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Department of Homeland Security Appropriations: FY2017

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Department of Homeland Security Appropriations: FY2017

December 15, 2016August 10, 2017 (R44621)
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Contents

Tables

Summary

This report discusses the FY2017 appropriations for the Department of Homeland Security (DHS). The report makes note of many budgetary resources provided to DHS, but its primary focus is on funding approved by Congress through the appropriations process. It includes an Appendix with definitions of key budget terms used throughout the suite of Congressional Research Service reports on homeland security appropriations. It also directs the reader to other reports providing context for and additional details regarding specific component appropriations and issues engaged through the FY2016 appropriations process.

The Obama Administration requested $40.62 billion in adjusted net discretionary budget authority for DHS for FY2017, as part of an overall budget that the Office of Management and Budget estimates to be $66.2 billion (including fees, trust funds, and other funding that is not annually appropriated or does not score against discretionary budget limits). The request amounted to a $332 million, or 0.8%, increasedecrease from the $40.96 billion enacted for FY2016 through the Department of Homeland Security Appropriations Act, 2016 (P.L. 114-113, Division F).

The Obama Administration also requested discretionary funding for DHS components that does not count against discretionary spending limits set by the Budget Control Act (BCA,; P.L. 112-25) and is not reflected in the above totals. The Obama Administration requested an additional $6.7 billion for the Federal Emergency Management Agency (FEMA) in disaster relief funding, as defined by the BCA, and in the budget request for the Department of Defense, a transfer of $163 million in Overseas Contingency Operations/Global War on Terror designated funding (OCO).

On May 26, 2016, the Senate Committee on Appropriations reported out S. 3001, accompanied by S.Rept. 114-264. S. 3001 included $41.2 billion in adjusted net discretionary budget authority for FY2017. This was $578 million (1.4%) above the level requested by the Obama Administration, but $246 million (0.6%) above the enacted level for FY2016. The Senate committee-reported bill included the Administration-requested levels for disaster relief funding and OCO funding covered by BCA adjustments—the latter as an appropriation in the DHS appropriations bill rather than the requested transfer.

On June 22, the House Committee on Appropriations reported out H.R. 5634, accompanied by H.Rept. 114-668. H.R. 5634 included $41.04 billion in adjusted net discretionary budget authority for FY2017. This was $426 million (1.0%) above the level requested by the Administration, and $95 million (0.2%) above the enacted level for FY2016. The House committee-reported bill included the Administration-requested levels for disaster relief funding—the House Appropriations Committee chose to provide the OCO funding as a transfer as requested.

Direct comparisons of certain aspects of the funding provided by the committee legislation have been complicated by a congressionally mandated restructuring of the department's appropriations.

On September 29, 2016, the PresidentPresident Obama signed P.L. 114-223 into law, which contained a continuing resolution that fundsfunded the government at the same rate of operations as FY2016, minus 0.496%, through December 9, 2016. A second continuing resolution was signed into law on December 10, 2016 (P.L. 114-254), funding the government at the same rate of operations as FY2016, minus 0.1901%, through April 28, 2017. This report discusses anomalies in the continuing resolution that specifically address DHS.

This report will be updated throughout the FY2017 appropriations process.

addressed DHS.

On March 16, 2017, the Trump Administration submitted an amendment to the FY2017 budget request, which included a request for $3 billion in additional funding for DHS.

Congress chose to address this request in the Consolidated Appropriations Act, 2017 (signed into law as P.L. 115-31 on May 5, 2017), which would include both annual and supplemental appropriations for DHS as Division F. The bill included $41.3 billion in adjusted net discretionary budget authority in annual appropriations, as well as $6.7 billion in funding for the costs of major disasters under the Stafford Act and $163 million in funding for overseas contingency operations. Title VI included over $1.1 billion in supplemental appropriations for U.S. Customs and Border Protection, Immigration and Customs Enforcement, and the U.S. Secret Service.

This report will be updated if further supplemental appropriations are provided for DHS for FY2017.

Department of Homeland Security Appropriations: FY2017

Introduction

This report describes and analyzes annual appropriations for the Department of Homeland Security (DHS) for FY2017. It compares the enacted FY2016 appropriations for DHS, the Barack Obama Administration's FY2017 budget request, the Donald J. Trump Administration's request for additional funding, and the appropriations measures developed in response. This report identifies additional informational resources, reports, and products on DHS appropriations that provide additional context for the discussion, and it provides a list of Congressional Research Service (CRS) policy experts whom clients may consult with inquiries on specific topics.

The suite of CRS reports on homeland security appropriations tracks legislative action and congressional issues related to DHS appropriations, with particular attention paid to discretionary funding amounts. The reports do not provide in-depth analysis of specific issues related to mandatory funding—such as retirement pay—nor do they systematically follow other legislation related to the authorization or amending of DHS programs, activities, or fee revenues.

Discussion of appropriations legislation involves a variety of specialized budgetary concepts. The Appendix to this report explains several of these concepts, including budget authority, obligations, outlays, discretionary and mandatory spending, offsetting collections, allocations, and adjustments to the discretionary spending caps under the Budget Control Act (P.L. 112-25). A more complete discussion of those terms and the appropriations process in general can be found in CRS Report R42388, The Congressional Appropriations Process: An Introduction, coordinated by [author name scrubbed] and [author name scrubbed], and the Government Accountability Office's A Glossary of Terms Used in the Federal Budget Process.1

Note on Data and Citations

Except in summary discussions and when discussing total amounts for the bill as a whole, all amounts contained in the suite of CRS reports on homeland security appropriations represent budget authority and are rounded to the nearest million. However, for precision in percentages and totals, all calculations were performed using unrounded data.

Data used in this report for FY2016 amounts are derived from two sources. Normally, this report would rely on P.L. 114-113, the Omnibus Appropriations Act, 2016—Division F of which is the Homeland Security Appropriations Act, 2016—and the accompanying explanatory statement published in Books II and III of the Congressional Record for December 17, 2015. However, due to the implementation of the Common Appropriations Structure for DHS (see below), additional information is drawn from H.Rept. 114-668, which presents the FY2016 enacted funding in the new structure. H.Rept. 114-668 also serves as the primary source for the FY2016 enacted funding levels, the FY2017 requested funding levels, and House Appropriations Committee recommendation in the new structure. S.Rept. 114-264 serves as the primary source for the FY2016 enacted funding levels, the FY2017 requested funding levels, and Senate Appropriations Committee recommendation in the "legacy structure"—the overall structure of appropriations enacted for FY2016.2

The "Common Appropriations Structure" (CAS)

When DHS was established in 2003, components of other agencies were brought together over a matter of months, in the midst of ongoing budget cycles. Rather than developing a new structure of appropriations for the entire department, Congress and the Administration continued to provide resources through existing account structures when possible.

In H.Rept. 113-481, accompanying the House version of the FY2015 Department of Homeland Security Appropriations Act, the House Appropriations Committee wrote: "In order to provide the Department and the Committees increased visibility, comparability, and information on which to base resource allocation decisions, particularly in the current fiscal climate, the Committee believes DHS would benefit from the implementation of a common appropriation structure across the Department." It went on to direct the DHS Office of the Chief Financial Officer "to work with the components, the Office of Management and Budget (OMB), and the Committee to develop a common appropriation structure for the President's fiscal year 2017 budget request."3

In an interim report in 2015, DHS noted that operating with "over 70 different appropriations and over 100 Programs, Projects, and Activities ... has contributed to a lack of transparency, inhibited comparisons between programs, and complicated spending decisions and other managerial decision-making."4

Section 563 of Division F of P.L. 114-113 (the FY2016 Department of Homeland Security Appropriations Act) provided authority for DHS to submit its FY2017 appropriations request under the new common appropriations structure (or CAS), and implement it in FY2017. Under the act, the new structure was to have four categories of appropriations:

  • Operations and Support;
  • Procurement, Construction and Improvement;
  • Research and Development; and
  • Federal Assistance.5

Most of the FY2017 DHS appropriations request categorized its appropriations in this fashion. The exception was the Coast Guard, which was in the process of migrating its financial information to a new system. DHS has also proposed realigning its Programs, Project, and Activities (PPA) structure—the next level of funding detail below the appropriation level—possibly trying to align PPAs into a mission-based hierarchy.

A visual representation of the new structure follows in Figure 1. On the left are the components of DHS with a black bar representing the FY2017 funding levels requested for DHS for each components. Colored lines flow to the appropriations categories on the right, showing the amount of funding in each of the four appropriations categories. A fifth category represents funding for the costs of major disasters. While this would normally be counted a part of the Federal Assistance category of appropriations, it is displayed separately as it does not add to the discretionary total of the bill. A sixth category at the bottom is reserved for the Coast Guard, which did not present its request in the CAS. Neither appropriations committee provided a notional restructuring of that component's appropriations.

Pairs of numbers on the left side of the table next to each component show how many individual appropriations fund each component in the request as laid out in legacy structure, and how many would fund each component in the CAS. The total number of appropriations are reduced and the use of consistent definitions across components allows for crosscutting totals to be developed for each category of appropriations—something that could not be done under the old structure.

Figure 1. FY2017 Requested Appropriations in the Common Appropriations Structure

(in discretionary budget authority)

Source: CRS analysis of H.Rept. 114-668.

Abbreviations: CBP, Customs and Border Protection; OCO/GWOT, Overseas Contingency Operations/Global War on Terror; USCG, U.S. Coast Guard; ICE, Immigration and Customs Enforcement; TSA, Transportation Security Administration; FEMA, Federal Emergency Management Administration; USSS, U.S. Secret Service; NPPD, National Protection and Programs Directorate; S&T, Science and Technology Directorate; DNDO, Domestic Nuclear Detection Office; A&O, Analysis and Operations; FLETC, Federal Law Enforcement Training Center; OIG, Office of the Inspector General; USCIS, U.S. Citizenship and Immigration Services; OHA, Office of Health Affairs; and CBRNEO, Chemical, Biological, Radiological, Nuclear, and Explosives Office.

Notes: "Appropriations" is a total of separate appropriations actions and general provisions providing budget authority in the enacted FY2016 annual appropriations act for DHS. Legacy is the actual number in the FY2016 act, and "CAS" refers to the number of such actions and provisions in a notional restructured FY2016 appropriations act based on the detail table of H.Rept. 114-668.

The Senate Appropriations Committee did not make its recommendation using the new structure, instead drafting its annual DHS appropriations bill and report using the same structure as was used in FY2016. In explaining its actions, the committee wrote:

As proposed, the new structure would reduce controls and congressional oversight to a degree that is unacceptable to this Committee. It is disappointing that the Department failed to address the Committee's concerns before transmitting the budget request in this structure.

At the same time, the Committee continues to believe that the goal of following funds from planning through execution is critical to departmental oversight of the components as well as establishing a capability to make tradeoffs in resource allocation and budget development decisions. As such, the Committee is willing to undertake the effort necessary, working with the Department and the House Committee on Appropriations, to transition from the current structure to a more common appropriations structure, specifically in common accounts, consistent with the guidance provided in fiscal year 2016. Under the account level, a structure closer to the current PPAs would maintain controls and transparency regarding congressional priorities and the offices and officials responsible for execution of funds.6

The House Appropriations Committee made its recommendation using the new structure, and noted in its report:

Pursuant to P.L. 114-113, the fiscal year 2017 budget was presented in a new structure that included four common appropriations accounts for every DHS component. Establishing and implementing this structure required significant time and effort by the entire financial management staff of DHS and its components, for which they are to be commended. As the use of this new structure matures and becomes more disciplined, the Committee believes the agency's leadership, as well as congressional stakeholders, will be better positioned to: 1) conduct more effective oversight of DHS components; 2) better track the life cycle costs of DHS acquisition programs; and, 3) recommend more informed trade-offs among programs when faced with limited resources.7

Section 130 of the Continuing Appropriations Act, 2017 (P.L. 114-223) included specific authority for DHS to obligate resources provided under the continuing resolution in a revised CAS structure.

It remains to be seen how differences between the House and Senate structures will be worked out in the legislation which finalizes FY2017 appropriations levels for DHS. Some individual programmatic comparisons are possible between the two bills, and the Coast Guard's appropriations are comparable as its FY2017 funding was not proposed in the CAS structure. However, no authoritative crosswalk between the House Appropriations Committee proposal in the CAS structure and Senate Appropriations Committee proposal in the legacy structure is publicly available.

Summary of DHS Appropriations

Generally, the homeland security appropriations bill includes all annual appropriations provided for DHS, allocating resources to every departmental component. Discretionary appropriations8 provide roughly two-thirds to three-fourths of the annual funding for DHS operations, depending how one accounts for disaster relief spending and funding for overseas contingency operations.9 The remainder of the budget is a mix of fee revenues, trust funds, and mandatory spending.

DHS and "Adjusted" Net Discretionary Budget Authority

The annual DHS budget proposal includes a variety of funding mechanisms. For example, the FY2017 request envisions an appropriations bill that includes

  • appropriations that are offset by agency collections, such as user fees;
  • funding that is effectively not subject to the discretionary spending limits due to special designation;
  • appropriations that are considered to be mandatory spending; and
  • appropriations that are contingent on certain things happening.10

The appropriations bill also may include rescissions—cancellation of budget authority that otherwise would be available for obligation and thus is treated as negative spending. Also credited to the discretionary spending in the bill are two elements of "permanent indefinite discretionary spending" that are not included in the actual appropriations bill but are included in the discretionary spending total of the bill because of scorekeeping practices.

