# Department of Homeland Security: FY2015 Appropriations

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URL: https://www.frixlaw.com/law-library/documents/crs%3AR43796

## Record

- **Collection:** Congressional research report
- **Document type:** CRS Report
- **Published:** June 2, 2015
- **Citation:** R43796

## Text

Department of Homeland Security:
FY2015 Appropriations
(name redacted), Coordinator
Analyst in Emergency Management and Homeland Security Policy
June 2, 2015

Congressional Research Service
7-....
www.crs.gov
R43796

Department of Homeland Security: FY2015 Appropriations

Summary
This report analyzes the FY2015 appropriations for the Department of Homeland Security (DHS).
While this report makes note of many budgetary resources provided to DHS, its primary focus is
on funding approved by Congress through the appropriations process.
The Administration requested $38.332 billion in adjusted net discretionary budget authority for
DHS for FY2015, as part of an overall budget of $60.919 billion (including fees, trust funds, and
other funding that is not appropriated or does not score against the budget caps). The request
amounted to a $0.938 billion, or 2.4%, decrease from the $39.270 billion enacted through the
consolidated appropriations act for FY2014 (P.L. 112-74).
In addition, the Administration requested an additional $6.438 billion not reflected above for
FEMA in disaster relief funding as defined by the Budget Control Act (BCA).
On June 11, 2014, the House Appropriations Committee marked up its draft Homeland Security
Appropriations bill, and voted to report it out of committee. The House committee-reported bill
provided $39.220 billion in adjusted net discretionary budget authority, as well as the requested
disaster relief funding.
On June 26, 2014, the Senate Appropriations Committee marked up its draft Homeland Security
Appropriations bill, and voted to report it out of committee. The Senate committee-reported bill
provided $39.000 billion in adjusted net discretionary budget authority, as well as the requested
disaster relief funding, and $213 million for Coast Guard overseas contingency operations.
On September 19, 2014, the President signed H.J.Res. 124, the Continuing Appropriations
Resolution, 2015, into law as P.L. 113-164. This continuing resolution originally funded the
operations of the federal government at the current annual rate until December 11, 2014, or until
full-year appropriations were passed, whichever came first. It has been extended by three other
short-term continuing resolutions, including Division L of H.R. 83, the Consolidated and Further
Continuing Appropriations Act, 2015, which extended funding for DHS through February 27,
2015.
With the beginning of the 114th Congress, both House- and Senate-reported FY2015 annual
homeland security appropriations bills were no longer available for action. H.R. 240, a new
FY2015 annual homeland security appropriations bill, was introduced on January 9, 2015, and
considered in the House the following week under a structured rule that allowed five immigration
policy-related amendments. After adopting these five amendments, the bill passed the House on
January 14, 2015. On February 27, the Senate passed an amended H.R. 240 without the
legislative text added by the House amendments.
After the House did not pass a three-week extension of the continuing resolution, the Senate and
House passed a one week extension of the continuing resolution to avoid a lapse in annual
appropriations for DHS. On March 3, 2015, the House voted to approve the Senate version of
H.R. 240. The bill was signed into law on March 4, 2015, as P.L. 114-4.
As enacted, the bill provided $39.670 billion in adjusted net discretionary budget authority, as
well as the requested $6.438 billion in disaster relief funding and $213 million for Coast Guard
overseas contingency operations, for total adjustments under the BCA of $6.651 billion.

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Contents
Major Legislative Actions................................................................................................................ 1
March 4-11, 2014—President’s FY2015 Budget Request Submitted ....................................... 1
June 11, 2014—House Appropriations Committee Approves H.R. 4903 ................................. 2
June 26, 2014—Senate Appropriations Committee Approves S. 2534 ..................................... 2
September 19, 2014—President Signs H.J.Res. 124 into Law .................................................. 2
December 16, 2014—President Signs H.R. 83 into Law .......................................................... 3
January 14, 2015—House Passes H.R. 240............................................................................... 3
February 27, 2015—H.R. 240 Is Amended and Passes the Senate ........................................... 4
February 27, 2015—Senate and House Extend Continuing Resolution.................................... 4
March 3, 2015—House Agrees to the Senate Amendment ....................................................... 4
March 4, 2015—FY2015 Homeland Security Appropriations Enacted .................................... 4
Note on Data and Citations........................................................................................................ 5
Background ...................................................................................................................................... 5
Department of Homeland Security ............................................................................................ 5
Appropriations for the Department of Homeland Security.............................................................. 6
Summary of DHS Appropriations ............................................................................................. 6
DHS Appropriations: Comparing the Components ................................................................... 8
DHS Appropriations Compared to the Total DHS Budget ...................................................... 11
DHS Appropriations Trends: Size ........................................................................................... 11
DHS Appropriations Trends: Timing....................................................................................... 13
Title I: Departmental Management and Operations ....................................................................... 15
Departmental Management...................................................................................................... 16
DHS Headquarters Consolidation ........................................................................................... 29
Analysis and Operations .......................................................................................................... 31
Office of the Inspector General ............................................................................................... 33
Title II: Security, Enforcement, and Investigations ....................................................................... 36
Customs and Border Protection ............................................................................................... 39
Immigration and Customs Enforcement (ICE) ........................................................................ 44
Transportation Security Administration .................................................................................. 49
U.S. Coast Guard ..................................................................................................................... 59
U.S. Secret Service .................................................................................................................. 64
Title III: Protection, Preparedness, Response, and Recovery ........................................................ 68
National Protection and Programs Directorate (NPPD) .......................................................... 70
Office of Health Affairs ........................................................................................................... 78
Federal Emergency Management Agency (FEMA) ................................................................ 81
DHS State and Local Preparedness Grants .............................................................................. 82
Title IV: Research and Development, Training, and Services ....................................................... 92
U.S. Citizenship and Immigration Services............................................................................. 94
Federal Law Enforcement Training Center ............................................................................. 98
Science and Technology Directorate ....................................................................................... 99
Domestic Nuclear Detection Office....................................................................................... 103
Title V: General Provisions .......................................................................................................... 104

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Figures
Figure 1. Department of Homeland Security Appropriations by Component, FY2014FY2015 ....................................................................................................................................... 10
Figure 2. DHS Gross Budget Breakdown: FY2015 Request ......................................................... 11
Figure 3. DHS Appropriations, Showing Supplemental Appropriations and the DRF.................. 12
Figure 4. DHS Appropriations Legislative Timing ........................................................................ 14

Tables
Table 1. Legislative Status of Annual FY2015 Homeland Security Appropriations ....................... 1
Table 2. Department of Homeland Security Appropriations by Title, FY2014-FY2015 ................. 7
Table 3. DHS Appropriations by Component, FY2014-FY2015..................................................... 8
Table 4. Title I: Departmental Management and Operations, FY2014-FY2015............................ 15
Table 5. DHS Management Account Appropriations, FY2014-FY2015 ....................................... 24
Table 6. Title II: Security, Enforcement, and Investigations, FY2014-FY2015 ............................ 37
Table 7. U.S. Customs and Border Protection Account Detail, FY2014-FY2015 ......................... 42
Table 8. Immigration and Customs Enforcement (ICE) Sub-Account Detail,
FY2014-FY2015 ......................................................................................................................... 46
Table 9. TSA Requested Budgetary Resources, FY2015............................................................... 50
Table 10. TSA Gross Budget Authority by Budget Activity, FY2014-FY2015............................. 52
Table 11. Coast Guard Operating (OE) and Acquisition (ACI) Sub-Account Detail,
FY2014-FY2015 ......................................................................................................................... 60
Table 12.Budget Authority for the U.S. Secret Service, FY2013-FY2014 .................................... 66
Table 13. Title III: Protection, Preparedness, Response, and Recovery, FY2014-FY2015 ........... 68
Table 14. Budget Authority for Infrastructure Protection and Information Security,
FY2014-FY2015 ......................................................................................................................... 73
Table 15. Office of Health Affairs, FY2014-FY2015 .................................................................... 79
Table 16. State and Local Grant Programs and Training, FY2014-FY2015 .................................. 84
Table 17. Title IV: Research and Development, Training, and Services, FY2014-FY2015 .......... 92
Table 18. USCIS Budget Account Detail, FY2014-FY2015 ......................................................... 96
Table 19. Directorate of Science and Technology, FY2014-FY2015 .......................................... 101
Table 20. Domestic Nuclear Detection Office, FY2014-FY2015................................................ 104
Table A-1. FY2014 and FY2015 302(b) Discretionary Allocations for DHS.............................. 110
Table B-1. DHS New Discretionary Budget Authority, FY2004-FY2014 .................................. 113
Table B-2. DHS New Discretionary Budget Authority, FY2013 Dollars, FY2004-FY2014....... 113

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Appendixes
Appendix A. Appropriations Terms and Concepts....................................................................... 108
Appendix B. DHS Appropriations in Context ............................................................................. 112

Contacts
Author Contact Information......................................................................................................... 115

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T

his report describes and analyzes the discretionary appropriations for the Department of
Homeland Security (DHS) for fiscal year 2015 (FY2015). It compares the President’s
request for FY2015 funding for the Department of Homeland Security (DHS), the enacted
FY2014 appropriations for DHS, the House- and Senate-reported homeland security
appropriations measures for FY2015, and the Department of Homeland Security Appropriations
Act, 2015 (P.L. 114-4).
The first portion of this report provides an overview and historical context for reviewing DHS
appropriations, highlighting various aspects including the comparative size of DHS components,
the amount of non-appropriated funding the department receives, and trends in the timing and
size of the department’s appropriations legislation. The second portion of the report outlines the
legislative chronology of major events in funding the department for FY2015. The third portion
of the report provides detailed information on DHS appropriations, broken down by component,
with discussion of associated policy issues.
The report tracks legislative action and congressional issues related to DHS appropriations with
particular attention paid to discretionary funding amounts. The report does not provide in-depth
analysis of specific issues related to mandatory funding—such as retirement pay—nor does the
report systematically follow any other legislation related to the authorization or amendment of
DHS programs, activities, or fee revenues.
Discussion of appropriations legislation involves a variety of specialized budgetary concepts.
Appendix A to this report explains several of these concepts, including budget authority,
obligations, outlays, discretionary and mandatory spending, offsetting collections, allocations,
and adjustments to the discretionary spending caps under the Budget Control Act.

Major Legislative Actions
The following descriptions reflect only the major actions taken on FY2015 homeland security
appropriations. For a more detailed description of the procedural actions taken, see CRS Report
R43776, Congressional Action on FY2015 Appropriations Measures, by (name redacted).
Table 1. Legislative Status of Annual FY2015 Homeland Security Appropriations
Subcommittee
Markup
House

Senate

H.Rept.
113-481
(113th
Cong.)

5/28/14
(vv)

6/24/14
(vv)

6/11/14
(vv)

S.Rept.
113-198
(113th
Cong.)

House
Passes
H.R. 240
(114th
Cong.)

Senate
Passes
H.R. 240
(114th
Cong.)

House Concurs
w/ Senate
Amendments
(114th Cong.)

6/26/14
(vv)

1/14/15
(236-191)

2/27/15
(68-31)

3/3/15
(257-167)

Public
Law
114-4
3/4/2015

Notes: (vv) = voice vote.

March 4-11, 2014—President’s FY2015 Budget Request Submitted
For FY2015, the Administration requested $38.332 billion in adjusted net discretionary budget
authority for DHS, as part of an overall budget request of $60.919 billion (including fees, trust
funds and other funding that is not appropriated or does not score against the budget caps). This
request amounts to a $0.938 billion (2.4%) decrease below the $39.270 billion enacted for

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Department of Homeland Security: FY2015 Appropriations

FY2014 through Division F of P.L. 113-76. The overall estimated size of the DHS budget for
FY2015 is a $264 million (0.4%) increase above the budget of $60.655 billion estimated for
FY2014.1

June 11, 2014—House Appropriations Committee Approves
H.R. 4903
The House Committee on Appropriations reported its version of the FY2015 DHS Appropriations
bill on June 11, 2014, by a voice vote. This report uses House-reported H.R. 4903 and the
accompanying report (H.Rept. 113-481) as the source for House-reported appropriations numbers
and, for comparison, the underlying FY2015 budget request from the Administration. The House
bill as approved by the committee would have provided a net discretionary appropriation of
$39,220 million for DHS for FY2015, not including $6,438 million for disaster relief that would
be paid for by adjustments to the discretionary spending cap under the BCA. With that exclusion,
the House-reported bill provided $888 million (2.3%) above the Administration’s request, and
$50 million (0.1%) below the amount provided under Division F of P.L. 113-76.

