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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: 
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Table of Contents 

I. List of Acronyms ..................................................................................................... I-1

II. Definitions ............................................................................................................. II-1

III. Introduction ....................................................................................................... III-1

IV. Managing NEPA Implementation ...................................................................... IV-1

A. Decision-Making and Integration of NEPA with DHS Missions ......................... IV-1

B. Primary Point of Contact within Components ................................................... IV-2

C. Activities Requiring Notification to SEP ............................................................ IV-2

D. Collaboration .................................................................................................... IV-4

E. Dispute Resolution ........................................................................................... IV-4

F. EP&HP Decision Support System (EP&HP DSS) ............................................ IV-5

G. Public Involvement ........................................................................................... IV-6

H. Use of Contractors .......................................................................................... IV-10

I. Performance Metrics and Reporting Requirements ........................................ IV-10

J. Review of Other Agency NEPA Documents ................................................... IV-10

K. Component Supplemental Instructions and Delegation of Authority ............... IV-11

L. Administrative Record Requirements ............................................................. IV-15

V. Procedures for Implementing NEPA ..................................................................... V-1

A. Overview of NEPA Requirements ...................................................................... V-1

B. Categorical Exclusions and Extraordinary Circumstances ................................ V-4

C. Environmental Assessments ............................................................................. V-7

D. Environmental Impact Statements ................................................................... V-12

E. Mitigation and Monitoring ................................................................................ V-17

F. Cooperating and Joint Lead Agency Relationships ......................................... V-18

G. NEPA Analysis and Writing ............................................................................. V-19

VI. Emergency Actions ........................................................................................... VI-1

A. Secure Lives and Protect Property ................................................................... VI-1

B. Determine Applicability of NEPA ...................................................................... VI-1

C. Notification to SEP ............................................................................................ VI-1

D. Determine Level of NEPA Evaluation ............................................................... VI-1

VII. Review of Applications from Persons or Organizations Outside of DHS ......... VII-1

Appendix A. DHS List of Categorical Exclusions ..................................................... A-1
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Appendix B. List of Environmental Planning Requirements other than NEPA ......... B-1

Appendix C. Record of Environmental Consideration (REC) Template for 

Categorically Excluded Actions ................................................................................... C-1
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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 Planning 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 Chief Readiness Support Officer 

OGC Office of the General Counsel 

OPA Office of Public Affairs 

PEA Programmatic Environmental Assessment 

PEIS Programmatic Environmental Impact Statement 

REC Record of Environmental Consideration 
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ROD Record of Decision 

SEA Supplemental Environmental Assessment 

SEIS Supplemental Environmental Impact Statement 

SEP Sustainability and Environmental Programs 

U.S. United States 

U.S.C. United States Code 
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II. Definitions 

All definitions contained in the Council on Environmental Quality (CEQ) Regulations for 

Implementing the Procedural Provisions of the National Environmental Policy Act 

(NEPA) (40 Code of Federal Regulations [CFR] Parts 1500-1508) apply to this 

Instruction Manual. Definitions from the CEQ regulations of some of the terms and 

phrases that are more commonly used in this Instruction Manual are provided below for 

ease of reference. Additional terms and phrases 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 approved by permit or other regulatory decision 

as well as Federally-assisted activities (e.g., grants). 

Best Management Practices: Generally accepted and applied measures or practices 

to lessen the adverse effects of actions on the human environment (e.g., control 

stormwater flowing through a construction site 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 environmental analysis in an EA or EIS because the activities 

have been determined to not individually or cumulatively have a significant effect on the 

human environment. Agencies can define categories of such activities as a way to 

reduce unnecessary paperwork and delay. CATEXs are defined by, and are unique to, 

each Federal agency; at DHS they may be established 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 the Secretary. This is inclusive of both 

Operational Components and Support (also known as Headquarters) Components. For 

purposes of this Instruction, the Office of the Secretary also 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 within their respective organization. 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 or special expertise with respect to any 

environmental impact involved in a proposal (or a reasonable alternative) for legislation 

or other major Federal action significantly affecting the quality of the human 

environment. Participation of Cooperating Agencies is not limited to the preparation of 

Environmental Impact Statements; it may also be appropriate 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 oversee implementation of the Act. The Council is 
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appointed by the President with the advice and consent of the Senate. The President 

designates the Chairman. CEQ’s responsibilities include appraising Federal 

Government programs and activities in light of the policy set forth in Title I of NEPA and 

formulating and recommending national policies to promote improvement 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 incremental impact of an action 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 minor but 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, effects of proposed actions includes 

ecological (such as the effects on natural resources and on the components, structures, 

and functioning of affected ecosystems), aesthetic, historic, cultural, economic, social, 

or health, whether direct, indirect, or cumulative. Effects may also include those 

resulting from actions which may have both beneficial and detrimental effects. “Effects” 

and “impacts” as used in the CEQ regulations and this Instruction Manual are 

synonymous. 

Effects of National Concern: Effects that because of the high quality or function of the 

affected resource or because of the wide geographic range of effects could create 

concern beyond the locale or region of a proposed action, as well as effects that may 

occur in multiple geographic regions of the 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 demanding immediate action for the protection of 

human life, public safety, public health, or the 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 emergency 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 responsible that serves to: briefly provide 

sufficient evidence and analysis for determining whether to prepare an Environmental 

Impact Statement or a Finding of No Significant Impact, 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 human environment. It includes all of the 

necessary studies, consultation, and public involvement needed to analyze the potential 

for environmental impact of a proposed action, assign a value to the level of impact (e.g. 
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minor, moderate, or major), consider mitigation, and determine the level of significance; 

whether significant or not. An environmental impact evaluation results in either the 

application of a Categorical Exclusion or documentation in the form of a final 

Environmental Assessment and Finding of No Significant Impact or a final 

Environmental Impact Statement. An environmental 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 primary point of contact in a Component who 

is responsible for coordination with SEP on NEPA 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 stewardship because of its value as a natural, 

historic, or cultural resource. Examples include, but are not limited to: (1) proposed or 

designated critical habitat for threatened or endangered species; (2) properties listed or 

eligible for listing on the National Register of 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 aquifers, Marine Sanctuaries, National Wildlife 

Refuges, National Parks, National Monuments, 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 significant effect on the human 

environment and for which an environmental impact statement therefore 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 group 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. 
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Lead Agency: As defined in 40 C.F.R. §1508.16, the agency or agencies preparing or 

having taken primary responsibility 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 responsibility. Major 

reinforces but does not have a meaning independent 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 courts or administrative tribunals under the 

Administrative Procedure Act or other applicable law as agency 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 of an adverse effect on the quality of the 

human environment. The following examples of ways to mitigate 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 action and its implementation; (c) rectifying the impact by 

repairing, rehabilitating, or restoring the affected environment; (d) reducing or 

eliminating the impact over time by preservation and maintenance operations during the 

life of the action; (e) compensating for the impact by replacing or providing substitute 

resources or environments. Mitigation may also include the utilization of best 

management practices and adaptive management approaches. 

National Environmental Policy Act (NEPA): Public Law 91-190, as amended, 

declares a national policy which encourages 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, FONSI, 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 systematically address the environmental 

stewardship and compliance requirements set forth 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 restoring the quality of the human environment. 

This process consists wholly or in part of scoping, development, and consideration of 

the proposed action and alternatives, environmental impact evaluation, consideration of 

mitigation and monitoring its success, consultation, 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 public 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. 
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Office of the Chief Readiness Support Officer (OCRSO): Office that supports the 

Departmental CRSO, which is organizationally located in the Management Directorate 

at DHS Headquarters (HQ), as defined in DHS Directive 0100, Organization of the 

Office of the Under Secretary for Management, 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 the chief legal officer and the final legal 

authority within DHS, and has the 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 denominated Office of Chief Counsel, Office of 

Principal Legal Advisor, Office of the Judge Advocate General or otherwise. 

Proponent: A DHS Federal employee who is the identified program or project 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 level (e.g., district to region, region to 

headquarters) for approval. The Proponent also normally has authority to establish the 

total estimate of resource requirements for the proposed action or, in the execution 

phase, has the authority to direct the use of resources. The Proponent does not have to 

personally perform the environmental impact evaluation or have NEPA expertise, but is 

responsible for ensuring NEPA compliance before committing DHS to a particular 

course of action; this includes responsibility (with support from their respective EPPM) 

for the completion of any appropriate NEPA documentation. 

Record of Decision (ROD): The concise public record described in 40 C.F.R. §1505.2 

that is prepared to conclude the process of preparing an Environmental Impact 

Statement. The ROD need not be a unique or separate document, when a formal 

public record of a decision is otherwise issued, 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 the application of any CATEX identified with an 

asterisk in Appendix A, Table 1 of this Instruction Manual. RECs are normally prepared 

and maintained electronically in 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 such as society as a whole, the affected 

region, the affected interests, and the locality. Significance varies with the setting of the 

proposed action. Intensity refers to the severity of impact. See 40 C.F.R. §1508.27 for 

the full definition. 
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Special expertise: As defined in 40 C.F.R. §1508.26, an agency’s statutory 

responsibility, mission, or related program experience. 

Sustainability and Environmental Programs (SEP): A program management area 

organizationally located in OCRSO, Management Directorate, DHS Headquarters. SEP 

is responsible for oversight of the implementation of NEPA across DHS.
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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, “Implementation of the National Environmental Policy Act,” 

(hereafter Instruction Manual and Directive) establish the 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 the 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 implementing 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 implement 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 decision-making tool that helps Federal agency 

decision-makers systematically identify and evaluate the potential environmental 

impacts of proposed actions prior to making decisions. The NEPA process encourages 

public involvement in decisions that would affect the quality of the human environment 

and includes the identification and evaluation of reasonable alternatives to proposed 

actions that would avoid or minimize 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 of Congress, or proposed by persons or 

organizations outside of DHS that require approval, funding, a license, or a permit from 

DHS. 

The requirements of this Instruction Manual apply to the execution of all NEPA activities 

across DHS. Within Components, proponents of programs, projects, and activities 

implement the requirements of the Directive and this Instruction Manual in consultation 

with their respective Environmental Planning 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 Environmental Programs (SEP) when appropriate. 

