Federal Homeland Security Research and Development Funding: Issues of Data Quality

Federal Homeland Security Research and Development Funding: Issues of Data Quality

Order Code RL32482
CRS Report for Congress
Received through the CRS Web
Federal Homeland Security
Research and Development Funding:
Issues of Data Quality
June 28, 2004
name redacted
Specialist in Science and Technology Policy
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress

Federal Homeland Security Research and Development
Funding: Issues of Data Quality
Summary
Section 889 of the Homeland Security Act, P.L. 107-296, requires the Office of
Management and Budget (OMB) to report homeland security budget data annually
to Congress and to consult with Congress to identify homeland security activities for
this purpose. Accurate information is needed in order to set and coordinate priorities
and policy for federal homeland security research and development (R&D). P.L.
107-296 gave the Department of Homeland Security (DHS) Secretary, acting through
the Under Secretary for Science and Technology, coordination responsibilities to
ensure that federal homeland security R&D serves DHS’s internal needs, supports
the agencies transferred to DHS, contributes to presidentially defined homeland
security missions, and ensures that federal homeland security R&D programs do not
duplicate or leave gaps. According to the Under Secretary, federal homeland security
R&D will be coordinated by fall 2004. Legislation has been introduced to require
DHS to prioritize and consolidate all of its R&D activities that are not now managed
by the agency’s Science and Technology Directorate (H.R. 4141/S. 2285).
OMB data show that federal funding for homeland security R&D was requested
at $3.6 billion for FY2005; DHS’s R&D programs constitute about one-third of total
funding. Other agencies with large homeland security R&D budgets are the National
Institutes of Health, the Department of Defense, the Department of Justice, the
National Science Foundation, the Department of Agriculture, the Environmental
Protection Agency, and the Department of Commerce.
OMB has collected cross-agency funding data on homeland security R&D for
several years. This is a difficult task on which OMB is making progress. Data are
now collected for different purposes; data sets often conflict. In its Combating
Terrorism reports, OMB publishes summary data by agency on combating terrorism
R&D and summarizes some programs. It describes homeland security R&D as a
subset of combating terrorism R&D and has not published data on homeland security
R&D funding, per se. OMB publishes data on homeland security funding by agency,
subdivided by programs or units, in tables appended to the FY2005 budget request.
It is not possible to identify clearly programs for R&D using these data. OMB has
also produced an unpublished homeland security R&D data table; it is not widely
circulated and gives only total funding by agency. A 2004 Congressional Budget
Office report found shortcomings in federal homeland security funding data.
Problems with the accuracy and consistency of R&D data may be caused by
inaccurate reporting, federal agencies’ use of different definitions, or changing
conceptions of “homeland security” over time. Among options Congress could
consider are requiring agencies to use standardized definitions of homeland security
R&D, or mandating that OMB or DHS prepare an annual accounting specifically of
homeland security R&D funding and activities. See also CRS Report RL32481,
Homeland Security R&D Funding and Activities in Federal Agencies: A Preliminary
Inventory, by (name redacted).
This report will not be updated.

Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
DHS’s R&D Coordination Goals and Responsibilities . . . . . . . . . . . . . . . . . . . . . 2
DHS’s Statutorily Mandated Coordination Responsibilities . . . . . . . . . . . . . 3
R&D To Combat Terrorism: Data and Information Sources . . . . . . . . . . . . . . . . 5
Homeland Security R&D: Data and Information Sources . . . . . . . . . . . . . . . . . . . 7
Data Sources Used . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
OMB’s Unpublished Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Data From OMB Appendix Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Issues Relating to Data Quality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Comparisons Between FY2003 Data Sets . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Comparisons Among Data Sets for FY2004 and FY2005 . . . . . . . . . . . . . 14
Summary of Major Differences Among Data Sets, for FY2005
Requested Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Summary Observations About Data on R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Major Difficulties With the Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Different Types of Information Are Compiled for Different
Purposes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Differences Observed Among Data Sets . . . . . . . . . . . . . . . . . . . . . . . 19
OMB Data Do Not Appear to Report All Funding for R&D . . . . . . . . 19
Whether Overseas Combating Terrorism R&D Funding is
Included in Combating Terrorism R&D Totals . . . . . . . . . . . . . . 20
OMB May Not Count All of DOD’s R&D . . . . . . . . . . . . . . . . . . . . . 20
Agencies May Be Using Different Definitions When Reporting
Funding Levels to OMB . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
R&D Funding Reported Under Two Different Homeland
Security Missions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Options to Improve Information About Homeland Security
R&D Funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
List of Tables
Table 1. OMB Data on Funding for R&D to Combat Terrorism, by Agency,
FY2002 to FY2004, Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Table 2. Overseas Combating Terrorism (OCT) Funding by Agency and Budget
Account, Department of Defense — Military for Research, Development, Test,
and Evaluation (RDT&E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Table 3. Unpublished OMB Data on Homeland Security R&D Funding
by Agency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Table 4. Comparisons Among Funding Data: Unpublished and Published OMB Data
on Homeland Security R&D, OMB Combating Terrorism R&D, AAAS
Homeland Security R&D, FY2003 Enacted . . . . . . . . . . . . . . . . . . . . . . . . 11

Table 5. Comparison Among Unpublished and Published Data on Homeland
Security R&D Funding and AAAS Data on Homeland Security R&D Funding,
FY2004 Enacted . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Table 6. Comparison Among Unpublished and Published OMB Data on Homeland
Security R&D Funding and AAAS Data on Homeland Security R&D Funding,
FY2005 Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Table 7. AAAS Data on “Federal Homeland Security R&D in the FY2005 Budget”
Including Funding for R&D Facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Table 8. Summary of Differences in FY2005, Requested Data Sets,
by Agency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Federal Homeland Security Research and
Development Funding: Issues of Data Quality
Introduction
The Department of Homeland Security (DHS) has statutorily mandated
responsibilities to coordinate federal homeland security research and development
(R&D). Implementation of these responsibilities depends, in part, on the quality of
information about homeland security R&D programs in DHS and in other agencies.
There is no single published comprehensive inventory of federal agency homeland
security R&D activities. Several different types of data sets have been prepared for
different purposes. In its reports to Congress on Combating Terrorism, the Office
of Management and Budget (OMB) publishes summary data on federal agencies’
budgets for R&D for combating terrorism and gives short descriptions of some
agency programs.1 These data are current only through the budget request for the
fiscal year when the report is published. OMB describes homeland security R&D as
a subset of combating terrorism R&D. OMB has not published data on homeland
security R&D funding, per se, but, using an internal cross-walk budget data base, it
has prepared an unpublished table on homeland security R&D. In data appended to
the FY2005 budget request (and available only electronically or on CD-ROM), OMB
published information on homeland security funding by agency, subdivided by
programs and units. (An earlier version of these data, current only through the
FY2004 request, was appended to the 2003 Report to Congress on Combating
Terrorism.)
According to the Congressional Budget Office (CBO), OMB’s publication of
these data are responsive to section 889 of the Homeland Security Act of 2002, P. L.
107-296, which directed OMB to produce an annual report on homeland security
funding to accompany the President’s annual budget submission.2 It is not possible
to identify accurately all agency programs for homeland security R&D using these
data. CBO identified general limitations in the OMB data on homeland security as
follows:
The allocation of homeland security funding to almost 200 appropriation
accounts within the federal budget substantially complicates efforts to track such
spending. In addition, agencies, in their accounts, do not separate that funding
1 This report is required by Section 1051 of the National Defense Authorization Act of 1998,
P.L. 105-85.
2 Congressional Budget Office, “Federal Funding for Homeland Security,” Economic and
Budget Issue Brief, Apr. 30, 2004, p. 3 (html version.) Available at
[ h t t p : / / w w w . c b o . g o v / s h o w d o c . c f m ? i n d e x = 5 4 1 4 & s e q u e n c e = 0 ] o r
[ftp://ftp.cbo.gov/54xx/doc5414/homeland_security.pdf].

