# Homeland Security Department: FY2009 Appropriations > Briefs, arguments, decisions, and more. URL: https://www.frixlaw.com/law-library/documents/crs%3ARL34482 ## Record - **Collection:** Congressional research report - **Document type:** CRS Report - **Published:** March 4, 2009 - **Citation:** RL34482 ## Text Homeland Security Department: FY2009 Appropriations (name redacted), Coordinator Analyst in Domestic Security March 4, 2009 Congressional Research Service 7-.... www.crs.gov RL34482 CRS Report for Congress Prepared for Members and Committees of Congress Homeland Security Department: FY2009 Appropriations Summary This report describes the FY2009 appropriations for the Department of Homeland Security (DHS). The Administration requested a net appropriation of $38,849 million in budget authority for FY2009. The House Appropriations Committee reported its version of the FY2009 DHS Appropriations bill on June 24, 2008. The bill was filed on September 18, 2008, as H.R. 6947, and the accompanying report has been numbered H.Rept. 110-862. House-reported H.R. 6947 would have provided a net appropriation of $41,137 million in budget authority for DHS for FY2009. This amounted to an increase of $2,288 million, or nearly 6% increase over the President’s request. The Senate-reported its version of the bill on June 19, 2008. S. 3181 would have provided $41,314 million in net budget authority for DHS for FY2009, a $2,465 million or 6% increase over the President’s request. On September 23, 2008, the House Rules Committee reported H.Res. 1488 for consideration of the Senate amendment to H.R. 2638, the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009. H.R. 2638 was originally introduced as the FY2008 DHS Appropriations Act but was amended to serve as the legislative vehicle for the proposed Continuing Resolution, a Disaster Relief Emergency Supplemental, the Department of Defense FY2009 Appropriations Act, the FY2009 Department of Homeland Security Appropriations Act, and the FY2009 Military Construction and Veterans Assistance Act (see the CRS Appropriations Status table for more information: http://www.crs.gov/Pages/fy2009-status-table.aspx). H.R. 2638 was enacted as P.L. 110-329 on September 30, 2008. Division D of P.L. 110-329 provided a net appropriation of $41,225 million for DHS for FY2009. This amounted to nearly $2,376 million more than the President’s request for FY2009, $88 million more than was reported by the House in H.R. 6947, and $89 million less than was reported by the Senate in S. 3181. Net appropriations for major agencies within DHS were as follows: Customs and Border Protection (CBP), $9,821 million; Immigration and Customs Enforcement (ICE), 4,989 million; Transportation Security Administration (TSA), $4,367 million; Coast Guard, $9,361 million; Secret Service, $1,413 million; National Protection & Programs Directorate, $1,158 million; Federal Emergency Management Administration (FEMA), $6,963 million; Science and Technology, $933 million; and the Domestic Nuclear Detection Office, $514 million. Additionally, Division B of the Act also contained the following amounts for DHS agencies in emergency supplemental FY2008 funding: $300 for the Coast Guard, $7.96 billion for FEMA’s Disaster Relief Account, and $100 million for FEMA to reimburse the American Red Cross. P.L. 111-5, the American Recovery and Reinvestment Act of 2009, provided $2,765 million in emergency supplemental funding for DHS in FY2009. Funding was broken out as follows: $205 million for Departmental Operations; $680 million for CBP; $20 million for ICE; $1,000 million for TSA; $250 million for the Coast Guard; and $610 million for FEMA. This report will not be updated. Congressional Research Service Homeland Security Department: FY2009 Appropriations Contents Most Recent Developments.........................................................................................................1 P.L. 111-5........................................................................................................................1 P.L. 110-329....................................................................................................................1 House-reported H.R. 6947...............................................................................................1 Senate-reported S. 3181 ..................................................................................................2 President’s FY2009 Budget Submitted ............................................................................2 Note on Most Recent Data ..............................................................................................3 Background ................................................................................................................................3 Department of Homeland Security ........................................................................................3 302(a) and 302(b) Allocations ...............................................................................................4 Budget Authority, Obligations, and Outlays...........................................................................4 Discretionary and Mandatory Spending.................................................................................5 Offsetting Collections ...........................................................................................................6 Appropriations for the Department of Homeland Security ...........................................................8 DHS Appropriations Trends ..................................................................................................8 Summary of DHS Appropriations..........................................................................................8 Title I: Departmental Management and Operations .................................................................... 11 President’s FY2009 Request.......................................................................................... 11 House-reported H.R. 6947............................................................................................. 12 Senate-reported S. 3181 ................................................................................................ 12 P.L. 110-329.................................................................................................................. 12 P.L. 111-5...................................................................................................................... 13 Personnel Issues ........................................................................................................... 16 Analysis and Operations...................................................................................................... 20 President’s FY2009 Request.......................................................................................... 21 House-reported H.R. 6947............................................................................................. 21 Senate-reported S. 3181 ................................................................................................ 22 P.L. 110-329.................................................................................................................. 22 Title II: Security Enforcement and Investigations ...................................................................... 22 Customs and Border Protection (CBP) ................................................................................ 27 President’s FY2009 Request.......................................................................................... 27 House-reported H.R. 6947............................................................................................. 27 Senate-reported S. 3181 ................................................................................................ 27 P.L. 110-329.................................................................................................................. 28 P.L. 111-5...................................................................................................................... 28 Issues for Congress ....................................................................................................... 29 Immigration and Customs Enforcement (ICE) ..................................................................... 34 President’s FY2009 Request.......................................................................................... 34 House-reported H.R. 6947............................................................................................. 35 Senate-reported S. 3181 ................................................................................................ 36 P.L. 110-329.................................................................................................................. 37 P.L. 111-5...................................................................................................................... 38 Issues for Congress ....................................................................................................... 39 Transportation Security Administration (TSA)..................................................................... 43 President’s FY2009 Request.......................................................................................... 43 House-reported H.R. 6947............................................................................................. 44 Congressional Research Service Homeland Security Department: FY2009 Appropriations Senate-reported S. 3181 ................................................................................................ 44 P.L. 110-329.................................................................................................................. 45 P.L. 111-5...................................................................................................................... 46 TSA Issues for Congress ............................................................................................... 48 United States Coast Guard................................................................................................... 52 President’s FY2009 Request.......................................................................................... 52 House-reported H.R. 6947............................................................................................. 52 Senate-reported S. 3181 ................................................................................................ 52 P.L. 110-329.................................................................................................................. 52 P.L. 111-5...................................................................................................................... 53 Issues for Congress ....................................................................................................... 54 Deepwater..................................................................................................................... 54 Response-Boat Medium ................................................................................................ 55 Security Mission ........................................................................................................... 55 Non-Homeland Security Missions ................................................................................. 56 Marine Safety ............................................................................................................... 57 Rescue-21 ..................................................................................................................... 57 LORAN-C .................................................................................................................... 58 Bridge Alteration Program ............................................................................................ 58 Arctic Activity .............................................................................................................. 59 U.S. Secret Service ............................................................................................................. 59 President’s FY2009 Request.......................................................................................... 60 House-reported H.R. 6947............................................................................................. 60 Senate-reported S. 3181 ................................................................................................ 60 P.L. 110-329.................................................................................................................. 60 Title III: Preparedness and Response ......................................................................................... 62 Federal Emergency Management Agency (FEMA).............................................................. 65 President’s FY2009 Request.......................................................................................... 65 House-reported H.R. 6947............................................................................................. 65 Senate-reported S. 3181 ................................................................................................ 66 P.L. 110-329.................................................................................................................. 66 P.L. 111-5...................................................................................................................... 66 FEMA Issues for Congress.................................................................................................. 66 Disaster Relief Fund...................................................................................................... 66 Emergency Food and Shelter (EFS) Program................................................................. 67 Flood Map Modernization............................................................................................. 68 FEMA Management and Administration—Work Force.................................................. 68 Pre-Disaster Mitigation ................................................................................................. 69 Gulf Coast Hurricane Recovery Issues .......................................................................... 70 Administrative, Financial and Budgeting Challenges ..................................................... 71 Urban Search and Rescue.............................................................................................. 72 Climate Change ............................................................................................................ 72 Grant Programs Directorate................................................................................................. 