected ecosystems), aesthet ic, historic, cultural, economic, social, or health, whether direct, indi rect, or cumulative. Effe cts may also include those resulting from actions which may have both benef icial and detrimental effects. “Effects” and “impacts” as used in the CEQ regul ations and this Instruction Manual are synonymous. Effects of National Concern : Effects that because of the hi gh quality or function of the affected resource or because of the wi de geographic range of effects could create concern beyond the locale or region of a pr oposed action, as well as effects that may occur in multiple geographic regions of t he U.S. from a program of proposed actions. Emergency : A natural or man-made disaster or other phenomenon of an exceptional, inevitable, and irresistible character demandi ng immediate action for the protection of human life, public safety, public health, or th e environment, and avoidance of significant loss of property if it relates to one of the other factors. This includes but is not limited to situations triggering emergen cy and major disaster declarations by the President under the Stafford Act. See also 40 C.F.R. §1506.11. Emergency Action : Any action needed to respond to or control the immediate impacts of an emergency. This definition does not include long-term recovery actions. Environmental Assessment (EA) : As defined in 40 C.F.R. §1508.9, a concise public document for which a Federal agency is res ponsible that serves to: briefly provide sufficient evidence and analysis for determi ning whether to prepare an Environmental Impact Statement or a Findi ng of No Significant Impac t, aid an agency's compliance with NEPA when no Environmental Impact Statement is necessary, and facilitate preparation of an Environmental Impact Statement when one is necessary. Environmental Impact Evaluation : The process of determining the level of significance of a potential impact on the hum an environment. It includes all of the necessary studies, consultation, and public involvement needed to analyze the potential for environmental impact of a proposed action, a ssign a value to the level of impact (e.g.DRAFT FOR PUBLIC COMMENT

II-3 minor, moderate, or major), c onsider mitigation, and determine the level of significance; whether significant or not. An environment al impact evaluation results in either the application of a Categorical Exclusion or documentatio n in the form of a final Environmental Assessment and Finding ofNo Significant Impact or a final Environmental Impact Statement. An envir onmental impact evaluation is a necessary and major part of the NEPA process (defined in 40 C.F. R. §1508.21) but normally not fully inclusive of the NEPA process. “Environmental impact evaluation” and “environmental analysis” as used in this Instruction Manual are synonymous. Environmental Impact Statement (EIS) : As defined in 40 C.F. R. §1508.11, a detailed written statement as required by section 102(2)(C) of NEPA. Environmental Planning & Historic Preservation Decision Support System (EP&HP DSS) : An automated system to standardize and improve the efficiency and effectiveness of NEPA analyses of proposed actions within DHS. Environmental Planning Program Manager (EPPM) : As designated in a Component’s approved Supplemental Instructions, the prim ary point of contact in a Component who is responsible for coordination with SEP on NE PA matters and who has the authority to oversee the implementation of DHS Directive 023-01 and this Instruction Manual in their respective organization. For Components that do not have an EPPM, Director SEP serves as their EPPM. Environmentally Sensitive Area : An area designated by law, regulation, or executive order that merits special protection or st ewardship because of its value as a natural, historic, or cultural resource. Examples in clude, but are not limit ed to: (1) proposed or designated critical habitat for threatened orendangered species; (2) properties listed or eligible for listing on the National Registerof Historic Places; and (3) areas having special designation or recognition such as prime or unique agricultural lands, coastal zones, designated wilderness or wilderness study areas, wild and scenic rivers, 100 year floodplains, wetlands, sole source aquife rs, Marine Sanctuaries, National Wildlife Refuges, National Parks, National Monum ents, essential fish habitat, etc. Finding of No Significant Impact (FONSI) : As defined in 40 C.F.R. §1508.13, a document by a Federal agency briefly presenting the reasons why an action, not otherwise excluded (40 C.F.R. §1508.4), will not have a signifi cant effect on the human environment and for which an environmental impact statement th erefore will not be prepared.
Human Environment : As defined in 40 C.F.R. §1508.14, the natural and physical environment and the relationship of people with that environment. Impacts : See effects.
Indian Tribe or Native American Tribe or Tribe : Any Indian tribe, band, nation, pueblo, or other organized gr oup or community, including any Alaska native entity, which is Federally-recognized by the Secretary of the Interior through listing by the Bureau of Indian Affairs. Jurisdiction by Law : As defined in 40 C.F.R. §1508.15, an agency’s authority to approve, veto, or finance all or part of a proposal.DRAFT FOR PUBLIC COMMENT

II-4 Lead Agency : As defined in 40 C.F.R. §1508.16, the agency or agencies preparing or having taken primary responsibil ity for preparing an EA or EIS. Major Federal Action : As defined in 40 C.F.R. §1508.18, actions with effects that may be major and which are potentially subject to Federal control and res ponsibility. Major reinforces but does not have a meaning in dependent of significantly (40 C.F.R. §1508.27). Actions include the circumstance where the responsible officials fail to act and that failure to act is reviewable by c ourts or administrativ e tribunals under the Administrative Procedure Act or other applicable law as age ncy action. See 40 C.F.R. §1508.18 for the full definition. Mitigation : An action or series of actions, which may be ongoing and sustained, to reduce the probability of, or lessen the impact ofan adverse effect on the quality of the human environment. The following examples of ways to miti gate impacts to the human environment are provided in 40 C.F.R. §1508.20: (a) avoiding the impact altogether by not taking a certain action or parts of an action; (b) minimizing impacts by limiting the degree or magnitude of the acti on and its implementation; (c ) rectifying the impact by repairing, rehabilitating, orrestoring the affected env ironment; (d) reducing or eliminating the impact over time by preservation and main tenance operations during the life of the action; (e) compensating for the im pact by replacing or providing substitute resources or environments. Mitigation may also include the utilization of best management practices and adapt ive management approaches. National Environmental Policy Act (NEPA) : Public Law 91-190, as amended, declares a national policy which encour ages productive and enjoyable harmony between humans and the environment. NEPA requires Federal officials to consider environmental values alongside technical and economic considerations in their decision-making.
NEPA document : A DHS REC, EA, SEA, PEA, FONS I, NOA, NOI, EIS, SEIS, PEIS, Legislative EIS, ROD, or any other document prepared pursuant to a requirement of NEPA, the CEQ Regulations, DHS Directive 023- 01, or this Instruction Manual. This includes environmental documents as defined in 40 C.F.R. §1508.10. NEPA process : The effort required to systemat ically address the environmental stewardship and compliance requirements set fo rth in NEPA during program and project planning, development, and design; and prior to execution of a proposed action for the purpose of protecting, sustaining, or rest oring the quality of t he human environment. This process consists wholly or in part of scoping, development, and consideration of the proposed action and alternatives, environment al impact evaluation, consideration of mitigation and monitoring its success, cons ultation, and public involvement. This includes the NEPA Process as defined in 40 C.F.R. §1508.21. Notice of Availability (NOA) : A formal notice published in the Federal Register announcing the issuance and public availability of a draft or final EIS. The EPA published NOA is the official pub lic notification of an EIS.
Notice of Intent : As defined in 40 C.F.R. §1508.22, a notice that an environmental impact statement will be prepared and considered.DRAFT FOR PUBLIC COMMENT

II-5 Office of the Chief Readin ess Support Officer (OCRSO) : Office that supports the Departmental CRSO, which is organizationallylocated in the Management Directorate at DHS Headquarters (HQ), as defined in DHS Directive 0100, Organization of the Office of the Under Secretary for Managemen t, and DHS Directive 0004, Administrative Services Line of Business Integration and Management, and any successions to these Directives. Office of the General Counsel (OGC) : Office that supports the General Counsel (defined in DHS Directive 252-01), who is t he chief legal officer and the final legal authority within DHS, and has t he authority to participate in and decide any legal matter within DHS (except for matters within the scope of the Inspector General's authorities). OGC includes DHS Headquarters attorneys together with the attorneys in all Component legal offices, whether denominat ed Office of Chief Counsel, Office of Principal Legal Advisor, Office of t he Judge Advocate General or otherwise. Proponent: A DHS Federal employee who is the i dentified program orproject manager for a proposed action that is subject to NEPA review. The Proponent is also the decision-maker for the proposed action. The Proponent is responsible for defining the reason why a proposed action is needed, and has the immediate authority to decide a course of action or has the authority to recommend a course of action, from among options, to the next higher organizational leve l (e.g., district to region, region to headquarters) for approval. The Proponent also normally has authority to establish the total estimate of resource requirements fo r the proposed action or, in the execution phase, has the authority to dire ct the use of resources. The Proponent does not have to personally perform the environm ental impact evaluation or have NEPA expertise, but is responsible for ensuring NEPA compliance before committing DHS to a particular course of action; this includes responsibil ity (with support from their respective EPPM) for the completion of any appr opriate NEPA documentation. Record of Decision (ROD) : The concise public record described in 40 C.F.R. §1505.2 that is prepared to conclude the proce ss of preparing an Environmental Impact Statement. The ROD need not be a unique orseparate document, when a formal public record of a decision is otherwise i ssued, as long as the formal public record meets the requirements of 40 C.F.R. §1505.2. For example, grant award documents or permits may suffice for a ROD if they meet the requirements of 40 C.F.R. §1505.2. Record of Environmental Consideration (REC) : An internal DHS administrative document that records the application of a DHS CATEX (Appendix A, Table 1) to a specific proposal. A REC is required for t he application of any CA TEX identified with an asterisk in Appendix A, Table 1 of this Inst ruction Manual. RECs are normally prepared and maintained electronicallyin the EP&HP DSS. Secretary : The Secretary of the Department of Homeland Security. Significantly : As used in the NEPA process, an evaluation of significance requires consideration of both context and intensity. Context means that the significance of an action must be analyzed in several contexts su ch as society as a whole, the affected region, the affected interests, and the locality. Significance varies with the setting of the proposed action. Intensity refe rs to the severity of impa ct. See 40 C.F.R. §1508.27 for the full definition.DRAFT FOR PUBLIC COMMENT

II-6 Special expertise : As defined in 40 C.F.R. §1508.26, an agency’s statutory responsibility, mission, or re lated program experience. Sustainability and Environmental Programs (SEP) : A program management area organizationally located in OCRSO, Managem ent Directorate, DHS Headquarters. SEP is responsible for oversight of th e implementation of NEPA across DHS.DRAFT FOR PUBLIC COMMENT

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### III. Introduction
This Department of Homeland Security (DHS ) “Instruction Manual on Implementation of the National Environmental Policy Act (NEPA) (Instruction 023- 01-001-01),” together with DHS Directive 023-01, “I mplementation of the National Environmental Policy Act,” (hereafter Instruction Manual and Directive) establish t he policy and procedures DHS follows to comply with the National Environmental Policy Act of 1969 (NEPA) (42 United States Code [U.S.C.] 4321 et seq.) and t he Council on Environmental Quality (CEQ) Regulations for Implementing the Procedural Provisions of NEPA (40 C.F.R. Parts 1500-1508). This Instruction Manual serves as the DHS implement ing procedures for NEPA (as required by 40 C.F.R. Parts 1505.1 and 1507.3) which supplement the CEQ regulations and therefore must be read in conjunction with them.
NEPA is the basic charter and foundation for stewardship of environmental resources in the United States. To implem ent the policies set forth in NEPA, Congress prescribed a procedure commonly referred to as the “NEPA process” for Federal agencies to follow. The NEPA process is a planning and decisio n-making tool that helps Federal agency decision-makers systematically identify and evaluate the potent ial environmental impacts of proposed actions prior to maki ng decisions. The NEPA process encourages public involvement in decisions that would affect the quality of the human environment and includes the identificati on and evaluation of reasonable alternatives to proposed actions that would avoid or mini mize adverse environmental impacts. Generally, NEPA applies to Federal actions that affect the human environment. Within DHS, NEPA generally applies to actions to be undertaken, funded, permitted, or otherwise approved by DHS, including activities that may be wholly initiated within DHS, executed by DHS under the direction ofCongress, or proposed by persons or organizations outside of DHS that require appr oval, funding, a license, or a permit from DHS. The requirements of this Instru ction Manual apply to the exec ution of all NEPA activities across DHS. Within Components, proponents ofprograms, projects, and activities implement the requirements of the Directive and this Instru ction Manual in consultation with their respective Environmental Planni ng Program Manager (EPPM) (for a definition of EPPM, see Section II and Section IV, Part K) and Office of General Counsel (OGC), and the Director of Sustainability and Enviro nmental Programs (S EP) when appropriate. References to government organizations or regulations in this Instruction Manual include their succeeding or ganizations and requirements.DRAFT FOR PUBLIC COMMENT

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### IV. Managing NEPA Implementation

A. Decision-Making and Integrati on of NEPA with DHS Missions
DHS follows the Directive and this Instruct ion Manual to ensure that decisions are made in accordance with the policies and pr ocedures of NEPA. DHS integrates the NEPA process with other planning efforts at the earliest possi ble stage so that environmental factors are c onsidered with sufficient time to have a practical influence on the decision-making process before decisions are made. Within Components, Proponents ensure that t he appropriate NEPA analysis and documentation is completed before a decisio n is made that irretrievably commits resources or limits the choice of reasonable alternatives to satisfy an objective, fix a problem, address a weakness, or develop a program. DHS also integrates the NEPA process with review and compliance requirements under other Federal laws, regulations, Executive Orders, and other requirements for the stewardship and protection of the human environmen t, and follows CEQ guidance on such integration. These other requirements incl ude, but are not limit ed to, those listed in Appendix B. However, compliance with ot her requirements for the stewardship and protection of the human envir onment does not relieve DHS from completing the NEPA process and complying with NEPA; conversely, compliance with NEPA does not relieve DHS from complying with these other requirements. Because of the diversity of DHS, it is not feasible to describe in this Instruction Manual the decision-making process fo r every DHS program. Proposals and actions may be initiated at any level of t he DHS organization. Similarly, review and approval authority may be exercised at va rious levels depending on the nature of the action, source of funding , statutory authority, etc. In their respective decisionmaking processes, Components: (1) Consider all relevant NEPA doc uments in evaluating proposals for action; (2) Make relevant NEPA documents, co mments, and responses part of the record in formal rulemaking or adjudicatory proceedings; (3) As a proposal for action is bei ng developed, ensure that relevant NEPA documents, comments, and responses accompany the proposal through the appropriate formal project approval and decision-making processes to ensure that the NEPA analysis is considered in making a decision; and (4) As a proposal for action is being developed, ensure that the range of reasonable business and operational alte rnatives being considered are appropriately analyzed under NEPA and, when evaluating a proposal for action, that only those alternativ es discussed in the relevant NEPA documents are considered in the eval uation, unless the environmental documents are appropriately supplement ed to examine a newly developed alternative.DRAFT FOR PUBLIC COMMENT

IV-2 B. Primary Point of Contact within Components Each Component provides to Director SEP t he name of a primary point of contact for coordination of NEPA matters. For Components that seek a delegation of authority as described in Section IV, Part K, this point of contact is referred to as the EPPM.
C. Activities Requiri ng Notification to SEP Components notify SEP in writing, unless otherwise specified, of NEPA activities that meet any of criteria listed below. This notification is made at the earliest possible stage to allow for substantive involvement from SEP and, where applicable, approval by Director SEP. (1) NEPA activities for actions that ar e likely to receive high-level executive branch and/or national attention, includ ing those that are likely to require the attention of either the Deputy Se cretary or the Se cretary. This includes situations where a Com ponent intends to communicate with another Federal agency regarding the NEPA activities. SEP provides written notification to Co mponents on its level of involvement within five (5) working days of notification, or as soon as possible for emergency actions. (2) Emergency actions that would have significant environmental effects. Components notify SEP as soon as possible by any practical means, and SEP consults with CEQ as soon as possible to develop alternative arrangements for completing an Environm ental Impact Statement (EIS). Also see Section VI. (3) Emergency actions where there is the potential for significant environmental effects or where the effects are unknown and there is not sufficient time to prepare an En vironmental Assessment (EA). Components notify SEP as soon as possible by any practical means, and SEP coordinates with CEQ as soon as possible regarding an alternative approach to completing an EA. Also see Section VI. (4) NEPA disputes that cannot be resolv ed at the Component level. See the dispute resolution process in Section IV, Part E. (5) Requests for DHS review and comm ent on NEPA docum ents originating from other agencies when the receiv ing Component has a mission-related interest in the proposal, so that SEP can coordinate the request among Components to determine whether other s have a mission-related interest and need to be involved in preparing the comment. SEP acknowledges receipt and begins coordination with Components within five (5) working days of notification, or as soon as po ssible for emergency actions. If more than one Component has a mission-related interest in the proposal, SEP normally prepares a single department al response with input from the interested Components. If only one Component has a mission-related interest in the proposal, SEP normally tells the respective Component to respond directly to the requesting agency. Also see Section IV, Part J.DRAFT FOR PUBLIC COMMENT

IV-3 (6) Where a Component is the lead or jo int-lead, the following are reviewed by SEP prior to public disclosure: all No tices of Intent (NOIs) to prepare an EIS and all associated draft, final, and supplemental EISs (SEISs), all Notices of Availability (NOAs), and all proposed notices for EAs to be published in the Federal Register. SEP provides written comments to the Component within ten (10) working days of notification for EISs and five (5) working days of notification fo r NOIs, NOAs, and Federal Register notices for EAs. Also see Section V, Parts C and D. (7) When a Component has information to be posted on the DHS NEPA webpage. The information is prov ided to SEP for posting on the DHS NEPA webpage a minimum of seven (7 ) calendar days in advance of the date the Component seeks to make the information publicly available. Also see Section IV, Part G (2). (8) New or revised Component Suppl emental Instructions, including Component requests for a delegation of authority to approve NEPA documents. SEP reviews and approves new or substantively revised Component Supplemental Instructions following the process described in Section IV, Part K (2). Componen ts provide SEP with copies of nonsubstantive changes to existing appr oved Supplemental Instructions, but no formal approval by SEP is required. (9) All NEPA documents that require approval by Director SEP, unless otherwise delegated (see Section IV, Pa rt K (3)). SEP provides written comments to Components withi n ten (10) working days of notification for EAs and EISs and five (5) working da ys of notification for Records of Environmental Consideration (RECs). (10) Component proposals for changes to categorical exclusions (CATEXs), including a supporting Administrative Record for a new or substantively revised CATEX. For substantive revisions to, deletions of, or establishment of new CATEXs, SEP reviews and provides written comments to Components within ten (10) working days or begins coordination with CEQ, as appropriate . For non-substantive changes to CATEXs, SEP appropriately revises A ppendix A, Table 1. Also see Section V, Part B (3). (11) Existence of circum stances that may substant ially impair a Component’s ability to fulfill substantive requirem ents of the Directive and Instruction Manual, and Component Supplemental Instru ctions, if they exist (e.g., the departure of the Component’s EPPM or a significant proportion of staff who perform environmental planning activiti es). Also see Section IV, Part K (3). (12) Existence of a pattern of non-compliance in the Component with substantive requirements of the Directive and Instruction Manual, and Component Supplemental Instructions, if they exist. Also see Section IV, Part K (3).DRAFT FOR PUBLIC COMMENT