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from money appropriated for their other activities. Indeed, much of the money
for homeland security activities resides within accounts that finance primarily
non-homeland-security spending, such as departmental salaries and expenses.
That accounting practice makes it difficult to clearly identify homeland security
funding as it moves through the appropriation process.
Section 889 of the Homeland Security Act of 2002 attempted to address that
issue by directing OMB to produce an annual report on homeland security
funding to accompany the President’s annual budget submission. The reports
contain data on homeland security spending collected by federal agencies and
updated throughout the fiscal year, but those data do not always provide a
consistent picture of expenditures. ... Classifying and reporting spending on
homeland security activities require judgments about particular projects and
programs. In addition, under the current data-collection process, definitions of
homeland security and current- and prior-year funding levels are continually
being modified and updated.3
This CRS report portrays some of the data that has been collected about federal
agency homeland security R&D and raises issues about the availability and
consistency of such information, especially about OMB’s data.4 The quality of
information is important since it enters into consideration when attempting to
coordinate homeland security R&D programs. Another CRS report inventories in
detail specific federal agency homeland security R&D programs and funding trends.
(CRS Report RL32481, Homeland Security R&D Funding and Activities in Federal
Agencies: A Preliminary Inventory).
Among the observations made are that the different data sets that the Office of
Management and Budget (OMB) publishes about homeland security R&D are not
consistent and do not always include funding data for all federal agencies that are
known to have homeland security R&D programs. In addition, agencies may be
using different definitions when reporting homeland security funding. An
implication is that DHS and Congress would have a clearer picture of federal
commitments for homeland security R&D and would be better equipped to
coordinate and set priorities for such R&D if more accurate and consistent
information were collected and published.
DHS’s R&D Coordination Goals and
Responsibilities
DHS Under Secretary for Science and Technology, Dr. Charles E. McQueary,
testified before Congress on February 25, 2004, that he had established two
challenging goals relating to coordination of federal homeland security R&D: “By
3 CBO, “Federal Funding for Homeland Security,” op. cit.
4 For other information about federal agency homeland security R&D funding and activities,
see CRS Report RS21270: Homeland Security and Combating Terrorism Research and
Development: Funding, Organization, and Oversight, by (name redacted), and CRS
Report RL31914, Research and Development in the Department of Homeland Security, by
(name redacted),.

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the autumn of 2004, all Department of Homeland Security research and development
programs will be consolidated and all United States Government research and
development relevant to fulfilling the Department’s mission will have been identified
and coordinated as appropriate.”5 This is a daunting and complex goal, given the size
and complexity of the federal homeland security R&D budget. DHS’s homeland
security R&D was requested at about $1.2 billion for FY2005. The FY2005 request
for total federal homeland security R&D was about $3.6 billion (more than double
the resources used in FY2002 and about 63% more than enacted for FY2003). Total
federal agency homeland security R&D, including facilities and construction budget
authority, which numerous federal agencies6 fund, was requested at about $4.2 billion
for FY2005.7 While DHS’s R&D programs account for one-third of total
expenditures, other agencies with large homeland security R&D activities listed in
descending order of funding responsibility, include the National Institutes of Health
(NIH), the Department of Defense (DOD), the Department of Justice (DOJ), the
National Science Foundation (NSF), the Department of Agriculture (USDA), the
Environmental Protection Agency (EPA), the Department of Commerce (DOC), the
Department of Energy (DOE), and the Department of Transportation (DOT).
DHS’s Statutorily Mandated Coordination Responsibilities
DHS funds about one-third of all federal homeland security R&D, but has the
responsibility of ensuring that all federal homeland security R&D funding is
prioritized properly to serve the President’s homeland security missions. The
Secretary of Homeland Security is required by the Homeland Security Act, P.L. 107-
296, to prioritize and coordinate research and development for DHS and for other
federal agencies. Pursuant to P.L. 107-296, the Secretary of DHS, acting through the
DHS Under Secretary for Science and Technology, has major responsibilities to
coordinate R&D internally within the DHS Directorate for Science and Technology;
within the department as a whole to support the R&D needs of DHS’s other
directorates and missions (for border security; infrastructure protection; and
combating chemical, biological, and radiological threats); and on an interagency
basis, with individual agencies. The Under Secretary is also mandated to develop
federal R&D strategies that support homeland security missions. Specifically,
Section 302 of P.L. 107-296 outlined these intra-departmental and interagency
coordination responsibilities, including:
5 Statement of Dr. Charles E. McQueary, Under Secretary for Science and Technology,
Department of Homeland Security Before the U.S. House of Representatives, Subcommittee
on Cybersecurity, Science, and Research and Development, February 25, 2004.
6 One estimate is that at least 50 agencies supported homeland security R&D. See, Tom
LaTourrette, “Appendix H - Developing a Strategy for Research and Development in the
Department of Homeland Security,” in Forging America’s New Normalcy, The Fifth Annual
Report to the President and the Congress of the Advisory Panel to Assess Domestic
Response Capabilities for Terrorism Involving Weapons of Mass Destruction, Dec. 15,
2003, p. H-8
7 This information is from the American Association for the Advancement of Science, “Bush
Administration Seeks $4.2 Billion for Homeland Security R&D in FY2005,” May 12, 2004
[http://www/aaas/org/spp/rd/hs05.htm].

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! advising the Secretary regarding DHS’s R&D priorities;
! with other agencies, developing a strategic plan for federal R&D priorities
and goals related to countermeasures for chemical, biological,
radiological, nuclear and other emerging terrorist threats;
! conducting R&D relevant to all elements of DHS and coordinating and
integrating all of DHS’s RDT&E activities;
! establishing priorities for, directing, funding and conducting national
RDT&E to prevent the importation of terrorist weapons and detecting and
preventing such attacks;
! entering into agreement with the Department of Energy regarding using
the national laboratories;
! collaborating with the Secretary of Agriculture and the Attorney General
as provided in section 212 of the Agricultural Bioterrorism Protection Act
of 2002 (7 U.S.C. 8401) as amended by section 1709 (b) (relating to the
topic of regulating the use of certain toxins and biological agents);
! collaborating with the Secretary of Health and Human Services and the
Attorney General regarding identification of select agents;
! supporting U.S. leadership in S&T; and
! coordinating with other federal agencies to develop and carry out the S&T
agenda of DHS “to reduce duplication and identify unmet needs.”
Also, pursuant to Section 304, the DHS Secretary is to collaborate with the
DHHS Secretary to set priorities for homeland security-related human health R&D
and to establish benchmarks regarding achievement.
Most of DHS’s R&D activities are in the Directorate of Science and Technology
(S&T Directorate), but some are managed by other DHS units. The FY2004
homeland security appropriations conference report (H.Rept. 108-280) expressed
concern about the potential for duplication, waste, and inadequate management
oversight, and directed DHS to “consolidate all Departmental research and
development funding within the science and technology programs in the FY2005
budget request.” DHS did portray this information in a consolidated manner in the
FY2005 budget request. Legislation has been introduced that would require DHS to
prioritize and consolidate all of its R&D activities that are not now managed by the
agency’s Science and Technology Directorate (H.R. 4141/S. 2285).
The issue of coordinating homeland security R&D funding among federal
agencies is important for several reasons. These include priority-setting in order to
produce R&D and know-how about the science and technology issues most crucial
to ensuring homeland security; avoid unnecessary duplication; identify gaps where
R&D is needed; and enhance the potential for exchange of information and transfer
of technologies developed. Whether or not DHS achieves its goals relating to
coordination of homeland security R&D by fall 2004 and whether it has adequate
information about agency homeland security R&D activities may be of potential
interest to congressional committees with oversight for homeland security issues —
those that authorize and appropriate funds for DHS — and also to those that deal
with the R&D programs of other agencies with homeland security R&D budgets.