These numbers can be totaled in several different ways to summarize what is in the bill. For DHS, net discretionary budget authority includes all discretionary budget authority credited to the bill (thus excluding specially designated funding and mandatory spending), net of offsets (including any offsetting collections and fees).

In DHS budget documents, net discretionary budget authority does not take into account the impact of rescissions. However, adjusted net discretionary budget authority does take rescissions into account. This is the total that counts against discretionary spending limits, and it is the total used most commonly in debate on appropriations. To avoid confusion when readers interpret DHS documents, CRS reporting on DHS appropriations uses the DHS terminology to describe that total.

Appropriations measures for DHS typically have been organized into five titles.11 The first four are thematic groupings of components:

  • Title I, Departmental Management and Operations, the smallest of the first four titles, contains appropriations for the departmental management accounts,12 Analysis and Operations (A&O), and the Office of the Inspector General (OIG). For FY2016, these components received almost $1.50 billion in net discretionary budget authority through the appropriations process.13
  • The Administration requested $1.46 billion in FY2017 net discretionary budget authority for components included in this title.14 The appropriations request was $37 million (2.5%) less than was provided for FY2016.
  • Senate Appropriations Committee-reported S. 3001 would provide the components included in this title $1.43 billion in net discretionary budget authority. This would have been $24 million (1.7%) less than requested, and $62 million (4.2%) less than was provided in FY2016.
  • House Appropriations Committee-reported H.R. 5634 would provide the components included in this title $1.33 billion in net discretionary budget authority. This would have been $126 million (8.6%) less than requested, but $163 million (10.8%) less than was provided in FY2016.
  • Title II, Security, Enforcement, and Investigations, comprising roughly three-quarters of the funding appropriated for the department, 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. In FY2016, these components received $33.06 billion in net discretionary budget authority through the appropriations process.
  • The Administration requested $32.27 billion in FY2017 net discretionary budget authority for components included in this title, as part of a total budget for these components of $40.27 billion for FY2017.15 The appropriations request was $797 million (2.4%) less than was provided for FY2016.
  • Senate Appropriations Committee-reported S. 3001 would provide the components included in this title $32.92 billion in net discretionary budget authority. This would have been $652 million (2.0%) more than requested, but $145 million (0.4%) less than was provided in FY2016.16
  • House Appropriations Committee-reported H.R. 5634 would provide the components included in this title $32.85 billion in net discretionary budget authority. This would have been $592 million (1.8%) more than requested, but $206 million (0.6%) less than was provided in FY2016.17
  • Title III, Protection, Preparedness, Response, and Recovery, the second largest of the first four titles, contains appropriations for the National Protection and Programs Directorate (NPPD), the Office of Health Affairs (OHA),18 and the Federal Emergency Management Agency (FEMA). In FY2016, these components received $6.40 billion in net discretionary budget authority and $6.71 billion in specially designated funding for disaster relief through the appropriations process.19
  • The Administration requested $5.69 billion in FY2017 net discretionary budget authority for components included in this title, and $6.71 billion in specially designated funding for disaster relief as part of a total budget for these components of $20.00 billion for FY2017.20 The appropriations request was $718 million (11.2%) less than was provided for FY2016 in net discretionary budget authority.
  • Senate Appropriations Committee-reported S. 3001 would provide the components included in this title $6.58 billion in net discretionary budget authority. This would have been $898 million (15.8%) more than requested, and $180 million (2.8%) more than was provided in FY2016. S. 3001 included the requested disaster relief funding.
  • House Appropriations Committee-reported H.R. 5634 would provide the components included in this title $6.44 billion in net discretionary budget authority. This would have been $753 million (13.2%) more than requested, but $34 million (0.5%) more than was provided in FY2016. H.R. 5634 also included the requested disaster relief funding.
  • Title IV, Research and Development, Training, and Services, the second smallest of the first four titles, contains appropriations for the U.S. Citizenship and Immigration Services (USCIS), the Federal Law Enforcement Training Center (FLETC), the Science and Technology Directorate (S&T), and the Domestic Nuclear Detection Office (DNDO). In FY2016, these components received $1.50 billion in net discretionary budget authority.
  • The Administration requested $1.62 billion in FY2017 net discretionary budget authority for components included in this title, as part of a total budget for these components of $5.52 billion for FY2017. The appropriations request was $133 million (8.9%) more than was provided for FY2016.
  • Senate Appropriations Committee-reported S. 3001 would provide the components included in this title $1.50 billion in net discretionary budget authority. This would have been $132 million (8.1%) less than requested, and less than $1 million (<0.1%) more than was provided in FY2016.
  • House Appropriations Committee-reported H.R. 5634 would provide the components included in this title $1.63 billion in net discretionary budget authority. This would have been $1 million (0.1%) more than requested, and $134 million (9.0%) more than was provided in FY2016.

A fifth title contains general provisions, the impact of which may reach across the entire department, impact multiple components, or focus on a single activity. Rescissions of prior-year appropriations—cancellations of budget authority that reduce the net funding level in the bill—are found here. For FY2016, Division F of P.L. 114-113 included $1.51 billion in rescissions. For FY2017, the Administration proposed rescinding $420 million in prior-year funding. Senate Appropriations Committee-reported S. 3001 included $1.23 billion in rescissions, while House Appropriations Committee-reported H.R. 5634 included $1.20 billion.

Continuing Resolutions

On September 29, 2016, the President signed into law P.L. 114-223, which contained a continuing resolution21 that funds the government at the same rate of operations as FY2016, minus 0.496% through December 9, 2017. The continuing resolution contained three sections providing specific authority to DHS to carry out key functions. All of these authorities had been requested by the Administration:

  • Section 130:  As described above, this is a new provision allowing DHS to obligate funds in the account and budget structure of the CAS as laid out in a report submitted to the appropriations committees prior to the start of FY2017. Authorization to implement the CAS structure as outlined in the FY2017 request was originally laid out in the FY2016 Department of Homeland Security Act: Section 130 allows modifications to the structure developed since that time.
  • Section 131: This is a new provision similar to ones provided in past years to allow DHS to maintain the staffing levels of certain components. It is functionally similar to an anomaly included in the FY2015 CR (P.L. 113-164).22 Section 131 allows resources provided under the CR to be apportioned23 at the rate needed to maintain the staffing levels of TSA screeners and CBP personnel attained at the end of FY2016. The Administration, in their request for anomalies in the CR, indicated that TSA required an anomaly because TSA repurposed funding provided for FY2016 to allow for hiring of additional screeners and converting a number of part-time screeners to full-time screeners. The Administration indicated that it would not be able to sustain that level of effort operating under a CR without the anomaly.
  • Section 132: This is a provision extending special procurement authorities for research and development activities at DHS, known as "other transaction authority." This provision has been carried in many CRs covering DHS, including most recently as Section 129 of the FY2016 CR, P.L. 114-53.

A second continuing resolution was signed into law on December 10, 2016 (P.L. 114-254), funding the government at the same rate of operations as FY2016, minus 0.1901%, through April 28, 2017. The second continuing resolution amended the first, leaving the three DHS-specific provisions above in effect, while adding a fourth. The new DHS-specific provision, Section 163, is similar to Section 131, but is broader in both the components of DHS it applies to and the flexibility it provides. The Administration requested flexibility not only to maintain staffing levels of CBP and ICE, but also to maintain border security and fulfill immigration enforcement priorities. In their request, they specifically noted this flexibility was for both salaries and non-pay expenses, and was needed to "respond to unpredictable surges in migration."24 Congress chose to broaden the requested flexibility, extending it to the TSA and U.S. Secret Service, "to ensure border security, fulfill immigration enforcement priorities, maintain aviation security activities, and carry out the mission associated with the protection of the President-elect."25

Homeland Security Appropriations

The following tables present comparisons of FY2016 enacted and FY2017 requested and recommended appropriations for the department.

The tables summarize the appropriations provided for each component, subtotaling the resources provided through the appropriations legislation. Indented text and bracketed numbers indicate resources either provided through provisions separate from the base appropriations for the component, or that do not count as net discretionary budget authority26 (see the text box on page 5). A subtotal for each component of total estimated resources that would be available under the legislation and from other sources (such as fees, mandatory spending, and trust funds) for the given fiscal year is also provided. At the bottom of each table, three totals indicate the total for the title on its own, the total for title's components in the entire bill, and the projected total FY2017 funding for the title's components from all sources (such as fees not governed by the bill, trust funds, etc.).

Because of the different structures between the two bills and reports, two tables are provided for each of the four titles of the bill: One reflects FY2016 enacted funding levels, FY2017 requested funding levels, and the Senate Appropriations Committee's response in the structure in which FY2016 appropriations were provided (noted as the "legacy structure"), while the other reflects FY2016 enacted funding levels, FY2017 requested funding levels, and the House Appropriations Committee's response in the new Common Appropriations Structure used in the Administration's FY2017 request. Sufficient data are not available to CRS for most DHS components to make meaningful detailed comparisons below the component level at this time. The structure differences may be seen in some of the totals for funding under given titles of the bill, and methodological differences are reflected not only there but also in totals for the funding provided in the bill and projections of total resources available to components.

Departmental Management and Operations

Table 1. Budgetary Resources for Departmental Management and Operations Components, FY2016 and FY2017, Legacy Structure

(budget authority in millions of dollars)

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

SAC-Reported S. 3001

Office of the Secretary and Executive Management

137

136

136

Office of the Under Secretary for Management

197

232

226

DHS Headquarters Consolidation (Title V)

[216]

[226]

[226]

Office of the Chief Financial Officer

56

59

58

Financial Systems Modernization (Title V)

[53]

[41]

[41]

Office of the Chief Information Officer (OCIO)

310

318

307

OCIO Cyber Security Fund (Title V)

[100]

[0]

[0]

Analysis and Operations

265

266

260

Office of the Inspector General

137

157

155

Transfer to OIG from FEMA's DRF (Title III)a

[24]

[24]

[24]

Net Discretionary Budget Authority: Title I

1,103

1,167

1,143

Net Discretionary Budget Authority: Total for Departmental Management and Operations Components

1,496

1,458

1,434

Total Budgetary Resources for Departmental Management and Operations Components

1,496

1,458

1,434

Source: CRS analysis of Division F of P.L. 114-113 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; and S. 3001 and S.Rept. 114-264.

Notes: Table displays rounded numbers, but all operations were performed with unrounded data. Therefore, amounts may not sum to totals. FEMA = Federal Emergency Management Agency; DRF = Disaster Relief Fund.

a. The DHS Office of the Inspector General (OIG) also receives transfers from FEMA to pay for oversight of disaster-related activities that are reflected in the last two lines in these tables, including $24 million in FY2016 and $24 million requested and recommended for FY2017.

Table 2. Budgetary Resources for Departmental Management and Operations Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in millions of dollars)

Homeland Security Appropriations Summary

Appropriations measures for DHS typically have been organized into five titles.19 The first four are thematic groupings of components, while the fifth provides general direction to the department, and sometimes includes provisions providing additional budget authority.

The Department of Homeland Security Appropriations Act, 2017 not only introduced a restructuring of appropriations, it also provided direction to the department and its components differently. In previous years, the legislative language of many appropriations included directions to components or specific conditions on how the budget priority it provided could be used. Similarly, general provisions provided directions or conditions to one or more components. In the FY2017 act, a number of these provisions within appropriations and component-specific general provisions were grouped at the ends of the titles where their targeted components are funded, and identified as "administrative provisions."20

As noted above, for FY2017 a sixth title provided additional appropriations for several components, in response to evolving situations and a March 16, 2017, amendment of the FY2017 budget request by the Trump Administration, seeking additional budget authority for various appropriations.

The following sections present textual and tabular comparisons of FY2016 enacted and FY2017 requested and enacted appropriations for the department. The structure of the appropriations and programs, projects, and activities (PPAs) reflects the organization outlined in the explanatory statement accompanying the Department of Homeland Security Appropriations Act, 2017. As the House and Senate appropriations committees did not release the recommendations for funding included in S. 3001 or H.R. 5634 realigned to this structure, authoritative comparisons below the component level of those bills is not possible.

The tables summarize the appropriations provided for each component, subtotaling the resources provided through the appropriations legislation and recommended in the accompanying explanatory statement.