IV-4 D. Collaboration Collaboration among DHS personnel r egarding common NEPA issues helps promote effective and effici ent environmental planning and NEPA compliance and fosters the growth of envi ronmental planning expertise across DHS. To that end, SEP is responsible for facilitating coll aborative efforts across DHS to promote effective implementation of NEPA. SEP uses various communication methods, including email distribution lists, co mmittees, and work groups with Component representation. Through these channels, issues are surfaced, expertise from across DHS is used to develop solutions, and members are k ept apprised of and given the opportunity to provide input in to current NEPA initiatives – both those developed by DHS and those or iginating from outside DHS, such as from regulatory and oversight agencies (e.g., CEQ). The Environmental Planning and Historic Preservation Decision Support System (EP& HP DSS) (see Section IV, Part F) is also used for sharing knowledge and best practices across DHS. Components coordinate among themselves to resolve project-specific issues, with conflicts resolved through the dispute reso lution process described in Section IV, Part E. Components raise common iss ues to SEP for a determination as to whether a DHS-wide solution is needed.
E. Dispute Resolution During the NEPA process, DHS and another F ederal agency or Tribal, State or local government or the public ma y not agree on significant is sues or aspects of the NEPA review process or the proposed action . In addition, disputes may arise within DHS on aspects of the NEPA process or th e proposed action. When a significant dispute arises, Components keep a record of the positions and interests, as well as the eventual resolution of the dispute. It is DHS policy to seek resolution of N EPA disputes at the lowest organizational level possible and to follow established organi zational lines of aut hority for elevating and resolving the dispute. If a NEPA di spute cannot be resolved at the Component level, the Component requests the involv ement of Director SEP for resolution. When the issue(s) of conflic t are beyond the authority of Director SEP to resolve, the dispute is elevated to higher levels of DHS for resolution, following established organizational lines of authority. If an external dispute arises in the cont ext of a memorandum of understanding or similar interagency agreement which includes a dispute resolution provision, the terms of that dispute resolution prov ision are ordinarily followed. The CEQ regulations provide a formal Referral Pr ocess that may be used for referring interagency disagreements to CEQ regar ding proposed actions considered in an EIS that might cause unsatisfactory envir onmental effects (see 40 C.F.R. §1504). The CEQ Referral Process is only used after there have been concerted but unsuccessful attempts to resolve the di fferences between DHS and another Federal agency, including elevation of the dispute to Director SEP. When the CEQ referral process is used, the Component prepares the referral package according to the requirements in 40 C.F.R. §1504.3 and subm its the package to Director SEP, andDRAFT FOR PUBLIC COMMENT

IV-5 Director SEP submits the referral to CEQ. Al ternative Dispute Resolution, using the Institute for Environmental Conflict Resolution (see http://www.ecr.gov/) or another mediation service, is another option t hat may be used for resolving interagency disputes. Additional information on env ironmental collabor ation and conflict resolution is provided in the CEQ and OMB Memorandum on Environmental Collaboration and Conflict Re solution, 7 September 2012 ( http://ceq.hss.doe.gov/ceq_regulations/guidance.html ).
F. EP&HP Decision Support System (EP&HP DSS) The EP&HP DSS is an automated system designed to standardi ze and improve the efficiency and effectiveness of DHS revi ews of proposed actions for compliance with NEPA requirements. The system is available to anyone with access to the DHS network. Questions on the review screens in the EP&HP DSS help users determine whether a proposed action ma y impact the quality of the human environment. This helps users ensure that the appropriate level of NEPA documentation is prepared. The EP&HP DSS also ena bles knowledge sharing across DHS regarding environmental planni ng activities and requirements, is a repository for DHS NEPA documents, and is used to gather information necessary for meeting internal and ex ternal EP&HP reporting r equirements, including NEPA reporting requirements. Reference to t he EP&HP DSS in this Instruction Manual includes Version 2.0 and future vers ions of the system and any successors. The EP&HP DSS is used for the following: (1) To record the application of any CAT EX listed in Appendix A, Table 1 that is denoted with an asterisk; (2) To maintain electronic versions offinal NEPA documents, such as: RECs, EAs, EISs, Findings of No SignificantImpact (FONSIs), and Records of Decision (RODs), as well as asso ciated documents, including but not limited to Memoranda of Agreemen t, Programmatic Agreements, and Biological Assessments; and (3) As determined by Components in their Supplemental Instructions.
In instances when the EP&HP DSS is not av ailable (e.g., if the server is down), Components manually prepare a REC, using t he template provided in Appendix C. Components may propose modifications to this template in their Supplemental Instructions, provided that the Component-s pecific template remains compatible with the EP&HP DSS. Compone nts include in their Supple mental Instructions the REC template to be used to prepare a REC when the EP&HP DSS is not available. When the EP&HP DSS becomes availa ble, Components upload the manuallycompleted REC (in PDF format) into the system; no additional review conducted in the EP&HP DSS is necessary. Additional information and requi rements on use of the syst em, such as user roles and workflow, is provided online within the EP&HP DSS.DRAFT FOR PUBLIC COMMENT

IV-6 G. Public Involvement Open communication, consistent with other Federal requirements, is DHS policy. Intergovernmental collaborati on and public involvement impr ove the effectiveness of DHS missions and activities, as well as build trust between DHS and the communities it serves. In addition, collabor ation with other Federa l, Tribal, State, and local agencies, as well as non-gover nmental organizations and the general public is an effective way to identif y environmental issues that need to be considered in DHS planning and decision -making. At DHS, public involvement is used in the NEPA process to help define t he scope of issues and level of analysis. During the NEPA process, information and documents are made available to the public in conformance wit h CEQ regulations at 40 C.F.R. §1506.6. Public involvement starts early and continues th roughout the NEPA process. Components schedule sufficient time and make all reaso nable efforts to ensure that potentially interested parties are ident ified and notified and have an opportunity to provide input in a manner that could have a pr actical influence on proposed DHS actions before decisions are made. Components make information on NEPA activities available to the public through a variety ofnotification methods including, but not limited to, the Federal Register, newspap er notices, website postings, and other media as appropriate. Specifically for a dra ft or final EIS, a “Notice of Availability” (NOA) is published in the Federal R egister (see Section V, Part D (8)). In general, collaboration and public involvem ent in NEPA activities include the following three key elements: (1) seeking information fr om outside parties to help identify relevant issues; (2) presenting the results of an environmental impact evaluation for public review or comm ent, including a description of how the identified relevant issues were consider ed in the evaluation; and (3) providing a public notice of DHS’s final decision, incl uding consideration of relevant public comments.
(1) Public Involvement Requirements When DHS is the lead agency for a proposed action, DHS is responsible for the nature and extent of the public involvementeffort. Public involvement efforts are tailored to the natur e of the proposed action, the environmental impact issues of concern, and the characteristi cs of the individuals and communities to be reached. Special outreach efforts to reach affe cted minority populations and low-income populations are appropriate to ensure c onsideration of environmental justice pursuant to Executive Order (EO) 12898, Federal Actions to Address Environmental Justice in Minority Popu lations and Low-Income Populations, the CEQ guidance for consideration of environmental justice under NEPA dated December 10, 1997, and the DHS En vironmental Justice Strategy ( http://www.dhs.gov/dhs-envir onmental-justice-strategy ). Translation of NEPA documents is also appropriate to r each communities of limited-English speakers.DRAFT FOR PUBLIC COMMENT

IV-7 Coordination with affected Tribes and Na tive Hawaiian organiza tions is another requirement that can be met in conj unction with NEPA public involvement activities. Executive Order 13175, “C onsultation and Coordination with Indian Tribal Governments” directs all Federal departments to “str engthen the United States government-to-governm ent relationships with Indian tribes and establish regular and meaningful consultation and coll aboration with tribal officials in the development of Federal policies that have tribal implications...” Components consider the following fact ors to determine t he appropriate nature and extent of public involvementefforts for proposed actions: (a) The size and type of the proposed action. (b) Whether the proposed action is of in ternational, national, regional, or local interest. (c) The potential environmental im pacts of the proposed action. (d) Extent of previous environment al analysis for the proposed action and/or the geographical location where the action would occur. (e) Extent of anticipated controve rsy over the potent ial environmental effects of the proposed action, based on DHS experience with similar proposed actions. (f) Urgency of the proposed action. (g) National security classification of the proposed action. (h) The presence of Tribal, minority, or low-income populations that may be impacted by the proposed action. (i) Other laws and requirements to protect the environment that may require public review; for example, a determination of conformity with a state air quality implementation plan may require public review.
(2) DHS NEPA webpage SEP maintains a DHS NEPA webpage at http://www.dhs.gov/nepa , in accordance with DHS Office of Public Affairs (OPA) requirements, as the central location for web posting of DHS NEPA documents. Components may either provide SEP with electronic files that meet OPA requirements for posting to the DHS NEPA webpage or with links to their respective Component webpages where NEPA documents are pos ted, if the Component maintains such a webpage. Where a Component uses websites of other Federal agencies to post its NEPA documents, links to those webpages are either provided to SEP for inclusion on the DHS NEPA webpage or the Component includes the links on its own NEPA webpage. SEP submits all content for inclusion on the DHS NEPA webpage to OPA for approval. SEP manages web content in accordance with the gui delines established by OPA at http://dhsconnect.dhs.gov/org/c omp/opa/web/ Pages/default.aspxand the Office of Management and Budget’s (OMB) Policies for Federal Agency PublicDRAFT FOR PUBLIC COMMENT

IV-8 Websites (OMB M-05-04) ( http://www.whitehouse.gov/s ites/default/files/omb/ memoranda/ fy2005/m05-04.pdf ). Components that wish to develop and maintain their own webpages for posting NEPA content coordinate with their respective OPA, or equivalent. Components provide the web address for their NEPA pages to SEP, and SEP creates a hyperlink from the DHS NEPA webpage to the Component’s webpage. Components that wish to link to NEPA documents posted on websites outside the Federal government domain (.gov), including contractor websites, seek their respective OPA approval. OPA determines on a case-by-case basis whether or not is it a llowable to link to a cont ractor-maintained website.
All EISs and RODs are eit her posted directly on or linked from the DHS NEPA webpage. In addition, all EAs and FONSIs for proposed actions with effects of national concern are either posted dire ctly on or linked from the DHS NEPA webpage. Use of the DHS NEPA webpage is optional for posting EAs and FONSIs for proposed actions with effects of regional or local concern, as long as another form of public notice is provi ded. Where a Component is a joint lead agency, the joint lead agencies determine the appropriate host in the Federal government domain (.gov). The DHS N EPA webpage is not presently intended to be used for the deliberative exchange of information or comments that may be necessary in the development of N EPA documents; however, uses of the webpage may change as OPA allows.
For content submitted to SEP for posting on the DHS NEPA webpage, the following requirements apply: (a) Documents meet OPA web publ ishing guidance and standards, DHS branding requirements, and Section 508 of the Rehabilitation Act requirements. (b) Documents are in .pdf format, inclusive of figures, appendices, and documents or hyperlinks inco rporated by reference. (c) If applicable, Components include a point of contact, start and end dates of the public comment period, and information on where interested persons may submit comments. (d) Components provide content to S EP a minimum of seven (7) calendar days in advance of the date they seekto make the information publicly available. For NEPA documents rela ted to emergency actions, or in other time-sensitive situations as appropriate, SEP requests that OPA expedite the approval and pos ting of web content.
(3) Information Protected from Public Disclosure There is no national security or homel and security exemption from complying with NEPA. However, information used in a NEPA analysis is subject to compliance with other laws, including t he Freedom of Information Act (FOIA) (5 U.S.C. sec. 552). FOIA encourages Government accountability throughDRAFT FOR PUBLIC COMMENT

IV-9 transparency. It provides that any per son has a right, enforceable in court, to obtain access to Federal agency records, exc ept to the extent that such records (or portions thereof) are protected from public disclosure by a FOIA exemption; these exemptions are designed to stri ke a “workable balance” between what citizens need to know and the Government’s need to protect certain information. Information on FOIA, includi ng the exemptions, is available at http://www.foia.gov , and the Department’s FOIA policy is provided in Directive 0460.1, Freedom of Information Act Co mpliance. DHS will not provide information to the public through the NE PA process that DHS otherwise would not publicly disclose under FOIA. During the NEPA process, DHS will not publically disclose information that may be sensitive for Native Americans or that may reveal the locations of archeol ogical sites, when such information is not otherwise publicly available. The fact that a proposed action itselfor the environmental analysis for a proposed action contains information protec ted from public disclosure by a FOIA exemption does not relieve DHS of the requirement to assess and document the environmental effects ofthe proposed action as required by NEPA. If the existence of a proposed action cannot be made public by reason of any FOIA exception, then the environmental analys is also cannot be made public. In some circumstances the env ironmental analysis may not be subject to judicial review; nevertheless, an env ironmental analysis is required. If the existence of a proposed action c an be made public, but the environmental analysis would have to contain informa tion that cannot be made public, then DHS segregates any information that is pr otected from public disclosure into an appendix sent to appropriately cleared reviewers and decision-makers, and allows public review of the rest of t he document (see 40 C.F. R. §1507.3(c)). If segregation would leave essentially meaningless material, DHS may withhold the entire document from the public. Ho wever, DHS may share such protected NEPA documents with appropriate ly cleared officials in other agencies such as CEQ and EPA. In doing so, it is important to recognize and prepare for the situation that other agencies may not inte rpret FOIA in the same way that DHS does and may release material that DHS w ould not release, except that which is properly classified for the exc eption in subsection 552(b)(1). If the existence of a proposed action must be protected from public disclosure or portions of an environm ental analysis must be protected from public disclosure, Components consult with t heir respective EPPM and OGC at the earliest possible time to ensure that NEPA compliance efforts align with the project schedule to the extent practicabl e. To identify DHS and other Federal agency personnel, as well as Tribal, Stat e, and local personnel, that have the appropriate clearance for reviewing cl assified information during a NEPA process for a proposed DHS action, Com ponents consult with their respective Chief Security Officer and OGC, and follow DHS policy that addresses access to classified information, such as Instruction 121-01-001, Administrative Security Program, and Instruction 121-01-007, Personnel Suitability and Security Program.DRAFT FOR PUBLIC COMMENT

IV-10 CEQ’s 2009 FOIA Handbook ( http://www.whitehouse.gov /sites/default/files/ microsites/ceq/foia_handbook_2-27-12.pdf ) provides additional guidance on the appropriate treatment of info rmation that is protected fr om public disclosure.

H. Use of Contractors NEPA decision-making is an inherently gov ernmental function. DHS frequently uses contractors to perform activities during the NEPA process, such as developing documents, conducting analyses, and soliciti ng and collecting public comments. DHS may also allow its Federal assistance and permit applicants to use contractors to perform NEPA activities. However, DHS remains fully responsible for NEPA activities performed by contractors, and only a DHS employee can sign or otherwise approve NEPA documents prepared for proposed DHS actions. In addition, the presence of contractor names and logos in documents prepared for DHS, including NEPA documents, shoul d be minimized or avoided, unless otherwise specified in the terms of a parti cular contract. Proprietary information used by contractors in performance of NEPA activities is subject to public disclosure and should be avoided. If proprietary in formation must be included in a NEPA document, the proprietary information is not normally presented in the main body of the document, but is segregated in an appendi x where its distribution may be more carefully controlled.
I. Performance Metrics and Reporting Requirements Performance metrics are important i ndicators of compliance with NEPA requirements and of implementation of the Directive and Instruction Manual throughout DHS. In addition, DHS res ponds to Congressional and Federal interagency NEPA reporting requirement s (e.g., the annual CEQ Cooperating Agencies Report). SEP issues data calls to Components, when necessary, to obtain the information required by thes e external reporting requirements and ensures a consolidated response from DHS. SEP also uses the EP&HP DSS to obtain information on NEPA performance. In addition, internal NEPA performance metri cs, such as those on the DHS Office of the Chief Readiness Support Officer (OCRSO) Scorecard, are established by SEP with participation of Components thr ough committees and work groups. Components complete and submit their N EPA performance information to Director SEP in accordance with established require ments and timeframes. Responses to such reporting requirement s are evaluated by SEP.
J. Review of Other Agency NEPA Documents Components, when requested, review and comment on NEPA documents provided by non-DHS agencies (Federal, Tribal, State, or local) when the proposed action may impact DHS missions, operations, or fac ilities, or when DHS has subject matter expertise or legal authorities relevant to the proposed action. When such requests are received, Components provide written not ification to SEP prior to issuing any comments to the requesting agency.DRAFT FOR PUBLIC COMMENT

IV-11 Comments are confined to matters within t he jurisdiction or expertise of DHS. These include, but are not limited to, homel and security, immigration, other law enforcement missions, and emergency m anagement. Components normally do not comment on aspects of a NEPA documentprovided by a non-DHS agency other than what is needed to appropriately reflect DHS authorities or mission interests. Components notify SEP of requests for comment on NEPA documents from nonDHS agencies that meet the crit eria in Section IV, Part C. Generally, DHS does not provide formal wr itten comments for the public record. DHS communicates its interests to other Federal agencies using methods determined on a case-by-case basis that are appropriate for t he nature and level of DHS interest in another agency’s NEPA acti vity. If needed, Components follow the dispute resolution process described in Section IV, Part E.
K. Component Supplemental Instruct ions and Delegation of Authority Unless otherwise delegated, Director SEP approves NEPA documents prepared for proposed DHS actions. For any Com ponent which does not have approved Supplemental Instructions and a delegat ion of authority as described below, Director SEP serves as the EPPM for that Component; Direc tor SEP meets the EPPM criteria specified herein. The most efficient and effective implement ation of NEPA occurs when it is integrated early with other aspects of the planning, review, and development of DHS activities. This can best be achieved at the lowest appropriate level of the organization where these processes occur. Director SEP may delegate to Components the authority to approve NEPAdocuments to ensure the most efficient and effective NEPA compliance. Componen t requests for a delegation of authority and Supplemental Instructions may be evaluated concurrently or separately by SEP depending on a Component’s needs. However, in order for a Component to receive a delegation of authority, a Supplemental Instruction approved by Director SEP is required.
(1) Component Supplemental Instructions Components have the option of developi ng Supplemental Instructions for implementing NEPA within their respec tive organizations to fit their unique missions and needs. A Supplemental In struction describes a Component’s administrative processes for implementi ng the Directive and Instruction Manual. For Components that choose to develop Supplemental Instructions, the required criteria and content are provided below. Wher e these criteria are met through other existing policy or requi rement documents, the Component may provide a brief explanation of the rele vance of the existing document(s) and provide a reference in its Supplement al Instruction. A Supplemental Instruction: (a) Describes the manner in which the Directive and Instruction Manual are to be implemented, including at what organizational level(s) NEPA activities and approvals occur within the Component.DRAFT FOR PUBLIC COMMENT

IV-12 (b) Describes the internal processi ng requirements for the preparation and approval of NEPA documents withi n the Component, including the processes for quality assurance. (c) Describes how the Co mponent creates a record demonstrating that the Federal employee with decision- making authority for the proposed action (normally the Proponent) has considered the potential environmental impacts of the proposed action in the process of making their decision (this may be accomplish ed by a signature block) in order to fulfill the requirements of NEPA. (d) Identifies a position in the Compo nent with the authorit y to oversee the implementation of the Directive and Instruction Manual, to act as the EPPM, and to serve as the primary point of contact for coordination with SEP on NEPA matters. The EPPM or his/her staff must have an appropriate level of expertise necessary to provide technical assistance for NEPA compliance to t he range of programs, offices, and activities in the Component. Additi onal criteria for the EPPM are as follows:

i. Be in an appropriate position in the organization and have the technical authority to speak on NEPA matters on behalf of the Component; ii. Be in an appropriate position to oversee the implementation of the Directive and Instruction M anual in the Component; and iii. Have visibility on the planning , development, and implementation of actions in the Component that may require NEPA compliance. (e) Includes procedures for re- delegation of author ity within the Component for approving NEPA docum ents, as appropriate. Redelegation procedures incl ude requirements for:

i. Quality assurance for the work products; ii. A process to grant the re-delegat ion and criteria to achieve the redelegation;
iii. The identification of NEPA activi ties that call for the attention and approval of higher levels of the Component’s organization, including the Component’s management level, as well as SEP; and iv. A process and criteria for sus pension or revocation of the redelegated authority. (f) Identifies NEPA activities that ca ll for the attention and approval of higher levels of the Component’s organization, as well as SEP. (g) Describes how the EP&HP DSS is used within the Component (e.g., the assignment of roles and review ers and establishing workflow).DRAFT FOR PUBLIC COMMENT