References to government organizations or regulations in this Instruction Manual 

include their succeeding organizations and requirements. 
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IV. Managing NEPA Implementation 

A. Decision-Making and Integration of NEPA with DHS Missions 

DHS follows the Directive and this Instruction Manual to ensure that decisions are 

made in accordance with the policies and procedures of NEPA. DHS integrates the 

NEPA process with other planning efforts at the earliest possible stage so that 

environmental factors are considered with sufficient time to have a practical 

influence on the decision-making process before decisions are made. Within 

Components, Proponents ensure that the appropriate NEPA analysis and 

documentation is completed before a decision 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 environment, and follows CEQ guidance on such 

integration. These other requirements include, but are not limited to, those listed in 

Appendix B. However, compliance with other requirements for the stewardship and 

protection of the human environment 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 for every DHS program. Proposals and 

actions may be initiated at any level of the DHS organization. Similarly, review and 

approval authority may be exercised at various 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 documents in evaluating proposals for action; 

(2) Make relevant NEPA documents, comments, and responses part of the 

record in formal rulemaking or adjudicatory proceedings; 

(3) As a proposal for action is being 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 alternatives being considered are 

appropriately analyzed under NEPA and, when evaluating a proposal for 

action, that only those alternatives discussed in the relevant NEPA 

documents are considered in the evaluation, unless the environmental 

documents are appropriately supplemented to examine a newly developed 

alternative. 
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B. Primary Point of Contact within Components 

Each Component provides to Director SEP the 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 Requiring 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 are likely to receive high-level executive 

branch and/or national attention, including those that are likely to require 

the attention of either the Deputy Secretary or the Secretary. This 

includes situations where a Component intends to communicate with 

another Federal agency regarding the NEPA activities. SEP provides 

written notification to Components 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 Environmental 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 Environmental 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 resolved at the Component level. See the 

dispute resolution process in Section IV, Part E. 

(5) Requests for DHS review and comment on NEPA documents originating 

from other agencies when the receiving Component has a mission-related 

interest in the proposal, so that SEP can coordinate the request among 

Components to determine whether others 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 possible for emergency actions. If more 

than one Component has a mission-related interest in the proposal, SEP 

normally prepares a single departmental 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. 
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(6) Where a Component is the lead or joint-lead, the following are reviewed 

by SEP prior to public disclosure: all Notices 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 for 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 provided 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 Supplemental 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). Components provide SEP with copies of nonsubstantive changes to existing approved 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, Part K (3)). SEP provides written 

comments to Components within ten (10) working days of notification for 

EAs and EISs and five (5) working days 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 Appendix A, Table 1. Also see 

Section V, Part B (3). 

(11) Existence of circumstances that may substantially impair a Component’s 

ability to fulfill substantive requirements of the Directive and Instruction 

Manual, and Component Supplemental Instructions, if they exist (e.g., the 

departure of the Component’s EPPM or a significant proportion of staff 

who perform environmental planning activities). 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). 
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D. Collaboration 

Collaboration among DHS personnel regarding common NEPA issues helps 

promote effective and efficient environmental planning and NEPA compliance and 

fosters the growth of environmental planning expertise across DHS. To that end, 

SEP is responsible for facilitating collaborative efforts across DHS to promote 

effective implementation of NEPA. SEP uses various communication methods, 

including email distribution lists, committees, and work groups with Component 

representation. Through these channels, issues are surfaced, expertise from 

across DHS is used to develop solutions, and members are kept apprised of and 

given the opportunity to provide input into current NEPA initiatives – both those 

developed by DHS and those originating 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 resolution process described in Section IV, 

Part E. Components raise common issues to SEP for a determination as to 

whether a DHS-wide solution is needed. 

E. Dispute Resolution 

During the NEPA process, DHS and another Federal agency or Tribal, State or local 

government or the public may not agree on significant issues 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 the 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 NEPA disputes at the lowest organizational 

level possible and to follow established organizational lines of authority for elevating 

and resolving the dispute. If a NEPA dispute cannot be resolved at the Component 

level, the Component requests the involvement of Director SEP for resolution. 

When the issue(s) of conflict 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 context of a memorandum of understanding or 

similar interagency agreement which includes a dispute resolution provision, the 

terms of that dispute resolution provision are ordinarily followed. The CEQ 

regulations provide a formal Referral Process that may be used for referring 

interagency disagreements to CEQ regarding proposed actions considered in an 

EIS that might cause unsatisfactory environmental 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 differences 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 submits the package to Director SEP, and 
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IV-5 

Director SEP submits the referral to CEQ. Alternative Dispute Resolution, using the 

Institute for Environmental Conflict Resolution (see http://www.ecr.gov/) or another 

mediation service, is another option that may be used for resolving interagency 

disputes. Additional information on environmental collaboration and conflict 

resolution is provided in the CEQ and OMB Memorandum on Environmental 

Collaboration and Conflict Resolution, 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 standardize and improve the 

efficiency and effectiveness of DHS reviews 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 may 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 enables knowledge sharing 

across DHS regarding environmental planning activities and requirements, is a 

repository for DHS NEPA documents, and is used to gather information necessary 

for meeting internal and external EP&HP reporting requirements, including NEPA 

reporting requirements. Reference to the EP&HP DSS in this Instruction Manual 

includes Version 2.0 and future versions of the system and any successors. 

The EP&HP DSS is used for the following: 

(1) To record the application of any CATEX listed in Appendix A, Table 1 that 

is denoted with an asterisk; 

(2) To maintain electronic versions of final NEPA documents, such as: RECs, 

EAs, EISs, Findings of No Significant Impact (FONSIs), and Records of 

Decision (RODs), as well as associated documents, including but not 

limited to Memoranda of Agreement, Programmatic Agreements, and 

Biological Assessments; and 

(3) As determined by Components in their Supplemental Instructions. 

In instances when the EP&HP DSS is not available (e.g., if the server is down), 

Components manually prepare a REC, using the template provided in Appendix C. 

Components may propose modifications to this template in their Supplemental 

Instructions, provided that the Component-specific template remains compatible 

with the EP&HP DSS. Components include in their Supplemental 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 available, 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 requirements on use of the system, such as user roles 

and workflow, is provided online within the EP&HP DSS. 
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G. Public Involvement 

Open communication, consistent with other Federal requirements, is DHS policy. 

Intergovernmental collaboration and public involvement improve the effectiveness of 

DHS missions and activities, as well as build trust between DHS and the 

communities it serves. In addition, collaboration with other Federal, Tribal, State, 

and local agencies, as well as non-governmental organizations and the general 

public is an effective way to identify 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 the scope of issues and level of analysis. 

During the NEPA process, information and documents are made available to the 

public in conformance with CEQ regulations at 40 C.F.R. §1506.6. Public 

involvement starts early and continues throughout the NEPA process. Components 

schedule sufficient time and make all reasonable efforts to ensure that potentially 

interested parties are identified and notified and have an opportunity to provide 

input in a manner that could have a practical influence on proposed DHS actions 

before decisions are made. Components make information on NEPA activities 

available to the public through a variety of notification methods including, but not 

limited to, the Federal Register, newspaper notices, website postings, and other 

media as appropriate. Specifically for a draft or final EIS, a “Notice of Availability” 

(NOA) is published in the Federal Register (see Section V, Part D (8)).

In general, collaboration and public involvement in NEPA activities include the 

following three key elements: (1) seeking information from outside parties to help 

identify relevant issues; (2) presenting the results of an environmental impact 

evaluation for public review or comment, including a description of how the 

identified relevant issues were considered in the evaluation; and (3) providing a 

public notice of DHS’s final decision, including 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 involvement effort. Public involvement efforts 

are tailored to the nature of the proposed action, the environmental impact 

issues of concern, and the characteristics of the individuals and communities to 

be reached. 

Special outreach efforts to reach affected minority populations and low-income 

populations are appropriate to ensure consideration of environmental justice 

pursuant to Executive Order (EO) 12898, Federal Actions to Address 

Environmental Justice in Minority Populations and Low-Income Populations, the 

CEQ guidance for consideration of environmental justice under NEPA dated 

December 10, 1997, and the DHS Environmental Justice Strategy 

(http://www.dhs.gov/dhs-environmental-justice-strategy). Translation of NEPA 

documents is also appropriate to reach communities of limited-English 

speakers. 
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IV-7 

Coordination with affected Tribes and Native Hawaiian organizations is another 

requirement that can be met in conjunction with NEPA public involvement 

activities. Executive Order 13175, “Consultation and Coordination with Indian 

Tribal Governments” directs all Federal departments to “strengthen the United 

States government-to-government relationships with Indian tribes and establish 

regular and meaningful consultation and collaboration with tribal officials in the 

development of Federal policies that have tribal implications...”

Components consider the following factors to determine the appropriate nature 

and extent of public involvement efforts for proposed actions: 

(a) The size and type of the proposed action. 

(b) Whether the proposed action is of international, national, regional, or 

local interest. 

(c) The potential environmental impacts of the proposed action. 

(d) Extent of previous environmental analysis for the proposed action 

and/or the geographical location where the action would occur. 

(e) Extent of anticipated controversy over the potential 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 posted, 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 guidelines established by OPA at 

http://dhsconnect.dhs.gov/org/comp/opa/web/ Pages/default.aspx and the 

Office of Management and Budget’s (OMB) Policies for Federal Agency Public 
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Websites (OMB M-05-04) (http://www.whitehouse.gov/sites/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 allowable to link to a contractor-maintained website. 

All EISs and RODs are either 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 directly 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 provided. Where a Component is a joint lead 

agency, the joint lead agencies determine the appropriate host in the Federal 

government domain (.gov). The DHS NEPA webpage is not presently intended 

to be used for the deliberative exchange of information or comments that may 

be necessary in the development of NEPA 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 publishing 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 incorporated 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 SEP a minimum of seven (7) calendar 

days in advance of the date they seek to make the information publicly 

available. For NEPA documents related to emergency actions, or in 

other time-sensitive situations as appropriate, SEP requests that OPA 

expedite the approval and posting of web content. 

(3) Information Protected from Public Disclosure 

There is no national security or homeland security exemption from complying 

with NEPA. However, information used in a NEPA analysis is subject to 

compliance with other laws, including the Freedom of Information Act (FOIA) (5 

U.S.C. sec. 552). FOIA encourages Government accountability through 
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IV-9 

transparency. It provides that any person has a right, enforceable in court, to 

obtain access to Federal agency records, except to the extent that such records 

(or portions thereof) are protected from public disclosure by a FOIA exemption; 

these exemptions are designed to strike a “workable balance” between what 

citizens need to know and the Government’s need to protect certain 

information. Information on FOIA, including 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 Compliance. DHS will not provide 

information to the public through the NEPA 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 archeological sites, when such information is 

not otherwise publicly available. 

