B-316265
April 21, 2008
The Honorable MaxBaucus
Chairman
The Honorable Charles E. Grassley
Ranking Minority Member
Committee on Finance
United StatesSenate
The Honorable Bennie G.Thompson
Chairman
The Honorable Peter T. King
Ranking Minority Member
Committee on Homeland Security
House of Representatives
Subject: Department of Homeland Security and Department of State: Documents Required for Travelers Departing From or Arriving in the United States at Sea and Land Ports-of-Entry From Withinthe Western Hemisphere
Pursuant to section801(a)(2)(A) of title 5, United States Code, this is our report on a major rulepromulgated by the Department of Homeland Security and Department of State,entitled Documents Required for Travelers Departing From or Arriving in theUnited States at Sea and Land Ports-of-Entry From Within the Western Hemisphere(RIN: 1651-AA69). We received the ruleon April 4, 2008. It was published in the Federal Register as a final rule on April 3, 2008, with a stated effective date of June 1, 2009. 73 Fed. Reg. 18,384.
The final rule requires citizens of the U.S.,Canada, Bermuda,and Mexico topresent certain documents when entering the United States from within the Western Hemisphere at sea and land ports-of-entry.
Enclosed is our assessment of the agencies compliancewith the procedural steps required by section 801(a)(1)(B)(i) through (iv) oftitle 5 with respect to the rule. Ourreview indicates that the agencies complied with the applicable requirements.
If you have any questions about this report or wish tocontact GAO officials responsible for the evaluation work relating to thesubject matter of the rule, please contact Michael R. Volpe, Assistant GeneralCounsel, at (202) 512-8236.
signed
Robert J. Cramer
Associate General Counsel
Enclosure
cc: Joanne Roman Stump
Acting Chief, Border Security
Regulations Branch
Department of Homeland Security
ENCLOSURE
REPORT UNDER 5 U.S.C. sect.801(a)(2)(A) ON A MAJORRULE
ISSUED BY THE
DEPARTMENT OF HOMELAND SECURITY AND
DEPARTMENT OF STATE
ENTITLED
"DOCUMENTS REQUIRED FOR TRAVELERS DEPARTING FROM
OR ARRIVING IN THE UNITED STATES AT SEA AND
LAND PORTS-OF-ENTRY FROM WITHIN THE WESTERN HEMISPHERE"
(RIN: 1651-AA69)
(i) Cost-benefit analysis
The Departments of Homeland Security and State (DHS andDOS) analyzed the costs and benefits of this final rule for the period of 2005to 2018. The agencies estimated thetotal cost in the first year to be $283 million and the total costs over the 14-yearperiod to be $3.3 billion, using a 3-percent discount rate, and $2.7 billion,using a 7-percent discount rate. DHS and DOSnoted that the benefits of this final rule relate to increased homelandsecurity and cannot readily be quantified using traditional analytical methods,but did conduct a breakeven analysis to determine the level of critical riskreduction that would make the costs of the rule equal the benefits. They also estimated the benefits of this ruleresulting from shorter wait times for border crossings. DHS and DOS estimated that the potentialreductions in wait time could be valued at between $2.4 billion and $3.3billion between 2009 and 2018.
(ii) Agency actions relevant to the RegulatoryFlexibility Act, 5 U.S.C. sections603-605, 607, and 609
DHS and DOS determined that this final rule does not havea significant economic impact on a substantial number of small entities.
(iii) Agency actions relevant to sections 202-205 ofthe Unfunded Mandates Reform Act of 1995, 2 U.S.C. sections1532-1535
DHS and DOS determined that this final rule does not containany federal mandates under the Act.
(iv) Other relevant information or requirements underacts and executive orders
Administrative Procedure Act, 5 U.S.C. sections551 etseq.
DHS and DOS promulgated this final rule using the noticeand comment procedures found in the Administrative Procedure Act. 5 U.S.C. sect. 553. On September 1, 2005, DHS and DOS published a notice of advancedrulemaking. 70 Fed. Reg. 52,037. On August 11, 2006, they published a proposed rule for air and seaarrivals. 71 Fed. Reg. 41,655. On June 26, 2007, the agencies published a proposed rule for land and seaarrivals. 72 Fed. Reg. 35,088. The final rule for air arrivals was publishedon November 24, 2006. 71 Fed. Reg.68,412. DHS and DOS received over 3,412comments to the notice of advanced rulemaking and the proposed rules related toarrivals by sea and land. They addressthese comments in this final rule. 73Fed. Reg. 18388403.
Paperwork Reduction Act, 44 U.S.C. sections3501-3520
This final rule contains two information collectionrequirements which DHS and DOS have submitted to the Office of Management andBudget (OMB) under the Act. DHS and DOSestimated that the monitoring, reporting, and recordkeeping burden for thefirst collection, related to passports, to be 14.7 million labor hours per yearand the second collection, related to groups of children, to be 1,625 laborhours per year.
Statutory authorization for the rule
DHS and DOS promulgated this final rule under theauthority of sections 1101 and note, 1102, 1103, 1182 and note, 1184, 1187,1223, 1225, 1226, 1227, 1359 of title 8, United States Code and under section1185 note of title 8, United States Code, as amended by section 546 of PublicLaw 109-295 and section 723 of Public Law 110-53.
Executive Order No. 12,866
DHS and DOS determined that this final rule surpasses the$100 million threshold and, therefore, is a significant rulemaking under the Order.
Executive Order No. 13,132 (Federalism)
DHS and DOS determined that this final rule does not havesufficient federalism implications to warrant a federalism summary impactstatement under the Order.