IV-13 (h) Describes the process for m onitoring and assessing compliance with the Directive and Instruction M anual, including reporting of NEPA performance to Director SEP. (i) Describes the process for seeking resolution of NEPA-related disputes within the Component. For NEPA dis putes that cannot be resolved at the Component level, provide for a pr ocess for elevating the dispute to Director SEP. (j) If applicable, describes processes or requirements for the review of applications from persons or organi zations seeking DHS approval of their proposed activities (e.g., Federal assistance, permits, and licenses) for ensuring NEPA compliance. (k) In addition to the required content specified in (a) through (j) above, Components can include any addit ional information in their Supplemental Instructions they deem necessary for implementing NEPA within their organizations, includ ing other areas identified in this Instruction Manual. However, Components propose new or substantively revised CATEXs separ ately from their Supplemental Instructions. CATEXs proposals are processed separately by SEP because of the CEQ review and publ ic notification requirements (see Section V, Part B (3)). (2) Component Supplemental Instructi ons Review and Approval Process The following is the process for SEP’s review and approval of Component Supplemental Instructions: (a) Components submit to SEP draft Supp lemental Instructions that meet the required content and criteria described above and that have been approved by the Component’s appr opriate approving official. (b) Upon receipt of a Component’s dr aft Supplemental Instruction, SEP completes its initial review and provides comments back to the Component within 15 working days. Issues that cannot be resolved between SEP and the Component withi n 10 working days thereafter are elevated to the respective CRSOs (or equivalent) for resolution. If necessary, issues are further elevated to higher levels of DHS for resolution, following established or ganizational lines of authority. (c) If SEP determines that a Component’s draft Supplemental Instruction contains information requiri ng CEQ and public review, SEP coordinates these efforts. (d) Director SEP notifies Components in writing when Supplemental Instructions have been approved. This written notification will include a delegation of aut hority, if a Component is seeking a delegation of authority in conjunction with its Supplemental Instruction.DRAFT FOR PUBLIC COMMENT

IV-14 (e) Components review their appr oved Component Supplemental Instructions and revise or update them as necessary, but at a minimum, whenever the Directive and Instruction Manual are revised.
(3) Delegation of Authority Components that wish to obtain a delegat ion of authority for approving NEPA documents submit a written request, accompanied by their proposed or approved Component Supplemental Instructi ons, to Director SEP. In order for a Component to receive such a del egation, a Supplement al Instruction approved by Director SEP is required. (a) Components request the level(s) of NEPA documentation (i.e., REC, EA, and/or EIS) for which they are seeking a delegation of authority. Director SEP remains the approval authority for any level(s) of NEPA documentation that are not included in the delegation. (b) Approved delegations are in writing from Director SEP to the Component’s EPPM. The EPPM can re -delegate his/her authority in accordance with the procedures established in their respective Component Supplemental Instruction. (c) Components may request approval from Director SEP for substantive revisions to their Component Supplemental Instructions without seeking a new delegation of authority. However, to approve additional levels of NEPA documentation, Co mponents request a new delegation of authority, with appropriately revised Component Supplemental Instructions. (d) Director SEP may revoke a Component’s delegation of authority upon finding a pattern of non-compliance with substantive requirements of the Directive and Instruction M anual, which may include repeated failure to follow the respective approved Component Supplemental Instruction. (e) Director SEP may temporarily su spend a Component’s delegation of authority for less significant reasons than those in paragraph (d) above that have an impact on the ability ofthe Component to effectively implement the substantive requi rements of the Directive and Instruction Manual (e.g., the departu re of qualified staff from the organization). (f) A Component whose delegation of authority has been suspended or revoked must remedy the issue(s) of concern, demonstrate that it meets the requirements of Section IV, Part K, and make a written request to Director SEP to have its delegation of authority reinstated. Issues related to a suspension or revocation of a delegation of authority that cannot be resolv ed between SEP and a Component are elevated to higher levels of DHS for resolution, following established organizational lines of authority.DRAFT FOR PUBLIC COMMENT

IV-15 A Component may request an interim delegati on of authority in situations where it has drafted its Supplement al Instruction but its respective directives approval process is not completed. Director SEP will grant an interim delegation of authority for up to six months if a Component provides a draft of its Supplemental Instruction that satisfacto rily addresses the r equired criteria and content described above and that has, ata minimum, been entered into the Component’s formal clearance process. Wri tten requests for extensions of this interim delegation of authority will be gr anted by Director SEP, with evidence that the Component is proceeding in good faith to complete its respective directives approval process.
L. Administrative Record Requirements In complying with NEPA, government dec ision-makers cannot be arbitrary and capricious in their decisions. The Admini strative Procedure Act (APA) provides the framework for judicial ov ersight of executive branch decision-making. The APA provides that a court will “re view the whole record or t hose parts of it cited by a party...” Therefore, the administrative record is a compilation of all documents and materials that were examined in the N EPA process (even if examined and then not used) by a Federal agency decision-maker at the time their fi nal decision on a proposed action was made; this includes do cuments and materials that support a contrary decision. It is import ant to note that information t hat is restricted from public disclosure under FOIA, but is examined in the NEPA process, may be appropriately a part of the administrative record. The co mpleteness of the administrative record is crucial in litigation because the court needs to be able to see, from only those things included in the record, a rational proc ess through which the agency came to its decision as reflected in the ROD. The court does not have to agree with the agency’s decision, but it must find a rational bas is in the record fo r that decision. If the court is not able to make this findi ng, the court will normally require that the project be put on hold and the NEPA process redone, often under a very tight court directed time frame. At a minimum, an administra tive record normally includes public draft and final NEPA documents (see Section II for defin ition); communications with and comments from Federal, Tribal, State, and local agenc ies, Federal assistance applicants, and the public; and DHS responses to those comments. Materials such as data, reports, studies, computer modeling, maps, photogr aphs, etc., consider ed by agency staff and found relevant to the decision (these ca n be especially broad with regard to the choice of alternatives and which alter natives were ruled out and which were considered for NEPA analysis) are part of th e record, whether they support or argue against the decision made in NEPA docum ents and whether or not they are generally available to the public. Internal memoranda regarding issues related to a NEPA analysis that were prepared prior to the Proponent’s decision on a proposed action are also part of the record. Draft documents that merely clean up typographical errors do not need to be retai ned, but care must be taken to ensure that no documents which are necessary to the judicial review process are destroyed. Each document is subject to a legal rele vance test and, while Components compileDRAFT FOR PUBLIC COMMENT

IV-16 a thorough administrative record, Componen ts obtain the advice of OGC regarding whether or not to leave something out of the administrative record. Once an agency decision has been made, the “ deliberative, pre-decisional” basis for keeping certain internal agency documents which are part of the administrative record protected from public releas e under FOIA disappears and these documents may, and generally do, become publically rel easable. However, if there is another basis on which to prevent their release, t hey will remain entitled to protection from release, even though they are part of the record (see Section IV, Part G (3)). Components engage OGC in making decisions about what is releasable and what is protected under FOIA.DRAFT FOR PUBLIC COMMENT

V-1 

### V. Procedures for Implementing NEPA

A. Overview of NEPA Requirements The NEPA process helps DHS decision-make rs systematically identify and evaluate the potential environmental e ffects of proposed actions and make informed decisions. Therefore, the NEPA proce ss must be completed before DHS makes a final decision on a proposed action. NEPA applies to the majorityof DHS actions. If ther e is any doubt as to the applicability of NEPA, the Component, worki ng with or through its respective EPPM, consults OGC to determine whether NEPA applies to a proposed action. Examples of situations in which NEPA is not tr iggered are very few and include cases of statutory exemption, executive branch waiver of compliance when such waiver authority has been granted by Congress and pr operly exercised, or when the action does not constitute a major Federal action significantly affecting the quality of the human environment as that term has been interpreted in regulations and court decisions. When NEPA applies to a proposed action, one ofthree levels of evaluation (CATEX, EA, or EIS) is necessary. These levels correspond to the increasing potential for proposed actions to have significant envir onmental effects. NEPA documents such as EAs and EISs are not merely a summa ry of an environmental impact evaluation; they are also a way to communicate that information to DHS decision-makers and the public in an easily understandable form. The EPPM advises the respective Component on the appropriate level ofNEPA analysis and documentation for proposed actions.
Evaluation and documentation requirements under NEPA are summarized in Figure 1 and described below: (1) Components determine, in consultation with OGC and their respective EPPM, the appropriate analytical appr oach, including whether NEPA applies. Where NEPA does notapply, Components document the determination for future reference, ensure appropriate compliance with other requirements for stewards hip and protection of the human environment, and proceed with the proposed action. (2) If the proposed action is an em ergency, Components follow the emergency provisions in Section VI. (3) For all other proposed actions to which NEPA applies, Components review the list of DHS CATEXs (A ppendix A, Table 1) and follow the CATEX application procedures in Sect ion V, Part B to determine if one may apply. (4) If the proposed action cannot be ca tegorically excluded, Components normally begin the process to prepar e an EA, following the EA procedures in Section V, Part C and associ ated CEQ guidance and requirements for EAs. However, in some circumstanc es it is appropriate to begin the process to prepare an EIS instead of an EA, as ex plained later in thisDRAFT FOR PUBLIC COMMENT

V-2 Instruction. The EA process ends with either a FONSI or NOI to prepare an EIS. If the EA process is c oncluded by a FONSI, the action may proceed. (5) If the proposed action clearly wo uld have significant environmental impacts which cannot be mitigated to le vel of insignificance, or the EA process for the proposed action coul d not be concluded by a FONSI, Components prepare an EIS. Com ponents follow CEQ requirements and the EIS procedures in Section V, PartD for preparing an EIS. The EIS process ends with a ROD. Until the Co mponent issues its ROD, no action on the proposal can be taken that would have an adverse environmental impact or limit the choice of r easonable alternatives (40 C.F.R. §1506.1(a)). Once a ROD is i ssued, the action may proceed.DRAFT FOR PUBLIC COMMENT

V-3 Figure 1 - NEPA Flow Chart

Yes Yes

No No Yes If NEPA does not apply/action exempted by law or executive branch

waiver authorized by Need

Proposal

? Yes Consult EPPM to determine appropriate analytical approach

Unknown or potential for Significant Environmental Effects EA

Proposal Appears to Qualify Significant Environmental Effects EIS CATEX

CATEX applies. Complete REC in EP&HP DSS for asterisked categories.

Fulfill all other

appropriate requirements for stewardship and protection of the human environment Appropriate Public and Interagency Involvement (if any)

Finding of No Significant

Impact and Notice of Availability Notice of Intent

Scoping, including Public Involvement

Draft EIS

Minimum 45 Day Public Comment Period

Public Meetings if Needed

Final EIS

Public Notice for 30 Days

Implement Proposal with Mitigation and Monitoring as Needed Record of Decision Significant Environmental Effects? Y
e

No

Public Review of proposed EA/FONSI

, if needed

Significant Environmental Effects? Are there extraordinary circumstances that preclude the use of a CATEX?DRAFT FOR PUBLIC COMMENT

V-4 B. Categorical Exclusions a nd Extraordinary Circumstances
(1) DHS Categorical Exclusions The CEQ regulations (40 C.F.R. §1508.4) enabl e Federal agencies to establish categories of actions that, based on ex perience, do not individually or cumulatively have a significant impac t on the quality of the human environment and, therefore, do notrequire an EA or EIS. CA TEXs enable DHS to avoid unnecessary efforts, paperwork, and delays and concentrate on those proposed actions having real potential for environmental impact. Components may otherwise decide to prepare an EA for anyaction at any time to assist in planning and decision-making (s ee 40 C.F.R. §1501.3 and §1508.9). DHS CATEXs are specific to DHS as a whole, or to individual Components when so specified. DHS may not apply a CATEX established by another Federal agency to a proposed DHS action. However, DHS may justify its application of a DHS CATEX to a propos ed DHS action when another Federal agency has applied a similar CATEX of its own to a similar activity.
DHS CATEXs are divided into the fo llowing functional groupings of DHS mission activities: (a) Administrative and Regulatory Activities. (b) Operational Activities. (c) Real Estate and Personal Property Management Activities. (d) Repair and Maintenance Activities. (e) Construction, Installation, and Demolition Activities. (f) Hazardous/Radioactive Mate rials Management and Operations. (g) Training and Exercises. (h) Federal Assistance Activities. (i) Component-Specific Categorical Exclusions.
(2) Applying Categorical Exclusions DHS’s list of CATEXs is provided in Appendix A, Table 1. When considering application of a CATEX to a proposed action, Components determine if there are any extraordinary circumstances presentthat may cause significant impacts preventing the application of the CA TEX. For a proposed action to be categorically excluded, it must satisfy all three conditions de scribed below. If the proposed action does not clearly meetall three conditions, the Component prepares an EA or EIS according to CEQ requirements and following the procedures provided in Section V, Pa rts C and D, respectively. Certain categories of proposed actions included in the CATEX list have a greater potential to involve extraordinary circum stances and require the preparation of a REC to document the NEPA analysis, as described in Section V, Part B (4). A CATEX cannot be used for an action with significant impacts on the quality ofDRAFT FOR PUBLIC COMMENT

V-5 the human environment, regardless of whet her the impacts are beneficial or adverse. A CATEX may be applied to an ent ire program of DHS activities, if appropriate. Components consider the following when determining whether or not a proposed action is covered by a CATEX: (a) Clearly fits the category described in the CATEX . The entire action clearly fits within one or more of t he CATEXs in Appendix A, Table 1. Note that certain CATEXs are re stricted to use by a single DHS Component. Where a CATEX is restri cted for use to a particular DHS Component, no other Component ma y apply that CATEX to its proposed actions. (b) Is not a piece of a larger action . It is not appropriate to segment a proposed action or connected actions by division into smaller parts in order to avoid a more extensiv e evaluation of the potential for environmental impacts under NEPA. For purposes of NEPA, actions must be considered in the same revi ew if the actions are connected. Examples include actions that trigger or force other actions; and when one action depends on another (e.g., when one action is an interdependent part of a larger action, or when one action cannot proceed unless another action is taken). (c) No extraordinary circumstances exist . The presence of one or more extraordinary circumstances precludes the application of a CATEX to a proposed action when the circumstance would have significant environmental impacts (i.e ., EIS required), or presents the potential for significant environmental impacts (i.e., EA required), or that potential cannot be readily determined (i.e., EA required). A determination of whether an action t hat is normally excluded requires additional evaluation because of extraordinary circumstances focuses on the action’s potential effects and considers the environmental significance of those effects in terms of both context (i.e., local, state, regional, Tribal, national, or intern ational) and intens ity. Components consider whether the proposed acti on involves one or more of the following extraordinary circumstances:

i. A potentially significant effe ct on public health or safety. ii. A potentially significant effect on species or habitats protected by the ESA, Marine Mammal Protection Act, Migratory Bird Treaty Act, Magnuson-Stevens Fishery Conserva tion and Management Act, or other law protecting a species or habitat. iii. A potentially significant effect on historic properties (e.g., districts, sites, buildings, structures, or object s) that are listed in or eligible for listing in the National Regist er of Historic Places, affects traditional cultural properties or sa cred sites, or leads to the loss or destruction of a significant scientific, cultural, or historical resource.DRAFT FOR PUBLIC COMMENT

V-6 iv. A potentially significant effect on an environmentallysensitive area. v. A potential or threaten ed violation of a Federal, State, or local law or requirement imposed to pr otect the environment. Some examples of other requirements to consider are: a local noise control ordinance; the requirement to conform to an applicable State Implementation Plan for air quality standards; Federal, Tribal, State, or local requirements to control hazardous or toxic substances; and environmental permits. vi. An effect on the quality of t he human environment that is likely to be highly controversial in terms of scientific validity, likely to be highly uncertain, or likely to involve unique or unknown environmental risks. This also incl udes effects that may result from the use of new technology or unproven technology. Controversy over, including public opposition to, a proposed action absent any demonstrable potential for signific ant environmental impacts does not itself constitute an extraordinary circumstance. vii. Extent to which a precedent is established for future actions with significant effects. viii. Significantly greater scope orsize than normally experienced for this particular category of action. ix. Potential for significant degr adation of already existing poor environmental conditions. Also, init iation of a potentially significant environmental degrading influence, ac tivity, or effect in areas not already significantly modified fr om their natural condition.
x. Whether the action is related to other actions with individually insignificant, but cumulatively significant impacts.
(3) Establishment, Revision, and De letion of Categorical Exclusions Components forward proposals to subst antively revise or establish new CATEXs (together with justification) to Director SEP for approval. Proposals to substantively revise or establish new CA TEXs require an Administrative Record that meets CEQ standards and are subject to both CEQ review and public comment. SEP reviews such proposals to determine whether the CATEX is appropriate for inclusion in the DHS-wide list or a Component-specific list. SEP revises Appendix A, Table 1 to include approved new or substantially revised CATEXs. In addition, Components notify SEP of non-substantive revisions to or deletions of Component-specific CATEXs so that SEP can amend the table accordingly. All CATEXs and the list of extraordinary circumstances in this Instruction Manual are reviewed by SEP in consul tation with Component EPPMs at least every seven years to ensure they ar e still appropriate, and to identify any changes that may be needed in light of addi tional experience gained in applying the CATEXs to proposed DHS actions. A complete review is conducted inDRAFT FOR PUBLIC COMMENT

V-7 conjunction with any major revision to t he Directive and Instruction Manual or when seven years have passed sinc e the last major revision.
(4) Record of Environmental Consideration The application of a CATEX to a pr oposed action means that the proposed action is appropriately included in a category of actions that DHS has determined do not individually or cumula tively have a significant impact on the human environment and therefor e neither the preparati on of an EA or EIS is required. Certain CATEXs, identified by an asterisk in Appendix A, Table 1, include classes of actions that hav e a higher possibility of involving extraordinary circumstances that may prec lude the use of a CATEX. A REC is required whenever a CATEX denoted by an asterisk is applied in order to document that potential impacts to the human environment have been appropriately considered and the determi nation that the proposed action is either appropriately categor ically excluded or must be analyzed further through an EA or EIS process. In addition, t here may be instances where a Component chooses to prepare a REC when it is not otherwise required. RECs are normally prepared and maintained electronically in the EP&HP DSS. Completion of a REC involves a review and approval process to ensure the appropriate consideration of extraordinary circumstanc es, the quality of the NEPA analysis, and that the decision-ma ker has considered the impact of the proposal on the human environment, as required by NEPA, before making a decision. Director SEP signs all RECs as the approver of the NEPA analysis, unless otherwise delegated. Component Supplemental Instructions ma y contain additional information on the administrative procedures and requirements to prepare a REC.