June 26, 2014—Senate Appropriations Committee Approves S. 2534
The Senate Committee on Appropriations reported its version of the FY2015 DHS Appropriations
bill on June 26, 2014, by a voice vote. This report uses Senate-reported S. 2534 and the
accompanying report (S.Rept. 113-198) as the source for Senate-reported appropriations numbers.
The Senate bill as approved by the committee would have provided a net discretionary
appropriation of $39,000 million for DHS for FY2015, not including $6,438 million for disaster
relief and $213 million for Coast Guard overseas contingency operations that would be paid for
by adjustments to the discretionary spending cap under the BCA. With those exclusions, the
Senate-reported bill provided $668 million (1.7%) above the Administration’s request, and $270
million (0.7%) below the amount provided under Division F of P.L. 113-76.

September 19, 2014—President Signs H.J.Res. 124 into Law
H.J.Res. 124, the Continuing Appropriations Resolution, 2015, was introduced on September 9,
2014. This continuing resolution funded, with several specific exceptions and limitations, the
operations of the federal government until December 11, 2014, or until full-year appropriations
were passed, whichever was to come first. The joint resolution passed the House on September
17, 2014,2 and the Senate on September 18, 2014.3 On September 19, 2014, the President signed
it into law as P.L. 113-164.

1
Department of Homeland Security, Congressional Budget Justification FY2015: Budget Tables and Explanation of
Changes for General Provisions (Washington, DC, 2014), p. 1.
2
Passed the House by a recorded vote, 391-108 (Roll Call Number 509).
3
Passed the Senate without amendment by Yea-Nay vote, 78-22 (Roll Call Number 270).

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December 16, 2014—President Signs H.R. 83 into Law
After enactment of two short-term continuing resolutions, H.R. 83, the Consolidated and Further
Continuing Appropriations Act, 2015, was signed into law on December 16, 2014. The act
included 11 of the 12 regular appropriations bills. Congress did not include full annual funding
for DHS as part of the package. This was, in large part, due to a lack of consensus on how
Congress would respond to the Obama Administration’s announcement of immigration-related
executive actions that had occurred the previous month. Some Congressional critics of the
Administration’s proposal believed annual appropriations for DHS should be used as the vehicle
to respond to those actions.4 Consequently, Division L of H.R. 83 provided an extension of the
FY2015 funding for DHS provided in P.L. 113-164 through February 27, 2015.

January 14, 2015—House Passes H.R. 240
H.R. 240, an annual appropriations bill that would have provided DHS $39.7 billion in adjusted
net discretionary budget authority was introduced by House Appropriations Committee Chairman
Rogers on January 9, 2015. The bill was not reported out of committee prior to floor
consideration, but an explanatory statement serving the same function as a committee report was
posted on the House Appropriations Committee website the same day the bill was introduced and
printed in the Congressional Record for January 13, 2015.5 The bill was considered under a
structured rule on January 13 and 14, 2015. Under the structured rule, five amendments were
made in order. Two were “Sense of Congress” amendments, expressing views on aspects of the
Administration’s immigration policy. Three would have affected the availability of funds for
certain purposes that were provided by H.R. 240, as well as in any other act in any fiscal year
(these appeared as Sections 579, 580, and 581 in the House-passed bill).6
•

The first of these three was an amendment that added a general provision that
would restrict the use of any federal funds for carrying out the Administration’s
immigration initiative of November 2014, or implementing the direction in
several memoranda on prosecutorial discretion and immigration enforcement
priorities that were issued in 2011 and 2012. This amendment went on to state
that the prohibition would extend to future similar policies, expressed that such
policies would have no legal effect and that no funds may be used to grant any
federal benefit to any alien as a result of those policies.7

•

The second of these three was an amendment to prohibit any federal funds from
being used to consider new, renewal, or previously denied applications for

4

See Emma Dumain and Emily Ethridge, “Price Pushes Plan to Separate Immigration Funding from Omnibus,” CQ
News, November 25, 2014; and David Rogers, “Lawmakers Iron Out Money Details for a Deal,” Politico, December 4,
2014.
5
Rep. Harold Rogers, “Explanatory Statement Submitted by Mr. Rogers of Kentucky, Chairman of the House
Committee on Appropriations, Regarding H.R. 240,” House debate, Congressional Record, vol. 161, part 6 (January
13, 2015), pp. H275-H322.
6
The Congressional Budget Office estimated that two of the amendments (Sections 579 and 580) would have had
effects on both revenue and direct spending. The other three amendments were estimated to have no significant
budgetary effects. The CBO estimate of these provisions is available at http://www.cbo.gov/publication/49920.
7
H.Amdt. 6, offered by Rep. Aderholt to H.R. 240, and agreed to by a recorded vote of 237-190 (Roll no. 29). For
additional information on the November 2014 executive actions, see CRS Report R43852, The President’s Immigration
Accountability Executive Action of November 20, 2014: Overview and Issues, coordinated by (name redacted).

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temporary relief for removal under the deferred action for childhood arrivals
(DACA) program.8
•

The third amendment would have required, through a restriction on the use of
funds, that DHS treat aliens convicted of any offense involving domestic
violence, sexual abuse, child molestation, or child molestation as being among
the group of aliens that are the highest priority for deportation.9

After adopting these five amendments, the bill passed the House on January 14, 2015, by a vote
of 236-191.10

February 27, 2015—H.R. 240 Is Amended and Passes the Senate
The Senate proceeded to consider H.R. 240 on February 25, 2015. On February 27, 2015, the
Senate adopted an amendment that was functionally the same as H.R. 240 as introduced—without
the legislative text added by the five House amendments—by a vote of 66-33,11 then passed the
Senate-amended bill by a vote of 68-31.12

February 27, 2015—Senate and House Extend Continuing
Resolution
On February 27, 2015, a three-week extension of the continuing resolution funding DHS
(H.J.Res. 35) did not pass the House by a vote of 203-224.13 Roughly three hours later, the Senate
amended a House bill (H.R. 33) to extend the continuing resolution through March 6, 2015, and
passed the amended version by a voice vote. The House agreed to the Senate amendment by a
vote of 357-60,14 and the President signed the bill into law as P.L. 114-3 that night.

March 3, 2015—House Agrees to the Senate Amendment
On March 3, 2015, the House voted 257-167 to approve the Senate version of H.R. 240.15

March 4, 2015—FY2015 Homeland Security Appropriations Enacted
On March 4, 2015, H.R. 240 was signed into law as P.L. 114-4.
8

H.Amdt. 7, offered by Rep. Blackburn to H.R. 240, and agreed to by a recorded vote of 218-209 (Roll no. 30). For
additional information on DACA, see CRS Report R43747, Deferred Action for Childhood Arrivals (DACA):
Frequently Asked Questions, by (name redacted).
9
H.Amdt. 8, offered by Rep. DeSantis to H.R. 240, and agreed to by a recorded vote of 278-149 (Roll no. 31). For
additional information on immigration enforcement priorities, see CRS Report R43852, The President’s Immigration
Accountability Executive Action of November 20, 2014: Overview and Issues, coordinated by (name redacted).
10
Roll no. 35.
11
Record Vote Number 61.
12
Record Vote Number 62.
13
Roll No. 104.
14
Roll No. 106.
15
Roll No. 109.

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Note on Data and Citations
Except in summary discussions and when discussing total amounts for the bill as a whole, all
amounts contained in this report are in budget authority and rounded to the nearest million—
however, for precision in percentages and totals, all calculations were performed using unrounded
data.
Data used in this report for FY2014 amounts are taken from the President’s Budget Documents,
as well as H.Rept. 113-91, S.Rept. 113-77, Division F of P.L. 113-76, and the explanatory
statement that accompanied it through the legislative process. Contextual information on the
FY2015 request is generally from the President’s Budget Documents, the FY2015 DHS
congressional budget justifications, and the FY2015 DHS Budget in Brief. Information on the
House-reported FY2015 DHS Appropriations bill is from H.R. 4903 and H.Rept. 113-481. For
consistency of budgetary comparisons, funding levels requested through the President’s budget
for FY2015 are also drawn from H.Rept. 113-481 unless otherwise noted. Information on the
Senate-reported FY2015 DHS Appropriations bill is from S. 2534 and S.Rept. 113-198. Enacted
levels for FY2015 are derived from P.L. 114-4 and the explanatory statement that accompanied
H.R. 240 as printed in the Congressional Record of January 13, 2015, pp. H275-H322. Historical
funding data used in the appendices are taken from the Analytical Perspectives volumes of the
FY2006-FY2015 President’s Budget request documents.
The Opportunity, Growth, and Security Initiative
The Obama Administration included with its FY2015 budget request a new government-wide proposal referred to as
the “Opportunity, Growth, and Security Initiative.” It was a $56 billion fund that would have been divided equally
between defense and non-defense expenditures. The cost of the initiative would have been offset largely with
targeted spending cuts and closed tax loopholes. According to the Administration, this initiative, if passed, would have
provided $710 million beyond the budget request of $38.176 billion for the Department of Homeland Security to
address specific priorities that have been restricted by the impact of sequestration on the discretionary spending caps
outlined in the Budget Control Act as amended. Proposed homeland security funding through the initiative included
the following:
•

$400 million in competitive grants to state, local, and tribal governments through the Pre-Disaster Mitigation
Program.

•

$300 million in additional funds for the National Preparedness Grant Program, the Administration’s proposed
consolidated grant program to support state, local, and tribal government preparedness, prevention, and
response capability.

•

$10 million for National Protection and Programs Directorate (NPPD) to conduct infrastructure analysis to
identify critical facilities in states and/or sectors and analyze their ability to remain functional after disasters.

As this funding is not included in the formal congressional justifications for the targeted accounts, and would require
the enactment of separate legislation to alter the discretionary budget caps to provide the requested resources,
funding proposed through the Opportunity, Growth, and Security Initiative is not a part of the FY2015 requested
funding levels analyzed in this report. None of the initiative’s content was funded in the FY2015 Department of
Homeland Security Appropriations Act.

Background
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

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Security created by the act. Appropriations measures for DHS have generally been organized into
five titles:
•

Title I contains appropriations for the Office of Secretary and Executive
Management (OSEM), the Office of the Under Secretary for Management
(USM), the Office of the Chief Financial Officer, the Office of the Chief
Information Officer (CIO), Analysis and Operations (A&O), and the Office of the
Inspector General (OIG).

•

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.

•

Title III contains appropriations for the National Protection and Programs
Directorate (NPPD), Office of Health Affairs (OHA) Federal Emergency
Management Agency (FEMA).16

•

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).

•

Title V contains general provisions providing various types of congressional
direction to the department.

Several reorganizations and restructurings over the course of the department’s early years of
appropriations make detailed comparisons of funding levels across the first decade of
departmental appropriations complicated. CRS can assist with developing such comparisons.
Although the House and Senate generally produce symmetrically structured bills, this is not
always the case. Additional titles are sometimes added to address special issues: For example, the
FY2012 House full committee markup added a sixth title to carry a $1 billion emergency
appropriation for the Disaster Relief Fund (DRF). The Senate version carried no additional titles
beyond what is described above. For FY2015, the House- and Senate-reported versions of the
DHS appropriations bill were generally symmetrical.

Appropriations for the Department of
Homeland Security
Summary of DHS Appropriations
Generally, the homeland security appropriations bill includes all annual appropriations provided
for DHS, providing resources to every departmental component. Table 2 includes a summary of
funding included in the FY2014 regular DHS appropriations bill, the Administration’s FY2015
16
Through the FY2007 appropriation, Title III contained appropriations for the Preparedness Directorate, Infrastructure
Protection and Information Security (IPIS) and 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.

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appropriations request, the House- and Senate-reported FY2015 DHS appropriations bills, and
P.L. 114-4, broken down by title.
Table 2. Department of Homeland Security Appropriations by Title, FY2014-FY2015
(in millions of dollars of discretionary budget authority, rounded)

FY2014
Enacted

FY2015
Request

HouseReported
H.R. 4903
(113th
Cong.)