73 President’s Request ....................................................................................................... 73 House-reported H.R. 6947............................................................................................. 74 Senate-reported S. 3181 ................................................................................................ 74 P.L. 110-329.................................................................................................................. 74 P.L. 111-5...................................................................................................................... 74 Grant Programs Directorate Issues for Congress............................................................ 76 Office of Health Affairs....................................................................................................... 78 Congressional Research Service Homeland Security Department: FY2009 Appropriations President’s FY2009 Request.......................................................................................... 78 House-reported H.R. 6947............................................................................................. 78 Senate-reported S. 3181 ................................................................................................ 79 P.L. 110-329.................................................................................................................. 79 Office of Health Affairs Issues for Congress.................................................................. 79 National Protection and Programs Directorate ..................................................................... 80 Management and Administration................................................................................... 80 President’s FY2009 Request.......................................................................................... 81 House-reported H.R. 6947............................................................................................. 81 Senate-reported S. 3181 ................................................................................................ 81 P.L. 110-329.................................................................................................................. 81 Issues for Congress ....................................................................................................... 82 U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT) .................................. 82 President’s Request ....................................................................................................... 83 House-reported H.R. 6947............................................................................................. 83 Senate-reported S. 3181 ................................................................................................ 83 P.L. 110-329.................................................................................................................. 83 Issues for Congress ....................................................................................................... 84 Infrastructure Protection and Information Security .............................................................. 85 President’s FY2009 Request.......................................................................................... 85 House-reported H.R. 6947............................................................................................. 86 Senate-reported S. 3181 ................................................................................................ 87 P.L. 110-329.................................................................................................................. 88 IPIS Issues for Congress ............................................................................................... 89 Title IV: Research and Development, Training, Assessments, and Services ................................ 89 U.S. Citizenship and Immigration Services (USCIS) ........................................................... 91 President’s FY2009 Request.......................................................................................... 91 House-reported H.R. 6947............................................................................................. 92 Senate-reported S. 3181 ................................................................................................ 92 P.L. 110-329.................................................................................................................. 93 USCIS Issues for Congress ........................................................................................... 94 Federal Law Enforcement Training Center (FLETC) ........................................................... 96 President’s Request ....................................................................................................... 96 House-reported H.R. 6947............................................................................................. 97 Senate-reported S. 3181 ................................................................................................ 97 P.L. 110-329.................................................................................................................. 97 Science and Technology (S&T)........................................................................................... 97 President’s FY2009 Request.......................................................................................... 98 House-reported H.R. 6947............................................................................................. 98 Senate-reported S. 3181 ................................................................................................ 98 P.L. 110-329.................................................................................................................. 98 Issues for Congress ....................................................................................................... 99 Domestic Nuclear Detection Office ................................................................................... 100 President’s FY2009 Request........................................................................................ 100 House-reported H.R. 6947........................................................................................... 100 Senate-reported S. 3181 .............................................................................................. 100 P.L. 110-329................................................................................................................ 100 Issues for Congress ..................................................................................................... 101 FY2009-Related Legislation.................................................................................................... 102 Congressional Research Service Homeland Security Department: FY2009 Appropriations Budget Resolution............................................................................................................. 102 Tables Table 1. Legislative Status of Homeland Security Appropriations ................................................2 Table 2. FY2009 302(b) Discretionary Allocations for DHS ........................................................4 Table 3. FY2009 Request: Moving From Gross Budget Authority to Net Appropriation— Fee Accounts, Offsetting Fees, and Trust and Public Enterprise Accounts .................................6 Table 4. DHS Appropriations, FY2003-FY2009 ..........................................................................8 Table 5. DHS: Summary of Appropriations .................................................................................9 Table 6. Title I: Department Management and Operations.......................................................... 14 Table 7.Office of the Chief Human Capital Officer and Office of Human Capital Appropriations ....................................................................................................................... 17 Table 8. Title II: Security, Enforcement, and Investigations ....................................................... 23 Table 9. CBP S&E Sub-account Detail ...................................................................................... 28 Table 10. ICE S&E Sub-account Detail ..................................................................................... 38 Table 11. TSA Gross Budget Authority, by Budget Activity ....................................................... 47 Table 12. Coast Guard Operating (OE) and Acquisition (ACI) Sub-account Detail..................... 53 Table 13. U.S. Secret Service Appropriations ............................................................................ 60 Table 14. Title III: Preparedness and Response .......................................................................... 63 Table 15. State and Local Homeland Security Programs ............................................................ 75 Table 16. FY2009 Budget Activity for the Management and Administration Appropriation ........................................................................................................................ 81 Table 17. FY2009 Budget Activity for the Infrastructure Protection and Information Security Appropriation ........................................................................................................... 88 Table 18. Title IV: Research and Development, Training, Assessments, and Services ................. 90 Table 19. USCIS Budget Account Detail ................................................................................... 94 Table 20. Directorate of Science and Technology Accounts and Activities, FY2008FY2009.................................................................................................................................. 99 Table 21. Domestic Nuclear Detection Office Accounts and Activities, FY2008-FY2009 ........ 101 Table D-1. Federal Homeland Security Funding by Agency, FY2003-FY2009 ......................... 112 Appendixes Appendix A. DHS Funding in P.L. 111-5................................................................................. 103 Appendix B. FY2008 Supplemental Funding provided by Division B of P.L. 110-329 ............. 105 Appendix C. Emergency Funding for Border Security in The Consolidated Appropriations Act, 2008 (P.L. 110-161) .............................................................................. 106 Appendix D. DHS Appropriations in Context .......................................................................... 111 Congressional Research Service Homeland Security Department: FY2009 Appropriations Contacts Author Contact Information .................................................................................................... 113 Acknowledgments .................................................................................................................. 113 Key Policy Staff...................................................................................................................... 113 Congressional Research Service Homeland Security Department: FY2009 Appropriations Most Recent Developments P.L. 111-5 In response to the ongoing economic recession in the United States, Congress enacted P.L. 111-5, the American Recovery and Reinvestment Act of 2009, on February 17, 2005. Title V of P.L. 1115 included funding for a number of agencies within DHS, including $20 million for the Office of the Undersecretary for Management; $5 million for the Office of the Inspector General; $680 million for CBP; $20 million for ICE; $1,000 million for TSA; $250 million for the Coast Guard; and $610 million for FEMA. P.L. 110-329 On September 23, 2008, the House Rules Committee reported H.Res. 1488 for consideration of the Senate amendment to H.R. 2638, the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009. H.R. 2638 was originally introduced as the FY2008 DHS Appropriations Act, but has been amended to serve as the legislative vehicle for the proposed Continuing Resolution, a Disaster Relief Emergency Supplemental, the Department of Defense FY2009 Appropriations Act, the FY2009 Department of Homeland Security Appropriations Act, and the FY2009 Military Construction and Veterans Assistance Act.1 On September 24, 2008, the House passed H.R. 2638. On September 27, 2008 the Senate passed H.R. 2638. H.R. 2638 was enacted as P.L. 110-329 on September 30, 2008. Division D of P.L. 110-329 provided a net appropriation of $41,225 million for DHS for FY2009. This amounts to nearly $2,376 million more than the President’s request for FY2009, $88 million more than was reported by the House in H.R. 6947, and $89 million less than was reported by the Senate in S. 3181. Net appropriations for major agencies within DHS were as follows: Customs and Border Protection, $9,821 million; Immigration and Customs Enforcement, 4,989 million; Transportation Security Administration, $4,367 million; Coast Guard, $9,361 million; Secret Service, $1,413 million; National Protection & Programs Directorate, $1,158 million; Federal Emergency Management Administration (FEMA), $6,963 million; Science and Technology, $933 million; and the Domestic Nuclear Detection Office, $514 million. Additionally, Division B of the Act also contained the following amounts for DHS agencies in emergency supplemental FY2008 funding: $300 for the Coast Guard, $7.96 billion for FEMA’s Disaster Relief Account, and $100 million for FEMA to reimburse the American Red Cross. House-reported H.R. 6947 The House Appropriations Committee reported its version of the FY2009 DHS Appropriations bill on June 24, 2008. The bill was filed on September 18, 2008, as H.R. 6947, and the accompanying report has been numbered H.Rept. 110-862. House-reported H.R. 6947 would provide a net appropriation of $41,137 million in budget authority for DHS for FY2009. This would have amounted to an increase of $2,288 million or nearly 6% increase over the President’s request. H.R. 6947 contained net appropriations for major components of the department as 1 See the CRS Appropriations Status table for more information http://www.crs.gov/products/appropriations/ appover.shtml. Congressional Research Service 1 Homeland Security Department: FY2009 Appropriations follows: $9,694 million for CBP; $4,813 million for ICE; $4,354 million for the TSA; $9,206 million for the U.S. Coast Guard; $1,371 million for the Secret Service; $1,287 for the NPP; $7,407 million for the FEMA; $102 million for USCIS; $887 million for the S&T; and $544 million for the DNDO. Senate-reported S. 3181 The Senate-reported its version of the bill on June 19, 2008. S. 3181 would