DHS Instruction Manual 023-01-001-01

Instruction Manual 023-01-001-01, Revision 01,
Implementation of the National Environmental
Policy Act (NEPA)

DEPARTMENT OF HOMELAND SECURITY
OFFICE OF THE CHIEF READINESS SUPPORT OFFICER

Issue Date:
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-11

I.

Performance Metrics and Reporting Requirements ........................................IV-11

J.

Review of Other Agency NEPA Documents ...................................................IV-11

K.

Component Supplemental Instructions and Delegation of Authority ...............IV-12

L.

Administrative Record Requirements .............................................................IV-16

V.

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

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

B.

Categorical Exclusions and Extraordinary Circumstances ................................V-3

C.

Environmental Assessments .............................................................................V-8

D.

Environmental Impact Statements ...................................................................V-13

E.

Mitigation and Monitoring ................................................................................V-18

F.

Cooperating and Joint Lead Agency Relationships .........................................V-20

G. NEPA Analysis and Writing .............................................................................V-21
VI.
A.

Emergency Actions...........................................................................................VI-1
Secure Lives and Protect Property ...................................................................VI-1
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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

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
Acronym

Term

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
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Acronym

Term

PEIS

Programmatic Environmental Impact Statement

REC

Record of Environmental Consideration

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 normally not have the potential, individually or cumulatively, to
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. At DHS, certain
CATEXs (see Appendix A, Table 1) are denoted with an asterisk and require
preparation of a Record of Environmental Consideration (REC); an asterisk denotes
classes of actions that have a higher possibility of involving extraordinary
circumstances.
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
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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. A state or local agency of similar qualifications or a Tribe may by
agreement with the lead agency also become a Cooperating Agency. 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
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 (e.g. climate
change) 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
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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.
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. The EP&HP DSS is
owned and operated by OCRSO-SEP for Department-wide utilization.
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
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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.
Extraordinary Circumstances: When evaluating whether or not to apply a CATEX to
a proposed action, these are circumstances associated with the proposed action that
might give rise to significant environmental effects requiring further analysis and
documentation in an EA or EIS.
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.
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
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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 and ROD. 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.
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
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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. A ROD (or Notice of its Availability) is published in the Federal Register.
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.
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. The Directive and this
Instruction Manual are available on the DHS website at www.dhs.gov/nepa. The NEPA
statute and the CEQ regulations are available at https://ceq.doe.gov/index.html.
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
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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.
(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).

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(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).
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.
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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
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 enables users to 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
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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.

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 diligent 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
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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
(http://www.gpo.gov/fdsys/pkg/FR-1994-02-16/html/94-3685.htm), 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.
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 (http://www.gpo.gov/fdsys/pkg/FR-2000-11-09/pdf/0029003.pdf), 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.
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(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
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 determined to
have 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
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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:

(3)

(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.
Federal NEPA Contact

CEQ maintains a list of Federal NEPA contacts on its website
at https://ceq.doe.gov/CEQPublic/ViewFedContacts.aspx. The Department’s
Federal NEPA contact is the Director SEP or his/her designee. Persons
interested in the Department’s NEPA activities may contact SEP by email
at SEP-EPHP@hq.dhs.gov. This contact information is also available on the
DHS NEPA webpage at www.dhs.gov/nepa.
(4) 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
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
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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 or redacts 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 or redaction 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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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
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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.
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
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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.

(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;

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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.

(2)

(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).

(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)).

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
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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.

(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.
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(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.

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
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project be put on hold and the NEPA process redone, often under a very tight court
directed time frame.
An administrative record 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 also part of the record, whether or not they support 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 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.

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(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
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

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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:

(2)

(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.

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
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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
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. Application of a CATEX to a proposed action presumes review
and compliance under other relevant environmental planning and historic
preservation laws, regulations, and Executive Orders (e.g., National Historic
Preservation Act, Endangered Species Act) has occurred, and that a higher
level of NEPA analysis is not warranted as a result of any identified impacts to
resources protected under those other requirements.
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:
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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.
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

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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
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.
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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.
(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.

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(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:

(4)

(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
longer significant, or for which the potential for significant
environmental controversy is likely.

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;

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(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.
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
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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
may 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 diligent 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 diligent 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
normally, absent exigent circumstances, 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 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).