Title I: Departmental Management
and Operations

$1,037

$1,172

$967

$1,033

$1,035

Title II: Security, Enforcement, and
Investigationsa

30,877

29,828

31,090

30,731

31,536

Title III: Protection, Preparedness,
Response, and Recoveryb

5,952

5,611

5,902

5,980

5,979

Title IV: Research and Development,
Training, and Services

1,878

1,771

1,801

1,761

1,795

Title V: General Provisions

-474

-49

-540

-505

-674

$39,270

$38,332

$39,220

$39,000

$39,670

Title

Total

SenateReported
S. 2534
(113th
Cong.)

P.L. 114-4

Source: CRS analysis of FY2014 explanatory statement, FY2015 DHS congressional justifications, H.R. 4903
(113th Congress), H.Rept. 113-481, S. 2534 (113th Congress), S.Rept. 113-198, and P.L. 114-4 and its explanatory
statement as printed in the Congressional Record of January 13, 2015, pp. H275-H322.
Notes: The standard legislative practice is to group rescissions with the bill’s general provisions, often resulting
in that title scoring as net negative budget authority. The Administration’s budget request generally includes
rescissions with the impacted component’s request, rather than in a separate title. In addition, some funding for
department-wide initiatives in recent years has been provided through general provisions. The table displays
rounded numbers, but all operations were performed with unrounded data: therefore, amounts may not sum to
totals.
a.

Does not include funding for the U.S. Coast Guard designated for Overseas Contingency Operations/the
Global War on Terror (OCO/GWOT).

b.

Does not include funding for the Federal Emergency Management Agency provided under the allowable
adjustment for the costs of major disasters under the Stafford Act (defined under the Budget Control Act
as “disaster relief”).

Federal Civilian Employee Pay Raise
The Administration proposed a 1.0% pay increase for all civilian federal employees in its budget
request. Almost all DHS employees are considered civilians, with the significant exception of
Coast Guard military personnel.
The House Appropriations Committee included language in its report noting that the House bill
did not include money for the pay raise. Neither House- nor Senate-reported bills included a
restriction on a pay raise being given from within appropriated amounts. P.L. 114-4 placed no
such restriction either.

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DHS Appropriations: Comparing the Components
Unlike some other appropriations bills, breaking down the DHS bill by title does not provide a
great deal of transparency into where DHS’s appropriated resources are going. Generally, the
homeland security appropriations bill includes all annual appropriations provided for DHS,
providing resources to every departmental component. Table 3 and Figure 1 show DHS’s new
discretionary budget authority for FY2015 broken down by component, from largest to smallest
appropriations request.
Total discretionary appropriations in Table 3 do not include resources provided through
adjustments under the Budget Control Act (BCA)17 in the individual component lines. These are
accounted for separately from the total discretionary appropriations and are displayed at the
bottom of the table. As the table and figure reflect new discretionary budget authority, neither
appropriated mandatory spending nor rescissions of prior-year budget authority are reflected in
the component totals.
Table 3. DHS Appropriations by Component, FY2014-FY2015
(in millions of dollars of discretionary budget authority, rounded)
FY2015

FY2014

SenateReported
S. 2534
(113th
Cong.)

P.L.
114-4

Component

Enacted

Request

HouseReported
H.R. 4903
(113th
Cong.)

Customs and Border Protection (CBP)

$10,690

$10,852

$11,009

$10,822

$10,837

U.S. Coast Guard (USCG)

8,514a

8,152

8,467

8,425b

8,378

Immigration and Customs Enforcement (ICE)

5,269

5,014

5,486

5,163

5,959

Transportation Security Administration (TSA)

4,929

4,325

4,628

4,824

4,834

Federal Emergency Management Agency (FEMA)

4,354c

3,970d

4,320d

4,329

4,347

U.S. Secret Service (USSS)

1,585

1,636

1,637

1,635

1,666

National Protection and Programs Directorate
(NPPD)

1,471

1,515

1,454

1,527

1,502

Science & Technology Directorate (S&T)

1,220

1,072

1,107

1,071

1,104

Departmental Management

728

748

602

708

743

Domestic Nuclear Detection Office (DNDO)

285

304

312

306

308

Analysis & Operations (A&O)

300

302

274

295

256

Federal Law Enforcement Training Center
(FLETC)

259

260

258

259

258

U.S. Citizenship and Immigration Services
(USCIS)

116

135

125

124

124

Office of Health Affairs (OHA)

127

126

128

125

129

17

P.L. 112-25.

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FY2015

FY2014

Enacted

Request

HouseReported
H.R. 4903
(113th
Cong.)

115

121

120

119

119

Total Discretionary Appropriations
without Rescissions

$39,963

$38,532

$39,929

$39,731

$40,565

Adjustments under the Budget Control Act

5,853

6,438

6,438

6,651

6,651

Total New Discretionary Budget Authority

$45,817

$44,970

$46,366

$46,382

$47.215

General Provisions: Rescissions (not reflected above or
visually in figure)

-693

-200

-708

-731

-894

$39,270

$38,332

$39,220

$39,000

$39,670

Component
Office of the Inspector General (OIG)

Total Net Discretionary Appropriations

SenateReported
S. 2534
(113th
Cong.)

P.L.
114-4

Source: CRS analysis of FY2014 explanatory statement, FY2014 DHS congressional justifications, H.R. 4903
(113th Congress), H.Rept. 113-481, S. 2534 (113th Congress), S.Rept. 113-198, and P.L. 114-4 and its explanatory
statement as printed in the Congressional Record of January 13, 2015, pp. H275-H322.
Notes: Table does not reflect non-appropriated resources available to DHS components.
a.

$227 million in FY2014 funding for overseas contingency operations for the Coast Guard under an
adjustment to the discretionary spending limits is not shown in this table entry, but is reflected in Figure 1.

b.

$213 million in FY2015 funding for overseas contingency operations for the Coast Guard under an
adjustment to the discretionary spending limits is not shown in this table entry, but is reflected in Figure 1.

c.

$5,626 million in FY2014 funding for disaster relief costs provided through FEMA’s Disaster Relief Fund
under an adjustment to the discretionary spending limits is not shown in this table entry, but is reflected in
Figure 1.

d.

$6,438 million in FY2014 funding for disaster relief costs provided through FEMA’s Disaster Relief Fund
under an adjustment to the discretionary spending limits is not shown in this table entry, but is reflected in
Figure 1.

In Figure 1, the first column of numbers shows budget authority provided in P.L. 113-76, which
included the FY2014 appropriations for DHS: resources available under the adjustments to the
discretionary spending limits provided pursuant to the BCA are shown in black. The second
column shows a similar breakdown for the FY2015 request, and the third and fourth columns
show a similar breakdown of the FY2015 House- and Senate-reported bills. The fifth column
shows the levels that provided under P.L. 114-4.

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Figure 1. Department of Homeland Security Appropriations by Component,
FY2014-FY2015
(in millions of dollars, rounded)

Source: CRS analysis of FY2014 explanatory statement, FY2015 DHS congressional justifications, H.R. 4903
(113th Congress), H.Rept. 113-481, S. 2534 (113th Congress), S.Rept. 113-198, and P.L. 114-4 and its explanatory
statement as printed in the Congressional Record of January 13, 2015, pp. H275-H322.
Chart Abbreviations: CBP, Customs and Border Protection; USCG, U.S. Coast Guard; OCO/GWOT,
Overseas Contingency Operations/Global War on Terror; ICE, Immigration and Customs Enforcement; TSA,
Transportation Security Administration; FEMA, Federal Emergency Management Administration; USSS, U.S.
Secret Service; NPPD, National Protection and Programs Directorate; S&T, Science and Technology
Directorate; DNDO, Domestic Nuclear Detection Office; A&O, Analysis and Operations; USCIS, U.S.
Citizenship and Immigration Services; FLETC, Federal Law Enforcement Training Center; OHA, Office of Health
Affairs; OIG, Office of the Inspector General.
Note: Table displays rounded numbers, but all operations were performed with unrounded data: therefore,
amounts may not sum to totals. Items with asterisks are adjustments under P.L. 112-25. Figure does not display

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rescissions and other general provisions, or reflect resources available to DHS components beyond the scope of
the appropriations measure.

DHS Appropriations Compared to the Total DHS Budget
It is important to note that Table 3, even with its accounting for discretionary cap adjustments,
does not tell the whole story about the resources available to individual DHS components. Much
of DHS’s budget is not derived from discretionary appropriations. Some components, such as
TSA, rely on fee income or offsetting collections to support a significant amount of their
activities. Less than 4% of the budget for U.S. Citizenship and Immigration Services is provided
through direct appropriations—the rest relies on fee income.
Figure 2 highlights how much of the DHS budget is not funded through discretionary
appropriations. It presents a comparison of the Administration’s FY2015 budget request, showing
the discretionary appropriations, mandatory appropriations, and adjustments under the Budget
Control Act, in the context of the total amount of budgetary resources available to DHS, as well
as other non-appropriated resources. The amounts shown in this graphic are derived from the
Administration’s budget request documents, and therefore do not exactly mirror the data
presented in congressional documents, which are the source for most of the other data presented
in the report.
Figure 2. DHS Gross Budget Breakdown: FY2015 Request
(millions of dollars of budget authority, rounded)

Source: CRS analysis of the FY2015 DHS congressional justifications.
Notes: Amounts may not sum to totals due to rounding. Includes rescissions of prior-year budget authority.
The amounts shown in this graph is derived from the Administration’s budget request documents, and therefore
do not exactly mirror the data presented in congressional documents, which are the source for most of the
other data presented in the report.

DHS Appropriations Trends: Size
The figure below presents information on DHS discretionary appropriations, as enacted, for
FY2004 through FY2015. The figure shows those appropriations in constant FY2013 dollars. The
effects of supplemental appropriations and appropriations to pay for disasters can mask overall
trends in year-to-year planned investment in homeland security. Both supplemental

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appropriations and disaster relief fluctuate from year to year, and generally respond to
unanticipated urgent needs. Most disaster relief also generally is passed through to aid recipients,
with the exception of a small amount to pay for administrative costs—surges in relief generally
do not imply surges in DHS resources or capacity to carry out homeland security missions.
The figure presents historical DHS appropriations twice to illustrate the impact of these two
factors on the total. The top graph shows the split between annual and supplemental
appropriations for the department, while the second chart breaks out FEMA’s Disaster Relief
Fund (DRF) from the rest of the DHS discretionary appropriations. Appendix B includes the data
behind this table.
Figure 3. DHS Appropriations, Showing Supplemental Appropriations and the DRF
(in billions of constant FY2013 dollars)

Source: CRS analysis of congressional appropriations documents: for FY2004, H.Rept. 108-280 (accompanying
P.L. 108-90), H.Rept. 108-76 (accompanying P.L. 108-11), P.L. 108-69, P.L. 108-106, and P.L. 108-303; for
FY2005, H.Rept. 108-774 (accompanying P.L. 108-334), P.L. 108-324, P.L. 109-13, P.L. 109-61, and P.L. 109-62;
for FY2006, H.Rept. 109-241 (accompanying P.L. 109-90), P.L. 109-148, and P.L. 109-234; for FY2007, H.Rept.
109-699 (accompanying P.L. 109-295) and P.L. 110-28; for FY2008, Division E of the House Appropriations
Committee Print (accompanying P.L. 110-161) and P.L. 110-252; for FY2009, Division D of House
Appropriations Committee Print (accompanying P.L. 110-329), P.L. 111-5, P.L. 111-8, and P.L. 111-32; for
FY2010, H.Rept. 111-298 (accompanying P.L. 111-83), P.L. 111-212, and P.L. 111-230; for FY2011, P.L. 112-10
and H.Rept. 112-331 (accompanying P.L. 112-74); for FY2012, H.Rept. 112-331 (accompanying P.L. 112-74) and
P.L. 112-77; for FY2013, Senate explanatory statement (accompanying P.L. 113-6), P.L. 113-2, the DHS Fiscal
Year 2013 Post-Sequestration Operating Plan dated April 26, 2013, and financial data from the Hurricane Sandy

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Rebuilding Task Force Home Page at http://portal.hud.gov/hudportal/HUD?src=/sandyrebuilding/
recoveryprogress; for FY2014, the explanatory statement accompanying P.L. 113-76; and for FY2015, the
explanatory statement accompanying P.L. 114-4.
Notes: Emergency funding, appropriations for overseas contingency operations, and funding for disaster relief
under the Budget Control Act’s allowable adjustment are included based on their legislative vehicle. Transfers
from DOD and advance appropriations are not included. Emergency funding in regular appropriations bills is
treated as regular appropriations. FY2013 does not reflect the impact of sequestration.