have provided $41,314 million in net budget authority for DHS for FY2009, a $2,465 million or 6% increase over the President’s request. S. 3181 contained net appropriations for major components of the department included as follows: $9,740 million for CBP; $4,989 million for ICE; $4,277 million for the TSA; $9,216 million for the U.S. Coast Guard; $1,418 million for the Secret Service; $1,041 for the NPP; $7,407 million for the FEMA; $151 million for USCIS; $919 million for the S&T; and $541 million for the DNDO. President’s FY2009 Budget Submitted The President’s budget request for the Department of Homeland Security (DHS) for FY2009 was submitted to Congress on February 4, 2008. The Administration requested $50,502 million in gross budget authority for FY2009 (including mandatories, fees, and funds). The Administration’s request included gross appropriations of $46,786 million, and a net appropriation of $38,849 million in budget authority for FY2009, of which $37,664 million was discretionary budget authority, and $1,185 million was mandatory budget authority. The FY2008 enacted net appropriated budget authority for DHS was $38,747 million ($49,907 million including supplemental appropriations). Table 1. Legislative Status of Homeland Security Appropriations Subcommittee Markup House Senate 6/11 (vv) 6/18 (vv) H.Rept. 110-862 6/24 (vv)a House Passage 9/24 (370 -58)b S.Rept. 110-396 6/19 (vv) Senate Passage 9/27 (78-12)b Confr. Report 9/24c Public Law 110-329 Note: (vv) = voice vote, (uc) = unanimous consent. a. The full House Appropriations Committee reported the FY2009 DHS Appropriations bill on June 6, 2008, but the bill was not filed until September 18, 2008. b. On September 23, 2008, the House Rules Committee reported H.Res. 1488 for consideration of the Senate amendment to H.R. 2638, the Consolidated Security, Disaster Assistance, and Continuing Appropriations Act, 2009. H.R. 2638 was originally introduced as the FY2008 DHS Appropriations Act, but was amended to serve as the legislative vehicle for the proposed Continuing Resolution, a Disaster Relief Emergency Supplemental, the Department of Defense FY2009 Appropriations Act, the FY2009 Department of Homeland Security Appropriations Act, and the FY2009 Military Construction and Veterans Assistance Act. c. The conference report for the FY2009 DHS Appropriations Act was submitted as a joint explanatory statement in the Congressional Record. Congressional Research Service 2 Homeland Security Department: FY2009 Appropriations Note on Most Recent Data Data used in this report include data from the President’s Budget Documents, the FY2009 DHS Congressional Budget Justifications, the FY2009 DHS Budget in Brief, S. 3181 and the accompanying report S.Rept. 110-396, House-reportedH.R. 6947 and the accompanying report (H.Rept. 110-862), and the DHS Joint Explanatory Statement as submitted in the Congressional Record on September 24, 2008, and in the House- and Senate- enrolled version of H.R. 2638. Data used in Table 21 are taken from the Analytical Perspectives volume of the FY2009 President’s Budget. These amounts do not correspond to amounts presented in Tables 4-20, which were derived from the FY2009 DHS Congressional Budget Justifications. Except when discussing total amounts for the bill as a whole, all amounts contained in this report are rounded to the nearest million. Background This report describes the President’s FY2009 request for funding for DHS programs and activities, as submitted to Congress on February 4, 2008. It compares the enacted FY2008 amounts to the request for FY2009, and tracks legislative action and congressional issues related to the FY2009 DHS appropriations bills with particular attention paid to discretionary funding amounts. The report does not follow specific funding issues related to mandatory funding—such as retirement pay—nor does the report systematically follow any legislation related to the authorization or amendment of DHS programs. Department of Homeland Security The Homeland Security Act of 2002 (P.L. 107-296) transferred the functions, relevant funding, and most of the personnel of 22 agencies and offices to the new Department of Homeland Security created by the act. Appropriations measures for DHS have been organized into five titles: Title I Departmental Management and Operations; Title II Security, Enforcement, and Investigations; Title III Preparedness and Recovery; Title IV Research and Development, Training, Assessments, and Services; and Title V general provisions. Title I contains appropriations for the Office of Management, the Office of the Secretary, the Office of the Chief Financial Officer, Analysis and Operations (A&O), the Office of the Chief Information Office (CIO), the Office of the Inspector General (OIG), and the Office of the Federal Coordinator for Gulf Coast Rebuilding. Title II contains appropriations for Customs and Border Protection (CBP), Immigration and Customs Enforcement (ICE), the Transportation Security Administration (TSA), the Coast Guard (USCG), and the Secret Service. The U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT) program was appropriated within Title II through the FY2007 appropriation. The FY2008 appropriation transferred US-VISIT, as proposed by the Administration, to the newly created National Protection & Programs Directorate (NPPD) in Title III. Division E of P.L. 110161, the DHS Appropriations Act, 2008, enacted this reorganization, which is reflected by the FY2009 request. Through the FY2007 appropriation, Title III contained appropriations for the Preparedness Directorate, Infrastructure Protection and Information Security (IPIS) and the Federal Emergency Congressional Research Service 3 Homeland Security Department: FY2009 Appropriations Management Administration (FEMA). The President’s FY2008 request included a proposal to shift a number of programs and offices to eliminate the Preparedness Directorate, create the NPPD, and move several programs to FEMA. These changes were largely agreed to by Congress in the FY2008 appropriation, reflected by Title III in Division E of P.L. 110-161. The FY2009 request also reflects this reorganization. Title IV contains appropriations for U.S. Citizenship and Immigration Services (USCIS), the Science and Technology Directorate (S&T), and the Federal Law Enforcement Training Center (FLETC). 302(a) and 302(b) Allocations The maximum budget authority for annual appropriations (including DHS) is determined through a two-stage congressional budget process. In the first stage, Congress sets overall spending totals in the annual concurrent resolution on the budget. Subsequently, these amounts are allocated among the appropriations committees, usually through the statement of managers for the conference report on the budget resolution. These amounts are known as the 302(a) allocations. They include discretionary totals available to the House and Senate Committees on Appropriations for enactment in annual appropriations bills through the subcommittees responsible for the development of the bills. In the second stage of the process, the appropriations committees allocate the 302(a) discretionary funds among their subcommittees for each of the appropriations bills. These amounts are known as the 302(b) allocations. These allocations must add up to no more than the 302(a) discretionary allocation and form the basis for enforcing budget discipline, since any bill reported with a total above the ceiling is subject to a point of order. 302(b) allocations may be adjusted during the year as the various appropriations bills progress towards final enactment. The annual concurrent resolution on the budget sets forth the congressional budget. There is as yet no budget resolution for FY2009. Table 2 shows DHS’ 302(b) allocations for FY2008 and the current appropriations cycle. Table 2. FY2009 302(b) Discretionary Allocations for DHS (budget authority in billions of dollars) FY2008 Comparable $37.6 FY2009 Request Comparablea $37.6 FY2009 House Allocationa FY2009 Senate Allocationa $42.1 $42.3 FY2009 Enacted Comparable 41.2 Source: CRS analysis of the FY2009 DHS Congressional Budget Justifications, H.Rept. 110-746, Report on the Suballocation of Budget Allocations for Fiscal Year 2009, House Committee on Appropriations, July 8, 2008, and S.Rept. 110-402, Revised Allocation to Subcommittees of Budget Totals from the Concurrent Resolution, Fiscal Year 2009, Senate Committee on Appropriations, June 25, 2008. a. Does not include $2.2 billion in advance Bioshield funding appropriated in FY2004 that becomes available for obligation in FY2009. Budget Authority, Obligations, and Outlays Federal government spending involves a multi-step process that begins with the enactment of budget authority by Congress. Federal agencies then obligate funds from the enacted budget Congressional Research Service 4 Homeland Security Department: FY2009 Appropriations authority to pay for their activities. Finally, payments are made to liquidate those obligations; the actual payment amounts are reflected in the budget as outlays. Budget authority is established through appropriations acts or direct spending legislation and determines the amounts that are available for federal agencies to spend. The Antideficiency Act2 prohibits federal agencies from obligating more funds than the budget authority that was enacted by Congress. Budget authority may be indefinite, however, when Congress enacts language providing “such sums as may be necessary” to complete a project or purpose. Budget authority may be available on a one-year, multi-year, or no-year basis. One-year budget authority is only available for obligation during a specific fiscal year; any unobligated funds at the end of that year are no longer available for spending. Multi-year budget authority specifies a range of time during which funds can be obligated for spending; no-year budget authority is available for obligation for an indefinite period of time. Obligations are incurred when federal agencies employ personnel, enter into contracts, receive services, and engage in similar transactions in a given fiscal year. Outlays are the funds that are actually spent during the fiscal year.3 Because multi-year and no-year budget authorities may be obligated over a number of years, outlays do not always match the budget authority enacted in a given year. Additionally, budget authority may be obligated in one fiscal year but spent in a future fiscal year, especially with certain contracts. In sum, budget authority allows federal agencies to incur obligations and authorizes payments, or outlays, to be made from the Treasury. Discretionary agencies and programs, and appropriated entitlement programs, are funded each year in appropriations acts. Discretionary and Mandatory Spending Gross budget authority, or the total funds available for spending by a federal agency, may be composed of discretionary and mandatory spending. Of the $46.4 billion gross budget authority requested for DHS in FY2009, 82% is composed of discretionary spending and 18% is composed of mandatory spending. Discretionary spending is not mandated by existing law and is thus appropriated yearly by Congress through appropriations acts. The Budget Enforcement Act of 19904 defines discretionary appropriations as budget authority provided in annual appropriation acts and the outlays derived from that authority, but it excludes appropriations for entitlements. Mandatory spending, also known as direct spending, consists of budget authority and resulting outlays provided in laws other than appropriation acts and is typically not appropriated each year. However, some mandatory entitlement programs must be appropriated each year and are included in the appropriations acts. Within DHS, the Coast Guard retirement pay is an example of appropriated mandatory spending. 2 U.S.C. §§1341, 1342, 1344, 1511-1517. 3 Appropriations, outlays, and account balances for government treasury accounts can be viewed in the end of year reports published by the U.S. Treasury titled Combined Statement of Receipts, Outlays, and Balances of the United States Government. The DHS portion of the report can be accessed at http://fms.treas.gov/annualreport/cs2005/c18.pdf. 4 P.L. 101-508, Title XIII. Congressional Research Service 5 Homeland Security Department: FY2009 Appropriations Offsetting Collections5 Offsetting funds are collected by the federal government, either from government accounts or the public, as part of a business-type transaction such as offsets to outlays or collection of a fee. These funds are not counted as revenue. Instead, they are counted as negative outlays. DHS net discretionary budget authority, or the total funds that are appropriated by Congress each year, is composed of discretionary spending minus any fee or fund collections that offset discretionary spending. Some collections offset a portion of an agency’s discretionary budget authority. Other collections offset an agency’s mandatory spending. They are typically entitlement programs under which individuals, businesses, or units of government that meet the requirements or qualifications established by law are entitled to receive certain payments if they establish eligibility. The DHS budget features two mandatory entitlement programs: the Secret Service and the Coast Guard retired pay accounts (pensions). Some entitlements are funded by permanent appropriations, others by annual appropriations. The Secret Service retirement pay is a permanent appropriation and as such is not annually appropriated, whereas the Coast Guard retirement pay is annually appropriated. In addition to these entitlements, the DHS budget contains offsetting Trust and Public Enterprise Funds. These funds are not appropriated by Congress. They are available for obligation and included in the President’s budget to calculate the gross budget authority. Table 3 tabulates all of the offsets within the DHS budget as enacted for FY2008 and in the FY2009 request. Table 3. FY2009 Request: Moving From Gross Budget Authority to Net Appropriation—Fee Accounts, Offsetting Fees, and Trust and Public Enterprise Accounts (budget authority in millions) Account/Agency Account Name a DHS gross budget authority (BA) (gross discretionary + fees+ mandatory + funds) Discretionary fee funded offsets ICE Federal Protective Service Aviation security fees TWIC TSA Hazmat Registered Traveler FEMA/EPR National Flood Insurance Fund CBP Small airports Subtotal discretionary fee funded offsets Mandatory fee funded offsets CBP Immigration inspection Immigration enforcement Land border 5 FY2008 Enacted FY2009 Request 52,915 50,502 613 2,113 64 18 4 111 7 2,930 616 2,329 9 18 10 157 7 3,146 562 3 27 570 3 27 Prepared with assistance from (name redacted), Analyst in American National