  • Where supplemental appropriations were requested or provided for a given component, those are displayed after discussion of annual appropriations, and separate totals are provided for each.
  • Following the methodology used by the appropriations committees, totals of "appropriations" do not include resources provided by transfer or under adjustments to discretionary spending limits (i.e., for overseas contingency operations for the Coast Guard or the cost of major disasters under the Stafford Act for the Federal Emergency Management Agency). Those amounts are included in the budget authority totals.
  • A subtotal for each component of total estimated resources that would be available under the legislation and from other sources (such as fees, mandatory spending, and trust funds) for the given fiscal year is also provided.21
  • At the bottom of each table, totals indicate the total for the title on its own, funding through general provisions and supplemental appropriations (when such were requested or provided), the total for the title's components in the entire bill, and the projected total FY2017 funding for the title's components from all sources (such as fees not governed by the bill, trust funds, etc.).
Title I—Departmental Management and Operations

Departmental Management and Operations, the smallest of the first four titles, contains appropriations for the departmental management accounts,22 Analysis and Operations (A&O), and the Office of the Inspector General (OIG). For FY2016, these components received almost $1.50 billion in net discretionary budget authority through the appropriations process.23

  • The Obama Administration requested $1.46 billion in FY2017 net discretionary budget authority for components included in this title.24 The appropriations request was $37 million (2.5%) less than was provided for FY2016.
  • The Department of Homeland Security Appropriations Act, 2017 provided the components included in this title $1.25 billion in net discretionary budget authority. This was $209 million (14.3%) less than requested by the Obama Administration and $246 million (16.5%) less than was provided in FY2016.25
Table 1 shows these comparisons in greater detail. As the management directorate and Office of the Inspector General are funded in part with resources from outside Title I, a separate line is included for those components showing a total for exclusively what is provided within Title I, above the line providing the total annual appropriation. Table 1. Budgetary Resources for Departmental Management and Operations Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in thousands of dollars)

   

 

 

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

HAC-Reported
H.R. 5634

Departmental Management and Operations

701

1012

844

Operations and Support

680

864

823

Management and Administration

643

827

786

Office of the Secretary and Executive Management

137

136

136

Office of the Under Secretary for Managementa

505

690

649

Financial Systems Modernization (Title V)

[53]

—

[41]

Integrated Operations

38

37

37

Office of the Under Secretary for Management

38

37

37

Procurement, Construction, and Improvements

18

145

19

Management and Administration

13

139

13

Office of the Under Secretary for Management

13

139

13

Integrated Operations

5

5

5

Office of the Under Secretary for Management

5

5

5

Research and Development

3

3

3

Management and Administration

3

3

3

Office of the Under Secretary for Management

3

3

3

Headquarters Consolidation [Title V]

[216]

0

0

Analysis and Operations

265

266

266

Operations and Support

265

266

266

Analysis and Operations

265

266

266

Office of the Inspector General

137

157

157

Operations and Support

137

157

157

Management and Administration

137

157

157

Transfer to OIG from FEMA's DRF (Title III)b

[24]

[24]

[24]

Net Discretionary Budget Authority: Title I

, and the Government Accountability Office's A Glossary of Terms Used in the Federal Budget Process.1

Generally, the homeland security appropriations bill includes all annual appropriations provided for DHS, allocating resources to every departmental component. Discretionary appropriations2 provide roughly two-thirds to three-fourths of the annual funding for DHS operations, depending on how one accounts for disaster relief spending and funding for overseas contingency operations.3 The remainder of the budget is a mix of fee revenues, trust funds, and mandatory spending.

1,103

DHS and "Adjusted" Net Discretionary Budget Authority

The annual DHS budget proposal includes a variety of funding mechanisms. For example, the FY2017 request envisions an appropriations bill that includes

  • appropriations that are offset by agency collections, such as user fees;
  • funding that is effectively not subject to the discretionary spending limits due to special designation;
  • appropriations that are considered to be mandatory spending; and
  • appropriations that are contingent on certain things happening.4

The appropriations bill also may include rescissions—cancellation of budget authority that otherwise would be available for obligation and thus is treated as negative spending. Also credited to the discretionary spending in the bill are two elements of "permanent indefinite discretionary spending" that are not included in the actual appropriations bill but are included in the discretionary spending total of the bill because of scorekeeping practices.

These numbers can be totaled in several different ways to summarize what is in the bill. For DHS, net discretionary budget authority includes all discretionary budget authority credited to the bill (thus excluding specially designated funding and mandatory spending), net of offsets (including any offsetting collections and fees).

In DHS budget documents, net discretionary budget authority does not take into account the impact of rescissions. However, adjusted net discretionary budget authority does take rescissions into account. This is the total that counts against discretionary spending limits, and it is the total used most commonly in debate on appropriations. To avoid confusion when readers interpret DHS documents, CRS reporting on DHS appropriations uses the DHS terminology to describe that total.
Note on Data and Citations

Except in summary discussions and when discussing total amounts for the bill as a whole, all amounts contained in the suite of CRS reports on homeland security appropriations represent budget authority and are rounded to the nearest million. However, for precision in percentages and totals, all calculations were performed using unrounded data.

Data used in this report for FY2016 and FY2017 amounts are derived from a single source. Normally, this report would rely on previous fiscal year enacted legislation and reports, as well as House and Senate legislative efforts in response to the Administration's budget request. However, due to the implementation of the Common Appropriations Structure for DHS (see below), this report relies on the Consolidated Appropriations Act, 2017 (P.L. 115-31), Division F of which is the Department of Homeland Security Appropriations Act, 2017, and the accompanying explanatory statement, which was printed in the May 3, 2017, Congressional Record.5

Legislative Action on FY2017 DHS Appropriations Annual Appropriations

On February 9, 2016, the Obama Administration released its budget request for FY2017. The Administration requested $40.62 billion in adjusted net discretionary budget authority for DHS for FY2017, as part of an overall budget that the Office of Management and Budget (OMB) estimated at the time to be $66.2 billion (including fees, trust funds, and other funding that is not annually appropriated or does not score against discretionary budget limits). The request amounted to a $332 million, or 0.8%, decrease from the $40.96 billion enacted for FY2016 through the Department of Homeland Security Appropriations Act, 2016 (P.L. 114-113, Division F).

The Obama Administration also requested discretionary funding for DHS components that does not count against discretionary spending limits set by the Budget Control Act (BCA; P.L. 112-25) and is not reflected in the above totals. The Administration requested an additional $6.7 billion for the Federal Emergency Management Agency (FEMA) in disaster relief funding, as defined by the BCA, and in the budget request for the Department of Defense, a transfer of $163 million in Overseas Contingency Operations/Global War on Terror designated funding (OCO).

On May 26, 2016, the Senate Committee on Appropriations reported out S. 3001, accompanied by S.Rept. 114-264. According to the committee report, S. 3001 included $41.2 billion in adjusted net discretionary budget authority for FY2017. This was $578 million (1.4%) above the level requested by the Administration, but $246 million (0.6%) above the enacted level for FY2016. The Senate committee-reported bill included the Administration-requested levels for disaster relief funding and OCO funding covered by BCA adjustments—the latter as an appropriation in the DHS appropriations bill rather than the requested transfer.

On June 22, the House Committee on Appropriations reported out H.R. 5634, accompanied by H.Rept. 114-668. H.R. 5634 included $41.04 billion in adjusted net discretionary budget authority for FY2017. This was $426 million (1.0%) above the level requested by the Administration, and $95 million (0.2%) above the enacted level for FY2016. The House committee-reported bill included the Administration-requested levels for disaster relief funding—the House Appropriations Committee chose to provide the OCO funding as a transfer as requested.

Continuing Resolutions

On September 29, 2016, the President signed into law P.L. 114-223, which contained a continuing resolution6 that funded the government at the same rate of operations as FY2016, minus 0.496% through December 9, 2016. The continuing resolution contained three sections providing specific authority to DHS to carry out key functions. All of these authorities had been requested by the Administration:

  • Section 130: As described above, this was a new provision allowing DHS to obligate funds in the account and budget structure of the CAS as laid out in a report submitted to the appropriations committees prior to the start of FY2017. Authorization to implement the CAS structure as outlined in the FY2017 request was originally laid out in the FY2016 Department of Homeland Security Act; Section 130 allowed modifications to the structure developed since that time.
  • Section 131: This was a new provision similar to ones provided in past years to allow DHS to maintain the staffing levels of certain components. It is functionally similar to an anomaly included in the FY2015 CR (P.L. 113-164).7 Section 131 allowed resources provided under the CR to be apportioned8 at the rate needed to maintain the staffing levels of TSA screeners and CBP personnel attained at the end of FY2016. The Administration, in their request for anomalies in the CR, indicated that TSA required an anomaly because TSA repurposed funding provided for FY2016 to allow for hiring of additional screeners and converting a number of part-time screeners to full-time screeners. The Administration indicated that it would not be able to sustain that level of effort operating under a CR without the anomaly.
  • Section 132: This was a provision extending special procurement authorities for research and development activities at DHS, known as "other transaction authority." This provision has been carried in many CRs covering DHS, including most recently as Section 129 of the FY2016 CR, P.L. 114-53.

A second continuing resolution was signed into law on December 10, 2016 (P.L. 114-254), funding the government at the same rate of operations as FY2016, minus 0.1901%, through April 28, 2017. The second continuing resolution amended the first, leaving the three DHS-specific provisions above in effect, while adding a fourth. The new DHS-specific provision, Section 163, was similar to Section 131, but was broader in both the components of DHS it applied to and the flexibility it provided. The Administration requested flexibility not only to maintain staffing levels of CBP and ICE, but also to maintain border security and fulfill immigration enforcement priorities. In their request, they specifically noted this flexibility was for both salaries and nonpay expenses, and was needed to "respond to unpredictable surges in migration."9 Congress chose to broaden the requested flexibility, extending it to the TSA and U.S. Secret Service, "to ensure border security, fulfill immigration enforcement priorities, maintain aviation security activities, and carry out the mission associated with the protection of the President-elect."10

A third short-term continuing resolution (P.L. 115-30) was signed into law on April 28, 2017, which extended the second continuing resolution through May 5, 2017, and provided a temporary extension of health benefits for miners. No other provisions affected DHS, and the continuing resolutions and the flexibilities they provided were superseded by the Department of Homeland Security Appropriations Act, 2017.

Enactment of Annual and Supplemental Appropriations for FY2017

On March 16, 2017, the Trump Administration submitted an amendment to the FY2017 budget request, which included a request for $3 billion in additional funding for DHS. Congress addressed this request at the same time as it resolved annual appropriations for the federal government, through the Consolidated Appropriations Act, 2017 (signed into law as P.L. 115-31 on May 5, 2017). The act included both annual and supplemental appropriations for DHS as Division F.11

The first five titles of the division provided annual appropriations for DHS in response to the Obama Administration's request as submitted. The bill included $41.3 billion in adjusted net discretionary budget authority in annual appropriations, as well as $6.7 billion in funding for the costs of major disasters under the Stafford Act and $163 million in funding for overseas contingency operations.

A sixth title responded to the Trump Administration's request for $3 billion in additional funding for DHS. Title VI included over $1.1 billion in supplemental appropriations for U.S. Customs and Border Protection, Immigration and Customs Enforcement, and the U.S. Secret Service.

The "Common Appropriations Structure" (CAS)

When DHS was established in 2003, components of other agencies were brought together over a matter of months, in the midst of ongoing budget cycles. Rather than developing a new structure of appropriations for the entire department, Congress and the Administration continued to provide resources through existing account structures when possible.

In H.Rept. 113-481, accompanying the House version of the FY2015 Department of Homeland Security Appropriations Act, the House Appropriations Committee wrote, "In order to provide the Department and the Committees increased visibility, comparability, and information on which to base resource allocation decisions, particularly in the current fiscal climate, the Committee believes DHS would benefit from the implementation of a common appropriation structure across the Department."12 It went on to direct the DHS Office of the Chief Financial Officer "to work with the components, the Office of Management and Budget (OMB), and the Committee to develop a common appropriation structure for the President's fiscal year 2017 budget request."13

In an interim report in 2015, DHS noted that operating with "over 70 different appropriations and over 100 Programs, Projects, and Activities ... has contributed to a lack of transparency, inhibited comparisons between programs, and complicated spending decisions and other managerial decision-making."14

Section 563 of Division F of P.L. 114-113 (the FY2016 Department of Homeland Security Appropriations Act) provided authority for DHS to submit its FY2017 appropriations request under the new common appropriations structure (or CAS), and implement it in FY2017. Under the act, the new structure was to have four categories of appropriations:

  • Operations and Support;
  • Procurement, Construction and Improvement;
  • Research and Development; and
  • Federal Assistance.15

Most of the FY2017 DHS appropriations request categorized its appropriations in this fashion. The exception was the Coast Guard, which was in the process of migrating its financial information to a new system.

The Senate Appropriations Committee did not make its recommendation using the new structure, instead drafting its annual DHS appropriations bill and report using the same structure as was used in FY2016. In explaining its actions, the committee wrote the following:

As proposed, the new structure would reduce controls and congressional oversight to a degree that is unacceptable to this Committee. It is disappointing that the Department failed to address the Committee's concerns before transmitting the budget request in this structure.