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R&D To Combat Terrorism: Data and Information
Sources
Although there is some overlap between data sets, as will be explained in this
report, OMB prepares separate information on “combating terrorism” R&D, which
will be examined first, and on “homeland security” R&D, which will be examined
in the following section.
The most comprehensive single source of information about federal funding and
agency programs for “combating terrorism” is the OMB annual series Report to
Congress on Combating Terrorism.8 The latest report, for 2003, was published in
September 2003; it contains data for FY2002, FY2003, and the FY2004 request. The
OMB report has been produced since 2001, and the series contains data starting with
FY2000. Information in the OMB report gives funding levels and describes the
objectives and activities of some federal agency programs to combat terrorism, of
which homeland security programs are considered a subset.9 The report does not
give detailed financial or descriptive information about all programs.

The OMB 2003 Combating Terrorism report identified two types of activities:
“antiterrorism (defensive measures used to combat terrorism) and counterterrorism
(offensive measures used to combat terrorism), both domestically and abroad.”10
OMB divided the “combating terrorism” heading into two funding categories,
“homeland security” (HS) and “overseas combating terrorism” (OCT).11 The report
defined “homeland security” programs as follows:
Homeland security programs focus on activities within the United States and its
territories, or on activities in support of domestically-based systems and
processes. The Homeland Security Council (HSC) coordinates these activities
government-wide. ... Homeland security is defined as a concerted national effort
to prevent terrorist attacks within the United States, reduce America’s
vulnerability to terrorism, and minimize the damage and recover from attacks
that do occur. [Homeland security can include activities that occur] ... outside the
United States and its territories if they support domestically-based systems or
activities (e.g., pre-screening high-risk cargo at overseas ports).12
The 2003 Combating Terrorism report included a summary table with data on
federal R&D funding to combat terrorism, by agency. These data, as depicted in
Table 1, show that, for FY2004, the latest year for which data were available for this
data set, agencies requested about $3.2 billion for R&D to combat terrorism. The
Department of Health and Human Services (DHHS) requested about 51% of this
amount and also posted the largest increase in funding, at 98% more than FY2003.
8 Reports for the fiscal years 2001 to 2003 are available at [http://www.omb.gov].
9 Office of Management and Budget, 2003 Report to Congress on Combating Terrorism,
September 2003, pp. 2-3.
10 OMB, 2003 Report to Congress on Combating Terrorism, p. 3.
11 OMB, 2003 Report to Congress on Combating Terrorism, p. 3.
12 Idem.

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This table did not say that it excluded OCT R&D, or that the table included only
“homeland security” R&D.
OMB’s 2003 Report to Congress on Combating Terrorism included an
appendix table which gave funding levels for overseas combating terrorism (OCT)
programs for agencies which support such activities. OCT R&D program funding
per se appeared only for four DOD budget accounts for “research, development, test,
and evaluation programs (RDT&E).” For FY2004, DOD requested a total of $2.1
billion, with the Air Force requesting the largest amount. See Table 2.
Table 1. OMB Data on Funding for R&D to Combat Terrorism, by Agency,
FY2002 to FY2004, Request
(budget authority, $ in millions)
Agency
2002 Enacted
2002
2003
2003
2004
Percent Change
Supple-
Enacted
Supple-
Request*
FY2003 to
mental
mental
FY2004
Dept. of Agriculture
$28.0
$52.2
$30.4
none
$42.1
+38%
Dept. of Commerce
11.7
7.0
16.4
none
19.4
+18%
Dept. of Defense
259.0
2.0
597.0
none
157.0
-74%
Dept. of Energy
none
none
19.0
none
none
-100%
Dept. of Health and
117.2
85.0
831.2
none
1,648.2
+98%
Human Srvs.
Dept. of Homeland
110.0
93.4
658.2
none
844.0
+28%
Security
Dept. of Justice
13.1
76.1
173.5
$4.9
174.7
-2%
Dept. of State
1.8
none
1.8
none
1.8
0%
Dept. of
54.7
54.0
3.7
none
3.9
+5%
Transportation
Corps of Engineers-
none
3.0
none
none
none
0%
Civil Works
Environmental
2.8
1.5
49.7
none
29.0
-42%
Protection Agency
National Science
228.8
none
268.5
none 285.7
+6%
Foundation
Postal Service
none
9.5
none
none
none
0%
Total, Combating
$827.0
$383.6
$2,649.4
$4.9
$3,205.7
+21%
Terrorism R&D
Source: Retyped version of a table in Office of Management and Budget, 2003 Report to Congress on Combating
Terrorism, September 2003, p. 16. The last column was calculated by CRS.
*FY2004, Request, is the latest year for which data were available in the OMB report.

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OMB did not include the DOD OCT R&D data in the combating terrorism R&D
table in the 2003 report (see Table 1 above). Thus, it appears that all of DOD’s
R&D funding was not portrayed in that table, even though OMB did not say that the
table excluded OCT R&D funding. It is not clear what types of DOD combating
terrorism R&D funding are included in Table 1, i.e. whether OMB reported only a
subset of DOD’s R&D funding. Most federal documents that report R&D funding
levels, including National Science Foundation reports and other OMB documents,
include all of DOD’s RDT&E funding in the reporting category of research and
development (R&D), and all RDT&E funding is included in government totals
portraying federal R&D funding.13 While OMB separately reported DOD’s OCT
RDT&E funding, it is not clear whether the DOD R&D budget authority data in the
combating terrorism data table (Table 1), excluded any part of DOD’s OCT R&D
or domestic RDT&E funding data. Also, it is not clear if other agencies’ domestic
RDT&E funding data for combating terrorism are included in Table 1. This is
confusing and can lead to inaccuracies in portraying funding for combating terrorism
R&D.
Table 2. Overseas Combating Terrorism (OCT) Funding by
Agency and Budget Account, Department of Defense — Military
for Research, Development, Test, and Evaluation (RDT&E)
(budget authority, $ in millions)
Program
FY2002,
FY2003,
FY2004
enacted
enacted
request*
RDT&E, Defense Agencies
$304
$520
$679
RDT&E, Navy
25
139
193
RDT&E, Army
201
1
—
RDT&E, Air Force
843
1,600
1,237
Source: Excerpted by CRS from: Office of Management and Budget, 2003 Report to Congress on
Combating Terrorism, September 2003, p. 69.
*FY2004 request, is the latest year for which data were available in the OMB report.
Homeland Security R&D: Data and
Information Sources
OMB’s 2003 Report to Congress on Combating Terrorism identified
“homeland security” R&D as a subset of combating terrorism R&D, as noted above.
It did not present any data specifically labeled homeland security R&D. The only
summary data it presented was the table on combating terrorism R&D, which, by
implication, may be for homeland security R&D, since it does not appear to include
OCT R&D. But, as will be noted below, OMB and other sources have presented
other data for homeland security R&D. There are inconsistencies among these
various information sources, raising additional questions about the accuracy (both
reliability and validity) of OMB’s data.
13 See definitions of R&D and data portraying the components of DOD’s R&D included in
federal funding totals in National Science Foundation, Federal Funds for Research and
Development: Fiscal Years 2001, 2002, and 2003, Volume 51 (NSF 04-310), pp. 3, 38.