Government. Congressional Research Service 6 Homeland Security Department: FY2009 Appropriations Account/Agency Account Name COBRA APHIS Puerto Rico ICE Immigration inspection SEVIS Breached bond detention fund TSA Aviation security capital fund Checkpoint screening security fund Alien flight school background checks USCIS Immigration examination fee H1b, and H1b & L fees Subtotal mandatory fee funded offsets Mandatory budget authority Secret service Secret service retired payb Coast guard Coast guard retired payc Subtotal mandatory budget authority Trust funds and public enterprise funds CBP Customs unclaimed goods FEMA National Flood Insurance Fundd Boat safety Coast Guard Oil spill recovery Subtotal trust and public enterprise funds DHS gross budget authoritya Total offsets Rescissions Emergency Supplemental (P.L. 110-116) DHS net appropriated BA (Mandatory + Discretionary) FY2008 Enacted 392 321 98 114 56 64 250 250 3 2,495 44 4,679 FY2009 Request 411 333 97 118 75 120 676 — 3 2,495 44 4,972 210 (1,185) 210 225 (1,237) 225 6 2,833 133 147 3,119 52,915 -10,938 -262 -2,900 38,817 6 3,037 125 149 3,317 50,502 -11,660 — — 38,843 Source: CRS analysis of the FY2009 President’s Budget, and the DHS FY2009 Budget in Brief. Notes: Totals may not add due to rounding. a. DHS gross budget authority is the total budget authority available to the Department in a given fiscal year. This amount includes both appropriated and non-appropriated funding. b. Secret Service Retired Pay is permanently and indefinitely authorized, and as such is not annually appropriated. Therefore it is offset in Table 3. c. In contrast to Secret Service Retired Pay, Coast Guard Retired pay must be annually appropriated, and therefore is not offset in Table 3. d. This fund is comprised of both discretionary and mandatory appropriations; thus its component parts appear twice in this table. Congressional Research Service 7 Homeland Security Department: FY2009 Appropriations Appropriations for the Department of Homeland Security DHS Appropriations Trends Table 4 presents DHS Appropriations, as enacted, for FY2003 through the FY2009 request. The appropriation amounts are presented in current dollars and are not adjusted. The amounts shown in Table 4 represent enacted amounts at the time of the start of the next fiscal year’s appropriation cycle (with the exception of FY2009). Thus, the amount shown for FY2003 is the enacted amount shown in the House Committee report attached to the FY2004 DHS Appropriations bill. FY2008 is from the Joint Explanatory Statement for Division E of P.L. 110-161, and FY2009 is from the FY2009 DHS Budget Justifications. Table 4. DHS Appropriations, FY2003-FY2009 (budget authority in millions of dollars) FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 Enacted FY2009 29,069a 30,175b 30,554c 31,679 35,311d 38,817e 41,225 Sources: FY2003 enacted taken from H.Rept. 108-169; FY2004 enacted taken from H.Rept. 108-541; FY2005 enacted taken from H.Rept. 109-79; FY2006 enacted taken from H.Rept. 109-476; FY2007 appropriation amounts are from the H.Rept. 110-181; and FY2008 enacted amounts are from Division E of P.L. 110-161, and tables in the Joint Explanatory Statement for Division E, published in the Congressional Record, December 17, 2007, pp. H16107-H16121 (incorporating amendments to the budget request). FY2009 enacted taken from the DHS Joint Explanatory Statement as submitted in the Congressional Record, and in the House- and Senateenrolled version of H.R. 2638 Notes: Amounts do not include supplemental appropriations or rescissions that were enacted subsequent to the enactment of each appropriations bill. a. S.Rept. 108-86 reported the FY2003 enacted amount as $29,287 million. CRS was unable to identify the reason for this discrepancy. For the purposes of this table the House number was used to maintain consistency with other fiscal years. b. Amount does not include $4,703 million in advance appropriations for Project Bioshield. c. Amount does not include $2,508 million in advance appropriations for Project Bioshield d. Amount includes $1,829 million in emergency budget authority that was enacted as a part of the FY2007 DHS Appropriations Act (P.L. 109-295). e. FY2008 Enacted includes emergency funding for DHS enacted by Division E of P.L. 110-161. Summary of DHS Appropriations Table 5 is a summary table comparing the enacted appropriations for FY2008 and the requested, recommended by the House and Senate, and enacted appropriations for FY2009. Congressional Research Service 8 Homeland Security Department: FY2009 Appropriations Table 5. DHS: Summary of Appropriations (budget authority in millions of dollars) FY2008 Appropriation FY2009 Appropriation FY2008 Total FY2009 Request FY2009 HouseReported FY2009 SenateReported P.L. 110-329 P.L. 1115 Emerg. Funding Total FY2009 983 983 1,185 1,049 1,197 1,086 205 1,291 Customs and Border Protection 9,423 9,423 9,487 9,694 9,741 9,821 680 10,501 Immigration and Customs Enforcement 4,735 4,735 4,748 4,813 4,989 4,989 20 5,009 Transportation Security Administration 4,021 4,021 4,065 4,354 4,277 4,367 1,000 5,367 U.S. Coast Guard 8,632 8,932 9,071 9,206 9,216 9,361 250 9,611 U.S. Secret Service 1,385 1,385 1,414 1,371 1,418 1,413 Net subtotal: Title II 28,195 28,495 28,786 29,438 29,641 29,951 1,950 31,901 Total fee collections 5,025 5,025 5,399 4,973 4,997 4,997 — 4,997 Gross subtotal: Title II 33,220 33,520 34,185 34,411 34,638 34,948 1,950 36,898 1,177 1,177 1,286 1,287 1,041 1,158 — 1,158 Office of Health Affairs 117 117 161 134 171 157 — 157 Counter Terrorism Fund — Operational Component FY2008 Enacteda FY2008 Supp. FY2008 Resc. Title I: Departmental Operations Subtotal: Title I Title II: Security, Enforcement, and Investigations 300b 300 300 1,413 Title III: Preparedness and Recovery National Protection & Programs Directorate Federal Emergency Management Administration Net subtotal: Title III Title IV: Research and Development, Training, Assessments, and Services CRS-9 — — — — — — — 6,806 10,960b 17,766 5,573 7,407 7,328 6,963 610 7,573 8,100 10,960b 19,060 7,020 8,829 8,540 8,278 610 8,888 Homeland Security Department: FY2009 Appropriations FY2009 Appropriation FY2008 Appropriation Operational Component FY2008 Enacteda FY2008 Supp. FY2008 Resc. FY2008 Total FY2009 Request FY2009 HouseReported FY2009 SenateReported P.L. 110-329 P.L. 1115 Emerg. Funding Total FY2009 Citizenship and Immigration Services 81 81 151 102 151 102 — 102 Federal Law Enforcement Training Center 289 289 274 286 324 333 — 333 Science and Technology 830 830 869 887 919 933 — 933 Domestic Nuclear Detection Office 485 485 564 544 541 514 — 514 Net subtotal: Title IV 1,685 1,685 1,857 1,819 1,935 1,882 — 1,882 Total fee collections 2,539 2,539 2,539 2,539 2,539 2,539 — 2,539 Gross subtotal: Title IV 4,224 4,224 4,396 4,358 4,474 4,421 — 4,421 -216 -216 — — — 28c — 28c Title V: General Provisions Rescissions Department of Homeland Security Appropriation Gross DHS budget authority 46,311 11,260b 57,571 46,786 48,649 48,849 48,761 2,765 51,526 Total fee collections -7,564 — -7,564 -7,938 -7,512 -7,536 -7,536 — -7,536 Net DHS budget authority 38,747 11,260b 50,007 38,849 41,137 41,314 41,225 2,765 43,990 Source: CRS Analysis of the FY2009 DHS Congressional Budget Justifications, the FY2009 DHS Budget in Brief, S. 3181 and the accompanying report S.Rept. 110-396, and House-reported H.R. 6947 and its accompanying report (H.Rept. 110-862). FY2009 enacted from the DHS Joint Explanatory Statement as submitted in the Congressional Record, and in the House- and Senate- enrolled version of H.R. 2638. Notes: Tables may not add due to rounding. a. Column “FY2008 Enacted” includes emergency funding for DHS enacted by Division E of P.L. 110-161. b. FY2008 emergency supplemental funding was provided by two Acts: P.L. 110-116, §158, The Department of Defense Appropriations Act, 2008 provided $2,900 million in FY2008 emergency supplemental funding for FEMA Disaster Relief; and Division B of P.L. 110-329 also provided $300 million for Coast Guard Acquisition, Construction, and Improvements, $7,960 million for FEMA Disaster Relief, and $100 million for FEMA to reimburse the Red Cross. c. Represents the net of several amounts contained in the Title V General Provisions of House-passed H.R. 2638, including the following: Sec. 547, which would provide an additional $50 million for REAL ID grants and an additional $50 million for REAL ID Information Sharing and Verification; Sec. 549, which would rescind $31 million in undistributed TSA carryover balances; Sec.550, which would rescind $21 million in A&O unobligated balances; and Sec. 551, which would rescind $20 million in Coast Guard unobligated balances. CRS-10 Homeland Security Department: FY2009 Appropriations Title I: Departmental Management and Operations6 Title I covers the general administrative expenses of DHS. It includes the Office of the Secretary and Executive Management (OS&EM), which is comprised of the immediate Office of the Secretary and 12 entities that report directly to the Secretary; the Undersecretary for Management (USM) and its components, such as the offices of the Chief Administrative Services Officer, Chief Human Capital Officer, and Chief Procurement Officer; the Office of the Chief Financial Officer (OCFO); the Office of the Chief Information Officer (OCIO); Analysis and Operations Office (AOO); Office of the Federal Coordinator for Gulf Coast Rebuilding (OFCGCR); and Office of the Inspector General (OIG). Table 6 shows Title I appropriations for FY2008 and congressional action on the request for FY2009. President’s FY2009 Request FY2009 requests relative to comparable FY2008 enacted appropriations were as follow: OS&EM, $127 million, an increase of $30 million (+31%); USM, $321 million, an increase of $176 million (+121%); OCFO, $56 million, an increase of $25 million (+81%); OCIO, $247 million, a decrease of $48 million (-16%); AOO, $334 million, an increase of $28 million (+9%); OFCGCR, $.25 million, a decrease of approximately $3 million (-90%); and OIG, $101 million, a decrease of $8 million (-7%). The total FY2009 request for Title I was $1,187 million. This represents an increase of $201 million (+20%) over the FY2008 enacted level. Of the amounts requested, the largest increase would occur in the USM, which is seeking $120 million for the planned consolidation of DHS executive program leadership on the West Campus of the Saint Elizabeth’s Hospital grounds in accordance with the DHS National Capital Region Housing Master Plan signed by the Secretary on October 25, 2006. The consolidation includes up to 4.5 million gross square feet of office space at the Saint Elizabeth’s site. Other areas of increased USM funding include department-wide program management teams ($4 million), the department-wide acquisition intern program ($3 million), and increased counterintelligence and security needs ($1 million). A small increase in USM funding is being sought to provide added support for the Deputy Under Secretary for Management for the transition process. Formed in 2002, DHS has not previously been through a presidential transition. Many of its principal components, however, have done so, some several times over. For example, the United States Secret Service began as a Treasury Department bureau in 1865; the Bureau of Immigration, which grew into the Bureau of Immigration and Naturalization and the Immigration and Naturalization Service, was established in the Treasury Department in 1891;7 the United States Coast Guard was statutorily chartered in 1915;8 the Bureau of Customs was created in the Treasury Department in 1927;9 and the Federal Emergency Management Agency was mandated by E.O. 12127 of March 31, 1979.10 At DHS, the Under Secretary for Management has responsibility for, “before December 1 of any year in which a Presidential election is held, the 6 Prepared by (name redacted), Specialist in American National Government, Government and Finance Division. Stat. 1085. 8 Stat. 800. 9 Stat. 1381. 10 3 C.F.R., 1979 Comp., pp. 376-377. 7 Congressional Research Service 11 Homeland Security Department: FY2009 Appropriations development of a transition and succession plan, to be made available to the incoming Secretary and Under Secretary for Management, to guide the transition of management functions to a new Administration.”11 On January 10, 2008, in response to a request of the Secretary of Homeland Security, the Homeland Security Advisory Council issued a report by its Administration Transition Task Force. The panel’s recommendations regarding transition preparation addressed seven broad areas: threat awareness, leadership, congressional oversight/action, policy, operations, succession, and training.12 Details about the implementation of the panel’s recommendations are not available for security reasons, according to DHS. House-reported H.R. 6947 House-reported H.R. 6947 recommended $1,049 million for DHS management and operations entities funded in Title I, $136 less (-12%) than the amount requested. The allocations for entities within the title, as approved by the House, were as follow: OS&EM, $123 million, a decrease of $4 million (-3%); USM, -$190 million, a decrease of $130 million (-41%); OCFO, $55 million, a decrease of $1 million (-2%); OCIO, $247 million, the same level as requested (0%); AOO, $324 million, a decrease of $9 million (-3%); OFCGCR, less than $1 million, the same level as requested (0%); and OIG, $101 million, the same level as requested (0%), but increased by a $15 million proposed transfer of funds from FEMA’s Disaster Relief account, resulting in a recommended total appropriation of $116 million, an increase of $15(+15%). A subsequent amendment adopted in committee moved $6 million (-5%) from the Title I OS&EM account to the Title II ICE salaries and expenses account. Senate-reported S. 3181 Senate appropriators recommended $1,197 million for Title I accounts, slightly more (+1%) than the President’s $1,185 million request. The suggested allocations for the title were as follow: OS&EM, $123 million, a decrease of $4 million (-3%); USM, $310 million, a decrease of about $9 million (-3%); OCFO, $56 million, the same level as requested (0%); OCIO, $274 million, an increase of $27 million (+11%); AOO, $318 million, a decrease of $16 million (-5%); OFCGCR, $3 million, an increase of $2 million (+50%); and OIG, $96 million, a decrease of $5 million (-5%), but increased by a $16 million proposed transfer of funds from FEMA’s Disaster Relief account, resulting in a recommended total appropriation of $112 million, an increase of $11 million (+11%). P.L. 110-329 As approved by both houses of Congress and signed by the President, the final bill allocated $1,086 million for Title I provided $99 million less (-8%) than the President’s $1,185 million request. The allocations for the title were as follow: OS&EM, $123 million, a decrease of $4 million (-3%); USM, $191 million, a decrease of $130 million (-40%); OCFO, $55 million, a 11 4 U.S.C. §341(a)(9)(B). 12 U.S. Department of Homeland Security, Homeland Security Advisory Council, Report of the Administration Transition Task Force (Washington: January 2008), available at http://www.dhs.gov/xlibrary/assets/ hsac_ATTF_Report.pdf. Congressional Research Service 12 Homeland Security Department: FY2009 Appropriations decrease of $1 million (-2%); OCIO, $272 million, an increase of $25 million (+10%); AOO, $327, an decrease of $7 million (-2%); OFCGCR, almost $2 million, an increase of almost $1.75 million (+70%); and OIG, 114 million, an increase of $13 million (+13%). P.L. 111-5 The American Recovery and Reinvestment Act of 2009 (H.R. 1), enacted on February 17, 2009, provides $200 million for planning, design, construction costs, site security, information technology infrastructure, fixtures, and related costs to consolidate the DHS headquarters (in the OUM account). The Secretary of Homeland Security, in consultation with the Administrator of General Services, must submit a plan for the expenditure of these funds to the Senate and House Committees on Appropriations no later than 60 days after the act’s enactment. The law also provides $5 million to the Office of Inspector General for the oversight and audit of programs, grants, and projects funded under Title VI. The money will remain available until September 30, 2012. Congressional Research Service 13 Homeland Security Department: FY2009 Appropriations Table 6.Title I: Department Management and Operations (budget authority in millions of dollars) FY2008 Appropriation Operational Component FY2008 Enacteda FY2008 Supp. FY2008 Resc. FY2009 Appropriation FY2008 Total FY2009 Request FY2009 Housereported FY2009 Senatereported P.L. 110329 P.L. 1115 Emerg. Funding Total FY2009 Office of the Secretary and Executive Management 97 97 127 117b 123 123 — 123 Office of Screening Coordination and Operations — — — — — — — — Office of the Undersecretary for Management 145c 145c 321 190 311 192 200 392 Office of the Chief Financial Officer 31 31 56 55 56 55 — 55 Office of the Chief Information Officer 295 295 247 247 275 272 — 272 Analysis and Operations 306d 306d 334 324 318e 327 — 327 Office of the Federal Coordinator for Gulf Coast Rebuilding 3 3 —f —g 3 2 — 2 Office of the Inspector General 109h 109h 101 116i 112j 115k 5 5 Net Budget Authority: Title I 986 986 1,187 1,049 1,197 1,086 205 1291 Source: CRS Analysis of the FY2009 DHS Congressional Budget Justifications, the FY2009 DHS Budget in Brief, S. 3181 and the accompanying report S.Rept. 110-396, and House-reported H.R. 6947 and its accompanying report (H.Rept. 110-862). FY2009 enacted from the DHS Joint Explanatory Statement as submitted in the Congressional Record, and in the House- and Senate- enrolled version of H.R. 2638. Note: Tables may not add due to rounding. a. Column “FY2008 Enacted” includes emergency funding for DHS enacted by Division E of P.L. 110-161. b. Includes a $6 million transfer from OSEM to ICE S&E that was adopted by amendment during the House full committee mark-up. c. Includes an unspecified $5 million reduction per P.L. 110-161. d. Per P.L. 110-161Does not include $9 million rescission of prior year balances appropriated by P.L. 109-295. e. Includes $3 million rescission of unobligated balances. f. $250,000 was requested for the Office of the Federal Coordinator for Gulf Coast Rebuilding in FY2009; this table only shows millions, however. CRS-14 Homeland Security Department: FY2009 Appropriations g. The House-reported bill includes $341,000 for this office. h. Includes a $14 million transfer of funds from FEMA’s Disaster Relief account. i. Includes a $15 million transfer of funds from FEMA’s Disaster Relief account. j. Includes a $16 million transfer of funds from FEMA’s Disaster Relief account. k. Includes a $16 million transfer of funds from FEMA’s Disaster Relief account. CRS-15 Homeland Security Department: FY2009 Appropriations Personnel Issues 13 The Office of the Chief Human Capital Officer (OCHCO) manages and administers human resources at DHS and includes the Office of Human Capital (OHC). The OCHCO reports to the Under Secretary for Management, and its appropriation is included in that of the Under Secretary. The office “establishes policy and procedures” and “provides oversight, guidance, and leadership for human resources functions, including learning and development.” The OHC designs and implements human resources programs, including their strategy and technology components, and the response to the issues identified in the Federal Human Capital Survey (FHCS). According to the DHS Justifications, the FY2009 budget requested $47 million14 and 86 full-time equivalent (FTE) employees for the OCHCO and the OHC.15 The requested funding is $29 million above the $18 million provided for FY2008. The number of FTEs would increase by 33 over the 53 authorized for FY2008. An appropriation is not requested for the new human resources management system (MAX-HR) that was authorized in P.L. 107-296.16 The FY2009 request was $47 million; these figures are included in Table 7. Table 7 below shows the funding and staff for the OCHCO and the OHC as enacted in FY2008, as requested for FY2009, and as recommended by the House- reported H.R. 6947 and the Senatereported S. 3181, and as provided in P.L. 110-329. 13 Prepared by (name redacted), Analyst in American National Government, Government and Finance Division. Salaries and benefits ($11.1 million) and other services ($28 million) account for some 81% of the total of $48.1 million. Other services include contractual services with non-federal sources. 15 FY2009 DHS Justifications, Departmental Management and Operations, Undersecretary for Management, Office of the Chief Human Capital Officer, p. USM-7. 16 Title VIII, Subtitle E, Section 841 of P.L. 107-296, enacted on November 25, 2002 (116 Stat. 2135, at 2229-2234), established a new human resources management system for DHS. DHS and the Office of Personnel Management (OPM) jointly published final regulations to implement the system in the Federal Register on February 1, 2005. (U.S. Department of Homeland Security and U.S. Office of Personnel Management, “Department of Homeland Security Human Resources Management System,” Federal Register, vol. 70, no. 20, February 1, 2005, pp. 5271-5347.) The regulations provided new policies on position classification, pay, performance management, adverse actions and appeals, and labor-management relations for DHS employees. The system was expected to cover about 110,000 of the department’s 180,000 employees and be implemented in phases. (See CRS Report RL32261, DHS’s Max-HR Personnel System: Regulations on Classification, Pay, and Performance Management Compared With Current Law, and Implementation Plans, by (name redacted); and CRS Report RL32255, Homeland Security: Final Regulations for the Department of Homeland Security Human Resources Management System (Subpart E) Compared With Current Law, by (name redacted).) However, shortly after the regulations were issued, the National Treasury Employees Union (“NTEU”) and several other labor organizations filed a lawsuit alleging that DHS and OPM exceeded the authority granted to them under the Homeland Security Act. For an analysis of the court decisions on the adverse actions and appeals and labor-management relations policies, see CRS Report RL33052, Homeland Security and Labor-Management Relations: NTEU v. Chertoff, by (name redacted) and (name redacted). Section 511 of H.R. 1684, the Department of Homeland Security Authorization Act for FY2008, as passed by the House of Representatives, would have repealed the authority for the department’s new personnel system and rendered void any regulations prescribed thereunder. The bill passed the House on a 296-126 (Roll No. 318) vote on May 9, 2007, but no further action has occurred. See, Chris Strohm, “Homeland Security Authorization Bill Falls by the Wayside,” Government Executive, September 24, 2008, available at http://www.govexec.com. P.L. 110-329, enacted on September 30, 2008, prohibits the use of appropriated funds to implement the new personnel system and its development was halted by DHS effective on October 1, 2008, as discussed later in this section. 14 Congressional Research Service 16 Homeland Security Department: FY2009 Appropriations Table 7.Office of the Chief Human Capital Officer and Office of Human Capital Appropriations (budget authority in millions of dollars) FY2008 Enacted Account Housereported H.R. 6947 FY2009 Request Senatereported S. 3181 P.L. 110329 Salaries and Expenses CHCO $9 $32 $29 $30 $29 Max-HR System 0 0 0 0 0 Human Resources—Operational Initiatives and HR Management Systems $10a $15 $10 $10 $10 Total $19 $47 $39 $40 $39 Staffing (full time equivalent, FTE, positions) 53 86 not specified 79 not specified Sources: P.L. 110-161, December 26, 2007; H.Rept. 110-862, pp. 185-186; S.Rept. 110-396, p. 151; and Congressional Record version of the DHS explanatory statement, p. H9813. Note: Tables may not add due to rounding. a. According to the explanatory statement accompanying the consolidated appropriations act, DHS is directed to ensure that this appropriation is used for “programs that directly address the shortcomings identified in [the 2006 Federal Human Capital Survey] or in a subsequent DHS survey that the Department plans to conduct.” These programs could include the “planned DHS survey, gap analysis of mission critical occupations, hiring and retention strategies, robust diversity programs, and Department-wide education and training initiatives.” The Secretary must submit a plan for expending the funds prior to their obligation. (Congressional Record, daily edition, vol. 153, December 17, 2007, p. H16079.) President’s Request The justification that accompanied the DHS budget request for FY2009 stated that the increased funding would be used for continued support of the learning and development strategy to train the department’s workforce through the Preparedness Center, the Leadership Institute, the Homeland Security Academy, and the Center for Academic and Interagency Outreach. The requested appropriation also would be used to fund the continued modernization of the human resources systems, including eRecruitment and ePerformance, “to implement a prototype pay for performance plan for a limited number of DHS employees,” and to invest in diversity and recruitment and retention programs.17 Under the leadership of the OHC, the department will “monitor and evaluate the implementation of the performance management system.” Initiatives related to the diversity of the DHS workforce will include finalizing and implementing the diversity strategy; outreach to colleges, universities, organizations, and professional associations; training on diversity; increased diversity among the department’s executives; and improved outreach to veterans.18 17 DHS Justifications, Undersecretary for Management, pp. USM-4-USM-5. DHS Justifications, Departmental Management and Operations, Undersecretary for Management, Office of the Chief Human Capital Officer, p. USM-7. 18 Congressional Research Service 17 Homeland Security Department: FY2009 Appropriations The OHC will conduct an internal survey of DHS employees, analyze the results, and develop a plan to address any concerns. It will determine current and future staffing needs for mission critical occupations, analyze employee turnover and attrition using methods such as exit interviews and surveys, and link the results of that analysis to training and strategies for recruitment and retention. 19 With regard to fostering better results on the FHCS, the office will focus on developing and monitoring policies and programs that will improve the work environment and perceptions of employees. According to its Annual Performance Report for Fiscal Years 2007-2009, DHS has established a target of achieving a 50% favorable response rate on the FHCS.20 In FY2009, the OHC will convert 23 contractor positions to federal positions to provide the office with a workforce that is stable and cost effective and “to perform ongoing initiatives and provide depth” in issue areas. Furthermore, according to DHS, the conversions will enable the OHC “to broaden and sustain its diversity, veteran outreach, recruiting and retention, employee morale, service delivery,” and management of human resources lines of business. A challenge that will face the department in FY2009 is the transition to a new Administration.21 In a February 7, 2008, letter to DHS Secretary Michael Chertoff, Representative Bennie G. Thompson, chairman of the House Committee on Homeland Security, requested that the Secretary “issue a policy directive to prohibit the ‘burrowing in’ of political appointees into non-political career positions within the Department” within 60 days. Representative Thompson stated that he was “sure that [the Secretary] would agree that it would be inappropriate to fill career non-political executive level positions with political appointees absent an open and fully competitive process.”22 CRS research has not located a publicly available record of any such directive issued by the Secretary. The OHC will use the savings that accrue from conversion of the contractor positions to fund services such as responding to the FHCS, conducting a survey of employee morale, and responding to its findings. Its contracts will focus “on short term projects to meet surge requirements, one-time infrastructure costs, and areas where expertise is not easily obtained ... or would be more cost effective if provided by contractors.”23 House-reported H.R. 6947 The House report (H.Rept. 110-862) stated that the funding recommended by the House Committee on Appropriations is $8 million below the President’s request and $20 million above the FY2008 appropriation. The $10 million recommended for human resource activities is to be used “to enhance employee morale and create a more satisfying work environment.” The committee recommended that the request to transfer the law enforcement accreditation board from the Federal Law Enforcement Training Center (FLETC) to the OCHCO be denied, that $2.5 million be provided for new learning initiatives, and that the human resource information technologies be funded at $17.1 million. With regard to the latter appropriation, the report stated 19 Ibid., p. USM-16. 20 U.S. Department of Homeland Security, Annual Performance Report Fiscal Years 2007-2009 (Washington: DHS, [February 4, 2008]), p. 82. 21 DHS Justifications, Departmental Management and Operations, Undersecretary for Management, Office of the Chief Human Capital Officer, pp. 7-8. 