The fact that a proposed action itself or the environmental analysis for a 

proposed action contains information protected from public disclosure by a 

FOIA exemption does not relieve DHS of the requirement to assess and 

document the environmental effects of the 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 analysis also cannot be made 

public. In some circumstances the environmental analysis may not be subject 

to judicial review; nevertheless, an environmental analysis is required. 

If the existence of a proposed action can be made public, but the environmental 

analysis would have to contain information that cannot be made public, then 

DHS segregates any information that is protected from public disclosure into an 

appendix sent to appropriately cleared reviewers and decision-makers, and 

allows public review of the rest of the 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. However, DHS may share such protected 

NEPA documents with appropriately 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 interpret FOIA in the same way that DHS 

does and may release material that DHS would not release, except that which 

is properly classified for the exception in subsection 552(b)(1). 

If the existence of a proposed action must be protected from public disclosure 

or portions of an environmental analysis must be protected from public 

disclosure, Components consult with their respective EPPM and OGC at the 

earliest possible time to ensure that NEPA compliance efforts align with the 

project schedule to the extent practicable. To identify DHS and other Federal 

agency personnel, as well as Tribal, State, and local personnel, that have the 

appropriate clearance for reviewing classified information during a NEPA 

process for a proposed DHS action, Components 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. 
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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 information that is protected from public disclosure. 

H. Use of Contractors 

NEPA decision-making is an inherently governmental function. DHS frequently uses 

contractors to perform activities during the NEPA process, such as developing 

documents, conducting analyses, and soliciting 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, should be minimized or avoided, unless 

otherwise specified in the terms of a particular contract. Proprietary information 

used by contractors in performance of NEPA activities is subject to public disclosure 

and should be avoided. If proprietary information 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 appendix where its distribution may be more 

carefully controlled. 

I. Performance Metrics and Reporting Requirements 

Performance metrics are important indicators of compliance with NEPA 

requirements and of implementation of the Directive and Instruction Manual 

throughout DHS. In addition, DHS responds to Congressional and Federal 

interagency NEPA reporting requirements (e.g., the annual CEQ Cooperating 

Agencies Report). SEP issues data calls to Components, when necessary, to 

obtain the information required by these 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 metrics, such as those on the DHS Office of 

the Chief Readiness Support Officer (OCRSO) Scorecard, are established by SEP 

with participation of Components through committees and work groups. 

Components complete and submit their NEPA performance information to Director 

SEP in accordance with established requirements and timeframes. Responses to 

such reporting requirements 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 facilities, or when DHS has subject matter 

expertise or legal authorities relevant to the proposed action. When such requests 

are received, Components provide written notification to SEP prior to issuing any 

comments to the requesting agency. 
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IV-11 

Comments are confined to matters within the jurisdiction or expertise of DHS. These 

include, but are not limited to, homeland security, immigration, other law 

enforcement missions, and emergency management. Components normally do not 

comment on aspects of a NEPA document provided 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 criteria in Section IV, Part C. 

Generally, DHS does not provide formal written 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 the nature and level of 

DHS interest in another agency’s NEPA activity. If needed, Components follow the 

dispute resolution process described in Section IV, Part E. 

K. Component Supplemental Instructions and Delegation of Authority 

Unless otherwise delegated, Director SEP approves NEPA documents prepared for 

proposed DHS actions. For any Component which does not have approved 

Supplemental Instructions and a delegation of authority as described below, 

Director SEP serves as the EPPM for that Component; Director SEP meets the 

EPPM criteria specified herein. 

The most efficient and effective implementation 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 NEPA documents to ensure the most efficient 

and effective NEPA compliance. Component 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 developing Supplemental Instructions for 

implementing NEPA within their respective organizations to fit their unique 

missions and needs. A Supplemental Instruction describes a Component’s 

administrative processes for implementing the Directive and Instruction Manual. 

For Components that choose to develop Supplemental Instructions, the 

required criteria and content are provided below. Where these criteria are met 

through other existing policy or requirement documents, the Component may 

provide a brief explanation of the relevance of the existing document(s) and 

provide a reference in its Supplemental 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. 
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IV-12 

(b) Describes the internal processing requirements for the preparation and 

approval of NEPA documents within the Component, including the 

processes for quality assurance. 

(c) Describes how the Component 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 accomplished by a signature block) in order 

to fulfill the requirements of NEPA. 

(d) Identifies a position in the Component with the authority 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 the range of programs, offices, and 

activities in the Component. Additional 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 Manual 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 authority within the 

Component for approving NEPA documents, as appropriate. Redelegation procedures include requirements for: 

i. Quality assurance for the work products; 

ii. A process to grant the re-delegation and criteria to achieve the redelegation; 

iii. The identification of NEPA activities 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 suspension or revocation of the redelegated authority. 

(f) Identifies NEPA activities that call 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 reviewers and establishing workflow). 
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IV-13 

(h) Describes the process for monitoring and assessing compliance with 

the Directive and Instruction Manual, including reporting of NEPA 

performance to Director SEP. 

(i) Describes the process for seeking resolution of NEPA-related disputes 

within the Component. For NEPA disputes that cannot be resolved at 

the Component level, provide for a process for elevating the dispute to 

Director SEP. 

(j) If applicable, describes processes or requirements for the review of 

applications from persons or organizations 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 additional information in their 

Supplemental Instructions they deem necessary for implementing 

NEPA within their organizations, including other areas identified in this 

Instruction Manual. However, Components propose new or 

substantively revised CATEXs separately from their Supplemental 

Instructions. CATEXs proposals are processed separately by SEP 

because of the CEQ review and public notification requirements (see 

Section V, Part B (3)). 

(2) Component Supplemental Instructions 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 Supplemental Instructions that meet 

the required content and criteria described above and that have been 

approved by the Component’s appropriate approving official. 

(b) Upon receipt of a Component’s draft 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 within 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 organizational lines of authority. 

(c) If SEP determines that a Component’s draft Supplemental Instruction 

contains information requiring 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 authority, if a Component is seeking a delegation of 

authority in conjunction with its Supplemental Instruction. 
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IV-14 

(e) Components review their approved 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 delegation of authority for approving NEPA 

documents submit a written request, accompanied by their proposed or 

approved Component Supplemental Instructions, to Director SEP. In order for 

a Component to receive such a delegation, a Supplemental 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, Components 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 Manual, which may include repeated 

failure to follow the respective approved Component Supplemental 

Instruction. 

(e) Director SEP may temporarily suspend a Component’s delegation of 

authority for less significant reasons than those in paragraph (d) above 

that have an impact on the ability of the Component to effectively 

implement the substantive requirements of the Directive and 

Instruction Manual (e.g., the departure 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 resolved between SEP and a Component are 

elevated to higher levels of DHS for resolution, following established 

organizational lines of authority. 
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IV-15 

A Component may request an interim delegation of authority in situations where 

it has drafted its Supplemental 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 satisfactorily addresses the required criteria and 

content described above and that has, at a minimum, been entered into the 

Component’s formal clearance process. Written requests for extensions of this 

interim delegation of authority will be granted 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 decision-makers cannot be arbitrary and 

capricious in their decisions. The Administrative Procedure Act (APA) provides the 

framework for judicial oversight of executive branch decision-making. The APA 

provides that a court will “review the whole record or those parts of it cited by a 

party...” Therefore, the administrative record is a compilation of all documents and 

materials that were examined in the NEPA process (even if examined and then not 

used) by a Federal agency decision-maker at the time their final decision on a 

proposed action was made; this includes documents and materials that support a 

contrary decision. It is important to note that information that is restricted from public 

disclosure under FOIA, but is examined in the NEPA process, may be appropriately 

a part of the administrative record. The completeness 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 process 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 basis in the record for that decision. If 

the court is not able to make this finding, 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 administrative record normally includes public draft and final 

NEPA documents (see Section II for definition); communications with and comments 

from Federal, Tribal, State, and local agencies, Federal assistance applicants, and 

the public; and DHS responses to those comments. Materials such as data, reports, 

studies, computer modeling, maps, photographs, etc., considered by agency staff 

and found relevant to the decision (these can be especially broad with regard to the 

choice of alternatives and which alternatives were ruled out and which were 

considered for NEPA analysis) are part of the record, whether they support or argue 

against the decision made in NEPA documents 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 retained, 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 relevance test and, while Components compile 
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IV-16 

a thorough administrative record, Components 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 release under FOIA disappears and these documents 

may, and generally do, become publically releasable. However, if there is another 

basis on which to prevent their release, they 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. 
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V. Procedures for Implementing NEPA 

A. Overview of NEPA Requirements 

The NEPA process helps DHS decision-makers systematically identify and evaluate 

the potential environmental effects of proposed actions and make informed decisions. 

Therefore, the NEPA process must be completed before DHS makes a final decision 

on a proposed action. 

NEPA applies to the majority of DHS actions. If there is any doubt as to the 

applicability of NEPA, the Component, working 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 triggered are very few and include cases of 

statutory exemption, executive branch waiver of compliance when such waiver 

authority has been granted by Congress and properly 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 of three levels of evaluation (CATEX, 

EA, or EIS) is necessary. These levels correspond to the increasing potential for 

proposed actions to have significant environmental effects. NEPA documents such 

as EAs and EISs are not merely a summary 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 of NEPA 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 approach, including whether NEPA 

applies. Where NEPA does not apply, Components document the 

determination for future reference, ensure appropriate compliance with 

other requirements for stewardship and protection of the human 

environment, and proceed with the proposed action. 

(2) If the proposed action is an emergency, 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 (Appendix A, Table 1) and follow the 

CATEX application procedures in Section V, Part B to determine if one 

may apply. 

(4) If the proposed action cannot be categorically excluded, Components 

normally begin the process to prepare an EA, following the EA procedures 

in Section V, Part C and associated CEQ guidance and requirements for 

EAs. However, in some circumstances it is appropriate to begin the 

process to prepare an EIS instead of an EA, as explained later in this 
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V-2 

Instruction. The EA process ends with either a FONSI or NOI to prepare 

an EIS. If the EA process is concluded by a FONSI, the action may 

proceed. 

(5) If the proposed action clearly would have significant environmental 

impacts which cannot be mitigated to level of insignificance, or the EA 

process for the proposed action could not be concluded by a FONSI, 

Components prepare an EIS. Components follow CEQ requirements and 

the EIS procedures in Section V, Part D for preparing an EIS. The EIS 

process ends with a ROD. Until the Component issues its ROD, no action 

on the proposal can be taken that would have an adverse environmental 

impact or limit the choice of reasonable alternatives (40 C.F.R. 