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Data Sources Used
The Congressional Research Service (CRS) identified several sources of other
homeland security R&D funding data, including OMB appendix tables on homeland
security, unpublished OMB data, agency data, and data presented by the American
Association for the Advancement of Science (AAAS).
OMB’s Unpublished Data. In early 2004, OMB provided CRS with an
unpublished table arraying total federal agency funding for homeland security R&D
per se for FY2003, FY2004, and the FY2005 request. The unpublished data table
was prepared using an internal OMB database that identified agency programs and
data for homeland security R&D.14 The table gave only totals for each agency;
funding data were not reported for budget accounts within an agency, program or unit
within an agency, or homeland security missions. See Table 3.
Table 3. Unpublished OMB Data on Homeland Security R&D
Funding by Agency
(budget authority, $ in millions)
Agency
2003
2003
2004
2005
Enacted
Supplemental
Enacted
Request
Agriculture
$11.8
—
$21.8
$50.0
Commerce
16.4
—
16.5
22.6
Defense
212.0
—
267.0
340.2
Energy
18.9
—
19.5
8.0
Health/Human Services
834.2
—
1,643.8
1,557.2
Homeland Security
619.2
—
959.2
1,111.4
Justice
160.5
25.2
179.5
194.5
Transportation
3.7
—
—
4.1
Environmental Protection
52.9
—
28.8
22.8
Agency
National Science Foundation
268.5
—
305.6
315.8
Total Homeland Security
2,198.2
25.2
3,441.7
3,626.6
R&D
Total Non-defense Homeland
$1,986.2
$25.2
$3,174.7
$3,286.4
Security R&D
Source: Information provided by OMB, Jan. 27, 2004. OMB characterized these data as
“discretionary budgetary resources,” which, according to OMB staff is “budget authority,” the term
used in the table. Data exclude facilities and construction. According to OMB staff, these data will
not be updated (Interview, April 2004).
Data From OMB Appendix Tables. OMB’s 2003 Report to Congress on
Combating Terrorism included an appendix that gave details on homeland security
14 OMB staff gave CRS permission to use this table. Staff explained: “OMB collected this
data on homeland security R&D as part of its data collection for the Report to Congress on
Combating Terrorism. The R&D numbers are the sum of programs identified as “R&D”
through the data collection process.” This data table was not printed in the referenced report
to Congress.

CRS-9
funding, by agency, for FY2002 enacted, FY2003 enacted, and the FY2004 request.
These data were updated in an appendix on agency funding for homeland security
programs for the years FY2003 enacted, FY2004 enacted, and the FY2005 request,
that is accessible electronically via a CD-ROM and at the OMB website for the
report, Analytical Perspectives, Budget of the United States Government, Fiscal Year
2005.15 In these appendix tables, OMB arrayed funding information (budget
authority) by what it called “budget account” line-items16 for homeland security
activities for federal agency units or programs. Data for each budget account was
subdivided further according to homeland security missions, as defined in President
Bush’s National Strategy for Homeland Security, July 2002. These appendix data
were used to identify likely agency programs or units with responsibilities for science
or R&D. Identified from among these were programs or units that served the
homeland security mission of “defending against catastrophic threats,” the category
that included most R&D in President’s Strategy document.17 In addition, since it was
obvious that some agencies reported R&D in the mission category of “protecting
critical infrastructures and key assets,” some budget accounts for R&D programs or
units that used this category were also counted.18 It should be pointed out that the
2003 Combating Terrorism report noted that some funding for “protecting critical
infrastructure and key assets” may be for cyber security and physical security
improvements to agency facilities or infrastructure.19 OMB did not give enough
information to differentiate between R&D and physical protection activities.
Although such cyber and physical security improvements to facilities and
15 As noted above, according to the Congressional Budget Office, OMB’s publication of
these data are responsive to section 889 of the Homeland Security Act of 2002, P. L. 107-
296. The CD-ROM material for homeland security is available at 3. Homeland Security
Funding Analysis , Appendix — Homeland Security Mission Funding by Agency and
Budget Account (PDF), [http://www.whitehouse.gov/omb/budget/fy2005
/pdf/ap_cd_rom/homeland.pdf].
16 These budget account categories are different from those that appear in the President’s
budget.
17 OMB’s 2003 Report to Congress on Combating Terrorism, p. 4, defined “Defending
Against Catastrophic Threats” as “This mission area includes homeland security programs
that involve protecting against, detecting, deterring, or mitigating the terrorist use of
weapons of mass destruction, including understanding terrorists’ efforts to gain access to
the expertise, technology, and materials needed to build chemical, biological, radiological,
and nuclear (CBRN) weapons. In addition, this mission area includes funding for efforts
or planning to decontaminate buildings, facilities, or geographic areas after a catastrophic
event.”
18 OMB’s 2003 Report to Congress on Combating Terrorism, p. 4, defined “Protecting
Critical Infrastructures and Key Assets” as “An attack on one or more pieces of our critical
infrastructure may disrupt entire systems and cause significant damage. Programs that
improve protection of the individual pieces and the interconnecting systems that make up
our critical infrastructure belong in this mission area. Any funding for programs associated
with the physical or cyber security of federal assets also belongs in this mission area. This
mission area also includes programs designed to protect America’s key assets, which are
those unique facilities, sites, and structures whose disruption or destruction could have
significant consequences, including national monuments and icons.”
19 OMB, 2003 Report to Congress on Combating Terrorism, p. 4.

CRS-10
infrastructure may be for R&D, R&D funding may or may not be included in these
amounts. It is clear that for some agencies with large homeland security R&D
budgets, such as the National Science Foundation, OMB reported large amounts of
funding, or even most homeland security R&D funding, in the mission category of
“protecting critical infrastructure and key assets.”
Issues Relating to Data Quality
Pursuant to the definitions used by OMB, and if all combating terrorism OCT
R&D funding was reported separately, there should be identical data in OMB’s
unpublished table on homeland security R&D and in OMB’s published data table on
funding for combating terrorism R&D that was included in OMB’s 2003 Combating
Terrorism report. Comparisons may be made for only one year, FY2003 enacted,
because comparable data are not available for other years.20 Comparisons may also
be made with data identified for this CRS report as likely to be R&D from OMB’s
published appendix tables. See Table 4.
Comparisons Between FY2003 Data Sets
For FY2003 enacted, the data from two tables, OMB’s unpublished data on
homeland security R&D and published data table on combating terrorism R&D, were
the same for only three agencies, the Departments of Commerce, Transportation, and
the National Science Foundation. Data were similar (no greater than 5% difference)
for DOE, DHHS, and the Department of Justice. Comparing these two sources, there
were major differences in funding for the Departments of Agriculture (where the
amount in the unpublished homeland security table exceeded the amount in the
published combating terrorism table by 158%); Defense, (where the amount in the
unpublished homeland security table exceeded the amount in the published
combating terrorism amount by 182%); Homeland Security, (where the amount in the
unpublished homeland security table was 6% less than the amount in the published
combating terrorism table) and State, (where the amount in the unpublished
homeland security table exceeded amount in the published combating terrorism table
by 100%. (Compare columns 2 and 3 of Table 4.)
There were other inconsistencies between the data sets. The “combating
terrorism” R&D data included funding for the State Department, but the unpublished
OMB table on homeland security R&D did not report any funding for this agency.
The funding amount reported for combating terrorism R&D was larger than the
funding reported in the unpublished homeland security R&D table for the
Departments of Agriculture, Defense, and Homeland Security. It may be that some
combating terrorism R&D supported by these agencies went to overseas activities,
but such funding was not identified in the OMB report. It appears unlikely that DHS
20 The combating terrorism R&D table also included data for FY2002, enacted and
supplemental and FY2004 requested, but no data for FY2005, preventing comparisons
FY2004 and FY2005.

