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Trends in the Timing and Size of DHS
Appropriations: In Brief
William L. Painter
Analyst in Emergency Management and Homeland Security Policy
May 26, 2015
Congressional Research Service
7-5700
www.crs.gov
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Trends in the Timing and Size of DHS Appropriations: In Brief
Introduction
This report examines trends in the timing and size of homeland security appropriations measures.
The Department of Homeland Security (DHS) was officially established on January 24, 2003.
Just over a week later, on February 3, 2003, the Administration made its first annual
appropriations request for the new department.1 Transfers of most of the department’s personnel
and resources from their existing agencies to DHS occurred March 1, 2003, and on April 16, the
department received its first supplemental appropriations.
March 1, 2003, fell in the middle of fiscal year 2003 (FY2003). It was not the end of a fiscal
quarter. It was not even the end of a pay period for the employees transferred to the department.
Despite these managerial complications, resources and employees were transferred to the control
of the department and their work continued without interruption in the face of the perceived terror
threat against the United States. Thus, while the department did receive appropriations and
operate in FY2003, tracking the size and timing of annual appropriations for the Department of
Homeland Security begins with its first annual appropriations cycle, covering FY2004.
DHS Appropriations Trends: Timing
Figure 1 shows the history of the timing of the annual DHS appropriations bills as they have
moved through various stages of the legislative process. Initially, DHS appropriations were
enacted relatively promptly, as stand-alone legislation. However, the bill is no longer an outlier
from the consolidation and delayed timing that has affected other annual appropriations
legislation. FY2015 marked the latest enactment of a Homeland Security appropriations act as a
stand-alone piece of legislation in the history of the department.
When annual appropriations for part of the government are not enacted prior to the beginning of
the fiscal year, a continuing resolution is usually enacted to provide stopgap funding and allow
operations to continue. As Figure 1 shows, at the beginning of FY2014, for the first time in the
history of the department, neither annual appropriations nor or a continuing resolution had been
enacted by the start of the fiscal year. Annual appropriations lapsed, leading to a partial shutdown
of government operations, including DHS.2
1 http://www.gpo.gov/fdsys/pkg/BUDGET-2004-APP/pdf/BUDGET-2004-APP-1-11.pdf
2 For additional information, see CRS Report R43252, FY2014 Appropriations Lapse and the Department of Homeland
Security: Impact and Legislation, by William L. Painter.
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Figure 1. DHS Appropriations Legislative Timing, FY2004-FY2015
Source: Analysis of presidential budget request release dates and legislative action from the Legislative Information System (LIS) available at www.congress.gov.
Notes: Final action on the annual appropriations for DHS for FY2011, FY2013, FY2014, and FY2015 did not occur until after the beginning of the new calendar year.
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Trends in the Timing and Size of DHS Appropriations: In Brief
In contrast to the annual appropriations measures tracked in the figure, supplemental
appropriations move on a more ad hoc basis, when an unanticipated need for additional funding
arises. Supplemental funding was provided more often prior to passage of the Budget Control Act
in 2011,3 when the Federal Emergency Management Agency’s (FEMA’s) Disaster Relief Fund
(DRF) would often rely on supplemental appropriations to replenish itself when a disaster struck
and ensure resources would be available for initial recovery efforts. The Budget Control Act
created a special limited exemption from the limits on discretionary spending for funding the
federal costs of response to major disasters. This limited exemption has allowed the Disaster
Relief Fund to carry a more robust balance, and thus be prepared to respond in the weeks and
months after a major disaster without needing immediate replenishment by a supplemental
appropriations bill. This has allowed the timing of supplemental appropriations driven by disaster
relief funding for DHS to slow down.
This can be seen in the timing for the Hurricane Katrina supplemental appropriations in 2005
compared to the Hurricane Sandy supplemental appropriations. The former had a request for
supplemental appropriations three days from the date of disaster declaration and took four days
from the date of disaster declaration to be enacted. In contrast, the latter took 38 days for a
supplemental appropriations request to be submitted to Congress, and took three months from the
date of declaration for supplemental appropriations to be enacted.4 At the time Hurricane Sandy
made landfall, FEMA had over $7 billion available,5 almost three times more than was on hand
when Hurricane Katrina came ashore.6
DHS Appropriations Trends: Size
The tables and figure below present information on DHS discretionary appropriations, as enacted,
for FY2004 through FY2015. Table 1 provides data in nominal dollars, while Table 2 provides
data in constant FY2013 dollars to allow for comparisons over time. Figure 2 represents Table
2’s data in a visual format.
