Department of Homeland Security
Appropriations: FY2016

William L. Painter, Coordinator
Analyst in Emergency Management and Homeland Security Policy
Barbara L. Schwemle
Analyst in American National Government
August 7, 2015
Congressional Research Service
7-5700
www.crs.gov
R44053


Department of Homeland Security Appropriations: FY2016

Summary
This report discusses the FY2016 appropriations for the Department of Homeland Security (DHS)
and provides an overview of the Administration’s FY2016 request. 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 also 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 Administration requested $41.4 billion in adjusted net discretionary budget authority for
DHS for FY2016, as part of an overall budget that the Office of Management and Budget
estimates to be $64.8 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
$1.7 billion, or 4.4%, increase from the $39.7 billion enacted for FY2015 through the Department
of Homeland Security Appropriations Act, 2015 (P.L. 114-4).
The Administration also requested an additional $6.7 billion not reflected above for the Federal
Emergency Management Agency (FEMA) in disaster relief funding, as defined by the Budget
Control Act (BCA, P.L. 112-25), and a $160 million transfer from the Navy to the Coast Guard
for overseas contingency operations (OCO) funding. Neither the disaster relief funding nor the
OCO funding is considered when calculating the total amount of adjusted net discretionary
budget authority, as neither count against the discretionary spending limit.
On June 18, 2015, the Senate Committee on Appropriations reported out S. 1619, accompanied
by S.Rept. 114-68. S. 1619 would include $40.2 billion in adjusted net discretionary budget
authority for FY2016. This was $1.2 billion (2.9%) below the level requested by the
Administration, but over $0.5 billion (1.4%) above the enacted level for FY2015. 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 July 14, 2015, the House Committee on Appropriations reported out H.R. 3128, accompanied
by H.Rept. 114-215. H.R. 3128 would include $39.3 billion in adjusted net discretionary budget
authority for FY2016. This was almost $2.1 billion (5.0%) below the level requested by the
Administration, and $337 million (0.8%) below the FY2015 enacted level. While the House-
reported bill included the administration-requested level for disaster relief funding, overseas
contingency operations funding for the Coast Guard covered by BCA adjustments was provided
in the House-passed Department of Defense appropriations act as a transfer from the Navy—
therefore it is not included in the total funding in this bill for DHS.
This report will be updated throughout the FY2016 appropriations process.

Congressional Research Service

Department of Homeland Security Appropriations: FY2016

Contents
Introduction ...................................................................................................................................... 1
Note on Data and Citations ........................................................................................................ 1
Summary of DHS Appropriations ............................................................................................. 2
Homeland Security Appropriations ................................................................................................. 4
Departmental Management and Operations .............................................................................. 5
Security, Enforcement, and Investigations ................................................................................ 6
Protection, Preparedness, Response, and Recovery .................................................................. 9
Research and Development, Training, and Services ............................................................... 10
Crosscutting Issues for the Department of Homeland Security ............................................... 12
Discretionary Spending Limits .......................................................................................... 12
Federal Pay Issues ............................................................................................................. 12
Execution of Personnel Funding ....................................................................................... 13
Reception and Representation Expenses ........................................................................... 14
For Further Information ................................................................................................................. 15

Tables
Table 1. Budgetary Resources for Departmental Management and Operations
Components, FY2015 and FY2016 .............................................................................................. 5
Table 2. Budgetary Resources for Security, Enforcement, and Investigations,
FY2015 and FY2016 .................................................................................................................... 6
Table 3. Budgetary Resources for Protection, Preparedness, Response, and Recovery,
FY2015 and FY2016 .................................................................................................................... 9
Table 4. Budgetary Resources for Research and Development, Training, and Services
FY2015 andFY2016 ................................................................................................................... 10
Table 5. DHS Appropriations Experts ........................................................................................... 15
Table A-1. FY2015 and FY2016 302(b) Discretionary Allocations for DHS ................................ 19

Appendixes
Appendix. Appropriations Terms and Concepts ............................................................................ 17

Contacts
Author Contact Information........................................................................................................... 20