C. Environmental Assessments
(1) Purpose An EA is a concise public document prepared for proposed actions that have the potential for significant impacts on the quality of the hum an environment (40 C.F.R. §1508.9). The EA pr ocess concludes with a Component’s determination on the environmental impacts ofthe proposed action. A finding of no significant impact (FONSI) document is prepared ifthe Component c oncludes that the proposed action would not have signifi cant environmental impacts. Components ensure FONSIs ar e publically available. Additional information and guidance can be found in the CEQ regulations and guidance, such as CEQ’s Memorandum for Heads of Federal Departments and Agencies: Improving the Process for Preparing Efficient and Timely Environmental Reviews under the National Envir onmental Policy Act, 6 March, 2012 ( http://ceq.hss.doe.gov/ceq_regulations/ guidance.html ). If during the preparation of an EA a Co mponent determines that significant impacts would result from implementat ion of the proposed action, an EIS is required.DRAFT FOR PUBLIC COMMENT

V-8 (2) When to Prepare an EA A Component prepares an EA under the following circumstances: (a) When a proposed action is not in a category of actions described in an available DHS CATEX and there is not enough information to determine that the proposed action will have significant environmental impacts requiring an EIS. In this situation, an EA process is used to determine, through environmental im pact evaluation and opportunity for public involvement, if the impac ts on the quality of the human environment would be significant or not. (b) For a proposed action that is included in a category of actions described in a DHS CATEX but extraordinary circumstances present the potential for significant env ironmental impacts and therefore preclude application of the CATEX, and there is not enough information to determine that the pr oposed action will have significant environmental impacts requiring an EIS. (c) A Component can decide to prepare an EA as a best practice planning tool to inform decision-makers on the environmental impacts of its actions. (d) Other situations conforming to the above circumstances, as described in Component Supplemental Instructions.
(3) Actions Normally Requiring an EA or Programmatic EA
Examples of activities for which a Component normally prepares an EA or a Programmatic EA include but are not limited to the following:
(a) Proposed construction, land use, activity, or operation that has the potential to significantly affect environmentally sensitive areas.
(b) Projects impacting wetlands or wa ters of the U.S. that do not meet the criteria of the U.S. Army Corp s of Engineers Nationwide Permit Program.
(c) New or revised regulations fo r activities that have the potential to significantly affect environmentally sensitive areas.
(d) Security measures that invo lve permanent closure or limitation of access to any area that was previously open to public use (e.g., roads and recreational areas) where there is a potential for significant environmental impacts.
(e) New law enforcement field oper ations for which the environmental impacts are unknown, for which or any potential significant environmental impacts could be mitigated to the level that they are noDRAFT FOR PUBLIC COMMENT

V-9 longer significant, or for whic h the potential for significant environmental controversy is likely.
(4) Programmatic EAs A Component may prepare a Programma tic EA (PEA) for a broad Federal action, such as a program, plan, or acti ons of a similar type or at multiple locations, following the criteria above fo r when to prepare an EA. A site- or activity-specific EA can be tiered from the PEA or a Supplemental EA (SEA) can be prepared and incorporate by re ference the environmental impact evaluation contained in the PEA. In so me cases a PEA is specific enough or contains sufficient information to require no or very little additional evaluation. The application of a DHS CATEX to a proposed action, following the procedures in Section V, Part B (2), can also be based upon the evaluation contained in a PEA.
(5) Supplemental EAs A Component may prepare an SEA at any time for a proposed action for which: (a) A NEPA analysis was previously completed; (b) A NEPA analysis is ongoing when there are substantial changes to the proposal that are relevant to environmental concerns; or (c) If there are new circumstances or information relevant to environmental concerns and bearing on the pr oposal or its impacts. An SEA only needs to focus on the i ssues that triggered the additional environmental impact evaluation, and the original analysis can be incorporated by reference in the SEA. If a final EA is supplemented after a FONSI has been completed, the Component completes a new FONSI. Components have discretion regarding the type and level of public involvement in SEAs, using the factors listed in Section IV, Part G (1). In cases where an action has not yet been implemented within one (1) budget cycle not to exceed three (3) years from the date of the FO NSI, the Component considers whether the analysis in the EA re mains valid for the current state of the proposed activity and whether a supplement is needed before proceeding with the action.
(6) Adoption Reliance on or adoption of an existing EA improves efficiency in the NEPA process and avoids unnecessary use of time and resources. Within DHS, any Component may us e another Component’s EA without a formal adoption process, provided it fullycovers the scope of the Component’s proposed action and alternatives and the env ironmental impacts. When relying on another Component’s final EA and FO NSI, the Component internally documents such reliance. When relyin g on another Component’s draft EA or portion thereof, the Component comple tes its own final EA and FONSI.DRAFT FOR PUBLIC COMMENT

V-10 A Component may adopt another Federal ag ency’s draft or final EA or portion thereof, provided it fully covers the scope of the Component’s proposed action and alternatives and environmental impac ts (see 40 C.F.R. §1506.3). When adopting another Federal agency’s draft or final EA or portion thereof, Components consider the fa ctors in Section IV, PartG (1) to determine the appropriate additional publicinvolvement needed. When participating as a c ooperating agency, Component s may adopt the EA or portion thereof of a lead agency when, a fter an independent review of the document, the Component concludes thatits comments and suggestions have been satisfied and the analysis includes the appropriate scope and level of environmental impact evaluation for the Component’s proposed action and alternatives (see 40 C.F.R § 1506.3 (c)). When adopting another Federal agency’s final EA or portion thereof, the Component issues a FONSI acknowledging the adoption of t he work of the other Federal agency. When adopting another Federal agency’s draft EA or portion thereof, the Component comp letes a final EA and FONSI.
(7) Public Involvement Process Involving an EA The CEQ regulations and this Instructi on Manual require public involvement in the NEPA process for proposed DHS actions. Public involvement requirements can be met during scoping at the start of an evaluation and/or by distributing a draft EA and draft FONSI for public review. Where a good faith effort has been used to seek out and involve the public in the drafting of an EA and no significant impacts (including potential for an impact on the quality of the human environm ent that is highly controversial) have been identified, a Co mponent can complete an EA and FONSI without circulating a draft document for public review. A good faith effort includes consideration of the extent of other related public involv ement efforts, as well as consideration of the factor s in Section IV, Part G (1 ). A public notice of the FONSI is made available to interest ed parties (see 40 C.F.R. §1506.6 for methods of providing public notice). After the notice of the FONSI, the Component can take immediate action, unless there is anot her environmental planning requirement that requires a waiting period before an action can proceed. When an EA has been drafted without opport unity for public involvement or when public input received during EA development indicates the need for further public review of the envir onmental impact evaluation, Components make the draft EA available to the public for review and comment for a minimum of 30 calendar days. If publ ic comments reveal the potential for significant impact to the human env ironment, the Component determines whether it is appropriate to complete a FONSI, revise or supp lement the EA, or prepare an EIS. If the Component decides a FONSI is appropriate, it modifies the EA to reflect the consideration ofany public comments as appropriate, completes the FONSI, and makes the FONSI available to the public. ADRAFT FOR PUBLIC COMMENT

V-11 synopsis of the public comments receiv ed and how the Component addressed those comments, rather than a res ponse to each individual comment, is normally prepared, and may be included as an appendix in the final EA. After the FONSI is made publicly available, the Component can take immediate action, unless there is another environmental plann ing requirement that requires a waiting period bef ore an action can proceed. If a proposed action is unprecedented or one th at normally requires an EIS or is closely similar to one that normally requi res an EIS (see Section V, Part D (3)), the Component should, whenever practicabl e, provide an opportunity for public involvement in the drafti ng of the EA and makes the draft EA and draft FONSI available for public review, as descr ibed in 40 C.F.R. §1501.4(e) (2). For proposed actions with environmental effects of national concern (see Section II for definition), Components publ ish a public notice in the Federal Register as required by 40 C.F.R. §1506.6, and submit to SEP draft and final EAs and FONSIs, or a hyperlink to the documents posted on a Component webpage, for posting on the DHS NEPA webpage, in accordance with Section IV, Part G (2).
(8) Minimum Required Content for an EA The minimum required content for an EA is outlined below. (a) Title page; (b) Purpose and need; (c) Description of the proposed acti on and alternatives, including a description of alternatives considered but rejected; (d) Description of the affect ed environment and environmental consequences, including conclusions regarding the significance of environmental impacts for the propos ed action and alternatives and a consideration of cumulative impacts; (e) Description of proposed mitigat ion and monitoring, if applicable; (f) List of preparers; (g) List of agencies and persons consulted or contacted; and (h) References, if appropriate.
(9) Finding of No Significant Impact A Component’s final determination on t he environmental impacts of a proposed action is required upon the completion of an EA. An EA process concludes with a FONSI when (1) the evaluation of the impacts of the proposed action on the human environment indicates that t he environmental effects would not be significant, or (2) the Component commi ts to including measures in the proposed action that mitigate impacts to a level of insignificance (see Section V, Part E). A FONSI is a separ ate document from an EA, but may be integrated into any other appropriate decision-making document that can beDRAFT FOR PUBLIC COMMENT

V-12 made publicly available, provided it in cludes the minimum content requirements in Section V, Part C (10).
(10) Minimum Required Content for a FONSI
A FONSI document is either attached to the EA or incor porates the EA by reference and consists of the following: (a) The name and a brief descripti on of the proposed action and alternatives. (b) A summary of the results of the environmental im pact evaluation. (c) Identification of any mitigation co mmitments (including monitoring) that will be implemented as part of the proposed action and reduce otherwise significant impacts. (d) A statement that the proposed acti on will not have a si gnificant impact on the quality of t he human environment. (e) A statement of the final agency deci sion. The analysis that resulted in a FONSI must encompass this final decision. (f) The date of issuance and a signatur e block for the st aff member from the Component who has decision -making authority regarding the proposed action in order to demon strate fulfillment of the NEPA requirement to consider the pot ential for impact to the human environment in the decision-making process. (g) In Components that have not rece ived a delegation of authority (See Section IV, Part K), a signat ure block for Director SEP. (h) Normally be no more than five pages in length, and incorporate commitments as attachments if necessa ry, to avoid creating a lengthier FONSI document.
D. Environmental Impact Statements
(1) Purpose An EIS is prepared for major Federal actions significantly affecting the quality of the human environment (see 40 C.F.R. §1502). Preparation of an EIS involves a more formal process to work collaborat ively with other Feder al, Tribal, State, local, and non-Federal interested parties, and provides a more formal opportunity for the public to understand the potential environmental impacts and to influence a Federal agency’s decision. The environmental impact evaluation documented in an EIS may be mo re extensive than that in an EA to appropriately reflect an evaluation of signi ficant impacts to the quality of the human environment. Detailed information on the requirements for an EIS is found in the CEQ regulations and guidance, such as CEQ’s Memorandum for Heads of Federal Departments and A gencies: Improving the Process for Preparing Efficient and Timely Envir onmental Reviews under the National Environmental Policy Act, 6 March, 2012 ( http://ceq.hss.doe.gov/ceq_DRAFT FOR PUBLIC COMMENT

V-13 regulations/guidance.html ). No alternative, in w hole or in part, that is the subject of an EIS process will be taken t hat would limit the choice of reasonable alternatives, involve a conflict in the use of available resources, or have an adverse environmental impact unt il the ROD has been made publically available.
(2) When to Prepare an EIS A Component prepares an EIS when its proposed action and/or any reasonable alternative(s) would have significant environmental effects. This includes actions where an EA concluded that t here would be significant impacts, and therefore preparation of an EIS was necessary. However, a Component has the option to prepare an EIS w hen there is good reason to do so for any activity at any time.
(3) Actions Normally Requiring an EIS, Programmatic EIS, or Legislative EIS
Examples of activities for which a Component normally prepares an EIS, a Programmatic EIS, or a Legislative EI S include but are not limited to the following:
(a) Activities where the effects on the human environment are likely to be highly controversial in terms of environmental impacts or involve unique or unknown envi ronmental risks.
(b) Construction projects that would have a significant effect on environmentally sensitive areas.
(c) Major Federal actions occu rring in the U.S. known to cause a significant environmental effect on t he global commons, as this term is defined in E.O. 12114, “Environmental Effects Abroad of Major Federal Actions.”
(d) Change in area, scope, type, and/or tempo of operations that would result in significant environmental effects.
(e) When an action is required by statute or treaty to develop an EIS.
(4) Programmatic EIS A Component may prepare a Programmati c EIS (PEIS) on a broad Federal action, such as a program, plan, or acti ons of a similar type or at multiple locations, for which only very general env ironmental information is known. A site-specific EIS or EA can be tier ed from the PEIS and incorporate by reference the environmental impact evaluation contained in the PEIS.DRAFT FOR PUBLIC COMMENT

V-14 (5) Legislative EIS A Legislative EIS is prepared and circulat ed for any non-budgetary legislative proposal initiated by DHS without request for drafting assistance by any member of the legislativ e branch that would have significant impacts on the natural and human environm ent (40 C.F.R. §1506.8).
(6) Supplemental EIS A Component may prepare a s upplemental EIS (SEIS) ifthere are substantial changes to the proposal that are relevant to environmental concerns or if there are significant new circumstances or information relevant to environmental concerns and bearing on the proposal or it s impacts (40 C.F.R. §1502.9(c)(1)). A Component may also supplement a draft EIS (DEIS) or Final EIS (FEIS) at any time to further the evaluati on presented in the original EIS. Components prepare, circulate, and file a supplement to a DEIS or FEIS in the same manner as any other DEIS or FEIS, except that scoping is optional for an SEIS (40 C.F.R. §1502.9(c)(4)) . Public notice methods are chosen that are appropriate for reaching persons who may be interested in or affected by the proposal. If an FEIS is supplement ed after a ROD has been completed, the Component completes a new ROD and publishes a NOA of the ROD and the supplemental information in the Federal Register. In cases where an action has not ye t been implemented within one (1) budget cycle not to exceed three (3) years from the date of the ROD, the Component considers whether the analysis in the EIS remains valid for th e current state of the proposed activity and whether a supplement is needed before proceeding with the action.
(7) Adoption Reliance on or adoption of an existing EIS improves efficiency in the NEPA process and avoids unnecessary use of time and resources. Within DHS, any Component may us e another Component’s EIS without a formal adoption process, provided it fullycovers the scope of the Component’s proposed action and alternatives and the environmental impacts. When relying on another Component’s final EIS and RO D, the Component internally documents such reliance. When relyin g on another Component’s draft EIS or portion thereof, the Component comple tes its own final EIS and ROD. A Component may adopt another Federal ag ency’s existing draft or final EIS or portion thereof, provided it fully covers the scope of the Component’s proposed action and alternatives and environmental impacts (see 40 C.F.R. §1506.3). When adopting another Federal agency’s dra ft or final EIS or portion thereof, Components consider the fa ctors in Section IV, PartG (1) to determine the appropriate additional publicinvolvement needed. If the actions covered by the other Federal agency’s EIS and the Component’s proposed action are substantially the same, the Component normallyDRAFT FOR PUBLIC COMMENT

V-15 recirculates the document as a final (i.e., files it with the EPA and makes it available to agencies and the public), and includes a statement describing its respective proposed action and acknowl edging the adoption of the EIS (see 40 C.F.R. §1506.3 (b)). The Component completes its own ROD and publishes a NOA in the Federal Register. When participating as a cooperating agency, a Component may adopt the lead agency’s EIS or portion thereof without re circulation when, after its independent review of the document, the Component concludes that its comments have been satisfied and the analysis includes the appropriate scope and level of environmental impact evaluation for the Component’s proposed action and alternatives (see 40 C.F.R. §1506.3 (c)) . When adopting the lead Federal agency’s final EIS or portion thereof, the Component completes its own ROD acknowledging the adoption of the wo rk of the other Federal agency and publishes a NOA in the Federal Regi ster. When adopting the lead Federal agency’s draft EIS or portion thereof, the Component completes its own final EIS and ROD.
(8) Approval and Filing of an EIS
In accordance with a memorandum ofagreement (MOA) between CEQ and EPA, EPA is responsible for the receipt and filing of EISs prepared by Federal agencies. Every week in the Federal Register, EPA publishes NOAs for all EISs filed during the previous week. DHS follows the steps for preparation and filing of an EIS as prescribed in the CEQ regulations (40 C.F.R. §1506.9 and 1506.10) and additional information provided in CEQ and EPA guidance (see EPA’s Amended EIS Filing System Guidance, published in the Federal Register on January 11, 2011). Components also fo llow the requirements in Section IV, Part C regarding when to notify SEP and Se ction IV, Part G (1) regarding public involvement. The EPA publis hed NOA is the official public notification of an EIS. Components may publish their own NOA to provide more information to the public, although it is not required.
(9) Minimum Required Content for an EIS The CEQ regulations at 40 C.F.R. §1502. 10 provide an example format for an EIS, and 40 C.F.R. §1508.25 des cribes the scope, i.e., the range of actions, alternatives, and impacts to be consider ed in an EIS. There is no standard DHS format and Components can vary from the CEQ example, with compelling reason. The appropriate structure for an EIS is one that facilitates communication of the envir onmental impact evaluation and results in a manner that is concise, efficient, and mosteasily understood byProponents and the general public. For example, se ctions on Affected Environment and Environmental Consequences are often combined to produce a document that is shorter in length and easier to read and understand. The level of public involvement in t he development of an EIS is determined through consideration of the factors in Sect ion IV, Part G (1). The length of anDRAFT FOR PUBLIC COMMENT

V-16 EIS varies based on project type, proj ect size, and potential environmental
concerns. The CEQ standard format fo r an EIS is outlined below. (a) Cover sheet; (b) Summary; (c) Table of Contents; (d) Purpose of and need for the action; (e) Alternatives considered, in cluding proposed action and no-action alternative; (f) Affected environment (baseline co nditions) that may be impacted; (g) Environmental and socioeconomic consequences; (h) List of preparers; (i) Distribution list; (j) Index; and (k) Appendices (as appropriate). A Component’s use of errata sheets attach ed to a DEIS in-lieu of a traditional FEIS is allowed under 40 C.F.R. §1503.4(c)). Use of an errata sheet is appropriate when comments receiv ed on a DEIS are minor, and the Component’s responses to those comments are limited to factual corrections or explanations of why the comments do not warrant further response. When applying this provision, the errata s heets and the information required in an FEIS (described below) are attached to the DEIS and the document is filed with EPA and provided to the public following the CEQ requirements for an FEIS. When using errata sheets, they include at minimum the following information: (a) A list of the factual corrections m ade to the DEIS with references to the relevant page numbers in the DEIS; (b) A synopsis of the comments rece ived on the DEIS and an explanation of why the comments do not warrant further response in the FEIS, citing the sources, authorities, or reasons that support the Component’s position; (c) If appropriate, an indication of the specific circumstances that would trigger reappraisal or further respons e, particularly information that could lead to a re-evaluation or an SEIS; (d) Identification of t he preferred alternative and a discussion of the reasons why it was selected; (e) List of commitments for miti gation measures for the preferred alternative; andDRAFT FOR PUBLIC COMMENT