§1506.1(a)). Once a ROD is issued, the action may proceed. 
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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 

? 

Consult EPPM to determine Yes

appropriate analytical approach 

Unknown or potential for 

Significant Environmental 

Effects 

EA

Proposal Appears to 

Qualify 

Significant Environmental 

Effects 

CATEX EIS 

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? 
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V-4 

B. Categorical Exclusions and Extraordinary Circumstances 

(1) DHS Categorical Exclusions 

The CEQ regulations (40 C.F.R. §1508.4) enable Federal agencies to establish 

categories of actions that, based on experience, do not individually or 

cumulatively have a significant impact on the quality of the human environment 

and, therefore, do not require an EA or EIS. CATEXs 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 any action at any time to assist in 

planning and decision-making (see 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 proposed DHS action when another Federal 

agency has applied a similar CATEX of its own to a similar activity. 

DHS CATEXs are divided into the following 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 Materials 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 present that may cause significant impacts 

preventing the application of the CATEX. For a proposed action to be 

categorically excluded, it must satisfy all three conditions described below. If 

the proposed action does not clearly meet all three conditions, the Component 

prepares an EA or EIS according to CEQ requirements and following the 

procedures provided in Section V, Parts C and D, respectively. Certain 

categories of proposed actions included in the CATEX list have a greater 

potential to involve extraordinary circumstances 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 of 
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V-5 

the human environment, regardless of whether the impacts are beneficial or 

adverse. A CATEX may be applied to an entire 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 the CATEXs in Appendix A, Table 1. 

Note that certain CATEXs are restricted to use by a single DHS 

Component. Where a CATEX is restricted for use to a particular DHS 

Component, no other Component may 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 extensive evaluation of the potential for 

environmental impacts under NEPA. For purposes of NEPA, actions 

must be considered in the same review 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 that 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 international) and intensity. Components 

consider whether the proposed action involves one or more of the 

following extraordinary circumstances: 

i. A potentially significant effect 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 Conservation 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 objects) that are listed in or eligible 

for listing in the National Register of Historic Places, affects 

traditional cultural properties or sacred sites, or leads to the loss or 

destruction of a significant scientific, cultural, or historical resource. 
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V-6 

iv. A potentially significant effect on an environmentally sensitive area. 

v. A potential or threatened violation of a Federal, State, or local law 

or requirement imposed to protect 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 the 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 includes 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 significant 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 or size than normally experienced for 

this particular category of action. 

ix. Potential for significant degradation of already existing poor 

environmental conditions. Also, initiation of a potentially significant 

environmental degrading influence, activity, or effect in areas not 

already significantly modified from their natural condition. 

x. Whether the action is related to other actions with individually 

insignificant, but cumulatively significant impacts. 

(3) Establishment, Revision, and Deletion of Categorical Exclusions 

Components forward proposals to substantively revise or establish new 

CATEXs (together with justification) to Director SEP for approval. Proposals to 

substantively revise or establish new CATEXs 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 consultation with Component EPPMs at least 

every seven years to ensure they are still appropriate, and to identify any 

changes that may be needed in light of additional experience gained in applying 

the CATEXs to proposed DHS actions. A complete review is conducted in 
DRAFT FOR PUBLIC COMMENT 

V-7 

conjunction with any major revision to the Directive and Instruction Manual or 

when seven years have passed since the last major revision. 

(4) Record of Environmental Consideration 

The application of a CATEX to a proposed action means that the proposed 

action is appropriately included in a category of actions that DHS has 

determined do not individually or cumulatively have a significant impact on the 

human environment and therefore neither the preparation of an EA or EIS is 

required. Certain CATEXs, identified by an asterisk in Appendix A, Table 1, 

include classes of actions that have a higher possibility of involving 

extraordinary circumstances that may preclude 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 determination that the proposed action is 

either appropriately categorically excluded or must be analyzed further through 

an EA or EIS process. In addition, there 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 circumstances, the quality of the 

NEPA analysis, and that the decision-maker 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 may 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 human environment (40 

C.F.R. §1508.9). The EA process concludes with a Component’s determination 

on the environmental impacts of the proposed action. A finding of no significant 

impact (FONSI) document is prepared if the Component concludes that the 

proposed action would not have significant environmental impacts. 

Components ensure FONSIs are 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 Environmental Policy Act, 6 March, 2012 

(http://ceq.hss.doe.gov/ceq_regulations/ guidance.html). 

If during the preparation of an EA a Component determines that significant 

impacts would result from implementation of the proposed action, an EIS is 

required. 
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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 impact evaluation and opportunity 

for public involvement, if the impacts 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 environmental impacts and therefore 

preclude application of the CATEX, and there is not enough 

information to determine that the proposed 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 waters of the U.S. that do not meet the 

criteria of the U.S. Army Corps of Engineers Nationwide Permit 

Program. 

(c) New or revised regulations for activities that have the potential to 

significantly affect environmentally sensitive areas. 

(d) Security measures that involve 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 operations for which the environmental 

impacts are unknown, for which or any potential significant 

environmental impacts could be mitigated to the level that they are no 
DRAFT FOR PUBLIC COMMENT 

V-9 

longer significant, or for which the potential for significant 

environmental controversy is likely. 

(4) Programmatic EAs 

A Component may prepare a Programmatic EA (PEA) for a broad Federal 

action, such as a program, plan, or actions of a similar type or at multiple 

locations, following the criteria above for 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 reference the environmental impact 

evaluation contained in the PEA. In some 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 proposal or its impacts. 

An SEA only needs to focus on the issues 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 FONSI, the Component 

considers whether the analysis in the EA remains 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 use another Component’s EA without a 

formal adoption process, provided it fully covers the scope of the Component’s 

proposed action and alternatives and the environmental impacts. When relying 

on another Component’s final EA and FONSI, the Component internally 

documents such reliance. When relying on another Component’s draft EA or 

portion thereof, the Component completes its own final EA and FONSI. 
DRAFT FOR PUBLIC COMMENT 

V-10 

A Component may adopt another Federal agency’s draft or final EA 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 draft or final EA or portion thereof, 

Components consider the factors in Section IV, Part G (1) to determine the 

appropriate additional public involvement needed. 

When participating as a cooperating agency, Components may adopt the EA or 

portion thereof of a lead agency when, after an independent review of the 

document, the Component concludes that its 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 the work of the 

other Federal agency. When adopting another Federal agency’s draft EA or 

portion thereof, the Component completes a final EA and FONSI. 

(7) Public Involvement Process Involving an EA 

The CEQ regulations and this Instruction 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 environment that is highly controversial) 

have been identified, a Component 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 involvement efforts, as well as 

consideration of the factors in Section IV, Part G (1). A public notice of the 

FONSI is made available to interested 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 another environmental 

planning requirement that requires a waiting period before an action can 

proceed. 

When an EA has been drafted without opportunity for public involvement or 

when public input received during EA development indicates the need for 

further public review of the environmental impact evaluation, Components 

make the draft EA available to the public for review and comment for a 

minimum of 30 calendar days. If public comments reveal the potential for 

significant impact to the human environment, the Component determines 

whether it is appropriate to complete a FONSI, revise or supplement the EA, or 

prepare an EIS. If the Component decides a FONSI is appropriate, it modifies 

the EA to reflect the consideration of any public comments as appropriate, 

completes the FONSI, and makes the FONSI available to the public. A 
DRAFT FOR PUBLIC COMMENT 

V-11 

synopsis of the public comments received and how the Component addressed 

those comments, rather than a response 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 planning requirement that 

requires a waiting period before an action can proceed. 

If a proposed action is unprecedented or one that normally requires an EIS or is 

closely similar to one that normally requires an EIS (see Section V, Part D (3)), 

the Component should, whenever practicable, provide an opportunity for public 

involvement in the drafting of the EA and makes the draft EA and draft FONSI 

available for public review, as described in 40 C.F.R. §1501.4(e) (2). 

For proposed actions with environmental effects of national concern (see 

Section II for definition), Components publish 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 action and alternatives, including a 

description of alternatives considered but rejected; 

(d) Description of the affected environment and environmental 

consequences, including conclusions regarding the significance of 

environmental impacts for the proposed action and alternatives and a 

consideration of cumulative impacts; 

(e) Description of proposed mitigation 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 the 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 the environmental effects would not be 

significant, or (2) the Component commits to including measures in the 

proposed action that mitigate impacts to a level of insignificance (see Section 

V, Part E). A FONSI is a separate document from an EA, but may be 

integrated into any other appropriate decision-making document that can be 
DRAFT FOR PUBLIC COMMENT 

V-12 

made publicly available, provided it includes 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 incorporates the EA by 

reference and consists of the following: 

(a) The name and a brief description of the proposed action and 

alternatives. 

(b) A summary of the results of the environmental impact evaluation. 

(c) Identification of any mitigation commitments (including monitoring) that 

will be implemented as part of the proposed action and reduce 

otherwise significant impacts. 

(d) A statement that the proposed action will not have a significant impact 

on the quality of the human environment. 

(e) A statement of the final agency decision. The analysis that resulted in 

a FONSI must encompass this final decision. 

(f) The date of issuance and a signature block for the staff member from 

the Component who has decision-making authority regarding the 

proposed action in order to demonstrate fulfillment of the NEPA 

requirement to consider the potential for impact to the human 

environment in the decision-making process. 

(g) In Components that have not received a delegation of authority (See 

Section IV, Part K), a signature block for Director SEP. 

(h) Normally be no more than five pages in length, and incorporate 

commitments as attachments if necessary, 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 collaboratively with other Federal, 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 more extensive than that in an EA to 

appropriately reflect an evaluation of significant 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 Agencies: Improving the Process for 

Preparing Efficient and Timely Environmental 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 whole or in part, that is the 

subject of an EIS process will be taken that would limit the choice of reasonable 

alternatives, involve a conflict in the use of available resources, or have an 

adverse environmental impact until 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 there would be significant impacts, and 

therefore preparation of an EIS was necessary. However, a Component has 

the option to prepare an EIS when 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 EIS 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 environmental risks. 

(b) Construction projects that would have a significant effect on 

environmentally sensitive areas. 