The totals include both annual appropriations, as well as supplemental appropriations.
Making meaningful comparisons over time for the department’s appropriations as a whole is
complicated by a variety of factors, the two most significant of which are the frequency of
supplemental appropriations for the department, and the impact of disaster assistance funding.
3 P.L. 112-25.
4 More comparative timeframes for pre-Budget Control Act supplemental appropriations are available in CRS Report
R42352, An Examination of Federal Disaster Relief Under the Budget Control Act, by Bruce R. Lindsay, William L.
Painter, and Francis X. McCarthy.
5 http://abcnews.go.com/Politics/OTUS/superstorm-fema-disaster-response-
praised/story?id=17599970#.UJE7V9WgWNM
6 Rep. Jerry Lewis, "Emergency Supplemental Appropriations Act to Meet Immediate Needs Arising from the
Consequences of Hurricane Katrina, 2005," House Debate, Congressional Record, vol. 151 (September 2, 2005), p.
H7618.
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Trends in the Timing and Size of DHS Appropriations: In Brief
Often supplemental appropriations are enacted in response to a critical need: one of the most
common of those is a major disaster where the federal government is called on for assistance.
FEMA’s Disaster Relief Fund (DRF) is where the majority of that emergency response is funded.7
Supplemental funding, which frequently addresses congressional priorities, such as disaster
assistance and border security, varies widely from year to year and as a result distorts year-to-year
comparisons of total appropriations for DHS. In the department’s initial fiscal year of operations,
it received over $5 billion in supplemental funding during that fiscal year in addition to all the
resources transferred with the department’s components. Twenty separate supplemental
appropriations acts have provided appropriations to the department since it was established. Gross
supplemental appropriations provided to the department in those acts exceed $115 billion.
Table 1 and Table 2, in their second and third columns, provide amounts of new discretionary
budget authority provided to DHS from FY2004 through FY2014, and a total for each fiscal year
in the fourth column.
Disaster assistance funding is a key part of DHS appropriations. FEMA is one of DHS’s larger
component budgets, and funding for the DRF, which funds a large portion of the costs incurred by
the federal government in the wake of disasters, is a significant driver of that budget. Of the
billions of dollars provided to the DRF each year, only a single-digit percentage of this funding
goes to pay for FEMA personnel and administrative costs tied to disasters; the remainder is
provided as assistance to states, communities, and individuals. The gross level of funding
provided to the DRF has varied widely since the establishment of DHS depending on the
occurrence and size of disasters, from less than $3 billion in FY2008 to more than $60 billion in
FY2005 in response to a series of hurricanes, including Hurricane Katrina. Table 1 and Table 2,
in their fifth columns, provide the amount of new budget authority provided to the DRF, and in
the sixth column, show the total new budget authority provided to DHS without counting the
DRF.
Figure 2 presents two perspectives on the overall total in constant FY2013 dollars:
• the top graph shows the split between annual and supplemental appropriations for
DHS,
• the second chart breaks out the DRF from the rest of the DHS discretionary
appropriations.
Generally speaking, the highest level of appropriations for the DHS budget in constant dollars
without counting the DRF was FY2010. Annual appropriations funding declined from then
through FY2013. Excluding the DRF, post-sequestration funding levels for the department were
approximately $38.9 billion in FY2013, which was the lowest funding level for the department in
constant dollars since FY2009. FY2015 represented the second-highest funding level for the
department in nominal dollars excluding the DRF, but in constant dollars (also excluding the
DRF) was below FY2008 levels.
7 See CRS Report R40708, Disaster Relief Funding and Supplemental Appropriations for Disaster Relief, by Bruce R.
Lindsay and Justin Murray for a discussion of the DRF.