22 Letter from Representative Bennie G. Thompson to the Honorable Michael Chertoff, February 7, 2008. 23 DHS Justifications, Departmental Management and Operations, Undersecretary for Management, Office of the Chief Human Capital Officer, pp. 7-8. Congressional Research Service 18 Homeland Security Department: FY2009 Appropriations that the committee “is troubled that the request to fund this” account under the CHCO instead of under the Chief Information Officer (CIO) “was not clearly detailed in the budget request,” and, for the future directs that all proposals to move programs and funding from one office to another be clearly outlined in congressional budget justifications and include: the preceding year funding level; a detailed description of the work; a rationale for the movement; and a detailed breakdown of the budget request.24 Expressing concern about delays in the department’s hiring process, administered by the OCHCO, the report directed the OCHCO to report to the House and Senate Committees on Appropriations, on a monthly basis on vacancies requested, by [the] office, that have not been processed; vacancies announced, by [the] office; and the amount of time after a vacancy has closed before a selection list is sent back to the requesting entity.25 Senate-reported S. 3181 According to the Senate report (S.Rept. 110-396), the funding recommended by the Senate Committee on Appropriations was $6.3 million below the President’s request and $21.7 million above the FY2008 appropriation. Within the OCHCO’s salaries and expenses account, funding of $18.8 million was recommended to maintain current services, including a transfer of $17.1 million from the CIO to the OCHCO for human resources information technology. An additional appropriation of $5.5 million, and three FTEs, were recommended for implementation of the learning and development strategy. The $10 million recommended for human resources is to “be spent on programs that directly address the shortcomings identified in [the 2006 Federal Human Capital Survey and the 2007 internal DHS employee survey] or in subsequent surveys.” The programs could include “gap analysis of mission critical occupations, hiring and retention strategies, robust diversity programs, and Department-wide learning and development programs.” Like the House committee, the Senate committee denied the President’s request that $1.3 million and seven FTEs be transferred from the FLETC to the OCHCO for the law enforcement accreditation board. P.L. 110-329 The law provided funding at the level recommended in the House-reported bill. The Congressional Record version of the DHS explanatory statement noted that the “Funding has been reduced due to high unobligated balances” in the OCHCO. The statement also directed the OCHCO to “provide monthly reports on the amount of time it takes to fill vacancies within DHS,” as the House report specified.26 The law included the following general provisions related to DHS personnel: 24 H.Rept. 110-862, p. 19. Ibid. 26 Congressional Record, daily edition, vol. 154, September 24, 2008, p. H9793. 25 Congressional Research Service 19 Homeland Security Department: FY2009 Appropriations • Section 519 requires the Chief Financial Officer at DHS to submit a monthly budget and staffing report to the House and Senate Committees on Appropriations. The report must be submitted within 45 days after the close of each month and include information on total obligations, on-board versus funded full-time equivalent staffing levels, and the number of contract employees by office. • Section 522 prohibits the obligation of funds “for the development, testing, deployment, or operation of any portion of a human resources management system authorized by 5 U.S.C. 9701(a), or by regulations prescribed pursuant to such section.” Collaboration is required between the DHS Secretary and employee representatives in the manner prescribed in 5 U.S.C. 9701(e), on “planning, testing, and development of any portion of a human resources management system ... for persons excluded from the definition of ‘employee.’” • Section 534 prohibits the use of funds appropriated to the Office of the Secretary and Executive Management for any new hires by DHS that are not verified through the basic pilot program to confirm employment eligibility that is codified at 8 U.S.C. §1324a note. In the wake of the Section 522 provision, the OCHCO at DHS reportedly issued a memorandum to department employees on October 1, 2008, announcing that development of the human resources management system authorized at Title VIII, Subtitle E of P.L. 107-296 would be halted.27 The OCHCO reportedly wrote to employees “that no current salary adjustments or bonus decisions will be affected.”28 Analysis and Operations29 The DHS intelligence mission is outlined in Title II of the Homeland Security Act of 2002 (codified at 6 U.S.C. 121). Organizationally, and from a budget perspective, there have been a number of changes to the information, intelligence analysis, and infrastructure protection functions at DHS. Pursuant to the Homeland Security Act of 2002, the Information Analysis and Infrastructure Protection (IAIP) Directorate was established. The act created an Undersecretary for IAIP to whom two Assistant Secretaries, one each for Information Analysis (IA) and Infrastructure Protection (IP), reported. The act outlined 19 functions for the IAIP Directorate, including the following, among others: • To assess, receive, and analyze law enforcement information, intelligence information, and other information from federal, state, and local government agencies, and the private sector to (1) identify and assess the nature and scope of the terrorist threats to the homeland, (2) detect and identify threats of terrorism against the United States, and (3) understand such threats in light of actual and potential vulnerabilities of the homeland; 27 Brittany R. Ballenstedt, “Homeland Security Scraps Plan for Personnel System,” Government Executive, October 2, 2008, available at http://www.govexec.com. 28 Mary Mosquera, “DHS Drops Potential Pay-for-Performance Plans,” Federal Computer Week, October 3, 2008, available at http://www.fcw.com. 29 Prepared by (name redacted), Analyst in Domestic Security, Domestic Social Policy Division. Congressional Research Service 20 Homeland Security Department: FY2009 Appropriations • To develop a comprehensive national plan for securing the key resources and critical infrastructure of the United States; • To review, analyze, and make recommendations for improvements in the policies and procedures governing the sharing of law enforcement information, intelligence information, and intelligence-related information within the federal government and between the federal government and state and local government agencies and authorities. 30 Secretary Chertoff’s Second Stage Review of the Department made numerous changes in the DHS intelligence structure. For example, the erstwhile IAIP disbanded, and the Office of Information Analysis was renamed the Office of Intelligence and Analysis and became a stand alone entity. The Office of Infrastructure Protection was placed within the Directorate for Preparedness. The Assistant Secretary for Intelligence Analysis was also provided the title of the Department’s Chief Intelligence Officer. 31 Pursuant to the Implementing Recommendations of the 9/11 Commission Act of 2007 (P.L. 110-53, signed August 3, 2007), a number of amendments to the Homeland Security Act of 2002 (codified at 6 U.S.C. 201) related to homeland security intelligence were made. Among these changes, the law provided statutory standing to the Office of Intelligence and Analysis and the Office of Infrastructure Protection. The Office of Intelligence and Analysis is to be headed by an Under Secretary for Intelligence and Analysis, who will also serve as the Department’s Chief Intelligence Officer. 32 President’s FY2009 Request The FY2009 request for the Analysis and Operations (AOO) account was $334 million, an increase of $28 million (+9%) over the enacted FY2008 amount. It should be noted that funds included in this account support both the Office of Intelligence and Analysis (OIA) and the Office of Operations Coordination. The Office of Intelligence and Analysis, the successor to the “IA” element of the erstwhile IAIP, has as its primary responsibility the integration and analysis of information from DHS, state and local stakeholders, and the intelligence community into finished intelligence products such as threat assessments and other indications and warning documents. As a member of the Intelligence Community, the Office of Intelligence and Analysis’s budget is classified. The Office of Operations Coordination formally houses the National Operations Center which, among other functions, disseminates OIA assessed threat information, provides domestic situational awareness, and performs incident management on behalf of the Department. House-reported H.R. 6947 House-reported H.R. 6947 included $324 million for AOO, amounting to a nearly $10 million decrease compared to the amount requested for FY2009, and $18 million more than the FY2008 enacted level of $306 million. The House report included language reflecting the Committee’s 30 See Title II, Subtitle A, Section 201(d), Responsibilities of the Undersecretary (of IAIP), codified at 6 U.SC. §121. See also Department of Homeland Security, Office of the Inspector General, Survey of the Information Analysis and Infrastructure Protection Directorate, Office of Inspections, Evaluations, and Special Reviews, OIG-04-413, February 2004, p. 26. 31 See DHS Management Directive 8110, Intelligence Integration and Management, January 30, 2006. 32 See P.L. 110-53, Title V, “Improving intelligence and information sharing within the federal government, and with State, local and tribal governments,” Subtitle D, “Homeland security intelligence offices reorganization.” Congressional Research Service 21 Homeland Security Department: FY2009 Appropriations continued concern over the National Applications Office and the National Immigration Information Sharing Office (NIISO). The FY2008 DHS Appropriations Act (Division E, P.L. 110161) required the Secretary to submit and the Government Accountability Office (GAO) to review a certification that the National Applications Office (NAO) and the NIISO comply with all existing laws, including applicable privacy and civil liberties standards. The Department was prohibited from using any related funds from the FY2008 Act until GAO completed its review. The House Committee notes in its report that the Department’s NAO submission was incomplete, and that no information was submitted regarding the NIISO. The Committee therefore includes in the FY2009 bill statutory prohibitions on the operations of the NAO and the NIISO until the certification has been reviewed by GAO. Senate-reported S. 3181 Senate-reported S. 3181 included $318 million, a decrease of $16 million (-5%) for the AOO account as compared with the President’s request. The Committee, in S.Rept. 110-396, directed the Secretary to submit a detailed expenditure plan for FY2009 within 60 days after enactment of the FY2009 DHS Appropriations Act. Reflecting the Committee’s concern with the I&A’s reliance on contract staff versus federal full-time equivalents, the reporting requirements were geared to provide the Committee with staffing and expenditure data regarding all of I&A’s programs. S.Rept. 110-396 also included language requiring the DHS Chief Intelligence Officer to continue to provide the Appropriations Committees quarterly updates on the Department’s progress towards placing DHS intelligence professionals in state and local fusion centers. P.L. 110-329 P.L. 110-329 included $327 million for AOO for FY2009, a decrease of $7 million (-2%) for the AOO account as compared with the President’s request, and increase of $30 million or 10% as compared to the FY2008 enacted amount. The Congressional Record version of the DHS Explanatory Statement, required the Secretary to submit a FY2009 expenditure plan for the Office of Intelligence and Analysis that includes balances carried forward from prior years. In addition, the DHS Explanatory Statement required the Department’s Chief Intelligence Officer to continue to provide quarterly updates to the Committees detailing the progress in placing DHS intelligence professionals in state and local fusion centers. Title II: Security Enforcement and Investigations Title II contains the appropriations for the Bureau of Customs and Border Protection (CBP), the Bureau of Immigration and Customs Enforcement (ICE), the Transportation Security Administration (TSA), the US Coast Guard, and the US Secret Service. Table 8 shows the FY2008 enacted and FY2009 appropriation action for Title II. Congressional Research Service 22 Homeland Security Department: FY2009 Appropriations Table 8.Title II: Security, Enforcement, and Investigations (budget authority in millions of dollars) FY2008 Appropriation FY2009 Appropriation FY2008 Total FY2009 Request FY2009 HouseReported FY2009 SenateReported P.L. 110-329 P.L. 1115 Emerg. Funding Total FY2009 6,803 6,803 7,309 7,534 7,523b 7,603 160 7,763 Automation modernization 477 477 511 511 511 511 511 Air and Marine Operations 570 570 528 510 528 528 528 1,225 1,225 775 775 775 775 100 875 Construction 348 348 364 364 403 403 420 823 Fee accountsc 1,385d 1,385d 1,448 1,448 1,448 1,448 10,808 10,808 10,935 11,142 11,189 11,268 -1,385 -1,385 -1,448 -1,448 -1,448 -1,448 9,423 9,423 9,487 9,694 9,741 9,821 Operational Component FY2008 Enacteda FY2008 Supp. FY2008 Resc. Customs & Border Protection Salaries and expenses Border Security Fencing, Infrastructure, and Technology Gross total Offsetting collections Net total 1,448 680 -1,448 680 Immigration & Customs Enforcement Salaries and expenses 11,948 10,501 0 4,688 4,688 4,691 4,746 4,932 4,927 4,927 Federal Protective Services (FPS) 613 613 616 616 640 640 640 Automation & infrastructure modernization 31 31 57 57 57 57 Construction 17 17 Fee accountse 234 234 299 299 5,581 5,581 5,663 Offsetting FPS fees -613 -613 Offsetting collections -234 4,735 Gross total Net total CRS-23 10 20 77 5 5 299 299 299 5,728 5,928 5,928 -616 -616 -640 -640 -640 -234 -299 -299 -299 -299 -299 4,735 4,748 4,813 4,989 4,989 20 20 5,948 5,009 Homeland Security Department: FY2009 Appropriations FY2009 Appropriation FY2008 Appropriation Operational Component FY2008 Enacteda FY2008 Supp. FY2008 Resc. FY2008 Total FY2009 Request FY2009 HouseReported FY2009 SenateReported P.L. 110-329 P.L. 1115 Emerg. Funding Transportation Security Administration Total FY2009 0 Aviation security (gross funding) 4,809 4,809 5,290 4,743 4,672 4,755 Surface Transportation Security 47 47 37 50 64 50 50 Transportation Threat Assessment and Credentialing 83 83 133 109 120 116 116 Credentialing Feesf 83 83 40 40 40 40 40 Transportation Security Support 524 524 926 950 950 948 948 Federal Air Marshals 770 770 821 799 819 819 Aviation security capital fundg 250 250 250 250 250 250 Checkpoint screening security fund 250 250 Rescission — Gross total 676 1,000 5,755 -7 6,814 6,814 7,102 6,964 6,887 6,977 -2,210 -2,210 -2,320 -2,320 -2,320 -2,320 -2,320 Credentialing/Fee accounts -83 -83 -40 -40 -40 -40 -40 Aviation security capital fund (mandatory spending) -250 -250 -676 -250 -250 -250 -250 Checkpoint screening security fund -250 -250 4,022 4,022 4,065 4,354 4,277 4,367 6,001 6,001 6,213 6,202 6,280 6,195 6,195 Environmental compliance & restoration 13 13 12 13 12 13 13 Reserve training 127 127 131 131 131 131 131 Acquisition, construction, & improvements 993h 1,293h 1,205 1339i 1,267 1,495 98 1,593 16 — 12 16 16 142 158 Offsetting collections Net total 1,000 1,000 7,977 5,367 U.S. Coast Guard Operating expenses Alteration of bridges CRS-24 16 300 Homeland Security Department: FY2009 Appropriations FY2009 Appropriation FY2008 Appropriation Operational Component Research, development, tests, & evaluation Retired pay (mandatory, entitlement) Health care fund contribution Gross total P.L. 1115 Emerg. Funding FY2008 Total FY2009 Request FY2009 HouseReported FY2009 SenateReported P.L. 110-329 25 25 16 16 16 18 18 1,185 1,185 1,237 1,237 1,237 1,237 1,237 272 272 257 257 257 257 257 8,932 9,071 9,206 9,216 9,361 FY2008 Enacteda FY2008 Supp. 8,632 300 FY2008 Resc. 240 Total FY2009 9,601 U.S. Secret Service 0 Salaries and expenses 1,382 1,382 1,411 1,367 1,414 1,409 Investigations and field operations — — — — — — Acquisition, construction, improvements, and related expenses 4 4 4 4 4 4 4 Gross total 1,385 1,385 1,414 1,371 1,418 1,413 1,413 Gross Budget Authority: Title II 33,220 33,520 34,185 34,411 34,637 34,948 Offsetting collections: -5,025 -5,025 -5,399 -4,973 -4,997 -4,997 Net Budget Authority: Title II 28,195 28,495 28,786 29,438 29,641 29,951 300 300 1,409 1,940 36,888 -4,997 1940 31,891 Source: CRS Analysis of the FY2009 DHS Congressional Budget Justifications, the FY2009 DHS Budget in Brief, S. 3181 and the accompanying report S.Rept. 110-396, and House-reported H.R. 6947 and its accompanying report (H.Rept. 110-862). FY2009 enacted from the DHS Joint Explanatory Statement as submitted in the Congressional Record, and in the House- and Senate- enrolled version of H.R. 2638. Notes: Tables may not add due to rounding. a. Column “FY2008 Enacted” includes emergency funding for DHS enacted by Division E of P.L. 110-161. b. Includes $13 million rescission of unobligated balances. c. Fees include COBRA, Land Border, Immigration Inspection, Immigration Enforcement, and Puerto Rico. d. The President’s FY2009 Budget Request includes a re-estimate of the FY2008 fees. e. Fees include Exam, Student Exchange and Visitor Fee, Breached Bond, Immigration User, and Land Border. f. Fees include TWIC, HAZMAT, Registered Traveler, and Alien Flight School Checks. CRS-25 Homeland Security Department: FY2009 Appropriations g. Aviation Security Capital Fund, used for installation of Explosive Detection Systems at airports. h. FY2008 request and House-passed H.R. 2638 included a proposed rescission of $49 million. Senate-passed H.R. 2638 included a proposed rescission of $57 million of funds previously appropriated by P.L. 109-90 and P.L. 109-295. Division E of P.L. 110-161 includes a rescission of $133 million in funds previously appropriated by P.L. 108-334, P.L. 109-90, and P.L. 109-295. i. The House-reported bill includes a rescission of $20 million in previously appropriated funding for UAVs. CRS-26 Homeland Security Department: FY2009 Appropriations Customs and Border Protection (CBP)33 CBP is responsible for security at and between ports-of-entry along the border. Since September 11, 2001, CBP’s primary mission is to prevent the entry of terrorists and the instruments of terrorism. CBP’s ongoing responsibilities include inspecting people and goods to determine if they are authorized to enter the United States; interdicting terrorists and instruments of terrorism; intercepting illegal narcotics, firearms, and other types of contraband; interdicting unauthorized travelers and immigrants; and enforcing more than 400 laws and regulations at the border on behalf of more than 60 government agencies. CBP is comprised of the inspection functions of the legacy Customs Service, Immigration and Naturalization Service (INS), and the Animal and Plant Health Inspection Service (APHIS); the Office of Air and Marine Interdiction, now known as CBP Air and Marine (CBPAM); and the U.S. Border Patrol (USBP). See Table 8 for accountlevel detail for all of the agencies in Title II, and Table 9 for sub-account-level detail for CBP Salaries and Expenses (S&E) for FY2008 and FY2009. President’s FY2009 Request The Administration requested an appropriation of $10,935 million in gross budget authority for CBP for FY2009, amounting to a $127 million (or 1%) increase over the enacted FY2008 level of $10,808 million. The Administration requested $9,487 million in net budget authority for CBP in FY2009, which amounts to a $64 million increase over the net FY2008 appropriation of $9,423 million. House-reported H.R. 6947 House-reported H.R. 6947 would have provided $11,142 million in gross budget authority for CBP for FY2009, amounting to $207 million (or 2%) more than was requested by the Administration, and a $334 million or 3% increase over the enacted FY2008 level of $10,808 million. House-reported H.R. 6947 included $9,694 million in net budget authority for CBP for FY2009, amounting to a $207 million increase over the Administration’s request, and a $271 million increase over the FY2008 enacted level of $9,423 million. Senate-reported S. 3181 Senate-reported S. 3181 would have provided $11,189 million in gross budget authority for CBP for FY2009, amounting to $254 million (or 2%) more than was requested by the Administration, and a $381 million or 4% increase over the enacted FY2008 level of $10,808 million. Senatereported S. 3181 included $9,741 million in net budget authority for CBP for FY2009, amounting to a $254 million increase over the Administration’s request, and a $318 million increase over the FY2008 enacted level of $9,423 million. 33 Prepared by (name redacted) and (name redacted), Analysts in Domestic Security, Domestic Social Policy Division. Congressional Research Service 27 Homeland Security Department: FY2009 Appropriations P.L. 110-329 The Act provided $11,268 million in gross budget authority for CBP for FY2009, $333 million (or 3%) increase over the Administration’s request, and a $460 million (or 4%) increase over the enacted FY2008 level of $10,808 million. The enacted net appropriation for CBP was $9,821 million, $334 million above the Administration’s request and $398 million over the FY2008 enacted level. P.L. 111-5 The American Recovery and Reinvestment Act of 2009 provided an emergency supplemental appropriation of $680 million for CBP during FY2009. The funding for CBP included $160 million for salaries and expenses, of which $100 million was designated for the procurement and deployment of non-intrusive inspection technology and $60 million was designated for the procurement and deployment of tactical communications equipment and radios. The Act included $100 million for the deployment of SBInet technology to the border, and $420 million for the construction and modification of ports of entry. Table 9. CBP S&E Sub-account Detail (budget authority in millions of dollars) FY2009 HouseReported FY2009 SenateReported FY2008 Enacteda FY2009 Request Headquarters Management and Administration 1,221 1,267 1,267 1,269 1,269 Border Security Inspections and Trade Facilitation @ POE 2,279 2,273 2,496 2,480 2,561 Inspections, Trade & Travel Facilitation @ POE 1,854 1,835 2,061 2,042 2,094 Container Security Initiative (CSI)/ International Cargo Screening (ICS) 156 149 149 149 149 Other International Programs 11 11 11 11 11 C-TPAT 62 64 64 64 64 FAST/NEXUS/SENTRI 11 11 11 11 11 Inspection and Detection Technology 105 117 114 117 146 Systems for Targeting 28 33 33 33 33 National Targeting Center 24 24 24 24 24 Training at POE 25 25 25 25 25 Harbor Maintenance Fee 3 3 3 3 3 Border Security and Control Between POE 3,075 3,515 3,517 3,515 3,501 Border Security and Control Between POE 3,022 3,441 3,442 3,441 3,426 Training Between the POE 53 75 75 75 75 Activity Congressional Research Service P.L. 110-329 28 Homeland Security Department: FY2009 Appropriations FY2009 HouseReported FY2009 SenateReported FY2008 Enacteda FY2009 Request 227 254 254 272 272 Rescission — — — -13 — CBP Salaries and Expenses Total: 6,803 7,309 7,534 7,523 7,603b Activity Air and Marine Operations Salaries P.L. 110-329 Source: CRS Analysis of the FY2009 DHS Congressional Budget Justifications, the FY2009 DHS Budget in Brief, S. 3181 and the accompanying report S.Rept. 110-396, and House-reported H.R. 6947 and its accompanying report (H.Rept. 110-862). FY2009 enacted from the DHS Joint Explanatory Statement as submitted in the Congressional Record, and in the House- and Senate- enrolled version of H.R. 2638. Note: Tables may not add due to rounding. a. Column “FY2008 Enacted” includes emergency funding for DHS enacted by Division E of P.L. 110-161. b. This total does not include $160 million in emergency funding appropriated by P.L. 111-5. Issues for Congress Issues that Congress considered during the FY2009 appropriations cycle included funding for and deployment of the border fence and the Secure Border Initiative (SBI); Border Patrol hiring and staffing levels; the Western Hemisphere Travel Initiative (WHTI); the designation of CBP Officers as law enforcement officers for retirement purposes; and the declining request for appropriations for some cargo security initiatives. Fencing, Infrastructure, and Technology The Administration requested $775 million for the deployment of SBInet34 related technologies and infrastructures in FY2009, a decrease of $450 million over the FY2008 enacted level of $1,225 million (this total included an emergency appropriation of $1,053 million, however this may be somewhat misleading because the FY2008 request for the account was $1,000 million). Within the FY2009 request, the Administration is proposing to allocate $275 million for developing and deploying additional technology and infrastructure solutions to the southwest border. An additional $410 million is requested for operations and maintenance of the cameras, sensors, and fencing that will have been constructed by the end of calendar year 2008 with prioryear funding.35 The Administration notes that this will fund the costs associated with operating and maintaining the technologies that have been deployed to the border as part of the SBInet program as well as 370 miles of fencing and 300 miles of vehicle barriers, which are scheduled to be completed by the end of calendar year 2008 with funding appropriated in FY2007 and FY2008. Recent GAO testimony noted that CBP’s goal for fencing and vehicle barrier deployment in 2008 “will be challenging because of factors that include difficulties acquiring 34 SBInet is the technological and infrastructure component of the Secure Border Initiative (SBI), a multifaceted approach to securing the border. In its FY2007 budget submission, DHS asserted that it had “developed a three-pillar approach under the SBI that will focus on controlling the border, building a robust interior enforcement program, and establishing a Temporary Worker Program.” DHS FY2007 Justification, p. CBP S&E 4. 35 DHS FY2009 Justification, p. CBP BSFIT 11. Congressional Research Service 29 Homeland Security Department: FY2009 Appropriations rights to border land and an inability to estimate costs for installation.”36 GAO also noted that the Border Patrol was not consulted early enough in the process of developing the technology solutions that would be used by SBInet, and that this fact combined with some challenges relating to the integration of the technologies deployed by Boeing led to an eight month delay in the initial pilot program’s deployment in Tucson Sector.37 Oversight of the SBInet program’s continuing deployment of technology, fencing, and infrastructure at the border, including whether DHS is on track to meet its goals for fencing and vehicle barriers at the border, will likely be an issue of concern to Congress as it considers the FY2009 request. The Senate Committee recommended fully funding the President’s request, and noted that close oversight of the program was required due to its importance. The House Committee recommended fully funding the President’s request, but noted its concern that the rapid growth in border technology “may lead to systems and structures that are expensive, fail to perform as promised, and do not result in a more secure border.”38 The House Committee noted that only 1.7% of funding for fencing, infrastructure, and technology had been expended on the northern border and included $40 million in its FY2009 appropriation for this purpose. The House Committee also directed that $30 million be spent on a border interoperability demonstration project to better integrate border security efforts between federal, state, local, and tribal authorities, and that $50 million be spent on regulatory and environmental assessments to mitigate the environmental damage associated with infrastructure construction. Lastly, the House Committee noted that it was disappointed with the FY2008 expenditure plan for this account, and directs CBP to fully comply with its requirements for the FY2009 expenditure plan. P.L. 110-329 fully funded the President’s request, but withheld $400 million from obligation until an expenditure plan is submitted and approved by the House and Senate Committees on Appropriations. This spending plan should include 12 specific components, among them: a detailed accounting of the program’s implementation to date; a description of how the expenditure plan allocates funding to the highest priority border security needs, addresses northern border security needs, and works towards obtaining operational control of the entire border; certifications by the Chief Procurement Officer and the Chief Information Officer at DHS; an analysis, for each 15 miles of fencing or tactical infrastructure, of how the selected approach compares to other alternative means of achieving operational control; and a review by the Government Accountability Office. 39 P.L. 111-5 provided an emergency supplemental appropriation of $100 million to expedite the development and deployment of SBInet technologies at the border and required DHS to submit an expenditure plan for this funding to Congress within 45 days of enactment. 