(c) Major Federal actions occurring in the U.S. known to cause a 

significant environmental effect on the 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 Programmatic EIS (PEIS) on a broad Federal 

action, such as a program, plan, or actions of a similar type or at multiple 

locations, for which only very general environmental information is known. A 

site-specific EIS or EA can be tiered from the PEIS and incorporate by 

reference the environmental impact evaluation contained in the PEIS. 
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V-14 

(5) Legislative EIS 

A Legislative EIS is prepared and circulated for any non-budgetary legislative 

proposal initiated by DHS without request for drafting assistance by any 

member of the legislative branch that would have significant impacts on the 

natural and human environment (40 C.F.R. §1506.8). 

(6) Supplemental EIS 

A Component may prepare a supplemental EIS (SEIS) if there 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 its 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 evaluation 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 supplemented 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 yet 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 the 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 use another Component’s EIS without a 

formal adoption process, provided it fully covers the scope of the Component’s 

proposed action and alternatives and the environmental impacts. When relying 

on another Component’s final EIS and ROD, the Component internally 

documents such reliance. When relying on another Component’s draft EIS or 

portion thereof, the Component completes its own final EIS and ROD. 

A Component may adopt another Federal agency’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 draft or final EIS or portion thereof, 

Components consider the factors in Section IV, Part G (1) to determine the 

appropriate additional public involvement needed. 

If the actions covered by the other Federal agency’s EIS and the Component’s 

proposed action are substantially the same, the Component normally 
DRAFT 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 acknowledging 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 recirculation 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 work of the other Federal agency and 

publishes a NOA in the Federal Register. 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 of agreement (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 follow the requirements in Section IV, 

Part C regarding when to notify SEP and Section IV, Part G (1) regarding public 

involvement. The EPA published 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 describes the scope, i.e., the range of actions, 

alternatives, and impacts to be considered 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 environmental impact evaluation and results in a manner 

that is concise, efficient, and most easily understood by Proponents and the 

general public. For example, sections 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 the development of an EIS is determined 

through consideration of the factors in Section IV, Part G (1). The length of an 
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EIS varies based on project type, project size, and potential environmental 

concerns. 

The CEQ standard format for 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, including proposed action and no-action 

alternative; 

(f) Affected environment (baseline conditions) 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 attached 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 received 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 sheets 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 made to the DEIS with references to the 

relevant page numbers in the DEIS; 

(b) A synopsis of the comments received 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 response, particularly information that 

could lead to a re-evaluation or an SEIS; 

(d) Identification of the preferred alternative and a discussion of the 

reasons why it was selected; 

(e) List of commitments for mitigation measures for the preferred 

alternative; and 
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V-17 

(f) A copy or summary of comments received on the DEIS and responses, 

including any coordination activities 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 decision document known as a ROD is prepared. The 

content requirements for a ROD are found 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 that 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 disclosure under FOIA) and presents all the 

factors an agency considered when it reached its decision on whether to, and if 

so how to, proceed with the proposed action. The ROD identifies mitigation 

measures (if any) which were important in supporting DHS decision-making, 

such as those measures which reduce otherwise significant impacts. 

The Component submits the ROD or the 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 anticipated adverse impacts of a proposed action 

on the quality of the human environment are called mitigation measures. When a 

Component commits to mitigation measures to reduce or eliminate potential 

adverse effects of an action, it is essential that the Component implements the 

measures and monitors their effectiveness. Components commit to appropriate, 

practical, and implementable mitigation measures identified in a FONSI or ROD that 

they have sufficient legal authority to implement or impose on applicants. Mitigation 

measures are practical and implementable, i.e., those that are reasonably expected 

to achieve their intended purpose. Implementable mitigation measures require not 

only that the Component have the appropriate legal authority, but also that it can 

reasonably foresee the availability of resources 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 persons or organizations external to DHS 

(40 C.F.R. §1505.3). 

Prior to commencement of or during implementation of an action, if a mitigation 

measure that a Component committed to cannot be implemented or conditions 

have changed such that the mitigation measure may no longer be appropriate, the 

Component determines if other practical mitigation measures can be implemented 

or are necessary, in coordination with Federal, Tribal, State, or local government 

agencies as appropriate. If the conclusion of the NEPA analysis was predicated in 

whole or in part on the mitigation in question, the Component considers whether the 

NEPA decision can be sustained without the identified mitigation. The Component 
DRAFT 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 provides appropriate public notice of the 

revision. After that, the action may proceed. 

Components monitor implemented actions for effectiveness of mitigation, following 

the guidance in CEQ’s Memorandum for Heads of Federal Departments and 

Agencies: Appropriate Use of Mitigation and Monitoring and Appropriate Use of 

Mitigated Findings of No Significant 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 mitigating the adverse impacts of the action, 

Components consult promptly with OGC and their respective EPPM to determine 

the necessary course of action, and follow Section IV, Part C for when to notify 

SEP. 

Adequately documenting and monitoring mitigation advances NEPA’s purpose of 

informed and transparent environmental decision-making. Failure to implement, 

document, and/or monitor mitigation may undermine the integrity of the NEPA 

analysis, and may compromise the adequacy of the NEPA compliance effort. 

Therefore, once a Component 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 agency cooperation in the 

NEPA process. Sometimes, a proposed DHS action may impact or be impacted by 

the missions and activities of other agencies. In such situations, it may be 

necessary to establish a lead and cooperating agency relationship or a joint-lead 

agency relationship to minimize or avoid duplicative, redundant NEPA compliance 

efforts. Establishing this type of relationship may be appropriate when another 

Federal agency, Tribe, State, or local 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 interagency MOA is normally 

executed to identify the lead and cooperating agencies and to document their roles 

and responsibilities, establish timelines and milestones, etc. However exigencies 

may dictate another form of documenting the relationship, such as an exchange of 

written correspondence. Components follow the CEQ regulations and guidance on 

cooperating agencies in its Memorandum to Heads of Federal Agencies: Reporting 

Cooperating Agencies in Implementing the Procedural Requirements 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 participation in the preparation of NEPA 

documents include: 1) disclosing relevant information early in the NEPA process; 2) 

applying available expertise and staff support; 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 things) 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 particular environmental issue to be a 

cooperating agency. A Component may also invite Tribes and non-Federal 

agencies to be a cooperating or joint lead agency in order to eliminate duplication 

with Tribal, State, and local requirements that are comparable to NEPA. 

A Component may become a cooperating 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 the other federal agency’s proposed activity that requires 

action or approval by the Component. A Component may also become a 

cooperating agency in another Federal agency’s NEPA effort at the request of that 

agency when the Component has special expertise by virtue of its statutory 

responsibility, mission, or related program experience 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 Component be a cooperating agency in its NEPA 

effort and the Component declines to accept cooperating agency status, the 

Component responds to the requesting 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 subject to review under the Administrative 

Procedure Act, 5 U.S.C. 701 et seq. Director SEP reviews the request to determine 

whether another Component needs to consider cooperating agency status. 

Components that prepare EAs and EISs annually 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 alternatives that are economically and 

technically feasible and that meet mission needs, and of strategies to mitigate 

significant adverse effects. In order to improve quality, reduce paperwork, and 

control the length of NEPA documents, Components closely follow the 

requirements of 40 C.F.R. §1500.4 and the guidance issued by CEQ in its 

Memorandum for Heads of Federal Departments and Agencies: Improving the 

Process for Preparing Efficient and Timely Environmental Reviews under the 
DRAFT 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 format for an EA or EIS is one that facilitates written 

communication of the environmental 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 proportionate to the complexity of the 

project and level of anticipated environmental effects. The depth and scope of the 

analysis is normally informed by the level of anticipated environmental effects. The 

objective in preparing an EA or EIS is to communicate quality analysis to support 

DHS decisions, not the production of lengthy documents. 

The main body of an EA or an EIS is normally 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 evaluation 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 integrity of the analysis; conformance to 

requirements of CEQ and this Instruction Manual; and the general presentation and 

readability of the information. 
DRAFT FOR PUBLIC COMMENT 

VI-1 

VI. Emergency Actions 

DHS missions include ensuring resiliency to disasters and effective emergency 

response. Examples of emergencies 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 incidents require DHS action to defend and protect 

public health and safety and/or to ensure continuity 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 natural resources, it considers whether there 

is sufficient time to follow the procedures established in the CEQ regulations, as further 

explained in CEQ’s Memorandum for Heads of Federal Departments and Agencies: 

Emergencies and the National Environmental 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 when appropriate, and in accordance with 

their Supplemental Instructions if emergency procedures are specified 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 proposed DHS actions and minimizes 

environmental damage to the maximum degree practical, consistent 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 evaluation using the following criteria: 

(1) If the proposed emergency action qualifies for a CATEX and no 

extraordinary circumstances exist that would preclude the use of the 

CATEX, follow the procedures in Section 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 of either an EA or EIS. 

(a) Consider if the proposed 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 the proposed activities and the 

environmental impacts and the environmental 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 another Federal agency 

fully covers both the scope of the proposed activities and the 

environmental impacts and the environmental impact evaluation 

remains current, then the Component may adopt the document. 

Adopting an existing analysis may require the Component to provide 

the opportunity for public comment. The Component prepares a 

separate FONSI or ROD for the proposed emergency when adopting 

an existing analysis. 

(c) If paragraphs (a) and (b) above are not applicable, determine if an 

existing EA or EIS from another DHS Component or an EA or EIS 

adopted from another Federal agency can be supplemented to 

address the proposed emergency action. Supplementing an existing 

analysis may require the Component to provide the opportunity for 

public comment. The Component prepares a separate FONSI or ROD 

for the proposed emergency when supplementing 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 focused and concise EA, including 

consideration of the public involvement factors presented in Section 

IV, Part G (1). The EA may incorporate 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 supports a conclusion that the 

proposed emergency action will not have 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 environmental 
DRAFT FOR PUBLIC COMMENT 

VI-3 

impacts are not considered to be significant, the Component 

consults with Director SEP to develop an alternative approach to 

completing an EA that meets the 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 emergency, including during preparation of an 

EA, the Component determines that the emergency action appears to 

be a major Federal action significantly affecting the quality of the 

human environment, the Component seeks the involvement of SEP. 

When another EIS is not available to adopt or supplement, or 

insufficient time is available to adopt or supplement an existing EIS, 

SEP notifies CEQ regarding the emergency and seeks alternative 

arrangements to comply with NEPA in accordance with 40 C.F.R. 