Congressional Research Service

Department of Homeland Security Appropriations: FY2016

Introduction
This report describes and analyzes annual appropriations for the Department of Homeland
Security (DHS) for FY2016. It compares the enacted FY2015 appropriations for DHS, the
Administration’s FY2016 budget request, and the appropriations proposed by Congress thus far..
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 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, by Jessica
Tollestrup, 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 FY2015 amounts are derived from the Department of Homeland
Security Appropriations Act, 2015 (P.L. 114-4) and the explanatory statement that accompanied
H.R. 240 as printed in the Congressional Record of January 13, 2015, pages H275-H322.
Contextual information on the FY2016 request is generally from the Budget of the United States
Government, Fiscal Year 2016
, the FY2016 DHS congressional budget justifications, and the
FY2016 DHS Budget in Brief.2 However, most data used in CRS analyses in reports on DHS
appropriations is drawn from congressional documentation to ensure consistent scoring whenever
possible. Data on the FY2016 budget request and Senate-reported recommended funding levels
are from S. 1619 and S.Rept. 114-68. Information on the House-reported recommended funding
levels is from H.R. 3128 and H.Rept. 114-215.

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 On April 14, 2016, the Administration submitted technical amendments to its budget request, but it presented no
adjustments to its totals for the department. Therefore, modifications to authorization for Customs and Border
Protection to use certain fee revenues are not reflected in this report.
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Department of Homeland Security Appropriations: FY2016

Summary of DHS Appropriations
Generally, the homeland security appropriations bill includes all annual appropriations provided
for DHS, allocating resources to every departmental component. Discretionary appropriations3
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.
The remainder of the budget is a mix of fee revenues, trust funds, and mandatory spending.
Appropriations measures for DHS typically have been organized into five titles.4 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 Office of the Secretary and Executive
Management (OSEM), the Office of the Under Secretary for Management
(USM), the Office of the Chief Financial Officer, the Office of the Chief
Information Officer (CIO), Analysis and Operations (A&O), and the Office of the
Inspector General (OIG).
• The Administration requested $1,396 million in FY2016 net discretionary
budget authority for components included in this title.5 The appropriations
request was $255 million (22.3%) more than was provided for FY2015.
• Senate-reported S. 1619 envisions the components included in this title
receiving $1,346 million in net discretionary budget authority. This would be
$50 million (3.6%) less than requested, but $205 million (18.0%) more than
was provided in FY2015.
• House-reported H.R. 3128 envisions the components included in this title
receiving $1,217 million in net discretionary budget authority, a $179 million
(12.8%) decrease from the request and $76 million (6.7%) above FY2015.
• 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.
• The Administration requested $32,481 million in FY2016 net discretionary
budget authority for components included in this title, as part of a total
budget for these components of $39,431 million for FY2016.6 The

3 Generally speaking, those provided through annual legislation. For more detail, see the Appendix.
4 Although the House and Senate generally produce symmetrically structured bills, this is not always the case.
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.
5 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 $43 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.
6 In addition to the appropriations provided in Title II, under the request, U.S. Customs and Border Protection would
receive $180 million in budget authority from a general provision that grants them the authority to expend fees raised
(continued...)
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Department of Homeland Security Appropriations: FY2016

appropriations request was $807 million (2.5%) more than was provided for
FY2015.
• Senate-reported S. 1619 envisions the components included in this title
receiving $32,484 million in net discretionary budget authority. This would
be $3 million (0.01%) more than requested, and $810 million (2.6%) more
than was provided in FY2015.
• House-reported H.R. 3128 envisions the components included in this title
receiving $32,182 million in net discretionary budget authority. This would
be $299 million (0.9%) less than requested, and $508 million (1.6%) more
than was provided in FY2015.
• 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), and the
Federal Emergency Management Agency (FEMA).
• The Administration requested $6,222 million in FY2016 net discretionary
budget authority for components included in this title, as part of a total
budget for these components of $19,020 million for FY2016.7 The
appropriations request was $267 million (4.5%) more than was provided for
FY2015.
• Senate-reported S. 1619 envisions the components included in this title
receiving $6,291 million in net discretionary budget authority. This would be
$69 million (1.1%) more than requested, and $336 million (5.6%) more than
was provided in FY2015.
• House-reported H.R. 3128 envisions the components included in this title
receiving $6,146 million in net discretionary budget authority. This would be
$100 million (1.6%) less than requested, and $167 million (2.8%) more than
was provided in FY2015.
• 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).
• The Administration requested $1,554 million in FY2016 net discretionary
budget authority for components included in this title, as part of a total
budget for these components of $5,427 million for FY2016. The