Generally speaking, the highest level of appropriations for the DHS budget in constant dollars
without counting the DRF was FY2010. Annual appropriations funding declined from then
through FY2013. Excluding the DRF, post-sequestration funding levels for the department were
approximately $38.9 billion in FY2013, which was the lowest funding level for the department in
constant dollars since FY2009.

DHS Appropriations Trends: Timing
Figure 4 shows the history of the timing of the DHS appropriations bills as they have moved
through various stages of the legislative process. Initially, DHS appropriations were enacted
relatively promptly, as stand-alone legislation. However, the bill is no longer an outlier from the
consolidation and delayed timing that has affected other annual appropriations legislation.
FY2015 marked the latest enactment of a Homeland Security appropriations act as a stand-alone
piece of legislation.

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Figure 4. DHS Appropriations Legislative Timing

Source: CRS analysis.
Note: Final action on the annual appropriations for DHS for FY2011, FY2013, FY2014, and FY2015 did not occur until after the beginning of the new calendar year.

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Title I: Departmental Management and Operations
Title I of the DHS appropriations bill provides funding for the department’s management
activities, Analysis and Operations (A&O) account, and the Office of the Inspector General
(OIG). The Administration requested $1,172 million for these accounts in FY2015, an increase of
$134 million (12.9%) above the FY2014 enacted level. The House-reported bill would have
provided $967 million, a decrease of $205 million (17.5%) from the requested level and $70
million (6.8%) below FY2014. The Senate-reported bill would have provided $1,033 million, a
decrease of $138 million (11.8%) from the request and $4 million (0.4%) below FY2014. Title I
of P.L. 114-4 provided $1,035 million, a decrease of $137 million (11.7%) from the requested
level and $3 million (0.3%) below FY2014.
Table 4 lists the enacted amounts for the individual components of Title I for FY2014 and the
amounts requested by the Administration, recommended by the House- and Senate-reported bills,
and provided by the enacted annual appropriation for FY2015 under Title I.
Table 4. Title I: Departmental Management and Operations, FY2014-FY2015
(budget authority in rounded millions of dollars)
FY2015

FY2014

Enacted

Request

HouseReported
H.R. 4903

Office of the Secretary and
Executive Management

122

129

100

125

133

Office of the Under Secretary for
Management

196

195

175

193

188

Office of the Chief Financial Officer

46

95

39

48

52

Office of the Chief Information
Officer

257

256

257

254

288

Analysis and Operations

Component / Appropriation

SenateReported
S. 2534

P.L. 114-4

300

302

274

295

256

DHS Headquarters Consolidationa

0

73

0

0

0

Office of the Inspector Generalb

115

121

120

119

119

Net Budget Authority: Title I

1,037

1,172

967

1,033

1,035

Total Gross Budgetary
Resources for Title I
Components before Transfers

1,037

1,172

967

1,033

1,035

Sources: CRS analysis of FY2014 explanatory statement, FY2015 DHS congressional justifications, H.R. 4903,
H.Rept. 113-481, S. 2534, S.Rept. 113-198, and P.L. 114-4 and its explanatory statement as printed in the
Congressional Record of January 13, 2015, pp. H275-H322.
Notes: Table displays rounded numbers, but all operations were performed with unrounded data: therefore,
amounts may not sum to totals.
a.

This line only reflects funding for DHS Headquarters Consolidation included in Title I of the DHS
appropriations legislation. $35 million is provided in FY2014 appropriations for construction through the
general provisions of the legislation, and $13 million is provided under Coast Guard operations accounts to

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pay for operating costs of the Coast Guard headquarters facility. For FY2015, almost $49 million is
provided for Headquarters Consolidation in general provisions.
b.

The Office of the Inspector General also receives transfers from FEMA to pay for oversight of disasterrelated activities that are not reflected in these tables, including $24 million in FY2014, and $24 million
FY2015.

Departmental Management18
The departmental management accounts cover the general administrative expenses of DHS. They
include the Office of the Secretary and Executive Management (OSEM), which is comprised of
the Immediate Office of the Secretary and 11 entities that report directly to the Secretary; the
Under Secretary for Management (USM) and its components—the offices of the Chief Readiness
Support Officer (formerly, the Office of the Chief Administrative Officer (OCAO)), Chief Human
Capital Officer (OCHCO), Chief Procurement Officer (OCPO), and Chief Security Officer
(OCSO); the Office of the Chief Financial Officer (OCFO); and the Office of the Chief
Information Officer (OCIO). The Administration has usually requested funding for the
consolidation of its headquarters here as well.
In this section and in each section hereinafter, a graphic follows that provides a numeric and
graphic representation of the discretionary appropriation provided to each element of DHS
described in the report. This graphic provides a quick reference to the relative size of the
component to others in DHS as well as to the FY2015 request.

FY2015 Request
The Administration requested $675 million for departmental management, not including
headquarters consolidation efforts. This included $129 million for OSEM, $129 million ($6
million, or 5.2% above the FY2014 level) and $195 million for USM ($1 million, or 0.4% below
the FY2014 level). The Administration requested $95 million for OCFO and $256 million for
OCIO as well. Like headquarters consolidation, both OCFO and OCIO received funding through
general provisions (Title V) in FY2014 for crosscutting initiatives, so direct comparison of their
Title I appropriations has limited value.

House-Reported H.R. 4903
H.R. 4903, as reported by the House Committee on Appropriations, included $572 million for
departmental management in Title I, $50 million (8.0%) less than FY2014 and $103 million
(15.3%) less than requested by the Administration. As in the FY2014 appropriations report, the
House Committee on Appropriations justified the reductions on the basis of the need to cover the
18

Prepared by (name redacted), Analyst in American National Government, Government and Finance Division.

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lack of revenue from unrealized funding proposals that were intended to offset the cost of the bill
and the department’s failure to comply with several statutory requirements for reports and plans
that were included in previous appropriations acts. Additional reductions were taken at the full
committee markup to offset increased appropriations for CBP and ICE efforts to deal with an
increase in the number of unaccompanied alien children taken into custody on the southwest
border.19

Senate-Reported S. 2534
S. 2534, as reported by the Senate Committee on Appropriations, included $619 million for
departmental management in Title I, $3 million (0.4%) less than FY2014, and $56 million (8.3%)
less than requested by the administration.

P.L. 114-4
The total funding provided by P.L. 114-4 for Departmental Management in Title I was $660
million. This was a decrease of $87.8 million, or 11.7%, from the President’s request of $748
million, not including the funding for DHS headquarters consolidation at St. Elizabeths. See
Table 2 for additional detail.

Expenditure Plans and Investment Plans
Two documents commonly required by the appropriations committees as part of their oversight functions are
expenditure plans and investment plans. Expenditure plans (also known as obligation, financial, or operating plans) are
a response to the appropriation provided to a particular element of the department: Essentially, they outline what
the element will do with the level of funding Congress has provided for the fiscal year. Investment plans have a
longer-term perspective, and relate how an element plans to fund something (often a major capital investment) over
the course of several years.
The House-reported bill and committee report directed the department to provide 13 “obligation and expenditure
plans” through a single general provision.20 The Senate-reported bill and committee report directed the department
to provide 16 expenditure plans. Parameters for these plans are spelled out in both the House and Senate
Appropriations Committee-reported bills and reports in various places.21
Three investment plans were required in the House-reported bill and committee report, while the Senate-reported
bill and committee report required seven. Like the expenditure plans, parameters for these plans are spelled out in
both the House and Senate Appropriations Committee-reported bills and reports in various places.
P.L. 114-4 and the accompanying explanatory statement called for obligation or expenditure plans for the following
elements of DHS:22
•

Office of Policy

•

Office of Intergovernmental Affairs / Partnership and Engagement

19

H.Rept. 113-481, p. 11.
H.R. 4903, Sec. 514.
21
H.Rept. 113-481, pp. 24-25; S.Rept. 113-198, pp. 16-17, p. 25.
22
TSA is required to submit investment plans for air cargo, checkpoint security, and explosive detection systems
activities under its Aviation Security appropriation, which include elements of (but also go beyond the parameters of)
obligation and expenditure plans.
20

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•

Office of Civil Rights and Civil Liberties

•

Citizenship and Immigration Services Ombudsman

•

Office of Privacy

•

Headquarters Consolidation

•

Financial Service Modernization

•

Office of the Inspector General

•

Customs and Border Protection, all accounts

•

Immigration and Customs Enforcement, Salaries and Expenses

•

U.S. Coast Guard, Military Housing

•

National Protection and Programs Directorate

•

Office of Biometric Identity Management (specified separately from NPPD)

•

Federal Emergency Management Agency, Automation Modernization

•

Federal Emergency Management Agency, Disaster Relief Fund (base)

•

Federal Law Enforcement Training Center, Salaries and Expenses

Office of the Secretary and Executive Management (OSEM)
The Administration requested $129 million for OSEM and 583 full-time employee equivalents
(FTEs), $6 million, or 5.2%, more than was provided in FY2014. The House-reported bill
included $100 million for OSEM, $28 million (21.7%) less than requested. The Senate-reported
bill included $125 million, $4 million (3.1%) less than requested. P.L. 114-4 provided $133
million for OSEM, $4 million (3.0%) more than requested.
The House- and Senate- reported bills provided that funds for the Immediate Office of the
Secretary and the Immediate Office of the Deputy Secretary pay for costs associated with
government aircraft use in support of official travel by the Secretary and the Deputy Secretary.
The House committee required a quarterly report on the costs of the travel by the two officials,
for both official and nonofficial purposes.
Because of “chronic, unacceptable delays in submitting statutorily required reports and plans,”23
the House Appropriations Committee recommended that none of the department’s requests for the
restoration of prior year funds be granted, no funding be provided for the Office of Legislative
Affairs, and the entire appropriation be constrained to levels below the current funding. Within
OSEM, the committee recommended funding the Office of Policy at an appropriation of less than
$32 million. For the Office for Civil Rights and Civil Liberties, the committee recommended an
appropriation of $22 million, including almost $2.4 million for oversight of Secure Communities
and the 287(g) program.
The Senate Appropriations Committee recommended an appropriation of $5.8 million and five
positions for employment-based case inquiries for the Citizenship and Immigration Services
(CIS) Ombudsman and noted that the ombudsman had a 33% increase in employment-based
23

H.Rept. 113-481, p. 8.

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immigration inquiries from April 1, 2013, through March 2014. The committee recommended an
appropriation of more than $37 million for the Office of Policy, of which $715,000 was to ensure
that strategic guidance related to investments by the department translates into results. The
committee explained that it denied the department’s request to restore prior year funding
reductions in OSEM offices because of “an insufficient justification” and “the Committee’s intent
to focus limited resources on the Department’s critical operational missions.”24
Noting that costs associated with DHS international activities increased by almost $62 million
and almost 300 positions since FY2014, the Senate Appropriations Committee also directed the
department to develop a plan to reduce these costs by 10% in FY2015, and provide a briefing on
“efforts to reduce unnecessary overlap and redundancies”25 within 60 days after the act’s
enactment.
A program change included in the request for the CIS Ombudsman requested $1 million and 3
FTEs for Employment-based Case Inquiries to assist employers in resolving problems with CIS.26
The House Appropriations Committee report recommended $2 million less than requested for this
office, and the Senate Appropriations Committee report recommended a reduction of less than $1
million, but nether document spoke explicitly to this particular matter.27
As in FY2014, P.L. 114-4 included a $45,000 limit on the use of OSEM appropriations for
official reception and representation expenses. Within 30 days after the act’s enactment, the
Secretary must submit to the House and Senate Committees on Appropriations and the Judiciary,
the House Committee on Homeland Security, and the Senate Committee on Homeland Security
and Governmental Affairs, a comprehensive plan to implement the biometric entry and exit data
system, including estimated implementation costs.
The explanatory statement notes that funding has been realigned throughout the bill to support the
initiative on Unity of Effort and directs the department to provide frequent updates on policies,
procedures, and guidelines related to it.