At the same time, the Committee continues to believe that the goal of following funds from planning through execution is critical to departmental oversight of the components as well as establishing a capability to make tradeoffs in resource allocation and budget development decisions. As such, the Committee is willing to undertake the effort necessary, working with the Department and the House Committee on Appropriations, to transition from the current structure to a more common appropriations structure, specifically in common accounts, consistent with the guidance provided in fiscal year 2016. Under the account level, a structure closer to the current PPAs would maintain controls and transparency regarding congressional priorities and the offices and officials responsible for execution of funds.16

The House Appropriations Committee made its recommendation using the new structure, and noted the following in its report:

Pursuant to P.L. 114-113, the fiscal year 2017 budget was presented in a new structure that included four common appropriations accounts for every DHS component. Establishing and implementing this structure required significant time and effort by the entire financial management staff of DHS and its components, for which they are to be commended. As the use of this new structure matures and becomes more disciplined, the Committee believes the agency's leadership, as well as congressional stakeholders, will be better positioned to: 1) conduct more effective oversight of DHS components; 2) better track the life cycle costs of DHS acquisition programs; and, 3) recommend more informed trade-offs among programs when faced with limited resources.17

No authoritative crosswalk between the House Appropriations Committee proposal in the CAS structure and Senate Appropriations Committee proposal in the legacy structure is publicly available.

Section 130 of the Continuing Appropriations Act, 2017 (P.L. 114-223) included specific authority for DHS to obligate resources provided under the continuing resolution in a revised structure.

The explanatory statement for the Division F of the Consolidated Appropriations Act, 2017, included a "detail table," outlining the new structure of DHS appropriations, as well as Programs, Projects, and Activities (PPAs)—the next level of funding detail below the appropriation level—possibly trying to align PPAs into a mission-based hierarchy.

A visual representation of this new structure follows in Figure 1. On the left are the five appropriations categories of the revised CAS18 with a black bar representing the total FY2017 funding levels enacted requested for DHS for each. A sixth catch-all category is included for budget authority associated with the legislation that does not fit the CAS categories, and a seventh category is included for appropriations for the U.S. Coast Guard, which has not transitioned its accounting system to the CAS format. Colored lines flow to the DHS components listed on the right, showing the amount of funding provided through each category to each component.

Figure 1. FY2017 Enacted Appropriations in the Common Appropriations Structure

(discretionary budget authority)

Source: CRS analysis of H.Rept. 114-668.

Abbreviations: OCO/GWOT, Overseas Contingency Operations/Global War on Terror; CBP, Customs and Border Protection; FEMA, Federal Emergency Management Agency; ICE, Immigration and Customs Enforcement; TSA, Transportation Security Administration; USSS, U.S. Secret Service; NPPD, National Protection and Programs Directorate; ST, Science and Technology Directorate; MD, Management Directorate; DNDO, Domestic Nuclear Detection Office; AO, Analysis and Operations; FLETC, Federal Law Enforcement Training Center; OIG, Office of the Inspector General; OSEM, Office of the Secretary and Executive Management; OHA, Office of Health Affairs; USCIS, U.S. Citizenship and Immigration Services; and USCG, U.S. Coast Guard.

FY2016

FY2017

Component/Appropriation

Enacted

Request

Enacted

Office of the Secretary and Executive Management

Operations and Support
137,466

136,451

137,034

Total Annual Discretionary Appropriations

137,466

136,451

137,034

Supplemental Appropriations

 

 

 

Operations and Support

0

11,304

0

Total Discretionary Appropriations

137,466

147,755

137,034

Total Budgetary Resources

137,466

147,755

137,034

Management Directorate

 

 

 

Operations and Support

542,751

727,771

597,817

Procurement, Construction, and Improvements

17,955

144,789

18,839

Research and Development

2,500

2,500

2,500

Title I Discretionary Appropriations

563,206

875,060

619,156

DHS HQ Consolidation (Title V)

215,679

0

13,253
Financial Systems Modernization (Title V)a

52,977

0

41,215

OCIO Cybersecurity Fund (Title V)

100,000

0

0

Total Annual Discretionary Appropriations

931,796

875,060

673,624

Total Discretionary Appropriations

931,796

875,060

673,624

Total Budgetary Resources

931,796

875,060

673,624

Analysis and Operations

 

 

 

Operations and Support

264,714

265,719

263,551

Total Discretionary Appropriations

264,714

265,719

263,551

Total Budgetary Resources

264,714

265,719

263,551

Office of the Inspector General

 

 

 

Operations and Support

137,488

157,144

175,000

Title I Discretionary Appropriations

137,488

157,144

175,000
Transfer from FEMA's DRF [Title III]b

24,000

24,000

0

Total Discretionary Appropriations

137,488

157,168

175,000

Total Budgetary Resources

161,488

181,168

175,000

Net Discretionary Budget Authority: Title I

1,471,464

1,434,374

1,434c

194,741
1,267

Net Discretionary Budget Authority: Total for Departmental Management and Operations Components

(Annual and Supplemental)

495,874
1,496

469,678
1,458

249,209
1,332

Projected Total Gross BudgetaryBudgetary Resources for Departmental Management and Operations Components

(Annual and Supplemental)

495,874
1,496

469,678
1,458

249,209
1,332

Source: CRS analysis of Division F of P.L. 114-113115-31 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; and H.R. 5634 and H.Rept. 114-668May 3, 2017, pp. H3807-H3873.

Notes: Table displays rounded numbers, but all operations were performed with unrounded data. Therefore, amounts may not sum to totals. Note: FEMA = Federal Emergency Management Agency; DRF = Disaster Relief Fund.

a. The FY2017 request for Operations and Support, Management and Administration, Office of the Under Secretary for Management included $41 million for financial systems modernization, which the House Appropriations Committee recommended providing separatelywas funded through a general provision.

b. The DHS Office of the Inspector General (OIG) also receiveshad received transfers from FEMA to pay for oversight of disaster-related activities that are reflected in the last two lines in these tables, including $24 million in FY2016 and $24 million requested and recommended for FY2017.

c. This number is higher than in the legacy-structured table, as the House committee-reported CAS structure incorporates funding previously requested or provided through General Provisions with component funding in the title.

for FY2017. The FY2017 DHS appropriations act included no such transfer.

Title II—Security, Enforcement, and Investigations

Security, Enforcement, and Investigations, comprising roughly three-quarters of the funding appropriated for the department, contains appropriations for U.S. Customs and Border Protection (CBP), Immigration and Customs Enforcement (ICE), the Transportation Security Administration (TSA), the Coast Guard (USCG), and the U.S. Secret Service (USSS). In FY2016, these components received $33.22 billion in net discretionary budget authority through the appropriations process.

  • The Obama Administration requested $32.26 billion in FY2017 net discretionary budget authority for components included in this title, as part of a total budget for these components of $40.04 billion for FY2017.26 The appropriations request was $957 million (2.9%) less than was provided for FY2016.
  • The first five titles of the Department of Homeland Security Appropriations Act, 2017 provided the components included in this title $33.50 billion in net discretionary budget authority. This was $1.24 billion (3.8%) more than requested by the Obama Administration and $280 million (0.8%) more than was provided in FY2016.
  • The components included in this title received $1.14 billion in additional net discretionary budget authority in Title VI of the act. This was $1.76 billion (60.7%) less than requested by the Trump Administration.
Table 2 shows these comparisons in greater detail. Table 2. Budgetary Resources for Security, Enforcement, and Investigations Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in thousands of dollars)

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

Enacted

Customs and Border Protection (Annual)

 

 

 

Operations and Support

10,674,505

11,340,958

10,900,636

Procurement, Construction and Improvements

373,744

323,390

273,617

CBP Services at User Fee Facilities (Permanent Indefinite Discretionary)

9,097

9,415

9,415

Colombia Free Trade Act Collections (Administrative Provision)

220,000

220,000

231,000

Reimbursable Preclearance (Administrative Provision)

14,000

39,000

39,000

Total Annual Discretionary Appropriations

11,277,346

11,901,763

11,414,668

Supplemental Appropriations

 

 

 

Operations and Support

0

308,401

274,813

Procurement, Construction and Improvements

0

1,355,083

497,400

Total Discretionary Appropriations

11,277,346

13,565,247

12,186,881

Fees, Mandatory Spending, and Trust Funds

1,976,781

2,054,840

2,054,840

Total Budgetary Resources

13,268,127

15,620,087

14,241,721

Immigration and Customs Enforcement (Annual)

 

 

 

Operations and Support

5,779,041

5,862,023

6,168,532

Procurement, Construction, and Improvements

53,000

50,230

29,800

Total Annual Discretionary Appropriations

5,832,041

5,912,253

6,198,332

Supplemental Appropriations

 

 

 

Operations and Support

0

1,237,212

236,908

Total Discretionary Appropriations

5,832,041

7,149,465

6,435,240

Fees, Mandatory Spending, and Trust Funds

322,000

322,000

361,000

Total Budgetary Resources

6,154,041

7,471,465

6,796,240

Transportation Security Administration

 

 

 

Operations and Support

6,786,219

6,914,937

7,105,047

Offsetting Collections

2,130,000

3,010,000

2,130,000

Operations and Support (net)

4,656,219

3,904,937

4,975,047

Procurement, Construction, and Improvements

199,724

206,093

206,093

Research and Development

5,000

5,000

5,000

Total Net Discretionary Appropriations

4,860,943

4,116,030

5,186,140

Fees, Mandatory Spending, and Trust Funds

2,579,153

3,465,200

2,585,200

Total Budgetary Resources

7,440,096

7,581,230

7,771,340

U.S. Coast Guard

 

 

 

Operating Expenses

7,061,490

6,986,815

7,079,628

Overseas Contingency Operations Adjustment—included in Operating Expenses

160,002

0

162,692

Environmental Compliance and Restoration

13,221

13,315

13,315

Reserve Training

110,614

112,302

112,302

Acquisition, Construction, and Improvements

1,945,169

1,136,788

1,370,007

Research, Development, Testing, and Evaluation

18,019

18,319

36,319

Health Care Fund Contribution (Permanent Indefinite Discretionary)

169,306

176,000

176,000
Total Discretionary Appropriationsa

9,157,817

8,443,539Security, Enforcement, and Investigations

Table 3. Budgetary Resources for Security, Enforcement, and Investigations, FY2016 and FY2017, Legacy Structure

(budget authority in millions of dollars)

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

SAC-Reported
 S. 3001

Customs and Border Protection

  

 

 

Salaries and Expenses

8,629

9,399

8,857

Small Airport User Feea

9

9

9

Automation Modernization

829

841

813

Border Security Fencing, Infrastructure, and Technology

447

329

349

Air and Marine Operations

802

798

857

Facilities Management

340

306

296

COBRA FTA funding (Title V)b

[220]

[220]

[231]

Title II Appropriation

11,057

11,682

11,182

Total Appropriation

11,277

11,902

11,413

Fees, Mandatory Spending, and Trust Funds

1,977

2,055

2,055

Total Budgetary Resources (including Title V)

13,254

13,957

13,468

Immigration and Customs Enforcement

  

 

 

Salaries and Expenses

5,779

5,862

5,934

Automation and Infrastructure Modernization

53

43

30

Construction

0

7

0

Appropriation

5,832

5,912

5,964

Fees, Mandatory Spending, and Trust Funds

322

322

348

Total Budgetary Resources

6,154

6,234

6,312

Transportation Security Administration

 

 

 

Aviation Security (net funding)

3,589

2,811

3,768

Surface Transportation Security

111

123

123

Intelligence and Vettingc (net funding)

237

231

231

Transportation Security Support

924

951

953

Appropriation

4,861

4,116

5,075

Fees, Mandatory Spending, and Trust Funds

2,579

3,473

2,593

Total Budgetary Resources

7,440

7,589

7,669

U.S. Coast Guard

  

 

 

Operating Expensesd

7,061

6,987

7,140

Overseas Contingency Operations Adjustment (included in Operating Expenses)d

[160]

0

[163]

Environmental Compliance and Restoration

13

13

13

Reserve Training

111

112

112

Acquisition, Construction, and Improvements

1,945

1,137

1,257

Research, Development, Testing, and Evaluation

18

18

37

Health Care Fund Contributiona

169

176

176

Discretionary Appropriation

9,158

8,444

8,573

Fees, Mandatory Spending, and Trust Funds

1,822

1,893

1,893

Total Budgetary Resources

10,980

10,337

10,466

U.S. Secret Service

  

 

 

Salaries and Expenses

1,855

1,802

1,802

Acquisition, Construction, and Improvements

79

89

89

Appropriation

1,934

1,891

1,891

Fees, Mandatory Spending, and Trust Funds

265

265

265

Total Budgetary Resources

2,199

2,156

2,156

Net Discretionary Budget Authority: Title II

32,842

32,045

32,686

Net Discretionary Budget Authority: Total for Security, Enforcement, and Investigations Components

33,062

32,265

32,917

Projected Total Gross Budgetary Resources for Security, Enforcement, and Investigations Components

40,187

40,273

40,233

Source: CRS analysis of Division F of P.L. 114-113 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; and S. 3001 and S.Rept. 114-264.

Notes: Methodological differences between House and Senate Appropriations Committee reports result in different totals at various points in this table compared to Table 4. Table displays rounded numbers, but all operations were performed with unrounded data. Amounts, therefore, may not sum to totals. Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. This item is considered permanent indefinite discretionary spending and, therefore, scores as being in the bill, despite not being explicitly appropriated in the bills' legislative language.

b. Section 556 of Division F of P.L. 114-113, and Section 531 of the Senate committee-reported S. 3001 authorize Customs and Border Protection to expend certain fee revenues collected pursuant to the Colombia Free Trade Act. These provisions score as discretionary budget authority, and so are reflected separately from other fees.

c. Formerly entitled "Transportation Threat Assessment and Credentialing."

d. Overseas contingency operations funding is included in the Operating Expenses appropriation, but is not added to the appropriations total in accordance with the appropriations committees' practices for subtotaling this account. This funding is reflected in the Projected Total Gross Budgetary resources for the Coast Guard, not the total net discretionary budget authority.