§1506.11. Alternative arrangements 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 address when crafting alternative 

arrangements include: 

i. Nature and scope of the emergency; 

ii. Actions needed to control the immediate impacts of the emergency; 

iii. The potential adverse effects; 

iv. Aspects of the NEPA process that 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 Persons or Organizations Outside of 

DHS 

Components that process applications for permits, 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, license, or other form of approval from DHS in order to carry 

out its desired action. Components consider the environmental 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 decision to approve an Applicant’s proposal. 

Unless otherwise specified in law or regulation, Components that administer Federal 

assistance, permitting, licensing, or similar types of programs incorporate the applicable 

provisions below into their respective review and approval processes for applications 

under those programs. Components that regularly administer such 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 amend existing Supplemental Instructions) if 

they wish to seek delegation of NEPA authority for such programs. Where NEPArelated program-specific guidance, policy, etc., already exists, Components include an 

explanation of the relevant information 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 responsibilities, if any, to assist the Component 

in fulfilling the NEPA process. This includes notification to the Applicant of the 

kinds of analyses or information that the Component requires the Applicant to 

provide or prepare, if any, that are deemed necessary and appropriate for an 

environmental impact evaluation. The Component establishes an internal 

process to ensure completion of an independent and objective evaluation of any 

such information provided by the Applicant. This may include notifying the 

Applicant of its role, if any, in supporting coordination and consultation efforts, 

scoping, and other public involvement activities, and its role, if any, in activities 

necessary to eliminate duplication with Tribal, State, local, or other Federal 

requirements. 

B. Consideration of whether the Applicant’s proposed action is a connected action 

(see 40 C.F.R. §1508.25) or, if the applicant is a non-Federal 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 options to resolve potentially significant 

environmental impacts, including the Applicant’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 measures) are to be paid for. 

E. Notification to the Applicant of its responsibilities 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 relevant or if additional analysis is 

necessary. 

G. Ensuring that required NEPA documents are completed prior to the 

Component’s decision on the application or, in the case of certain Federal 

assistance programs, prior to the Component’s approval for the applicant to 

draw funds to execute its proposed action. 

H. Notification to the Applicant when the Component may deny an application if 

the proposed action’s impacts, cost of the environmental impact evaluation, or 

costs of mitigation measures substantially outweigh the proposed action’s costs 

or monetary and non-monetary benefits. 

I. Ensuring mitigation committed to as part of the NEPA process, including 

appropriate monitoring of the implementation and success of the mitigation, is 

incorporated as conditions in the appropriate formal approval document that is 

issued to the Applicant by the Component. 

J. Notification to the Applicant when the Component may deny an 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 implements the proposed action prior to 

completion of the NEPA process. 

K. Identification of decision points for when the NEPA analysis and approval 

occurs in the Component’s overall application review and approval/award 

process. 

L. Making contact information publically available 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-Federal entities before DHS gets involved 

but DHS involvement is reasonably foreseeable, the following provisions also 

apply: 

 1) Ensure information and staff are available to advise potential applicants; 

 2) Consult early with Tribes, State and local agencies, and the public; and 

 3) Commence the NEPA process at the earliest possible time. 

When a new Federal assistance, permitting, licensing, or similar type of program is 

created in DHS, the relevant Component, including 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 cases, the responsibility to 
DRAFT FOR PUBLIC COMMENT 

VII-3 

administer the program may be transferred from one DHS Component to another DHS 

Component or from DHS to another Federal 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 Department. 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 circumstances whenever a CATEX that is 

identified by an asterisk is used 

ADMINISTRATIVE AND REGULATORY 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 relocation 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 of the supporting infrastructure would 

be an increase in vehicular traffic beyond the capacity of the supporting road 

network to accommodate such an increase.

A3 Promulgation of rules, issuance of rulings or interpretations, and the 

development and publication of policies, orders, directives, notices, 

procedures, manuals, advisory circulars, and other guidance documents of 

the following nature: 

(a) Those of a strictly administrative or procedural nature; 

(b) Those that implement, without substantive 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 analysis 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, analyses, literature reviews; computer 

modeling; and non-intrusive intelligence gathering activities.

A5 Awarding of contracts for technical 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-hazardous materials and wastes, that 

complies with applicable requirements 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 for waste disposal in established 

permitted landfills and facilities. 

A7 The commitment of resources, personnel, and funding to conduct audits, 

surveys, and data collection of a minimally intrusive nature. If any of these 

commitments result in proposals for further action, those proposals must be 

covered by an appropriate CATEX. Examples include, but are not limited to: 

(a) Activities designed to support the improvement or upgrade 

management of natural resources, such as surveys for threatened and 

endangered species, wildlife and wildlife habitat, historic properties, 

and archeological sites; wetland 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 geological, geophysical, and geo-technical 

activities, including mapping and engineering surveys. 

(c) Conducting Facility Audits, Environmental Site Assessments and 

Environmental Baseline Surveys, and 

(d) Vulnerability, risk, and structural integrity assessments of 

infrastructure. 

A8 [proposed new] Review of documents, at the 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 within existing enclosed facilities 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, detainees, equipment, and evidentiary 

materials in wheeled vehicles over existing roads or jeep trails established by 

Federal, Tribal, State, or local governments, 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 assistance 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 assistance to assist States in completing 

needs and threat assessments and in developing their domestic 

preparedness strategy. 

B5 Support for or participation in community projects that do not involve 

significant physical alteration of the environment. 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 activities or events at a location typically 

used for that type and scope (size and intensity) 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 historic and cultural resources, such as 

programs in conjunction with State and Tribal Historic Preservation 

Officers, or with local historic preservation or re-enactment groups. 

B7 Initial assignment or realignment of mobile assets, including vehicles, 

vessels and aircraft, to existing operational facilities that have the capacity to 

accommodate such assets or where supporting 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 requirements to protect the environment. 

Examples of the equipment include, 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 of that 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 systems 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 monitoring of imported products that 

cause little or no physical alteration of the environment. This CATEX would 

primarily encompass a variety of daily activities performed at the borders and 

ports of entry by various elements of the Customs and Border Protection and 

Transportation Security Administration. 

B11 Routine monitoring and surveillance activities that support law 

enforcement or homeland security and defense operations, such as patrols, 

investigations, and intelligence gathering, 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 Components of U.S. Coast Guard, Immigration and 

Customs Enforcement, Customs and Border Protection, Transportation 

Security Administration, and the U.S. Secret Service. 

REAL ESTATE ACTIVITIES

C1 Acquisition of an interest in real property that is not within or adjacent to 

environmentally sensitive areas, including interests less than a fee simple, by 

purchase, lease, assignment, easement, condemnation, or donation, which 

does not result in a change in the functional use of the property. 

C2 Lease extensions, renewals, or succeeding leases where there is no 

change in the facility's use and all environmental operating permits have 

been acquired and are current. 

C3 Reassignment of real property, including related personal property within 

the Department (e.g., from one Departmental element to another) that does 

not result in a change in the functional use of the property. 

C4 Transfer of administrative control over real property, including related 

personal property, between another Federal agency and the Department that 

does not result in a change in the functional use of the property. 
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A-6 

C5 Determination that real property is excess to the needs of the Department 

and, in the case of acquired real property, the subsequent reporting of such 

determination to the General Services Administration or, in the case of lands 

withdrawn or otherwise reserved from the public domain, the subsequent 

filing of a notice of intent to relinquish with the Bureau of Land Management, 

Department of Interior. 

*C6 [proposed new] Congressionally-mandated conveyance of DHS 

controlled real property to a non-Federal entity. 

*C7 [proposed new] The initial lease of, or grant of an easement interest in, 

DHS-controlled real property to a non-Federal entity or the amendment, 

renewal, or termination of such lease 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-controlled real property or the amendment, 

renewal, or termination of such license 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 agreement, or similar arrangement or the 

amendment, renewal, or termination 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 not result 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 existing building, retrofitting for energy 

conservation, or installing a small antenna on an already existing antenna 

tower that does not cause the total height 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 functional use of the property. 

D3 Repair and maintenance of Department-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, restoration of trails and firebreaks, culvert 
DRAFT FOR PUBLIC COMMENT 

A-7 

maintenance, grounds maintenance, existing security systems, and 

maintenance of waterfront facilities that does not require individual regulatory 

permits). 

*D4 Reconstruction and/or repair by replacement 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 required, applicable permits are secured, 

and associated debris disposal is done at an approved disposal site. This 

CATEX encompasses activities required 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 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 through bioengineering techniques, and 

(d) Removing and controlling exotic vegetation, not including the use of 

herbicides or non-native biological controls. 

This CATEX would primarily involve property management activities at larger 

properties within the U.S. Coast Guard, Science and Technology Directorate, 

and the Federal Law Enforcement Training Center. 

CONSTRUCTION, INSTALLATION, AND DEMOLITION ACTIVITIES 

E1 Construction, installation, operation, 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 distribution systems, and/or facilities. This is limited to 

activities with towers where the resulting total height does not exceed 200 

feet and where the FCC would 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 are compatible with applicable 

Federal, Tribal, State, and local planning and zoning standards and 

consistent with Federally-approved 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 substantially increase the number of motor 

vehicles at the facility or in the area, 

(d) The site and scale of construction or improvement are 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 capacities (roads, sewer, water, 

parking, etc.). 

*E3 Acquisition, installation, operation, and maintenance of equipment, 

devices, and/or controls necessary to mitigate effects of the Department’s 

missions on health and the environment, including the execution of 

appropriate real estate agreements. Examples include but are not limited to: 

(a) Pollution prevention and pollution control equipment required to meet 

applicable Federal, Tribal, State, or local requirements, 

(b) Noise abatement measures, including construction of noise barriers, 

installation of noise control materials, 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 restrict wildlife movement on to 

airfields, fencing and grating to prevent 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 buildings, structures, 

other improvements, and/or equipment in compliance with applicable 

environmental and safety requirements. 

E5 Natural resource management activities on Department-managed 

property to aid in the maintenance or restoration of native flora and fauna, 

including site preparation, landscaping, and control of non-indigenous 

species. 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. 

E6 Reconstruction of roads on Departmental facilities, where runoff, erosion, 

and sedimentation issues are mitigated 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 sedimentation are mitigated 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. 

*E8 Construction of aquatic and riparian habitat in streams and ponds on 

Department-managed land, using native materials 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 through bioengineering techniques, and, 

(d) Removing and controlling exotic vegetation, 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 Guard, Science and Technology Directorate, 

and the Federal Law Enforcement Training Center. 