Under Secretary for Management (USM)
The Administration requested $195 million for the USM and 854 FTEs. The House-reported bill
included $175 million for the USM, $20 million (10.3%) less than requested. The Senate-reported
bill included $193 million for the USM, $2 million (1%) less than requested. P.L. 114-4 provided
$188 million for OSEM, $8 million (4.0%) less than requested.
Several program changes were proposed under this appropriation in the Administration’s request:
•

The Office of the Chief Readiness Support Officer included a $1 million
reduction for contractor support and expenses;

24

S.Rept. 113-198, p. 11.
S.Rept. 113-198, p. 17.
26
Department of Homeland Security, Congressional Budget Justification FY2015: Departmental Management and
Operations, Office of the Secretary and Executive Management (Washington, DC, 2014), p. OSEM-17.
27
H.Rept. 113-481, p. 8; S.Rept. 113-198, p. 12.
25

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•

The Office of the Chief Human Capital Officer included a $1 million reduction
for contractor support and non-pay expenses. The Human Resources Information
Technology (HRIT) request included a more than $2 million increase in funding,
divided between the Enterprise-wide Talent Management System (which
automates training management), and HRIT portfolio management
improvements;

•

The Office of the Chief Procurement Officer included a reduction of nearly $1.8
million and 18 FTEs for the Acquisition Professional Career Program, which
helps develop the department’s acquisition workforce.28

Both the House- and Senate-reported bills required the Under Secretary to submit a
Comprehensive Acquisition Status Report at the same time as the President’s budget is submitted
and thereafter, 45 days after the completion of each quarter of the fiscal year.
Within USM, the House committee recommended funding of almost $3 million for the Immediate
Office of the Under Secretary and $63 million for the Office of the Chief Procurement Officer. It
directed the USM “to resume its efforts to compel the Department to adopt a zero-based
budgeting approach to formulate”29 the budget request and justification. The committee also
recommended that the request for just over $1 million to fund the Enterprise-wide Talent
Management System be denied because “essential operations must be sufficiently supported and
prioritized before additional funding can be considered for such administrative initiatives.”30
The Office of the Chief Human Capital Officer (OCHCO) took a $10 million (34.5%) cut in full
committee markup to offset increased appropriations for CBP and ICE efforts to deal with an
increase in the number of unaccompanied alien children taken into custody on the southwest
border. This included zeroing out funding for the Human Resources Information Technology
program, which the Senate-reported bill funded at $8 million. 31
Stating lengthy delays within the department in hiring new employees, the Senate Appropriations
Committee directed DHS to report on a strategy to expedite the process, within 60 days after the
act’s enactment, and provide quarterly reports “on time to hire statistics by component.”32
The law directed the USM to submit a Comprehensive Acquisition Status Report to the House
and Senate Committees on Appropriations at the same time that the President submits his FY2016
budget and quarterly thereafter, not later than 45 days after the completion of each quarter. The
explanatory statement directed that the report “contain all programs on the major acquisition
oversight list and others of special interest” and display funding amounts by appropriation and
PPA. A version of the report that is not “For Official Use Only” is to be posted on the
department’s website within 180 days after the act’s enactment.33Additional directives included in
28

Department of Homeland Security, Congressional Budget Justification FY2015: Departmental Management and
Operations, Under Secretary for Management (Washington, DC, 2014), pp. USM-6, 9, 11, 12, 14, and 16-17.
29
H.Rept. 113-481, p. 20.
30
H.Rept. 113-481, p. 21.
31
H.Rept. 113-481, p. 11.
32
S.Rept. 113-198, p. 23. The report noted that it took DHS an average of 146 days to hire an employee in 2013,
including 106 days and 198 days, respectively, on average, to hire non-law enforcement employees and senior
executive employees.
33
“Explanatory Statement Submitted by Mr. Rogers of Kentucky, Chairman of the House Committee on
(continued...)

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the explanatory statement provided that GAO develop a plan to review the department’s major
acquisition projects on an ongoing basis and that DHS report to the Appropriations Committees
within 60 days after the act’s enactment on a strategy to reduce hiring times and provide data on
hiring timelines by component each quarter.34

Office of the Chief Financial Officer (OCFO)
The Administration requested $95 million for the OCFO and 212 FTEs. In FY2014, Title I
included $46 million for the OCFO, but Title V included an additional $30 million for financial
systems modernization efforts that are continued in the FY2015 request in Title I. The FY2015
request therefore represents a $19 million, or 25%, increase above the total provided to the CFO
in FY2014. The House-reported bill included $39 million for OCFO under Title I, and $30
million under Title V for the Financial Systems Modernization Program,35 for a total OCFO
investment of $69 million, $26 million (27.4%) below the amount requested. The Senate
Appropriations Committee-reported bill included $48 million for the OCFO under Title I, and
$40 million under Title V, for a total OCFO investment of $98 million, $2 million (2.1%) more
than requested. P.L. 114-4 provided $52 million for OCFO in Title I, and $34 million in Title V,
for a total OCFO investment of $86 million, $9 million (9.5%) less than requested.
Program changes for FY2015 included an increase of $16 million for Component Financial
Systems Modernization “to support requirements related to Component migrations to new
financial systems,” as well as an increase of $1 million and 4 additional FTEs to undertake a
capabilities and requirements analysis “to implement improved investment lifecycle
management.” 36
The House- and Senate-reported bills both provided that the Secretary must submit the Future
Years Homeland Security Program (FYHSP) at the same time as the President’s budget is
submitted. The Senate Appropriations Committee report specified that the FYHSP show funding
by appropriation account and subordinate program, project, or activity and be accessible to the
public.
Both House- and Senate-reported bills included a general provision requiring a Monthly Budget
Execution and Staffing report within 30 days after the close of each month, with specifications for
information to be included. The House-reported provision included several additional content
requirements that were not included in the Senate-reported provision.37 The House Appropriations
Committee, in its report, justified its reductions to the OCFO request as being made “to offset the
severe flaws of the budget request, including reliance upon unauthorized fee increases and the
proposed, but unjustified reductions to the Department’s operational components.” It also noted
“the Department’s chronic inability to comply with statutory reporting requirements,” and
(...continued)
Appropriations, Regarding H.R. 240, the Department of Homeland Security Appropriations Act, 2015” (hereinafter
“Explanatory Statement”), p. 8, available on the House Committee on Rules website at http://docs.house.gov/
billsthisweek/20150112/114-HR240-ES.pdf.
34
“Explanatory Statement,” p. 9.
35
H.R. 4903, Sec. 539.
36
Department of Homeland Security, Congressional Budget Justification FY2015: Departmental Management and
Operations, Office of the Chief Financial Officer (Washington, DC, 2014), pp. OCFO-7–OCFO-11.
37
H.R. 4903, Sec. 514; S. 2534, Sec. 513.

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specifically reduced the Component Financial Systems Modernization by almost $10 million to
offset increased appropriations for CBP and ICE efforts to deal with an increase in the number of
unaccompanied alien children taken into custody on the southwest border. The Senate
Appropriations Committee explained that the recommendation for funding below the President’s
request was “due to program delays that have occurred since the budget request was
formulated.”38
The Senate Appropriations Committee report stated an expectation that the OCFO will “monitor
the overuse of funding realignments by the Transportation Security Administration and the
National Protection and Programs Directorate.”39
P.L. 114-4 included a directive under the OCFO account that the Secretary of Homeland Security
submit the Future Years Homeland Security Program to the House and Senate Committees on
Appropriations at the same time as the President’s FY2016 budget is submitted.
The explanatory statement directed the CFO to “maintain frequent communications” with the
committees on Financial Systems Modernization (FSM) and to submit a detailed expenditure plan
on the modernization within 45 days after the act’s enactment.40 A continuing general provision at
Section 513 required the CFO to submit budget and staffing reports within 30 days after the end
of each month.

Office of the Chief Information Officer (OCIO)
The Administration requested $256 million for the OCIO and 290 FTEs. In FY2014, Title I
included $257 million for the OCIO, but Title V included an additional $42 million for data center
consolidation which had previously been requested under Title I. The FY2015 request therefore
represents a $41 million decrease from the FY2014 funding level provided to OCIO overall,
largely due to the conclusion of the data center consolidation initiative. The House Appropriations
Committee-reported bill included $257 million for the OCIO, $1 million (0.3%) more than
requested. The Senate Appropriations Committee-reported bill included $254 million for the
OCIO, $2 million (0.9%) less than requested. P.L. 114-4 provided $288 million for OCIO, $32
million (12.4%) more than requested.
Net program changes totaling nearly $2 million were requested. These included a nearly $7
million increase for the Homeland Secure Data Network to cover rising operations and
maintenance costs, and reductions of $3 million41 for information technology governance and
oversight and nearly $6 million42 for information security and infrastructure activities.43

38

S.Rept. 113-198, p. 24.
S.Rept. 113-198, p. 26.
40
“Explanatory Statement,” p. 10.
41
The congressional justification, at p. OCIO-27 and p. OCIO-30, stated that the $873,000 reduction in the Executive
Correspondence Tracking System “will eliminate planned system upgrades and reduce contract support” and in DHS
Hosting may, among other results, include “delayed responses for SharePoint requests, reduction in timely responses to
customers for hosting requirements, and trouble shooting.” A nearly $2.3 million reduction will reduce program
management support for the Enterprise Architecture Center of Excellence and decrease funding for the Geospatial
Management Office, the Information Sharing Environment Office, and the Office of Accessible Systems and
Technology (p. OCIO-30).
42
The congressional justification, at pp. OCIO-31–OCIO-32, stated that this reduction would impact the capability of
(continued...)
39

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The House-reported bill provided that, within the total amount appropriated, $93 million would
fund salaries and expenses and almost $164 million would support development and acquisition
activities. Specifically, for the latter, the House Appropriations Committee recommended almost
$41 million for information technology activities, including $2 million for the DHS Data
Framework; $53 million for infrastructure and security activities, including $1million for cyber
remediation tools; and $70 million for the Homeland Secure Data Network.
The Senate-reported bill provided that, within the total amount appropriated, $95 million would
fund salaries and expenses and almost $159 million would support development and acquisition
activities. Specifically, for the latter, the Senate Appropriations Committee recommended
appropriations of almost $39 million for information technology activities; $52 million for
infrastructure and security activities, including $26 million to implement measures to protect
classified information related to national security; and $68 million for the Homeland Secure Data
Network. In a general provision, the Senate-reported bill required the CIO to submit a multiyear
investment plan, for 2015 through 2018, at the same time that the FY2016 budget is submitted to
Congress.44
Within the OCIO account, $99 million was provided for salaries and expenses and $189 million45
was to remain available until September 30, 2016, for the development and acquisition of
information technology equipment, software, services, and related activities for the department.
According to the explanatory statement, an additional $1 million funds the DHS Data Framework
initiative and an additional $500,000 funds cyber remediation tools.46
Almost $33 million and 25 FTE were realigned from Analysis and Operations to the OCIO for the
Homeland Security Information Network Program and the Common Operating Picture in support
of the Unity of Effort initiative.
The explanatory statement directed the CIO to brief the House and Senate Appropriations
Committees on its execution of the “strategy to protect national security information held by
DHS, including the cost and schedule details of the Homeland Secure Data Network, Identity
Credential Access Management programs, and other large or multi-agency projects” within 90
days after the act’s enactment. The details of other efforts to protect classified information were to
be included in the briefing.47
Table 5 outlines the funding levels for existing management accounts requested and provided in
Title I.

(...continued)
the Information Technology Services Office to “perform independent technical analyses and assessments of network
services provided by DHS” and “to evaluate service quality and level of performance ... alignment to customer
requirements ... adherence to performance and security standards and the Enterprise Architecture, and use of best
industry practices and innovation.”
43
Department of Homeland Security, Congressional Budget Justification FY2015: Departmental Management and
Operations, Office of the Chief Information Officer (Washington, DC, 2014), pp. OCIO-25–OCIO-32.
44
S.Rept. 113-198, Sec. 545.
45
This amount was allocated as follows: Information Technology Services ($68 million), Infrastructure and Security
Activities (almost $53 million), and Homeland Secure Data Network ($68 million).
46
“Explanatory Statement,” p. 11.
47
“Explanatory Statement,” p. 11.

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Table 5. DHS Management Account Appropriations, FY2014-FY2015
(budget authority in rounded millions of dollars)
FY2014

FY2015

Enacted

Request

HouseReported
H.R. 4903

Office of the Secretary and
Executive Management

122

129

100

125

133

Immediate Office of the Secretary

4

4

4

4

8

Immediate Office of the Deputy
Secretary

2

2

2

2

2

Office of the Chief of Staff

2

2

2

2

3

Executive Secretary

7

8

7

7

6

Office of Policy

37

38

32

38

38

Office of Public Affairs

9

9

8

9

6

Office of Legislative Affairs

5

5

0

5

5

Office of Intergovernmental Affairs

2

2

2

2

10

Office of General Counsel

20

21

18

20

20

Office of Civil Rights and Civil
Liberties

22

22

22

22

22

Citizenship and Immigration Services
Ombudsman

5

6

5

6

6

Privacy Officer

8

8

8

8

8

Appropriation /
Sub-Appropriation

Unspecified Reduction
Under Secretary for
Management

SenateReported
S. 2534

P.L. 114-4

-10a
196

195

175

193

188

Immediate Office of the Under
Secretary

3

4

3

3

3

Office of Security

64

63

63

63

64

Office of the Chief Procurement
Officer

65

64

63

64

60

Office of the Chief Human Capital
Officer

30

31

19

29

27

Office of the Chief Readiness
Support Officer

35

34

27

34

33

Office of the Chief Financial
Officer

46

95

39

48

52

Office of the Chief Information
Officer

257

256

257

254

288

DHS Headquarters
Consolidation

0

73

0

0

0

Total, Departmental
Managementb

622

748

572

619

660

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Sources: CRS analysis of FY2014 explanatory statement, FY2015 DHS congressional justifications, H.R. 4903,
H.Rept. 113-481, S. 2534, S.Rept. 113-198, and P.L. 114-4 and its explanatory statement as printed in the
Congressional Record of January 13, 2015, pp. H275-H322.
Notes: Table displays rounded numbers, but all operations were performed with unrounded data: therefore,
amounts may not sum to totals.
a.

The House-reported appropriations for the OSEM, the USM, and the OCFO were changed in a Manager’s
Amendment offered by Representative John Carter and agreed to by the House committee during markup
on June 11, 2014. Unlike in the case of the reductions to the USM and the OCFO, the reduction to the
OSEM was not made from a specific subappropriation, so it in unclear which activities would receive
reduced funding.

b.

This line only reflects funding for DHS Headquarters Consolidation included in Title I of the DHS
appropriations legislation. Other funding has been provided under Coast Guard accounts and in general
provisions in previous years. See the section below for more explicit funding details.

Issues for Congress
Several issues related to departmental management and administration have been discussed in
recent hearings. Among the issues were those related to the Senior Executive Service, the use of
Administratively Uncontrollable Overtime (AUO), spending on agency-sponsored conferences,
initiatives to enhance the DHS workforce, and delays in submitting reports mandated by the
appropriations committees. Brief discussions for each of these issues follow.

Senior Executive Service (SES)
A March 13, 2014, hearing on the department’s budget request for FY2015 conducted by the
Senate Committee on Homeland Security and Governmental Affairs included discussion of the
SES48 at DHS. Senator Claire McCaskill asked Secretary Jeh Johnson to examine the mobility of
executives within the department, including how many members of the SES have worked for
more than one DHS component during their careers.49 The Office of Personnel Management’s
FedScope database provides information on the number of SES members. As of September 2014
(most current available), there were 598 members of the SES at DHS. Most of the SES members
were at Headquarters (139) and Customs and Border Protection (108).50 This total places the
department second among the fifteen Cabinet Agencies in terms of number of SES employees.
Other departments in a ranking of the top six in this regard were Justice (767), Treasury (464),
Defense (464),51 Energy (462), and Health and Human Services (420).

48
According to the Office of Personnel Management, “The keystone of the Civil Service Reform Act of 1978, the SES
was designed to be a corps of executives selected for their leadership qualifications. Members of the SES serve in the
key positions just below the top Presidential appointees, … are the major link between these appointees and the rest of
the Federal work force, [and] operate and oversee nearly every government activity.” (http://www.opm.gov/policydata-oversight/senior-executive-service/.)
49
CQ Congressional Transcripts, “Senate Homeland Security and Governmental Affairs Committee Holds Hearing on
President Obama’s Proposed Fiscal 2015 Budget Request for the Homeland Security Department,” March 13, 2014,
available at http://www.cq.com/doc/congressionaltranscripts-4441415?0.
50
U.S. Office of Personnel Management, FedScope database, Employment cubes, Agency Parameter set to Cabinet
Level Agencies and Pay Plan and Grade Parameter set to Senior Executive Service, available at
http://www.fedscope.opm.gov/ibmcognos/cgi-bin/cognosisapi.dll.
51
When the Departments of the Air Force (158), Army (281), and Navy (305) are included, the aggregate total for the
Department of Defense was 1,208 as of September 2014.

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The Senate Committee on Appropriations noted the 198 days, on average, that it takes the
department to hire senior executives and directed DHS to report, within 60 days of enactment, on
the strategy to improve this circumstance.
In a September 22, 2014, news release, Secretary Johnson provided data on senior DHS positions
filled over the last nine months and stated: “there have been 12 presidential appointments to
senior-level positions.... Each of these appointees ha[s] pledged to serve until at least the end of
this Administration. In fact, 90 percent of all positions at the SES level and above across this
240,000-person Department are now filled.”52 The news release listed each position and its
incumbent and was issued in response to a Washington Post article on turnover at DHS.53

Administratively Uncontrollable Overtime (AUO)
Another hearing conducted by the Senate Committee on Homeland Security and Governmental
Affairs, on January 28, 2014, examined the improper use of AUO by employees of Customs and
Border Patrol who were not eligible for those payments.54 In a letter to President Barack Obama
on October 31, 2013, Special Counsel Carolyn Lerner expressed “deep concerns about longstanding abuse of [AUO] overtime payments” by DHS and stated that “there remain serious
questions about the agency’s ability or willingness to adequately address the AUO abuse issue.”55
The department’s Chief Human Capital Officer, Catherine Emerson, told the committee members
that DHS Secretary Jeh Johnson issued a memorandum on January 27, 2014, that “directed the
heads of DHS components to suspend the use of AUO for certain categories of employees.” She
also testified that “a comprehensive review of the use of AUO across the department” was
underway within DHS under the direction of the Office of General Counsel.56 The House and
Senate Committees on Appropriations might be interested in the findings and recommendations
that result from this review as the Special Counsel estimated that, “According to information
provided by the whistleblowers, abuse of AUO” at the department costs “approximately $8.7
million annually.”57

52

U.S. Department of Homeland Security, “Statement by Secretary Johnson About Today’s Washington Post Story on
DHS,” September 22, 2014, available at http://www.dhs.gov/news/2014/09/22/statement-secretary-johnson-abouttodays-washington-post-story-dhs.
53
Jerry Markon, Ellen Nakashima and Alice Crites, “Top-level turnover makes it harder for DHS to stay on top of
evolving threats,” Washington Post, September 21, 2014, available at http://www.washingtonpost.com/politics/toplevel-turnover-makes-it-harder-for-dhs-to-stay-on-top-of-evolving-threats/2014/09/21/ca7919a6-39d7-11e4-9c9febb47272e40e_story.html.
54
Office of Personnel Management (OPM) regulations state that AUO may be paid “to an employee in a position in
which the hours of duty cannot be controlled administratively and which requires substantial amounts of irregular or
occasional overtime work, with the employee generally being responsible for recognizing, without supervision,
circumstances which require the employee to remain on duty.” Title 5, Code of Federal Regulations, Section 550.151.
55
Letter to President Barack Obama from Carolyn N. Lerner, Special Counsel, October 31, 2013, available at
http://www.osc.gov/FY2014/14-1%20DI-13-0002/14-1%20DI-13-0002%20%20Letter%20to%20the%20President.pdf.
56
CQ Congressional Transcripts, “Senate Homeland Security Subcommittee on Efficiency and Effectiveness of Federal
Programs and the Federal Workforce Holds Hearing on the Homeland Security Department’s Overtime Policy,”
January 28, 2014, available at http://www.cq.com/doc/congressionaltranscripts-4416309?29.
57
Letter to President Barack Obama from Carolyn N. Lerner, Special Counsel, October 31, 2013, available at
http://www.osc.gov/FY2014/14-1%20DI-13-0002/14-1%20DI-13-0002%20%20Letter%20to%20the%20President.pdf.

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The House Committee on Appropriations stated that certain accounts under CBP and NPPD were
reduced because of “expected budgetary savings from improvements to AUO oversight and
management.”58 The committee directed the department to submit the results of the OIG’s review
and the Office of Special Counsel’s investigations within 15 days of enactment. Within the same
timeframe, the committee directed DHS to report on the compliance plans and internal controls
developed in response to the Deputy Secretary’s May 23, 2014, memorandum on AUO.
The Senate Committee on Appropriations stated its expectation that it be regularly updated as
DHS works to improve AUO administration.
The explanatory statement notes that the excessive use of AUO overtime by NPPD was
inappropriate, states that the budget request for Infrastructure Security Compliance was reduced,
and directs NPPD to brief the Appropriations Committees on implementation of the new overtime
policies and “overtime year-to-date and anticipated expenditures” by May 1, 2015.59

Spending on Conferences
Since FY2012, executive branch agencies must report annually to the Office of Management and
Budget (OMB) on agency-sponsored conferences with expenses in excess of $100,000.60 The
DHS annual reports on conference expenditures for FY2012, FY2013, and FY2014 are available
on the department’s website.61
In addition, a general provision carried in the DHS Appropriations Act since FY201362 limits the
use of appropriated funds to pay for DHS employee participation at international conferences.63
Attendance was permitted if the Secretary, or a designee, determined that it was in the national
interest and notified the House and Senate Committees on Appropriations within at least 10 days
of that determination and the basis for it. The DHS congressional justification proposed that the
provision be deleted “because it was a onetime directive, restricts the Department’s ability to use
and manage appropriated resources, and infringes upon the Department’s ability to manage
administrative functions.”64
The House and Senate Committees on Appropriations, and Section 553 of P.L. 114-4, continued
this prohibition for FY2015. Within 30 days after the end of FY2015, the committees directed the
OIG to report on the department’s expenditures on events. The report must assess DHS’
compliance with laws and regulations and include the total cost of events, the number of

58

H.Rept. 113-481, p. 15.
“Explanatory Statement,” p. 46.
60
U.S. Executive Office of the President, Office of Management and Budget, Memorandum to the Heads of Executive
Departments and Agencies, Promoting Efficient Spending to Support Agency Operations, May 11, 2012, M-12-12, p.
4, available at http://www.whitehouse.gov/sites/default/files/omb/memoranda/2012/m-12-12.pdf.
61
U.S. Department of Homeland Security, “Annual Report on Conferences,” available at https://www.dhs.gov/
publication/annual-report-conferences.
62
Section 569 of Division F of P.L. 113-6.
63
International conference means a conference occurring outside of the United States attended by representatives of the
U.S. government and of foreign governments, international organizations, or nongovernmental organizations.
64
U.S. Department of Homeland Security, Title V Fiscal Year 2014 Explanation of Changes—General Provisions, pp.
18-19.
59

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conferences held, the amount of funds obligated, and expenses by appropriation account or
subaccount or other funding source.

Enhancing the DHS Workforce
The department’s strategic plan for FY2012 through FY2016 included a goal related to enhancing
the DHS workforce. The plan stated that, among other initiatives, DHS would develop career
paths for employees to provide mobility within the department; provide opportunities for
rotational assignments throughout the department; increase diversity in the workforce, especially
at senior levels; and sustain a program on employee recruitment to improve the diversity of
applicant pools, especially with regard to women, minorities, and veterans.65 The House and
Senate Committees on Appropriations might include consideration of the department’s progress
in achieving these workforce improvements as part of its oversight of DHS staffing needs.
The House Committee on Appropriations specifically addressed workforce issues related to
employee morale and innovation, and awards. Stating its concern with “persistent findings of low
morale and a weak environment for innovation across the Department,”66 the committee directed
DHS to provide information on its plan to correct these deficiencies, including the underlying
causes and metrics to measure improvements that are clear and measurable. The information must
be provided within 60 days after the act’s enactment. The committee also directed DHS to include
with the President’s budget request estimated amounts for bonuses and performance awards, by
component, for FY2016 and the standards and criteria underlying them.