CRS-11
and USDA have OCT R&D responsibilities; no OCT homeland security funding was
reported for these two agencies.21
Table 4. Comparisons Among Funding Data: Unpublished and Published
OMB Data on Homeland Security R&D, OMB Combating Terrorism R&D,
AAAS Homeland Security R&D, FY2003 Enacted
($ in millions)
(1)Agency
(2)Un-
(3)Published
(4)Published OMB
(5)Published OMB Appendix (6)AAAS Data
published
OMB Data
Appendix Data on
Data on Homeland Security
on Homeland
OMB Data on Funding
Homeland Security
R&D, With Items Identified Security R&D,
on
for R&D to
R&D, With Items
in This CRS Report as
FY2003
Homeland Combat
Identified in This
Likely To Be R&D, FY2003
Enacted
Security
Terrorism,
CRS Report as Likely Enacted, Including Data for
(Including
R&D,
FY2003
To Be R&D, FY2003
Only the Homeland Security Funding for
FY2003
Enacted
Enacted, Including
Mission of “Defending
Construction)
Enacted
Data for Both
Against Catastrophic
Homeland Security
Threats”
Missions
Agriculture
$11.8
$30.4
$11.8 (plus possible
$11.8 (plus possible $110.0
$155.0
$76.1 and $110.0 for
for bldgs.)
bldgs)
Commerce
16.4
16.4
17.8
none given
16.0
Defense 212.0
597.0
211.0
105.0
212.0
Energy
18.9
19.0
48.1
none given
38.0
Health/
834.2
831.2
1760.3
1646.5
1,653.0
Human
Services
Homeland
619.2
658.2
524.0
491.0
737.0
Security
Justice
185.7
178.4 impossible to determine
41.0
none given
State
none given
1.8
none given
none given
none given
Transpor-
3.7
3.7
1.2
none given
3
tation
EPA
52.9
49.7
20.6
none given
70.0
NASA
none given
none given
83.0
none given
73.0
NSF
268.5
268.5
284.5
27.0
271.0
Nuclear
none given
none given
38.8
8.9
none given
Regulatory
Com-
mission*
Other
47.0
*These figures are from an account for salaries and expenses, not a program or office identified as related to R&D per
se. They are included because they report budget accounts for homeland security missions from which R&D may be
funded.
21 2003 Report to Congress on Combating Terrorism, Appendix, pp. 68-70.

CRS-12
Source: Unpublished data on homeland security R&D are from: information provided by OMB, Jan. 27, 2004. OMB
characterized these data as “discretionary budgetary resources,” which, according to OMB staff, is “budget authority,”
the term used in the table. Data exclude facilities and construction. Published data on homeland security R&D are from:
Information excerpted by the CRS author from the appendix on homeland security to the OMB’s FY2005 Budget,
Analytical Perspectives, entitled “Homeland Security Funding Analysis, Appendix — Homeland Security Mission
Funding by Agency and Budget Account (PDF),”[http ://www.whiteho use.go v/o mb /b udget
/fy2005/pdf/ap_cd_rom/homeland.pdf]. Published data on funding for R&D to combat terrorism are from: Office of
Management and Budget, 2003 Report to Congress on Combating Terrorism, September 2003, p. 16.
If the difference in DOD totals between columns 2 and 3 in Table 4 represents
DOD’s OCT R&D funding, that difference ($385 million), is $1,875 million less than
the total reported for DOD’s FY2003 OCT R&D as reported in Table 2. While the
amount exceeding $212 million (see column 2 of Table 4) may be for OCT R&D,
that amount would constitute only part of DOD’s OCT R&D budget authority as
depicted in table 2. Thus, it is unclear if the $385 million is for homeland security
R&D or for OCT R&D.
Comparisons between data identified for this CRS report as likely to be R&D
from OMB’s published appendix tables and OMB’s unpublished data on homeland
security R&D show that for FY2003, data were identical for one budget account,
USDA’s ARS. Data were similar (no greater than 5% difference) for total DOD
budget accounts for both FY2004 and FY2005. See tables 5 and 6.
Regarding data for the Department of Homeland Security, the amount reported
for combating terrorism exceeded the amount in the unpublished homeland security
R&D table by $39 million. It is doubtful that this is for OCT R&D — which is not
a likely mission for DHS — and OMB did not identify DHS as having any budget
authority associated with OCT. There is a similar problem with respect to USDA,
which according to OMB has no OCT accounts; but the funding reported for USDA’s
combating terrorism R&D exceeded homeland security R&D funding by almost $20
million.
There are instances when the unpublished homeland security R&D data table
reported more funding than did the combating terrorism R&D data set, even though
the two categories may be intended to be equivalent, or where homeland security
R&D funding would not exceed the combating terrorism R&D funding. This
occurred in data reported for the Departments of Health and Human Services, Justice,
and for the Environmental Protection Agency. See Table 4.
There are also major differences in data sets for DHHS. For instance, for
FY2003 enacted, OMB’s unpublished homeland security R&D data and OMB’s
combating terrorism R&D data are almost equivalent. But they are both about $900
million less than the putative homeland security R&D data identified for this CRS
report from OMB’s appendix data attached to the Analytical Perspectives on the
FY2005 Budget. The two data sets for FY2003 also are about $800 million less than
reported elsewhere in the FY2005 volume of Analytical Perspectives on the Budget,
which reported R&D activities for DHHS totaling $1.664 billion for the homeland

CRS-13
security mission of defending against catastrophic terrorism.22 AAAS data also
report larger amounts of funding for DHHS than OMB’s unpublished or appendix
data. See Table 4.
Table 5. Comparison Among Unpublished and Published Data on
Homeland Security R&D Funding and AAAS Data on
Homeland Security R&D Funding, FY2004 Enacted
($ in milllions)
Agency
Unpublished
Published OMB
Published OMB
AAAS Data on
OMB Data
Appendix Data on
Appendix Data on
Homeland
on Homeland
Homeland Security,
Homeland Security
Security R&D,
Security
With All Items
With Items Identified
FY2004
R&D,
Identified in This
in This CRS Report as
Enacted
FY2004
CRS Report as
Likely To Be R&D,
(Including
Enacted
Likely To Be R&D,
FY2004 Enacted For
Funding for
FY2004 Enacted
the Mission of
Construction)
Including Data for
“Defending Against
Both Homeland
Catastrophic
Security Missions
Terrorism”
Agriculture
$21.8
$20.8 (plus possible
$20.8
$39.0
$62.5 for bldgs.)
Commerce
16.5
24.9
none given
24.0
Defense
267.0
265.0
146.8
267.0
Energy
19.5
47.2
none given
47.0
Health/Human
1,643.8
1,849.9
1,736.6
1,725.0
Services
Homeland
959.2
874.0
774.0
1,053.0
Security
Justice
179.5
impossible to identify
impossible to identify
none given
Transportation
none given
0.4
none given
3.0
EPA
28.8
51.5
none given
60.0
NASA
none given
79.0
none given
65.0
NSF
305.6
327.9
27.0
308.0
Nuclear
none given
66.2
16.2
none given
Regulatory
Commission*
Other
34.0
*No R&D budget account was listed for the Commission. These data are from a budget account for salaries and
expenses, which is not R&D oriented but is included because other sources indicate that the Commission funds homeland
security R&D.
Sources: Unpublished data are from: information provided by OMB, Jan. 27, 2004. OMB characterized these data as
“discretionary budgetary resources,” which, according to OMB staff, is “budget authority,” the term used in the table.
Data exclude facilities and construction. Published data are from: information excerpted by the CRS author from the
appendix on homeland security to the OMB’s FY2005 Budget, Analytical Perspectives, entitled “Homeland Security
Funding Analysis, Appendix — Homeland Security Mission Funding by Agency and Budget Account
(PDF),”[http://www.whitehouse.gov/omb/budget/fy2005/pdf/ap_cd_rom/homeland.pdf].
FY2005 OMB data on “R&D to Combat Terrorism” are not available yet.
22 Page 32.