HAZARDOUS/RADIOACTIVE MATERIALS MANAGEMENT AND 

OPERATIONS 

F1 Routine procurement, transportation, distribution, use, and storage of 

hazardous materials that comply with all 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 incidental 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, Tribal, State, and local laws and 

regulations, 

(b) Temporary storage and disposal solid waste, conducted in 

accordance with all Federal, Tribal, 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 radiological and 

radioactive materials, to screen for or detect dangerous or illegal individuals 

or materials in compliance with commercial manufacturers’ specifications, as 

well as applicable Federal requirements to protect the human environment. 

Examples of such instruments 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 personnel, including international, Tribal, 

State, and local agency representatives using existing facilities where the 

training occurs in accordance with applicable 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 location designed and constructed to 

contain the materials used for that training. Examples include 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 investigation 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-defense, and interdiction techniques 

training, and 

(h) Techniques for use in fingerprinting and drug analysis. 

G2 Projects, grants, cooperative agreements, contracts, 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 with 
DRAFT 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 devices such as practice 

grenades/flash bang devices used to simulate an attack during exercise 

play). 

UNIQUE CATEGORICAL EXCLUSIONS FOR THE TRANSPORTATION 

SECURITY ADMINISTRATION (TSA) 

H1 Approval or disapproval of security plans required under legislative or 

regulatory mandates unless such plans would 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 FLETC 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-standard, temporary road construction to 

support these operations. 

J2 Harvest of live trees on Federal Law Enforcement Training Center 

facilities not to exceed 70 acres, requiring no more than 1⁄2 mile of temporary 

road construction. Do not use this category for even-aged regeneration 

harvest or vegetation type conversion. The proposed action may include 

incidental removal of trees for landings, skid trails, and road clearing. 

Examples include but are not limited to: 

(a) Removal of individual trees for saw 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 acres, requiring no more than 1⁄2 mile of 

temporary road construction. The proposed action may include incidental 

removal of live or dead trees for landings, 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 stand 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 trails established by Federal, Tribal, 

State, or local governments to maintain a clearly delineated right-of-way, to 

provide evidence of foot traffic and that 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 project, 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 facility does not significantly disturb land, air, or 

water resources and does not individually or cumulatively have a significant 

environmental effect. The building footprint of the facility must be less than 

5,000 square feet and the facility or structure 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 reductions 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, operation, and maintenance. 

L3 Routine personnel, fiscal, and administrative activities, actions, 

procedures, and policies which clearly 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 originate in DHS and that relate to 
DRAFT FOR PUBLIC COMMENT 

A-13 

matters that are not the primary responsibility of the USCG. 

L5 Preparation of guidance documents that implement, without substantive 

change, the applicable Commandant Instruction 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-Federal party or the amendment, renewal, 

or termination of such lease or easement 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 proposed real property use is similar to 

existing uses. 

*L9 Allowing another Federal agency to use Coast Guard-controlled real 

property under a permit, use agreement, or similar arrangement or the 

amendment, renewal, or termination of such permit or agreement where the 

real property use is similar to existing uses. 

*L10 The lease of a Coast Guard controlled 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 National Conference of State Historic Preservation 

Officers. 

*L11 Acquisition of real property (including fee simple estates, leaseholds, 

and easements) improved or unimproved, and related personal property from 

a non-Federal party by purchase, lease, 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 from another DHS component or another 

Federal agency to the Coast Guard where 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 where the proposed Coast Guard real property uses 

is similar to existing uses. 

*L13 Coast Guard use of real property under the administrative control of 

another DHS component or another Federal agency through a permit, use 
DRAFT FOR PUBLIC COMMENT 

A-14 

agreement, or similar arrangement 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 developed property and/or located on a 

previously disturbed site in a developed area. 

(c) The proposed use will not substantially 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 over 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 the General Services Administration or 

the subsequent filing of a notice of intent to relinquish lands withdrawn or 

reserved from the public domain with the Bureau of Land Management, 

Department of Interior, in accordance with 43 CFR part 2370. 

*L18 Congressionally mandated conveyance of Coast Guard controlled real 

property to another Federal agency 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 permanently decommission, disestablish, or 

close Coast Guard shore facilities including any follow-on connected 

protection and maintenance needed to maintain 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 that Coast Guard controlled personal 

property, including vessels and aircraft, is “excess property”, as that term is 

defined in the Federal Property and Administrative Services Act of 1949 (40 

U.S.C. 472(e)), and any subsequent transfer 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 interior spaces of an existing building, 

extending an existing roadway in a developed area a short distance, 

installing a small antenna on an already existing antenna tower, adding a 

small storage shed to an existing building, etc.). 

*L25 Installation of devices to protect human 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 disposal where no new depths are 

required, applicable permits are secured, and disposal will be at an existing 

approved disposal site. 

L27 Routine repair, renovation, and maintenance actions on aircraft and 

vessels. 

L28 Routine repair and maintenance of 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. 

L29 Routine repair and maintenance to waterfront facilities, including 

mooring piles, fixed floating piers, existing piers, and unburied power cables. 

*L30 Minor renovations and additions to waterfront facilities, including 

mooring piles, fixed floating piers, existing piers, and unburied power cables, 

which do not require special, site-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 accordance with applicable 
DRAFT 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 exercises involving primarily electronic 

simulation or command post personnel. 

L33 Defense preparedness training and exercises conducted on other than 

USCG property, where the lead agency or department is not USCG or DHS 

and the lead agency or department has completed its NEPA analysis and 

documentation requirements. 

L34 Simulated exercises, including tactical and logistical exercises that 

involve small numbers of personnel. 

L35 Training of an administrative or classroom nature. 

*L36 Realignment or initial homeporting of mobile assets, including vessels 

and aircraft, to existing operational facilities that have the capacity to 

accommodate such assets or where supporting 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 existing facility, then the checklist required 

for this CE must specifically address whether such an increase in assets 

could trigger the potential for significant impacts to protected species or 

habitats before use of the CE can be approved. 

L37 Operations to carry out maritime safety, maritime law enforcement, 

search and rescue, domestic ice breaking, and oil or hazardous substance 

removal programs. 

L38 Actions performed as a part of USCG operations and the Aids to 

Navigation Program to carry out statutory 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 that has taken responsibility for NEPA 

compliance. 

L40 Routine movement of personnel and equipment, and the routine 

movement, handling, and distribution of non-hazardous and hazardous 

materials and wastes in accordance with applicable regulations. 

*L41 Contracts for activities conducted at established laboratories and 

facilities, to include contractor-operated laboratories and facilities, on USCG-
DRAFT FOR PUBLIC COMMENT 

A-17 

owned property where all airborne emissions, waterborne effluents, external 

radiation levels, outdoor noise, and solid and bulk waste disposal practices 

are in compliance with existing applicable Federal, state, and local laws and 

regulations. 

L42 Environmental site characterization studies and environmental 

monitoring including: Siting, constructing, operating, and dismantling or 

closing of characterization and monitoring devices. Such activities include but 

are not limited to the following: 

(a) Conducting geological, geophysical, geochemical, and engineering 

surveys and mapping, including the establishment of survey marks. 

(b) Installing and operating field instruments, such as stream-gauging 

stations or flow-measuring devices, telemetry systems, geochemical 

monitoring tools, and geophysical exploration tools. 

(c) Drilling wells for sampling or monitoring of groundwater, well logging, 

and installation of water-level recording devices in wells. 

(d) Conducting aquifer response testing. 

(e) Installing and operating ambient 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 compliance 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 include topographic 

surveys, bird counts, wetland mapping, and other inventories. 

L43 Natural and cultural resource management and research activities that 

are in accordance with inter-agency agreements and which are designed to 

improve or upgrade the USCG’s ability to manage those resources. 

L44 Planning and technical studies which do not contain recommendations 

for authorization or funding for future construction, but may recommend 

further study. This includes engineering efforts or environmental studies 

undertaken to define the elements of a proposal 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 existing bridge on essentially the 

same alignment or location. Excluded are bridges proving access to 
DRAFT 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 immediately after a natural disaster 

or a catastrophic failure for reasons of public safety, health, or welfare. 

L49 Promulgation of operating regulations or procedures for drawbridges. 

L50 Identification of advance approval 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 ignition cut-off switch, or carried on board, 

such as personal flotation devices (PFDS), and/or stricter blood alcohol 

concentration (BAC) standards for recreational boaters, etc.), equipment 

approval, and/or equipment carriage requirements (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., regulations implementing the requirements of the Oil 

Pollution Act of 1990, such as those requiring 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 responsible for the discharge of oil or 

hazardous substances into U.S. waters, etc.). 

L54 Regulations which are editorial or procedural, such as those updating 

addresses or establishing application procedures. 

L55 Regulations concerning internal agency functions or organization or 

personnel administration, such as funding, establishing Captain of the Port 

boundaries, or delegating authority. 

L56 Regulations concerning the training, 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. 
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L59 Regulations establishing, disestablishing, 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, disestablishing, or changing Regulated 

Navigation Areas and security or safety zones. (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 environmental analysis 

conducted for the permit included an analysis of the impact of the 

regulations. (REC not required.) 

L62 Regulations in aid of navigation, such as those concerning rules of the 

road, International Regulations for the Prevention of Collisions at Sea 

(COLREGS), bridge-to-bridge communications, vessel traffic services, and 

marking of navigation systems. 

*L63 Approvals of regatta and marine parade 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 government. 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, proximate to, or above an area designated 

as environmentally sensitive by an environmental agency of the 

Federal, state, or local government and for which the USCG 

determines, based on consultation with the Governmental agency, 

that the event will not significantly affect the environmentally sensitive 

area. 

*L64 Disposal of real property (including facilities) by the USCG where the 

reasonably foreseeable use will not change significantly or where the 

reasonably foreseeable use is similar to existing surrounding properties (e.g. 

commercial store in a commercial strip, warehouse in an urban complex, 

office building in downtown area, row house or vacant lot in an urban area).

UNIQUE CATEGORICAL EXCLUSIONS FOR THE FEDERAL 
DRAFT FOR PUBLIC COMMENT 

A-20 

EMERGENCY MANAGEMENT AGENCY (FEMA) 

Note: All categories of actions in Section 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 Insurance Program (NFIP): 

(a) Review of information, provision of technical assistance, and 

classification for individual communities under the Community 

Rating System (CRS); 

(b) Approvals and issuance of Letters 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 insurance rates and premium schedules. 