Congressionally Mandated Reports
The department’s lack of timely compliance with reporting requirements placed on it by Congress
has been an ongoing issue for a number of years. At times, Congress has chosen to withhold
funding for certain activities until requested or required reports are submitted. In the FY2014 act,
no funds were withheld from management accounts, “to afford the new leadership of the
Department an opportunity to demonstrate compliance with the law.”67
During the House Committee on Appropriations March 11, 2014, hearing on the Department of
Homeland Security’s FY2015 budget proposal, the chairman of the Subcommittee on Homeland
Security, Representative John Carter, and the chairman of the full committee, Representative Hal
Rogers, noted the department’s delay in providing reports that the committee had mandated.
Chairman Carter stated that the budget proposal “does not comply with the law, as it is missing
some 20 reports and expenditure plans required to be submitted with the budget.” Chairman
Rogers said that “Once again, the department has failed to submit a number of plans and reports
which are essential to help this committee do its work.... These are not merely suggestions or
requests. They're required by law.”68 For FY2015, the House committee stated that it “will not
65

U.S. Department of Homeland Security, “Strategic Plan Fiscal Years 2012-2016” (Washington: DHS, February
2012), pp. 25-26, available at http://www.dhs.gov/xlibrary/assets/dhs-strategic-plan-fy-2012-2016.pdf.
66
H.Rept. 113-481, p. 18.
67
Explanatory Statement, p. 3.
68
CQ Congressional Transcripts, “House Appropriations Homeland Security Subcommittee Holds Hearing on
Department of Homeland Security Budget for F.Y. 2015,” March 11, 2014, available at http://www.cq.com/doc/
congressionaltranscripts-4437846?34.

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reconsider reductions to OSEM, or a restoration [of] funding to support OLA, until the
Department complies with all statutory requirements and submits a responsible budget proposal
that adequately supports essential mission requirements for frontline operations.”69
Likewise, the Senate committee stated: “Whatever the causes are for the delays in getting
required information to the Committee, the expectation is that the Department’s performance will
improve. In certain circumstances, a significant portion of a component’s appropriation is
withheld from obligation until the required report is submitted.”70
Expressing concern about the increased use of the designation “For Official Use Only” (FOUO)
on reports, briefings, and information, the House committee directed the department to include
the name(s) and title(s) of the person(s) making the designation and the reasons for it, under DHS
Management Directive 11042.1,71 on all responses that are classified as FOUO.72
The Senate-reported bill directed the agencies under DHS to post reports required by the House
and Senate Committees on Appropriations on their public websites upon determination by the
agency head that such would serve the national interest and unless such action compromises
homeland or national security or contains proprietary information. The posting would occur only
after a report has been available to the requesting committee(s) for at least 30 days.73 Section 565
of P.L. 114-4 included this provision, but provided that the posting would occur only after a report
has been available to the requesting committee(s) for at least 45 days.
The explanatory statement directed that documents submitted to the House and Senate
Committees on Appropriations that are classified as FOUO must include specific reasons for the
classification based on the requirements of DHS Management Directive 11042.1 and noted that
the signatories of the documents would be accountable for verifying the classification.74

DHS Headquarters Consolidation75
As of July 2014, the Department of Homeland Security’s headquarters footprint occupies more
than 9 million rentable square feet of office space in 50 separate locations in the greater
Washington, DC, area.76 This is largely a legacy of how the department was assembled in a short
period of time from 22 separate federal agencies that were themselves spread across the National
Capital region. The fragmentation of headquarters is cited by the department as a major
contributor to inefficiencies, including time lost shuttling staff between headquarters elements;
additional security, real estate, and administrative costs; and reduced cohesion among the
components that make up the department.
69

H.Rept. 113-481, p. 8.
S.Rept. 113-198, p. 15.
71
U.S. Department of Homeland Security, “Safeguarding Sensitive But Unclassified (For Official Use Only)
Information,” January 6, 2005.
72
H.Rept. 113-481, p. 18.
73
S. 2534, Sec. 562.
74
“Explanatory Statement,” p. 5.
75
Prepared by (name redacted), Analyst in Emergency Management and Homeland Security Policy, Government
and Finance Division.
76
U.S. Government Accountability Office, DHS and GSA Need to Strengthen the Management of DHS Headquarters
Consolidation, GAO-14-648, September 19, 2014, p. p. 4, http://www.gao.gov/products/GAO-14-648.
70

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To unify the department’s headquarters functions, the department and General Services
Administration (GSA) approved a $3.4 billion master plan to create a new DHS headquarters on
the grounds of St. Elizabeths in Anacostia. According to GSA, this would be the largest federal
office construction since the Pentagon was built during World War II. Originally, $1.4 billion of
this project was to be funded through the DHS budget, and $2 billion through the GSA.77 Phase
1A of the project—a new Coast Guard headquarters facility—has been completed with the
funding already provided by Congress and is now in use.
Not all DHS functions in the greater Washington, DC, area are slated to move to the new facility.
The Administration has sought funding several times in recent years for consolidation of some of
those other offices to fewer locations to save money on lease costs.

FY2015 Request
The Administration requested a total of $323 million for the consolidation of DHS headquarters at
St. Elizabeths—$250 million of this was requested through GSA, and $73 million through DHS.
$57.7 million of the FY2015 request for DHS is to complete partially-funded work on the center
building, where the Secretary’s office is to be located, and $15.3 million for operational costs
associated with the current campus.

House-Reported H.R. 4903
House-reported H.R. 4903 included no funding for the consolidation of DHS headquarters at St.
Elizabeths. The accompanying report directs the DHS Chief Readiness support officer to provide
an update to the committee on plans for expending the project’s prior-year appropriations, and to
provide an updated alternatives analysis for headquarters consolidation that takes into account the
current constrained budget environment.78

Senate-Reported S. 2534
Senate-reported S. 2534 included no funding for the consolidation of DHS headquarters at St.
Elizabeths in Title I of the bill. However, a general provision provides $49 million to fund
operating support costs and completion of the center building.79

P.L. 114-4
P.L. 114-4 as enacted included almost $49 million for the headquarters consolidation project in
the act’s general provisions. Together with the enacted FY2015 appropriation for GSA, this
brings the total appropriated for the project to more than $1.75 billion—$543 million for DHS
and $1,207 million to GSA through FY2015.

77
U.S. Congress, House Committee on Appropriations, Subcommittee on Homeland Security, Homeland Security
Headquarters Facilities, 111th Cong., 2nd sess., March 25, 2010 (Washington: GPO, 2010), pp. 335-366.
78
H.Rept. 113-481, p. 23.
79
Email exchange with Senate Appropriations staff, August 28, 2014.

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Issues for Congress
In 2013, DHS released an updated construction schedule for the consolidated headquarters based
on annual construction of 300,000 square foot “useable segments” as opposed to the coordinated
construction plan originally envisioned for the process. Following that schedule, the completion
date of the headquarters would be pushed back to 2026, and the projected cost would rise to $4.5
billion. However, DHS is working on a rebaselining of the requirements that were originally laid
out in its master plan for construction to take into account evolution of the department and of
workplace strategies since the project was first developed.
On September 19, 2014, the Government Accountability Office released a report criticizing DHS
and GSA for not following best practices in developing their cost and schedule estimates. At a
hearing before the House Committee on Homeland Security’s subcommittee on Oversight and
Management Efficiency, DHS agreed with the findings of the GAO report, and indicated that with
the FY2016 appropriations request, DHS would provide an “enhanced project plan,” which would
meet GAO’s concerns. Congress may wish to examine this enhanced plan for the use of the St.
Elizabeths facility to determine if that is the case.
Aside from traditional debate over the amount of discretionary spending for the project, Congress
may also wish to explore alternative means of financing the multi-billion dollar project. However,
any statutory authorization of such financing would typically not be carried in the DHS
appropriations bill.

Analysis and Operations80
Funds included in the Analysis and Operations 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. Because I&A is a member of the intelligence
community,81 its budget comes in part from the classified National Intelligence Program.82 OPS
develops and coordinates departmental and interagency operations plans. It also 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.

80

Prepared by (name redacted), Specialist in Organized Crime and Terrorism, Domestic Social Policy Division.
The intelligence community (IC), as defined in 50 U.S.C. 401a(4), includes the Central Intelligence Agency, the
National Security Agency, the National Reconnaissance Office, the National Geospatial-Imagery Agency, the Defense
Intelligence Agency, the Bureau of Intelligence and Research of the State Department, the Office of Intelligence and
Analysis of the Treasury Department, and DHS’s I&A, as well as intelligence elements within the Federal Bureau of
Investigation, the Drug Enforcement Administration, the Department of Energy, the Army, the Navy, the Air Force, the
Marine Corps, and the Coast Guard.
82
The National Intelligence Program “funds Intelligence Community (IC) activities in six Federal departments, the
Central Intelligence Agency, and the Office of the Director of National Intelligence. The IC provides intelligence
collection, the analysis of that intelligence, and the responsive dissemination of intelligence to those who need it—
including the President, the heads of Executive Departments, military forces, and law enforcement agencies.” See
http://www.gpo.gov/fdsys/pkg/BUDGET-2013-BUD/pdf/BUDGET-2013-BUD-8.pdf.
81

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FY2015 Request
The FY2015 request for the Analysis and Operations account was $302.3 million, an increase of
$1.8 million (0.6%) from the enacted FY2014 level of $300.5 million. The account request
included funding for 850 FTE, an increase of 5 FTE from 2014.

House-Reported H.R. 4903
House-reported H.R. 4903 included $274 million in appropriations for the Analysis and
Operations account, $27.9 million (9.2%) below the amount requested. According to H.Rept. 113481, the House Committee on Appropriations reduced funding for OPS because of an inadequate
justification and a lack of clarity regarding the alignment of OPS’s mission (and strategic goals)
to its personnel structure. The committee noted that the reduction helped offset “severe flaws” in
DHS’s request for frontline operations and enforcement. Also, the committee denied the requested
decrease to the Border Intelligence Fusion Section led by I&A and located at the El Paso
Intelligence Center in El Paso, TX. Additionally, the committee required DHS to submit a
comprehensive inventory of all DHS operations centers within 60 days of enactment of the
appropriation.

Senate-Reported S. 2534
Senate-reported S. 2534 included $295 million for the Analysis and Operations Account, $7
million (2.0%) below the amount requested. According to S.Rept. 113-198, the Senate Committee
on Appropriations required DHS’s Chief Intelligence Officer (the Under Secretary for I&A) to
brief the Committee on the I&A expenditure plan for FY2015 no later than 60 days after the
enactment of DHS appropriations. The committee stipulated that the plan should include the
following elements:
•

fiscal year 2015 expenditures and staffing allotted for each program as compared
to fiscal years 2013 and 2014;

•

all funded versus on-board positions, including federal FTE, contractors, and
reimbursable and nonreimbursable detailees;

•

a plan, including dates or timeframes for achieving key milestones;

•

allocation of funding within each PPA for individual programs and a description
of the desired outcomes for fiscal year 2015; and

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•

actions taken to address the recommendations in GAO report (GAO–14–397),
‘‘Additional Actions Needed to Address Analytic Priorities and Workforce
Challenges.’’83

The Committee also directed I&A to continue semiannual briefings on the State and Local Fusion
Centers program.

P.L. 114-4
Title I of P.L. 114-4 (the Homeland Security Appropriations Act of 2015) provided $255.8 million
in appropriations for Analysis and Operations, $46.5 million below the amount requested by the
Administration, $18.2 million less than in House-reported H.R. 4903, and $39.2 million less than
in Senate-reported S. 2534.