(...continued)
under the Colombia Free Trade Act. Other resources that contribute to the budget for these components include
mandatory spending, fee revenues, and trust funds.
7 In addition to the appropriations provided in Title III, under the request, the Disaster Relief Fund would receive would
receive $6,713 million 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). Another $1,443 million is provided through offsetting collections to the
Federal Protective Service—neither of these are 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.
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Department of Homeland Security Appropriations: FY2016

appropriations request was $251 million (13.9%) less than was provided for
FY2015.
• Senate-reported S. 1619 envisions the components included in this title
receiving $1,461 million in net discretionary budget authority. This would be
$93 million (6.0%) less than requested, and $344 million (19.1%) less than
was provided in FY2015.
• House-reported H.R. 3128 envisions the components included in this title
receiving $1,503 million in net discretionary budget authority. This would be
$30 million (2.0%) less than requested, and $292 million (16.3%) less than
was provided in FY2015.
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. The Administration proposed rescinding $255 million in prior-year appropriations
as part of its FY2016 budget request. Senate-reported S. 1619 included $1,359 million in
rescissions, while House-reported H.R. 3128 included $1,692 million.
Homeland Security Appropriations
The following tables present comparisons of FY2015 enacted and FY2016 requested
appropriations for the department by thematic grouping. References to titles refer to the
organization of the funding in the FY2015 appropriations cycle, not the Administration’s budget
request.
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 authority (see below). 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 FY2016 funding for the
title’s components from all sources (such as fees not governed by the bill, trust funds, etc.).
DHS and “Adjusted” Net Discretionary Budget Authority
The annual DHS budget proposal includes a variety of funding mechanisms. For example, the FY2016 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.8

8 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
(continued...)
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Department of Homeland Security Appropriations: FY2016

The appropriations bill also may include rescissions—cancel ation 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 col ections 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.
Departmental Management and Operations
Table 1. Budgetary Resources for Departmental Management and Operations
Components, FY2015 and FY2016
(budget authority in millions of dollars)
FY2015
FY2016
Senate-
House-
Reported S.
Reported
Component/Appropriation
Enacted Request 1619
H.R. 3128
Office of the Secretary and Executive
133 134 133 132
Management
Office of the Under Secretary for
188 193 185 194
Management
DHS Headquarters Consolidation

216b — —
DHS Headquarters Consolidation
[49] — [212] [44]
(Title V)
Office of the Chief Financial Officer
52
54
53
56
Financial Systems Modernization
[34] [43c] [36] [53]
(Title V)
Office of the Chief Information
288 321 304 308
Officer
Analysis and Operations
256
269
263
265
Office of the Inspector General
119
142
134
141
Transfer to OIG from FEMA’s DRF
[24] [24] [24] [24]
(Title III)a
Net Discretionary Budget
1,035 1,329 1,074 1,096
Authority: Title I

(...continued)
budget authority.
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Department of Homeland Security Appropriations: FY2016

FY2015
FY2016
Senate-
House-
Reported S.
Reported
Component/Appropriation
Enacted Request 1619
H.R. 3128
Net Discretionary Budget
1,141 1,396 1,346 1,217
Authority: Total for
Departmental Management and
Operations Components

Total Gross Budgetary
1,141 1,396 1,346 1,217
Resources for Departmental
Management and Operations
Components

Source: CRS analysis of P.L. 114-4 and its explanatory statement as printed in the Congressional Record of
January 13, 2015, pp. H275-H322, the FY2016 DHS Budget-in-Brief, S. 1619, S.Rept. 114-68, H.R. 3128 and
H.Rept. 114-215.
Notes: Table displays rounded numbers, but al 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
FY2015 and $24 million requested for FY2016.
b. This amount includes more than $11 million in support costs for the facility, which generally has been
appropriated in the Coast Guard’s Operating Expenses account.
c. The Administration requested funding for this activity under the Office of the Chief Financial Officer.
Security, Enforcement, and Investigations
Table 2. Budgetary Resources for Security, Enforcement, and Investigations,
FY2015 and FY2016
(budget authority in millions of dollars)
FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
Customs and Border Protection




Salaries and Expenses
8,460
9,124
8,779
8,695
Small Airport User Feea 9
9
9
9
Automation Modernization
808
867
854
846
Border Security Fencing, Infrastructure,
382 373 373 439
and Technology
Air and Marine Operations
750
747
755
785
Facilities Management
289
342
314
341
COBRA FTA funding (Title V)b [138]
[180]
[220]
[180]
Title II Appropriation
10,699
11,463
11,084
11,116
Total Appropriation
10,837
11,643
11,304
11,296
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Department of Homeland Security Appropriations: FY2016

FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
Fees, Mandatory Spending, and Trust
1,884 1,977 1,977 1,977
Funds
Total Budgetary Resources (including Title
12,721 13,620 13,281 13,273
V)
Immigration and Customs




Enforcement
Salaries and Expenses
5,933
5,887
5,762
5,736
Automation and Infrastructure
26 74 53 74
Modernization
Construction 0
5
0
5
Appropriation 5,959
5,965
5,815
5,815
Fees, Mandatory Spending, and Trust
345 322 322 322
Funds
Total Budgetary Resources
6,304
6,287
6,137
6,137
Transportation Security




Administration
Aviation Security (net funding)
3,574
3,500
3,453
3,429
Surface Transportation Security
124
124
123
107
Intelligence and Vettingc (net funding)
219
228
225
216
Transportation Security Support
917
931
919
901
Appropriation 4,834
4,783
4,719
4,653
Fees, Mandatory Spending, and Trust
2,395 2,564 2,579 2,579
Funds
Total Budgetary Resources
7,229
7,347
7,299
7,233
U.S. Coast Guard




Operating Expensesd 7,043
6,823
6,996
6,899
Overseas Contingency Operations
[213] 0
[160] 0
Adjustment (included in Operating
Expenses)d
Environmental Compliance and
13 13 13 13
Restoration
Reserve Training
115
111
111
111
Acquisition, Construction, and
1,225 1,017 1,573 1,301
Improvements
Research, Development, Testing, and
18 18 18 18
Evaluation
Health Care Fund Contributiona 177
169
169
169
Discretionary Appropriation
8,378
8,151
8,721
8,512
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Department of Homeland Security Appropriations: FY2016

FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
Fees, Mandatory Spending, and Trust
1,664 1,822 1,822 1,822
Funds
Total Budgetary Resources
10,255
9,973
10,703
10,334
U.S. Secret Service




Salaries and Expenses
1,616
1,867
1,837
1,833
Acquisition, Construction, and
50 72 87 73
Improvements
Appropriation 1,666
1,939
1,924
1,906
Fees, Mandatory Spending, and Trust
260 265 265 265
Funds
Total Budgetary Resources
1,926
2,204
2,189
2,171
Net Discretionary Budget Authority:
31,536 32,301 32,264 32,002
Title II
Net Discretionary Budget Authority:
31,674 32,481 32,484 32,182
Total for Security, Enforcement, and
Investigations Components

Total Gross Budgetary Resources for
38,434 39,431 39,609 39,147
Security, Enforcement, and
Investigations Components

Source: CRS analysis of P.L. 114-4 and its explanatory statement as printed in the Congressional Record of
January 13, 2015, pp. H275-H322, the FY2016 DHS Budget-in-Brief, S. 1619, S.Rept. 114-68, H.R. 3128 and
H.Rept. 114-215.
Notes: Table displays rounded numbers, but al 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. Sec. 556 of the Senate-reported bill and Sec. 551 of the House reported bill authorize CBP to expend
certain fee revenues col ected 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 total gross budgetary resources for the Coast
Guard, not the total net discretionary budget authority.
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Protection, Preparedness, Response, and Recovery
Table 3. Budgetary Resources for Protection, Preparedness, Response, and Recovery,
FY2015 and FY2016
(budget authority in millions of dollars)
FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
National Protection and Programs




Directorate
Management and Administration
62
64 58 56
Infrastructure Protection and Information
1,189 1,312 1,297 1,245
Security
Federal Protective Servicea [1,343]
[1,443]
[1,443]
[1,443]
Office of Biometric Identity Management
252
284
283
283
Appropriation 1,502
1,659
1,638
1,585
Fees, Mandatory Spending, and Trust Funds
1,343
1,443
1,443
1,443
Total Budgetary Resources
2,845
3,103
3,082
3,028
Office of Health Affairs




Appropriation 129
124
123
125
Fees, Mandatory Spending, and Trust Funds
0
0
0
0
Total Budgetary Resources
129
124
123
125
Federal Emergency Management




Agency
Salaries and Expenses
934
949
929
956
Grants and Training
2,530
2,231
2,530
2,530
Radiological Emergency Preparedness
-2
*
*
*
U.S. Fire Administration
44
42
44
44
Disaster Relief Fund
596
662
662
662
Major Disasters Adjustment
[6,438]
[6,713]
[6,713]
[6,713]
Transfer to Office of Inspector General
[-24]
[-24]
[-24]
[-24]
Subtotal: Net Total Disaster Relief
[7,009] [7,351] [7,351] [7,351]
Fundingb
Flood Hazard Mapping and Risk Analysis
100
279
190
100
National Flood Insurance Funda [179]
[181]
[181]
[181]
Pre-disaster Mitigation Fund
25
200
100
25
Emergency Food and Shelter
120
100
100
120
Appropriationc 4,347
4,462
4,554
4,437
Fees, Mandatory Spending, and Trust Funds
4,538
4,666
4,666
4,666
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Department of Homeland Security Appropriations: FY2016

FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
Total Budgetary Resources
15,299
15,817
15,909
15,791
Net Discretionary Budget Authority:
5,979 6,246 6,315 6,147
Title IIIc
Net Discretionary Budget Authority:
5,955 6,222 6,291 6,123
Total for Protection, Preparedness,
Response and Recovery Components

Total Gross Budgetary Resources for
18,250 19,020 19,114 18,920
Protection, Preparedness, Response
and Recovery Components

Source: CRS analysis of P.L. 114-4 and its explanatory statement as printed in the Congressional Record of
January 13, 2015, pp. H275-H322, the FY2016 DHS Budget-in-Brief, S. 1619, S.Rept. 114-68, H.R. 3128 and
H.Rept. 114-215.
Notes: * = rounds to zero. Table displays rounded numbers, but al 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 whol y 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.
Research and Development, Training, and Services
Table 4. Budgetary Resources for Research and Development, Training, and Services
FY2015 andFY2016
(budget authority in millions of dollars)
FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
U.S. Citizenship and Immigration Services




E-Verify 124
120
120
120
Immigrant Immigration Programs

10


Immigrant Integration Grants (Title V; authority
[10] — [10] [10]
to use fees)
U Visa fee proposal (Title V)

21


Appropriation 124
151
120
120
Fees, Mandatory Spending, and Trust Funds
3,097
3,874
3,491
3,491
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FY2015
FY2016
Senate-
House-
reported
reported
Component/Appropriation
Enacted Request S. 1619
H.R. 3128
Total Budgetary Resources
3,231
4,025
3,620
3,620
Federal Law Enforcement Training Center


Salaries and Expenses
230
239
219
212
Acquisition, Construction, Improvements, and
28 28 26 28
Related Expenses
Appropriation 258
267
246
239
Fees, Mandatory Spending, and Trust Funds
0
0
0
0
Total Budgetary Resources
258
267
246
239
Science and Technology Directorate




Management and Administration
130
132
130
132
Research, Development, Acquisition, and
974 647 634 655
Operations
Appropriation 1,104
779
765
787
Fees, Mandatory Spending, and Trust Funds
0
0
0
0
Total Budgetary Resources
1,104
779
765
787
Domestic Nuclear Detection Office


Management and Administration
37
38
38
38
Research, Development, and Operations
198
196
196
196
Systems Acquisition
73
123
87
123
Appropriation 308
357
320
357
Fees, Mandatory Spending, and Trust Funds
0
0
0
0
Total Budgetary Resources
308
357
320
357
Net Discretionary Budget Authority: Title
1,795 1,533 1,451 1,503
IV
Net Discretionary Budget Authority: Total
1,805 1,554 1,461 1,513
for Research and Development, Training,
and Services Components

Total Gross Budgetary Resources for
4,902 5,427 4,951 5,003
Research and Development, Training, and
Services Components