CRS-14
There are other notable differences between the unpublished data on homeland security and data
in the putative R&D budget accounts identified in this CRS report. Some agencies, such as the
Nuclear Regulatory Commission and the National Aeronautics and Space Administration, reported
budget account items for units which appear to conduct homeland security R&D, but did not report
funding for homeland security R&D activities. See Table 4. (Similar differences appeared in data
for FY2004 (see Table 5) and for FY2005 (see Table 6). As noted above, it is not likely, in these
instances, that all the homeland security funding for budget accounts which appear to be R&D-
related goes exclusively to facilities protection.
These discrepancies indicate that sometimes OMB uses the terms “combating terrorism R&D”
interchangeably with R&D for homeland security and sometimes it does not, or that, at a minimum,
different data sets count different kinds of activities.
Comparisons Among Data Sets for FY2004 and FY2005
Comparisons between data sets for FY2004 are shown in Table 5, and for FY2005 in Table
6. For FY2004 and FY2005, there were no instances of equal data among agencies in comparing
OMB’s unpublished table on homeland security R&D and the data identified as likely R&D for this
CRS report using OMB’s appendix tables on homeland security. However, data were similar (no
greater than 5% difference) for total DOD budget accounts for FY2004 and for FY2005, and also for
USDA’s ARS for one budget account for the one homeland security mission, “defending against catastrophic
terrorism.”
Table 7 provides an alternative cut on the data, as presented by the American Association for the
Advancement of Science (AAAS), which also includes funding for construction related to R&D.

CRS-15
Table 6. Comparison Among Unpublished and Published OMB Data on
Homeland Security R&D Funding and AAAS Data on Homeland Security
R&D Funding, FY2005 Request
($ in millions)
Agency
Unpublished
Published OMB
Published OMB
AAAS Data on
OMB Data on
Appendix Data on
Appendix Data on
Homeland
Homeland
Homeland Security,
Homeland Security With
Security R&D,
Security R&D,
With All Items
Items Identified in This
FY2005 Request
FY2005
Identified in This CRS
CRS Report as Likely To
(Including
Request
Report as Likely To Be
Be R&D, FY2005 Only
Funding for
R&D, FY2005 Request,
for the Mission of
Construction)
Including Data for Both
"Defending Against
Homeland Security
Catastrophic Terrorism”
Missions
Agriculture
$50.0
$49.0 (plus possible
$49.0
$262.0
$285.0 for bldgs.)
Commerce
22.6
30.5
none given
24.0
Defense
340.2
310.1
161.3
340.0
Energy
8.0
67.9
none given
68.0
Health/Human
1,557.2
1,996.0
1,874.9
1,804.0
Services
Homeland
1,111.4
987.0
886.0
1,216.0
Security
Justice
194.5
impossible to identify
impossible to identify
— -
Transportation
4.1
0.4
none given
2.0
EPA
22.8
31.0
none given
31.0
NASA
none given
81.0
none given
55.0
NSF
315.8
343.6
27.0
317.0
Nuclear
none given
56.4
16.1
none given
Regulatory
Commission*
Other
none given
none given
none given
88.0
*No R&D budget account was listed for the Commission. These data are from a budget account for salaries and
expenses, which is not R&D oriented but is included because other sources indicate that the Commission funds homeland
security R&D.
Sources: Unpublished data are from: information provided by OMB, Jan. 27, 2004. OMB characterized these data as
“discretionary budgetary resources,” which, according to OMB staff, is “budget authority,” the term used in the table.
Data exclude facilities and construction. Published data are from: information excerpted by the CRS author from the
appendix on homeland security to the OMB’s FY2005 Budget, Analytical Perspectives, entitled “Homeland Security
Funding Analysis, Appendix — Homeland Security Mission Funding by Agency and Budget Account
(PDF),”[http://www.whitehouse.gov/omb/budget/fy2005/pdf/ap_cd_rom/homeland.pdf].
FY2005 OMB data on “R&D to Combat Terrorism” are not available yet.

CRS-16
Table 7. AAAS Data on “Federal Homeland Security R&D in the
FY2005 Budget” Including Funding for R&D Facilities
(budget authority, $ in millions)
Department/Agency
FY2002
FY2003
FY2004
FY2005
Actual
Actual
Estimate
Request
Agriculture
$175
$155
$39
$262
Commerce
20
16
24
24
Defense
259
212
267
340
Energy
50
38
47
68
Homeland Security
266
737
1,053
1,216
Health and Human Services
177
1,653
1,725
1,804
Justice
—
—
—
—
Environmental Protection Agency
95
70
60
31
National Aeronautics and Space Administration
73
73
65
55
National Science Foundation
229
271
308
31
Transportation
106
7
3
2
All Other
48
47
34
80
Total
1,499
3,290
3,625
4,200
Sources: Excerpted from data provided by AAAS, Mar. 11, 2004. Prepared by AAAS based on
OMB data from OMB’s 2004 Report to Congress on Combating Terrorism and Budget of the U.S.
Government FY2005. “Figures adjusted from OMB data by AAAS to include conduct of R&D
and R&D facilities, and revised estimates of DHS R&D. Figures do not include non-R&D
homeland security activities, nor do they included DOD R&D investments in overseas combating
terrorism. Funding for all years includes regular appropriations and emergency supplemental
appropriations.” Prepared by AAAS Feb. 6, 2004-preliminary.
Summary of Major Differences Among Data Sets, for FY2005
Requested Funding
For FY2005 requested funding, there were notable differences among the data
sets and, for the most part, the data in OMB’s unpublished table on homeland
security R&D differed from the data in R&D-related budget accounts identified in
this CRS report that appeared in OMB’s published appendix tables on homeland
security. Major differences among data sets are summarized in Table 8. Some of
these are elaborated upon in CRS Report RL32481, Homeland Security R&D
Funding and Activities in Federal Agencies: A Preliminary Inventory, by (name red
acted).

CRS-17
Table 8. Summary of Differences in FY2005, Requested Data
Sets, by Agency
Agency
Issue
USDA
OMB’s unpublished data on homeland security R&D appear to encompass
only the budget account for Agricultural Research Service (ARS) salaries
and expenses “for defending against catastrophic threats.” The unpublished
data table did not appear to report funding for homeland security R&D
facilities or for the category of “protecting critical infrastructure and key
assets,” which USDA also appears to support, as indicated in the published
appendix data identified for this CRS report.
DOC
OMB’s unpublished data may track primarily the National Institute of
Standards and Technology’s (NIST) R&D activities. All FY2005 requested
DOD homeland security R&D-related accounts identified for this report are
reported under the category of “protecting critical infrastructures and key
assets.” It is impossible to identify the actual amount of funding for
NOAA’s and NIST’s homeland security R&D activities.
DOD
OMB’s unpublished and published electronic appendix data, identified for
this CRS report for DOD’s homeland security R&D differ less than 5% for
FY2005 requested and funding is split between the two homeland security
missions. DOD’s OCT RDT&E funding does not appear to be included in
either account. OMB’s published combating terrorism R&D data are
unclear about whether OCT funding is included, and if excluded, whether
these data coincide with OMB data on DOD’s homeland security R&D
funding.
DOE
OMB’s data sets are very different. Unpublished data put the agency’s
homeland security R&D total at $8 million requested for FY2005, but
published appendix data, identified for this report, and other DOE data
indicate the Office of Science’s homeland security energy programs (largely
R&D) could total almost $68 million.
DHHS
OMB’s published electronic appendix data for homeland security R&D, as
identified for this report, place DHHS’s total at least $439 million more than
do OMB’s unpublished data on homeland security activities in R&D-related
budget accounts. These data are largely for the mission category of
“defending against catastrophic terrorism.”
DHS
OMB’s published data are about $124 million less than OMB’s unpublished
data. The published data include only R&D activities of the Directorate of
Science and Technology and do not include R&D in other DHS directorates.
Most funding is reported under the homeland security mission of “defending
against catastrophic terrorism.” These data differ from those in the
congressional budget request.
DOJ
OMB’s unpublished data put DOJ’s homeland security R&D funding at
$194.5 million, while the published appendix data identified for this report,
show homeland security R&D-related activities only for the Federal Bureau
of Investigation (FBI) at $41 million.

CRS-18
Agency
Issue
DOT
There is no correspondence between OMB’s data sets for DOT homeland
security R&D, and there are large differences between DOT’s own reports
of its homeland security R&D and OMB reports.
EPA
OMB’s unpublished data on homeland security R&D differ by about $8.2
million from the published appendix data identified for this report.
NASA
OMB’s unpublished data do not report any homeland security R&D funding.
Data excerpted for this report from OMB’s published electronic appendix
data show about $81 million for a science and technology budget account
of which an undetermined amount is likely for homeland security R&D.
NSF
The two data sets, OMB’s unpublished homeland security R&D data and the
homeland security data identified for this report as likely R&D are close;
differing by about 9%. Most homeland security R&D funding is categorized
under the heading largely of “protecting critical infrastructure and key
assets,” not “defending against catastrophic terrorism,” the mission for
which DHHS’s R&D data are categorized. NSF’s homeland security
funding goes largely to support R&D, and is not primarily for facilities
protection and cyber security activities.
Summary Observations About Data on R&D
The analysis in this CRS report has shown that while homeland security-related
information is collected for a variety of purposes, questions may be raised about the
accuracy of funding data for homeland security R&D. Issues include consistency of
OMB trend data over time; inconsistences among data sets which appear to count the
same things; problems with using budget account data line-items to count R&D;
whether or not all overseas combating terrorism R&D data are included; whether or
not all of DOD’s R&D is included; and use of different homeland security mission
descriptors for R&D.
Some of the agency-specific observations made in this concluding section are
based on data summarized in this report, but discussed in greater detail in CRS
Report RL32481, Homeland Security R&D Funding and Activities in Federal
Agencies: A Preliminary Inventory.
Major Difficulties With the Data
Several major difficulties have been observed in the current data; they are
summarized next.
Different Types of Information Are Compiled for Different Purposes.
The most up-to-date and complete source of trend information about federal agency
homeland security R&D funding is OMB’s unpublished data table. However, that
document is not widely circulated, and, because it gives only agency totals, it is not
possible to use it to identify funding for units or programs within an agency.

CRS-19
OMB’s published combating terrorism R&D table in OMB’s 2003 Report to
Congress on Combating Terrorism, is prepared annually in response to congressional
mandate. This table is almost two years out-of-date when published (for instance, the
report published in September 2003 included data only through the FY2004 request).
In that document OMB reported that homeland security is a subset of combating
terrorism (i.e., the total for combating terrorism R&D, minus the total for overseas
combating terrorism R&D). OMB did not publish data on homeland security R&D
funding per se in that document and it is not clear what overseas combating terrorism
R&D data are included or excluded from the table.
OMB publishes homeland security information in appendix tables, the most
recent in a CD-ROM and electronic appendix to Analytical Perspectives, U.S.
Budget, FY2005. These data are prepared in response to a congressional directive to
report homeland security funding. OMB uses budget account data for these
tabulations.23 R&D funding per se is not listed as a budget account item. This CRS
report attempted to use this information to obtain estimates of R&D data, by counting
data in budget accounts that appear to be R&D-related. While this method permitted
identification of some units that support homeland security R&D, the funding
reported may include other than R&D activities (it may include upgrades for physical
and cybersecurity). Also, homeland security R&D may be supported by offices or
programs whose budget account does not include descriptors that are science or
research-related or under homeland security missions that are not related to R&D.
Thus, some homeland security R&D activities that an agency conducts, but which
appear under other budget accounts that are not principally for R&D, may be
excluded. An example is the funding amount given for homeland security R&D in
the Department of Homeland Security (DHS). The OMB 2003 Report to Congress
on Combating Terrorism, the homeland security appendix data for FY2004, and the
FY2005 request reported data only for DHS’s Science and Technology Directorate,
even though other parts of DHS also support R&D.
Differences Observed Among Data Sets. OMB’s unpublished homeland
security R&D table presents only total funding by agency and its trend data do not
always coincide with the data in other OMB data sets. For instance, except for three
agencies, the data in OMB’s table on combating terrorism R&D for FY2003, enacted,
differed from OMB’s unpublished table on homeland security R&D funding. Also,
with a few exceptions, the data in these two tables differed from the data CRS
identified as for homeland security R&D in OMB’s published (or electronically
available) appendix data on homeland security.
OMB Data Do Not Appear to Report All Funding for R&D. OMB may
not have included in its inventory of homeland security R&D some agencies’
homeland security R&D programs that were described elsewhere — on their
websites, in budget documents, or in their annual plans or strategic plans. Sometimes
in its published appendix data on homeland security, OMB reported funding for
science or research-related budget accounts for some agencies, but did not report
them as having any homeland security or combating terrorism R&D funding
23 Which uses different numbers from the budget account number and data given in the
appendix to the President’s annual budget documents.

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responsibilities. Even though OMB reported that funding for homeland security
R&D is a subset of the category “combating terrorism R&D,” sometimes OMB
reported agencies as having homeland security R&D funding responsibilities, but no
combating terrorism R&D responsibilities. For instance, it is not clear if, or how
much, OMB included for the homeland security R&D programs of the National
Nuclear Security Administration, the Food and Drug Administration, the Centers for
Disease Control and Prevention, the Department of Energy, the Department of
Justice, the National Aeronautics and Space Administration, and some programs in
the Department of Homeland Security.
OMB may have undercounted the amount of homeland security R&D in some
agencies that was described elsewhere. For instance, OMB’s unpublished data
reported that DOT received no funding for homeland security R&D for FY2004 and
that $4.1 million was requested for FY2005. The published appendix data identified
by CRS indicated that DOT requested about $0.4 million for FY2004 for homeland
security and national security activities R&D. According to these OMB data, no
funding appears to have been appropriated for FY2004. Nevertheless, in DOT’s
FY2004 Performance Plan, the agency said it requested funding FY2004 homeland
and national security R&D programs funding totaling $63.7 million. Similarly
reports of homeland security R&D funding for NASA and DOJ, among other
agencies, differ.
Whether Overseas Combating Terrorism R&D Funding is Included
in Combating Terrorism R&D Totals. “Combating terrorism,” according to
OMB, includes both homeland security funding and overseas combating terrorism
(OCT) funding. It is not clear if OMB included or excluded OCT amounts for other
agencies in its tables. OMB’s 2003 Report to Congress on Combating Terrorism
does report separately funding for DOD’s OCT R&D, called RDT&E (research,
[advanced] development, testing and evaluation). The amounts reported for DOD
OCT RDT&E alone far exceed the total reported for DOD’s combating terrorism
R&D. It is not clear how other agencies’ OCT R&D funding was handled in this and
other data sets. This issue may require clarification in order to obtain accurate totals
for federal agency combating terrorism R&D responsibilities.
OMB May Not Count All of DOD’s R&D. As noted, OMB may not have
included all DOD homeland security RDT&E in its data set on DOD homeland
security R&D or in its FY2003 combating terrorism R&D table. This is exemplified
by the fact that DOD’s OCT R&D totals, which were for RDT&E, reported larger
funding amounts than were reported in the combating terrorism R&D table. It is not
clear if the difference was due to OCT activities or whether DOD’s DT&E (advanced
development, test and evaluation) activities were not counted in the combating
terrorism R&D table. It is reasonable, pursuant to OMB’s definition, to exclude
DOD’s OCT RDT&E from funding amounts on homeland security R&D. However,
it is not clear if the DOD homeland security R&D data that were reported included
all DT& E. Other documents that inventory federal R&D funding levels, including
NSF reports and other OMB documents, include all of DOD’s RDT&E in the
reporting category of research and development (R&D). Furthermore, in the various
OMB data sets surveyed, OMB did not report consistent figures for DOD’s budget
authority for homeland security R&D funding.