36 Testimony of GAO Director of Homeland Security and Justice Issues Richard Stana, in U.S. Congress, Committee on Appropriations, Subcommittee on Homeland Security, DHS Has Taken Actions to Strengthen Border Security Programs and Operations, But Challenges Remain, 110th Cong., 2nd Sess., March 6, 2009. Hereafter referred to as GAO Border Security Testimony. 37 GAO Border Security Testimony. 38 House report, pp. 42-43. 39 H.R. 2638, as Enrolled by the House and the Senate, pp. 83-84. Congressional Research Service 30 Homeland Security Department: FY2009 Appropriations Hiring U.S. Border Patrol (USBP) Agents The Administration requested an increase of $363 million to hire 2,200 new USBP agents in order to bring the total number of agents to 20,019 by the end of FY2009.40 CBP is also proposing to transfer “up to” 440 veteran agents to the northern border in FY2009; this is the first time that DHS’ budget request has complied with the P.L. 108-458 mandate requiring DHS to augment the northern border staffing by 20% of any annual increases each year between FY2006 and FY2010. An issue for Congress may involve whether incentives should be offered to help DHS recruit additional agents or keep existing agents from leaving the agency; in FY2007 the USBP experienced a 10% attrition rate.41 The Senate Appropriations Committee recommended fully funding the President’s request. Additionally, the Senate Committee reiterated its desire that 20% of the overall increase in Border Patrol agents be assigned to the northern border and required a report on the challenges CBP faces in transferring agents to the northern border within 60 days of the bill’s enactment. Lastly, the Senate Committee noted that the National Guard was withdrawing its troops from their supporting role at the border in FY2008 and directed CBP, “in the strongest terms possible,” to hire the previously funded USBP support personnel in order to allow agents to focus on their border enforcement responsibilities. 42 The House Committee recommended fully funding the President’s request and reiterated its support for transferring additional agents to the northern border in order to comply with the statutory requirements. P.L. 110-329 fully funded the President’s request for additional Border Patrol agents and provided funding for up to 75 agents to be transferred to the northern border. Western Hemisphere Travel Initiative (WHTI) The Administration requested an increase of $107 million for WHTI. WHTI will require U.S. citizens, and Canadian, Mexican, and some island nation nationals to present a passport, or some other document or combination of documents deemed sufficient to denote identity and citizenship status by the Secretary of Homeland Security, as per P.L. 108-458 §7209. DHS has already required all U.S. citizens entering the country at air and sea POE to present passports as of January 18, 2007. P.L. 110-161, the Consolidated Appropriations Act, 2008, prohibited DHS from implementing WHTI, which requires U.S. citizens to provide proof of identity and citizenship at the land border, before the later of the following two dates: June 1, 2009, or three months after the Secretaries of State and Homeland Security certify that a series of implementation requirements have been me. Despite this legislation, as of January 31, 2008 DHS has ended the practice of accepting oral declarations of citizenship at the land border and is requirng U.S, citizens to present a passport, some other accepted biometric document, or the combination of a driver’s license and a birth certificate, in order to re-enter the country.43 The FY2009 request for WHTI included funding to hire 89 CBP officers and to deploy radio frequency technologies to the 39 busiest land POE which cover 95% of the incoming traffic at the land border, including “facility modifications and the build out of primary lanes as operationally necessary.”44 Issues for Congress include whether DHS’s disregard of the extension enacted by P.L. 110-161 was 40 DHS FY2008 Justification, p. CBP S&E 49. From CBP Congressional Affairs, December 18, 2007. 42 S.Rept. 110-396, pp. 25-26. 41 43 Department of Homeland Security, Press Release, DHS Ends Oral Declarations at Borders, Reminds Travelers of New Procedures on January 31, January 18, 2008. 44 DHS FY2009 Congressional Budget Justifications, p. CBP S&E 4. Congressional Research Service 31 Homeland Security Department: FY2009 Appropriations appropriate, whether the proposed staffing increases and infrastructure modifications are adequate to meet the needs associated with the WHTI program, and whether the program to develop enhanced state driver’s licenses that may be used to cross the land-border adequately addresses security concerns.45 The Senate Committee fully funded the President’s request and directed CBP to provide quarterly briefings on the status of WHTI implementation in FY2009. The House Committee also fully funded the President’s request and noted that it remains concerned that the program “may not be fully integrated and ready for enforcement of the WHTI document requirements.”46 The House Committee also directed CBP to provide quarterly briefings on the program’s implementation. Other Travel Programs The House Committee voiced its support for the new International Registered Traveler program enacted by the FY2008 Consolidated Appropriations Act, and which has been renamed Global Entry by the Administration. The program will give pre-approved, low-risk travelers (U.S. Citizens and Legal Permanent Residents) expedited clearance into the United States at three airports.47 The Committee also included $10 million to expand this program to the 20 busiest international airports. Additionally, the House Committee noted that it provided $36 million in FY2008 for the Electronic System for Travel Authorization (ESTA), which will be used to screen and process travelers from visa-waiver countries, and directed CBP to submit a report on ESTA’s implementation with the FY2010 budget request. Covered Law Enforcement Officer Status for CBP Officers Congress addressed concerns that CBP was losing valuable officers to other agencies due to disparities in retirement pay in FY2008 by extending federal law enforcement officer status to CBP officers for retirement purposes in P.L. 110-161. The FY2009 President’s request would have retracted the law enforcement officer status for CBP officers that was enacted in FY2008. During the FY2009 appropriations cycle, the Senate Committee reiterated its strong support for CBP officers’ new retirement status and included $200 million to fully fund the new law enforcement officer retirement program for CBP officers. The House Committee recommended $217 million for CBP officers’ new retirement status, also rejecting the Administration’s proposal to repeal the new status. P.L. 110-329 provided CBP with an additional $200 million above the President’s request to cover the costs associated with the new retirement status for CBP officers. Secure Freight Initiative (SFI) The Secure Freight Initiative (SFI) is the next stage in the Department’s effort to secure cargo containers in-bound to the U.S. from foreign countries. According to DHS, SFI is now being 45 DHS entered into an agreement to with Washington State to develop driver’s licenses that would be considered WHTI-compliant. These enhanced driver’s licenses (EDL) have been issued as of January 22, 2008 and several other states have expressed interest in developing their own EDLs. 46 H.Rept. 110-862, p. 33. 47 John F. Kennedy International Airport, Washington-Dulles International Airport, and George Bush Intercontinental Airport. Congressional Research Service 32 Homeland Security Department: FY2009 Appropriations characterized as a “three-pronged approach to enhance supply chain security.”48 The three prongs of this approach are: the International Container Security project (ICS), the Security Filing (SF); and the Global Trade Exchange (GTX). The ICS is the component of the strategy whereby all U.S.-bound maritime containers are subject to an integrated scan (image and radiation detection) at the participating overseas port before being loaded on the U.S.-bound vessel. ICS is currently in operation at ports in the United Kingdom, Pakistan, and Honduras. According to DHS, operating the ICS at these ports fulfills the requirements set out in P.L. 109-347, the Safe Port Act of 2006. The SF initiative, also referred to as “10+2” by CBP, is the latest effort to collect additional data pertaining to U.S.-bound maritime shipments. The SF initiative will allow CBP to collect additional data earlier in the supply chain to enhance risk assessment capabilities before cargo is loaded onto U.S.-bound vessels. CBP issued a Notice of Proposed Rulemaking (NPRM) on the SF initiative49 and is in the process of developing the final rule. The Global Trade Exchange (GTX) was being proposed as a “private sector owned and operated ... new business model for collecting and fusing disparate international cargo data, providing governments and other parties with greater visibility into that data.”50 On April 4, 2008, CBP Commissioner Basham announced in remarks given before the National Customs Brokers & Forwarders Association of America that CBP has decided not to go forward with a contract award for the GTX. The Commissioner did not rule out exploring similar concepts in the future. 51 Language in the House Appropriations committee report indicated that CBP has decided not to go ahead with GTX while in the midst of implementing the 10+2 Security Filing initiative. The House Report also noted that Committee remains concerned about the remaining gaps in CBP’s information about in-bound cargo containers and their supply chains, and directs CBP to report to the Committee no later than January 8, 2009 on the information and intelligence CBP collects on these containers.52 CBP Congressional Budget Justification materials indicated that the $149 million request for ICS in FY2009 includes an $11 million reduction for Secure Freight. 53 It is unclear from the budget materials what this reduction represented, since one of the goals for the fiscal year was to expand the program to at least one additional port and to add more capacity at other designated ports. Both House-reported H.R. 6947 and Senate-reported S. 3181 would have funded ICS/CSI at the requested level for FY2009. P.L. 110-329 fully funded the Administration’s request for ICS/CSI. It is important to note that CBP is currently describing the Secure Freight Initiative (SFI) as the next phase/iteration or future of the Container Security Initiative (CSI). CSI may also be referred to as a component of the International Container Security (ICS) project. The ICS, as noted above, is the new umbrella name for CBP’s international cargo security initiatives, which also includes CSI and SFI. 48 DHS, FY2009 Congressional Budget Justifications, p. CBP-SE-26. See, CBP, “Customs issues Proposed Rule Requiring Additional Cargo Information,” at http://www.cbp.gov/xp/ cgov/newsroom/news_releases/archives/2008_news_releases/jan_2008/01022008.xml. 50 Ibid. p. CBP-S&E-27. 51 Remarks by CBP Commissioner Ralph W. Basham before the National Customs Brokers and National Customs Brokers & Forwarders Association of America, April 4, 2008. 52 H.Rept. 110-826, July 8, 2009. 53 DHS, FY2009 Congressional Budget Justification, CBP-S&E-24, accessed at http://www.dhs.gov/xlibrary/assets/ budget_fy2009.pdf. 49 Congressional Research Service 33 Homeland Security Department: FY2009 Appropriations Container Security Initiative (CSI) CSI is a program by which CBP stations CBP officers in foreign ports to target high-risk containers for inspection before they are loaded on U.S.-bound ships. CSI is operational in 58 ports as of September, 2007. As noted above, the CBP Budget Justifications indicate a requested decrease of nearly $7 million for the CSI/ICS program for FY2009. This year, the requested $149 million for FY2009 includes funding for CSI/ICS, SFI, the Security Filing (SF), and the proposed Global Trade Exchange(GTX). Given that the request includes less funding for several programs, than has been appropriated for CSI alone in the past couple of years, this indicates a decline in requested funding for CSI. An issue for Congress concerns the reasoning behind the Administration’s proposal to apparently decrease funding for CSI given that DHS anticipated expanding CSI/ICS in FY2009 by deploying ICS at one additional site and expanding capacity at other designated ports. Language in the House Appropriations committee report indicated that the Committee was concerned about CBP staffing levels at CSI and SFI port locations. Among other items of concern, the staffing of senior leadership positions and staff with appropriate language skills were of particular interest to the Committee. The House Report required CBP to report to the Committee no later than January 8, 2009, on the steps that CBP will have taken to improve staffing and host country relations. Immigration and Customs Enforcement (ICE)54 ICE focuses on enforcement of immigration and customs laws within the United States. ICE develops intelligence to reduce illegal entry into the United States and is responsible for investigating and enforcing violations of the immigration laws (e.g., alien smuggling, hiring unauthorized alien workers). ICE is also responsible for locating and removing aliens who have overstayed their visas, entered illegally, or have become deportable. In addition, ICE develops intelligence to combat terrorist financing and money laundering, and to enforce export laws against smuggling, fraud, forced labor, trade agreement noncompliance, and vehicle and cargo theft. Furthermore, this bureau oversees the building security activities of the Federal Protective Service, formerly of the General Services Administration. The Federal Air Marshals Service (FAMS)55 was returned from ICE to TSA pursuant to the reorganization proposal of July 13, 2005. The Office of Air and Marine Interdiction was transferred from ICE to CBP in FY2005, and therefore the totals for ICE do not include Air and Marine Interdiction funding, which is included under CBP. See Table 8 for account-level detail for all of the agencies in Title II, and Table 10 for sub-account-level detail for ICE Salaries and Expenses (S&E) for FY2008 and FY2009. President’s FY2009 Request The Administration requested $5,663 million in gross budget authority for ICE in FY2009. This represented a 1% increase over the enacted FY2008 level [Text truncated at 120,000 characters. The full text is on the page linked above.] --- Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/crs%3ARL34482. Public record. Not legal advice.