M2 Transportation and prepositioning of assets in preparation for national 

emergencies and disasters. 

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

teams. 

M4 Emergency Communications (Stafford Act §418) 

M5 Emergency Public Transportation (Stafford Act §419) 

M6 Lease of pre-existing structures and facilities for disaster operations (e.g. 

Joint Field Offices, Area Field Offices, Disaster Recovery Centers) located 

out of floodplains, historic properties, 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 involving less than 10 acres of ground 

disturbance in previously developed or disturbed areas and that follow best 

management practices for pollution control. 
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A-21 

*M9 Storage of assets immediately after a disaster, including development of 

temporary staging areas involving less than 10 acres of ground disturbance 

in previously developed or disturbed areas and that follow best management 

practices for pollution control. 

M10 Activation of response and recovery frameworks and operations (e.g. 

National Response Framework, National Disaster Recovery Framework, 

National Response Coordination Center, 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 activities, including ground and aerial 

reconnaissance and structure inspection. 

M12 Development of plans by FEMA for the purpose of preparing for 

disasters, recovering from disasters, 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 situations or projects that are reasonably 

foreseeable to occur and that are not otherwise covered by another CATEX. 

*M13 Construction or installation of structures, facilities, or equipment for the 

purpose of 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 house emergency equipment, and utility line 

installation. 

FEDERAL ASSISTANCE ACTIVITIES 

Note: All categories of actions in Section 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 Associated with Grants Management. 

Actions related to grant administration performed at any stage during the 

grants lifecycle, such as the development and issuance of grant guidance; 

announcements of availability of funds; project reviews for program eligibility; 

provision of technical assistance; conducting inspections, financial audits, 

and monitoring activities; development of information technology systems for 

grants management; grant close-out activities; and actions taken in situations 

where a grantee or subgrantee is in non-conformance with grant program 
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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 following: streams; stream banks; seaward of the limit 

of moderate wave action (LiMWA) (a line mapped to delineate the inland 

extent of wave heights of 1.5 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 identified. 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, water, 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 acquisition 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 perpetuity. This CATEX covers actions 

associated with the determination of program eligibility. This CATEX does 

not cover Federal assistance actions that involve acquisition for the purpose 

of construction or development at a site in the acquired property. The use of 

eminent domain is explicitly excluded 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 other than flood control, or the new 

construction of facilities that are functionally dependent or facilitate open 

space use, when the actions are within 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 alteration of less than 300 linear feet, 

(c) Do not involve hardening or armoring 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 risk effects to downstream communities, 

(e) Do not result in any increase of flood levels within the community 

during the occurrence of the base flood discharge if the action takes 

place within the regulatory floodway, and 

(f) 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 the action takes place in a floodplain 
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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 restoration actions of less than one-half acre 

within the following areas: areas seaward of the limit 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 year); or areas within the V zone (a 

coastal area where there is a velocity hazard due to wave action) if the 

LiMWA has not been established. The actions must meet the following 

criteria: 

(a) They are consistent with the State or Tribe enforceable policies of 

approved coastal management programs, 

(b) They are not within or affect a Coastal Barrier Resource System unit, 

(c) They do not result in man-made alterations of sand dunes, 

(d) They do not result in the permanent removal of vegetation (including 

mangrove stands, wetlands, and dune vegetation), 

(e) Applicable Federal requirements and local codes and standards are 

followed, and 

(f) They involve substantial improvement or new construction of 

structures, the structure 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 at or above the base flood level, the 

foundation is anchored to resist flotation, collapse, and lateral 

movement due to the effects of wind and water loads, and the siting of 

the project conforms to applicable State, Tribe, or local setback 

requirements. 

Examples of activities covered by this CATEX include but are not limited to: 

the repair and elevation of structures; repair and new construction of jetties 

and groins; the repair, hazard mitigation, and new construction of functionally 

dependent facilities such as piers, marinas, boat ramps, bathrooms, and port 

facility structures; and beach restoration projects except projects that result in 

the man-made alteration of dunes and wetlands such as beach nourishment 

projects. 

*N6 Federal Assistance for Relocation/Realignment of Structures and 

Facilities. Federal assistance for the relocation of structures and facilities, 

including the realignment of linear facilities 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 they use stream or stream bank 

bioengineering techniques; realignment actions affecting a regulatory 

floodway if they result in any increase in flood levels during the base flood 
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discharge; or actions occurring seaward of the limit of moderate 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, elevation, retrofitting, upgrading to current 

codes and standards, and improvements of pre-existing facilities in existing 

developed areas with substantially completed infrastructure, when the 

immediate project area has already been disturbed, and when those actions 

do not alter basic functions, do not exceed capacity of other system 

components, or modify intended 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 preparation activities in undisturbed or 

undeveloped areas when the activities comprise less than one acre and 

follow best management practices to control noise, water, and air pollution. 

This category does not apply to new construction in undisturbed or 

undeveloped floodplains, wetlands, or seaward 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 construction equipment and vehicles. 

*N9 Federal Assistance for Flood Hazard Reduction Actions. Federal 

assistance for drainage, berm, water crossing, and detention, retention, or 

sediment pond projects which have the primary purpose of addressing flood 

hazards and: 

(a) Do not affect more than 25 acres, 

(b) Do not result in adverse flood risk effects to downstream communities, 

(c) Do not result in any increase of flood levels within the community 

during the occurrence of the base flood 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 the 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 Act (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. 
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*N10 Federal Assistance for Communication Towers of Less than 400 

Feet. Federal assistance for the construction 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 preservation 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 applicable US Fish and Wildlife Service 

guidelines for reducing potential impacts 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 wildfire 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 fuel reduction proximate to at-risk 

structures which includes the selective 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 combined with other reasonably foreseeable 

private or public actions. 

N12 Federal assistance for planting of indigenous vegetation. 

N13 Provision of the Following Forms of Federal Assistance Under the 

Stafford Act: 

(a) Unemployment Assistance (§410); 

(b) Individuals and Households Programs (§408), except for grants that 
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will be used for restoring, repairing or building private bridges, or 

purchasing mobile homes or other readily fabricated dwellings; 

(c) Food Coupons and Distribution (§412); 

(d) Food Commodities (§413); 

(e) Legal Services (§415); 

(f) Crisis Counseling Assistance 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 Search and Rescue (USR) activities, 

including deployment of USR teams. 

*N15 Federal Assistance for Disaster Temporary 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 for individual temporary housing units.

*N16 Federal Assistance for Disaster Temporary Group Housing of 

Less than Five (5) Acres. Federal assistance for the placement of disaster 

temporary group housing, including associated temporary facilities and the 

tie-in or installation of necessary utilities to service the housing units (such as 

electricity, potable water, and wastewater infrastructure), that involves less 

than five (5) acres of ground disturbance on sites that are zoned for housing 

and that follow best management practices for 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 plans for the purpose of preparing for 

disasters, recovering from disasters, and identifying opportunities for 

mitigating the effects of future disasters. This includes but is not limited to 

State, Tribal, and local hazard mitigation plans, debris management plans, 

long-term recovery plans, and disaster housing plans. This CATEX is not 

applicable to plans associated with specific 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 Ensure Continuity of Operations. Federal 

assistance for the construction or installation of measures for the purpose of 
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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 house emergency equipment, and utility line 

installation. This CATEX covers associated ground disturbing activities, such 

as trenching, excavation, and vegetation 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 resources to pre-existing conditions when 

resource contamination or damage results from a disaster event and when 

the clean- up and associated actions are not exempt from NEPA. Examples 

include the clean-up of underground storage tank releases and above ground 

releases that affect nearby water bodies or wetlands.
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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, Executive Orders, and other requirements 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 Act (16 U.S.C. §3501 et seq.). 

D. Coastal Zone Management Act (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 Treaty Act (16 U.S.C. §703-712). 

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

J. National Marine Sanctuaries Act (16 U.S.C. §1431 et seq.). 

K. Executive Order 11988, Floodplain Management, dated May 24, 1977. 

L. Executive Order 11990, Protection of Wetlands, dated May 24, 1977. 

M. Executive Order 12114, Environmental Effects Abroad 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 Environmental, Energy, and 

Transportation Management, dated January 24, 2007. 

P. Executive Order 13514, Federal Leadership in Environmental, Energy, and 

Economic Performance, dated October 5, 2009. 
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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 implementation of NEPA. DHS 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 environment, as reflected in Section II (8) of this REC. Signature of the DHS 

Proponent on this REC demonstrates that they have considered 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 required 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 of that 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 effective, 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, County, State, 

and street address and/or latitude-longitude coordinates): 

6. Description of Proposed Action, including its purpose and need and any related or connected actions. You may 

include as attachments maps, photographs, diagrams, or other 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: 
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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 significant effect on public health or safety? 

Remarks: 

Yes No 

B. Will the Proposed Action have a potentially significant effect on species or habitats protected 

by the Endangered Species Act, Marine Mammal Protection Act, Migratory Bird Treaty Act, Bald 

and Golden Eagle Protection Act, or Magnuson-Stevens Fishery Conservation and Management 

Act? 

Remarks: 

 

Yes No 

Remarks: 

C. Will the Proposed Action have a potentially significant 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 destruction of a significant scientific, cultural, or historic 

resource? 

Yes No 

D. Will the Proposed Action have a potentially significant effect on an environmentally sensitive 

area? 

Remarks: 

Yes No 

E. Will the Proposed Action result in 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 the quality of the 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? 

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 effect 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 precedent for future actions that have significant 

effects? 

Remarks: 
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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 Proposed Action initiate a potentially significant 

environmentally degrading influence, activity, or effect 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 Exclusion (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 023-01-001-01 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 when the circumstance would have significant environmental impacts (i.e., 

Environmental Impact Statement required), or presents the potential for significant environmental impacts (i.e., 

Environmental Assessment (EA) required), or that potential cannot be readily determined 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-evaluation for compliance with NEPA before the action can 

proceed.

 This review addresses NEPA and requirements under other environmental planning requirements that are 

integrated into the NEPA process. This review may identify the need for additional Federal, State, and/or local 

permits, approvals, etc. required for the Proposed Action. However, this review may not satisfy those 

requirements and the Proponent is responsible for ensuring 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 ground disturbance and if any potential archeological resources or 

human remains are discovered, will immediately cease work in that area and notify ______.] 
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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 of this REC (if required by Component) 

Name, Office, and Title: Signature: Date: 

 

11d. Action Proponent 

Name, Office, and Title: Signature: Date: