# Homeland Security Department: FY2010 Appropriations > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/crs%3AR40642 ## Record - **Collection:** Congressional research report - **Document type:** CRS Report - **Published:** December 14, 2009 - **Citation:** R40642 ## Text Homeland Security Department: FY2010 Appropriations (name redacted), Coordinator Analyst in Domestic Security December 14, 2009 Congressional Research Service 7-.... www.crs.gov R40642 CRS Report for Congress Prepared for Members and Committees of Congress Homeland Security Department: FY2010 Appropriations Summary This report describes the FY2010 appropriations for the Department of Homeland Security (DHS). The Administration requested a net appropriation of $44.1 billion in budget authority for FY2010. This amounts to a $2.8 billion, or a 6.7% increase over the $41.2 billion enacted for FY2009 (not including supplemental funding). Total budget authority requested by the Administration for DHS for FY2010 amounts to $55.1 billion. Net requested appropriations for major agencies within DHS were as follows: Customs and Border Protection (CBP), $10,049 million; Immigration and Customs Enforcement (ICE), $5,458 million; Transportation Security Administration (TSA), $5,267 million; Coast Guard, $9,734 million; Secret Service, $1,490 million; National Protection & Programs Directorate, $1,319 million; Federal Emergency Management Administration (FEMA), $7,235 million; Science and Technology, $968 million; and the Domestic Nuclear Detection Office, $366 million. This report contains a detailed discussion of the President’s budget request for DHS, but due to time constraints, the text does not include a detailed discussion of the House- or Senate-reported versions of the FY2010 bill. The tables reflect the House- and Senate-reported numbers. The House Committee on Appropriations reported its version of the FY2010 DHS Appropriations bill on June 12, 2009. On June 24, 2009, the House passed H.R. 2892. This report uses Housepassed H.R. 2892 and the accompanying committee report (H.Rept. 111-157) as the source for the House-passed numbers. The House-passed H.R. 2892 recommends a net appropriation of $44.0 billion for DHS for FY2010. This amounts to a $205 million decrease as compared to the Administration’s request, and a nearly $2.8 billion increase as compared to the $41.2 billion enacted for FY2009 (not including FY2009 supplemental funding). The Senate Committee on Appropriations reported its version of the FY2010 DHS Appropriations bill on June 17, 2009. On July 9, 2009, the Senate passed its version of H.R. 2892, after inserting the text of S. 1298 as a substitute amendment. This report uses Senate-passed H.R. 2892 and the committee report (S.Rept. 111-31) accompanying S. 1298 as the source for the Senate-passed numbers. The Senate-passed H.R. 2892 recommends a net appropriation of $44.3 billion for DHS for FY2010. This amounts to a $97 million increase as compared to the Administration’s request, and a nearly $3.1 billion increase as compared to the $41.2 billion enacted for FY2009 (not including FY2009 supplemental funding). The President signed the DHS Appropriations Act 2010 (P.L. 111-83) into law on October 28, 2009. The Act provides gross budget authority of $51.9 billion dollars for DHS for FY2010. The Act provides $44.1 billion in net budget authority for DHS for FY2010. This amounts to a $0.1 billion decrease as compared to the $44.2 billion requested for DHS for FY2010, a $0.1 billion increase as compared to the $44.0 billion recommended by the House, a $0.2 billion decrease as compared to the $44.3 billion recommended by the Senate, and a $2.9 billion increase over the FY2009 enacted amount of $41.2 billion. Congressional Research Service Homeland Security Department: FY2010 Appropriations Contents Most Recent Developments.........................................................................................................1 P.L. 111-83......................................................................................................................1 Senate-Passed H.R. 2892.................................................................................................1 House-Passed H.R. 2892.................................................................................................1 President’s FY2010 Budget Submitted ............................................................................1 Note on Most Recent Data ..............................................................................................2 Background ................................................................................................................................2 Department of Homeland Security ........................................................................................2 302(a) and 302(b) Allocations ...............................................................................................3 Budget Authority, Obligations, and Outlays...........................................................................4 Discretionary and Mandatory Spending.................................................................................4 Offsetting Collections ...........................................................................................................5 Appropriations for the Department of Homeland Security ...........................................................7 DHS Appropriations Trends ..................................................................................................7 Summary of DHS Appropriations..........................................................................................7 Title I: Departmental Management and Operations .................................................................... 10 President’s FY2010 Request.......................................................................................... 11 House-Passed H.R. 2892............................................................................................... 11 Senate-Passed H.R. 2892............................................................................................... 13 P.L. 111-83.................................................................................................................... 14 Personnel Issues............................................................................................................ 17 Analysis and Operations...................................................................................................... 20 President’s FY2010 Request.......................................................................................... 21 House-passed H.R. 2892 ............................................................................................... 22 Senate-passed H.R. 2892............................................................................................... 22 P.L. 111-83.................................................................................................................... 22 Title II: Security Enforcement and Investigations ...................................................................... 23 Customs and Border Protection (CBP) ................................................................................ 27 President’s FY2010 Request.......................................................................................... 28 House-Passed H.R. 2892............................................................................................... 28 Senate-Passed H.R. 2892............................................................................................... 28 P.L. 111-83.................................................................................................................... 28 Issues for Congress ....................................................................................................... 29 Immigration and Customs Enforcement (ICE) ..................................................................... 33 President’s FY2010 Request.......................................................................................... 34 House-passed H.R. 2892 ............................................................................................... 35 Senate-passed H.R. 2892............................................................................................... 36 P.L. 111-83.................................................................................................................... 37 Issues for Congress ....................................................................................................... 37 Federal Protective Service................................................................................................... 39 President’s FY2010 Request.......................................................................................... 39 House-passed H.R. 2892 ............................................................................................... 40 Senate-passed H.R. 2892............................................................................................... 40 P.L. 111-83.................................................................................................................... 40 Federal Protective Service Issues for Congress .............................................................. 40 Transportation Security Administration (TSA)..................................................................... 42 Congressional Research Service Homeland Security Department: FY2010 Appropriations President’s FY2010 Request.......................................................................................... 42 House-Passed H.R. 2892............................................................................................... 45 Senate-Passed H.R. 2892............................................................................................... 46 Enacted P.L. 111-83 ...................................................................................................... 46 TSA Issues for Congress ............................................................................................... 47 United States Coast Guard................................................................................................... 51 President’s FY2010 Request.......................................................................................... 51 House-passed H.R. 2892 ............................................................................................... 52 Senate-passed H.R. 2892............................................................................................... 53 P.L. 118-83.................................................................................................................... 53 Issues for Congress ....................................................................................................... 53 U.S. Secret Service ............................................................................................................. 58 President’s FY2010 Request.......................................................................................... 59 House-passed H.R. 2892 ............................................................................................... 60 Senate-passed H.R. 2892............................................................................................... 60 P.L. 111-83.................................................................................................................... 60 USSS Issues for Congress ............................................................................................. 60 Title III: Preparedness and Response ......................................................................................... 62 Federal Emergency Management Agency............................................................................ 65 President’s FY2010 Request.......................................................................................... 65 House-Passed H.R. 2892............................................................................................... 66 Senate-Passed H.R. 2892............................................................................................... 66 P.L. 111-83.................................................................................................................... 66 FEMA Issues for Congress............................................................................................ 70 Office of Health Affairs....................................................................................................... 76 President’s FY2010 Request.......................................................................................... 76 House-Passed H.R. 2892............................................................................................... 76 Senate-Passed H.R. 2892............................................................................................... 77 P.L. 111-83.................................................................................................................... 77 Office of Health Affairs Issues for Congress.................................................................. 77 National Protection and Programs Directorate ..................................................................... 78 Management and Administration................................................................................... 79 President’s FY2010 Request.......................................................................................... 79 Issues for Congress ....................................................................................................... 80 House Passed H.R. 2892 ............................................................................................... 80 Senate Passed H.R. 2892............................................................................................... 80 P.L. 111-83.................................................................................................................... 80 U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT) .................................. 81 President’s FY2010 Request.......................................................................................... 81 House-Passed H.R. 2892............................................................................................... 81 Senate-Passed H.R. 2892............................................................................................... 82 P.L. 111-83.................................................................................................................... 82 US-VISIT Issues for Congress ...................................................................................... 82 Infrastructure Protection and Information Security .............................................................. 83 President’s FY2010 Request.......................................................................................... 83 House Passed H.R. 2892 ............................................................................................... 84 Senate Passed H.R. 2892............................................................................................... 85 P.L. 111-83.................................................................................................................... 85 IPIS Issues for Congress ............................................................................................... 85 Congressional Research Service Homeland Security Department: FY2010 Appropriations Title IV: Research and Development, Training, Assessments, and Services ................................ 86 U.S. Citizenship and Immigration Services (USCIS) ........................................................... 88 President’s FY2010 Request.......................................................................................... 88 House-Passed H.R. 2892............................................................................................... 89 Senate-Passed H.R. 2892............................................................................................... 90 P.L. 111-83.................................................................................................................... 90 USCIS Issues for Congress ........................................................................................... 90 Federal Law Enforcement Training Center .......................................................................... 91 President’s FY2010 Request.......................................................................................... 91 House-Passed H.R. 2892............................................................................................... 92 Senate-Passed H.R. 2892............................................................................................... 92 P.L. 111-83.................................................................................................................... 92 Science and Technology (S&T)........................................................................................... 92 President’s FY2010 Request.......................................................................................... 93 House-Passed H.R. 2892............................................................................................... 93 Senate-Passed H.R. 2892............................................................................................... 93 P.L. 111-83.................................................................................................................... 93 Issues for Congress ....................................................................................................... 95 Domestic Nuclear Detection Office ..................................................................................... 96 President’s FY2010 Request.......................................................................................... 96 House-Passed H.R. 2892............................................................................................... 96 Senate-Passed H.R. 2892............................................................................................... 96 P.L. 111-83.................................................................................................................... 96 Issues for Congress ....................................................................................................... 97 FY2010-Related Legislation...................................................................................................... 98 Budget Resolution............................................................................................................... 98 Tables Table 1. Legislative Status of Homeland Security Appropriations ................................................2 Table 2. FY2010 302(b) Discretionary Allocations for DHS ........................................................3 Table 3. FY2010 Request: Moving From Gross Budget Authority to Net Appropriation— Fee Accounts, Offsetting Fees, and Trust and Public Enterprise Accounts .................................5 Table 4. DHS Appropriations, FY2003-FY2010 ..........................................................................7 Table 5. DHS: Summary of Appropriations .................................................................................8 Table 6. Title I: Department Management and Operations.......................................................... 10 Table 7. Office of the Chief Human Capital Officer Appropriations ........................................... 17 Table 8. Title II: Security, Enforcement, and Investigations ....................................................... 24 Table 9. CBP S&E Sub-account Detail ...................................................................................... 27 Table 10. ICE S&E Sub-account Detail ..................................................................................... 34 Table 11. TSA Gross Budget Authority, by Budget Activity ....................................................... 43 Table 12. Coast Guard Operating (OE) and Acquisition (ACI) Sub-account Detail..................... 52 Table 13. U.S. Secret Service Appropriations ............................................................................ 59 Table 14. Title III: Preparedness and Response .......................................................................... 63 Congressional Research Service Homeland Security Department: FY2010 Appropriations Table 15. FY2009 Enacted and FY2010 Requested Budget Authority for State and Local Programs ............................................................................................................................... 68 Table 16. FY2009 Budget Activity for NPPD Management and Administration Appropriation ........................................................................................................................ 79 Table 17. FY2009 Budget Activity for the Infrastructure Protection and Information Security Appropriation ........................................................................................................... 84 Table 18. Title IV: Research and Development, Training, Assessments, and Services ................. 87 Table 19. USCIS Budget Account Detail ................................................................................... 89 Table 20. Directorate of Science and Technology Accounts and Activities, FY2009FY2010.................................................................................................................................. 94 Table 21. Domestic Nuclear Detection Office Accounts and Activities, FY2009-FY2010 .......... 97 Table C-1. Federal Homeland Security Funding by Agency, FY2003-FY2010 ......................... 103 Appendixes Appendix A. DHS Funding in P.L. 111-5................................................................................... 99 Appendix B. FY2009 Supplemental Appropriations ................................................................ 101 Appendix C. DHS Appropriations in Context .......................................................................... 102 Contacts Author Contact Information .................................................................................................... 104 Congressional Research Service Homeland Security Department: FY2010 Appropriations Most Recent Developments P.L. 111-83 The President signed the DHS Appropriations Act 2010 (P.L. 111-83) into law on October 28, 2009. The Act provides gross budget authority of $51.9 billion dollars for DHS for FY2010. The Act provides $44.1 billion in net budget authority for DHS for FY2010. This amounts to a $0.1 billion decrease as compared to the $44.2 billion requested for DHS for FY2010, a $0.1 billion increase as compared to the $44.0 billion recommended by the House, a $0.2 billion decrease as compared to the $44.3 billion recommended by the Senate, and a $2.9 billion increase over the FY2009 enacted amount of $41.2 billion. Senate-Passed H.R. 2892 The Senate Committee on Appropriations reported its version of the FY2010 DHS Appropriations bill on June 17, 2009. On July 9, 2009, the Senate passed its version of H.R. 2892, after inserting the text of S. 1298 as a substitute amendment. This report uses Senate-passed H.R. 2892 and the committee report (S.Rept. 111-31) accompanying S. 1298 as the source for the Senate-passed numbers. The Senate-passed H.R. 2892 recommends a net appropriation of $44.3 billion for DHS for FY2010. This amounts to a $97 million increase as compared to the Administration’s request, and a nearly $3.1 billion increase as compared to the $41.2 billion enacted for FY2009 (not including FY2009 supplemental funding). House-Passed H.R. 2892 The House Committee on Appropriations reported its version of the FY2010 DHS Appropriations bill on June 12, 2009. On June 24, 2009, the House passed H.R. 2892. This report uses Housepassed H.R. 2892 and the accompanying committee report (H.Rept. 111-157) as the source for the House-passed numbers. The House-passed H.R. 2892 recommends a net appropriation of $44.0 billion for DHS for FY2010. This amounts to a $205 million decrease as compared to the Administration’s request, and a nearly $2.8 billion increase as compared to the $41.2 billion enacted for FY2009 (not including FY2009 supplemental funding). President’s FY2010 Budget Submitted The Administration requested a net appropriation of $44.1 billion in budget authority for FY2010. This amounts to a $2.8 billion, or a 6.7% increase over the $41.2 billion enacted for FY2009 (not including supplemental funding). Total budget authority requested by the Administration for DHS for FY2010 amounts to $55.1 billion. Net requested appropriations for major agencies within DHS were as follows: Customs and Border Protection (CBP), $10,049 million; Immigration and Customs Enforcement (ICE), $5,458 million; Transportation Security Administration (TSA), $5,267 million; Coast Guard, $9,734 million; Secret Service, $1,490 million; National Protection & Programs Directorate, $1,319 million; Federal Emergency Management Administration (FEMA), $7,235 million; Science and Technology, $968 million; and the Domestic Nuclear Detection Office, $366 million. Congressional Research Service 1 Homeland Security Department: FY2010 Appropriations Table 1. Legislative Status of Homeland Security Appropriations Subcommittee Markup House 6/8 (vv) Senate 6/17 (vv) H.Rept. 111-157 6/12 (vv) House Passage 6/24 (389-37) S.Rept. 111-31 6/18 (vv) Senate Passage 7/9 (84-6) Conference Report Approval (H.Rept. 111-298) House Senate 10/15 10/20 (307-114) (79-19) P.L. 11183 10/28 Note: (vv) = voice vote, (uc) = unanimous consent. Note on Most Recent Data Data used in this report for FY2009 enacted, and FY2009 total amount are from the President’s Budget Documents, the FY2010 DHS Congressional Budget Justifications, and the FY2010 DHS Budget in Brief. Data used in this report for the President’s request and the House-passed amounts are from House-passed H.R. 2892 and H.Rept. 111-157; the Senate-passed amounts are from Senate-passed H.R. 2892 and S.Rept. 111-31, accompanying S. 1298. Final passage amounts are from P.L. 111-83 and the conference report, H.Rept. 111-298. Data used in Appendix C are taken from the Analytical Perspectives volume of the FY2009 President’s Budget. Except when discussing total amounts for the bill as a whole, all amounts contained in this report are rounded to the nearest million. Background This report describes the President’s FY2010 request for funding for DHS programs and activities, as submitted to Congress on May 7, 2009. It compares the enacted FY2009 amounts to the request for FY2010, and tracks legislative action and congressional issues related to the FY2010 DHS appropriations bills with particular attention paid to discretionary funding amounts. The report does not follow specific funding issues related to mandatory funding—such as retirement pay—nor does the report systematically follow any legislation related to the authorization or amendment of DHS programs. Department of Homeland Security The Homeland Security Act of 2002 (P.L. 107-296) transferred the functions, relevant funding, and most of the personnel of 22 agencies and offices to the new Department of Homeland Security created by the act. Appropriations measures for DHS have been organized into five titles: Title I Departmental Management and Operations; Title II Security, Enforcement, and Investigations; Title III Preparedness and Recovery; Title IV Research and Development, Training, Assessments, and Services; and Title V general provisions. Title I contains appropriations for the Office of Management, the Office of the Secretary, the Office of the Chief Financial Officer, Analysis and Operations (A&O), the Office of the Chief Information Officer (CIO), the Office of the Inspector General (OIG), and the Office of the Federal Coordinator for Gulf Coast Rebuilding. Congressional Research Service 2 Homeland Security Department: FY2010 Appropriations Title II contains appropriations for Customs and Border Protection (CBP), Immigration and Customs Enforcement (ICE), the Transportation Security Administration (TSA), the Coast Guard (USCG), and the Secret Service. The U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT) program was appropriated within Title II through the FY2007 appropriation. The FY2008 appropriation transferred US-VISIT, as proposed by the Administration, to the newly created National Protection & Programs Directorate (NPPD) in Title III. Division E of P.L. 110161, the DHS Appropriations Act, 2008, enacted this reorganization. Through the FY2007 appropriation, Title III contained appropriations for the Preparedness Directorate, Infrastructure Protection and Information Security (IPIS) and the Federal Emergency Management Administration (FEMA). The President’s FY2008 request included a proposal to shift a number of programs and offices to eliminate the Preparedness Directorate, create the NPPD, and move several programs to FEMA. These changes were largely agreed to by Congress in the FY2008 appropriation, reflected by Title III in Division E of P.L. 110-161. Title IV contains appropriations for U.S. Citizenship and Immigration Services (USCIS), the Science and Technology Directorate (S&T), and the Federal Law Enforcement Training Center (FLETC). 302(a) and 302(b) Allocations The maximum budget authority for annual appropriations (including DHS) is determined through a two-stage congressional budget process. In the first stage, Congress sets overall spending totals in the annual concurrent resolution on the budget. Subsequently, these amounts are allocated among the appropriations committees, usually through the statement of managers for the conference report on the budget resolution. These amounts are known as the 302(a) allocations. They include discretionary totals available to the House and Senate Committees on Appropriations for enactment in annual appropriations bills through the subcommittees responsible for the development of the bills. In the second stage of the process, the appropriations committees allocate the 302(a) discretionary funds among their subcommittees for each of the appropriations bills. These amounts are known as the 302(b) allocations. These allocations must add up to no more than the 302(a) discretionary allocation and form the basis for enforcing budget discipline, since any bill reported with a total above the ceiling is subject to a point of order. 302(b) allocations may be adjusted during the year as the various appropriations bills progress towards final enactment. The annual concurrent resolution on the budget sets forth the congressional budget. Table 2 shows DHS’s 302(b) allocations for FY2009 and the current appropriations cycle. Table 2. FY2010 302(b) Discretionary Allocations for DHS (budget authority in billions of dollars) FY2009 Comparable $41.2 FY2010 Request Comparable $44.1 FY2010 House Allocation FY2010 Senate Allocation $42.6 $42.9 FY2010 Enacted Comparable $44.1 Source: CRS analysis of the FY2010 DHS Congressional Budget Justifications;; H.Rept. 111-238, S.Rept. 111-62, and H.Rept. 111-298. Congressional Research Service 3 Homeland Security Department: FY2010 Appropriations Budget Authority, Obligations, and Outlays Federal government spending involves a multi-step process that begins with the enactment of budget authority by Congress. Federal agencies then obligate funds from the enacted budget authority to pay for their activities. Finally, payments are made to liquidate those obligations; the actual payment amounts are reflected in the budget as outlays. Budget authority is established through appropriations acts or direct spending legislation and determines the amounts that are available for federal agencies to spend. The Antideficiency Act1 prohibits federal agencies from obligating more funds than the budget authority that was enacted by Congress. Budget authority may be also be indefinite, as when Congress enacts language providing “such sums as may be necessary” to complete a project or purpose. Budget authority may be available on a one-year, multi-year, or no-year basis. One-year budget authority is only available for obligation during a specific fiscal year; any unobligated funds at the end of that year are no longer available for spending. Multi-year budget authority specifies a range of time during which funds can be obligated for spending; no-year budget authority is available for obligation for an indefinite period of time. Obligations are incurred when federal agencies employ personnel, enter into contracts, receive services, and engage in similar transactions in a given fiscal year. Outlays are the funds that are actually spent during the fiscal year.2 Because multi-year and no-year budget authorities may be obligated over a number of years, outlays do not always match the budget authority enacted in a given year. Additionally, budget authority may be obligated in one fiscal year but spent in a future fiscal year, especially with certain contracts. In sum, budget authority allows federal agencies to incur obligations and authorizes payments, or outlays, to be made from the Treasury. Discretionary agencies and programs, and appropriated entitlement programs, are funded each year in appropriations acts. Discretionary and Mandatory Spending Gross budget authority, or the total funds available for spending by a federal agency, may be composed of discretionary and mandatory spending. Discretionary spending is not mandated by existing law and is thus appropriated yearly by Congress through appropriations acts. The Budget Enforcement Act of 19903 defines discretionary appropriations as budget authority provided in annual appropriation acts and the outlays derived from that authority, but it excludes appropriations for entitlements. Mandatory spending, also known as direct spending, consists of budget authority and resulting outlays provided in laws other than appropriation acts and is typically not appropriated each year. However, some mandatory entitlement programs must be appropriated each year and are included in the appropriations acts. Within DHS, the Coast Guard retirement pay is an example of appropriated mandatory spending. 1 U.S.C. §§1341, 1342, 1344, 1511-1517. 2 Appropriations, outlays, and account balances for government treasury accounts can be viewed in the end of year reports published by the U.S. Treasury titled Combined Statement of Receipts, Outlays, and Balances of the United States Government. The DHS portion of the report can be accessed at http://fms.treas.gov/annualreport/cs2005/c18.pdf. 3 P.L. 101-508, Title XIII. Congressional Research Service 4 Homeland Security Department: FY2010 Appropriations Offsetting Collections4 Offsetting funds are collected by the federal government, either from government accounts or the public, as part of a business-type transaction such as offsets to outlays or collection of a fee. These funds are not counted as revenue. Instead, they are counted as negative outlays. DHS net discretionary budget authority, or the total funds that are appropriated by Congress each year, is composed of discretionary spending minus any fee or fund collections that offset discretionary spending. Some collections offset a portion of an agency’s discretionary budget authority. Other collections offset an agency’s mandatory spending. They are typically entitlement programs under which individuals, businesses, or units of government that meet the requirements or qualifications established by law are entitled to receive certain payments if they establish eligibility. The DHS budget features two mandatory entitlement programs: the Secret Service and the Coast Guard retired pay accounts (pensions). Some entitlements are funded by permanent appropriations, others by annual appropriations. The Secret Service retirement pay is a permanent appropriation and as such is not annually appropriated, whereas the Coast Guard retirement pay is annually appropriated. In addition to these entitlements, the DHS budget contains offsetting Trust and Public Enterprise Funds. These funds are not appropriated by Congress. They are available for obligation and included in the President’s budget to calculate the gross budget authority. Table 3 tabulates all of the offsets within the DHS budget as enacted for FY2009 and in the FY2010 request. Table 3. FY2010 Request: Moving From Gross Budget Authority to Net Appropriation—Fee Accounts, Offsetting Fees, and Trust and Public Enterprise Accounts (budget authority in millions) Account/Agency Account Name a DHS gross budget authority (BA) (gross discretionary + fees+ mandatory + funds) Discretionary fee funded offsets ICE Federal Protective Service Aviation security fees TWIC TSA Hazmat Registered Traveler FEMA/EPR National Flood Insurance Fund CBP Small airports Subtotal discretionary fee funded offsets Mandatory fee funded offsets CBP Immigration inspection Immigration enforcement Land border 4 FY2009 Enacted FY2010 Request 52,544 55,115 640 2,323 32 15 640 2,249 9 15 157 7 3,173 159 8 3,078 570 3 27 522 2 34 Prepared with assistance from (name redacted), Analyst in American National Government. Congressional Research Service 5 Homeland Security Department: FY2010 Appropriations Account/Agency Account Name COBRA APHIS Puerto Rico ICE Immigration inspection SEVIS Breached bond detention fund TSA Aviation security capital fund Checkpoint screening security fund Alien flight school background checks USCIS Immigration examination fee H1b, and H1b & L fees Subtotal mandatory fee funded offsets Mandatory budget authority Secret Service Secret Service retired payb Coast Guard Coast Guard retired payc Subtotal mandatory budget authority Trust funds and public enterprise funds CBP Customs unclaimed goods FEMA National Flood Insurance Fundd Boat safety Coast Guard Oil spill recovery Subtotal trust and public enterprise funds DHS gross budget authoritya Total offsets Rescissions DHS net appropriated BA (Mandatory + Discretionary) FY2009 Enacted 411 333 97 119 120 60 250 FY2010 Request 398 325 92 110 120 75 250 4 2,495 44 4,533 4 2,452 51 4,850 225 [1,237] 225 220 [1,361] 220 6 3,037 134 149 3,326 52,544 11,257 -81 41,205 6 3,085 131 91 3,313 55,115 11,048 44,067 Source: CRS analysis of the FY2010 President’s Budget, and the DHS FY2010 Budget in Brief. Notes: Totals may not add due to rounding. Totals do not include FY2009 supplemental funding. a. DHS gross budget authority is the total budget authority available to the Department in a given fiscal year. This amount includes both appropriated and non-appropriated funding. b. Secret Service Retired Pay is permanently and indefinitely authorized, and as such is not annually appropriated. Therefore it is offset in Table 3. c. In contrast to Secret Service Retired Pay, Coast Guard Retired pay must be annually appropriated, and therefore is not offset in Table 3. d. This fund is comprised of both discretionary and mandatory appropriations; thus its component parts appear twice in this table. Congressional Research Service 6 Homeland Security Department: FY2010 Appropriations Appropriations for the Department of Homeland Security DHS Appropriations Trends Table 4 presents DHS Appropriations, as enacted, for FY2003 through the FY2010 request. The appropriation amounts are presented in current dollars and are not adjusted. The amounts shown in Table 4 represent enacted amounts at the time of the start of the next fiscal year’s appropriation cycle (with the exception of FY2009). Thus, the amount shown for FY2003 is the enacted amount shown in the House committee report attached to the FY2004 DHS Appropriations bill. FY2008 is from the Joint Explanatory Statement for Division E of P.L. 110-161, and FY2009 and the FY2010 are from the FY2010 DHS Budget Justifications. Table 4. DHS Appropriations, FY2003-FY2010 (budget authority in millions of dollars) FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 29,069a 30,175b 30,554c 31,679 35,311d 38,817e 41,205 FY2010 enacted 44,137 Sources: FY2003 enacted taken from H.Rept. 108-169; FY2004 enacted taken from H.Rept. 108-169; FY2005 enacted taken from H.Rept. 109-79; FY2006 enacted taken from H.Rept. 109-476; FY2007 appropriation amounts are from the H.Rept. 110-181; and FY2008 enacted amounts are from Division E of P.L. 110-161, and tables in the Joint Explanatory Statement for Division E, published in the Congressional Record, December 17, 2007, pp. H16107-H16121 (incorporating amendments to the budget request). FY2009 enacted taken from the DHS Joint Explanatory Statement as submitted in the Congressional Record, and in the House- and Senateenrolled version of H.R. 2638, and FY2010 enacted amounts are from the conference report to H.R. 2892, H.Rept. 111-298, and P.L. 111-83. Notes: Amounts do not include supplemental appropriations or rescissions that were enacted subsequent to the enactment of each appropriations bill. a. S.Rept. 108-86 reported the FY2003 enacted amount as $29,287 million. CRS was unable to identify the reason for this discrepancy. For the purposes of this table the House number was used to maintain consistency with other fiscal years. b. Amount does not include $4,703 million in advance appropriations for Project Bioshield. c. Amount does not include $2,508 million in advance appropriations for Project Bioshield d. Amount includes $1,829 million in emergency budget authority that was enacted as a part of the FY2007 DHS Appropriations Act (P.L. 109-295). e. FY2008 Enacted includes emergency funding for DHS enacted by Division E of P.L. 110-161. Summary of DHS Appropriations Table 5 is a summary table comparing the enacted appropriations for FY2009 and the request for appropriations for FY2010. Congressional Research Service 7 Homeland Security Department: FY2010 Appropriations Table 5. DHS: Summary of Appropriations (budget authority in millions of dollars) FY2009 Appropriation FY2009 Enacted FY2009 Supplemental Departmental Operations 645 200 Analysis and Operations 327 Operational Component FY2009 Rescission FY2010 Appropriation FY2009 Total FY2010 Request FY2010 HousePassed FY2010 SenatePassed FY2010 Enacted Title I Office of the Inspector General 845 905 617 861 802 327 357 346 348 335 116a 114 99 5 120 128 112a 1,071 205 1,276 1,390 1,075a 1,325a 1,252a Customs and Border Protection 9,821 680 10,501 10,049 10,006 10,170 10,127 Immigration and Customs Enforcement 4,989 20 5,009 5,458 5,430 5,445 5,437 Transportation Security Administration 4,367 1,000 5,367 5,396 5,294 5,307 5,258 U.S. Coast Guard 9,361 352 9,713 9,729 9,968 10,239 10,140 U.S. Secret Service 1,413 100 1,513 1,490 1,461 1,487 1,483 Net subtotal: Title II 29,951 2,152 32,103 32,122 32,161 32,648 32,445 Total fee collections 5,004 — 5,004 4,128 5,260 4,114 4,135 Gross subtotal: Title II 34,955 2,152 37,107 36,250 37,421 36,762 36,580 1,158 — 1,158 1,319 1,280 1,324 1,318 157 — 157 138 128 135 139 7,038b 610 7,648b 7,235 7,386 7,100 7,128 8,353b 610 8,963b 8,692 8,794 8,558 8,585 1,115 1,115 Subtotal: Title I Title II Title III National Protection & Programs Directorate Office of Health Affairs Federal Emergency Management Administration Net subtotal: Title III Total fee collections CRS-8 640 Homeland Security Department: FY2010 Appropriations FY2010 Appropriation FY2009 Appropriation Operational Component FY2009 Enacted FY2009 Supplemental 8,353b 610 Gross subtotal: Title III FY2009 Rescission FY2009 Total FY2010 Request FY2010 HousePassed FY2010 SenatePassed FY2010 Enacted 8,963b 9,332 8,794 9,673 9,700 Title IV Citizenship and Immigration Services 102 102 364 298 136 224 Federal Law Enforcement Training Center 333 333 289 283 288 283 Science and Technology 933 933 968 968 995 1,006 Domestic Nuclear Detection Office 514 514 366 416 374 383 Net subtotal: Title IV 1,882 1,882 1,987 1,965 1,792 1,896 Total fee collections 2,539 2,539 2,503 2,503 2,503 2,503 Gross subtotal: Title IV 4,421 4,421 4,490 4,468 4,295 4,399 -28 -28 -14c -36d -41e Rescissions Gross DHS budget authority 48,748 2,765 51,513 51,268 51,744 52,020 51,890 Total fee collections -7,543 — -7,543 -7,077 -7,763 -7,732 -7,753 Net DHS budget authority 41,205 2,765 43,970 44,191 43,981 44,287 44,137 Sources: CRS Analysis of the FY2010 DHS Congressional Budget Justifications, the FY2010 DHS Budget in Brief, House-passed H.R. 2892 and H.Rept. 111-157, and Senatepassed H.R. 2892 and S.Rept. 111-31. Notes: Tables may not add due to rounding. a. Does not include a $16 million transfer from FEMA’s Disaster Relief Account in Title III. b. Includes $50 million for Real ID. c. Includes rescissions of unobligated balances of: $2 million from AO per Sec. 539; $6 million from IPIS per Sec. 542; and $6 million from FEMA’s Trucking industry Grants. d. Includes rescissions of unobligated balances of : $5 million from AO per Sec. 554; $7 million from ICE Construction per Sec. 555; $8 million from IPIS per Sec. 556; $8 million from S&T RDAO per Sec. 557; and $8 million from DNDO RDO per Sec. 558. e. Includes rescissions of unobligated balances of: $6 million from Trucking Industry Security Grants per Sec. 573; $2 million from AO per Sec. 574; $8 million from IPIS per Sec. 575; $7 million from S&T per Sec. 576; $8 million from DNDO per Sec. 577; $4 million from TSA R&D per Sec. 578; $1 million from Coast Guard ACI per Sec. 579; and $6 million from the Counterterrorism Fund per Sec. 580. CRS-9 Homeland Security Department: FY2010 Appropriations Title I: Departmental Management and Operations5 Title I covers the general administrative expenses of DHS. It includes the Office of the Secretary and Executive Management (OS&EM), which is comprised of the immediate Office of the Secretary and 12 entities that report directly to the Secretary; the Under Secretary for Management (USM) and its components, such as the offices of the Chief Administrative Officer, Chief Human Capital Officer, and Chief Procurement Officer; the Office of the Chief Financial Officer (OCFO); the Office of the Chief Information Officer (OCIO); Analysis and Operations Office (AOO); Office of the Federal Coordinator for Gulf Coast Rebuilding (OFCGCR); and Office of the Inspector General (OIG). Table 6, below, shows Title I appropriations for FY2009 and congressional action on the request for FY2010. Table 6.Title I: Department Management and Operations (budget authority in millions of dollars) FY2009 Appropriation FY2010 Appropriation FY2009 Total FY2010 Request FY2010 HousePassed FY2010 SenatePassed FY2010 Enacted — 123 161 118 149 148 192 200 392 338 154 308 254 Office of the Chief Financial Officer 55 — 55 66 61 64 61 Office of the Chief Information Officer 272 — 272 338 282 338 338 Analysis and Operations 327 — 327 357 346 348 335 Office of the Federal Coordinator for Gulf Coast Rebuilding 2 — 2 2 2 2 2 5 120 128 112b 116b 114b 205 1,291 1,390 1,075 1,325 1,252 Operational Component FY2009 Enacted FY2009 Supp. Office of the Secretary and Executive Management 123 Office of the Under Secretary for Management Office of the Inspector General Net Budget Authority: Title I 115a 1,086 FY2009 Resc. Sources: CRS Analysis of the FY2010 DHS Congressional Budget Justifications, the FY2010 DHS Budget in Brief, House-passed H.R. 2892 and H.Rept. 111-157, and Senate-passed H.R. 2892 and S.Rept. 111-31. Note: Tables may not add due to rounding. 5 a. Does not include a $16 million transfer of funds from FEMA’s Disaster Relief account. b. Does not include a $16 million transfer of funds from FEMA’s Disaster Relief account. Prepared by (name redacted), Analyst in American National Government, Government and Finance Division. Congressional Research Service 10 Homeland Security Department: FY2010 Appropriations President’s FY2010 Request FY2010 requests compared to the FY2009 enacted appropriations were as follow: OS&EM, $161 million, an increase of $38 million (+31%); USM, $338 million, an increase of $146 million (+43%) when compared to the FY2009 enacted, (or a decrease of $54 million (-14%) as compared with the total provided for FY2009 including supplemental amounts); OCFO, $66 million, an increase of $11 million (+20%); OCIO, $338 million, an increase of $66 million (+24%); AOO, $357 million, an increase of $30 million (+9%); OFCGCR, $2 million, the same amount; and OIG, $128 million, an increase of $8 million (+7%). The total FY2010 request for Title I was $1,390 million. This represents an increase of $97 million (+8%) over the FY2009 total (enacted and supplemental funding).6 Of the amounts requested, the largest increase would occur in the OS&EM (requesting $161 million and 678 full-time equivalent (FTE) employees). Within OS&EM, program increases are requested for the Office of Policy (requesting $62 million and 208 FTE) and the Office for Civil Rights and Civil Liberties (requesting $22 million and 99 FTE). Increased funding for the former office would be used for continued efforts to “strengthen DHS’s ability to maintain policy and operational readiness necessary to protect the homeland” and for the latter office would support staff increases. Other areas of increased OS&EM funding include requests of: $7 million and 36 FTE for the Citizenship and Immigration Services Ombudsman to, among other activities, “establish a Virtual Ombudsman’s Office to provide for online case problem submission, improved analysis and reporting capabilities, and an electronic interface with customers and stakeholders as another avenue to share concerns and solutions” and $4 million and 17 FTE for activities of the Office of Counternarcotics Enforcement, including “increase[d] involvement in counterdrug issues related to Afghanistan and Southwest Asia.”7 House-Passed H.R. 2892 The House Committee on Appropriations recommended these appropriations, as compared with the President’s request: OS&EM, $118 million, ($43 million or 26.7% less); USM, $154 million, ($184 million or 54.4% less); OCFO, $61 million, ($5 million or 7.6% less); OCIO, $282 million ($56 million or 16.6% less); AOO, $346 million ($11 million or 3.1% less); OFCGCR, $2 million, the same amount; and OIG, $128 million (including transferred funds), the same amount. The total funding recommended by the House committee for Title I was $1,075 million (including $16 million in transfers from the FEMA Disaster Relief account in Title III). This represents a decrease of $315 million or 22.7% from the President’s request. Among the directives included in the committee report are these: • In rejecting a proposed transfer of monies from other accounts to pay for travel by the Secretary and the Deputy Secretary, in advance, the committee directs the department to continue to manage travel as it has in the past. • DHS is urged to adopt practices similar to those of other agencies in interacting with GAO, including “ensuring that GAO representatives have direct access to program officials and other relevant DHS employees, including contractors, for 6 DHS, FY2010 Budget Overview, pp. 2-3. FY2010 DHS Justifications, Departmental Management and Operations, Office of the Secretary and Executive Management, pp. OSEM-71 – OSEM-74. 7 Congressional Research Service 11 Homeland Security Department: FY2010 Appropriations purposes of requesting records and obtaining information; expediting the internal review process for requested information by eliminating unnecessary or redundant levels of review; directing program officials and other relevant DHS employees, including contractors, to provide GAO with immediate access to agency records upon request when such records are readily available and do not require further internal review; and providing GAO representatives with access to draft or other non-final agency records when pertinent to GAO’s review.”8 • The Secretary is expected to report to the committee by September 30, 2009, and every six months thereafter, on a detailed inventory of the department’s greenhouse gas emissions and plans for and progress in reducing such emissions. • The Office of the Chief Administrative Officer is directed to provide a detailed briefing to the committee on the plans to consolidate leases as part of the new DHS headquarters and provides $10 million for needed improvements and security enhancements to leased space. • The OFCGCR is to work with FEMA, the Department of Health and Human Services, and the State of Louisiana “to identify and pursue the path forward to bringing Charity hospital in Southern Louisiana back on-line.”9 • The OIG is urged to continue oversight of the relief and reconstruction efforts on the Gulf Coast. The IG is directed to forward copies of audit reports to the committee as they are issued and to inform the committee about reviews that recommend cancellation or modification of a major acquisition project or grant or significant budgetary savings. The House-passed bill made significant reductions to several of the accounts under Title I and allocated funding within the accounts as follows (amounts are rounded): 8 9 • OS&EM—reduced by $30 million ($17 million, $6 million, $5 million, and $2 million). Of the $60,000 appropriated for official reception and representation expenses, $20,000 would be allocated to the Office of Policy to host Visa Waiver Program negotiations in Washington, DC. • USM—reduced by $115 million ($6 million, $14 million, $45 million, and $50 million). The allocation of the appropriation would include at least $1 million for logistics training, $6 million for alteration and facilities improvements and relocation costs to consolidate the DHS headquarters at the Nebraska Avenue complex, and $17 million for the Human Resources Information Technology program. • OCFO—reduced by $3 million. The appropriation would include $11 million for financial systems consolidation. • OCIO—reduced by $18 million. The appropriation would include $87 million (rounded) for salaries and expenses and $213 million, reduced by $18 million, for the development and acquisition of information technology equipment, software, services, and related activities. H.Rept. 111-157, p. 19. H.Rept. 111-157, p. 30. Congressional Research Service 12 Homeland Security Department: FY2010 Appropriations • AOO—The appropriation would include $200 million that would remain available until September 30, 2011. • OIG—The appropriation includes up to $150,000 that could be used for certain confidential operational expenses, including the payment of informants. A general provision is continued at Section 516 of the House-passed bill that requires the Chief Financial Officer to submit reports on budget execution and staffing to the committee within 45 days after the end of each month. Senate-Passed H.R. 2892 The Senate Committee on Appropriations recommended these appropriations, as compared with the President’s request: OS&EM, $149 million, ($12 million or 7.5% less); USM, $308 million, ($30 million or 8.9% less); OCFO, $64 million, ($2 million or 3.0% less); OCIO, $338 million (the same amount); AOO, $348 million ($9 million or 2.5% less); OFCGCR, $2 million, the same amount; and OIG, $132 million (including transferred funds), ($4 million or 3.1% more). The total funding recommended by the Senate committee for Title I was $1,341 million (including $16 million in transfers from FEMA’s Disaster Relief account in Title III). This represents a decrease of $49 million or 3.5% from the President’s request. Among the directives included in the committee report are these: • A proposed transfer of monies from other accounts to pay for travel by the Secretary is approved. • The department is directed to report to the committee within 90 days after the act’s enactment, and quarterly thereafter, on efforts to coordinate chemical security across the government, including those related to conducting prompt and comprehensive federal safety investigations of chemical accidents. • The department is to continue periodic briefings for the committee on the DHS headquarters consolidation project for which, the report notes, more than $1 billion has been appropriated. • The Secretary is directed to submit an expenditure plan for FY2010 for the Office of Intelligence and Analysis (I&A) under the AOO by February 5, 2010. Data that must be included in the plan are expenditures and staffing for each program for 2008 through 2010; both funded and filled positions for full-time equivalent employees (FTE), contractors, and detailees (both reimbursable and not); an explanation of the use of contract workers rather than FTE employees and a plan to reduce the reliance on contractors; funding by object classification for FY2008 through FY2010; and the number of employees funded by I&A who are supporting other organizations within DHS. • The OFCGCR is directed to remain open at least until the end of FY2009, and to provide an expenditure plan for FY2010, by November 30, 2009. The plan should discuss the office’s proactive assistance to the Gulf Coast, including supporting cooperation among federal agencies and promoting solutions for housing needs. The office is encouraged to consolidate data on funds for recovery efforts and measure the impact on recovery indicators, including repopulation, economic and job growth, reestablishment of local and state tax revenues, Congressional Research Service 13 Homeland Security Department: FY2010 Appropriations restoration of housing stock, and availability of critical services such as health care, education, criminal justice, and fire protection. 10 • The Secretary is directed to maintain and update the direct link to the OIG’s website on the DHS website. The report reiterates the necessity for agents, and especially those newly hired, to receive comprehensive training on ethics and public integrity. The Senate-passed bill allocates the funding within the accounts under Title I as follows (amounts are rounded): • OS&EM—Of the $60,000 appropriated for official reception and representation expenses, $20,000 would be allocated to the Office of Policy to host Visa Waiver Program negotiations in Washington, DC. An appropriation of $20 million would not be obligated for the Office of Policy until the DHS Secretary submits an FY2010 expenditure plan for the office. • USM—The appropriation includes $5 million for alteration and facilities improvements and relocation costs to consolidate the DHS headquarters at the Nebraska Avenue complex, and $17 million (rounded) for the Human Resources Information Technology program. • OCFO—The appropriation includes $11 million for financial systems consolidation efforts. • OCIO—The appropriation includes $87 million for salaries and expenses and $251 million for the development and acquisition of information technology equipment, software, services, and related activities, of which $83 million would be for data center development and $39 million of that would be for upgrades to power capabilities at the National Center for Critical Information Processing and Storage. • AOO—The appropriation would include $200 million that would remain available until September 30, 2011. • OIG—The appropriation includes up to $150,000 that could be used for certain confidential operational expenses, including the payment of informants. A general provision at Section 519 of the Senate-passed bill requires the Chief Financial Officer to submit reports on budget execution and staffing, including the number of contract employees by office, to the committee within 45 days after the end of each month. P.L. 111-83 The law provides these appropriations, as compared with the President’s request: OS&EM, $148 million ($13 million or 8.1% less); USM, $254 million ($84 million or 24.8% less); OCFO, $61 million ($5 million or 7.6% less); OCIO, $338 million (the same amount); AOO, $335 million ($22 million or 6.2% less); OFCGCR, $2 million (the same amount); and OIG, $130 million (including transferred funds) ($2 million or 1.6% more). The total funding provided by the law for Title I is $1,268 million (including $16 million in transfers from FEMA’s Disaster Relief 10 S.Rept. 111-31, p. 23. Congressional Research Service 14 Homeland Security Department: FY2010 Appropriations account in Title III). This represents a decrease of $122 million or 8.8% from the President’s request. Among the provisions and directives included in the conference agreement are these: • A proposed transfer of monies from other accounts to pay for travel by the Secretary and the Deputy Secretary is approved to more efficiently disburse payment for travel costs. • The deputy secretary and the department are directed to follow the Senate report directives on coordinated efforts to secure chemical facilities and provide prompt and effective accident investigations, and to fulfill the requirements on reports and briefings. • With regard to the development of the Quadrennial Homeland Security Review (QHSR) and the budget plan to carry out its findings, that plan “should be derived from a strategic policy review that fully considers threat, risk, and mission requirements ... [and] any budget projections included in the QHSR should be based on actual needs to sufficiently carry out the long-term strategy and priorities for homeland security.”11 • No funding is provided for the consolidation of headquarters leases because the justification was inadequate and there are budget constraints. The department is directed “to provide a more detailed plan and justification for its lease consolidation initiative, including projected cost savings” with the budget request for FY2011. The department is also directed “to continue periodic briefings on the St. Elizabeths headquarters consolidation project, including ... efforts to work with the local community and the National Capital Planning Commission to ensure” that parking and traffic management issues are addressed.12 • The CFO is directed to submit the FY2011 budget justifications concurrently with the President’s budget and with the level of detail specified in the House and Senate Committees on Appropriations reports. The CFO must ensure that the enacted FTE numbers for FY2010 stated in the justifications are those funded in the Act. The CFO shall not permit any component within the department to change the Programs, Projects, and Activities in the budget submission for FY2011 into any account structure other than that provided in the detailed funding tables included in the conference agreement without consulting in advance with the committees. • The Secretary is directed to submit an expenditure plan for FY2010 for the Office of Intelligence and Analysis (I&A) under the AOO not later than 60 days after the act’s enactment, as discussed in the Senate report, “including balances carried forward from prior years.” As provided in the House and Senate reports, the Secretary is also directed to “continue to submit quarterly reports on the SLFC [State and Local Fusion Center] Program not later than 30 days after the end of each quarter of the fiscal year.”13 • The OFCGCR is directed to provide an expenditure plan for FY2010, no later than 60 days after the act’s enactment, as discussed in the Senate report. The 11 H.Rept. 111-298, pp. 53-54. Ibid., pp. 57-58. 13 Ibid., pp. 60-61. 12 Congressional Research Service 15 Homeland Security Department: FY2010 Appropriations office is encouraged to consolidate data on funds for recovery efforts and measure the impact on recovery indicators, including repopulation, economic and job growth, reestablishment of local and state tax revenues, restoration of housing stock, and availability of critical services such as health care, education, criminal justice, and fire protection. The office is also directed to work with stakeholders “to identify and pursue a path forward to bring New Orleans Charity Hospital back on-line.”14 • The Inspector General is directed to delay, for 15 days, the public release of final audit or investigation reports requested by the House and Senate Committees on Appropriations. The law allocates the funding within the accounts under Title I as follows (amounts are rounded): 14 • OS&EM—Of the $60,000 appropriated for official reception and representation expenses, $20,000 is allocated to the Office of Policy to host Visa Waiver Program negotiations in Washington, DC. An appropriation of $15 million shall not be obligated for the Office of Policy until the DHS Secretary submits an FY2010 expenditure plan for the office. • USM—The appropriation includes at least $1 million for logistics training, more than $5 million for alteration and facilities improvements and relocation costs to consolidate the DHS headquarters at the Nebraska Avenue complex, and more than $17 million for the Human Resources Information Technology program. • OCFO—The appropriation includes $11 million for financial systems consolidation efforts. Of the total amount appropriated, $5 million shall not be obligated until the CFO, or the individual acting in that capacity, submits to the House and Senate Committees on Appropriations an improvement plan, with yearly milestones, to address the OIG’s recommendations made in report number OIG-09-72. The plan must be submitted by January 4, 2010. • OCIO—The appropriation includes almost $87 million for salaries and expenses and more than $251 million for the development and acquisition of information technology equipment, software, services, and related activities, of which almost $83 million is for data center development, and at least some $38 million of that is for upgrades to power capabilities at the National Center for Critical Information Processing and Storage. • AOO—The appropriation includes almost $191 million that shall remain available until September 30, 2011. • OIG—The appropriation includes up to $150,000 that may be used for certain confidential operational expenses, including the payment of informants. The law authorizes the transfer of $16 million from the Disaster Relief Fund under the Federal Emergency Management Agency (FEMA) “to continue and expand audits and investigations related to disasters.” The IG must notify the House and Senate Committees on Appropriations at least 15 days prior to such transfers. The IG is also to investigate hiring practices at FEMA, evaluate whether a $35 Ibid., p. 61. Congressional Research Service 16 Homeland Security Department: FY2010 Appropriations million budget request is sufficient to address “structural pay deficiencies”15 at that agency, and report to the committees no later than 90 days after the act’s enactment. A general provision at Section 515 of the conference agreement requires the CFO to submit reports on budget execution and staffing, including the number of contract employees by office, to the House and Senate Committees on Appropriations within 45 days after the end of each month. Personnel Issues The Office of the Chief Human Capital Officer (OCHCO) manages and administers human resources at DHS and includes the Office of Human Capital (OHC). The OCHCO “establishes policy and procedures” and provides “oversight, guidance, and leadership within the Department” for the various functions under human capital management. These functions are policy and programs, learning and development, executive resources, human capital business systems, headquarters human resources management services, and business support and operations. The OCHCO reports to the Under Secretary for Management, and its appropriation is included in that of the Under Secretary. The OHC implements the Human Capital Operational Plan and is organized around the initiatives of talent management, performance culture, learning and development, and service excellence. 16 Table 7, below, shows the funding and staff for the OCHCO for FY2009 and congressional action on the request for FY2010. Table 7. Office of the Chief Human Capital Officer Appropriations (budget authority in millions of dollars) Account FY2009 Enacted FY2010 Housepassed FY2010 Request FY2010 Senatepassed FY2010 Enacted Salaries and Expenses CHCO $29 $34 34 34 33 Human Resources—Operational Initiatives and HR Management Systems $10 $10 10 10 10 Total $39 $44 44 44 43 Staffing (full time equivalent, FTE, positions) 79 89 89 89 Sources: FY2010 DHS Justifications, Departmental Management and Operations, Under Secretary for Management, p. USM-4, H.R. 2892, as passed by the House and the Senate, H.Rept. 111-157, Senatereported S. 1298, and S.Rept. 111-31. 15 Ibid., p. 62. 16 FY2010 DHS Justifications, Departmental Management and Operations, Under Secretary for Management, p. USM2; and FY2010 DHS Justifications, Departmental Management and Operations, Under Secretary for Management, Strategic Context, p. USM-3. Congressional Research Service 17 Homeland Security Department: FY2010 Appropriations President’s FY2010 Request According to the DHS Justifications, the FY2010 budget requested $44 million17 and 89 full-time equivalent (FTE) employees for the OCHCO.18 The requested funding is $5 million above the $39 million provided for FY2009. The number of FTEs would increase by 10 over the 79 authorized for FY2009. An appropriation is not requested for the new human resources management system that was authorized in P.L. 107-296.19 The justification that accompanied the DHS budget request for FY2010 stated that the increased funding would be used for continued support of learning and development of the department’s workforce through the Preparedness Center, the Leadership Institute, the Homeland Security Academy, and the Center for Academic and Interagency Outreach; human capital programs; and investments in programs to foster diversity, recruitment, and retention. 20 The competencies required for mission critical occupations within DHS will be reassessed in FY2010 and any gaps that are revealed will be closed through training and development, such as classroom courses, details, and rotations through various positions. The skill and proficiency levels of the department’s human resources staff will be increased through continuing professional development. The Human Resources Information Technology (HRIT) program is designed to “merge and modernize the DHS HRIT infrastructure to provide flexibility and the management information that will allow DHS to continuously evolve.” In 2010, a new enterprise performance management system is expected to be implemented under HRIT. Departmental goals to enhance workforce diversity include the establishment of a Diversity Outreach Advisory Forum and training of managers and executives on recruiting and supervising a diverse workforce.21 House Action The House committee recommended and the House passed an appropriation of $44 million (rounded amount) for the OCHCO, that is $800,000 less than the President’s request. Of the total, $34 million is for salaries and expenses and $10 million is for enhancements to employee morale and creation of a more satisfying work environment. The committee report directs the OCHCO to continue providing monthly reports that summarize vacancies on a timely basis to the House and Senate Appropriations Committees. These reports should include new hires in each headquarters office, the ratio of applications received to vacancies closed, new hires pending completion of the security or suitability clearance, open vacancies, and selection referrals pending with 17 Salaries and benefits ($14 million) and other services ($22 million) account for 82% of the total of $44 million. Other services include contractual services with non-federal sources. 18 FY2010 DHS Justifications, Departmental Management and Operations, Under Secretary for Management, p. USM7. 19 Title VIII, Subtitle E, Section 841 of P.L. 107-296, enacted on November 25, 2002 (116 Stat. 2135, at 2229-2234), established a new human resources management system for DHS. P.L. 110-329, enacted on September 30, 2008, prohibits the use of appropriated funds to implement the new personnel system and its development was halted by DHS effective on October 1, 2008. 20 DHS Justifications, Departmental Management and Operations, Under Secretary for Management, Strategic Context, pp. USM-3-USM-4. 21 DHS Justifications, Departmental Management and Operations, Under Secretary for Management, pp. USM-9 and USM-12 - USM-13. Congressional Research Service 18 Homeland Security Department: FY2010 Appropriations management. The House-passed bill would continue a general provision, at Section 519, that would prohibit the obligation of appropriations “for the development, testing, deployment, or operation of a human resources management [HRM] system authorized by 5 U.S.C. §9701(a) or implementing regulations. The provision also would mandate that the DHS Secretary collaborate with employee representatives as authorized by 5 U.S.C. §9701(e) “in the planning, testing, and development of any portion of [an HRM] system that is developed, tested, or deployed for persons excluded from the definition of employee.” A new provision at Section 544 would permit the Secretary to provide allowances and benefits similar to those provided under Title I, chapter 9 of the Foreign Service Act of 1990 to personnel serving abroad. Senate Action The Senate committee recommended and the Senate passed an appropriation of $44 million (rounded amount) for the OCHCO, that is $800,000 less than the President’s request. Of the total, $34 million is for salaries and expenses and $10 million is for human resources initiatives. The committee report states that the reduction results from the delay in filling full-time permanent positions within the OCHCO and notes that, as of April 25, 2009, the office was 44% below the funded staffing levels. The committee directs that funding for contractors be limited so that the office can be “right sized” with federal employees and mandates the continuation of a reporting requirement and the preparation of a new report. Being continued, is the monthly report on vacancies that is to include information on the time it takes to hire and seat an employee once a vacancy is announced, the reasons for any hiring delays, steps taken or planned to remedy delays, and progress in reducing security clearance backlogs and meeting the 15-day standard for suitability reviews. A new requirement mandates that the OCHCO report on its performance in 2009 in meeting established metrics, including those on meeting a 45-day hiring standard, a 10.5% or lower attrition rate for senior executive personnel, 530 or more civilian employees serving in the department’s interagency and interdepartmental Rotation Training Program, 51% or more DHS employees responding favorably to the Federal Human Capital Survey, and 30% or more of civilian employees in National Security Professional positions. The Senate-passed bill includes the provisions on the HRM system and allowances and benefits similar to the Foreign Service at Section 522 and Section 544, respectively, the same as the House-passed bill would provide. P.L. 111-83 The law provides an appropriation of $43 million (rounded amount) for the OCHCO, that is more than $1 million less than the President’s request. Of the total, $33 million is for salaries and expenses and $10 million is for human resources. The conference agreement states that the reduction is made because the “office will likely lapse appropriated funds in”22 FY2009, and encourages the use of the authority at Section 505 of the Act that makes 50% of those balances available in FY2010. It directs the OCHCO to continue providing monthly reports, on a timely basis, that summarize vacancies to the House and Senate Committees on Appropriations. These reports are to include new hires in each headquarters office, the ratio of applications received to vacancies closed, new hires pending completion of the security or suitability clearance, open vacancies, and selection referrals pending with management. The OCHCO is also directed to 22 Ibid., p. 57. Congressional Research Service 19 Homeland Security Department: FY2010 Appropriations provide the report on its FY2009 performance in meeting the established metrics, that were discussed in the Senate report, no later than 60 days after the act’s enactment. Among the general provisions included in the law are these: • Section 518 prohibits the obligation of appropriations “for the development, testing, deployment, or operation of any portion of a human resources management [HRM] system authorized by 5 U.S.C. §9701(a)” or implementing regulations. The provision also mandates that the DHS Secretary collaborate with employee representatives as authorized by 5 U.S.C. §9701(e) “in the planning, testing, and development of any portion of [an HRM] system that is developed, tested, or deployed for persons excluded from the definition of employee, as that term is defined in 5 U.S.C. §7103(a)(2).”23 • Section 525 prohibits the use of appropriated funds “to carry out reorganization authority,” but the provision “is not intended to prevent the Department from carrying out routine or small reallocations of personnel or functions within [DHS] components.”24 • Section 546 permits the Secretary to provide allowances and benefits similar to those provided under Title I, chapter 9 of the Foreign Service Act of 1990 to personnel serving abroad. • Section 556 prohibits the use of appropriated funds for first-class travel. • Section 557 prohibits the use of appropriated funds “for adverse personnel actions for employees who use protective equipment or measures, including surgical masks, N95 respirators, gloves, or hand-sanitizers in the conduct of their official duties.”25 Section 566 permits “administrative law judges to be available temporarily to serve on an arbitration panel created under the American Recovery and Reinvestment Act for FEMA’s Public Assistance program for Hurricanes Katrina and Rita.”26 Analysis and Operations27 The DHS intelligence mission is outlined in Title II of the Homeland Security Act of 2002 (codified at 6 U.S.C. 121). Organizationally, and from a budget perspective, there have been several changes to the information, intelligence analysis, and infrastructure protection functions at DHS. Pursuant to the Homeland Security Act of 2002, the Information Analysis and Infrastructure Protection (IAIP) Directorate was established. The act created an Under Secretary for IAIP to whom two Assistant Secretaries, one each for Information Analysis (IA) and Infrastructure Protection (IP), reported. The act outlined 19 functions for the IAIP Directorate, including the following, among others: 23 Ibid., p. 31. Ibid., pp. 127-128. 25 Ibid., p. 130. 26 Ibid., p. 131. 27 Prepared by (name redacted), Specialist in Domestic Intelligence and Counterterrorism, Domestic Social Policy Division. 24 Congressional Research Service 20 Homeland Security Department: FY2010 Appropriations • To assess, receive, and analyze law enforcement information, intelligence information, and other information from federal, state, and local government agencies, and the private sector to (1) identify and assess the nature and scope of the terrorist threats to the homeland, (2) detect and identify threats of terrorism against the United States, and (3) understand such threats in light of actual and potential vulnerabilities of the homeland; • To develop a comprehensive national plan for securing the key resources and critical infrastructure of the United States; • To review, analyze, and make recommendations for improvements in the policies and procedures governing the sharing of law enforcement information, intelligence information, and intelligence-related information within the federal government and between the federal government and state and local government agencies and authorities. Former Secretary Chertoff’s Second Stage Review reorganization of the Department in 2005 made several changes to the DHS intelligence structure. IAIP was disbanded and the Office of Infrastructure Protection was placed within the newly created National Protection and Programs Directorate. The Office of Information Analysis was renamed the Office of Intelligence and Analysis and became a stand alone entity. The Assistant Secretary for Intelligence Analysis was designated the Department’s Chief Intelligence Officer. 31 Pursuant to the Implementing Recommendations of the 9/11 Commission Act of 2007 (P.L. 110-53), the Homeland Security Act of 2002 (codified at 6 U.S.C. 201) was amended to codify the Office of Intelligence and Analysis and the Office of Infrastructure Protection and made the head of the Office of Intelligence and Analysis an Under Secretary position. It also designated the Under Secretary for Intelligence and Analysis as the Department’s Chief Intelligence Officer with responsibility for managing the entire DHS Intelligence Enterprise.32 In 2008, former Secretary Chertoff established the Office of Operations Coordination and Planning (OPS), built on the foundation of the former Office of Operations Coordination. OPS supports Departmental and interagency crisis and contingency planning and operations to support the Secretary of Homeland Security in his/her role as the principal Federal official for domestic 28 incident management. President’s FY2010 Request The FY2010 request for the Analysis and Operations (AOO) account is $357 million, an increase of nearly $30 million (+9%) over the enacted FY2009 amount. It should be noted that funds included in this account support both the Office of Intelligence and Analysis (I&A) and the Office of Operations Coordination and Planning (OPS). I&A is responsible for managing the DHS Intelligence enterprise and for collecting, analyzing, and sharing intelligence information for and among all components of DHS, and with the State, local, tribal, and private sector homeland security partners. As a member of the Intelligence Community, I&A’s budget is part of the National Intelligence Program, a classified program document. OPS develops and coordinates 28 According to Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, (2003): “To prevent, prepare for, respond to, and recover from terrorist attacks, major disasters, and other emergencies, the United States Government shall establish a single, comprehensive approach to domestic incident management.... The Secretary of Homeland Security is the principal Federal official for domestic incident management.” Congressional Research Service 21 Homeland Security Department: FY2010 Appropriations departmental and interagency operations plans and manages the National Operations Center, the primary 24/7 national-level hub for domestic incident management, operations coordination, and situational awareness, fusing law enforcement, national intelligence, emergency response, and private sector information. House-passed H.R. 2892 House-passed H.R. 2892 includes $346 million for AOO, a $12 million decrease (-3.3 %) from the Administration’s request for FY2010, but $18 million (+5.2 %) more than the FY2009 enacted level of $327 million. House report, H.Rept. 111-157, indicates that the committee has reduced the funding requested for the National Applications Office (NAO) and the National Immigration Information Sharing Office (NIISO) below the levels requested. The committee is concerned that the Department has failed to adequately develop and submit operating documents and certifications showing that these programs can be conducted within privacy and civil liberties statutes. The committee also notes in H.Rept. 111-157, that it has provided funding to expand support to all existing State and Local Fusion Centers, but is concerned that I&A has failed to submit quarterly reports on this activity as required in the 2009 Appropriations Act. The committee directs I&A to re-establish this quarterly reporting requirement immediately, and to include a national review of fusion center distribution. Senate-passed H.R. 2892 Senate-passed H.R. 2892 includes $348 million for AOO, a $9.5 million decrease (-2.7 %) from the Administration’s request for FY2010, but $20 million (+6 %) more than the FY2009 enacted level of $327 million. In S.Rept. 111-31, the committee expresses concern that the Secretary has failed to submit an expenditure plan for FY2009 mandated in the joint explanatory statement accompanying P.L. 110-329. The committee requires the Secretary to submit an expenditure plan for FY2010 no later than February 5, 2010, which includes the following: (1) FY2010 expenditures and staffing allotted for each program as compared to each of years 2008 and 2009; (2) all funded versus on-board positions, including FTE, contractors, and reimbursable and nonreimbursable detailees; (3) an explanation for maintaining contract staff in lieu of Government FTE; (4) a plan, including dates or timeframes for achieving key milestones, to reduce the office’s reliance on contract staff in lieu of Federal FTE; (5) funding, by object classification, including a comparison to fiscal years 2008 and 2009; and (6) the number of I&A funded employees supporting organizations outside I&A and within DHS. The committee also directs the Department’s Chief Intelligence Officer to continue quarterly updates to the Committees on Appropriations that detail progress in placing DHS intelligence professionals in State and local fusion centers. P.L. 111-83 As approved by both houses of Congress and signed by the President, the final bill includes $335 million for AOO, a $22 million decrease (-6.2 %) from the Administration’s request for FY2010, but $8 million (+2.4 %) more than the FY2009 enacted level of $327 million. The final bill stipulates that none of the funds shall be available to commence operations of the National Immigration Information Sharing Office (NIISO) or any follow-on entity until the Secretary certifies that such program complies with all existing laws, including all privacy and civil liberties standards, the Comptroller General of the United States notifies the Committees on Congressional Research Service 22 Homeland Security Department: FY2010 Appropriations Appropriations of the Senate and House of Representatives and the Secretary that the Comptroller has reviewed such certification, and the Secretary notifies the Committees on Appropriations of the Senate and House of Representatives of all funds to be expended on operations of the NIISO or any follow-on entity pursuant to section 503 of this Act. The conference report (H.Rept. 111298) states that not later than 60 days after the date of enactment of this Act, the Secretary shall submit a FY2010 expenditure plan for the Office of Intelligence and Analysis as outlined in the Senate report (S.Rept. 111-31), including balances carried forward from prior years. In addition, the conference report requires the Secretary to continue to submit quarterly reports on the State and Local Fusion Center Program not later than 30 days after the end of each quarter of the fiscal year as discussed in the Senate and House (H.Rept. 111-157) reports. Title II: Security Enforcement and Investigations Title II contains the appropriations for the Bureau of Customs and Border Protection (CBP), the Bureau of Immigration and Customs Enforcement (ICE), the Transportation Security Administration (TSA), the US Coast Guard, and the US Secret Service. Table 8 shows the FY2009 enacted and FY2010 appropriation action for Title II. Congressional Research Service 23 Homeland Security Department: FY2010 Appropriations Table 8.Title II: Security, Enforcement, and Investigations (budget authority in millions of dollars) FY2009 Appropriation Operational Component FY2009 Enacted FY2009 Supp. FY2009 Resc. FY2010 Appropriation FY2009 Total FY2010 HousePassed FY2010 Request FY2010 SenatePassed FY2010 Enacted Customs & Border Protection Salaries and expenses 7,603 160 7,763 7,623 7,616 8,076 8,065 Automation modernization 511 511 462 462 462 422 Air and Marine Interdictions 528 528 506 514 516 520 Border Security Fencing, Infrastructure, and Technology 775 100 875 779 732 800 800 Facilities Management (Construction) 403 420 823 679 682 316 320 1,448 1,432 1,432 1,432 1,432 11,949 11,481 11,438 11,602 11,559 -1,448 -1,432 -1,432 -1,432 -1,432 10,501 10,049 10,006 10,170 10,127 4,927 4,927 5,348 5,313 5,360 5,342 Federal Protective Services (FPS) 640 640 b 1,115 c d Automation & infrastructure modernization 57 77 110 110 85 90 Construction 5 5 Fee accountse 299 299 318f 318f 305f 305f 5,948 5,776 6,863 5,750 5,742 Fee accountsa Gross total Offsetting collections Net total 1,448 11,268 680 -1,448 9,821 680 Immigration & Customs Enforcement Salaries and expenses Gross total 5,928 20 20 7 5 Offsetting FPS fees -640 -640 Offsetting collections -299 -299 -318 -318 -305 -305 5,009 5,458 5,430 5,445 5,437 Net total CRS-24 4,989 20 -1,115 Homeland Security Department: FY2010 Appropriations FY2010 Appropriation FY2009 Appropriation Operational Component FY2009 Enacted FY2009 Supp. FY2009 Resc. FY2009 Total FY2010 Request FY2010 HousePassed FY2010 SenatePassed FY2010 Enacted Transportation Security Administration Aviation security (gross funding) 4,755 Surface Transportation Security 5,755 5,311 5,266 5,233g 5,214 50 50 128 103 143 111 Transportation Threat Assessment and Credentialing 116 116 192 172 172 172 Credentialing Feesh 40 40 28 45 28 48 Transportation Security Support 948 948 1,005 993 1,000 1,002 Federal Air Marshals 819 819 860 860 860 860 Aviation security capital fundi 250 250 250 250 250 250 7,978 7,774 7,689 7,685 7,656 -2,320 -2,320 -2,100 -2,100 -2,100 -2,100 Credentialing/Fee accounts -40 -40 -28 -45 -28 -48 Aviation security capital fund (mandatory spending) -250 -250 -250 -250 -250 -250 Gross total Offsetting collections Net total 6,978 1,000 1,000 4,367 1,000 5,367 5,396 5,294 5,307 5,258 6,195 112j 6,307 6,556k 6,822 6,838l 6,805 U.S. Coast Guard Operating expenses Environmental compliance & restoration 13 13 13 13 13 13 Reserve training 131 131 134 134 134 134 1,384 1,347 1,598 1,537 10 4 4 Acquisition, construction, & improvements 1,495 98 1,593 Alteration of bridges 16 142 158 Research, development, tests, & evaluation 18 18 20 20 30 25 1,237 1,237 1,361 1,361 1,361 1,361 257 257 261 261 261 261 9,713 9,729k 9,968 10,239l 10,140 Retired pay (mandatory, entitlement) Health care fund contribution Gross total CRS-25 9,361 352 Homeland Security Department: FY2010 Appropriations FY2010 Appropriation FY2009 Appropriation Operational Component FY2009 Enacted FY2009 Supp. FY2009 Resc. FY2009 Total FY2010 HousePassed FY2010 Request FY2010 SenatePassed FY2010 Enacted U.S. Secret Service Salaries and expenses Acquisition, construction, improvements, and related expenses 1,409 100m 1,509 1,486 1,457 1,483 1,479 4 4 4 4 4 4 Gross total 1,413 100m 1,513 1,490 1,461 1,487 1,483 Gross Budget Authority: Title II 34,955 2,152 37,107 36,250 37,421 36,762 36,580 Offsetting collections: -5,004 -5,004 -4,128 -5,260 -4,114 -4,135 Net Budget Authority: Title II 29,951 32,103 32,122 32,161 32,648 32,445 2,152 Sources: CRS Analysis of the FY2010 DHS Congressional Budget Justifications, the FY2010 DHS Budget in Brief, House-passed H.R. 2892 and H.Rept. 111-157, and Senatepassed H.R. 2892 and S.Rept. 111-31. Notes: Tables may not add due to rounding. a. Fees include COBRA, Land Border, Immigration Inspection, Immigration Enforcement, and Puerto Rico. b. The FY2010 requests proposes to move FPS to the NPPD under Title III, see Table 14. c. The Senate-reported version of S. 1298 also moves FPS to the NPPD under Title III, see Table 14. d. P.L. 111-83 moves FPS to the NPPD under Title III, see Table 14. e. Fees include Exam, Student Exchange and Visitor Fee, Breached Bond, Immigration User, and Land Border. f. The Administration’s request, and House-passed H.R. 2892 assume ICE fee receipts totaling $318 million, however, the Senate assumes receipts of $305 million. g. Includes a $5 million transfer to FEMA Fire Assistance Grants in Title III , per Section 572 of Senate-passed H.R. 2892. h. Fees include TWIC, HAZMAT, Registered Traveler, and Alien Flight School Checks. i. Aviation Security Capital Fund, used for installation of Explosive Detection Systems at airports. j. Transfer of $112 million from the Department of Defense, Navy per P.L. 110-252. k. Does not include $242 million for overseas contingency operations. l. Includes $242 million for overseas contingency operations. m. $100 million for Protection of Persons and Facilities per P.L. 111-8. CRS-26 Homeland Security Department: FY2010 Appropriations Customs and Border Protection (CBP)29 CBP is responsible for security at and between ports-of-entry along the border. Since September 11, 2001, CBP’s primary mission is to prevent the entry of terrorists and the instruments of terrorism. CBP’s ongoing responsibilities include inspecting people and goods to determine if they are authorized to enter the United States; interdicting terrorists and instruments of terrorism; intercepting illegal narcotics, firearms, and other types of contraband; interdicting unauthorized travelers and immigrants; and enforcing more than 400 laws and regulations at the border on behalf of more than 60 government agencies. CBP is comprised of the inspection functions of the legacy Customs Service, Immigration and Naturalization Service (INS), and the Animal and Plant Health Inspection Service (APHIS); the Office of Air and Marine Interdiction, now known as CBP Air and Marine (CBPAM); and the U.S. Border Patrol (USBP). See Table 8 for accountlevel detail for all of the agencies in Title II, and Table 9 for sub-account-level detail for CBP Salaries and Expenses (S&E) for FY2009 and FY2010. Table 9. CBP S&E Sub-account Detail (budget authority in millions of dollars) FY2010 HousePassed FY2010 SenatePassed FY2009 Enacted FY2010 Request Headquarters Management and Administration 1,269 1,021 982 1,419 1,418 Border Security Inspections and Trade Facilitation @ POE 2,561 2,736 2,733 2,770 2,750 Inspections, Trade & Travel Facilitation @ POE 2,094 2,255 2,255 2,269 2,262 Container Security Initiative (CSI)/ International Cargo Screening (ICS) 149 165 162 165 162 Other International Programs 11 11 11 11 11 C-TPAT 64 63 63 63 63 FAST/NEXUS/SENTRI 11 11 11 11 11 Inspection and Detection Technology 146 144 144 164 154 Systems for Targeting 33 33 33 33 33 National Targeting Center 24 26 26 27 26 Training at POE 25 25 25 25 25 Harbor Maintenance Fee 3 3 3 3 3 Border Security and Control Between POE 3,501 3,557 3,592 3,577 3,587 Border Security and Control Between POE 3,426 3,505 3,539 3,525 3,535 Training Between the POE 75 52 52 52 52 Activity FY2010 Enacted 29 Prepared by (name redacted), Analysts in Domestic Security, and (name redacted), Analyst in Immigration Policy, Domestic Social Policy Division. Congressional Research Service 27 Homeland Security Department: FY2010 Appropriations FY2010 HousePassed FY2010 SenatePassed FY2009 Enacted FY2010 Request 272 310 310 310 310 Rescission — — — — — CBP Salaries and Expenses Total: 7,603a 7,623 7,616 8,076 8,065 Activity Air and Marine Operations Salaries FY2010 Enacted Sources: CRS Analysis of the FY2010 DHS Congressional Budget Justifications, the FY2010 DHS Budget in Brief, House-passed H.R. 2892 and H.Rept. 111-157, and Senate-passed H.R. 2892 and S.Rept. 111-31. Note: Tables may not add due to rounding. a. This total does not include $160 million in emergency funding appropriated by P.L. 111-5. President’s FY2010 Request The Administration requested an appropriation of $11,431 million in gross budget authority for CBP for FY2010, amounting to a $163 million (or 1%) increase over the enacted FY2009 level of $11,268 million. The Administration requested $10,049 million in net budget authority for CBP in FY2010, which amounts to a $228 million increase over the net FY2009 appropriation of $9,821 million. House-Passed H.R. 2892 House-passed H.R. 2892 would provide $11,438 million in gross budget authority for CBP for FY2010, amounting to $43 million (or roughly 1%) less than was requested by the Administration, and a $511 million or 4% decrease over the enacted FY2009 level of $11,949 million. House-passed H.R. 2892 included $10,006 million in net budget authority for CBP for FY2010, amounting to a $43 million decrease over the Administration’s request, and a $495 million decrease over the FY2009 enacted level of $10,501 million. Senate-Passed H.R. 2892 Senate-passed H.R. 2892 would provide $11,602 million in gross budget authority for CBP for FY2010, amounting to $121 million (or 1%) more than was requested by the Administration, and a $347 million or 3% decrease over the enacted FY2009 level of $11,949 million. Senate-passed H.R. 2892 included $10,170 million in net budget authority for CBP for FY2010, amounting to a $121 million increase over the Administration’s request, and a $349 million increase over the FY2009 enacted level of $9,821 million. P.L. 111-83 P.L. 111-83 provided $11,559 million in gross budget authority for CBP for FY2010, amounting to $78 million (or 1%) more than was requested by the Administration, and a $291 million or 3% increase over the enacted FY2009 level of $11,268 million. P.L. 111-83 included $10,127 million in net budget authority for CBP for FY2010, amounting to a $78 million increase over the Administration’s request, and a $349 million increase over the FY2009 enacted level of $9,821 million. Congressional Research Service 28 Homeland Security Department: FY2010 Appropriations Issues for Congress Issues that Congress could consider during the FY2010 appropriations cycle include funding for and deployment of the Secure Border Initiative (SBI) technologies known as SBInet; CBP officers and Border Patrol agents hiring and staffing levels; the Western Hemisphere Travel Initiative (WHTI); the designation of CBP Officers as law enforcement officers for retirement purposes; and the declining request for appropriations for some cargo security initiatives. Fencing, Infrastructure, and Technology The Administration requested $779 million for the deployment of SBInet30 related technologies and infrastructures in FY2010, a decrease of $4 million over the FY2009 enacted level of $775 million (this total does not include $100 million from the American Recovery and Reinvestment Act31). Within the FY2010 request, the Administration is proposing to allocate $494 million for developing and deploying additional technology and infrastructure solutions to the southwest border. An additional $200 million is requested for operations and maintenance of the cameras, sensors, and tactical infrastructure (TI) fencing. The Administration notes that this will fund the costs associated with operating and maintaining the technologies that have already been deployed to the border as part of the SBI program. CBP states that the 670 miles of pedestrian and vehicle fencing along the southwest border are largely completed, and their attention will now shift towards other priorities, including the deployment of multiple SBInet projects.32 The management of SBInet, however, has come under scrutiny. The Government Accountability Office (GAO) noted that the Border Patrol was not consulted early enough in the process of developing the technology solutions that would be used by SBInet, and that this fact combined with some challenges relating to the integration of the technologies deployed by Boeing led to an eight month delay in the initial pilot program’s deployment in Tucson Sector.33 Oversight of the SBInet program’s continuing deployment of technology at the border, including whether DHS is on track to meet its goals, may be an issue of concern to Congress as it considers the FY2010 request. House-passed H.R. 2892 would have provided $732 million for the fencing, infrastructure and technology-related account in CBP. Of this funding, $440 million would go towards development and deployment of technology and TI. The funding would also have included $40 million for environmental and regulatory assessments and mitigation. Moreover, $150 million of the funding would remain unavailable until an expenditure plan was submitted. The report language also called for an “alternative analysis” for operational control at the border, as well as more consultation between CBP and local communities about border control activities. Senate-passed H.R. 2892 would have provided $800 million for the fencing, infrastructure and technologyrelated account in CBP, of which $515 million would go towards development and deployment. P.L. 111-83 provided $800 million for the fencing, infrastructure and technology-related account 30 SBInet is the technological and infrastructure component of the Secure Border Initiative (SBI), a multifaceted approach to securing the border. In its FY2007 budget submission, DHS asserted that it had “developed a three-pillar approach under the SBI that will focus on controlling the border, building a robust interior enforcement program, and establishing a Temporary Worker Program.” DHS FY2007 Justification, p. CBP S&E 4. 31 P.L. 111-5. 32 DHS FY2010 Justification, p. CBP BSFIT 2. 33 Testimony of GAO Director of Homeland Security and Justice Issues Richard Stana, in U.S. Congress, Committee on Appropriations, Subcommittee on Homeland Security, DHS Has Taken Actions to Strengthen Border Security Programs and Operations, But Challenges Remain, 110th Cong., 2nd Sess., March 6, 2009. Congressional Research Service 29 Homeland Security Department: FY2010 Appropriations in CBP, of which $508 million was for development and deployment and $40 million was for environmental and regulatory assessments and mitigation. In addition to requiring the timely submission of an expenditure plan, the Senate report also noted a general disappointment that the upgrades of ports of entry are backlogged and that no funding request for new ports of entry were submitted. Also, both the House and Senate Reports voiced strong support for continuing efforts to secure the northern border, and include full funding for Border Patrol agents and recruitment. Consequently, P.L. 111-83 included $40 million for Northern border security technology investment and funding for an additional 100 Border Patrol Agents. In 2008, Congress included provisions in P.L. 110-161 requiring DHS to construct reinforced fencing or other barriers along not less than 700 miles of the southwest border, in locations where fencing is deemed most practical and effective. In carrying out this requirement, the Secretary is further directed to identify either 370 miles or “other mileage” along the southwest border where fencing would be most practical and effective in deterring smugglers and illegal aliens, and to complete construction of fencing in identified areas. These requirements would have been modified by S.Amdt. 1399 to Senate-passed H.R. 2892 to require that DHS construct reinforced fencing to “restrain pedestrian traffic” along the entire 700 miles of border identified by the Secretary for barrier construction. This language, however, was dropped by the conferees and excluded from P.L. 111-83. Western Hemisphere Travel Initiative (WHTI) The Administration requested an increase of $21 million (for a total of $145 million) for WHTI in FY2010. WHTI requires U.S. citizens, and Canadian, Mexican, and some island nation nationals to present a passport, or some other document or combination of documents deemed sufficient to denote identity and citizenship status by the Secretary of Homeland Security, as per P.L. 108-458 §7209. DHS has already required all U.S. citizens entering the country at air and sea POE to present passports as of January 18, 2007. P.L. 110-161, the Consolidated Appropriations Act, 2008, which requires U.S. citizens to provide proof of identity and citizenship at the land border, took effect June 1, 2009. Moreover, as of January 31, 2008, DHS has ended the practice of accepting oral declarations of citizenship at the land border and is requiring U.S, citizens to present a passport, some other accepted biometric document, or the combination of a driver’s license and a birth certificate, in order to re-enter the country34 (although DHS has made public assurances that immigration inspectors will be allowed some discretion immediately following the WHTI requirements taking effect). 