CRS-21
Agencies May Be Using Different Definitions When Reporting
Funding Levels to OMB. In its Combating Terrorism report, OMB said it
allowed federal agencies to report data to it, and purposefully allowed agencies to use
their own definitions of activities to report, although OMB said it did review all
responses “to ensure consistency and comparability.”24 In detail,
Throughout the data collection cycle, agencies reported information using
applicable definitions. The data provided by the agencies are developed at the
“activity level,” which is a set of like programs or projects that make up a
coherent effort, aggregated at a level of detail sufficient to analyze total
governmental spending on homeland security and overseas combating terrorism
missions (the two major components of the overarching combating terrorism
mission). OMB purposely left the definition of “activity” to the interpretation of
respondent agencies to allow for flexibility in responses, and reviewed all
responses to ensure consistency and comparability.25
The data presented in this report suggest that agencies may be using different
definitions of R&D activities when reporting to OMB or that some of the data may
be inaccurate. This raises the issue of whether agencies are reporting homeland
security R&D uniformly and the accuracy of OMB’s statement that “homeland
security” data were reported as a subset of “combating terrorism” data.
Also, OMB data do not include funding for the construction of buildings or
facilities where homeland security R&D is conducted and, therefore, OMB data, in
some cases, are less than data sets which include such activities, such as prepared by
the American Association for the Advancement of Science (AAAS). AAAS data
show major construction activities that do not appear in OMB data for USDA, DOE,
DHS, and DHHS for both FY2003 and the FY2005 request.
R&D Funding Reported Under Two Different Homeland Security
Missions. In OMB’s published appendix data on homeland security funding, some
agencies with clear R&D missions, such as the National Science Foundation,
appeared to report most homeland security R&D-related funding under the homeland
security mission of “protecting critical infrastructure and key assets,” and not under
the mission of “defending against catastrophic threats,” the heading that includes
most R&D in President’s Strategy document. Because the mission of “protecting
critical infrastructure and key assets” may also include cyber and physical security
protection activities, it is difficult to identify what part of the funding for the category
goes for R&D. Most NIH homeland security R&D was reported under the category
of “defending against catastrophic terrorism.” Thus, the following questions may be
raised: both NSF and NIH support the conduct of R&D, yet most of NSF’s homeland
security R&D activities were categorized under the homeland security mission of
“protecting critical infrastructure and key assets” while most of NIH’s homeland
security R&D activities were categorized under the mission of “defending against
catastrophic threats.” Some may ask the following questions: Why the difference in
categorization? What are the fundamental differences, or similarities, in the kinds
24 OMB, 2003 Report to Congress on Combating Terrorism, p.2.
25 OMB, 2003 Report to Congress on Combating Terrorism, p.2.

CRS-22
of homeland security R&D supported by the two agencies? For FY2005, NSF
requested $27 million for activities related to “defending against catastrophic
threats.” Should it be assumed that this is the amount that will be allocated to NSF’s
two bioterrorism-related activities for “Ecology of Infectious Diseases program,” co-
sponsored by NSF and NIH, a “Microbial Genome Sequencing program,”with
USDA? Or is some of this program funding categorized under the heading labeled
“protecting critical infrastructure and key assets?” Should it be assumed that most
of NSF’s homeland security R&D funding is oriented primarily to improving cyber
security and physical security since most of its homeland security R&D funding is
reported under this category? NSF”s own information on its homeland security R&D
indicates that it supports a vast array of fields. From the perspective of fields of
science, performers, and so forth, what is the difference between the kinds of research
supported under these two different headings?
Options to Improve Information About Homeland Security
R&D Funding
OMB has collected data on cross-cutting, or cross-agency, funding on homeland
security R&D for several years. This is a difficult task and OMB has made progress
in establishing ways to report these data. Improved data collection could improve
decisionmaking about policy, programs, and funding for homeland security R&D,
specifically for setting priorities, avoiding unnecessary duplication, and assisting in
transferring information and technology among agencies and first responders.
However, as OMB transitions to improve its homeland security data collection, it
appears to have encountered problems in data accuracy and consistency. These may
be due to errors in reporting, changing definitions of homeland security R&D and its
components over time, federal agencies’ use of different definitions, and
inconsistency in reporting categories OMB uses for the different data sets that it
prepares.
In a 2004 report, the Congressional Budget Office (CBO) identified general
problems with OMB’s homeland security data, focusing on the difficulty federal
agencies confront in separating homeland security funding from accounts that serve
non-homeland security purposes, or are primarily for salaries and expenses. CBO
also observed that definitions of homeland security activities change from year to
year and often require judgments by accountants or analysts. These problems make
it difficult to obtain consistent data and to portray funding and trends adequately,
even within the same data set.26 Many of these problems were manifested in the
OMB-prepared R&D data examined in this report, raising questions about the
reliability or validity of the data examined.
26 Congressional Budget Office, Federal Funding for Homeland Security, Economic and
Budget Issue Brief, April 30, 2004. Available at [http://www.cbo.gov/showdoc.cfm
?index=5414&sequence=0].

CRS-23
Section 889 of P.L. 107-296 requires OMB to report on homeland security
funding and to consult at least annually with Congress27 about which activities
constitute homeland security activities for budgeting purposes. As one response to
its data reporting requirements, OMB published data in an appendix to the FY2005
budget volume, Analytical Perspectives, that presents homeland security funding
using special budget account categories. R&D funding is not specifically
identifiable. OMB’s unpublished data on homeland security R&D funding cannot be
reconciled easily with these data nor, for the most part, with the domestic component
of combating terrorism R&D funding that OMB prepares for another purpose. These
data also differ from some of the data agencies use to characterize their homeland
security R&D programs and funding.
Several options may be addressed to deal with these issues. Congress may seek
to ensure that OMB data on homeland security R&D are adequate to enable Congress
to identify and oversee, and DHS to identify, prioritize, and coordinate, federal
homeland security R&D across all agencies. Oversight could be directed to whether
OMB should impose more conformity about the way agencies define homeland
security R&D and about the definitions agencies use in reporting homeland security
R&D. Consideration could be given to the option of asking OMB or DHS to report
separately to Congress on funding for, and activities of, federal agency homeland
security R&D programs. The costs of obtaining more precise data have not been
estimated. Attention could be directed to examining the costs and benefits of
whether or not the federal government should report more accurate and consistent
data on federal agency homeland security R&D programs.
27 Consultations are mandated specifically between OMB and the House and Senate Budget
Committees, the House and Senate Appropriations Committees, and the Congressional
Budget Office (Sec. 889 of P.L. 107-296).

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