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Trends in the Timing and Size of DHS Appropriations: In Brief
Table 1. DHS New Discretionary Budget Authority, FY2004-FY2015
(billions of dollars of budget authority)
Disaster
Relief Fund
Annual
Supplemental
(DRF)
Total Less
Fiscal Year
Appropriations
Appropriations Total Funding
DRF Funding
FY2004 $29,809
$2,523
$32,333
$4,300
$28,033
FY2005 29,557
67,330
96,887
68,542
28,345
FY2006 30,995
8,217
39,212
7,770
31,442
FY2007 34,047
5,161
39,208
5,610
33,598
FY2008 37,809
897
38,706
2,297
36,409
FY2009 40,070
3,243
43,312
9,360
33,952
FY2010 42,817
5,570
48,387
6,700
41,687
FY2011 42,477
—
42,477
2,650
39,827
FY2012 40,062
6,400
46,462
7,100
39,362
FY2013 46,555
12,072
58,627
18,495
40,132
FY2013 post-sequester
44,971
11,468
56,439
17,566
38,873
FY2014 45,817
—
45,817
6,221
39,596
FY2015 47,215
—
47,215
7,033
40,182
Source: CRS analysis of congressional appropriations documents: for FY2004, H.Rept. 108-280 (accompanying
P.L. 108-90), H.Rept. 108-76 (accompanying P.L. 108-11), P.L. 108-69, P.L. 108-106, and P.L. 108-303; for
FY2005, H.Rept. 108-774 (accompanying P.L. 108-334), P.L. 108-324, P.L. 109-13, P.L. 109-61, and P.L. 109-62;
for FY2006, H.Rept. 109-241 (accompanying P.L. 109-90), P.L. 109-148, and P.L. 109-234; for FY2007, H.Rept.
109-699 (accompanying P.L. 109-295) and P.L. 110-28; for FY2008, Division E of the House Appropriations
Committee Print (accompanying P.L. 110-161) and P.L. 110-252; for FY2009, Division D of House
Appropriations Committee Print (accompanying P.L. 110-329), P.L. 111-5, P.L. 111-8, and P.L. 111-32; for
FY2010, H.Rept. 111-298 (accompanying P.L. 111-83), P.L. 111-212, and P.L. 111-230; for FY2011, P.L. 112-10
and H.Rept. 112-331 (accompanying P.L. 112-74); for FY2012, H.Rept. 112-331 (accompanying P.L. 112-74) and
P.L. 112-77; for FY2013, Senate explanatory statement (accompanying P.L. 113-6), P.L. 113-2, the DHS Fiscal
Year 2013 Post-Sequestration Operating Plan dated April 26, 2013, and financial data from the Hurricane Sandy
Rebuilding Task Force Home Page at http://portal.hud.gov/hudportal/HUD?src=/sandyrebuilding/
recoveryprogress; for FY2014, the explanatory statement accompanying P.L. 113-76; and for FY2015, P.L. 114-4
and its explanatory statement as printed in the Congressional Record of January 13, 2015, pp. H275-H322.
Notes: Emergency funding, appropriations for overseas contingency operations, and funding for disaster relief
under the Budget Control Act’s allowable adjustment are included. Transfers from the Department of Defense
and advance appropriations are not included. Emergency funding in regular appropriations bills is treated as
regular appropriations. Numbers in italics do not reflect the impact of sequestration.
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Trends in the Timing and Size of DHS Appropriations: In Brief
Table 2. DHS New Discretionary Budget Authority, FY2013 Dollars, FY2004-FY2015
(billions of dollars of budget authority, adjusted for inflation)
Disaster
Relief Fund
(DRF)
Total Less
Fiscal Year
Regular
Supplemental
Total
Funding
DRF Funding
FY2004 $35,762
$3,027
$38,789
$5,159
$33,630
FY2005 34,379
78,316
112,695
79,725
32,969
FY2006 34,916
9,257
44,173
8,753
35,420
FY2007 37,345
5,661
43,006
6,153
36,852
FY2008 40,632
964
41,596
2,469
39,128
FY2009 42,562
3,444
46,006
9,942
36,064
FY2010 45,088
5,866
50,954
7,055
43,898
FY2011 43,874
—
43,874
2,737
41,136
FY2012 40,667
6,497
47,164
7,207
39,957
FY2013 46,555
12,072
58,627
18,495
40,132
FY2013 post-sequester
44,971
11,468
56,439
17,566
38,873
FY2014 45,114
—
45,114
6,126
38,989
FY2015 45,877
—
45,877
6,834
39,043
Source: CRS analysis of congressional appropriations documents: for FY2004, H.Rept. 108-280 (accompanying
P.L. 108-90), H.Rept. 108-76 (accompanying P.L. 108-11), P.L. 108-69, P.L. 108-106, and P.L. 108-303; for
FY2005, H.Rept. 108-774 (accompanying P.L. 108-334), P.L. 108-324, P.L. 109-13, P.L. 109-61, and P.L. 109-62;
for FY2006, H.Rept. 109-241 (accompanying P.L. 109-90), P.L. 109-148, and P.L. 109-234; for FY2007, H.Rept.