35 Issues for Congress include whether dissemination of WHTI documents is large enough to prevent a detrimental impact on the border regions, whether the proposed staffing increases and infrastructure modifications are adequate to meet the needs associated with the WHTI program, and whether the program to develop enhanced state driver’s licenses that may be used to cross the land-border adequately addresses security concerns.36 34 Department of Homeland Security, Press Release, DHS Ends Oral Declarations at Borders, Reminds Travelers of New Procedures, on January 31, January 18, 2008. 35 Comments of Colleen Manahaer, Director, WHTI, at New Administration, New Border Policy: International Conference and Congressional Briefing of the Border Trade Alliance, Washington, DC, April 20, 2009. 36 DHS entered into an agreement to with Washington State to develop driver’s licenses that would be considered WHTI-compliant. These enhanced driver’s licenses (EDL) have been issued since January 22, 2008 and several other states have signed agreements with DHS to develop their own EDLs. For additional information and discussion, see (continued...) Congressional Research Service 30 Homeland Security Department: FY2010 Appropriations House-passed H.R. 2892 would have included $140 million for WHTI to be used on the continued costs of infrastructure, technology and operations for WHTI. In addition to general deployment, the House report noted that some of this funding would have been used for expanding program support in anticipation of the 2010 Olympics in Vancouver, as well as for auditing of enhanced drivers licenses and wait time studies. Senate-passed H.R. 2892 would have fully funded the Obama Administration’s request of $145 million for WHTI. The Senate report also noted that WHTI implementation activities, including issuance of WHTI compliant tribal IDs, are eligible for funding under the State Homeland Security Grant Program. P.L. 111-83 fully funded the Obama Administration’s request of $145 million for WHTI. Other Travel Programs The new International Registered Traveler program enacted by the FY2008 Consolidated Appropriations Act, and which has been renamed Global Entry by the Administration, is currently being rolled out. The program gives pre-approved, low-risk travelers (U.S. Citizens and Legal Permanent Residents) expedited clearance into the United States at seven airports, and the program will eventually expand to the 20 busiest international airports.37 An agreement with the Government of the Netherlands will allow qualified U.S. citizens to join Privium, the Dutch equivalent to Global Entry, and allow Dutch citizens to join Global Entry.38 In addition, pursuant to requirements under Section 711 of the Implementing the Recommendations of the 9/11 Commission Act of 2007,39 the Electronic System for Travel Authorization (ESTA) has been established to screen Visa Waiver Program travelers prior to travel to the United States. As eight countries were added to the Visa Waiver Program in 2008,40 the ESTA program is projected to process over 17 million ESTA applications submitted by VWP travelers.41 H.Rept. 111-157 to H.R. 2892 notes that the enrollment in established trusted traveler programs— SENTRI, FAST, and NEXUS—has been growing, since participation satisfies the requirements of WHTI. The Global Entry program, however, has seen less growth than expected, according to the report. Also, H.Rept. 111-157 states that CBP is developing a global enrollment system that will, when fully operational, serve as the application gateway to a single trusted traveler program. The report does not provide indications of any timeline for developing such a system. Secure Freight Initiative (SFI) The Secure Freight Initiative (SFI) is the next stage in the Department’s effort to secure cargo containers in-bound to the U.S. from foreign countries. According to DHS, SFI is now being (...continued) CRS Report RL32754, Immigration: Analysis of the Major Provisions of the REAL ID Act of 2005, by (name redacte d), (name redacted), and (name redacted). 37 U.S. Customs and Border Protection, Global Entry Program Overview, Washington, DC, February 12, 2009, http://www.cbp.gov/xp/cgov/travel/trusted_traveler/global_entry/global_entry_discription.xml. 38 U.S. Customs and Border Protection, Global Entry with Expedited Entry into the Netherlands, Washington, DC, May 5, 2009, http://www.cbp.gov/xp/cgov/travel/trusted_traveler/global_entry/global_entry_flux.xml. 39 P.L. 110-53. 40 These eight countries were Estonia, Czech Republic, Hungary, Latvia, Lithuania, Slovakia, South Korea, and Malta. 41 DHS FY2010 Budget Justification, p. CBP S&E 15. Congressional Research Service 31 Homeland Security Department: FY2010 Appropriations characterized as a “three-pronged approach to enhance supply chain security.”42 The three prongs of this approach are: the International Container Security project (ICS); the project to acquire data elements to improve risk-based targeting of containers, known as the Security Filing (SF) or “10+2”; and the efforts to identify and acquire technology to enhance cargo scanning and risk assessment capabilities.43 The ICS is the component of the strategy whereby all U.S.-bound maritime containers are subject to an integrated scan (image and radiation detection) at the participating overseas port before being loaded on the U.S.-bound vessel. ICS is currently fully operational and scanning 100% of U.S.-bound containers at the Port of Southampton in the United Kingdom, the Port of Qasim in Pakistan, and at Puerto Cortes in Honduras.44 The SF initiative, also referred to as “10+2” by CBP, is the latest effort to collect additional data pertaining to U.S.-bound maritime shipments. The SF initiative will allow CBP to collect additional data earlier in the supply chain to enhance risk assessment capabilities before cargo is loaded onto U.S.-bound vessels. CBP issued the final rule setting out the implementation of the 10+2 data requirements November 25, 2008.45 The rule took effect on January 26, 2009, but is being implemented under a “delayed compliance period” which is currently scheduled to last 12 months. CBP Congressional Budget Justification materials indicated that the $165 million request for ICS in FY2010 includes a $16 million increase for Secure Freight, the majority of which is what is characterized as a “base funding adjustment”.46 According to the budget justification materials, the goals for FY2010 include expanding SFI “as permitted” to an additional nine locations that would focus on high-risk trade corridors. An issue for Congress might be whether or not the requested increase of $16 million is sufficient to support the expansion of SFI, given that the majority of the requested increase has been characterized as an adjustment to base funding, rather than as a programmatic increase. Congress may also wish to examine the criteria CBP is using to select the additional SFI locations, and in particular their designation as high-risk. House-passed H.R. 2892 provides $162 million for ICS ($3 million below the request for FY2010), while Senate-passed H.R. 2892 fully funds the President’s request for this activity. P.L. 111-83 provides $162 million for ICS. H.Rept. 111-157 contains language expressing the Appropriations Committee’s understanding that while SFI has produced interesting data and results, it has also revealed “considerable challenges”. The committee states that: It has become increasingly clear that, at least for now, a 100 percent scanning goal is not feasible, and even if it were, would come at an unacceptably high cost monetarily and in the displacement of other efforts.47 42 DHS, FY2009 Congressional Budget Justifications, p. CBP-SE-26. DHS FY2010 Congressional Budget Justifications, p. CBP-S&E-23. 44 Ibid. p. CBP-S&E-24. 45 Department of Homeland Security, Customs and Border Protection, “19 CFR Parts 4, 12, 18, et al.: Importer Security Filing and Additional Carrier Requirements; Final Rule,” 73 Federal Register 71730-71785, November 25, 2008. 46 DHS, FY2010 Congressional Budget Justification, CBP-S&E-21, accessed at http://www.dhs.gov/xlibrary/assets/ budget_fy2009.pdf. 47 Ibid. 43 Congressional Research Service 32 Homeland Security Department: FY2010 Appropriations The committee report requires CBP to report, not later than January 15, 2010, on its strategy to “achieve meaningful cargo and supply chain security” in the absence of the 100% scanning requirement. The adopted conference report to H.R. 2892 includes language instructing CBP to report, as described in the House report, no later than February 1, 2010. It is important to note that CBP is currently describing the Secure Freight Initiative (SFI) as the next phase/iteration or future of the Container Security Initiative (CSI). CSI may also be referred to as a component of the International Container Security (ICS) project. The ICS, as noted above, is the new umbrella name for CBP’s international cargo security initiatives, which includes CSI and SFI. Container Security Initiative CSI is a program by which CBP stations CBP officers in foreign ports to target high-risk containers for inspection before they are loaded on U.S.-bound ships. CSI is currently operational in 58 ports. This year, the requested $165 million for FY2010 includes funding for CSI/ICS, SFI, the Security Filing (SF), and technology acquisition efforts. As noted above, the CBP Budget Justifications indicate a requested increase of nearly $16 million for the CSI/ICS program for FY2010. However, as noted above, the majority of the requested increase appears targeted to SFI, and thus the FY2010 budget request does not appear to include any additional funding for CSI. Congress may wish to explore in more detail the current and potential relationship between the CSI and SFI programs, and whether or not it would be beneficial to have a separate budgetary presentation for the CSI and SFI programs. Currently, it is difficult to assess what portion of the ICS account is dedicated to the CSI program. Neither H.Rept. 111-157, nor S.Rept. 111-31 shed light on the portion of ICS funding dedicated to the CSI program. P.L. 111-83 also reflects this lack of clarity. Immigration and Customs Enforcement (ICE)48 ICE focuses on enforcement of immigration and customs laws within the United States. ICE develops intelligence to reduce illegal entry into the United States and is responsible for investigating and enforcing violations of the immigration laws (e.g., alien smuggling, hiring unauthorized alien workers). ICE is also responsible for locating and removing aliens who have overstayed their visas, entered illegally, or have become deportable. In addition, ICE develops intelligence to combat terrorist financing and money laundering, and to enforce export laws against smuggling, fraud, forced labor, trade agreement noncompliance, and vehicle and cargo theft. Furthermore, this bureau oversees the building security activities of the Federal Protective Service (FPS), formerly of the General Services Administration. For FY2010, the Administration has proposed moving the FPS from ICE to NPPD in Title III. See Table 8 for account-level detail for all of the agencies in Title II, and Table 10 for sub-account-level detail for ICE Salaries and Expenses (S&E) for FY2009 and FY2010. 48 Prepared by (name redacted), Specialist in Immigration Policy, Domestic Social Policy Division. Congressional Research Service 33 Homeland Security Department: FY2010 Appropriations President’s FY2010 Request The Administration requested $5,776 in gross budget authority for ICE in FY2010. This represented a 2.7% decrease over the enacted FY2009 level of $5,928 million (excluding the supplemental). However, this decrease is misleading, because of the proposed transfer of FPS from ICE to NPPD. The Administration requested an appropriation of $5,458 million in net budget authority for ICE in FY2010, representing a 9% increase over the FY2009 enacted level (including the Supplemental) of $4,989 million. Table 10 provides activity-level detail for the Salaries and Expenses account. The request includes the following increases: • $70 million for the Southwest Border Enforcement Program; • $92 million for the co-location of ICE facilities; • $39.1 million for Secure Communities;49 • $12 million for the Detention Facilities Inspection Group; • $12 for the Office of State and Local Coordination; • $34 million to move data center operations from Department of Justice’s centers to DHS centers. Table 10. ICE S&E Sub-account Detail (budget authority in millions of dollars) FY2010 HousePassed FY2010 SenatePassed Activity FY2009 Enacteda FY2010 Requesta Management (HQ) & Administration 0 0 486 522 512 Legal Proceeding 240 260 222 222 222 Investigations - Domestic 1,696 1,884 1,643 1,667 1,650 Investigations - International 111 119 113 113 113 Visa Security Programb FY2010 Enacted 28 32 32 30 31 1,835 2,035 1,788 1,810 1,793 64 80 68 72 70 DRO-Custody Operations 1,830 1,967 1,771 1,771 1,771 DRO-Fugitive Operations 241 251 230 230 230 DRO-Criminal Alien Program 209 222 193 193 193 DRO-Alternatives to Detention 67 69 74 64 70 Total Investigations Intelligence DRO Transportation and Removal Program 281 281 282 282 282 DRO Total 2,628 2,790 2,549 2,539 2,545 Comprehensive Identification and Removal of Criminal Aliens 161c 212 200 196 200 4,927d 5,348 5,313 5,360 5,342 ICE Salaries and Expenses 49 Secure communities is a program which seeks to remove all criminal aliens convicted of violent felonies and major drug crimes from the United States. Congressional Research Service 34 Homeland Security Department: FY2010 Appropriations Sources: CRS Analysis of the FY2010 DHS Congressional Budget Justifications, the FY2010 DHS Budget in Brief, House-passed H.R. 2892 and H.Rept. 111-157, and Senate-passed H.R. 2892 and S.Rept. 111-31. Note: Tables may not add due to rounding. Althoug [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/crs%3AR40642. Public record. Not legal advice.