Issues for Congress
Several issues have dogged I&A in recent years. Some arose in the 2014 Senate nomination
hearings for Francis X. Taylor to the post of DHS Under Secretary for Intelligence and Analysis.84
These included whether I&A has a mission that is clearly understood by its employees, to what
extent I&A provides useful intelligence products to its customers, how to improve low employee
morale, and to what degree state and major urban area fusion centers85 (supported by I&A)
enhance federal counterterrorism efforts.86

Office of the Inspector General87
The DHS Office of the Inspector General (OIG) is intended to be an independent, objective body
that conducts audits and investigations of the department’s activities to prevent waste, fraud, and
abuse. The OIG keeps Congress informed about problems within the department’s programs and
operations; ensures DHS information technology is secure pursuant to the Federal Information
Security Management Act; and reviews and makes recommendations regarding existing and

83

U.S. Government Accountability Office, DHS Intelligence Analysis: Additional Actions Needed to Address Analytic
Priorities and Workforce Challenges, GAO-14-397, June 2014.
84
Taylor became Under Secretary on April 14, 2014. See http://www.dhs.gov/person/francis-x-taylor.
85
See http://www.dhs.gov/state-and-major-urban-area-fusion-centers.
86
Senate Select Committee on Intelligence, “Open Hearing: Nomination of John P. Carlin to be Assistant Attorney
General for National Security at the Department of Justice, and Nomination of Francis X. Taylor to be the Under
Secretary for Intelligence and Analysis at the Department of Homeland Security,” February 25, 2014,
http://www.intelligence.senate.gov/hearings.cfm?hearingid=f00b2bec76ceca7ac77335d8aa10cf0a&witnessId=
f00b2bec76ceca7ac77335d8aa10cf0a-0-2; Senate Committee on Homeland Security and Governmental Affairs,
“Nominations of L. Reginald Brothers, Jr., to be Under Secretary for Science and Technology, U.S. Department of
Homeland Security, and Hon. Francis X. Taylor to be Under Secretary for Intelligence and Analysis, U.S. Department
of Homeland Security,” March 5, 2014, http://www.hsgac.senate.gov/hearings/nominations-of-l-reginald-brothers-jr-tobe-under-secretary-for-science-and-technology-us-department-of-homeland-security-and-hon-francis-x-taylor-to-beunder-secretary-for-intelligence-and-analysis-us-department-of-homeland-security.
87
Prepared by (name redacted), Analyst in American National Government, Government and Finance Division,
and (name redacted), Analyst in Emergency Management and Homeland Security Policy, Government and Finance
Division.

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proposed legislation and regulations related to the department. The OIG reports to Congress and
the Secretary of DHS.88

FY2015 Request
The Administration requested a $121 million appropriation for the OIG, $6 million (5.2%) more
than was appropriated in FY2014.
The Administration also requested a $24 million transfer from the Disaster Relief Fund (DRF)
specifically for oversight of disaster relief activities. Transfers from the DRF are a long-standing
means of supporting the DHS OIG’s annual budget for oversight of disaster relief, first occurring
in FY2004, the first annual appropriations act for the department.89

House-Reported H.R. 4903
House-reported H.R. 4903 included a $120 million appropriation for the OIG, $1 million (0.9%)
below the amount requested, and $5 million ($4.3%) above the amount appropriated in FY2014.
The House-reported bill included the requested transfer from the DRF for disaster relief oversight
activities.

Senate-Reported S. 2534
Senate-reported S. 2534 included a $119 million appropriation for the OIG, $3 million (2.3%)
below the amount requested, and $3 million (2.8%) above the amount appropriated in FY2014.
Like the House-reported bill, the Senate-reported bill included the requested transfer from the
DRF for disaster relief oversight activities.

P.L. 114-4
Like the Senate-reported bill, P.L. 114-4 included a $119 million appropriation for the OIG, $3
million (2.3%) below the amount requested, and $3 million (2.8%) above the amount
appropriated in FY2014. Like both the House- and Senate-reported bills, P.L. 114-4 included the
requested transfer from the DRF for disaster relief oversight activities.

88
89

H.Rept. 112-469, p. 25.
P.L. 108-90.

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Issues for Congress
Issues surrounding the DHS OIG are generally issues that impact the broader oversight
community, or are issues that are shared throughout the broader community of inspectors general.
Although two such issues are briefly highlighted below, a much fuller analysis is available in the
discussion of statutory Offices of Inspectors General in CRS Report RL30240, Congressional
Oversight Manual, by (name redacted) et al.

OIG Mandates
It is common practice for authorization and appropriations bills and reports to direct the OIG to
conduct specific work in addition to its ongoing audit and inspection activities. These mandates
are frequently placed on the OIG without providing additional resources to fund the work
required.
According to the DHS OIG, as of the submission of the FY2015 budget request, it will have to
comply with 30 separate mandates from Congress (as well as one under an Executive Order) in
FY2014. Requirements established in executive orders and in law aside from the FY2014
appropriations process will require publication of at least 19 individual reports, audits, or reviews
in FY2014. In addition, through the FY2014 appropriations process, the OIG was mandated to
produce seven reviews, reports, and spend plans, as well as to provide semiannual and quarterly
briefings on two topics.90
The House and Senate reports for FY2015 directed that the OIG:
•

Provide a detailed spending plan for the office, including work on corruption at
the U.S. border;91 and

•

Report to Congress on event-related spending and conferences.92

In addition, the House report directed the OIG to provide a semi-annual briefing to the committee
on its waste and fraud prevention efforts.93 The Senate report directed the OIG work with the
Deputy Secretary to provide a status update on their work with CBP and ICE to “further address
the process for investigating cases of corruption of DHS employees.”94 No additional direction
was provided in the explanatory statement accompanying P.L. 114-4.

OIG Accountability
Recently questions regarding the objectivity and quality of the oversight provided by the DHS
Inspector General (IG) drew public attention. John Roth was confirmed as the DHS IG on March
13, 2014, but from March 1, 2011, until that date, DHS did not have a Senate-confirmed Inspector
90

Department of Homeland Security, “Status of Congressionally Requested Studies, Report, and Evaluations,”
Congressional Budget Justification FY2015: Office of Inspector General, One-Time Exhibits (Washington, DC, 2014),
OIG-5 through OIG-10.
91
H.Rept. 113-481, p. 31, and S.Rept. 113-198, pp. 30-31.
92
H.Rept. 113-481, p. 18, and S.Rept. 113-198, p. 31.
93
H.Rept. 113-481, p. 31.
94
S.Rept. 113-198, p. 17.

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General. Charles Edwards, who served as Acting Inspector General and Deputy Inspector General
during most of this period, came under scrutiny on the basis of whistleblower allegations of
misconduct.95 The Integrity Committee of the Council of the Inspectors General on Integrity and
Efficiency, which was created by the Inspector General Reform Act of 2008,96 facilitates the
oversight of these intentionally independent oversight bodies, and is investigating these
allegations.97
In 2013, the Subcommittee on Financial and Contracting Oversight of the Senate Homeland
Security and Government Affairs Committee launched its own investigation of these allegations,
and released its report on April 24, 2014. Mr. Edwards had asked for and received a transfer to a
separate component of DHS in December 2013—shortly before he was expected to testify before
the subcommittee. Secretary Jeh Johnson placed Mr. Edwards on administrative leave upon the
release of the subcommittee’s report, pending a review of his employment.98

GAO Report on DHS OIG’s Structure Policies and Procedures
The explanatory statement accompanying the Homeland Security Appropriations Act, 2013,99
tasked the Government Accountability Office with reviewing the OIG’s organizational structure
to ensure compliance with the independence standards for inspectors general. The report, released
September 26, 2014, found that “The OIG’s organizational structure, roles, and responsibilities
are generally consistent with the Inspector General (IG) Act of 1978, as amended,” but went on to
note several areas for improvement, and indicated that although their policies and procedures
were consistent with independence standards, senior officials did not adequately document their
independence as required by those policies.100
One issue before Congress may be to ensure that the OIG’s planned efforts to remediate the
weaknesses identified by GAO are implemented effectively.

Title II: Security, Enforcement, and Investigations
Title II of the DHS appropriations bill, which includes over three-quarters of the budget authority
provided in the legislation, contains the appropriations for U.S. Customs and Border Protection
95

Carol D. Leonnig, “Probe: DHS Watchdog Cozy with Officials, Altered Reports as He Sought Top Job,” The
Washington Post, April 24, 2014. http://www.washingtonpost.com/politics/probe-dhs-watchdog-cozy-with-officialsaltered-reports-as-he-sought-top-job/2014/04/23/b46a9366-c6ef-11e3-9f37-7ce307c56815_story.html.
96
P.L. 110-409.
97
Letter from Phyllis K. Fong, Chairperson, Council of the Inspectors General on Integrity and Efficiency, to The
Honorable Claire McCaskill, Chairwoman, Subcommittee on Financial and Contracting Oversight, Committee on
Homeland Security and Governmental Affairs, June 11, 2014, http://www.hsgac.senate.gov/download/letter-fromcigie-regarding-allegations-of-misconduct-by-former-dhs-deputy-inspector-general-charles-edwards&ei=
2IhTVMOeDPTIsATWxILgCQ&usg=AFQjCNH690SLkxwJXwaFqMj0KEO8IrrhQQ&bvm=bv.78677474,d.cWc.
98
Carol D. Leonnig, “Homeland Security Puts Former Inspector General on Administrative Leave,” The Washington
Post, April 24, 2014, at http://www.washingtonpost.com/politics/homeland-security-puts-former-inspector-general-onadministrative-leave/2014/04/24/a3e6e4b6-cbfb-11e3-93eb-6c0037dde2ad_story.html.
99
Division F of P.L. 113-6.
100
U.S. Government Accountability Office, DHS OIG’s Structure, Policies, and Procedures Are Consistent with
Standards, but Areas for Improvement Exist, GAO-14-726, September 24, 2014, Highlights, http://www.gao.gov/
products/GAO-14-726.

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(CBP), U.S. Immigration and Customs Enforcement (ICE), the Transportation Security
Administration (TSA), the U.S. Coast Guard (USCG), and the U.S. Secret Service (USSS). The
Administration requested $29,828 million for these accounts in FY2015, a decrease of $1,048
million (3.4%) below the enacted level. The House-reported bill provided $31,090 million, an
increase of 4.2% from the requested level and 0.7% above FY2014. The Senate-reported bill
provided $30,731 million, an increase of 3.0% from the requested level and 0.5% below FY2014.
Title II of P.L. 114-4 included $31,536 million, an increase of 5.5% from the requested level, and
2.1% above FY2014.
Senate-reported S. 2534 and P.L. 114-4 also included $213 million in overseas contingency
operations funding for the Coast Guard. This amount, requested by the administration after the
House Appropriations Committee had marked up H.R. 4903 in full committee, is covered by an
adjustment under the Budget Control Act (BCA), and does not add to the total adjusted net
discretionary budget authority in P.L. 114-4.
Table 6 lists the enacted amounts for the individual components of Title II for FY2014 and the
amounts requested by the Administration, recommended by the House- and Senate-reported bills,
and provided by the enacted annual appropriation for FY2015 under Title II.
Table 6. Title II: Security, Enforcement, and Investigations, FY2014-FY2015
(budget authority in rounded millions of dollars)
FY2015

FY2014

Enacted

Request

HouseReported
H.R. 4903

8,146

8,326

8,367

8,320

8,460

Small Airport User Feea

5

9

9

9

9

Automation Modernization

817

812

810

807

808

Border Security Fencing, Infrastructure,
and Technology

351

362

412

362

382

Air and Marine Operations

805

709

788

707

750

Facilities Management

456

482

484

478

289

COBRA CFTA Funding

0b

[138]c

0c

0c

0c

10,580

10,701

10,871

10,684

10,699

Fees, Mandatory Spending, and Trust
Funds

1,704

1,884

1,884

1,884

1,884

Total Budgetary Resources

12,283

12,585

12,755

12,567

12,582

5,229

4,988

5,455

5,137

5,933

Automation and Infrastructure
Modernization

35

26

31

26

26

Construction

5

0

0

0

0

Component / Appropriation

SenateReported
S. 2534

P.L. 114-4

Customs and Border Protection
Salaries and Expenses

Appropriation

Immigration and Customs
Enforcement
Salaries and Expenses

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FY2015

FY2014

Enacted

Request

HouseReported
H.R. 4903

5,269

5,014

5,486

5,163

5,959

Fees, Mandatory Spending, and Trust
Funds

345

345

345

345

345

Total Budgetary Resources

5,614

5,359

5,831

5,508

6,304

Aviation Security (net funding)

2,863

3,033

3,382

3,555

3,574

Surface Transportation Security

109

128

121

127

124

Intelligence and Vetting [formerly
Transportation Threat Assessment and
Credentialing] (net funding)

176

233

232

219

219

Transportation Security Support

962

932

893

924

917

819

0d

0

0

0

Appropriation

4,929

4,325

4,628

4,824

4,834

Fees, Mandatory Spending, and Trust
Funds

2,436

2,980

2,410

2,410

2,395

Total Budgetary Resources

7,365

7,305

7,038

7,234

7,229

7,012

6,750

6,864

6,985

7,043

Environmental Compliance and
Restoration

13

13

13

13

13

Reserve Training

120

110

115

115

115

1,376

1,084

1,287

1,330

1,225

R

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/crs%3AR43796. Public record. Not legal advice.