Source: CRS analysis of P.L. 114-4 and its explanatory statement as printed in the Congressional Record of
January 13, 2015, pp. H275-H322, the FY2016 DHS Budget-in-Brief, S. 1619, S.Rept. 114-68, H.R. 3128 and
H.Rept. 114-215.
Notes: Table displays rounded numbers, but al 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.
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Crosscutting Issues for the Department of Homeland Security9
Discretionary Spending Limits
Most of the DHS budget is outside of the defense budget function (050). As a result, the
department competes with the rest of the federal nondefense budget for discretionary spending
allocations under the budget controls imposed by the Budget Control Act.10 The funding to be
allocated among the appropriations subcommittees is not anticipated to rise at the same rate as
envisioned in the Administration’s budget request. House Homeland Security Subcommittee
Chairman John Carter described the tension this creates at a subcommittee hearing on the request:
To begin, the $1.5 billion increase [proposed for DHS] absorbs almost 75% of non-defense,
discretionary spending available under the limits of the Budget Control Act of 2013. Mr.
Secretary … the Congress intends to live within the confines of the law even if the
Administration does not. As a result, I doubt DHS’s budget will rise as steeply as the request
proposes.11
Federal Pay Issues
The Administration proposed a 1.3% pay increase for all civilian federal employees and members
of the military in its FY2016 budget request. Almost all DHS employees are considered civilians,
with the significant exception of Coast Guard military personnel.
The Senate Appropriations Committee report stated that “the committee assumes the COLA for
civilian employees across the Department will be absorbed within amounts appropriated in this
act.”12 Likewise, the House Appropriations committee report indicated that funding was not
provided for the civilian pay increase, but that if the administration provides a civilian pay
increase that it would “be absorbed within other amounts appropriated for FY2016.”13 The House
Appropriations Committee report indicated that the military pay raise was fully funded.14
The House report also stated that the FY2017 budget request was to also include estimated
amounts, by component, and the standards and criteria for bonuses and performance awards.
S. 1619 and H.R. 3128, as reported, included general provisions15 that would prohibit 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

9 These sections coauthored with Barbara L. Schwemle, Analyst in American National Government, Government and
Finance Division.
10 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 Bill Heniff Jr., Elizabeth Rybicki, and Shannon M. Mahan.
11 Rep. John Carter, opening statement for Budget Hearing—Department of Homeland Security, House Appropriations
Committee Subcommittee on Homeland Security, March 26, 2015, at http://docs.house.gov/meetings/AP/AP15/
20150326/103205/HHRG-114-AP15-20150326-SD001.pdf.
12 S.Rept. 114-68, p. 21.
13 H.Rept. 114-215, p. 3.
14 H.Rept. 114-215, p. 57.
15 Sec. 506 and Sec. 552, respectively.
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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.
Execution of Personnel Funding
Hiring Process Delays
The Senate Appropriations Committee report stated that although Congress has provided for the
increased personnel that the department has consistently requested,16 “DHS has failed to bring
those funded positions on board for a myriad of reasons including delays in obtaining suitability
determinations and a backlog in polygraphs.”17 According to the committee, hiring difficulties are
exacerbated by qualified applicants who have withdrawn from the process or accepted other
positions by the time an offer of employment is made. Hiring times have increased department-
wide (from 146 days in 2013 to 163 days in 2014) and at CBP (from 278 days in 2013 to 308
days in 2014). While noting that the U.S. Secret Service improved its hiring times (from 327 days
in 2013 to 295 days in 2014), the committee report stated that the hiring process “still takes an
inordinately long time.”
The Senate report directed the department to report on its strategy to reduce hiring times and time
to hire statistics within 60 days after the act’s enactment. In addition, DHS and its major
components were directed to develop metrics to track the status of hiring actions, including
measuring the time spent on actions within each step of the process.18 The USM was directed to
provide a briefing on the development of the metrics within 90 days after the act’s enactment.
According to the House Appropriations Committee report, “Chronic and systemic personnel
shortfalls and lengthy hiring times jeopardize DHS’s homeland security mission” and attrition
rates are outpacing hiring in several components of the department. The report stated that DHS
expects to end FY2015 “more than 6,000 FTEs below the number for which funds were
provided” and would have to hire more than 7,000 FTEs between July 2015 and September 30,
2015, to reach the FTE level requested for FY2016. Given these circumstances, the report states
that, for FY2016, “the Committee is unconvinced DHS will be able to spend the funds requested
in the budget” and therefore, “reduce[d] funding in various agencies to reflect a more realistic and
achievable number of FTEs.”19
Going forward, the House report mandated two actions. First, the USM was directed to prepare “a
root cause analysis” of the attrition and hiring shortfalls, “develop a corrective action plan” that
will include metrics to measure the outcomes of initiatives, and provide monthly updates,
beginning on January 15, 2016, to the committee on the results of the initiatives. Second, the
department was again directed to provide a report,20 on a strategy for reducing hiring times and

16 The Senate committee report noted particularly requests for border security and cybersecurity personnel. (S.Rept.
114-68, p. 19.)
17 S.Rept. 114-68, p. 19.
18 The Senate committee report noted that the Federal Emergency Management Agency already tracks the status of
hiring actions. (S.Rept. 114-68, p. 20.)
19 The report stated that the committee recommended the requested number of mission-critical positions in Customs
and Border Protection and the U.S. Secret Service. (H.Rept. 114-215, p. 13 and p. 4.)
20 The explanatory statement that accompanied P.L. 114-4 directed DHS to provide such a report. The committee
(continued...)
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provide data on those hiring times by component, by quarter, within 30 days after the act’s
enactment and thereafter, each quarter. The committee required that the report include additional
content on hiring times21 and metrics.22
Determining Personnel Requirements
The Senate Appropriations Committee report stated that the committee seeks “to understand how
the Department proposes to balance real technology needs against manpower costs” and has
requested “reports and briefings on the right balance of people, technology, and infrastructure” to
support DHS operations.23
The House Appropriations Committee report believes that “the lack of a rigorous and consistent
methodology to determine” the department’s personnel requirements and costs is a “strategic
problem.” To address this matter, the committee directed USM to require the OCFO “to conduct
an analysis of force structure that identifies the operations in which DHS personnel are expected
to perform, the effects they must achieve, the attributes the forces must possess, and what kind
and size of force is needed to execute the operations successfully.”24 The committee also directed
that the OCFO provide quarterly briefings on the progress of the study and apply
recommendations from its analysis to the FY2018 budget request, with personnel funding
shortfalls noted.
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 House-reported H.R. 3128 to 34,425 for Customs and Border protection in
both Senate and House-reported bills. Thirteen such limitations, totaling $177,505, appear in
Senate-reported S. 1619, and 14 such limitations, totaling $166,955, appear in House-reported
H.R. 3128. Aside from the specific direction provided in the Senate- and House-reported
legislation, both committee reports provided additional direction. 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.”25 The House committee report directed the department to review

(...continued)
received the report on June 22, 2015, but determined that it “failed to fully comply with the requirement” because of
incomplete data on hiring times and a lack of information on metrics. (H.Rept. 114-215, p. 13.)
21 With regard to hiring, the number of days associated with each step in the hiring process, including announcements
in progress, announcements posted, interviews pending, offers pending, individuals selected, security approvals, and
personnel entering on duty should be included.
22 With regard to metrics, data on the number of days reduced by implementing an initiative, the numbers of onboard
personnel at the beginning and end of the reporting period, and the number of separations for the reporting period
should be included.
23 S.Rept. 114-68, p. 5.
24 H.Rept. 114-215, p. 13.
25 S.Rept. 114-68, p. 9.
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representation allowances for all DHS agencies to ensure the equitable alignment of funds with
responsibilities, and submit any proposed changes with the FY2017 budget request.26
For Further Information
For additional perspectives on FY2016 DHS appropriations, see the following:
• CRS Report R44048, Trends in the Timing and Size of DHS Appropriations: In
Brief
• CRS Report R44051, Comparing DHS Appropriations by Component, FY2016:
Fact Sheet
• CRS Report R44052, DHS Budget v. DHS Appropriations: Fact Sheet
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 5. DHS Appropriations Experts
Component/Subcomponent Name
Phone
Email
DHS Annual and Supplemental
William Painter
7-3335
wpainter@crs.loc.gov
Appropriations, Overall
Departmental Management
Barbara L. Schwemle
7-8655
bschwemle@crs.loc.gov
DHS Headquarters Consolidation
Wil iam Painter
7-3335
wpainter@crs.loc.gov
Analysis and Operations
Jerome Bjelopera
7-0622
jbjelopera@crs.loc.gov
Office of the Inspector General
William Painter
7-3335
wpainter@crs.loc.gov
U.S. Customs and Border Protection
Lisa Seghetti
7-4669
lseghetti@crs.loc.gov
U.S. Immigration and Customs
Alison Siskin
7-0260
asiskin@crs.loc.gov
Enforcement
Transportation Security
Bart Elias
7-7771
belias@crs.loc.gov
Administration
U.S. Coast Guard
John Frittelli
7-7033
jfrittelli@crs.loc.gov
U.S. Secret Service
Shawn Reese
7-0635
sreese@crs.loc.gov
National Protection and Programs Directorate
Infrastructure Protection and Information
John D. Moteff
7-1435
jmoteff@crs.loc.gov
Services
Federal Protective Service
Shawn Reese
7-0635
sreese@crs.loc.gov
Office of Biometric Identity Management
Lisa Seghetti
7-4669
lseghetti@crs.loc.gov
Office of Health Affairs
Sarah A. Lister
7-7320
slister@crs.loc.gov
Federal Emergency Management Agency

26 H.Rept. 114-21527 31 U.S.C. §§1341, 1342, 1344, 1511-1517.
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Component/Subcomponent Name
Phone
Email
Management
Francis X. McCarthy
7-9533
fmccarthy@crs.loc.gov
Preparedness Grants
Shawn Reese
7-0635
sreese@crs.loc.gov
Firefighter Assistance Grants
Lennard G. Kruger
7-7070
lkruger@crs.loc.gov
Disaster Relief Fund
Bruce R. Lindsay
7-3752
blindsay@crs.loc.gov
Emergency Food and Shelter
Francis X. McCarthy
7-9533
fmccarthy@crs.loc.gov
Pre-disaster Mitigation
Francis X. McCarthy
7-9533
fmccarthy@crs.loc.gov
U.S. Citizenship and Immigration
William A. Kandel
7-4703
wkandel@crs.loc.gov
Services
Science and Technology
Daniel Morgan
7-5849
dmorgan@crs.loc.gov
Domestic Nuclear Detection Office
Daniel Morgan
7-5849
dmorgan@crs.loc.gov
General Provisions
William Painter
7-3335
wpainter@crs.loc.gov



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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 Act27
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 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.28 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 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 199029 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

27 31 U.S.C. §§1341, 1342, 1344, 1511-1517.
28 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.
29 P.L. 101-508, Title XIII.
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appropriated each year and are included in appropriations acts. Within DHS, Coast Guard
retirement pay is an example of appropriated mandatory spending.
Offsetting Collections30
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.
Table A-1 shows comparable figures for the 302(b) allocation for FY2015, based on P.L. 114-4,
and the President’s request for FY2016. House and Senate allocations for the Homeland Security
appropriations bill will be added as they become available.

30 Prepared with assistance from Bill Heniff Jr., Analyst in American National Government.
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Table A-1. FY2015 and FY2016 302(b) Discretionary Allocations for DHS
(budget authority in billions of dollars)
FY2016
FY2015
FY2016 Request
FY2016 House
FY2016 Senate
Enacted
Comparable
Comparable
Allocation
Allocation
Comparable
39.670a 41,194b 39,330b 40,213

Source: CRS analysis of the explanatory statement accompanying H.R. 240 as printed in the Congressional Record
of January 13, 2015, pp. H275-H322, and the FY2015 DHS Budget-in-Brief.
a. This authority does not include the $213 million for overseas contingency operations or the $6,438 million
for disaster relief covered by adjustments to the discretionary spending caps set by the Budget Control Act.
b. This authority does not include the $6,713 million requested for disaster relief covered by adjustments to
the discretionary spending caps set by the Budget Control Act. This al ocation was original y $39,230
million—it was adjusted upward by a committee amendment on July 8, 2015.
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
2013,31 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. 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 relief from the previous fiscal year.
For FY2014, OMB determined the allowable adjustment for disaster relief was $12,143 million,32
of which only $5,717 million was exercised. In February 2015, OMB noted the FY2015

31 P.L. 113-67.
32 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.
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allowable adjustment for disaster assistance was $18,430 million: $11,913 million from the
rolling average and $6,517 million in carryover from FY2014.33 FY2015 was the first year in
which more than $1 billion of allowable adjustment for disaster relief carried over from the
previous fiscal year.

Author Contact Information

William L. Painter, Coordinator
Barbara L. Schwemle
Analyst in Emergency Management and Homeland
Analyst in American National Government
Security Policy
bschwemle@crs.loc.gov, 7-8655
wpainter@crs.loc.gov, 7-3335



33 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.
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