109-699 (accompanying P.L. 109-295) and P.L. 110-28; for FY2008, Division E of the House Appropriations
Committee Print (accompanying P.L. 110-161) and P.L. 110-252; for FY2009, Division D of House
Appropriations Committee Print (accompanying P.L. 110-329), P.L. 111-5, P.L. 111-8, and P.L. 111-32; for
FY2010, H.Rept. 111-298 (accompanying P.L. 111-83), P.L. 111-212, and P.L. 111-230; for FY2011, P.L. 112-10
and H.Rept. 112-331 (accompanying P.L. 112-74); for FY2012, H.Rept. 112-331 (accompanying P.L. 112-74) and
P.L. 112-77; for FY2013, Senate explanatory statement (accompanying P.L. 113-6), P.L. 113-2, the DHS Fiscal
Year 2013 Post-Sequestration Operating Plan dated April 26, 2013, and financial data from the Hurricane Sandy
Rebuilding Task Force Home Page at http://portal.hud.gov/hudportal/HUD?src=/sandyrebuilding/
recoveryprogress; for FY2014, the explanatory statement accompanying P.L. 113-76; and for FY2015, P.L. 114-4
and its explanatory statement as printed in the Congressional Record of January 13, 2015, pp. H275-H322.
Notes: Emergency funding, appropriations for overseas contingency operations, and funding for disaster relief
under the Budget Control Act’s allowable adjustment are included. Transfers from the Department of Defense
and advance appropriations are not included. Emergency funding in regular appropriations bills is treated as
regular appropriations. Numbers in italics do not reflect the impact of sequestration.
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Trends in the Timing and Size of DHS Appropriations: In Brief
Figure 2. DHS Appropriations, FY2004-FY2015, Showing Supplemental
Appropriations and the DRF
(in billions of constant FY2013 dollars)
Source: CRS analysis of congressional appropriations documents: for FY2004, H.Rept. 108-280 (accompanying
P.L. 108-90), H.Rept. 108-76 (accompanying P.L. 108-11), P.L. 108-69, P.L. 108-106, and P.L. 108-303; for
FY2005, H.Rept. 108-774 (accompanying P.L. 108-334), P.L. 108-324, P.L. 109-13, P.L. 109-61, and P.L. 109-62;
for FY2006, H.Rept. 109-241 (accompanying P.L. 109-90), P.L. 109-148, and P.L. 109-234; for FY2007, H.Rept.
109-699 (accompanying P.L. 109-295) and P.L. 110-28; for FY2008, Division E of the House Appropriations
Committee Print (accompanying P.L. 110-161) and P.L. 110-252; for FY2009, Division D of House
Appropriations Committee Print (accompanying P.L. 110-329), P.L. 111-5, P.L. 111-8, and P.L. 111-32; for
FY2010, H.Rept. 111-298 (accompanying P.L. 111-83), P.L. 111-212, and P.L. 111-230; for FY2011, P.L. 112-10
and H.Rept. 112-331 (accompanying P.L. 112-74); for FY2012, H.Rept. 112-331 (accompanying P.L. 112-74) and
P.L. 112-77; for FY2013, Senate explanatory statement (accompanying P.L. 113-6), P.L. 113-2, the DHS Fiscal
Year 2013 Post-Sequestration Operating Plan dated April 26, 2013, and financial data from the Hurricane Sandy
Rebuilding Task Force Home Page at http://portal.hud.gov/hudportal/HUD?src=/sandyrebuilding/
recoveryprogress; for FY2014, the explanatory statement accompanying P.L. 113-76; and for FY2015, P.L. 114-4
and its explanatory statement as printed in the Congressional Record of January 13, 2015, pp. H275-H322.
Notes: Emergency funding, appropriations for overseas contingency operations, and funding for disaster relief
under the Budget Control Act’s allowable adjustment are included. Transfers from the Department of Defense
and advance appropriations are not included. Emergency funding in regular appropriations bills is treated as
regular appropriations. FY2013 does not reflect the impact of sequestration.
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Trends in the Timing and Size of DHS Appropriations: In Brief
Author Contact Information
William L. Painter
Analyst in Emergency Management and Homeland Security Policy
wpainter@crs.loc.gov, 7-3335
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