Table 4. Budgetary Resources for Security, Enforcement, and Investigations Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in millions of dollars)

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

HAC-Reported H.R. 5634

Customs and Border Protection

  

 

 

Operations and Support

10,675

11,341

10,945

Management and Administration

1,452

1,564

1,560

Integrated Operations

703

751

754

Securing America's Borders

4,477

4,595

4,573

Securing and Expediting Trade and Travel

4,044

4,430

4,102

Mission Support Personnela

0

0

-43

Procurement, Construction, and Improvements

374

323

261

Integrated Operations

25

0

0

Securing America's Borders

174

140

136

Securing and Expediting Trade and Travel

174

184

125

COBRA FTA funding (Title V)b

[220]

[220]

[220]

Reimbursable Preclearance and Offsetting Collections (Title V)c

[14]

[39]

[39]

 

(14)

(31)

(39)

Title II Appropriationsd

11,048

11,664

11,206

Total Appropriations

11,268

11,892

11,426

Fees, Mandatory Spending, and Trust Funds

1,991

2,086

2,094

Total Budgetary Resources

13,273

13,978

13,559

Immigration and Customs Enforcement

  

 

 

Operations and Support

5,779

5,862

5,872

Management and Administration

340

364

365

Enforcement and Removal

3,218

3,108

3,171

Homeland Security Investigations

1,981

2,121

2,075

Office of Principal Legal Advisor

240

268

260

Procurement, Construction, and Improvements

53

50

33

Management and Administration

53

50

33

Total Appropriations

5,832

5,912

5,904

Fees, Mandatory Spending, and Trust Funds

322

322

322

Total Budgetary Resources

6,154

6,234

6,226

Transportation Security Administration

  

 

 

Operations and Support

6,786

6,915

6,937

Transportation Screening Operations

5,016

5,091

5,111

Transportation Assessment and Enforcement

1,432

1,487

1,489

Management and Administration

339

337

337

Transportation Screening Operations (Offsetting Collections)

(2,130)

(3,010)

(2,130)

Operations and Support (net)

4,656

3,905

4,807

Procurement, Construction, and Improvements

200

206

206

Transportation Screening Operations

200

206

206

Research and Development

5

5

5

Transportation Screening Operations

5

5

5

Total Appropriations

4,861

4,116

5,018

Fees, Mandatory Spending, and Trust Funds

2,579

3,465

2,385

Total Budgetary Resources

7,440

7,581

7,603

U.S. Coast Guard

  

 

 

Operating Expenses

7,061

6,987

6,978

Overseas Contingency Operations Adjustment (included in Operating Expenses)d

[160]

0

0

Environmental Compliance and Restoration

13

13

13

Reserve Training

111

112

112

Acquisition, Construction, and Improvements

1,945

1,137

1,257

Research, Development, Testing, and Evaluation

18

18

18

Health Care Fund Contribution

169

176

176

Discretionary Appropriation

9,158

8,444

8,5558,624,879

Fees, Mandatory Spending, and Trust Funds

604,000
1,822

666,940
1,893

666,940
1,893

Total Budgetary Resources

921,819
10,980

110,479
10,337

454,511
10,448

U.S. Secret Service

(Annual) 		 

  

  

Operations and Support

869,913
1,851

777,992

1,7731,821,451

1,840

Protection

753

735

782

Criminal Investigations

47

50

69

Integrated Operations

877

843

843

Management and Administration

173

146

146

Procurement, Construction, and Improvements

63,382
64

110,627
111

,627
90

Protection

Research and Development

250
11

2,500
48

2,500
37

Integrated Operations

53

63

53

Research and Development

Total Annual Discretionary Appropriations

1,933,545
*

1,891,119
3

1,914,578
3

Protection

Supplemental Appropriations

 

0

 

2

 

2

Integrated Operations

Operations and Support

0
*

0
*

58,012
*

Federal Assistance

Procurement, Construction, and Improvements

0
19

0
5

72,988
0

Criminal Investigations

Total Discretionary Appropriations

1,933,545
19

1,891,119
5

2,045,578
0

Discretionary Appropriation

Fees, Mandatory Spending, and Trust Funds

265,000
1,934

265,000
1,891

265,000
1,932

Fees, Mandatory Spending, and Trust Funds

Total Budgetary Resources

2,198,545
265

2,156,119
265

2,310,578
265

Total Budgetary Resources

Net Discretionary Budget Authority: Title II

33,221,694
2,199

32,264,704
2,156

33,501,289
2,197

Net Discretionary Budget Authority: Title II

Supplemental Appropriations for Security, Enforcement, and Investigations Components

0
32,833

2,900,696
32,027

1,140,121
32,616

Net Discretionary Budget Authority: Total for Security, Enforcement, and Investigations Components

221,694
33,053

35,165,400
32,255

34,641,410
32,847

Projected Total Gross BudgetaryBudgetary Resources for Security, Enforcement, and Investigations Components

39,982,628
40,182

42,939,380
40,294

41,574,390
39,995

Source: CRS analysis of DHS FY2017 Budget-in-Brief, and Division F of P.L. 114-113115-31 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; and H.R. 5634 and H.Rept. 114-668.

Notes: Methodological differences between House and Senate Appropriations Committee reports result in different totals at various points in this table compared to Table 3. * = rounds to zero. Numbers in parentheses offset other budget authority within that section of the table. Table displays rounded numbers, but all operations were performed with unrounded data. Amounts, therefore, may not sum to totals. Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. The line represents an across-the-board reduction.

b. Section 531 of the House committee-reported bill authorizes the use of fees for certain Customs and Border Protection expenses. This is scored as discretionary spending.

c. The House detail table notes an expenditure and offsetting collection for preclearance activities that is not reflected in the Senate detail table. In the House methodology, $8 million in the request is scored as a part of Title V, while the entire amount of offset resources is reflected in total budgetary resources.

d. The House and Senate reports do not concur on the treatment of the Small Airport User Fee and the preclearance program. The Senate includes the Small Airport User Fee in its discussion of Customs and Border Protection resources, while the House does not (the House position is a change from past practice). The Senate reflects the expected costs of the preclearance program in its scoring of Title II, while the House does so in Title V.

Protection, Preparedness, Response, and Recovery

Table 5. Budgetary Resources for Protection, Preparedness, Response, and Recovery Components, FY2016 and FY2017, Legacy Structure

(budget authority in millions of dollars)

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

SAC-Reported
S. 3001

National Protection and Programs Directorate

  

 

 

Management and Administration

62

62

57

Infrastructure Protection and Information Security

1,291

1,527

1,475

Federal Protective Servicea

[1,443]

[1,451]

[1,451]

Office of Biometric Identity Management

282

0

287

Appropriation

1,636

1,589

1,818

Fees, Mandatory Spending, and Trust Funds

1,443

1,451

1,451

Total Budgetary Resources

3,079

3,040

3,269

Office of Health Affairs

  

 

 

Appropriation

125

0

108

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

125

0

108

Federal Emergency Management Agency

  

 

 

Salaries and Expenses

961

1,068

1,045

Grants and Training

2,540

2,039

2,574

Radiological Emergency Preparedness

*

*

*

U.S. Fire Administration

44

42

44

Disaster Relief Fund

662

640

640

Major Disasters Adjustment

[6,713]

[6,709]

[6,709]

Transfer to Office of Inspector General

[-24]

[-24]

[-24]

Subtotal: Net Total Disaster Relief Fundingb

[7,351]

[7,325]

[7,325]

Flood Hazard Mapping and Risk Analysis

190

178

178

National Flood Insurance Funda

[181]

[182]

[182]

Pre-disaster Mitigation Fund

100

54

100

Emergency Food and Shelter

120

100

100

Emergent Threats (Title V)

50

0

0

Appropriationc

4,666

4,121

4,681

Fees, Mandatory Spending, and Trust Funds

5,038

5,973

5,973

Total Budgetary Resources

16,574

16,961

17,521

Net Discretionary Budget Authority: Title IIIc

6,377

5,709

6,607

Net Discretionary Budget Authority: Total for Protection, Preparedness, Response and Recovery Components

6,403

5,685

6,583

Projected Total Gross Budgetary Resources for Protection, Preparedness, Response and Recovery Components

19,151

20,001

20,898

Source: CRS analysis of Division F of P.L. 114-113 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; S. 3001 and S.Rept. 114-264; and H.R. 5634 and H.Rept. 114-668.

Notes: * = rounds to zero. Table displays rounded numbers, but all operations were performed with unrounded data. Amounts, therefore, may not sum to totals. Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. This line is wholly offset by fees and, therefore, does not add to the total appropriation.

b. This line is a subtotal of the "Disaster Relief Fund" line and the "Disaster Relief Adjustment"—it represents the total resources provided to the DRF. The "Disaster Relief Fund" line is included in the "Appropriation" line, but the "Disaster Relief Adjustment" line is not.

c. For consistency across tables, this line does not include the $24 million transfer from the DRF—its impact is reflected in the budgetary resource totals below.

Table 6May 3, 2017, pp. H3807-H3873.

Note: Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. Appropriations totals do not include funding covered by the Overseas Contingency Operation allowable adjustment, per the practice of the appropriations committees. These resources are included in budget authority totals. Title III—Protection, Preparedness, Response, and Recovery

Protection, Preparedness, Response, and Recovery, the second largest of the first four titles, contains appropriations for the National Protection and Programs Directorate (NPPD), the Office of Health Affairs (OHA),27 and the Federal Emergency Management Agency (FEMA). In FY2016, these components received $6.38 billion in net discretionary budget authority and $6.71 billion in specially designated funding for disaster relief through the appropriations process.28

  • The Obama Administration requested $5.71 billion in FY2017 net discretionary budget authority for components included in this title, and $6.71 billion in specially designated funding for disaster relief as part of a total budget for these components of $19.82 billion for FY2017.29 The appropriations request was $718 million (11.2%) less than was provided for FY2016 in net discretionary budget authority.
  • The Department of Homeland Security Appropriations Act, 2017 provided the components included in this title $6.67 billion in net discretionary budget authority. This was $957 million (16.8%) more than requested, and $239 million (4.2%) more than was provided in FY2016. The act also included the requested disaster relief funding.
Table 3 shows these comparisons in greater detail. As some annually appropriated resources are provided for the Federal Emergency Management Agency from outside Title III, a separate line is included showing a total for exclusively what is provided within Title III, above the line providing the total annual appropriation. Table 3. Budgetary Resources for Protection, Preparedness, Response, and Recovery Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in millionsthousands of dollars)

Office of Health Affairsa       Disaster Relief Fundb       Total Annual Net Discretionary Appropriationsc Fees, Mandatory Spending, and Trust FundsdNet Discretionary Budget Authority: Title IIIc

Source: CRS analysis of DHS FY2017 Budget-in-Brief, and Division F of P.L. 115-31 and its explanatory statement as printed in the Congressional Record of May 3, 2017, pp. H3807-H3873.

Note: Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. As part of the FY2017 budget request, the Administration proposed moving the Office of Health Affairs into a new Chemical, Biological, Radiological, Nuclear, and Explosives Office, under Title IV. This reorganization was not approved. b. This line is a subtotal of the "Base" line and the "Major Disasters" line (also known as the disaster relief adjustment)—it represents the total resources provided to the DRF. Amounts covered by the disaster relief adjustment are not included in appropriations totals, but are included in budget authority totals, per appropriations committee practice. c. For consistency across tables, this line does not include the $24 million transfer from the DRF—its impact is reflected in the budgetary resource totals below. d. Includes offsetting fee collections. Title IV—Research and Development, Training, and Services

Title IV, Research and Development, Training, and Services, the second smallest of the first four titles, contains appropriations for the U.S. Citizenship and Immigration Services (USCIS), the Federal Law Enforcement Training Center (FLETC), the Science and Technology Directorate (S&T), and the Domestic Nuclear Detection Office (DNDO). In FY2016, these components received $1.50 billion in net discretionary budget authority.

  • The Obama Administration requested $1.63 billion in FY2017 net discretionary budget authority for components included in this title, as part of a total budget for these components of $5.52 billion for FY2017. The appropriations request was $134 million (8.9%) more than was provided for FY2016.
  • The Department of Homeland Security Appropriations Act, 2017 provided the components included in this title $1.50 billion in net discretionary budget authority. This was $137 million (8.4%) less than requested, and $3 million (0.2%) less than was provided in FY2016.
Table 4 shows these comparisons in greater detail. Table 4. Budgetary Resources for Research and Development, Training, and Services Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in thousands of dollars)

                                     

0

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

HAC-Reported H.R. 5634

Enacted

National Protection and Programs Directorate

  

  

  

Operations and Support

1,297

1,148

1,356

Infrastructure Analysis

230

282

255

Management and Administration

90

90

90

Infrastructure Capacity Building

247

240

234

Protect Infrastructure

512

536

530

Biometric Identity Management

217

0

247

Procurement, Construction, and Improvements

333

437

393

Protect Infrastructure

268

437

335

Biometric Identity Management

65

0

59

Research and Development

6

4

6

Infrastructure Capacity Building

5

4

6

Protect Infrastructure

1

1

1

Fee Accounts

  

 

 

Federal Protective Service

[1,443]

[1,451]

[1,451]

Appropriation

1,636

1,589

1,756

Fees, Mandatory Spending, and Trust Funds

1,443

1,451

1,451

Total Budgetary Resources

3,079

3,040

3,207

1,295,963

1,147,502

1,372,268

Procurement, Construction, and Improvements

333,523

436,797

440,035

Research and Development

6,119

4,469

6,469

Federal Protective Service

1,443,449

1,451,078

1,451,078

Offsetting Collections

1,443,449

1,451,078

1,451,078

Total Annual Net Discretionary Appropriations

1,635,605

1,588,768

1,818,772

Fees, Mandatory Spending, and Trust Funds

1,443,449

1,451,078

1,451,078

Total Budgetary Resources

3,079,054

3,039,846

3,269,850

Office of Health Affairs

  

 

 

     

Appropriationa

Operations and Support

125,369

0

123,548

Total Annual Discretionary Appropriations

125,369

0

123,548

Total Budgetary Resources

125,369

0

123,548

Federal Emergency Management Agency

Operations and Support

918,954

1,038,480

1,048,551

Procurement, Construction, and Improvements

43,300

35,273

35,273

Federal Assistance

2,992,500

2,407,321

2,983,458

Base

661,740

639,515

615,515

Major Disasters

6,712,953

6,709,000

6,713,000

Transfer to DHS Office of Inspector General

(24,000)

(24,000)

0

Subtotal: Net disaster relief funding

7,350,693

7,324,515

7,328,515

National Flood Insurance Fund

181,198

181,799

181,799

Offsetting Fee Collections

181,198

181,799

181,799

Radiological Emergency Preparedness Program (Administrative Provisions)

(305)

(265)

(265)

Title III Net Discretionary Appropriations

4,797,387

4,302,123

4,864,331

Emergent Threats (Title V)

50,000

0

0

Presidential Residence Protection (Title V)

0

0

41,000

4,847,387

4,302,123

4,905,331

5,219,642

6,154,479

6,154,479

Total Budgetary Resources

16,775,982

16,778,004

17,409,212

6,377,163

5,709,092

6,624,852

Net Discretionary Budget Authority: General Provisions for Protection, Preparedness, Response, and Recovery Components

50,000

0

41,000

Net Discretionary Budget Authority: Total for Protection, Preparedness, Response and Recovery Components

6,427,163

5,709,092

6,665,852

Projected Total Gross Budgetary Resources for Protection, Preparedness, Response and Recovery Components

19,960,405

19,817,850

20,802,610

FY2016

FY2017

Component/Appropriation

Enacted

Request

Enacted

U.S. Citizenship and Immigration Services

Operations and Support

104,560

103,912

103,912

Procurement, Construction, and Improvements

15,111

15,227

15,227

Federal Assistance

0

10,000

0

H2B returning worker (Administrative Provision)

1,000

0

1,000

Immigration Authorization Extensions (Administrative Provision)

1,000

0

1,000

U-Visa Immigration Proposal (Administrative Provision)

0

3,000

0

Total Annual Discretionary Appropriations

121,671

132,139

121,139

Total Discretionary Appropriations

121,671

132,139

121,139

Fees, Mandatory Spending, and Trust Funds

3,490,546

3,889,131

4,060,225

Total Budgetary Resources

3,612,217

4,021,270

4,181,364

Federal Law Enforcement Training Center

Operations and Support

245,038

242,518

242,518

Total Annual Discretionary Appropriations

245,038

242,518

242,518

Supplemental Appropriations

Operations and Support

0

25,000

0

Procurement, Construction and Improvements

0

63,000

0

Total Discretionary Appropriations

245,038

330,518

242,518

Total Budgetary Resources

245,038

242,518

242,518

Science and Technology

Operations and Support

304,045

310,238

311,122

Procurement, Construction, and Improvements

8,319

0

0

Research and Development

474,574

448,505

470,624

Total Annual Discretionary Appropriations

786,938

758,743

781,746

Total Discretionary Appropriations

786,938

758,743

781,746

Total Budgetary Resources

786,938

758,743

781,746

Domestic Nuclear Detection Office

Operations and Support

51,545

0

50,042

Procurement, Construction, and Improvements

88,289

0

101,053

Research and Development

160,005

0

155,061

Federal Assistance

47,281

0

46,328

Total Annual Discretionary Appropriations

347,120

0

352,484

Total Discretionary Appropriations

347,120

0

352,484

Total Budgetary Resources

347,120

0

352,484

Chemical, Biological, Radiological, Nuclear, and Explosives Office

Operations and Support

0

180,033

0

Procurement, Construction, and Improvements

0

103,860

0

Research and Development

0

151,605

0

Federal Assistance

0

65,947

0

Total Annual Discretionary Appropriations

0

501,445

0

Total Discretionary Appropriations

0

501,445

0

Total Budgetary Resources

0

501,445

0

Net Discretionary Budget Authority: Title IV

1,500,767

1,634,845

1,497,887

Net Discretionary Budget Authority: Supplemental Appropriations for Research, Development, Training, and Services Components

0

88,000

125

0

0

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

125

0

0

Federal Emergency Management Agency

  

 

 

Operations and Support

801

928

936

Management and Administration

353

448

448

Integrated Operations

166

182

182

Mitigation

11

11

11

Preparedness and Protection

49

50

50

Response and Recovery

222

237

246

Procurement, Construction, and Improvements

43

35

35

Response and Recovery

12

11

11

Preparedness and Protection

32

24

24

Federal Assistance

10,485

9,867

10,443

Disaster Relief Fundb

7,375

7,349

7,349

Base

662

640

640

Major Disasters

6,713

6,709

6,709

Transfer to OIG

[-24]

[-24]

[-24]

Subtotal: Net disaster relief funding

7,351

7,325

7,325

Management and Administration

118

111

111

Mitigation

290

232

232

Offsetting Fee Collections

[181]

[182]

[182]

Preparedness and Protection

2,583

2,075

2,632

Response and Recovery

120

100

120

Emergent Threats (Title V)

50

0

0

Radiological Emergency Preparedness Program (Title V)

*

*

*

Appropriationc

4,666

4,121

4,706

Fees, Mandatory Spending, and Trust Funds

5,038

5,973

5,973

Total Budgetary Resources

16,574

16,961

17,546

Net Discretionary Budget Authority: Title IIIc

6,377

5,709

6,462

Net Discretionary Budget Authority: Total for Protection, Preparedness, Response and Recovery Components

6,403

5,685

6,438

Projected Total Gross Budgetary Resources for Protection, Preparedness, Response and Recovery Components

19,151

20,001

20,753

Source: CRS analysis of Division F of P.L. 114-113 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; S. 3001 and S.Rept. 114-264; and H.R. 5634 and H.Rept. 114-668.

Notes: * = rounds to zero. Table displays rounded numbers, but all operations were performed with unrounded data. Amounts, therefore, may not sum to totals. Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. As part of the FY2017 budget request, the Administration proposed moving the Office of Health Affairs into a new Chemical, Biological, Radiological, Nuclear, and Explosives Office, under Title IV. The House Appropriations Committee reorganized the appropriation accordingly.

b. This line is a subtotal of the "Base" line and the "Major Disasters" line (also known as the disaster relief adjustment)—it represents the total resources provided to the DRF. The "Base" line is included in the "Appropriation" line, but the "Major Disasters" line is not.

c. For consistency across tables, this line does not include the $24 million transfer from the DRF—its impact is reflected in the budgetary resource totals below.

Research and Development, Training, and Services

Table 7. Budgetary Resources for Research and Development, Training, and Services Components FY2016 and FY2017, Legacy Structure

(budget authority in millions of dollars)

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

SAC-Reported
S. 3001

U.S. Citizenship and Immigration Services

  

 

 

E-Verify

120

119

119

Immigrant Integration Programs

0

10

0

Immigrant Integration Grants (Title V; authority to use fees)a

0

0

0

Appropriation

120

129

119

Fees, Mandatory Spending, and Trust Funds

3,491

3,889

3,506

Total Budgetary Resources

3,610

4,018

3,625

Federal Law Enforcement Training Center

  

 

 

Salaries and Expenses

217

215

215

Acquisition, Construction, Improvements, and Related Expenses

28

28

28

Appropriation

245

243

243

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

245

243

243

Science and Technology Directorate

  

 

 

Management and Administration

132

128

128

Research, Development, Acquisition, and Operations

655

631

662

Appropriation

787

759

790

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

787

759

790

Domestic Nuclear Detection Office

  

 

 

Management and Administration

38

0

42

Research, Development, and Operations

196

0

185

Systems Acquisition

113

0

121

Appropriation

347

0

348

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

347

0

348

Chemical, Biological, Radiological, Nuclear Explosives Office

  

 

 

Defense

0

14

0

Non-defense

0

487

0

Appropriation

0

501

0

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

0

501

0

Net Discretionary Budget Authority: Title IV

1,499

1,632

1,499

Net Discretionary Budget Authority: Total for Research and Development, Training, and Services Components

1,499

1,632

1,499

Projected Total Gross Budgetary Resources for Research and Development, Training, and Services Components

4,989

5,521

5,005

Source: CRS analysis of Division F of P.L. 114-113 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; S. 3001 and S.Rept. 114-280; and H.R. 5634 and H.Rept. 114-668.

Notes: Table displays rounded numbers, but all operations were performed with unrounded data. Amounts, therefore, may not sum to totals. Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

a. As this is discretionary authority granted in the bill to use existing fees, it provides no new resources.

Table 8. Budgetary Resources for Research and Development, Training, and Services Components, FY2016 and FY2017, Common Appropriations Structure

(budget authority in millions of dollars)

1,497,887

5,558,112

 

FY2016

FY2017

Component/Appropriation

Enacted

Request

HAC-Reported
H.R. 5634

U.S. Citizenship and Immigration Services

  

 

 

Operations and Support

107

104

104

Immigration Status Verification

107

104

104

Procurement, Construction, and Improvements

13

15

15

Immigration Status Verification

13

15

15

Federal Assistance

0

10

0

Citizenship and Integration Programs

0

10

0

Appropriation

120

129

119

Fees, Mandatory Spending, and Trust Funds

3,491

3,889

3,506

Total Budgetary Resources

3,610

4,018

3,625

Federal Law Enforcement Training Center

  

 

 

Operations and Support

245

243

243

Law Enforcement Training

217

214

214

Management and Administration

28

29

29

Appropriation

245

243

243

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

245

243

243

Science and Technology

  

 

 

Operations and Support

272

279

279

Management and Administration

92

89

89

Laboratory Facilities

125

134

134

Acquisition and Operations Analysis

55

56

56

Procurement, Construction, and Improvements

18

10

10

Acquisition and Operations Analysis

10

10

10

Laboratory Facilities

8

0

0

Research and Development

497

470

479

University Programs

42

33

42

Appropriation

787

759

767

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

787

759

767

Domestic Nuclear Detection Office

  

 

 

Appropriation

347

0

0

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

347

0

0

Chemical, Biological, Radiological, Nuclear, and Explosives Office

  

 

 

Operations and Support

0

180

183

Chemical, Biological, and Emerging Infectious Diseases Capability

0

118

120

Rad/Nuc Detection, Forensics, and Prevention Capability

0

21

21

Management and Administration

0

42

42

Procurement, Construction, and Improvements

0

104

104

Rad/Nuc Detection Equipment Acquisition

0

104

104

Research and Development

0

152

152

Rad/Nuc Detection, Forensics, and Prevention Capability

0

152

152

Federal Assistance

0

66

66

Rad/Nuc Detection, Forensics, and Prevention Capability

0

52

52

Bombing Prevention

0

14

14

Appropriation

0

501

504

Fees, Mandatory Spending, and Trust Funds

0

0

0

Total Budgetary Resources

0

501

504

Net Discretionary Budget Authority: Title IV

1,499

1,632

1,633

Net Discretionary Budget Authority: Total for Research and Development, Training, and Services Components

1,499

1,632

1,633

Components

1,500,767

1,634,845

Projected Total Gross BudgetaryBudgetary Resources for Research and Development, Training, and Services Components

4,989

5,521

5,139

Components

4,991,313

5,523,976

Source: CRS analysis of DHS FY2017 Budget-in-Brief, and Division F of P.L. 114-113115-31 and its explanatory statement as printed in the Congressional Record of December 17, 2015, pp. H10161-H10210; S. 3001 and S.Rept. 114-264; and H.R. 5634 and H.Rept. 114-668.

Notes: Table displays rounded numbers, but all operations were performed with unrounded data. Amounts, therefore, may not sum to totals. Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

Crosscutting Issues for the Department of Homeland Security27

May 3, 2017, pp. H3807-H3873.

Note: Fee revenues included in the "Fees, Mandatory Spending, and Trust Funds" lines are projections, and do not include budget authority provided through general provisions.

Title V—General Provisions As noted above, the fifth title of the act contains general provisions, the impact of which may reach across the entire department, impact multiple components, or focus on a single activity. Rescissions of prior-year appropriations—cancellations of budget authority that reduce the net funding level in the bill—are found here.30 For FY2016, Division F of P.L. 114-113 included $1.51 billion in rescissions. For FY2017, the Administration proposed rescinding $420 million in prior-year funding. Senate Appropriations Committee-reported S. 3001 included $1.23 billion in rescissions, while House Appropriations Committee-reported H.R. 5634 included $1.20 billion. Division F of P.L. 115-31 included $1.48 billion in rescissions. Crosscutting Issues for the Department of Homeland Security31

Discretionary Spending Limits

Most of the DHS budget is outside of the defense budget function (050). As a result, most of the department competes with the rest of the federal nondefense budget for nondefense discretionary spending allocations under the budget controls imposed by the Budget Control Act.2832

However, roughly $1.8more than $2.0 billion of the FY2017 requestbudget authority enacted for the department is classified as defense discretionary spending—roughly $1.5 billion of which is for the National Protection and Programs Directorate (NPPD).2933 In noting the minority party's concern over the level of funding in the House version of the bill to support government-wide cybersecurity funding, House Appropriations Committee Ranking Member Lowey and Homeland Security Subcommittee Ranking Member Roybal-Allard wrote in their additional views that the subcommittee's limited defense allocation resulted in underfunding of such activities, and that "to ensure that upgrades to federal cyber networks are deployed on time," the subcommittee's allocation of defense discretionary spending would need to be increased so that additional funding could be provided in the final enacted annual appropriations vehicle.30

34

Federal Pay Issues

Pay Increase

The Administration proposed a 1.6% pay increase for all civilian federal employees and members of the military in its FY2017 budget request. Almost all DHS employees are considered civilians, with the significant exception of Coast Guard military personnel.

Executive Order 13756 issued by President Barack Obama on December 27, 2016, provided a pay adjustment of 2.1% for civilian federal employees, allocated as 1.0% base pay and an average 1.1% locality pay.35 The pay increase became effective on January 8, 2017.

Section 601 of the National Defense Authorization Act for Fiscal Year 201736 also provided a 2.1% pay increase, which covers Coast Guard military personnel.
Structural Pay Reform Restriction

The FY2016 Homeland Security Appropriations Act included a new general provision3137 that had been carried in both House- and Senate-reported bills3238 that prohibited the obligation of appropriated funds for any structural pay reform that affects more than 100 full-time positions or costs more than $5 million in a single year until the end of the 30-day period that begins when the Secretary notifies Congress about (1) the number of FTE positions affected by the change, (2) funding required for the change for the current year and through the Future Years Homeland Security Program, (3) the justification for the change, and (4) an analysis of the compensation alternatives to the change that the department considered.

This provision was again carried in the House and Senate committee-reported bills for FY2017.33

39 and in P.L. 115-31.40

Execution of Personnel Funding

Hiring Process Delays

Stating that hiring remains the department's "most daunting management challenge,"3441 resulting in "a vicious cycle of bloated and unrealistic budget requests, unfilled mission needs, poor morale, and higher attrition,"3542 the Senate report expressed the committee's belief that hiring process steps need to be regularly monitored to ensure transparency and the accountability of DHS officials. The Senate committee noted Customs and Border Protection's approach as a model for streamlining the hiring process and directed DHS to continue developing metrics on hiring, attrition, and the overall process that are consistent and repeatable. The report directed DHS to provide a briefing on the strategy to reduce hiring times, provide quarterly metrics by component, and progress toward eventual monthly reporting of metrics within 60 days after the act's enactment.36

43

The House committee report directed the Office of the Under Secretary for Management (USM) to continue to provide updates to the committee on a corrective action plan on hiring and hiring metrics.3744 Reiterating the Senate committee's concerns, the report stated that "most components are still unable to meet their hiring goals, particularly when faced with continued high attrition levels."3845 According to the report, the lengthy hiring process continues to prevent DHS from signing the most capable applicants and discourages potential recruits from applying. The committee directed the USM to brief the House and Senate Appropriations Committees, within 90 days after the act's enactment, on progress in taking the following actions and any others needed to reform the hiring process:

Conduct any necessary polygraph examinations as early as possible in the personnel security process in order to avoid unnecessary background investigation, medical clearance, and other hiring-related expenses;

Reevaluate current polygraph disqualifiers;

Maximize the use of existing background investigations for applicants who are current federal employees or members of the U.S. Military unless specific fitness factors precluded the acceptance of a previous suitability/fitness determination;

Reevaluate fitness factors to improve consistency across the Department, as appropriate, and better promote current reciprocity in acceptance of existing security clearances.3946 The explanatory statement that accompanied P.L. 115-31 reiterated the instructions included in the Senate and House committee reports by directing DHS "to continue working with every component to develop metrics on hiring, attrition, the processes used to bring staff on board, and a hiring corrective action plan."47 The department is to brief the committees within 90 days after the act's enactment on the "strategy to decrease the number of days it takes to hire new employees."48 Among the information to be provided in the briefing are "quarterly hiring metrics by component," "progress toward monthly metrics reporting," and "progress made to establish reciprocity with other agencies on polygraph examinations and security clearances."49 CBP is to "continue monthly reporting of hiring gains and attrition losses."50

Determining Personnel Requirements

Stating that skills in cost analysis, modeling, and statistics are "in small supply" within the DHS workforce, the House committee report advised the department that it should consider conducting an analysis of skills and capabilities across the department to determine whether adequate resources are dedicated to its budget and acquisition and management functions. The report also noted that DHS must "recognize that the private sector is a critical partner in filling capability gaps."4051

The Senate committee report continued to require DHS to provide monthly data, by component, on the use of paid administrative leave4152 that extends beyond a one-month period.

To better understand the assignment of employees to details in other departments, agencies, and entities, for periods longer than three years, the Senate committee directed the department to provide data on such long-term assignments, by home office or component, the receiving office or component, employee grade levels, and underlying authority. The information must also include data on details which are reimbursable and be submitted within 120 days after the act's enactment date.

P.L. 115-31 and the explanatory statement that accompanied it did not address this matter, and therefore, the direction stands.

DHS Advertisements

The Senate committee report directed DHS, including components, to include a statement within text, audio, or video advertisements (including Internet advertisements) that such advertisements are printed, published, or produced and disseminated at taxpayer expense. An advertisement would be exempt from this requirement if it would adversely impact safety or security or impede an agency from carrying out its statutory authority.

53 P.L. 115-31 and the explanatory statement that accompanied it did not address this matter, and therefore, the direction stands.

Reception and Representation Expenses

Several DHS components have specific limitations placed on their funding for "reception and representation expenses." These limits range from $2,000 for the Office of the Under Secretary for Management in Senate-reported S. 3001 to $34,425 for Customs and Border Protection in both Senate and House committee-reported bills.

Thirteen such limitations, totaling $169,655, appear in Senate committee-reported S. 3001 and 12 such limitations, totaling $154,655, appear in House committee-reported H.R. 5634. The House committee report indicated that this $15,000 reduction was made in the amount allowed for reception and representation expenses for the Office of the Secretary and Executive Management "because of DHS's continued failure to fill the position of Assistant Secretary for Policy despite repeated congressional directives, and because the budget request assumed the enactment of new TSA fees totaling $880,000,000 that will almost certainly be unavailable as offsetting collections."42

54

The Senate Appropriations Committee report continued to require quarterly reports on obligations for all reception and representation expenses and stated that the funds should not be used "to purchase unnecessary collectibles or memorabilia."43

55

In the Department of Homeland Security Appropriations Act, 2017, 13 such limitations appear, totaling $164,655. The explanatory statement restates the House position thusly:

A decrease of $5,000 is assessed to the Secretary's ORR funds due to the assumption of $880,000,000 in unauthorized fee revenue in the fiscal year 2017 budget request that artificially reduced the amount of net discretionary appropriations required to fully fund the Transportation Security Administration. DHS should be prepared for additional decrements to ORR funds and other headquarters activities in the future should future requests include similar proposals.56

For Further Information

For additional perspectives on FY2017 DHS appropriations, see the following:

Readers also may wish to consult CRS's experts directly. The following table lists names and contact information for the CRS analysts and specialists who contribute to CRS DHS appropriations reports:

.

Table 95. DHS Appropriations Experts

Component/Subcomponent

Name

Phone

Email

DHS Annual and Supplemental Appropriations, Overall

William Painter

[phone number scrubbed]

[email address scrubbed]

Departmental Management

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

DHS Headquarters Consolidation

William Painter

[phone number scrubbed]

[email address scrubbed]

Analysis and Operations

Jerome Bjelopera

[phone number scrubbed]

[email address scrubbed]

Office of the Inspector General

William Painter

[phone number scrubbed]

[email address scrubbed]

U.S. Customs and Border Protection

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

U.S. Immigration and Customs Enforcement

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Transportation Security Administration

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

U.S. Coast Guard

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

U.S. Secret Service

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

National Protection and Programs Directorate

Cybersecurity

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Infrastructure Protection

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Federal Protective Service

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Office of Health Affairs

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Federal Emergency Management Agency

Management

Operations and Mitigation

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Preparedness Grants

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Firefighter Assistance Grants

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Disaster Relief Fund

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Emergency Food and Shelter

Disaster Declarations

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Pre-disaster Mitigation

National Flood Insurance Program

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

U.S. Citizenship and Immigration Services

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Science and Technology

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Domestic Nuclear Detection Office

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

Chemical, Biological, Radiological, Nuclear, and Explosives Office

[author name scrubbed]

[phone number scrubbed]

[email address scrubbed]

General Provisions

William Painter

[phone number scrubbed]

[email address scrubbed]

Appendix. Appropriations Terms and Concepts

Budget Authority, Obligations, and Outlays

Federal government spending involves a multistep process that begins with the enactment of budget authority by Congress. Federal agencies then obligate funds from enacted budget authority to pay for their activities. Finally, payments are made to liquidate those obligations; the actual payment amounts are reflected in the budget as outlays.

Budget authority is established through appropriations acts or direct spending legislation and determines the amounts that are available for federal agencies to spend. The Antideficiency Act4457 prohibits federal agencies from obligating more funds than the budget authority enacted by Congress. Budget authority also may be indefinite, as when Congress enacts language providing "such sums as may be necessary" to complete a project or purpose. Budget authority may be available on a one-year, multiyear, or no-year basis. One-year budget authority is only available for obligation only during a specific fiscal year; any unobligated funds at the end of that year are no longer available for spending. Multiyear budget authority specifies a range of time during which funds may be obligated for spending, and 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.4558 Because multiyear 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 funded agencies and programs, and appropriated entitlement programs, are funded each year in appropriations acts.

Discretionary and Mandatory Spending

Gross budget authority, or the total funds available for spending by a federal agency, may be composed of discretionary and mandatory spending. Discretionary spending is not mandated by existing law and is thus appropriated yearly by Congress through appropriations acts. The Budget Enforcement Act of 19904659 defines discretionary appropriations as budget authority provided in annual appropriations 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 appropriations acts and is typically not appropriated each year. Some mandatory entitlement programs, however, must be appropriated each year and are included in appropriations acts. Within DHS, Coast Guard retirement pay is an example of appropriated mandatory spending.

Offsetting Collections47

60

Offsetting funds are collected by the federal government, either from government accounts or the public, as part of a business-type transaction such as collection of a fee. These funds are not considered federal 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. These mandatory spending elements 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, and others are funded by annual appropriations. Secret Service retirement pay is a permanent appropriation and, as such, is not annually appropriated. In contrast, 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.

302(a) and 302(b) Allocations

In general practice, 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 totals 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. The 302(b) allocations may be adjusted during the year by the respective Appropriations Committee issuing a report delineating the revised suballocations as the various appropriations bills progress toward final enactment. No subcommittee allocations are developed for conference reports or enacted appropriations bills.

Table A-1 shows comparable figures for the 302(b) allocation for FY2016, based on the adjusted net discretionary budget authority included in Division F of P.L. 114-113, the President's request for FY2017, and the House and Senate subcommittee allocations for the Homeland Security appropriations bills for FY2017.

Table A-1. FY2016 and FY2017 302(b) Discretionary Allocations for DHS

(budget authority in millionsbillions of dollars)

FY2016 Comparable

FY2017 Request Comparable

FY2017 Senate Allocation

FY2017 House Allocation

FY2017 Enacted Comparable

40,.955a

41,.194b

39,.330c

40,.213d

pending

42.408e

Source: CRS analysis of the explanatory statement accompanying H.R. 240 as printed in the Congressional Record of January 13, 2015, pp. H275-H322, the FY2015 DHS Budget-in-Brief, and the explanatory statement accompanying H.R. 2029 as printed in the Congressional Record of December 17, 2015, pp. 10161-10210.

a. This authority does not include the $160 million for overseas contingency operations or the $6,713 million.713 billion for disaster relief covered by adjustments to the discretionary spending caps set by the Budget Control Act.

b. This authority does not include the $6,709 million.709 billion requested for disaster relief covered by adjustments to the discretionary spending caps set by the Budget Control Act.

c. This authority does not include the $163 million for overseas contingency operations or the $6,709 million.709 billion for disaster relief recommended by the Senate Appropriations Committee and covered by adjustments to the discretionary spending caps set by the Budget Control Act.

d. This authority does not include the $6,709 million.709 billion recommended by the House Appropriations Committee for disaster relief covered by adjustments to the discretionary spending caps set by the Budget Control Act.

e. This authority does not include the $163 million for overseas contingency operations or the $6.713 billion for disaster relief covered by adjustments to the discretionary spending caps set by the Budget Control Act.

The Budget Control Act, Discretionary Spending Caps, and Adjustments

The FY2012 appropriations bills were the first appropriations bills governed by the Budget Control Act, which established discretionary security and nonsecurity spending caps for FY2012 and FY2013. The bill also established overall caps that govern the actions of appropriations committees in both chambers. Subsequent legislation, including the Bipartisan Budget Act of 2013,48 amended those caps. For FY2015, the overall cap on discretionary spending is $1,014 billion. Separate limitations are made for defense and nondefense spending—roughly $521 billion and $492 billion, respectively. 61 amended those caps. Most of the budget for DHS is considered nondefense spending.

In addition, the Budget Control Act allows for adjustments that would raise the statutory caps to cover funding for overseas contingency operations/Global War on Terror, emergency spending, and, to a limited extent, disaster relief and appropriations for continuing disability reviews and control of health care fraud and abuse.

Three of the four justifications outlined in the Budget Control Act for adjusting the caps on discretionary budget authority have played a role in DHS's appropriations process. Two of these—emergency spending and overseas contingency operations/Global War on Terror—are not limited.

The third justification—disaster relief—is limited. Under the Budget Control Act, the allowable adjustment for disaster relief is determined by the Office of Management and Budget (OMB), using the following formula:

Limit on disaster relief cap adjustment for the fiscal year = Rolling average of the disaster relief spending over the last ten fiscal years (throwing out the high and low years) + the unused amount of the potential adjustment for disaster reliefrolling average from the previous fiscal year.

For FY2014, OMB determined the allowable adjustment for disaster relief was $12,143 million,49 of which only $5,717 million was exercised. In February 2015, OMB noted the FY2015The disaster relief allowable adjustment for disaster assistance was $18,430 million: $11,913 million from the rolling average and $6,517 million in carryover from FY2014.50 FY2015 was the first year in which more than $1 billion of allowable adjustment for disaster relief carried over from the previous fiscal year. The disaster relief allowable adjustment for FY2016 was $14,125 million.51

FY2017 was $8.129 billion, and was used to support appropriations to FEMA's Disaster Relief Fund and the Department of Housing and Urban Development's Community Development Fund.62

Author Contact Information

[author name scrubbed], Coordinator, Specialist in Emergency Management and Homeland Security Policy ([email address scrubbed], [phone number scrubbed])
[author name scrubbed], Analyst in American National Government ([email address scrubbed], [phone number scrubbed])

Footnotes

The explanatory statement for Division F is found on pp. H3807-H3873. Office of Management and Budget, "FY 2017 Continuing Resolution (CR) Appropriations Issues (anomalies required for a CR through March)," p. 8. 19. 22. 26. 31. 37. 41. 51. 54. 57.
1.

U.S. Government Accountability Office, A Glossary of Terms Used in the Federal Budget Process, GAO-05-734SP, September 1, 2005, http://www.gao.gov/products/GAO-05-734SP.
2.

There are several differences of interpretation between the two committee reports in accounting for both the FY2016 enacted and FY2017 requested levels. These will be discussed in other reports. To facilitate comparisons with the enacted and requested numbers, this report relies on the number in S.Rept. 114-264 when the two reports are in conflict, as its interpretation of FY2016 enacted levels could be verified against the FY2016 explanatory statement.

3Generally speaking, those provided through annual legislation. For more detail, see the following text box and the Appendix.
3.

These items, which qualify for special designation under the Budget Control Act, provide discretionary budget authority to DHS components but are not included in the "appropriations" total for the bill at the end of the detail tables in the committee reports.
4.

Projections of the budget authority provided by these provisions may vary between the Office of Management and Budget and the Congressional Budget Office, but both include such appropriations in calculations of discretionary budget authority.
5.

H.Rept. 113-481, p. 24.
46.

Office of the Chief Financial Officer, A Common Appropriations Structure for DHS: FY2016 Crosswalk, U.S. Department of Homeland Security, February 2, 2015, p. 2.

5.

§563, Division F, P.L. 114-113.
6Division C, Continuing Appropriations Act, 2017.
7.

§129. 128 Stat. 1872. In contrast to §131 in the current CR, this anomaly from FY2015 focused on CBP and ICE personnel.
8.

Apportionment is an OMB-approved plan to use budgetary resources for a specified purpose and time period. According to OMB Circular A-11, under a CR, there is an automatic apportionment based on its rate and duration. This section provides an exception to that automatic apportionment to allow more resources to be made available for these specific personnel costs over the term of the CR.

9.

S.Rept. 114-264, p. 23.
710.

H.ReptP.L. 114-668, p. 6254, §163.
811.

Generally speaking, those provided through annual legislation. For more detail, see the following text box and the AppendixDivision F is designated as the Department of Homeland Security Appropriations Act, 2017.
9.

These items, which qualify for special designation under the Budget Control Act, provide discretionary budget authority to DHS components but are not included in the "appropriations" total for the bill at the end of the detail tables in the committee reports.
10.

Projections of the budget authority provided by these provisions may vary between the Office of Management and Budget and the Congressional Budget Office, but both include such appropriations in calculations of discretionary budget authority.
1112.

H.Rept. 113-481, p. 24.
13.

Ibid.
14.

Office of the Chief Financial Officer, A Common Appropriations Structure for DHS: FY2016 Crosswalk, U.S. Department of Homeland Security, February 2, 2015, p. 2.
15.

§563, Division F, P.L. 114-113.
16.

S.Rept. 114-264, p. 23.
17.

H.Rept. 114-668, p. 6.
18.

A fifth category was added for the Federal Emergency Management Agency's (FEMA's) Disaster Relief Fund (DRF).

Although the House and Senate have generally produced symmetrically structured bills in the past, this isFY2017 was not the first year that the twostructures of the two bills have differed. Additional titles are sometimes added by one of the chambers to address special issues. For example, the FY2012 House full committee markup added a sixth title to carry a $1 billion emergency appropriation for the Disaster Relief Fund (DRF). The Senate version carried no additional titles beyond the five described above. For FY2016, the House- and Senate-reported versions of the DHS appropriations bill were generally symmetrical.
1220.

The detail table at the end of the explanatory statement notes the budget authority provided by these provisions, as well as budget authority that scorekeeping rules mandate be included in the act's total spending.
21.

When a component's budget does not anticipate such resources, no such line is included.

These include the Office of the Secretary and Executive Management (OSEM), and the Management Directorate, which itself includes the Office of the Under Secretary for Management (USM), the Office of the Chief Financial Officer, and the Office of the Chief Information Officer (CIO).
1323.

This includes a $24 million transfer from the Disaster Relief Fund appropriation (see below).
1424.

In addition to the appropriations provided in Title I, under the request, the DHS Office of Inspector General (OIG) would receive $24 million in a transfer from the Disaster Relief Fund appropriation, and $41 million for financial systems modernization in general provisions. Funding for DHS headquarters consolidation is included in these totals, although funding is often provided in general provisions.

15
25.

In addition to the Obama Administration's request for annual appropriations for FY2017, the Trump Administration requested $11 million in supplemental appropriations for the Office of the Secretary and Executive Management. Congress did not provide the requested supplemental appropriation.

In addition to the appropriations provided in Title II, under the request, U.S. Customs and Border Protection would receive $220 million in budget authority from a general provision that grants them the authority to expend fees raised under the Colombia Free Trade Act. Other resources that contribute to the budget for these components include mandatory spending, fee revenues, and trust funds.
16.

Different methodologies of calculating resources provided for FY2016 and requested for FY2017 between the House and Senate result in slightly different interpretations of these funding levels. The comparison in this bullet is based on the numbers presented in S.Rept. 114-264.
17.

Different methodologies of calculating resources provided for FY2016 and requested for FY2017 between the House and Senate result in slightly different interpretations of these funding levels. The comparison in this bullet is based on the numbers presented in H.Rept. 114-668.
1827.

The Administration's request proposed transferring OHA into a new Chemical, Biological, Radiological, Nuclear, and Explosives Office.
1928.

The total for net discretionary budget authority includes the impact of a $24 million transfer to the OIG.
2029.

In addition to the appropriations provided in Title III, under the request, the Disaster Relief Fund would receive $6,713 million.713 billion in budget authority that is accounted for by an adjustment to the discretionary spending limits set by the Budget Control Act (P.L. 112-25). $24 million of that amount is to be transferred to the OIG. Another $1,443 million.443 billion is provided through offsetting collections to the Federal Protective Service—neither of these is included in the net discretionary budget total. Other resources that contribute to the budget for these components include mandatory spending, fee revenues, and trust funds, including the National Flood Insurance Fund.
2130.

As noted elsewhere, general provisions also may provide funding. Incidences where this occurs in the act are reflected in Tables 1-4.

Division C, Continuing Appropriations Act, 2017.
22.

Section 129.  128 Stat. 1872. In contrast to Section 131 in the current CR, this anomaly from FY2015 focused on CBP and ICE personnel.
23.

Apportionment is an OMB-approved plan to use budgetary resources for a specified purpose and time period. According to OMB Circular A-11, under a CR, there is an automatic apportionment based on its rate and duration. This section provides an exception to that automatic apportionment to allow more resources to be made available for these specific personnel costs over the term of the CR.

24.

Office of Management and Budget, "FY 2017 Continuing Resolution (CR) Appropriations Issues (anomalies required for a CR through March)," p. 8.
25.

P.L. 114-254, §163.
26.

See the text box on page 5 for a description of "net discretionary budget authority."
27.

These sections coauthored with [author name scrubbed], Analyst in American National Government, Government and Finance Division.
2832.

For more detail on the Budget Control Act and its implications on the appropriations process, see CRS Report R41965, The Budget Control Act of 2011, by [author name scrubbed], [author name scrubbed], and [author name scrubbed].
2933.

The remaining defense discretionary funding is for FEMA, USCG, and the newly proposed Chemical, Biological, Radiological, Nuclear, and Explosives Office.
3034.

H.Rept. 114-668, p. 185.
3135.

U.S. Presidents (Obama), Executive Order 13756, "Adjustments of Certain Rates of Pay," December 27, 2016, Federal Register, vol. 81, December 30, 2016, pp. 97099-97110, at https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31875.pdf.
36.

P.L. 114-328.

§557.
3238.

§506 of S. 1619 and §552 of H.R. 3128, respectively.
3339.

H.R. 5634, §532, and S. 3001, §550.
3440.

§529.

According to the Senate committee report, the average time to hire an employee in a mission critical position increased from 254 days in FY2014 to 266 days in FY2015. The report stated that hiring has improved for support positions. S.Rept. 114-264, p. 21.

3542.

S.Rept. 114-264, p. 21.
3643.

The Senate report continued the requirement for monthly reporting of metrics on hiring by CBP.
3744.

The explanatory statement accompanying P.L. 114-113 mandated reporting on a corrective action plan on hiring and hiring metrics. "Consolidated Appropriations Act, 2016," Congressional Record, vol. 161, part 184, Book III (December 17, 2015), p. H10163.
3845.

H.Rept. 114-668, p. 14.
3946.

H.Rept. 114-668, p. 14.
4047.

Congressional Record, vol. 163, May 3, 2017, p. H3808.
48.

Ibid.
49.

Ibid.
50.

Ibid.

H.Rept. 114-668, p. 5.

4152.

Administrative leave (also referred to as "excused absence") is an administratively authorized absence from duty without loss of pay or charge to leave.
4253.

S.Rept. 114-264, p. 17.

H.Rept. 114-668, p. 8.
4355.

S.Rept. 114-264, p. 10.
4456.

Congressional Record, May 3, 2017, p. H3807.

31 U.S.C. §§1341, 1342, 1344, 1511-1517.
4558.

Appropriations, outlays, and account balances for various appropriations 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.
4659.

P.L. 101-508, Title XIII.
4760.

Prepared with assistance from [author name scrubbed], Analyst in American National Government.
4861.

P.L. 113-67.
49.

Office of Management and Budget, OMB Sequestration Preview Report to the President and Congress for Fiscal Year 2015, Washington, DC, March 10, 2014, p. 9.
50.

Office of Management and Budget, OMB Sequestration Update Report to the President and Congress for Fiscal Year 2016, Washington, DC, February 2, 2015, p. 12.
5162.

Office of Management and Budget, OMB Final Sequestration Report to the President and Congress for Fiscal Year 20162017, Washington, DC, January 4, 2016, p. 7May 19, 2017, pp. 7-8, https://www.whitehouse.gov/sites/default/files/omb/assets/legislative_reports/sequestration/sequestration_final_january_2016_potuswhitehouse.gov/files/omb/sequestration_reports/2017_final_sequestration_report_may_2017_potus.pdf.