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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.

(9)

(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.

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
made publicly available, provided it includes the minimum content requirements
in Section V, Part C (10).

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(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
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Environmental Policy Act, 6 March, 2012 (http://ceq.hss.doe.gov/ceq_
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. A ROD (or Notice of its Availability) is published in the Federal
Register.
(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
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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.
(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 it (or a Notice of its
Availability) 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, the Component completes its own ROD and
publishes it (or a Notice of its Availability) in the Federal Register. When relying
on another Component’s draft EIS or portion thereof, the Component completes
its own final EIS which is filed with EPA, completes its own ROD, and publishes
the ROD (or Notice of its Availability) in the Federal Register.
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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
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.

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(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
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.
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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

(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 by publishing it (or a Notice of its Availability)
in the Federal Register (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
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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
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 circumstances
requiring notification to 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.
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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).
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
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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
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
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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.

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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
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CATEX, follow the procedures in Section V, Part B for completing a
CATEX review.
(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
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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
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.

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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
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consultation activities, if any. This includes development of measures to
mitigate adverse impacts, if necessary.
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
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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
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.

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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 new CATEXs. All others are
existing CATEXs that DHS is retaining.
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;
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(e) Technical guidance on safety and security matters; or
(f) Guidance for the preparation of security plans.
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:
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(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.
(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 [new] Review of and comment on documents 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
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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:
(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
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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,
(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) 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
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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.
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 Congressionally-mandated conveyance of DHS controlled real property
to a non-Federal entity.
*C7 [new] The initial lease of, or grant of an easement interest in, DHScontrolled real property to a non-Federal entity or the amendment, renewal,
or termination of such lease or easement interest where the proposed type
and intensity of real property use is similar to existing uses.
*C8 [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 type and intensity of real
property use is similar to existing uses.
C9 [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
proposed type and intensity of real property use is similar to existing uses.
C10 [new] Real property inspections to ensure compliance with deed or
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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
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
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(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,
(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
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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,
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.
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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, nondestructive 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
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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
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
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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 ½ 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 ½ mile of
temporary road construction. The proposed action may include incidental
removal of live or dead trees for landings, skid trails, and road clearing.
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

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(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
matters that are not the primary responsibility of the USCG.
L5 Preparation of guidance documents that implement, without substantive
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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
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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.
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*L21 Demolition of buildings, structures, or fixtures and disposal of
subsequent building, structure, or fixture waste materials.
*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,
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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
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
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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 USCGowned 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
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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
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
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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.
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
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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
EMERGENCY MANAGEMENT AGENCY (FEMA)
Note: All categories of actions in Section M below are new CATEXs. These
CATEXs will 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)

(b)
(c)

(d)
(e)

(f)
(g)

Review of information, provision of technical assistance, and
classification for individual communities under the Community
Rating System (CRS);
Approvals and issuance of Letters of Map Change, including
Agency comments;
*Creation of new flood zones, except establishing new flood zones
for areas protected by structural flood control structures or systems
or dams;
Revisions to Standard Flood Insurance Policy and Group Flood
Insurance Policy;
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;
*Development and adoption of CRS activities; and
Revisions to flood insurance rates and premium schedules.
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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.
*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
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response, recovery, and hazard mitigation. This CATEX is not applicable to
subsequent decisions on specific situations or projects that are reasonably
foreseeable in order to implement the plan.
*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. 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.
FEDERAL ASSISTANCE ACTIVITIES
Note: All categories of actions in Section N below are new CATEXs. These
CATEXs will 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
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
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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 ½ 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
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:
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(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
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
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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.
*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:
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(a) The total height is less than 400 feet above ground level,
(b) The tower construction project has been reviewed by the Federal
Communications Commission (FCC) and has been documented as
meeting FCC environmental planning and historic preservation
procedures,
(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 wildfire hazard mitigation actions involving the creation of
defensible space or hazardous fuel reduction for up to 100 feet of at-risk
structures which includes the selective removal of vegetation 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 and follow appropriate best management practices.
*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
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);
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(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. Federally funded action or federal
assistance for the development, installation and/or removal of individual
housing units in pre-existing private or commercial sites 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
ensuring the continuity of operations during incidents such as emergencies,
disasters, flooding, and power outages involving less than one acre of
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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

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