V-17 (f) A copy or summary of comments received on the DEIS and responses, including any coordination ac tivities since the DEIS.
(10) Record of Decision When a Component decides whether or not to take action on a proposal covered by an EIS, a decis ion document known as a ROD is prepared. The content requirements for a ROD are f ound in 40 C.F.R. §1505. 2. A ROD is a separate document from the EIS, and may be integrated into any other appropriate decision-making document t hat can be made publicly available provided that the content requirements are met. A ROD is made publicly available (unless there are issues meeting one or more of the exemptions from information di sclosure under FOIA) and presents all the factors an agency considered when it reached its decisi on on whether to, and if so how to, proceed with the proposed acti on. The ROD identifies mitigation measures (if any) which were import ant in supporting DHS decision-making, such as those measures which r educe otherwise significant impacts. The Component submits the ROD or t he hyperlink to the ROD on its own webpage to SEP for posting on the DHS NEPA webpage, in accordance with Section IV, Part G (2).
E. Mitigation and Monitoring Measures that reduce otherwise anticipat ed adverse impacts of a proposed action on the quality of t he human environment are called mi tigation measures. When a Component commits to mitigation measur es to reduce or eliminate potential adverse effects of an action, it is essential that the Component implements the measures and monitors their effectivene ss. Components commit to appropriate, practical, and implementable mitigation measur es identified in a FONSI or ROD that they have sufficient legal authority to implem ent or impose on applicants. Mitigation measures are practical and im plementable, i.e., those t hat are reasonably expected to achieve their intended purpose. Impl ementable mitigation measures require not only that the Component have the appropriate legal authority, but also that it can reasonably foresee the availability of re sources for performing the mitigation. Where the mitigation is being imposed on an applicant for DHS funding or approval to perform their proposed action, Components make the mitigation a condition of DHS approval of the applications from per sons or organizations external to DHS (40 C.F.R. §1505.3).
Prior to commencement of or during impl ementation of an acti on, if a mitigation measure that a Component committed to cannot be implemented or conditions have changed such that the mitigation me asure may no longer be appropriate, the Component determines if other practical mi tigation measures can be implemented or are necessary, in coordination with Feder al, Tribal, State, or local government agencies as appropriate. If the conclusi on of the NEPA analysis was predicated in whole or in part on the mitigation in ques tion, the Component considers whether the NEPA decision can be sustained without the identified mitigation. The ComponentDRAFT FOR PUBLIC COMMENT

V-18 then considers whether the NEPA document needs to be revised to reflect the new circumstances. If it does, the Component prov ides appropriate public notice of the revision. After that, the action may proceed.
Components monitor implemented actions fo r effectiveness of mitigation, following the guidance in CEQ’s Memorandum fo r Heads of Federal Departments and Agencies : Appropriate Use of Mitigation and Monitoring and Appropriate Use of Mitigated Findings of No Sign ificant Impact, 14 January, 2011 ( http://ceq.hss.doe.gov/ceq_ regulations/guidance.html ). Components also respond to inquiries from the public or other agencies regarding the status of mitigation measures and the results of monitoring. If post-action monitoring finds that mitigation has been ineffective in mitigati ng the adverse impact s of the action, Components consult promptly with OGC and their respective EPPM to determine the necessary course of action, and follo w Section IV, Part C for when to notify SEP.
Adequately documenting and monitoring mi tigation advances NEPA’s purpose of informed and transparent environmental decis ion-making. Failure to implement, document, and/or monitor mitigation ma y undermine the integrity of the NEPA analysis, and may compromise the adequacy of the NEPA compliance effort. Therefore, once a Co mponent has committed to mitigation measures, all decisions to modify or suspend those measures are made in consultation with OGC and the Component’s respective EPPM.
F. Cooperating and Joint Lead Agency Relationships The CEQ regulations (40 C.F.R. §1501.6) emphasize a gency cooperation in the NEPA process. Sometimes, a proposed DHS action may impact or be impacted by the missions and activities of other agencie s. In such situations, it may be necessary to establish a lead and cooperat ing agency relationship or a joint-lead agency relationship to minimize or av oid duplicative, r edundant NEPA compliance efforts. Establishing this type of relationship may be appropriate when another Federal agency, Tribe, State, or loca l agency with a comparable NEPA requirement either proposes or is involved in the same action, or is involved in a group of actions directly related to each other because of their functional interdependence or geographical proximity (40 C.F.R. §1501.5). An inte ragency MOA is normally executed to identify the lead and cooperat ing agencies and to document their roles and responsibilities, establish timelines an d milestones, etc. However exigencies may dictate another form of documenting the relationship, such as an exchange of written correspondence. Components follo w the CEQ regulations and guidance on cooperating agencies in its Me morandum to Heads of Feder al Agencies: Reporting Cooperating Agencies in Implementing the Procedural Requ irements of the National Environmental Policy Act, 23 December 2004, and Memorandum for Heads of Federal Agencies: Cooperating Agencies in Implementing the Procedural Requirements of the National Environmental Policy Act, 30 January 2002 ( http://ceq.hss.doe.gov/ceq_regulations/ guidance.html ).DRAFT FOR PUBLIC COMMENT

V-19 The benefits of cooperating agency partici pation in the preparation of NEPA documents include: 1) disclosing relevant in formation early in the NEPA process; 2) applying available expertise and staff suppor t; 3) avoiding duplication with other Federal, Tribal, State, and local requirements; 4) establishing a mechanism for addressing intergovernmental issues; 5) fostering intra- and intergovernmental trust; and 6) enhancing agencies’ ability to adopt environmental documents. When a Component is a lead agency, it may invite other appropriate Federal agencies with jurisdiction by law (such as regulatory jurisdiction, authority to manage land or water where the Component proposes to locate an action, or related mission authorities, among other th ings) to be a cooperating agency in the Component’s NEPA effort. In addition, a Component may invite other Federal agencies with special expertise on a par ticular environmental issue to be a cooperating agency. A Com ponent may also invite Tribes and non-Federal agencies to be a cooperating or joint lead a gency in order to eliminate duplication with Tribal, State, and local requirem ents that are comparable to NEPA. A Component may become a cooperati ng agency in another Federal agency’s NEPA effort at the request of that agency when the Component has jurisdiction by law over an aspect of t he other federal agency’s proposed activity that requires action or approval by the Component. A Component may also become a cooperating agency in another F ederal agency’s NEPA effort at the request of that agency when the Component has special expe rtise by virtue of its statutory responsibility, mission, or rela ted program experienc e that is relevant to the other Federal agency’s proposal. A Component may also request a lead Federal agency to designate it as a cooperating agency. If another agency requests that a Com ponent be a cooperating agency in its NEPA effort and the Component declines to accept cooperating agency status, the Component responds to the r equesting agency and provides a copy of its response to Director SEP and CEQ (40 C.F.R. §1501.6 (c )). The denial is not subject to oversight by Director SEP and is not subjec t to review under the Administrative Procedure Act, 5 U.S.C. 701 et seq. Dir ector SEP reviews the request to determine whether another Component needs to c onsider cooperating agency status. Components that prepare EAs and EISs annua lly report information on cooperating agency status to SEP for consolidated DHS reporting to CEQ.
G. NEPA Analysis and Writing Components emphasize quality analysis and documentation of potential environmental effects for reasonable alte rnatives that are economically and technically feasible and that meet mi ssion needs, and of strategies to mitigate significant adverse effects. In order to improve quality, reduce paperwork, and control the length of NEPA document s, Components closely follow the requirements of 40 C.F.R. §1500.4 and t he guidance issued by CEQ in its Memorandum for Heads of Federal D epartments and Agencies: Improving the Process for Preparing Efficient and Time ly Environmental Reviews under theDRAFT FOR PUBLIC COMMENT

V-20 National Environmental Policy Act, 6 March 2012 ( http://ceq.hss.doe.gov/ceq_regulations/guidance.html ). The appropriate structure and fo rmat for an EA or EIS is one that facilitates written communication of the environm ental impact evaluation and results in a manner that is concise, efficient, and most easily understood by the Proponent and the general public. The depth and scope of analysis and resulting volume of documentation in a NEPA process are to be relevant and pr oportionate to the complexity of the project and level of antici pated environmental effects. The depth and scope of the analysis is normally informed by the level ofanticipated environmental effects. The objective in preparing an EA or EIS is to communicate quality analysis to support DHS decisions, not the producti on of lengthy documents. The main body of an EA or an EIS is no rmally a presentation designed for the general public that is written in plain language (40 C.F.R. §1502.8). It generally summarizes the environmental impact evaluati on for the relevant scope of issues and the development of appropriate mitigation strategies, with sufficient detail to meet CEQ requirements. Related and background information is included in appendices. The summary required for an EIS (40 C.F.R. §1502.12) and optional for an EA presents the results of the environmental impact evaluation, stressing the major conclusions, areas of controversy, and the issues to be resolved, but is not a summary of the document. The following are normally taken into consideration when approving a NEPA document prepared for proposed DHS actions: the scope, depth, and pertinence of the analysis relevant to the proposed action, alternatives, and anticipated environmental impacts; the scientific int egrity of the analysis; conformance to requirements of CEQ and this Instructi on Manual; and the general presentation and readability of the information.DRAFT FOR PUBLIC COMMENT

VI-1 

### VI. Emergency Actions
DHS missions include ensuring resilien cy to disasters and effective emergency response. Examples of em ergencies that may require immediate DHS action include responses to hurricanes, earthquakes, pandemics, nuclear strike, imminent threat of terrorist activity, or release or imminent release of oil, hazardous, biological, or radiological substances. These incident s require DHS action to defend and protect public health and safety and/or to ensure conti nuity of government operations as soon as possible. As DHS develops its response to situations involving immediate threats to human health or safety, or immediate threats to valuable nat ural resources, it co nsiders whether there is sufficient time to follow the procedures es tablished in the CEQ r egulations, as further explained in CEQ’s Memorandum for Heads of Federal Departments and Agencies: Emergencies and the National Envir onmental Policy Act, 12 May, 2010 ( http://ceq.hss.doe.gov/ceq_regulations/guidance.html ), and this Instruction Manual. The following four phases apply when performing NEPA activities during an emergency. Components follow these general provisions for emergency actions in consultation with their respective EPPM and OGC, and SEP w hen appropriate, and in accordance with their Supplemental Instructions if emer gency procedures are s pecified therein.
A. Secure Lives and Protect Property Do not delay immediate actions needed to secure lives and safety of employees and citizens, or to protect property. The Component considers the probable environmental consequences of pr oposed DHS actions and minimizes environmental damage to the ma ximum degree practical, c onsistent with protecting human life, property, and national security.
B. Determine Applicability of NEPA Components determine, upon the advice and counsel of OGC, if NEPA applies to the emergency action (see Section V, Part A).

C. Notification to SEP Components follow the criteria in Section IV, Part C for when to notify or seek approval from Director SEP for NEPA activities during an emergency.

D. Determine Level of NEPA Evaluation When NEPA applies to a proposed DHS emergency action, Components determine the appropriate level of NEPA evaluat ion using the following criteria: (1) If the proposed emergency action qualifies for a CATEX and no extraordinary circumstances exist t hat would preclude the use of the CATEX, follow the procedures in Se ction V, Part B for completing a CATEX review.DRAFT FOR PUBLIC COMMENT

VI-2 (2) If the proposed emergency action does not qualify for a CATEX, consideration of the potential for environmental effects must be documented in the form ofeither an EA or EIS. (a) Consider if the pr oposed emergency action is covered by an existing final EA and FONSI or EIS and ROD prepared by any DHS Component. If an existing final DHS EA and FONSI or EIS and ROD fully cover both the scope of t he proposed activities and the environmental impacts and the env ironmental impact evaluation remains current, no further evaluation under NEPA is necessary. However, it is appropriate to internally record the use of another DHS Component’s NEPA Document. (b) If paragraph (a) above is not applicable, determine if the proposed emergency action is covered by an existing EA or EIS of another Federal agency. If an existing EA or EIS of anot her Federal agency fully covers both the scope of the proposed activities and the environmental impacts and the env ironmental impact evaluation remains current, then the Compo nent may adopt the document. Adopting an existing analysis may r equire the Component to provide the opportunity for public comm ent. The Component prepares a separate FONSI or ROD for t he proposed emergency when adopting an existing analysis. (c) If paragraphs (a) and (b) above are not applicable, determine if an existing EA or EIS fr om another DHS Component or an EA or EIS adopted from another Federal ag ency can be supplemented to address the proposed emergency acti on. Supplementing an existing analysis may require the Component to provide the opportunity for public comment. The Component pr epares a separate FONSI or ROD for the proposed emergency when suppl ementing an existing analysis. (d) If paragraphs (a) through (c) above are not applicable and the expected environmental impacts are not considered to be significant, determine if sufficient time exists before starting the emergency action to complete a new EA. i. When sufficient time exists, it is most appropriate for the Component to prepare a focus ed and concise EA, including consideration of the public involv ement factors presented in Section IV, Part G (1). The EA may inco rporate by reference any existing relevant non-Federal environmental impact evaluation, such as one prepared pursuant to a state agency’s environmental planning requirement. If the new EA supp orts a conclusion that the proposed emergency action will not hav e significant environmental effects, a FONSI is prepared and made available to interested parties.
ii. If sufficient time does not exist to complete an EA before starting the proposed emergency action, and the expected environmentalDRAFT FOR PUBLIC COMMENT

VI-3 impacts are not considered to be significant, the Component consults with Director SEP to dev elop an alternative approach to completing an EA that meets t he requirements of the CEQ regulations and this Instruction Manual. To the maximum extent practicable, such approaches ensure public notification and involvement and focus on minimizing the adverse environmental consequences of the proposed emergency action. SEP informs CEQ of these alternatives to the preparation of an EA at the earliest opportunity. (e) If, at any time during the emergen cy, including during preparation of an EA, the Component determines that the emergency action appears to be a major Federal action significant ly affecting the quality of the human environment, the Component seeks the involvement of SEP. When another EIS is not availabl e to adopt or supplement, or insufficient time is available to adopt or supplement an existing EIS, SEP notifies CEQ regarding the em ergency and seeks alternative arrangements to comply with NEPA in accordance with 40 C.F.R. §1506.11. Alternative arrangement s apply only to actions needed to control the immediate impacts of the emergency to prevent further harm to life or improved property. Other actions remain subject to NEPA analysis. Factors to addr ess when crafting alternative arrangements include: i. Nature and scope of the emergency;
ii. Actions needed to control the imm ediate impacts of the emergency; iii. The potential adverse effects; iv. Aspects of the NEPA process t hat can be followed and add value to the decision-making process (such as coordination with resource and regulatory agencies and the public); v. Duration of the emergency; and vi. Potential adverse impact mitigation measures.DRAFT FOR PUBLIC COMMENT

VII-1 

### VII. Review of Applications from Pe rsons or Organizations Outside of DHS

Components that process applications for permi ts, licenses (other than those for use of real property), Federal assistance (e.g., grants), or other forms of DHS funding or approval have a responsibility to integrate NEPA requirements early in the application process. In this context, an Applicant is a person or organization outside of DHS that seeks funding, or a permit, licens e, or other form of approval from DHS in order to carry out its desired action. Co mponents consider the envir onmental effects of the Applicant’s proposed action when deciding whether or not to provide funding, issue a permit or license, or otherwise approve an Applicant’s proposal. Completion of the NEPA process occurs before making a decis ion to approve an Applicant’s proposal. Unless otherwise specified in law or regul ation, Components that administer Federal assistance, permitting, licensing, or similar types of programs inco rporate the applicable provisions below into their respective re view and approval processes for applications under those programs. Component s that regularly administersuch programs describe in their Supplemental Instructions how these provisions are normally addressed. Components that do not regularly administer such programs may nevertheless elect to develop Supplemental Instructions (or to am end existing Supplemental Instructions) if they wish to seek delegation of NEPA aut hority for such progr ams. Where NEPArelated program-specific guidance, policy, etc., already exists, Components include an explanation of the relevant informati on and reference the document(s) in their Supplemental Instructions. A. Coordination between the Component and the Applicant as early as possible so that the Applicant is aware of its respons ibilities, if any, to assist the Component in fulfilling the NEPA process. This incl udes notification to the Applicant of the kinds of analyses or information that t he Component requires the Applicant to provide or prepare, if any , that are deemed necessary and appropriate for an environmental impact evaluation. T he Component establishes an internal process to ensure completion of an i ndependent and objective evaluation of any such information provided by the Applicant. This may include notifying the Applicant of its role, if any, in supporti ng coordination and consultation efforts, scoping, and other public involvement activi ties, and its role, if any, in activities necessary to eliminate duplic ation with Tribal, State, local, or other Federal requirements.
B. Consideration of whetherthe Applicant’s proposed action is a connected action (see 40 C.F.R. §1508.25) or, ifthe applicant is a non-Feder al entity, is a piece of a larger action whereby the Component ’s involvement would federalize the entire action. C. The process to identify and evaluate opt ions to resolve potentially significant environmental impacts, including the App licant’s role in coordination and consultation activities, if any. This includes development of measures to mitigate adverse impacts, if necessary.DRAFT FOR PUBLIC COMMENT

VII-2 D. Notification to the Applicant of how the costs of NEPA activities (e.g., preparation of an EA; mitigation m easures) are to be paid for.
E. Notification to the A pplicant of its responsibilit ies regarding emergency actions, if relevant. F. Notification to the Component if the Applicant changes the scope of the proposed action. Scope changes require an evaluation by DHS to determine if the previous NEPA analysis is still re levant or if additional analysis is necessary. G. Ensuring that required NEPA doc uments are completed prior to the Component’s decision on the application or , in the case of certain Federal assistance programs, prio r to the Component’s approv al for the applicant to draw funds to execute its proposed action. H. Notification to the Applicant when the Component may denyan application if the proposed action’s impacts, cost of t he environmental impact evaluation, or costs of mitigation measur es substantially outweigh the proposed action’s costs or monetary and non-m onetary benefits. I. Ensuring mitigation commi tted to as part of the NE PA process, including appropriate monitoring of t he implementation and success of the mitigation, is incorporated as conditions in the appropr iate formal approval document that is issued to the Applicant by the Component. J. Notification to the Applicant when the Component may denyan application, revoke an approval (e.g., de-obligate or recoup grant funding), or take other enforcement action if the Applicant does not comply with NEPA requirements or conditions of NEPA approval, or im plements the proposed action prior to completion of the NEPA process.
K. Identification of dec ision points for when the NEPA analysis and approval occurs in the Component’s overall appl ication review and approval/award process. L. Making contact information publically av ailable for the DHS office and/or staff responsible for administering the Federal assistance, permitting, licensing, or similar type of program. M. When actions are planned by non-Feder al entities before DHS gets involved but DHS involvement is reasonably fore seeable, the following provisions also apply:

1) Ensure information and staff are ava ilable to advise potential applicants; 2) Consult early with Tribes, Stat e and local agencies, and the public; and 3) Commence the NEPA proces s at the earliest possible time. When a new Federal assistance, permitting, lic ensing, or similar type of program is created in DHS, the relevant Component, incl uding the relevant individual program office(s), consults with its respective EPPM and OGC to determine the applicability of NEPA requirements under that new program. In some case s, the responsibility toDRAFT FOR PUBLIC COMMENT

VII-3 administer the program may be transferred from one DHS Component to another DHS Component or from DHS to anotherFederal agency. In such situations, the parties may execute an agreement to ensure that NEPA requirements are met.DRAFT FOR PUBLIC COMMENT

A-1 

## Appendix A. DHS List of Categorical Exclusions

Table 1 - List of DHS Categorical Exclusions
Note regarding the following table: CATEX A8, CATEXs C6 through C10, and all the CATEXs in Sections M and N are being proposed as new CATEXs. All others are existing CATEXs that DHS is proposing to retain. The CATEXs in Sections A through G and the CATEXs in Section N are available for use across the entire D epartment. The CATEXs in Sections H through M are available for use by only the Component specified in the section heading.



# * Denotes classes of actions that have a higher possibility of involving extraordinary circumstances. A REC will be prepared to document consideration of extraordinary circum stances whenever a CATEX that is identified by an asterisk is used

ADMINISTRATIVE AND RE GULATORY ACTIVITIES

A1 Personnel, fiscal, management, and administrative activities, such as recruiting, processing, paying, recordkeeping, resource management, budgeting, personnel actions, and travel.

A2 Reductions, realignments, or relocati on of personnel that do not result in exceeding the infrastructure capacity or changing the use of space. An example of a substantial change in use ofthe supporting infrastructure would be an increase in vehicular traffic bey ond the capacity of the supporting road network to accommodate such an increase.

A3 Promulgation of rules, issuance ofrulings or interpretations, and the development and publication of policie s, orders, directives, notices, procedures, manuals, advisory circul ars, and other guidance documents of the following nature: (a) Those of a strictly adminis trative or procedural nature; (b) Those that implement, without s ubstantive change, statutory or regulatory requirements; (c) Those that implement, without substantive change, procedures, manuals, and other guidance documents; (d) Those that interpret or amend an existing regulation without changing its environmental effect; (e) Technical guidance on safety and security matters; or, (f) Guidance for the preparation of security plans.DRAFT FOR PUBLIC COMMENT

A-2 A4 Information gathering, data analysi s and processing, information dissemination, review, interpretation, and development of documents. If any of these activities result in proposals for further action, those proposals must be covered by an appropriate CATEX. Examples include but are not limited to: (a) Document mailings, publication and distribution, training and information programs, historical and cultural demonstrations, and public affairs actions. (b) Studies, reports, proposals, analyse s, literature reviews; computer modeling; and non-intrusive intell igence gathering activities.

A5 Awarding of contracts for te chnical support services, ongoing management and operation of government facilities, and professional services that do not involve unresolved conflicts concerning alternative uses of available resources.

A6 Procurement of non-hazardous goods and services, and storage, recycling, and disposal of non-hazar dous materials and wastes, that complies with applicable requirem ents and is in support of routine administrative, operational, or maintenance activities. Storage activities must occur on previously disturbed land or in existing facilities. Examples include but are not limited to: (a) Office supplies, (b) Equipment, (c) Mobile assets, (d) Utility services, (e) Chemicals and low level radio nuclides for laboratory use, (f) Deployable emergency response supplies and equipment, and (g) Waste disposal and contracts fo r waste disposal in established permitted landfills and facilities.

A7 The commitment of resources, per sonnel, and funding to conduct audits, surveys, and data collection of a minimallyintrusive nature. If any of these commitments result in proposals for fu rther action, those proposals must be covered by an appropriate CATEX. Exam ples include, but are not limited to: (a) Activities designed to s upport the improvement or upgrade management of natural resources, such as surveys for threatened and endangered species, wildlife and wildlif e habitat, historic properties, and archeological sites; wetl and delineations; timber stand examination; minimal water, air, waste, material and soil sampling; audits, photography, and interpretation.DRAFT FOR PUBLIC COMMENT

A-3 (b) Minimally-intrusive geologic al, geophysical, and geo-technical activities, including mappi ng and engineering surveys. (c) Conducting Facility Audits, Environmental Site Assessments and Environmental Baseline Surveys, and (d) Vulnerability, risk, and struct ural integrity assessments of infrastructure.

A8 [proposed new] Review of documents, at th e request of other agencies or entities, that did not originate in DHS.

OPERATIONAL ACTIVITIES

B1 Research, development, testing, and evaluation activities, or laboratory operations conducted withi n existing enclosed fac ilities consistent with previously established safety levels and in compliance with applicable Federal, Tribal, State, and local requirements to protect the environment when it will result in no, or de minimus change in the use of the facility. If the operation will substantially increase the extent of potential environmental impacts or is controversial, an EA (and possibly an EIS) is required.

B2 Transportation of personnel, det ainees, equipment, and evidentiary materials in wheeled vehicles over exis ting roads or jeep trails established by Federal, Tribal, State, or local gover nments, including access to permanent and temporary observation posts.

B3 Proposed activities and operations to be conducted in an existing structure that would be compatible with and similar in scope to its ongoing functional uses and would be consistent with previously established safety levels and in compliance with applicable Federal, Tribal, State, or local requirements to protect the environment.

B4 Provision of on-site technical a ssistance to non-DHS organizations to prepare plans, studies, or evaluations. Examples include, but are not limited to: (a) General technical assistance to assist with development and enhancement of Weapons of Mass Destruction (WMD) response plans, exercise scenario development and evaluation, facilitation of working groups, etc. (b) State strategy technical assistanc e to assist States in completing needs and threat assessments and in developing their domestic preparedness strategy.

B5 Support for or participation in comm unity projects t hat do not involve significant physical alteration of the env ironment. Examples include, but are not limited to:DRAFT FOR PUBLIC COMMENT

A-4 (a) Earth Day activities, (b) Adopting schools, (c) Cleanup of rivers and parkways, and (d) Repair and alteration of housing.

B6 Approval of recreational or public acti vities or events at a location typically used for that type and scope (size and intens ity) of activity that would not involve significant physical alteration of the environment. Examples include, but are not limited to: (a) Picnics, (b) Encampments, and (c) Interpretive programs for historicand cultural resources, such as programs in conjunction with State and Tribal Historic Preservation Officers, or with local historic pr eservation or re-enactment groups.

B7 Initial assignment or realignment ofmobile assets, including vehicles, vessels and aircraft, to existing operational facilities that have the capacity to accommodate such assets or where s upporting infrastructure changes will be minor in nature to perform as new homeports or for repair and overhaul.

*B8 Acquisition, installation, maintenance, operation, or evaluation of security equipment to screen for or detect dangerous or illegal individuals or materials at existing facilities and the eventual removal and disposal of that equipment in compliance with applicable requirem ents to protect the environment. Examples of the equipment incl ude, but are not limited to: (a) Low-level x-ray devices, (b) Cameras and biometric devices, (c) Passive inspection devices, (d) Detection or security systems for explosive, biological, or chemical substances, and (e) Access controls, screening devices, and traffic management systems.

*B9 Acquisition, installation, operation, or evaluation of physical security devices, or controls to enhance the physical security of existing critical assets and the eventual removal and disposal ofthat equipment in compliance with applicable requirements to protect the environment. Examples include, but are not limited to: (a) Motion detection systems, (b) Use of temporary barriers, fences , and jersey walls on or adjacent to existing facilities or on land that has already been disturbed or built upon,DRAFT FOR PUBLIC COMMENT

A-5 (c) Impact resistant doors and gates, (d) X-ray units, (e) Remote video surveillance systems, (f) Diver/swimmer detection systems, except sonar, (g) Blast/shock impact-resistant syst ems for land based and waterfront facilities, (h) Column and surface wraps, and (i) (j) Breakage/shatter-resistant glass.

B10 Identifications, inspections, surveys, or sampling, testing, seizures, quarantines, removals, sanitization, and m onitoring of imported products that cause little or no physical alteration ofthe environment. This CATEX would primarily encompass a variety of daily ac tivities performed at the borders and ports of entry by various elements ofthe Customs and Bo rder Protection and Transportation Security Administration.

B11 Routine monitoring and surveillance activities that support law enforcement or homeland security and def ense operations, such as patrols, investigations, and intelligence gatheri ng, but not including any construction activities (construction activities are addressed in Subsection E of these CATEX). This CATEX would primarily encompass a variety of daily activities performed by the Component s of U.S. Coast Guard, Immigration and Customs Enforcement, Customs and Bo rder Protection, Transportation Security Administration, and the U.S. Secret Service.

REAL ESTATE ACTIVITIES

C1 Acquisition of an interest in real property that is not withi n or adjacent to environmentally sensitive areas, includi ng interests less than a fee simple, by purchase, lease, assignment, easemen t, condemnation, or donation, which does not result in a change in the functional use of the property.

C2 Lease extensions, renewals, or succ eeding leases where there is no change in the facility's use and all env ironmental operating permits have been acquired and are current.

C3 Reassignment of real property, incl uding related personal property within the Department (e.g., from one Departm ental element to another) that does not result in a change in the functional use of the property.

C4 Transfer of administrative control ov er real property, including related personal property, between another Feder al agency and the Department that does not result in a change in the functional use of the property.DRAFT FOR PUBLIC COMMENT

A-6 C5 Determination that real property is excess to the needs of the Department and, in the case of acquired real pr operty, the subsequent reporting of such determination to the General Services Ad ministration or, in the case of lands withdrawn or otherwise re served from the public domain, the subsequent filing of a notice of intent to re linquish with the Bureau of Land Management, Department of Interior.

* C6 [proposed new] Congressionally-mandat ed conveyance of DHS controlled real property to a non-Federal entity.

*C7 [proposed new] The initial lease o f, or grant of an easement interest in, DHS-controlled real property to a non- Federal entity or the amendment, renewal, or termination of such leas e or easement interest where the proposed real property use is similar to existing uses.

*C8 [proposed new] The grant of a license to a non-Federal entity to perform specified acts upon DHS-controll ed real property or the amendment, renewal, or termination of such licens e where the proposed real property use is similar to existing uses.

C9 [proposed new] Allowing another Federal agency to use DHS-controlled real property under a permit, use agreem ent, or similar arrangement or the amendment, renewal, or term ination of such permit or agreement where the real property use is similar to existing uses.

C10 [proposed new] Real property inspections to ensure compliance with deed or easement restrictions.

REPAIR AND MAINTENANCE ACTIVITIES

D1 Minor renovations and additions to buildings, roads, airfields, grounds, equipment, and other facilities that do notresult in a change in the functional use of the real property (e.g. realigning interior spaces of an existing building, adding a small storage shed to an existi ng building, retrofitting for energy conservation, or installing a small antenna on an already existing antenna tower that does not cause the total hei ght to exceed 200 feet and where the FCC would not require an EA or EIS for the installation).

D2 Routine upgrade, repair, maintenance, or replacement of equipment and vehicles, such as aircraft, vessels, or airfield equipment that does not result in a change in the functi onal use of the property.

D3 Repair and maintenance of D epartment-managed buildings, roads, airfields, grounds, equipment, and other facilities which do not result in a change in functional use or an impact on a historically significant element or setting (e.g. replacing a roof, painting a building, resurfacing a road or runway, pest control activities, restorat ion of trails and firebreaks, culvertDRAFT FOR PUBLIC COMMENT

A-7 maintenance, grounds maintenance, ex isting security systems, and maintenance of waterfront facilities t hat does not require individual regulatory permits).

*D4 Reconstruction and/or repair by r eplacement of existing utilities or surveillance systems in an existing right-of-way or easement, upon agreement with the owner of the relevant property interest.

*D5 Maintenance dredging activities within waterways, floodplains, and wetlands where no new depths are requir ed, applicable permits are secured, and associated debris disposal is done at an approved disposal site. This CATEX encompasses activities requir ed for the maintenance of waterfront facilities managed primarily within the U.S. Coast Guard and Customs and Border Protection.

D6 Maintenance of aquatic and riparian habitat in streams and ponds, using native materials or best natural resour ce management practices. Examples include, but are not limited to: (a) Installing or repairing gabions with stone from a nearby source, (b) Adding brush for fish habitat, (c) Stabilizing stream banks th rough bioengineering techniques, and (d) Removing and controlling exotic v egetation, not including the use of herbicides or non-native biological controls. This CATEX would primarily involve pr operty management activities at larger properties within the U.S. Coast Guar d, Science and Technology Directorate, and the Federal Law Enforc ement Training Center.
CONSTRUCTION, INSTALLATION , AND DEMOLITION ACTIVITIES

E1 Construction, installation, operati on, maintenance, and removal of utility and communication systems (such as mobile antennas, data processing cable, and similar electronic equipment) that use existing rights-of-way, easements, utility distributi on systems, and/or facilities. This is limited to activities with towers where the re sulting total height does not exceed 200 feet and where the FCC wo uld not require an EA or EIS for the acquisition, installation, operation or maintenance.

*E2 New construction upon or improvement of land where all of the following conditions are met: (a) The structure and proposed use ar e compatible with applicable Federal, Tribal, State, and local planning and zoning standards and consistent with Federally-appr oved State coastal management programs,DRAFT FOR PUBLIC COMMENT

A-8 (b) The site is in a developed area and/or a previously-disturbed site, (c) The proposed use will not substant ially increase the number of motor vehicles at the fac ility or in the area, (d) The site and scale of construction or improvement ar e consistent with those of existing, adjacent, or nearby buildings, and, (e) The construction or improvement will not result in uses that exceed existing support infrastructure ca pacities (roads, sewer, water, parking, etc.).

*E3 Acquisition, installation, operat ion, and maintenance of equipment, devices, and/or controls necessary to mitigate effects of the Department’s missions on health and the environm ent, including the execution of appropriate real estate agreements. Exam ples include but are not limited to: (a) Pollution prevention and pollution control equipment required to meet applicable Federal, Tribal, Stat e, or local requirements, (b) Noise abatement measures, includi ng construction of noise barriers, installation of noise control materi als, or planting native trees and/or native vegetation for use as a noise abatement measure, and, (c) Devices to protect human or animal life, such as raptor electrocution prevention devices, fencing to re strict wildlife movement on to airfields, fencing and grating to pr event accidental entry to hazardous or restricted areas, and rescue beacons to protect human life.

*E4 Removal or demolition, along with subsequent disposal of debris to permitted or authorized off-site locations, of non-historic build ings, structures, other improvements, a nd/or equipment in compliance with applicable environmental and safetyrequirements.

E5 Natural resource management activities on Department-managed property to aid in the maintenance or restoration of native flora and fauna, including site preparation, landsca ping, and control of non-indigenous species. This CATEX would encom pass property management activities primarily at properties wit hin the U.S. Coast Guar d, Science and Technology Directorate, and the Federal Law Enforcement Training Center.

E6 Reconstruction of roads on Departmental facilities, where runoff, erosion, and sedimentation issues are miti gated through implementation of best management practices. This CATEX would encompass property management activities primarily at properties within the U.S. Coast Guard, Science and Technology Directorate, and the Federal Law Enforcement Training Center.

E7 Construction of physical fitness and training trails for non-motorized use on Department facilities in areas that are not environmentally sensitive,DRAFT FOR PUBLIC COMMENT

A-9 where run-off, erosion, and s edimentation are mitigated through implementation of best management pr actices. This CATEX would encompass property management activities primarily at properties within the U.S. Coast Guard, Science and Tec hnology Directorate, and the Federal Law Enforcement Training Center.

*E8 Construction of aquatic and riparian habitat in streams and ponds on Department-managed land, using native mate rials or best natural resource management practices. Examples include, but are not limited to: (a) Installing or repairing gabions with stone from a nearby source, (b) Adding brush for fish habitat, (c) Stabilizing stream banks thr ough bioengineering techniques, and, (d) Removing and controlling exotic v egetation, not including the use of herbicides or non-native biological controls. This CATEX would encompass property management activities primarily at properties within the U.S. Coast Guar d, Science and Technology Directorate, and the Federal Law Enforc ement Training Center.

HAZARDOUS/RADIOACTIVE MA TERIALS MANAGEMENT AND OPERATIONS

F1 Routine procurement, transportation, distribution, use, and storage of hazardous materials that comply with a ll applicable requirements, such as Occupational Safety and Health Act (OSHA) and National Fire Protection Association (NFPA).

F2 Reuse, recycling, and disposal of solid, medical, radiological, and hazardous waste generated inci dental to Department activities that comply with applicable requirements such as Resource Conservation and Recovery Act (RCRA), Occupational Safety and Health Act (OSHA), and State hazardous waste management practices. Examples include but are not limited to: (a) Appropriate treatment and disposal of medical waste conducted in accordance with all Federal, Tri bal, State, and local laws and regulations, (b) Temporary storage and disposal solid waste, conducted in accordance with all Federal, Tri bal, State, and local laws and regulations, (c) Disposal of radiological waste through manufacturer return and recycling programs, and (d) Hazardous waste minimization activities.

F3 Use (that may include the processes of installation, maintenance, non-DRAFT FOR PUBLIC COMMENT

A-10 destructive testing, and calibration), transport, and storage of hand-held, mobile or stationary instruments, containing sealed r adiological and radioactive materials, to screen for or detect dangerous or illegal individuals or materials in compliance with commerc ial manufacturers’ specifications, as well as applicable Federal requirement s to protect the human environment. Examples of such instrument s include but are not limited to: (a) Gauging devices, tracers, and other analytical instruments, (b) Instruments used in industrial radiography, (c) Systems used in medical and veterinary practices; and (d) Nuclear Regulatory Commission (NRC) approved, sealed, small source radiation devices for scanning vehicles and packages where radiation exposure to employees or the public does not exceed 0.1 rem per year and where systems are maintained within the NRC license parameters at existing facilities.

TRAINING AND EXERCISES

G1 Training of homeland security personne l, including international, Tribal, State, and local agency representatives using existing facilities where the training occurs in accordance with applic able permits and other requirements for the protection of the environment. This exclusion does not apply to training that involves the use of live chemical, biological, or radiological agents except when conducted at a loca tion designed and constructed to contain the materials used for that trai ning. Examples in clude but are not limited to: (a) Administrative or classroom training, (b) Tactical training, including but not limited to training in explosives and incendiary devices, arson inve stigation and firefighting, and emergency preparedness and response, (c) Vehicle and small boat operation training, (d) Small arms and less-than- lethal weapons training, (e) Security specialties and terrorist response training, (f) Crowd control training, including gas range training, (g) Enforcement response, self-def ense, and interdiction techniques training, and (h) Techniques for use in fingerprinting and drug analysis.

G2 Projects, grants, cooper ative agreements, contract s, or activities to design, develop, and conduct national, State, local, or international exercises to test the readiness of the nation to prevent or respond to a terrorist attack or a natural or manmade disaster and where conducted in accordance withDRAFT FOR PUBLIC COMMENT

A-11 existing facility or land use designations. This exclusion does not apply to exercises that involve the use of chemical, biological , radiological, nuclear, or explosive agents/devices (other than small device s such as practice grenades/flash bang devices used to simu late an attack during exercise play).

UNIQUE CATEGORICAL EXCLUSIONS FOR THE TRANSPORTATION SECURITY ADMINISTRATION (TSA)

H1 Approval or disapproval of securi ty plans required under legislative or regulatory mandates unless such plans wo uld have a significant effect on the environment.

H2 Issuance or revocation of certificates or other approvals, including but not limited to: (a) Airmen certificates, (b) Security procedures at general aviation airports, and (c) Airport security plans.
[Section I of this table has been deleted; CATEX I1 is now K3]

UNIQUE CATEGORICAL EXCLUSIONS FOR THE FEDERAL LAW ENFORCEMENT TRAINING CENTER (FLETC)

*J1 Prescribed burning, wildlife habitat improvement thinning, and brush removal for southern yellow pine at the FL ETC facility in Glynco, Georgia. No more than 200 acres will be treated in any single year. These activities may include up to 0.5 mile of low-standar d, temporary road construction to support these operations.

J2 Harvest of live trees on Federal Law Enforcement Training Center facilities not to exceed 70 acres, requiri ng no more than 1⁄2 mile of temporary road construction. Do not use this category for even-aged regeneration harvest or vegetation type conversi on. The proposed action may include incidental removal of trees for land ings, skid trails, and road clearing. Examples include but are not limited to: (a) Removal of individual trees for sa w logs, specialty products, or fuel wood, and (b) Commercial thinning of overstocked stands to achieve the desired stocking level to increase health and vigor.

J3 Salvage of dead and/or dying trees on Federal Law Enforcement Training Center facilities not to exceed 250 acre s, requiring no more than 1⁄2 mile of temporary road construction. The pr oposed action may include incidental removal of live or dead trees for l andings, skid trails, and road clearing.DRAFT FOR PUBLIC COMMENT

A-12 Examples include but are not limited to: (a) Harvest of a portion of a st and damaged by a wind or ice event and construction of a short temporary road to access the damaged trees, (b) Harvest of fire damaged trees, and (c) Harvest of insect or disease damaged trees.

UNIQUE CATEGORICAL EXCLUSIONS FOR CUSTOMS AND BORDER PROTECTION (CBP)

K1 Road dragging of existing roads and tra ils established by Federal, Tribal, State, or local governments to maintain a clearly delineated right-of-way, to provide evidence of foot traffic and t hat will not expand the width, length, or footprint of the road or trail.

K2 Repair and maintenance of existing border fences that do not involve expansion in width or length of the proj ect, and will not encroach on adjacent habitat.
*K3 [formerly I1] A portable or relocatable facility or structure used to collect traveler data at or adjacent to an existing port of entry where the placement or use of the fa cility does not significantlydisturb land, air, or water resources and does not individuallyor cumulatively have a significant environmental effect. The bu ilding footprint ofthe facility must be less than 5,000 square feet and the facility or stru cture must not foreclose future land use alternatives.

UNIQUE CATEGORICAL EXCLUSIONS FOR THE U.S. COAST GUARD (USCG)

*L1 Personnel and other administrative actions associated with consolidations, reorganizations, or r eductions in force resulting from identified inefficiencies, reduced personnel or funding levels, skill imbalances, or other similar causes.

L2 Routine procurement activities and actions for goods and services, including office supplies, equipment, mobile assets, and utility services for routine administration, oper ation, and maintenance.

L3 Routine personnel, fiscal, and administrative activities, actions, procedures, and policies which clear ly do not have any environmental impacts, such as military and civilian personnel recruiting, processing, paying, and record keeping.

L4 Review of documents, such as studies, reports, and analyses, prepared for legislative proposals that did not or iginate in DHS and that relate toDRAFT FOR PUBLIC COMMENT

A-13 matters that are not the primary responsibility of the USCG.

L5 Preparation of guidance documents t hat implement, without substantive change, the applicable Commandant Inst ruction or other Federal agency regulations, procedures, manuals, and other guidance documents.

L6 Approval of recreational activities or events (such as a Coast Guard Unit picnic) at a location developed or created for that type of activity.

*L7 The initial lease of, or grant of, an easement interest in, Coast Guardcontrolled real property to a non-Feder al party or the amendment, renewal, or termination of such lease or eas ement interest where the reasonably foreseeable real property use will not change significantly and is similar to existing uses.

*L8 The grant of a license to a non-Federal party to perform specified acts upon Coast Guard-controlled real property or the amendment, renewal, or termination of such license where the pr oposed real property use is similar to existing uses.

*L9 Allowing another Federal agency to use Coast Guard-controlled real property under a permit, use agreemen t, or similar arrangement or the amendment, renewal, or term ination of such permit or agreement where the real property use is similar to existing uses.

*L10 The lease of a Coast Guard contro lled historic lighthouse property to a non-Federal party as outlined in the Programmatic Memorandum of Agreement between the Coast Guard, Advisory Council on Historic Preservation, and the Nati onal Conference of Stat e Historic Preservation Officers.

*L11 Acquisition of real property (inclu ding fee simple estates, leaseholds, and easements) improved or unimproved, and related personal property from a non-Federal party by purchase, leas e, donation, or exchange where the proposed real property use is similar to existing uses for the foreseeable future (acquisition through condemnation not covered).

*L12 Acquisition of real property and related personal property through transfer of administrative control fr om another DHS component or another Federal agency to the Coast Guard wher e title to the property remains with the United States including transfers made pursuant to the defense Base Closure and Realignment Act of 1990, Pub. L. 101-510, as amended, (10 U.S.C. 2687 note) and wher e the proposed Coast Guard real property uses is similar to existing uses.

*L13 Coast Guard use of real propertyunder the administrative control of another DHS component or another Federal agency through a permit, useDRAFT FOR PUBLIC COMMENT

A-14 agreement, or similar arr angement where the proposed real property use is similar to existing uses.

*L14 Coast Guard new construction upon, or improvement of, land where all of the following conditions are met : (a) The structure and proposed use are substantially in compliance with prevailing local planning and zoning standards. (b) The site is on heavily develo ped property and/or located on a previously disturbed site in a developed area. (c) The proposed use will not substant ially increase the number of motor vehicles at the facility. (d) The site and scale of construction are consistent with those of existing, adjacent, or nearby buildings.

L15 Real property inspections for compliance with deed or easement restrictions.

*L16 Transfer of administrative control ov er real property from the Coast Guard to another DHS component or another Federal agency (title to the property remains with the United States ) that results in no immediate change in use of the property.

*L17 Determination by the Coast Guard that real property is excess to its needs, pursuant to the Federal Property and Administrative Services Act of 1949 (40 U.S.C. 471 et seq.), and the subsequent reporting of such determination to the Administrator of t he General Services Administration or the subsequent filing of a notice of int ent to relinquish lands withdrawn or reserved from the public domain with the Bureau of Land Management, Department of Interior, in a ccordance with 43 CFR part 2370.

*L18 Congressionally mandated conveyance of Coast Guard controlled real property to another Federal agen cy or non-Federal entity.

L19 Relocation of Coast Guard personnel into existing Federally owned or leased space where use does not change substantially and any attendant modifications to the facility would be minor.

*L20 Decisions to temporarily or perm anently decommission, disestablish, or close Coast Guard shore facilities including any follow-on connected protection and maintenance needed to main tain the property until it is no longer under Coast Guard control.

*L21 Demolition of buildings, structures, or fixtures and disposal of subsequent building, structure, or fixture waste materials.DRAFT FOR PUBLIC COMMENT

A-15 *L22 Determination by the Coast Guard t hat Coast Guard c ontrolled personal property, including vessels and aircraft, is “excess property”, as that term is defined in the Federal Property and Admini strative Services Act of 1949 (40 U.S.C. 472(e)), and any subsequent trans fer of such property to another Federal agency’s administrative control or conveyance of the United States’ title in such property to a non-Federal entity.

L23 Decisions to decommission equipment or temporarily discontinue use of facilities or equipment. This does not preclude the need to review decommissioning under section 106 of the National Historic Preservation Act. (REC required for vessels and aircraft.)

*L24 Minor renovations and additions to buildings, roads, airfields, grounds, equipment, and other facilities that do not result in a change in functional use of the real property (e.g. realigning in terior spaces of an existing building, extending an existing roadway in a developed area a short distance, installing a small anten na on an already existing antenna tower, adding a small storage shed to an exis ting building, etc.).

*L25 Installation of devices to protect hum an or animal life, such as raptor electrocution prevention devices, fencing to restrict wildlife movement on to airfields, and fencing and grating to prevent accidental entry to hazardous
areas.

*L26 Maintenance dredging and debris di sposal where no new depths are required, applicable permits are secur ed, and disposal will be at an existing approved disposal site.

L27 Routine repair, renovation, and main tenance actions on aircraft and vessels.

L28 Routine repair and maintenance of build ings, roads, airfields, grounds, equipment, and other facilities which do not result in a change in functional use, or an impact on a historically significant element or setting.

L29 Routine repair and maintenance to waterfront facilities, including mooring piles, fixed floating piers, ex isting piers, and unburied power cables.

*L30 Minor renovations and additions to waterfront facilities, including mooring piles, fixed floating piers, ex isting piers, and unburied power cables, which do not require special, si te-specific regulatory permits.

L31 Routine grounds maintenance and activities at units and facilities. Examples include localized pest management actions and actions to maintain improved grounds (such as landscaping, lawn care and minor erosion control measures) that are conducted in accor dance with applicableDRAFT FOR PUBLIC COMMENT

A-16 Federal, state, and local directives.

*L32 Defense preparedness training and exercises conducted on Coast Guard controlled property that do not involve undeveloped property or increased noise levels over adjacent property and that involve a limited number of personnel, such as exercise s involving primarily electronic simulation or command post personnel.

L33 Defense preparedness training and ex ercises conducted on other than USCG property, where the lead agency ordepartment is not USCG or DHS and the lead agency or department has completed its NEPA analysis and documentation r equirements.

L34 Simulated exercises, including tact ical and logistical exercises that involve small numbers of personnel.

L35 Training of an administrat ive or classroom nature.

*L36 Realignment or initial homeporting ofmobile assets, including vessels and aircraft, to existing operational fa cilities that have the capacity to accommodate such assets or where s upporting infrastructure changes will be minor in nature to perform as new homeports or for repair and overhaul. Note. If the realignment or homeporting would result in more than a one for one replacement of assets at an existi ng facility, then the checklist required for this CE must specifically address whether such an increase in assets could trigger the potential for signific ant impacts to protected species or habitats before use of t he CE can be approved.

L37 Operations to carry out maritime safety, maritime law enforcement, search and rescue, domestic ice break ing, and oil or hazardous substance removal programs.

L38 Actions performed as a part of US CG operations and the Aids to Navigation Program to carry out st atutory authority in the area of establishment of floating and minor fixed aids to navigation, except electronic sound signals.

L39 USCG participation in disaster relief efforts under the guidance or leadership of another Federal agency t hat has taken responsibility for NEPA compliance.

L40 Routine movement of personnel and equipment, and the routine movement, handling, and distribu tion of non-hazardous and hazardous materials and wastes in accordan ce with applicable regulations.

*L41 Contracts for activities conduc ted at establishe d laboratories and facilities, to include contractor-operat ed laboratories and facilities, on USCG-DRAFT FOR PUBLIC COMMENT

A-17 owned property where all airborne emissi ons, waterborne effluents, external radiation levels, outdoor noise, and solid and bulk waste disposal practices are in compliance with existing applic able Federal, state, and local laws and regulations.

L42 Environmental site characteri zation studies and environmental monitoring including: Siting, constr ucting, operating, and dismantling or closing of characterization and monitoring devices. Such activities include but are not limited to the following: (a) Conducting geological, geophysica l, geochemical, and engineering surveys and mapping, including the es tablishment of survey marks. (b) Installing and operating field inst ruments, such as stream-gauging stations or flow-measuring devices , telemetry systems, geochemical monitoring tools, and geophysica l exploration tools. (c) Drilling wells for sampling or moni toring of groundwater, well logging, and installation of water-level recording devices in wells. (d) Conducting aquifer response testing. (e) Installing and operating ambi ent air monitoring equipment. (f) Sampling and characterizing water, soil, rock, or contaminants. (g) Sampling and characterizing water effluents, air emissions, or solid waste streams. (h) Sampling flora or fauna. (i) Conducting archeological, historic, and cultural resource identification and evaluation studies in complia nce with 36 CFR part 800 and 43 CFR part 7. (j) Gathering data and information and conducting studies that involve no physical change to the environment. Examples incl ude topographic surveys, bird counts, wetland mapping, and other inventories.

L43 Natural and cultural resource managem ent and research activities that are in accordance with inter-agency agreements and which are designed to improve or upgrade the US CG’s ability to manage those resources.

L44 Planning and technical studies whic h do not contain recommendations for authorization or funding for futu re construction, but may recommend further study. This includes engineeri ng efforts or environmental studies undertaken to define the elements of a prop osal or alternatives sufficiently so that the environmental effects may be assessed and does not exclude consideration of environmental matters in the studies.

L45 Modification or replacement of an ex isting bridge on essentially the same alignment or location. Excl uded are bridges proving access toDRAFT FOR PUBLIC COMMENT

A-18 undeveloped barrier islands and beaches.

L46 Construction of pipeline bridges for transporting potable water.

L47 Construction of pedestrian, bicycle, or equestrian bridges and stream gauging cableways used to transport people.

L48 Temporary replacement of a bridge i mmediately after a natural disaster or a catastrophic failure for reasons of public safety, health, or welfare.

L49 Promulgation of operati ng regulations or procedur es for drawbridges.

L50 Identification of advance approv al waterways under 33 CFR 115.70.

L51 Any Bridge Program action which is classified as a CE by another Federal agency acting as lead agency for such an action.

L52 Regulations concerning vessel operation safety standards (e.g., regulations requiring: certain boaters to use approved equipment which is required to be installed such as an igni tion cut-off switch, or carried on board, such as personal flotation devices (PFDS), and/or stri cter blood alcohol concentration (BAC) standards for recr eational boaters, etc.), equipment approval, and/or equipment carriage r equirements (e.g. personal flotation devices (PFDs) and visual distress signals (VDS’s)).

*L53 Congressionally mandated regulations designed to improve or protect the environment (e.g., r egulations implementing the requirements of the Oil Pollution Act of 1990, such as those r equiring vessels to have the capability to transmit and receive on radio channels that would allow them to receive critical safety and navigation warnings in U.S. waters, regulations to increase civil penalties against persons respons ible for the discharge of oil or hazardous substances into U.S. waters, etc.).

L54 Regulations which are editorial orprocedural, such as those updating addresses or establishing application procedures.

L55 Regulations concerning internal agency functions or organization or personnel administration, su ch as funding, establishi ng Captain of the Port boundaries, or delegating authority.

L56 Regulations concerning the trai ning, qualifying, licensing, and disciplining of maritime personnel.

L57 Regulations concerning manning, documentation, admeasurement, inspection, and equipping of vessels.

L58 Regulations concerning equipment approval and carriage requirements.DRAFT FOR PUBLIC COMMENT

A-19 L59 Regulations establishing, disestablis hing, or changing the size of Special Anchorage Areas or anchorage grounds. (REC not required for actions that disestablish or reduce the size of the Area or grounds).

L60 Regulations establishing, dise stablishing, or changing Regulated Navigation Areas and security or safetyzones. (REC not required for actions that disestablish or reduce the size of the area or zone. For temporary areas and zones that are established to deal with emergency situations and that are less than one week in duration, a REC is not required. For temporary areas and zones that are established to deal with emergency situations and that are one week or longer in duration, a REC will be prepared and submitted after issuance or publication.)

L61 Special local regulations issued in conjunction with a regatta or marine parade; provided that, if a permit is required, the envir onmental analysis conducted for the permit included an analysis of the impact of the regulations. (REC not required.)

L62 Regulations in aid of navigation, su ch as those concerning rules of the road, International Regulations for the Prevention of Collisions at Sea (COLREGS), bridge-to-bridge communica tions, vessel traffic services, and marking of navigation systems.

*L63 Approvals of regatta and marine par ade event permits for the following events: (a) Events that are not located in , proximate to, or above an area designated environmentally sensitive by an environmental agency of the Federal, state, or local governm ent. For example, environmentally sensitive areas may include such areas as critical habitats or migration routes for endangered or threatened species or important fish or shellfish nursery areas. (b) Events that are located in, proxim ate to, or above an area designated as environmentally sensitive by an environmental agency of the Federal, state, or local gover nment and for which the USCG determines, based on consultation with the Governmental agency, that the event will not significantly a ffect the environmentally sensitive
area.

*L64 Disposal of real property (including facilities) by the USCG where the reasonably foreseeable use will not c hange significantly or where the reasonably foreseeable use is similar to existing surrounding properties (e.g. commercial store in a commercial stri p, warehouse in an urban complex, office building in downtown area, row house or vacant lot in an urban area).

UNIQUE CATEGORICAL EXCLUSIONS FOR THE FEDERALDRAFT FOR PUBLIC COMMENT

A-20 EMERGENCY MANAGEMENT AGENCY (FEMA)
Note: All categories of actions in Sect ion M below are being proposed as new CATEXs as part of the revision of the Department’s NEPA procedures. These CATEXs would be available for use only by FEMA.

M1 The following activities in support of FEMA’s administration of the National Flood Insuranc e Program (NFIP): (a) Review of information, provis ion of technical assistance, and classification for i ndividual communities under the Community Rating System (CRS); (b) Approvals and issuance of Le tters of Map Change, including Agency comments; (c) *Creation of new flood zones, except establishing new flood zones for areas protected by structural flood control structures or systems or dams; (d) Revisions to Standard Flood Insurance Policy and Group Flood Insurance Policy; (e) Actions associated with inspections and monitoring, and enforcement of Federal, State, Tribal, or local floodplain management codes, standards, or regulations, except for the suspension of communities from the NFIP; (f) *Development and adoption of CRS activities; and (g) Revisions to flood in surance rates and premium schedules.
M2 Transportation and prepositioning of a ssets in preparation for national emergencies and disasters.

M3 Urban Search and Rescue (USR) activities, including deployment of USR teams.

M4 Emergency Communicati ons (Stafford Act §418)

M5 Emergency Public Transportation (Stafford Act §419)

M6 Lease of pre-existing structures and faci lities for disaster operations (e.g. Joint Field Offices, Area Fi eld Offices, Disaster Recovery Centers) located out of floodplains, historic pr operties, or contaminated sites.

*M7 Lease of pre-existing structures and facilities for disaster operations (e.g., Joint Field Offices, Area Field Offices, Disaster Recovery Centers) located within floodplains, historic properties, or contaminated sites.

*M8 Development of temporary shelter or housing for first responders and Federal disaster personnel invo lving less than 10 acres of ground disturbance in previously developed or disturbed area s and that follow best management practices for pollution control.DRAFT FOR PUBLIC COMMENT

A-21 *M9 Storage of assets immediately afte r a disaster, including development of temporary staging areas involving less than 10 acres of ground disturbance in previously developed or disturb ed areas and that follow best management practices for pollution control.

M10 Activation of response and recovery frameworks and operations (e.g. National Response Framework, Nationa l Disaster Recovery Framework, National Response Coordination Cent er, Regional Response Coordination Center, Emergency Response Teams, Incident Management Assistance Teams, Emergency Support Functions, Recovery Support Functions).

M11 Information and data gathering and reporting in support of emergency and disaster response and recovery ac tivities, including ground and aerial reconnaissance and structure inspection.

M12 Development of plans by FEMAfor the purpose of preparing for disasters, recovering from disaster s, and identifying opportunities for mitigating the effects of future disasters; and the issuance of national frameworks, doctrines, guidance, standard operating procedures, and handbooks for the coordination of Federal, State, local, and private disaster response, recovery, and hazard mitigation. This CATEX is not applicable to plans associated with specific situati ons or projects t hat are reasonably foreseeable to occur and that are not otherwise covered by another CATEX.

*M13 Construction or installation of struct ures, facilities, or equipment for the purpose of ensuring the continuity ofoperations during incidents such as emergencies, disasters, flooding, and pow er outages involving less than one acre of ground disturbance. Examples include the installa tion of generators, installation of storage tanks of up to 10,000 gallons, installation of pumps, construction of structures to house emergency equipment, and utility line installation.

FEDERAL ASSISTANCE ACTIVITIES
Note: All categories of actions in Sect ion N below are being proposed as new CATEXs as part of the revision of the Department’s NEPA procedures. These CATEXs would be available for use by any DHS Component providing Federal assistance, e.g., grants.

N1 Administrative Actions Associat ed with Grants Management

. Actions related to grant administrat ion performed at any stage during the grants lifecycle, such as the developm ent and issuance of grant guidance; announcements of availability of funds; pr oject reviews for program eligibility; provision of technical assistance; c onducting inspections, financial audits, and monitoring activities; development of information technology systems for grants management; grant close-out activi ties; and actions taken in situations where a grantee or subgrantee is in non-conformance with grant programDRAFT FOR PUBLIC COMMENT

A-22 requirements, such as disallowances, recoupment of funds, and debarment.

*N2 Federal Assistance for Facility Repair . Federal assistance for the repair of structures and facilities in a manner that conforms to pre-existing design, function, location, and land use. This CATEX does not apply to work within or affecting the follo wing: streams; stream ban ks; seaward of the limit of moderate wave action (LiMWA) (aline mapped to delineate the inland extent of wave heights of1.5 feet); or the V zone (areas expected to be affected by wave impact of 3 feet or more in height, in a 100-year flood event) if the LiMWA has not been ident ified. This CATEX covers the temporary staging and use of equipment and vehicles to carry out the proposed repair actions as long as best management practices are put in place to control noise, wa ter, and air pollution.

*N3 Federal Assistance for Property Acquisition and Demolition

. Federal assistance for the acquisition of properties and the associated demolition and removal when the acquisiti on is from a willing seller, the assistance is solely for the purposes of financial compensation for the acquisition, and the land is deed restricted to open space, recreational, wildlife habitat, or wetland uses in per petuity. This CATEX covers actions associated with the determinat ion of program eligibi lity. This CATEX does not cover Federal assistance actions t hat involve acquisition for the purpose of construction or development at a site in the acquired property. The use of eminent domain is explicitlyexcluded from the CATEX.

*N4 Federal Assistance for Actions Involving Stream Work and Modification and Floodways . Federal assistance for repair and restoration actions, hazard mitigation actions ot her than flood contro l, or the new construction of facilities that are functionally dependent or facilitate open space use, when the actions are withi n or affect regulatory floodways, streams, and stream banks and that (a) Involve ground disturbance of less than 1⁄2 acre, (b) Involve stream bank work or al teration of less than 300 linear feet, (c) Do not involve hardening or armo ring of the stream banks unless the project uses stream or stream bank bioengineering techniques and improve fish passage or habitat, (d) Do not result in adverse flood ri sk effects to downstream communities, (e) Do not result in any increase of flood levels within the community during the occurrence of the base fl ood discharge if the action takes place within the regulatory floodway, and (f) Where the effect of the proposed project w hen combined with other existing or reasonably foreseeable development will not increase water surface elevation of the base flood more than one foot at any point within the community if it th e action takes place in a floodplainDRAFT FOR PUBLIC COMMENT

A-23 with no regulatory floodway.

*N5 Federal Assistance for Actions in Coastal Areas Subject to Moderate Wave Action or V Zones . Federal assistance for repair, hazard mitigation, new construction, or restor ation actions of less than one-half acre within the following areas: areas seaward of the lim it of moderate wave action (LiMWA) (a line mapped to delineate the inland extent of wave heights of 1.5 feet) during the base flood (an area that has at least a one-percent chance of being flooded in any given y ear); or areas within the V zone (a coastal area where there is a velocityhazard due to wave action) if the LiMWA has not been established. The actions must me et the following criteria: (a) They are consistent with the St ate or Tribe enforceable policies of approved coastal management programs, (b) They are not within or affect a C oastal Barrier Resource System unit, (c) They do not result in m an-made alterations of sand dunes, (d) They do not result in the permanentremoval of vegetation (including mangrove stands, wetlands, and dune vegetation), (e) Applicable Federal requirem ents and local codes and standards are followed, and (f) They involve substantial impr ovement or new construction of structures, the structur e is elevated in open works (e.g. piles and columns) as opposed to fill in a manner that the bottom lowest horizontal structural member is ator above the base flood level, the foundation is anchored to resist flotation, collapse, and lateral movement due to the effects of wi nd and water loads, and the siting of the project conforms to applicable State, Tribe, or local setback requirements. Examples of activities covered by th is CATEX include but are not limited to: the repair and elevation of structures; repair and new construction of jetties and groins; the repair, hazar d mitigation, and new construction of functionally dependent facilities such as piers, mari nas, boat ramps, bathrooms, and port facility structures; and beach restoration proj ects except projects that result in the man-made alteration of dunes and wetl ands such as beach nourishment projects.

*N6 Federal Assistance for Relocation/Realignment of Structures and Facilities . Federal assistance for the reloca tion of structures and facilities, including the realignment of linear fac ilities that are part of a bigger system, when they do not involve ground disturbance of more than one acre. This category does not apply to the following: actions that involve hardening or armoring of stream banks, unless t hey use stream or stream bank bioengineering techniques; realignment actions affecting a regulatory floodway if they result in any increas e in flood levels during the base floodDRAFT FOR PUBLIC COMMENT

A-24 discharge; or actions occurring seaward ofthe limit of moder ate wave action (or V zone when the limit of moderate wave action has not been identified).

*N7 Federal Assistance for Structure and Facility Upgrades . Federal assistance for the reconstruction, elevat ion, retrofitting, upgrading to current codes and standards, and improv ements of pre-existing facilities in existing developed areas with substantially co mpleted infrastructure, when the immediate project area has alread y been disturbed, and when those actions do not alter basic functions, do notexceed capacity of other system components, or modify in tended land use. This category does not include actions within or affecting streams or stream banks or actions seaward of the limit of moderate wave action (or V zone when the limit of moderate wave action has not been identified).

*N8 Federal Assistance for New Construction Activities of Less Than One Acre in Undisturbed or Undeveloped Areas . Federal assistance for new construction and associated site prepar ation activities in undisturbed or undeveloped areas when the activities comprise less than one acre and follow best management practices to cont rol noise, water, and air pollution. This category does not apply to newconstruction in undisturbed or undeveloped floodplains, wetlands, or seaw ard of the limit of moderate wave action (or V zone when the limit of moderate wave action has not been identified). This CATEX covers the range of activities typically necessary for new construction, including field work (e.g. borings, site inspection) and temporary staging and use of co nstruction equipment and vehicles.

*N9 Federal Assistance for Flood Hazard Reduction Actions . Federal assistance for drainage, berm, water cr ossing, and detention, retention, or sediment pond projects which have the primary purpose of addressing flood hazards and: (a) Do not affect mo re than 25 acres, (b) Do not result in adverse flood ri sk effects to downst ream communities, (c) Do not result in any increase of flood levels within the community during the occurrence of the base fl ood discharge if the action takes place within the regulatory floodway, and (d) Where the effect of the proposed project when combined with other existing or reasonably foreseeable development will not increase water surface elevation of the base flood more than one foot at any point within the community if it th e action takes place in a floodplain with no regulatory floodway.
This CATEX covers minor flood control actions as identified in Sections 1366 and 1361 of the National Flood Insurance Ac t (NFIA). Actions that are not covered in Sections 1366 and 1361 of the NFIA, such as dikes, levees, seawalls, groins, and jetties, are excluded from this CATEX.DRAFT FOR PUBLIC COMMENT

A-25 *N10 Federal Assistance for Communicat ion Towers of Less than 400 Feet . Federal assistance for the construc tion of communication towers when all of the following are met: (a) The total height is less than 400 feet above ground level, (b) The tower construction project has been through the Federal Communications Commission (FCC) Antenna Structure Registration (ASR) process and has been documented as meeting FCC environmental planning and historic pr eservation procedures for the ASR, (c) The project is located farther than 660 feet from a Bald Eagle’s nest or 0.6 mile from a Golden Eagle nest, (d) The tower is not located on ridgelines or in coastal zones, bird staging areas, colonial nesting sites, 100- or 500-year floodplains, or wetlands, and (e) The lighting scheme meets all applic able US Fish and Wildlife Service guidelines for reducing potential im pacts to night-migrating birds.
This CATEX covers associated activities such as installation of fuel storage tanks, equipment buildings, security fencing and lighting, and access roads, and land disturbance activities typically associated with construction such as clearing, fill, and grading.

*N11 Federal Assistance for Wildfire Hazard Mitigation Actions . Federal assistance for the following wild fire hazard mitigation actions: (a) Actions involving the creation of defensible space by the removal or reduction of flammable vegetation around existing structures for up to 100 feet of the structure; (b) Actions involving hazardous f uel reduction proximate to at-risk structures which includes the select ive removal of vegetation that less than 12 inches in diameter through thinning, pruning, limbing, sawing, or brush cutting; removal of downed, dead, or dry vegetation material as part of the overall action.
The actions must be limited to less than 100 acres of vegetation removal either individually or when comb ined with other reasonably foreseeable private or public actions.

N12 Federal assistance for plant ing of indigenous vegetation.

N13 Provision of the Fo llowing Forms of Federal Assistance Under the Stafford Act: (a) Unemployment Assistance (§410); (b) Individuals and Households Progr ams (§408), except for grants thatDRAFT FOR PUBLIC COMMENT

A-26 will be used for restoring, repairing or building private bridges, or purchasing mobile homes or othe r readily fabricated dwellings; (c) Food Coupons and Distribution (§412); (d) Food Commodities (§413); (e) Legal Services (§415); (f) Crisis Counseling Assi stance and Training (§416); (g) Community Disaster Loans (§417); (h) Emergency Communications (§418); (i) Emergency Public Transportation (§419); (j) Fire Management Assistance (§420)

N14 Federal assistance for Urban S earch and Rescue (USR) activities, including deployment of USR teams.

*N15 Federal Assistance for Disaster Te mporary Individual Housing in Private and Commercial Sites . Federal assistance for the installation and/or removal of individual housing units in private or commercial sites, or the development of pre-existing commercial sites or residential facilities that are not located on contaminated sites fo r individual tempor ary housing units.

*N16 Federal Assistance for DisasterTemporary Group Housing of Less than Five (5) Acres . Federal assistance for the placement of disaster temporary group housing, including asso ciated temporary facilities and the tie-in or installation of necessary utilit ies to service the housing units (such as electricity, potable water, and wastewaterinfrastructure), that involves less than five (5) acres of ground disturbance on sites that are zoned for housing and that follow best management practices fo r pollution control. This CATEX also covers the conversion of such temporary housing to permanent housing when these criteria are met.

N17 Federal Assistance for Development of Plans in Support of Response, Recovery, and Hazard Mitigation Activities . Federal assistance for the development of pl ans for the purpose of preparing for disasters, recovering from disaster s, and identifying opportunities for mitigating the effects of fu ture disasters. This incl udes but is not limited to State, Tribal, and local hazard miti gation plans, debris management plans, long-term recovery plans, and disaster housing plans. This CATEX is not applicable to plans associated with spec ific projects that are reasonably foreseeable to occur and that are not otherwise covered by another CATEX.

*N18 Federal Assistance for Construction or Installation of Structures, Facilities, or Equipment to En sure Continuity of Operations . Federal assistance for the construction or insta llation of measures for the purpose ofDRAFT FOR PUBLIC COMMENT

A-27 ensuring the continuity of operations during incidents such as emergencies, disasters, flooding, and power outages involving less than one acre of ground disturbance. Examples include the installation of generators, installation of storage tanks of up to 10,000 gallons, installation of pumps, construction of structures to hous e emergency equipment, and utility line installation. This CATEX covers asso ciated ground disturbing activities, such as trenching, excavation, and vegetati on removal of less than once acre, as well as modification of existing structures.
*N19 Federal Assistance for Clean-up and Other Actions to Restore Environmental Resources . Federal assistance for clean-up and other actions to restore environmental res ources to pre-existing conditions when resource contamination or damage resu lts from a disaster event and when the clean- up and associated actions are not exempt from NEPA. Examples include the clean-up of underground stor age tank releases and above ground releases that affect nearby water bodies or wetlands.DRAFT FOR PUBLIC COMMENT

B-1 

## Appendix B. List of Environmental Planning Requirements other than NEPA

DHS integrates the NEPA process with review and compliance requirements under other Federal laws, regulations, Executiv e Orders, and other re quirements for the stewardship and protection of the human environment. These other environmental planning requirements include, but are not limited to, the following:
A. Clean Air Act (16 U.S.C. §470 et seq.).
B. Clean Water Act 33 (U.S.C. §1251 et seq.).

C. Coastal Barrier Resources Ac t (16 U.S.C. §3501 et seq.).
D. Coastal Zone Management Ac t (16 U.S.C. §1451 et seq.).
E. Endangered Species Act (16 U.S.C. §1531 et seq.).
F. Farmland Protection Policy Act (7 U.S.C. §4201 et seq.).
G. Marine Mammal Protection Act (16 U.S.C. §1361 et seq.).
H. Migratory Bird Treat y Act (16 U.S.C. §703-712).

I. National Historic Preservati on Act (16 U.S.C. §470 et seq.).

J. National Marine Sanctuaries Act (16 U.S.C. §1431 et seq.).
K. Executive Order 11988, Floodplai n Management, dated May 24, 1977.
L. Executive Order 11990, Protection of Wetlands, dated May 24, 1977.
M. Executive Order 12114, Environmental Effects Ab road of Major Federal Actions, dated January 4, 1979.
N. Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, dated February 11, 1994.
O. Executive Order 13423, Strengthening Federal En vironmental, Energy, and Transportation Management, dated January 24, 2007.
P. Executive Order 13514, Federal Leader ship in Environmental, Energy, and Economic Performance, dated October 5, 2009.DRAFT FOR PUBLIC COMMENT

C-1 

## Appendix C. Record of Environmental Consideration (REC) Template for Categorically Excluded Actions

INTRODUCTION

The purpose of this Record of Environmental Consideration (REC ) is to provide a record that the potential for impacts to the quality of the human environment has been considered in the decision to implement the Proposed Action described below, in accordance with the National Environmental Policy Act of 1969 (NEPA) and DHS Directive 023-01 and Instruction Manual 023-01-001-01 on im plementation of NEPA. DHS integrat es the NEPA process with review and compliance requirements under other Federal laws, regulat ions, Executive Orders, and other requirements for the stewardship and protection of the human environment, as reflected in Section II (8) of this REC. Signature of the DHS Proponent on this REC demonstrates that they have consider ed the potential for impacts to the human environment in their decision to implement the Proposed Action as required by NEPA, and are committing to any conditions listed in Section IV of this REC that may be requ ired for implementation of the project.

Instructions: Information to complete this form is needed from both the proponent office and environmental planning specialists. The environmental impact evaluation documented in this REC must include the full life-cycle of the Proposed Action, to the extent that the stages ofthat life-cycle are reasonably foreseeable and sufficiently developed to make an environmental analysis possible at this time. Any connected or related activities that are needed for the Proposed Action to be effective, or that need this Proposed Action to be effe ctive, must also be included in the environmental impact evaluation. Provide quantitative information where appropriate ; discuss alternatives, if appropriate; and attach relevant supporting documents (e.g., maps, photographs, correspondence, reports, etc.). When completed, the form is to be signed by the Preparer, the Environmental Approver, and the Action Proponent. The completed REC becomes a part of the administrative record for the Proposed Action.

SECTION I – Description of Proposed Action

1. Name of Component and Program/Office Authorizing the Proposed Action:

2. Title of Proposed Action:

3. Identifying Number of Proposed Action (if available):

4. Estimated Start Date and Useful Life of Proposed Action:

5. Location of Proposed Action (e.g., Nationwide, Regional, Site-Specific. If site-specific, provide City, C ounty, State, and street address and/or lati tude-longitude coordinates):

6. Description of Proposed Action, including its purpos e and need and any related or connected actions. You may include as attachments maps, photographs, diagrams, or ot her information that may assist with the description.

SECTION II – Analysis of Extraordinary Circumstances

7. Proposed Action is not a piece of a larger action

Proposed Action is a piece of a larger action

Remarks:DRAFT FOR PUBLIC COMMENT

C-2 8. For A through K, check the appropriate box and provide an explanation when appropriate. Include a summary of any coordination or consultation that occurred with a resource or regulatory agency, if relevant.

Yes No A. Will the Proposed Action have a potentially sign ificant effect on public health or safety?

Remarks:

Yes No B. Will the Proposed Action have a potentially sign ificant effect on specie s or habitats protected by the Endangered Species Act, Marine Mammal Protection Act, Migratory Bird Treaty Act, Bald and Golden Eagle Protection Act, or Magnuson-St evens Fishery Conservation and Management A ct?

Remarks:

Yes No

Remarks: C. Will the Proposed Action have a potentially signif icant effect on a district, highway, structure, or object that is listed or eligible for listing on the National Register of Historic Places (NRHP)? Will the Proposed Action have a potentially significant effect on a historic or cultural resource, traditional or sacred site, or result in the destructi on of a significant scientific , cultural, or historic resource?

Yes No D. Will the Proposed Action have a potentially si gnificant effect on an environmentally sensitive area?

Remarks:

Yes No E. Will the Proposed Action resultin the potential violation of a Federal, State, or local law or requirement imposed to protect the environment?

Remarks:

Yes No F. Will the Proposed Action have an effect on t he quality of the human env ironment that is likely to be highly controversial in terms of scientific va lidity, likely to be highly uncertain, or likely to involve unique or unknown environmental risks?

Remarks:

Yes No G. Will the Proposed Action employ new or unproven technology that is likely to involve unique or unknown environmental risks, where the effe ct on the human environment is likely to be highly uncertain, or where the effect on the human environment is likely to be highly controversial in terms of scientific validity?

Remarks:

Yes No H. Will the Proposed Action establish a precede nt for future actions that have significant effects?

Remarks:DRAFT FOR PUBLIC COMMENT

C-3 Yes No I. Is the Proposed Action significantly greater in scope or size than normally experienced for its particular category of action?

Remarks:

Yes No J. Does the Proposed Action have the potential to result in significant degradation of existing poor environmental conditions? Will the Propos ed Action initiate a potentially significant environmentally degrading influence, activity, or e ffect in areas not significantly modified from their natural condition?

Remarks:

Yes No K. Is the Proposed Action related to other actions with individually insignificant but cumulatively significant impacts?

Remarks:

SECTION III – Categorical Ex clusion (CATEX) Determination

9. If one or more DHS CATEX applies to the proposed action, indicate which DHS CATEX(s) applies (see Appendix A, Table 1, DHS Instruction Manual 0 23-01-001-01 for the list of DHS CATEXs ). The entire proposed action must clearly fit within one or more DHS CATEX(s). Note: The presence of an extraordinary circumstance (Section II above) precludes the application of a CATEX wh en the circumstance would have significant environmental impacts (i.e., Environmental Impact Statement requir ed), or presents the potential for si gnificant environmental impacts (i.e., Environmental Assessment (EA) required), or that potential cannot be readily dete rmined without further analysis (i.e., EA required).

SECTION IV – Conditions

10. The following conditions are required to implement the Proposed Action:

 Any change to the Proposed Action requires re-evaluat ion for compliance with NEPA before the action can proceed.

 This review addresses NEPA and requirements under ot her environmental planning requirements that are integrated into the NEPA process. This review may identi fy the need for additional Fe deral, State, and/or local permits, approvals, etc. required for the Proposed Acti on. However, this review may not satisfy those requirements and the Proponent is responsible for ensurin g that all other appropriate Federal, State, and/or local permits, approvals, etc. have been obtained.

 [Add action-specific conditions as necessary, e.g.: If ground disturbing activities occur during action implementation, the Proponent will monitor groun d disturbance and if any potential archeological resources or human remains are discovered, will immediately cease work in that area and notify ______.]DRAFT FOR PUBLIC COMMENT

C-4 SECTION V – Signatures

11a. Preparer of this REC

Name, Office, and Title: Signature: Date:

11b. Environmental Approver of this REC

Name, Office, and Title: Signature: Date:

11c. Office of General Counsel Reviewer ofthis REC (if required by Component)

Name, Office, and Title: Signature: Date:

11d. Action Proponent

Name, Office, and Title: Signature: Date: