For other versions of this document, see http://wikileaks.org/wiki/CRS-RL32481
------------------------------------------------------------------------------
Order Code RL32481
CRS Report for Congress
Received through the CRS Web
Homeland Security Research and Development
Funding and Activities in Federal Agencies:
A Preliminary Inventory
July 12, 2004
Genevieve J. Knezo
Specialist in Science and Technology Policy
Resources, Science, and Industry Division
Congressional Research Service ~ The Library of Congress
Homeland Security Research and Development
Funding and Activities in Federal Agencies: A
Preliminary Inventory
Summary
According to the Office of Management and Budget (OMB), federal agency
funding for homeland security research and development (R&D) was requested at
$3.6 billion for FY2005, a 5.4% increase over the enacted FY2004 level, and about
63% more than enacted for FY2003, and about double the resources used in FY2002.
The Department of Homeland Security's (DHS) R&D programs constitute about one-
third of total federal homeland security R&D funding. Other agencies which have
substantial homeland security R&D budgets, listed in descending funding order,
include 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, the Department of Commerce, the Department of
Energy, and the Department of Transportation. The sum of $3.6 billion is a large
amount and, arguably, the fastest growing component of the federal R&D budget.
DHS has statutory responsibilities, mandated by the Homeland Security Act, P.L.
107-296, to coordinate federal homeland security R&D throughout the government.
According to DHS's Under Secretary for Science and Technology, homeland security
R&D will be coordinated by fall 2004.
Coordination and subsequent congressional oversight, depend, in part, on the
quality of information about federal homeland security R&D. The little information
that is available does not permit identification of the components of homeland
security R&D funding nor systematic comparisons among agencies. This makes it
difficult to answer questions about priority-setting and coordination. R&D seems
to appear most prominently in two categories of funding OMB uses to identify types
of homeland security budget accounts: the two homeland security missions of
"defending against catastrophic threats,"and of "protecting critical infrastructures and
key assets." However, the R&D components of these categories have not been
clearly identified. It is not possible to compare across agencies to determine the
actual funding for homeland security R&D in functional areas, such as countering
bioterrorism, border security, information security, threat mitigation, and so forth; or
for fields of science, such as chemistry, environmental science or psychology.
Clearer and more consistent information about homeland security R&D might assist
in eliminating unnecessary duplication, filling in gaps, identifying future R&D
personnel needs, and improving the capability of different types of R&D performers.
OMB has responsibility to gather homeland security R&D data and federal
agencies also publish information tailored to their needs. Section 889 of P.L. 107-
296 requires OMB to report on homeland security funding and to consult at least
annually with Congress to identify which activities constitute homeland security
activities for budgeting purposes. There are many obstacles to obtaining consistent
information and several options to improve these data. These are addressed in a
companion CRS Report RL32482, Federal Homeland Security Research and
Development Funding: Issues of Data Quality, by Genevieve J. Knezo. This report
will not be updated.
Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Combating Terrorism R&D: Data and Information Sources . . . . . . . . . . . . . . . . . 2
Homeland Security R&D: Data and Information Sources . . . . . . . . . . . . . . . . . . . 4
Data Sources Used . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
OMB's Unpublished Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Data From OMB Appendix Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
American Association for the Advancement of Science (AAAS) Data 7
Federal Agency Homeland Security R&D Budget Accounts and Activities . . . . . 8
Department of Agriculture (USDA) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Department of Commerce (DOC) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
National Institute of Standards and Technology (NIST) . . . . . . . . . . . 12
National Oceanic and Atmospheric Administration (NOAA) . . . . . . . 13
Department of Defense (DOD) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Department of Energy (DOE) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
National Nuclear Security Administration (NNSA) . . . . . . . . . . . . . . 21
Department of Health and Human Services (DHHS) . . . . . . . . . . . . . . . . . 22
Department of Homeland Security (DHS) . . . . . . . . . . . . . . . . . . . . . . . . . . 26
Department of Justice (DOJ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
Department of Transportation (DOT) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Environmental Protection Agency (EPA) . . . . . . . . . . . . . . . . . . . . . . . . . . 32
National Aeronautics and Space Administration (NASA) . . . . . . . . . . . . . 34
National Science Foundation (NSF) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Concluding Observations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
List of Tables
Table 1. OMB Data on Funding for R&D to Combat Terrorism, by Agency,
FY2002 to FY2004, Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Table 2. Overseas Combating Terrorism (OCT) Funding by Agency and Budget
Account, Department of Defense -- Military for Research, Development, Test,
and Evaluation (RDT&E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Table 3. Unpublished OMB Data on Homeland Security R&D Funding
by Agency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Table 4. AAAS Data on "Federal Homeland Security R&D in the FY2005
Budget" Including Funding for R&D Facilities . . . . . . . . . . . . . . . . . . . . . . . 7
Table 5. USDA Homeland Security R&D Based on Unpublished OMB Data . . . 8
Table 6. USDA Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Table 7. DOC Homeland Security R&D Based on Unpublished OMB Data . . . 11
Table 8. DOC Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Table 9. DOD Homeland Security R&D Based on Unpublished OMB Data . . . 14
Table 10. DOD Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Table 11. Examples of DOD Homeland Security-related R&D Activities . . . . . 17
Table 12. DOE Homeland Security R&D Based on Unpublished OMB Data . . 18
Table 13. DOE Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Table 14. Example of DOE Homeland Security R&D Activities . . . . . . . . . . . . 21
Table 15. NNSA Counterterrorism/Homeland Security Activities . . . . . . . . . . . 22
Table 16. DHHS Homeland Security R&D Based on Unpublished OMB Data . 23
Table 17. DHHS Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Table 18. Examples of DHHS Homeland Security R&D Activities . . . . . . . . . . 25
Table 19. DHS Homeland Security R&D Based on Unpublished OMB Data . . 26
Table 20. DHS Homeland Security Budget Account That Appears to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Table 21. Department of Homeland Security R&D Budget . . . . . . . . . . . . . . . . 28
Table 22. DOJ Homeland Security R&D Based on Unpublished OMB Data . . . 29
Table 23. DOT Homeland Security R&D Based on Unpublished OMB Data . . 30
Table 24. DOT Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Table 25. Examples of DOT Homeland Security R&D Activities . . . . . . . . . . . 31
Table 26. EPA Homeland Security R&D Based on Unpublished OMB Data . . 32
Table 27. EPA Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Table 28. NASA Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
Table 29. NSF Homeland Security R&D Based on Unpublished OMB Data . . . 35
Table 30. NSF Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
Table 31. Examples of NSF R&D Programs for Homeland Security
and Counterterrorism R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Homeland Security Research and
Development Funding and Activities in
Federal Agencies: A Preliminary Inventory
Introduction
This inventory summarizes total federal funding for homeland security research
and development (R&D) and describes specific federal agency programs for such
R&D. It presents some historical information, but concentrates on funding requested
for FY2005.
This report is a companion piece to CRS Report RL32482, Federal Homeland
Security Research and Development Funding: Issues of Data Quality. That report
identifies the major sources of information for federal agency homeland security
R&D funding, describes the Office of Management and Budget's (OMB)
responsibilities in collecting such information, and summarizes strengths and
weaknesses of different data sets and issues of their reliability and validity. Some of
the data in this report may be used to justify some of the observations in that report.
According to OMB data, for FY2005 federal agencies requested $3.6 billion for
homeland security research and development (R&D), a 5.4% increase over the
enacted FY2004 level. This excludes facilities and construction budget authority.
Other data show that the amount requested for FY2005 is about double the resources
used in FY2002. DHS's R&D programs, requested at about $1.2 billion for FY2005,
constitute about one-third of total funding. Including facilities and construction
budget authority, total federal agency homeland security R&D,1 was requested at
about $4.2 billion for FY2005.2 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). These agencies' programs are described and sources are
identified for obtaining additional information.
1
At least 50 agencies support homeland security R&D according to 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.
2
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].
CRS-2
In a concluding section, the report raises some issues relating to setting policy
and priorities that might be clarified if clearer and more consistent information were
available about federal agency homeland security R&D. These include issues of
eliminating unnecessary duplication, filling in gaps, identifying fields of science
which warrant oversight or funding attention, correlating future R&D needs with
training of personnel, developing policies to ensure availability of a variety of
different types of R&D performers, including in academia, federal laboratories, and
industry, and so forth.
Combating Terrorism R&D: Data and Information
Sources
OMB has principal responsibility to prepare data sets on homeland security
R&D funding. Although there is some overlap between data sets, as will be
explained in this report, OMB prepares separate information on "combating
terrorism" R&D and on "homeland security" R&D.
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.3 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.4 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."5
OMB divided the "combating terrorism" heading into two funding categories,
"homeland security" (HS) and "overseas combating terrorism" (OCT).6 The 2003
report included a summary table with data on federal R&D funding to combat
terrorism, by agency. See Table 1.
3
This report is required by Section 1051 of the National Defense Authorization Act of 1998,
P.L. 105-85. Reports for the fiscal years 2001 to 2003 are available at
[http://www.omb.gov].
4
Office of Management and Budget, 2003 Report to Congress on Combating Terrorism,
September 2003, pp. 2-3.
5
OMB, 2003 Report to Congress on Combating Terrorism, p. 3.
6
OMB, 2003 Report to Congress on Combating Terrorism, p. 3.
CRS-3
Table 1. OMB Data on Funding for R&D to Combat Terrorism,
by Agency, FY2002 to FY2004, Request
(budget authority, $ in millions)
Percent
2002 2003
2002 2003 2004 Change
Agency Supple- Supple-
Enacted Enacted Request* FY2003 to
mental mental
FY2004
Dept. of $28.0 $52.2 $30.4 none $42.1 +38%
Agriculture
Dept. of 11.7 7.0 16.4 none 19.4 +18%
Commerce
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 117.2 85.0 831.2 none 1,648.2 +98%
and Human Srvs.
Dept. of 110.0 93.4 658.2 none 844.0 +28%
Homeland
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 none 3.0 none none none 0%
Engineers-
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, $827.0 $383.6 $2,649.4 $4.9 $3,205.7 +21%
Combating
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.
Table 1 shows that, for FY2004, the latest year for which data were available
for this data set of combating terrorism R&D, federal agencies requested about $3.2
billion for R&D to combat terrorism. DHHS requested the largest amount of funding
and also had the largest percentage increase over the previous year.
This table did not say that it excluded OCT R&D, or that the table included only
"homeland security" R&D. The report included an appendix table which gave
funding levels for overseas combating terrorism (OCT) programs for agencies which
CRS-4
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 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)
FY2002, FY2003, FY2004
Program
enacted enacted request*
RDT&E, Defense $304 $520 $679
Agencies
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. OMB and other sources have produced other data for homeland security
R&D.
Data Sources Used
The Congressional Research Service (CRS) used several sources to identify
other homeland security R&D funding data including unpublished OMB data; OMB
appendix tables on homeland security; federal agency data, including websites,
budget documents, performance plans, and strategic plans; the Report on Maximizing
the Contribution of Science and Technology Within the New Department of
Homeland Security, by The President's Council of Advisors on Science and
Technology (PCAST), July 23, 2002;7 data prepared by the American Association for
the Advancement of Science (AAAS); secondary literature; and congressional
documents and testimony.
7
The PCAST report is available at [http://www.ostp.gov/PCAST/FINAL DHS REPORT
WITH APPENDICES.pdf]. Last viewed in Dec. 2003.
CRS-5
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.8 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)
2003 2003 2004 2005
Agency
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).
According to this table, for FY2005, federal agencies requested about $3.6
billion in funding for homeland security R&D. This is almost 6% more than enacted
for FY2004, about 63% more than enacted for FY2003, and, according to data in a
table below from the American Association for the Advancement of Science, more
than double the resources used in FY2002. For FY2005, DHHS requested the
largest amount of funding, at almost $1.6 billion; DHS was the second largest agency
sponsor of homeland security R&D, requesting about $1.1 billion. Both DOD and
NSF requested funding between $300 to $350 million. The agency with the next
largest homeland security R&D request was the DOJ, at about $194 million;
8
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-6
followed by USDA at $50 million; EPA and Commerce, both approaching $23
million; DOE, at $8 million; and DOT, at about $4 million. The table depicted
increases from the FY2004 enacted level for USDA, Commerce, DOD, DHS, DOT,
Justice, and NSF; decreases were shown for DOE, DHHS, and EPA.
Data From OMB Appendix Tables. OMB's 2003 Report to Congress on
Combating Terrorism included an appendix that gave details on homeland security
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
2005.9 It is not possible to identify accurately all agency programs for homeland
security R&D using these data. In these appendix tables, OMB arrayed funding
information (budget authority) by what it called "budget account" line-items10 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.
This CRS report used these appendix data in an attempt to identify agency
programs or units with responsibilities for science or R&D. Specifically, data for
homeland security budget accounts (offices or programs) that mentioned science or
R&D were identified. Identified next were programs or units that served the
homeland security mission of "defending against catastrophic threats," the category
that included most R&D in the President's Strategy document.11 Because 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.12 It should be pointed out that the
9
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.
10
These budget account categories are different from those that appear in the President's
budget.
11
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."
12
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
(continued...)
CRS-7
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.13 OMB did not give enough
information to differentiate between R&D and physical protection activities.
Therefore, when attempting to estimate R&D funding, this CRS report included the
full amount as constituting R&D if funding was requested in a budget account that
encompassed science or R&D responsibilities. Although such cyber and physical
security improvements to facilities and infrastructure may be for R&D, R&D funding
may or may not be included in these amounts. It is clear, as will be shown below,
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."
American Association for the Advancement of Science (AAAS)
Data. Table 4 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.
Table 4. AAAS Data on "Federal Homeland Security R&D in the
FY2005 Budget" Including Funding for R&D Facilities
(budget authority, $ in millions)
FY2002 FY2003 FY2004 FY2005
Department/Agency
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 73 73 65 55
Administration
National Science Foundation 229 271 308 31
12
(...continued)
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."
13
OMB, 2003 Report to Congress on Combating Terrorism, p. 4.
CRS-8
FY2002 FY2003 FY2004 FY2005
Department/Agency
Actual Actual Estimate Request
Transportation 106 7 3 2
All Other 48 47 34 80
Total 1,499 3,290 3,625 4,200
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.
Federal Agency Homeland Security R&D Budget
Accounts and Activities
This section gives details about federal agencies' homeland security R&D
funding and programs.
Department of Agriculture (USDA)
Total USDA funding for homeland security R&D was $21.8 million enacted for
FY2004 and $50.0 million requested for FY2005, according to OMB's unpublished
data. These data do not identify the agency programs or units which support
homeland security R&D. See Table 5.
Table 5. USDA Homeland Security R&D Based on Unpublished
OMB Data
(budget authority, $ in millions)
2003 2004 2005
Agency 2003 Enacted
Supplemental Enacted Request
Agriculture $11.8 -- $21.8 $50.0
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.
OMB's published data on homeland security funding, with potential R&D
funding accounts identified for this CRS report, show that the Agricultural Research
Service (ARS) appears to support the largest amount of USDA's homeland security
R&D, and its funding has more than doubled between FY2004 and the FY2005
request, to $49 million. ARS also supports homeland security-related buildings and
facilities activities, with funding requested at $178 million for FY2005. See Table
6. According to the USDA FY2005 budget request, this entire amount is for
modernizing the National Centers for Animal Health in Ames, Iowa. Some of this
CRS-9
may be for R&D, while most is probably for cyber and physical security
improvements. Thus, FY2005 total funding for USDA's ARS homeland security
R&D and facilities was requested at approximately $227 million ($49 million plus
$178 million). The Animal Plant and Health Inspection Service (APHIS) does
diagnostic work related to the USDA inspection functions. These activities generally
are not categorized as R&D.
USDA's homeland security R&D activities focus on protecting the food supply
and agricultural production from intentional threats, and on upgrading of security at
research laboratories.14 ARS conducts R&D in support of meat and poultry
inspection. Its current R&D programs in support of the homeland security mission
of "defending against catastrophic terrorism" include protection of plant and animal
resources, rapid detection of diseases, research on specific diseases such as African
swine fever, avian influenza, hog cholera and exotic Newcastle disease. USDA also
funds improvements in research facilities to enhance research and animal diagnostic
capability,15 creation of new bio-security database systems, and security-related
research and cyber security.16
ARS conducts homeland security-related R&D on rapid detection methods for
threats to plants and animals, both separately and in cooperation with the Animal and
Plant Health Inspection Service (APHIS). Through its Cooperative State Research,
Education, and Extension Service (CREES), USDA also supports research and
laboratory security activities at land grant universities.17 Other ARS homeland
security project descriptions may be viewed at [http://www.ars.usda.gov/research
/projects.htm], using the search term "homeland."
14
"USDA Homeland Security Efforts September 2002," at [http://www.usda.gov/
homelandsecurity/hs-efforts.pdf]. Last viewed in Jan. 2004.) For the main USDA homeland
security page, see [http://www.usda.gov/homelandsecurity/homeland.html]. (Last viewed
in Jan. 2004.) For additional information regarding funding programs, see [http://www.ars.
usda.gov/business/business.htm]. (Last viewed in Jan. 2004.)
15
OMB, 2003 Report to Congress on Combating Terrorism, Sept. 2003, p. 33. For
additional information, see [http://www.ars.usda.gov/Research/Research.htm], which was
last viewed in Jan. 2004. This contains the FY2004 R&D project lists.
16
Testimony of Secretary of Agriculture Ann M. Veneman Before the Subcommittee on
Agriculture, Rural Development, Food and Drug Administration, and Related Agencies,
Committee on Appropriations, U.S. House of Representatives, Feb. 27, 2003.
17
Among its projects, it supports three multimillion dollar homeland security collaborative
projects, scheduled to be finished in 2005, that involve university, industrial and other
extramural research performers:
-- Development and Validation of Rapid Diagnostic Tests for Avian Influenza
and Newcastle Disease: [http://www.ars.usda.gov/research/projects
/projects.htm?ACCN_NO=405127];
-- Development of a Pathogen Sequence Database:
[http://www.ars.usda.gov/research/projects/projects.htm?ACCN_NO=405364;
and]
-- Development of Rapid Real Time PCR-Based Assays for Selected ...Class A
Diseases: [http://www.ars.usda.gov/research/projects/projects.htm?ACCN_]
NO=405692.
CRS-10
P.L. 107-296, the Homeland Security Act, which created DHS, transferred the
border inspection function of APHIS's Agricultural Quarantine Inspection (AQI)
program to DHS. The act also transferred the jointly administered ARS/APHIS
Plum Island Animal Disease Center to DHS. Several memoranda of understanding
(MOU) govern ARS's use of the facility and APHIS's "access to AQI employees in
the event of future outbreaks of plant and animal pests and diseases."18
Table 6. USDA Homeland Security Budget Accounts That
Appear to Contain R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
FY2002 FY2003,
Homeland Security FY2002 FY2003 FY2004 FY2005
Supple- Supple-
Mission Enacted Enacted Enacted Request
mental mental
Budget Account: Agricultural Research Service/Salaries and expenses (005-18-1400)
Protecting Critical $28.0 $32.2 $30.4 -- -- ---
Infra-structure and Key
Assets
Defending Against -- -- 11.8 -- $20.8 $49.0
Catastrophic Threats
Budget Account: Agricultural Research Service/Building and facilities (0005-18-1401)
Defending Against 32.8 110.0 -- 178.0
Catastrophic Threats
Protecting Critical 40.0 75.0 -- -- 10.5 --
Infra-structure and Key
Assets
Budget Account: Animal and Plant Health Inspection Service/Salaries and expenses (005-32-
1600) (This account is not generally classified as R&D.)
Protecting Critical -- -- 43.3 -- 52.0 107.0
Infra-structure and Key
Assets
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted from OMB, 2003
Report to Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security
Mission Funding by Agency and Budget Account (budget authority in millions of dollars)," pp. 47-67.
Data in Roman for FY2003, FY2004 and FY2005 are from: OMB, FY2005 Budget, Analytical
Perspectives CD-Rom, "Appendix- Homeland Security Mission Funding by Agency and Budget
Account."
USDA's Food Safety Inspection Service (FSIS), which is a regulatory agency
responsible for inspecting meat, poultry and eggs to ensure their safety and proper
labeling, had budget authority for homeland security activities categorized as
"Protecting Critical Infrastructure and Key Assets" totaling $3.4 million for FY2004
and it requested$5.9 million for FY2005. ARS performs R&D in support of FSIS
with funds transferred from FSIS. The exact amount for homeland security-related
R&D is not readily available. FSIS has science-based homeland security
18
Testimony of Secretary of Agriculture Ann M. Veneman, Feb. 27, 2003, op. cit.
CRS-11
responsibilities, including an Office of Food Security and Emergency Preparedness
whose scientific and technical support staff "provides science-based support for
emergency response and prepares contingency plans for minimizing risk to the safety
and security of the food supply, as well as to first responders."19 FSIS has also
conducted vulnerability assessments and, in the area of biosecurity, maintains
working relationships in epidemiology and laboratory facilities with the Centers for
Disease Control and Prevention (CDC), the Food and Drug Administration (FDA),
and the Environmental Protection Agency (EPA).20
USDA participates in the interagency Food and Agriculture Defense Initiative
created as a result of the Homeland Security Council's Biodefense End-to-End
Assessment. The objective is to improve national surveillance capabilities in human
health, food, agriculture, and environmental monitoring. USDA requested $30
million for an enhanced diagnostic network and $5 million for Higher Education
Capacity Building and Professional Development. The initiative's activities include
research to develop diagnostic tools to quickly identify pathogens and contaminated
foods and improve research laboratory capacity.21
Department of Commerce (DOC)
According to OMB's unpublished data, budget authority for Department of
Commerce homeland security R&D activities was $16.5 million for FY2004, and
was requested at $22.6 million for FY2005, a 36% increase. See Table 7.
Table 7. DOC Homeland Security R&D Based on
Unpublished OMB Data
(budget authority, $ in millions)
2003 2004 2005
Agency 2003 Enacted
Supplemental Enacted Request
Commerce $ 16.4 -- $16.5 $22.6
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.
OMB's published appendix data on homeland security funding for DOC do not
include the category of "defending against catastrophic threats," for any budget
accounts that appear to be for R&D, so it was assumed that such activities are
reported under the homeland security mission of "protecting critical infrastructure
and key assets." This CRS report identified likely R&D budget account information.
Such funding increased 22% between FY2004 enacted and the FY2005 request, to
19
"Food Safety and Inspection Service, Submitted for the Record, Statement of Dr. Garry
L. McKee, Administrator before the Senate Subcommittee on Agriculture, Rural
Development and Related Agencies, May 22, 2003.
20
Food Safety and Inspection Service, United States Department of Agriculture,
"Biosecurity and the Food Supply," Backgrounders/Key Facts, June 2002.
21
USDA FY2005 Budget Summary, pp. 21, 22.
CRS-12
$30.5 million ($11.2 million plus $19.3 million). See Table 8. This may include
funding for cyber-and physical security upgrades. OMB may not count these
activities as R&D, although such upgrades may support DOC's homeland security
R&D activities in the National Oceanic and Atmospheric Administration (NOAA)
and the National Institute of Standards and Technology (NIST).
National Institute of Standards and Technology (NIST). NIST's
activities to "protect critical infrastructure and key assets" include cyber security
work to develop standards and guidelines in support of federal responsibilities for
information technology (IT) security.22 In its FY2003 Report to Congress on
Combating Terrorism report, OMB reported that NIST also supports R&D to "defend
against catastrophic threats," including developing standards for devices that address
chemical, biological, radiological, and nuclear (CBRN) threats, for buildings, for
structures and fire safety, for materials for structures, for threat detection and
protection, for tools for law enforcement. Additional R&D focuses on emergency
response, biometric identification, and buildings and fires.23 No funding was
reported as having been requested for FY2005.
Several memoranda of understanding (MOU) were signed between Department
of Commerce agencies and DHS and its constituent agencies. For example, NIST
and the Federal Insurance and Mitigation Administration of the Federal Emergency
Management Agency (FEMA) signed an MOU, effective March 29, 2002, to
establish "a framework for NIST to serve as a research resource for FEMA in the
areas of fire, disaster prevention, and homeland security" and to "serve to improve
and enhance the effectiveness of cooperation between FEMA and NIST." Specific
purposes are "to further the reduction of loss of life and property and protect the
nation's buildings and infrastructure from all types of hazards, ... aid the development
of technology and methods to evaluate equipment for use by the Nation's fire, rescue,
civil defense services, and other first responders, and ... to assist FEMA with
scientific and technological services in disaster investigations, recovery planning and
support technologies."
DHS also has an MOU with the DOC's Technology Administration to allow the
DHS Science and Technology Directorate and the Technology Administration,
specifically NIST, "to collaborate on research and planning activities, and share,
where appropriate, facilities, personnel, and scientific information" in order to allow
DHS to take advantage of the NIST's expertise in measurement science and in the
development of standards to assist DHS in developing, testing, evaluating, and
deploying technologies to protect homeland security.24
22
OMB, FY2003 Report to Congress on Combating Terrorism, p. 34-37.
23
For additional information about NIST homeland security programs and funding, see
[http://www.nist.gov/public_affairs/factsheet/homeland.htm#tools] (last viewed in Jan.
2004) or [http://www.bfrl.nist.gov/goals_programs/HS_goal.htm], which was viewed last
in Jan. 2004. See also Technology Administration Performance Plan FY2004 at
[http://www.osec.doc.gov/bmi/budget/04APP/04ta.pdf], which was viewed last in Jan. 2004.
24
Memorandum of Understanding between the Director of Science and Technology, U.S.
Department of Homeland Security and the Technology Administration, National Institute
(continued...)
CRS-13
Table 8. DOC Homeland Security Budget Accounts That Appear to
Contain R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
FY2002 FY2003
Homeland Security FY2002 FY2003 FY2004 FY2005
Supple- Supple-
Mission Enacted Enacted Enacted Request
mental mental
Budget Account: National Oceanic and Atmospheric Administration/Operations, research, and facilities
(006-48-1450)
Protecting Critical $7.7 $0.8 $6.4 -- $6.1 $11.2
Infrastructure and Key
Assets
Budget Account: National Institute of Standards and Technology/ Scientific and technical research and
services (006-55-0500)
Defending Against -- -- -- -- Requested --
Catastrophic Threats at 5.0
Protecting Critical 8.4 9.0 11.4 -- 18.8 19.3
Infrastructure and Key
Assets
Source: FY2002 data and data for FY2004 in italics are excerpted by CRS from OMB, 2003 Report
to Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission
Funding by Agency and Budget Account (budget authority in millions of dollars)," pp. 47-67. Data
in roman for FY2003, FY2004 and FY2005 are from: OMB, FY2005 Budget, Analytical Perspectives
CD-ROM, "Appendix- Homeland Security Mission Funding by Agency and Budget Account."
National Oceanic and Atmospheric Administration (NOAA). Of all
the OMB data sources used, funding for NOAA appeared only in OMB's published
appendix data. This CRS report identified information that showed that NOAA
requested $11.2 million for FY2005 for homeland security activities from a budget
account for operations, research and facilities, for the homeland security mission of
"protecting critical infrastructure and key assets." NOAA has told Congress that its
"... core missions of environmental prediction and management are manifested in
more than eighty capabilities that support America's efforts to prepare for and, if
necessary, respond to terrorist attacks."25 This includes developing science and
technology relating to hazardous materials spill response, atmospheric and
waterborne dispersion forecasting, vessel monitoring systems, weather forecasting,
and observing systems.
24
(...continued)
of Standards and Technology, U.S. Department of Commerce, May 22, 2003.
25
NOAA FY2005 Budget Request to Congress, p. I-4 and passim. See also: Statement by
Conrad C. Lautenbacher, Jr., Vice Admiral, U.S. Navy (Ret.) Under Secretary of Commerce
for Oceans and Atmosphere, Annual Guidance Memorandum FY2006
[http://www.spo.noaa.gov/pdfs/FY%2706%20Memorandum-Lautenbacher-AGM.pdf].
CRS-14
Department of Defense (DOD)
DOD's homeland security R&D was requested at $340.2 million for FY2005,
a 27% increase over the FY2004 enacted totaled of $267.0 million, according to
OMB's unpublished data. See Table 9.
Table 9. DOD Homeland Security R&D Based on
Unpublished OMB Data
(budget authority, $ in millions)
2003 2003 2004 2005
Agency
Enacted Supplemental Enacted Request
Defense $212.0 -- $267.0 $340.2
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.
Data compiled for this CRS report, that identified likely R&D accounts in
OMB's published homeland security electronic appendix data attached to the
Analytical Perspectives volume of the FY2005 budget request, show that DOD's
funding for the homeland security mission of "defending against catastrophic threats"
appeared only in the budget account of research development, test, and evaluation
(RDT&E) for "defense-wide," that is the defense agencies, and totaled $161.3
million requested for FY2005. Thus, the remaining $175.8 million requested for
FY2005 for the RDT&E accounts of the homeland security mission category of
"protecting critical infrastructures and key assets." The figure of $175.8 million
sums the defense-wide and armed services programs at $23.2 million, $29.4 million,
$80.1 million and $43.1 million. See Table 10. The defense agencies' programs
include the Defense Advanced Research Projects Agency (DARPA), which supports
cutting-edge R&D.
OMB also reported that DOD had overseas combating terrorism (OCT) RDT&E
funding (not homeland security R&D funding) that totaled $1,600 million in FY2003
and was requested at $1,237 million in FY2004. The amount of funding requested
for this category for FY2005 is not available. See Table 2.
DOD's homeland security R&D focuses largely on chemical, biological,
radiological, and nuclear incident response.26 Reportedly, DOD and DHS maintain
close working relationships, with DOD assigning some 65 employees to work with
26
The Department of Defense (DOD), Office of Defense Research and Engineering has an
electronic gateway to descriptions of DOD agencies/programs that support homeland
security-related R&D and related programs. See [http://www.defenselink.mil/ddre/
opportunities/opportunities.htm], which was viewed last in Jan. 2004. A portal to such
information may be found in the DOD publication U.S. Department of Defense Homeland
Security which is available at [http://www.defenselink.mil/specials/homeland/
armedservices.html], which was viewed last in Jan. 2004.
CRS-15
DHS "to ensure close and seamless cooperation between the departments" in relation
to DOD activities to support homeland defense.27 The Army has response and R&D
activities that include the U.S. Army Soldier and Biological-Chemical Command,
and several of its constituent units, including the U.S. Army Edgewood Chemical and
Biological Center, the U.S. Army Medical Research Institute for Infectious Diseases,
Table 10. DOD Homeland Security Budget Accounts That
Appear to Contain R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
FY2002 FY2003
Homeland Security FY2002 FY2003 FY2004 FY2005
Supple- Supple-
Mission Enacted Enacted Enacted Request
mental mental
Budget Account: Research, Development, Test, and Evaluation/Air Force (007-20-3600)
Protecting Critical $17.0 -- $7.0 -- $5.7 $23.2
Infrastructure and Key
Assets
Budget Account: Research, Development, Test, and Evaluation/ Army (007-20-2040)
Protecting Critical -- -- 42.0 -- 28.4 29.4
Infrastructure and Key
Assets
Budget Account: Research, Development, Test, and Evaluation/ Defense-wide (007-20-0400)
Defending Against 133.0 -- 105.0 -- 146.8 161.3
Catastrophic Threats
Protecting Critical 95.0 -- 420.0 -- 38.2 80.1
Infra-structure and Key 35.0
Assets
Budget Account: Research, Development, Test, and Evaluation/ Navy (007-20-1319)
Protecting Critical 3.0 -- 22.0 -- 45.9 43.1
Infrastructure and Key
Assets
Source: FY2002 data and data for FY2003 in italics are excerpted by CRS from OMB, 2003 Report
to Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission
Funding by Agency and Budget Account (budget authority in millions of dollars)," pp. 47-67. Data
in roman for FY2003, FY2004 and FY2005 are from: OMB, FY2005 Budget, Analytical Perspectives
CD-ROM, "Appendix- Homeland Security Mission Funding by Agency and Budget Account."
27
Jim Garamone, "Homeland Defense Efforts Taking Off, Officials Say," American
Forces Information Service, News Article, Oct. 17, 2003. Homeland Defense is defined as
"...the military protection of United States territory, domestic population and critical defense
infrastructure against external threats and aggression. It also includes routine, steady state
activities designed to deter aggressors and to prepare US. military forces for action if
deterrence fails." (Emphasis in original.) Statement by Mr. Paul McHale, Assistance
Secretary of Defense for Homeland Defense, Before the Subcommittee on Readiness,
House Armed Services Committee, March 13, 2003.
CRS-16
and related units.28 There are no readily available data to describe precisely these
units' R&D funding accounts. DHS uses Army R&D units to administer some of its
R&D solicitation and awards processing and selection activities that are managed by
the Technical Support Working Group (TSWG).
The Air Force created a Bio-Defense Task Force "chartered to identify
biological warfare threats and defense capabilities and shortfalls. It also develops
strategies and tactics for use both overseas and in homeland defense."29 Participants
in the short-term task force have included Air Force research and medical units and
cooperation with other agencies, such as the Los Alamos and Lawrence Livermore
National Laboratories, CDC, DHHS and the Defense Threat Reduction Agency
(DTRA).30 DTRA's homeland security R&D funding level has not been reported.
The Navy's primary role in support of homeland security appears to be to "support
the Coast Guard, primarily in areas, like air defense, where the Coast Guard has little
or no capability."31 The Coast Guard, now part of DHS, had been appropriated $15
million for FY2004 for homeland security R&D activities. The Naval Undersea
Warfare Center (NUWC) Division, Newport, Rhode Island, and the Coast Guard
Research and Development Center, Groton, Connecticut signed a memorandum of
understanding for homeland security and technical support for the Coast Guard's
underwater security program, which is "an R&D initiative to provide the Coast Guard
with information, technology assessments, system engineering, and a one-stop
knowledge brokering service for underwater inspection, detection, response, and
training development needs in its homeland security mission."32 For additional
information about these and other DOD homeland security R&D activities, see the
inventory compiled by the President's Council of Advisors on Science and
Technology.33 Additional sources of information about some DOD programs are
given in Table 11.
28
For additional information, see Steve Bowman, Homeland Security: The Department of
Defense's Role, CRS Report RL31615.
29
Bio-defense Task Force Works to Ensure Survivability, Operability," Air Force Print
News Today, Oct. 8, 2002.
30
Air Force Print News Today, Ibid.
31
See Ronald O'Rourke, Homeland Security: Navy Operations -- Background and Issue
for Congress, CRS Report RS21230, p. 1.
32
"NUWC Newport, Coast Guard to Collaborate on Homeland Security," Navy Newsstand,
Jan. 14, 2003.
33
The PCAST report is available at [http://www.ostp.gov/PCAST/FINAL DHS REPORT
WITH APPENDICES.pdf]. Last viewed in Dec. 2003.
CRS-17
Table 11. Examples of DOD Homeland Security-related R&D
Activities
Program Activity Information Sources
U.S. Army, With other federal agencies, [http://www.natick.army.mil/soldier/NP
National sponsors RDT&E for C], which was viewed last in Jan. 2004.
Protection Center advanced/multi-threat protective
(NPC) clothing and equipment for military
and civilians in high risk
occupations or in missions in
extreme environments.
U.S. Army Supports intramural and extramural [http://chemdef.apgea.army.mil], which
Medical Research R&D in at least two laboratories was viewed last in Jan. 2004, or
and Materiel with homeland security relevant [http://mrmc.detrick.army.mil/index.asp
Command activities. ?EntryURL=/mrdlabs.asp], which was
(USAMRMC) viewed last in Jan. 2004.
U.S. Army, R&D to develop medical [http://chemdef.apgea.army.
Medical Research countermeasures to chemical mil], which was viewed last in Jan.
Institute of warfare agents and training medical 2004, or
Chemical Defense personnel to manage chemical [http://mrmc.detrick.army.mil/index.asp
(USAMRICD) casualties. ?EntryURL=/mrdlabs.asp], which was
viewed last in Jan. 2004.
U.S. Army, R&D to develop strategies, [http://www.usamriid.army.mil], which
Medical Research products, and procedures for was viewed last in Jan. 2004.
Institute of medical defense against biological
Infectious warfare threats and naturally
Diseases occurring infectious diseases that
(USAMRIID) require containment.
Center for A partnership of academia, [http://ccatsandiego.org/index.shtml],
Commercializatio government, and industry, funded which was viewed last in Jan. 2004.
n of Advanced largely by DOD, in San Diego and There was a solicitation dated July
Technology other parts of California that 2003, with applications due by Sept. 9,
supports innovative technologies 2003, one scheduled for Oct. 2003, and
related to defense and homeland others to be announced for 2004..
security in areas such as explosive
detection, chemical and biological
detection, border-intrusion sensors,
encryption recording devices, and
language translation.
Defense Supports basic and applied projects Information about funding programs is
Advanced where risk and payoff are both high at [http://www.darpa.mil/baa/#dso],
Research Projects and where success may provide which was viewed last in Jan. 2004, and
Agency (DARPA) dramatic advances. FY2003 [http://www.darpa.mil/body/pdf/darpast
programs focused on information rategicplanfinal.pdf], which was viewed
awareness and biowarfare defense. last in Jan. 2004.. Information about
awards processing is at
[http://www.darpa.mil/
cmo/], which was viewed last in Jan.
2004.
CRS-18
Department of Energy (DOE)
OMB's unpublished data show that DOE had budget authority for homeland
security R&D totaling $18.9 million for FY2003, $19.5 million for FY2004, and
requested $8.0 million for FY2005. See Table 12. However, there is conflicting
information about what R&D DOE supports relating to homeland security.
Table 12. DOE Homeland Security R&D Based on Unpublished
OMB Data
(budget authority, $ in millions)
2003 2003 2004 2005
Agency
Enacted Supplemental Enacted Request
Energy $18.9 -- $19.5 $8.0
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.
OMB's published data table on combating terrorism R&D reported that DOE
received $19 million for combating terrorism R&D in FY2003 and requested no
funding for FY2004. See Table 1. Information identified in this CRS report from
OMB's published electronic appendix data on homeland security included funding
for DOE under the budget account of "Energy Programs/Science," for the homeland
security mission of "protecting critical infrastructure and key assets." This is the only
clearly discernable budget account line and homeland security mission category that
appears to include funding for homeland security R&D. Funding was stable for
FY2003 and FY2004 at about $47.0 to $48.0 million, with the FY2005 request
increased to $67.9 million. See Table 13. As emphasized above, much of this
amount may support agency and laboratory infrastructure improvements, but likely
also encompasses R&D programs in the Office of Science. It is not possible to
isolate the amount of R&D funding from the data given. In addition, it is possible
that other DOE R&D, while not specifically labeled "homeland security R&D" may,
in fact, support this mission. This may be reported in other homeland security
mission categories in OMB's published appendix data. OMB and DOE may be
reluctant to report precisely DOE responsibilities for some homeland security R&D
given that many, but not all, DOE R&D homeland security R&D-related
responsibilities were transferred to the Department of Homeland Security. The
transferred responsibilities included major laboratory functions, activities related to
nuclear smuggling that had been part of the DOE Proliferation Detection program,
the DOE Nuclear Assessment Program, the DOE Environmental Measurements
Laboratory, and the National Infrastructure Simulation and Analysis Center, a joint
program of Sandia National Laboratories and Los Alamos National Laboratory.34
DOE's Office of Science's programs are oriented towards fundamental and
long- range basic research. Regarding homeland security and counter terrorism R&D
functions, an Office of Science document said that,
34
See Research and Development in the Department of Homeland Security, by Daniel
Morgan, CRS Report RL31914.
CRS-19
More than any other agency, the Office of Science is positioned to bridge the gap
between unclassified basic research and classified "behind the fence" research
associated with homeland security and countering terrorism. The Office of
Science, with its combination of laboratory and university research coupled with
world-class facilities for scientific discovery, can assume a major role in
scientific research for countering terrorism.35
Table 13. DOE Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
Homeland Security FY2002 FY2002 FY2003 FY2003 FY2004 FY2005
Mission Enacted Supple- Enacted Supple- Enacted Request
mental mental
Budget Account: Energy Programs/Science (019-20-0222)
Protecting Critical Infra- $50.2 __ $43.7 $4.6 $47.2 $67.9
structure and Key Assets 43.8 4.3
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted by CRS from OMB, 2003 Report to
Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission Funding by Agency
and Budget Account (budget authority in millions of dollars)," pp. 47-67. Data in Roman for FY2003, FY2004 and
FY2005 are from: OMB, FY2005 Budget, Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission
Funding by Agency and Budget Account."
The Office's R&D activities include work on " ... chemical and biological
sensors, radiation detectors, chemlab on a chip, and genomic analysis ...."36 In
addition,
Prevention of terrorist acts could be enhanced through improved methods for
controlling and tracking radiological materials and the development of new
manufacturing methods that minimize the creation of hazardous industrial
chemicals. Likewise, protection against terrorism could be increased through
improved filters and membranes and the development of new protective fabrics.
Improvements in our ability to respond to a terrorist event could be made by
developing methods to immobilize and neutralize hazardous materials, to detect
exposure to toxic or infectious agents, or to carry out rapid forensic analyses
associated with attribution."37
35
Department of Energy (DOE ) Office of Science, "Scientific Foundations for Countering
Terrorism," non-dated, [http://www.science.doe.gov/Sub/Occasional_Papers/10-Occ-
Scientific-Foundations-for-Countering-Terrorism.PDF]. The main URL from which the
search was conducted is: [http://www.science.doe.gov]. These websites were viewed last
in Jan. 2004.
36
DOE, Office of Science, "Scientific Foundations for Countering Terrorism," non-dated,
op. cit.
37
DOE, Office of Science, "Scientific-Foundations for Countering Terrorism," non-dated,
op. cit. See also the aforementioned PCAST report available at
[http://www.ostp.gov/PCAST/FINAL DHS REPORT WITH APPENDICES.pdf].
CRS-20
Two of DOE's counter terrorism R&D goals were illustrated in the DOE Annual
Performance Plan, FY2004,38
! under the science heading:
By 2010, develop the basis for biotechnology solutions for clean energy, carbon
sequestration, environmental cleanup, and bioterrorism detection and defeat by
characterizing the multiprotein complexes that carry out biology in cells and by
determining how microbial communities work as a system....39
! under the energy supply heading:
developing a next-generation nuclear system after 2010 but before 2030 that
provides significant improvements in proliferation and terrorism resistance,
safety and reliability....40
DOE's FY2005 budget request noted that DOE and DHS had signed an MOU
"to assure their timely and efficient access to DOE national laboratories and
facilities" and that DOE does homeland security work relating to cyber security and
nuclear waste.41 DHS awards funds to industry, universities, other agencies, and
national laboratories to meet its R&D needs in biological, chemical, radiological and
nuclear science and technology and computer and information science in order to
help prevent, deter, detect, and mitigate the use of weapons of mass destruction.
DHS and DOE use several types of funding mechanisms to tap the scientific and
technical resources of DOE's laboratories, which include Argonne National
Laboratory, Brookhaven National Laboratory, Oak Ridge National Laboratory, and
Pacific Northwest National Laboratory. Some of these laboratories have dedicated
homeland security R&D offices and programs which provide collaborative
opportunities for other agencies and nongovernmental researchers. An inventory
drawn up by the President's Council of Advisors on Science and Technology
described the homeland security R&D activities of several of the laboratories and
other parts of DOE: the Pacific Northwest National Laboratory National Security
Division, the Remote Sensing Test and Evaluation Center, the New Brunswick
Laboratory (NBL), DOE's Office of Security, the Nonproliferation and National
Security Institute, and potential R&D programs in fossil energy.42 A source for
additional information about these and other DOE activities is given in Table 14.
38
DOE, Annual Performance Plan, FY2004, Available at :
[http://www.mbe.doe.gov/budget/04budget/content/perfplan/perfplan.pdf], which was
viewed last in Jan. 2004.
39
DOE, Annual Performance Plan, FY2004, op. cit., p. 9
40
DOE, Annual Performance Plan, FY2004, op. cit., p. 18.
41
Department of Energy FY2005 Congressional Budget Request, DOE/ME00-35, Vol 4.
pp. 550 and 616.
42
The PCAST report is available at [http://www.ostp.gov/PCAST/FINAL DHS REPORT
WITH APPENDICES.pdf].
CRS-21
Table 14. Example of DOE Homeland Security R&D Activities
Program Activity Information Sources
Dept. of Supports R&D [http://www.sc.doe.gov/grants/grants.html], which was
Energy, programs relevant to viewed last in Jan. 2004, or [http://www.osti.gov]; which
Office of counter terrorism or was viewed last in Jan. 2004. For specific information,
Science homeland security, but see, Department of Energy, Office of Basic Energy
there is no funding Sciences, Basic Research Needs for Countering
designated specifically Terrorism, [2002] at
for homeland security [http://www.science.doe.gov/bes/DOE_CTreport.pdf],
R&D. which was viewed last in Jan. 2004.
National Nuclear Security Administration (NNSA). According to the
homeland security appendix data in OMB's Analytical Perspectives on the FY2005
Budget, DOE's semi-autonomous agency, the National Nuclear Security
Administration (NNSA), requested funding totaling $887.3 million for FY2005 for
homeland security-related weapons activities for the mission "Protecting critical
infrastructure and key assets." It is not known how much, if any, funding goes to
R&D activities.
Recently the three DOE/NNSA laboratories, Los Alamos, Sandia and Lawrence
Livermore National Laboratory, created a Tri-Lab council to "present a unified
position in their interactions with DHS." Reportedly, "the concept, under which a
Tri-Lab Council will deal directly with DHS on key issues, is designed to eliminate
turf protection, duplication of effort, red tape, and confusion about channels of
communication."43 For additional information about NNSA homeland security-
related activities, see table 15.
43
Bill Murphy, Successful Homeland Security Visit Lays Next Stage for Budding
Relationship," Sandia Lab News, May 16, 2003.
CRS-22
Table 15. NNSA Counterterrorism/Homeland Security Activities
Program Activity Information Sources
National R&D supported in NNSA's For a description of NNSA, see,
Nuclear affiliated laboratories and by [http://www.doe.gov/
Security extramural performers relates engine/content.do?BT_CODE=OF_NNSA],
Administration to reducing threats to national which was viewed last in Jan. 2004.; For
(NNSA), [a security and world peace research opportunities, see,
semi- posed by nuclear, chemical, [http://e-center.doe.gov/doebiz.nsf/
autonomous and biological weapons MAiips?OpenForm], which was viewed last in
Dept. of proliferation Jan. 2004. Additional information regarding
Energy NNSA's counterterrorism R&D activities is
agency] available in DOE's FY2004 Performance Plan ,
[http://www.mbe.doe.
gov/budget/04budget/content/perfplan/perfplan.
pdf], which was viewed last in Jan. 2004.
NNSA National Laboratories
Dept. of The Center for Homeland [http://www.lanl.gov/orgs/chs/], which was viewed
Energy, Los Security conducts R&D in last in Jan. 2004.
Alamos chemical and biological
Laboratory weapons, radiological and
nuclear threats, and threats
to critical infrastructure.
Dept. of R&D to develop [http://www.llnl.gov/hso/about.html], which was
Energy, capabilities to detect, viewed last in Jan. 2004.
Lawrence interdict, and defend
Livermore against catastrophic
National weapons and other threats;
Laboratory some programs mirror the
Homeland research programs set by
Security DHS; also funds the
Organization Nuclear Emergency
Search Team.
Program Activity Information Sources
Dept. of R&D on threat and [http://www.sandia.gov/programs/homeland-securi
Energy, Sandia vulnerability assessment; ty/
National physical security; nuclear index.html], which was viewed last in Jan. 2004.
Laboratory material identification; and
chemical and biological
weapons detection.
Department of Health and Human Services (DHHS)
OMB's unpublished data reported DHHS budget authority for homeland
security R&D at $1,643.8 million for FY2004 and at $1,557.2 million requested for
FY2005. See Table 16. At least three DHHS agencies support counterterrorism
defense and homeland security-related R&D: the Centers for Disease Control and
Prevention (CDC), the Food and Drug Administration (FDA), and the National
Institutes of Health (NIH), primarily its National Institute of Allergy and Infectious
Diseases (NIAID). It is not clear if all these activities are represented in DHHS's
CRS-23
unpublished data on homeland security R&D funding since only the total agency
figure was given.
Table 16. DHHS Homeland Security R&D Based on Unpublished
OMB Data
(budget authority, $ in millions)
2003 2004 2005
Agency 2003 Enacted
Supplemental Enacted Request
Health/Human Services $834.2 -- $1,643.8 $1,557.2
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.
Data compiled for this CRS report, that identified likely R&D accounts in
OMB's published homeland security appendix data, show that DHHS's funding for
research-related budget accounts totaled about $1,996 million for FY2005 requested.
NIH is the largest supporter of homeland security activities in DHHS and
requested FY2005 budget authority for the homeland security mission of "defending
against catastrophic terrorism" totaling almost $1.7 billion, according to data
identified in this CRS report from OMB's published data in the appendix to the
FY2005 budget request. This figure may include more than R&D. NIH's R&D
includes basic and applied research related to likely bioterrorism agents, design and
testing of diagnostics, therapies and vaccines; and laboratory capability relating to
bioterrorism and other threats from weapons of mass destruction.44 See Table 17.
Table 17. DHHS Homeland Security Budget Accounts That
Appear to Contain R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
FY2002 FY2003
Homeland Security FY2002 FY2003 FY2004 FY2005
Supple- Supple-
Mission Enacted Enacted Enacted Request
mental mental
Budget Account: Food and Drug Administration/Salaries and expenses (009-10-9911)a
Defending Against $0.8 $97.1 $97.1 $115.7 $180.7
Catastrophic
Threats (Salaries
and expenses acct.,
which may not be
R&D).
Protecting Critical $4.5 $13.3 11.6 12.3 13.0
Infrastructure and
Key Assets
44
OMB, 2003 Report to Congress on Combating Terrorism, p. 37. More information about
NIAID's role in biodefense research can be found in NIAID, Biodefense: About Biodefense:
NIAID's Role, available at [http://www.niaid.nih.gov/biodefense/], which was viewed last
in Jan. 2004. This site also contains detailed additional information.
CRS-24
FY2002 FY2003
Homeland Security FY2002 FY2003 FY2004 FY2005
Supple- Supple-
Mission Enacted Enacted Enacted Request
mental mental
Budget Account: Centers for Disease Control and Prevention/Disease control, research, and
training (009-20-0943)
Protecting Critical $14.7 -- $17.0 -- 19.9 20.5
Infrastructure and 19.2
Key Assets
Budget Account: National Institutes of Health (009-25-9915)
Defending Against 94.5 -- 1,546.3 -- 1,620.9 1,694.2
Catastrophic $1,549.4
Threats
Protecting Critical 66.9 -- 83.9 -- 81.1 87.6
Infrastructure and 83.0
Key Assets
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted by CRS from OMB,
2003 Report to Congress on Combating Terrorism, September 2003, "Appendix -- Homeland
Security Mission Funding by Agency and Budget Account (budget authority in millions of dollars),"
pp. 47-67. Data in Roman for FY2003, FY2004 and FY2005 are from: OMB, FY2005 Budget,
Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission Funding by Agency and
Budget Account." Note: for additional information, see, Holly Harvey, An Overview of the U.S. Public
Health System in the Context of Bioterrorism, CRS Report RL31719.
a=This is the only account noted that would fund R&D activities.
CDC's homeland security-related activities relevant to R&D were reported
under the category of "protecting critical infrastructure and key assets." As reported
in CDC's FY2005 Budget Summary, its work on homeland security focuses on
improving the collection of health statistics, developing biosurveillance and warning
systems, and development of standards to protect first responders against chemical,
biological , and radiological attacks. In addition, CDC does work relating to
laboratory and facilities security and "select agent" identification and monitoring.
According to data compiled for this report from OMB's appendix data on
homeland security funding, FDA requested budget authority for the homeland
security mission of "defending against catastrophic terrorism," totaling $180.7
million for FY2005, a substantial increase over the FY2004 enacted figure of $115.7
million. FDA describes its work in counterterrorism, which appears to encompass a
homeland security focus as follows:
On the counterterrorism front, FDA is facilitating the goal of "Protecting Our
Homeland" by assuring the availability of new counterterrorism tools. Our drug
and biologic product centers are working to adapt their approval processes to
challenges of developing safer and more effective treatments for anthrax,
smallpox, plague and other potential agents of bioterrorism. Our medical device
center is supporting the development of methods for detecting biological agents
with bioterrorism potential, and for radiological decontamination. FDA continues
to strengthen its surveillance, investigation, and laboratory support for detection
CRS-25
and management of product contamination for foods medical products, and
blood.45
FDA's homeland security functions also include work "to speed the
development of products to diagnose, treat or prevent outbreaks from exposure to
anthrax, smallpox, plague, and other biological, chemical and radiological agents that
could be used by terrorists."46 It is also "... helping develop methods to detect
biological agents that terrorists might use in an attack." In toxicological research,
FDA is "enhancing research facilities and technologies, and supporting "research to
identify and characterize biological warfare agents using technologies involving
DNA and proteins"...and supporting work to develop "... sensor technologies to
detect nitrogen-based explosives in airline cargo by refining its patented methodology
currently used to detect and identify deteriorating food."
Additional information about DHHS homeland security R&D information
sources appears in Table 18. In addition, PCAST's inventory includes further
information about CDC and FDA homeland security R&D programs.47
Table 18. Examples of DHHS Homeland Security R&D Activities
Program Activity Information Sources
Centers for Supports R&D and General information is available at
Disease information [http://www.bt.cdc.gov], last viewed Dec. 2003. See
Control (CDC) dissemination on also "CDC Announces New Biodefense and Emerging
bioterrorism, infectious Infectious Disease Research Grant Program and
agents, laboratory Training Grants [totaling $9 million]," Press Release,
security. Oct. 3, 2003, at [http://www.cdc.gov/od/oc/
media/pressrel/r031003a.htm], last viewed Nov. 2003.
It describes funding for "research in innovative
surveillance systems, enhanced detection systems,
environmental sampling and pathogen detection
systems, and innovative approaches for prophylaxis
and treatment."
Food and Drug Supports R&D on food "FDA's Counterterrorism Role,"
Administration security and related [http://www.fda.gov/oc/bioterrorism/role.html], last
(FDA) issues. viewed Jan. 2004. See also
[http://www.fda.gov/oc/opacom/hottopics/bioterroris
m.html, which was viewed last in Oct. 3003.
45
Source: FY 2004 FDA Budget In Brief, [http://www.fda.gov/oc/oms/ofm/budget
/2004/BIB.htm], which was viewed last in Jan. 2004.
46
Department of Health and Human Services, Food and Drug Administration (FDA), FDA's
Counterterrorism Role, Available via [http://www.fda.gov/oc/bioterrorism/role.html])
47
The PCAST report is available at [http://www.ostp.gov/PCAST/FINAL DHS REPORT
WITH APPENDICES.pdf].
CRS-26
Program Activity Information Sources
National R&D on agents of [http://www.niaid.nih.gov/biodefense/about/niaids_rol
Institutes of bioterrorism, including e.htm], which was viewed last in Jan. 2004.
Health (NIH)'s viruses that cause Current funding opportunities are listed at
programs smallpox and [http://www.niaid.nih.gov/biodefense/research/default
include hemorrhagic fevers; .htm], which was viewed last in Jan. 2004.
Biodefense bacteria that cause
Research at the anthrax, the plague, and
National botulism; and research
Institute of on tularemia; focuses on
Allergy and basic biology,
Infectious immunology, vaccines,
Diseases drugs, diagnostics.
(NIAID)
Department of Homeland Security (DHS)
According to OMB's unpublished data on homeland security R&D, the
Department of Homeland Security's FY2005 funding for budget accounts that
support R&D in its Science and Technology Directorate would increase 16% from
FY2004, enacted, to $1,111 million requested for FY2005. This is an 80% increase
over FY2003, when the agency started implementing programs mandated by P.L.
107-296. See Table 19.
Table 19. DHS Homeland Security R&D Based on Unpublished
OMB Data
(budget authority, $ in millions)
2003 2004 2005
Agency 2003 Enacted
Supplemental Enacted Request
Homeland Security $619.2 -- $959.2 $1,111.4
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.
Data identified for this CRS report by the author from the published OMB
appendix tables on homeland security, presented in Table 20, report DHS homeland
security funding under the two missions of "defending against catastrophic terrorism"
and "protecting critical infrastructures and key assets." These data do not include all
of DHS's R&D activities because, for FY2005, other R&D funding was requested
for the Border and Transportation Security Division, which includes the
Transportation Security Administration (TSA), and other parts of DHS including
telecommunications research within national communications systems and
cybersecurity. See Table 21.
CRS-27
Table 20. DHS Homeland Security Budget Account That
Appears to Contain R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
FY2002 FY2003
Homeland Security FY2002 FY2003 FY2004 FY2005
Supple- Supple-
Mission Enacted Enacted Enacted Request
mental mental
Budget Account: Science and Technology/ Research, Development, Operations and
Acquisitions (024-80-0800)
Defending Against $70.0 $77.0 $488.0 -- $774.0 $886.0
Catastrophic Threats 491.0
Other -- -- 3.0 -- Request --
10.0
Protecting Critical 5.0 -- 30.0 -- 100.0 101.0
Infrastructure and 30.0
Key Assets
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted by CRS from OMB,
2003 Report to Congress on Combating Terrorism, September 2003, "Appendix -- Homeland
Security Mission Funding by Agency and Budget Account (budget authority in millions of dollars),"
pp. 47-67. Data in Roman for FY2003, FY2004 and FY2005 are from: OMB, FY2005 Budget,
Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission Funding by Agency and
Budget Account."
DHS's science and technology activities for "defending against catastrophic
threats" include R&D focused on "delivering operational capabilities to end-users in
DHS, other federal agencies, state and local government, and the private sector,"
support of technological developments and of forensic methods to detect and analyze
[chemical, biological, radiological, and nuclear] CBRN materials and high
explosives, research and modeling to prioritize measures to address catastrophic
threats, development of standards for devices that address CBRN threats, and rapid
prototyping of homeland security technologies.48 DHS also supports partnerships to
promote homeland security R&D, with academic institutions and other non-federal
entities.49 The agency described its FY2005 S&T Directorate activities as follows:
The S&T Directorate has organized its efforts into 12 portfolios. Four portfolios
address specific terrorist threats: Biological, Chemical, High Explosives, and
Radiological and Nuclear Countermeasures. Two portfolios crosscut these
threats: Threat and Vulnerability, Testing and Assessment (TVTA) and
Standards. One portfolio encompasses the special science and technology tools
and capabilities needed by the Department of Homeland Security Components.
The Homeland Security University and Fellowship Programs portfolio addresses
the need to build an enduring S&T capability and support U.S. leadership in
science and technology. Two portfolios address the need to identify Emerging
Threats and to provide Rapid Prototyping of promising technologies. A separate
budget line for developing the technology needed to protect commercial aircraft
from the threat of man-portable anti-aircraft missiles is managed within the
48
OMB, 2003 Report to Congress on Combating Terrorism, pp. 37-38.
49
OMB, 2003 Report to Congress on Combating Terrorism, p. 44.
CRS-28
Directorates' Systems Engineering and Development organization and is
overseen with in the Rapid Prototyping portfolio.50
Table 21. Department of Homeland Security R&D Budget
(budget authority, $ in millions)
FY2003 FY2004 FY2005
Directorate (Dir.) or Program
actual estimate request
Border & Transportation Security (BTS) Dir, includes $163 $170 $229
TSA
Emergency Preparedness and Response (EPR) Dir. 0 0 0
Information Analysis and Infra Protection (IAIP). Dir. 0 0 0
Science and Technology (S&T)Dir., includes 554 869 987
R&D Consolidation ($ from other DHS agencies) 0 0 24
Biological countermeasures, including Nat'l Biodef. 363 285 407
Analysis &Countermeasures Cntr (NBACC) [88] [35]
Nuclear & Radiological countermeasures 75 126 129
Chemical countermeasures 52 53
High Explosives countermeasures 7 10 10
Threat & vulnerability assessment (TVTA) 36 100 102
(Critical Infrastructure Protection) -- -- [6]
(Cybersecurity) -- -- [18]
Conventional missions/Support to DHS Components -- 34 34
(BTS, EPR, USGS, Secret Service, Immigration)
Rapid Prototyping /TSWG 33 73 76
Standards /state and local 20 39 40
Counter MANPADS (anti- aircraft missiles) 0 60 61
Emerging threats 17 21 21
University programs /HS fellowships 3 69 30
Salaries and Expenses for S&T -- 44 [53]
Total S&T Directorate R&D with Salaries and [554] [913] [1,039]
Expenses
Coast Guard (counted in S&T Dir. with FY2005 21 14 [14]
request)
Total DHS R&D $737 $1,053 $1,216
Sources and notes: The symbol " -- " means is not given separately. Items in [ ]are shown for
comparison and are not additive. Since comparable trend data were not in the DHS FY2005
justification, FY2003 and FY2004 data are from American Association for the Advancement of
Sciences (AAAS), "DHS R&D Wins Big Increase in FY2005 Budget," Mar. 2, 2004. FY2005 data
are from primarily DHS, Science and Technology, FY2005 Congressional Budget Justification. The
term "estimate," that AAAS uses is the agency estimate of appropriations and allocations that will be
used. AAAS figures are based on OMB R&D data and supplemental agency budget data. Data are
rounded to the nearest million, and may not total.
Additional information about DHS science and technology activities is available
at [http://www.dhs.gov/dhspublic/theme_home5.jsp]. See also:
! Research and Development in the Department of Homeland
Security, CRS Report RL31914, by Daniel Morgan.
50
DHS, Science and Technology Congressional Budget Justification, FY2005, p. 18.
CRS-29
! Homeland Security and Combating Terrorism Research and
Development: Funding, Organization, and Oversight, CRS Report
RS21270, by Genevieve Knezo.
! Statement for the Record, Dr. Charles E. McQueary, Under
Secretary for Science and Technology, Department of Homeland
Security, Before the U.S. House of Representatives, Committee on
Appropriations, Subcommittee on Homeland Security, March 30,
2004.
Department of Justice (DOJ)
According to the Department of Justice, its National Institute of Justice's
Technology program funds technology research, development, and assessment to
improve public safety, including programs for homeland security R&D.51 The
unpublished OMB data on homeland security R&D funding show that, for FY2004,
budget authority totaling $179.5 million was enacted for homeland security R&D
activities in the Justice Department, and $194.5 million was requested for FY2005.
See Table 22. The published data on homeland security in the homeland security
electronic appendix to the FY2005 budget request do not include clearly discernable
DOJ R&D activities, except for data for "Defending Against Catastrophic Threats"
in the Federal Bureau of Investigation's budget account for salaries and expenses,
totaling $41.0 million requested for FY2005.
Table 22. DOJ Homeland Security R&D Based on
Unpublished OMB Data
(budget authority, $ in millions)
2003 2005
Agency 2003 Enacted 2004 Enacted
Supplemental Request
Justice $160.5 $25.2 $179.5 $194.5
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.
The report of the President's Council of Advisors for Science and Technology
said that DOJ's homeland security R&D programs include work in the Border
Research and Technology Center (BRTC); the Office of Law Enforcement
Technology Commercialization (OLETC); and the Office of Law Enforcement
Standards (OLES). For additional information, see the PCAST report.52 DOJ makes
available descriptions of its awards in this area.53
51
See [http://www.ojp.gov/nij/sciencetech/highlights.htm], which was viewed last in Jan.
2004, or [http://www.ojp.usdoj.gov/nij/sciencetech/projects.htm], which was viewed last
in Jan. 2004.
52
The PCAST report is available at [http://www.ostp.gov/PCAST/FINAL DHS REPORT
WITH APPENDICES.pdf].
53
An illustration of a DOJ homeland security R&D award is given next.
(continued...)
CRS-30
Department of Transportation (DOT)
Unpublished OMB homeland security R&D data put the FY2005 Department
of Transportation's (DOT) homeland security R&D budget request at $4.1 million,
while reporting that no funding was enacted for FY2004 for R&D. See Table 23.
Table 23. DOT Homeland Security R&D Based on
Unpublished OMB Data
(budget authority, $ in millions)
2003 2003 2004 2005
Agency
Enacted Supplemental Enacted Request
Transportation $3.7 -- -- $4.1
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.
Using the published data in the homeland security electronic appendix to
OMB's FY2005 Budget report, this CRS report identified funding for DOT's
Research and Special Programs Administration (RSPA) as the account most likely
to support R&D. This account did not report any funding for the homeland security
mission categories of "defending against catastrophic threats" or for "protecting
critical infrastructures and key assets." Funding for the other homeland security
mission in RSPA is requested at $0.4 million for FY2005. See Table 24. DOT's
homeland security R&D funding may be reported under other budget accounts, which
are not prima facie R&D- related.
DOT requested funding for FY2004 totaling $623.3 million for its homeland
and national security goal. The department's FY2004 Performance Plan identified
the following homeland and national security R&D programs, which totaled $63.7
million:
! Federal Highway Administration (FHWA), transportation research,
$21.7 million;
53
(...continued)
Award Title: The Institute for Security Technology Studies at Dartmouth College, Award
Number: 2000DTCXK001, Awardee: Dartmouth College, Awardee Contact: Dr. John F.
Kavanaugh, Original Funds: Year: 2000, Amount: $14,550,000.00. Categories:
Counterterrorism/Critical Incidents, Learning/Education/Training of Practitioners,
Surveillance and Detection Project Description: The Institute for Security Technology
Studies (ISTS) at Dartmouth will serve as a principal center for counterterrorism technology
research, development, assessment and technical support for the National Institute of Justice
Office of Science and Technology. In fulfilling this function, ISTS will study and develop
technologies to address counterterrorism issues in the extensive areas of threat
characterization and intelligence, threat detection and interdiction, preparedness and
protection, response and recovery. In addition, ISTS will provide technical support to NIJ
in service of the comprehensive agency counterterrorism mission. The source is
[http://nij.ncjrs.org/portfolio/XSearch_Details.asp?strGrantNumber=2000DTCXK001],
which was last viewed in Nov. 2003.
CRS-31
! Federal Railroad Administration, (FRA), railroad research and
development, $0.4 million;
! Federal Transit Administration (FTA), formula grants and research,
urbanized area programs, $35.1 million; national research, $ 4.8
million;
! Research and Special Programs Administration (RSPA), emergency
transportation, $ 1.3 million; program support, $0.4 million.54
Table 24. DOT Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
Homeland Security FY2002 FY2002 FY2003 FY2003 FY2004 FY2005
Mission Enacted Supple- Enacted Supple- Enacted Request
mental mental
Budget Account: Research and Special Programs Administration/Research and special programs
(021-50-0104)
Border and Transportation $0.2 -- $0.2 -- $0.4 $0.4
Security 0.2
Protecting Critical Infra- 1.0 -- 1.0 -- -- --
structure and Key Assets 1.0
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted by CRS from OMB, 2003 Report to
Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission Funding by Agency
and Budget Account (budget authority in millions of dollars)," pp. 47-67. Data in Roman for FY2003, FY2004 and
FY2005 are from: OMB, FY2005 Budget, Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission
Funding by Agency and Budget Account."
For additional sources of information, see table 25.
Table 25. Examples of DOT Homeland Security R&D Activities
Program Activity Information Sources
Dept. of -- Research and Special Programs R&D [http://www.rspa.dot.gov/contra
Transportation activities in pipeline safety and other areas of cts.html];
homeland security; [http://www.volpe.dot.gov/procu
-- Volpe Center homeland security re/current.html#rfp]; or
activities in transportation/logistics; [http://www/dot.gov/PerfPlan20
-- Additional security-related R&D 04/homelandperf.html].
procurement information for DOT agencies
is available.
54
Department of Transportation, FY2004 Performance Plan, Budget crosswalk, Appendix
ii. See also: additional links to DOT's homeland security activities that include
[http://ops.fhwa.dot.gov/OpsSecurity/homeland_agencies.htm], which was viewed last in
Jan. 2004, and [http://www.rspa.dot.gov/oet/], which was viewed last in Jan. 2004. DOT's
homeland security strategic goals, including research, are discussed at [http://www.dot.gov/
PerfPlan2004/homelandperf.html], which was viewed last in Jan. 2004.
CRS-32
Environmental Protection Agency (EPA)
The Environmental Protection Agency's FY2005 homeland security R&D
budget request totals $22.8 million, according to unpublished OMB data. This is 21%
less than the FY2004 enacted level. See Table 26.
Table 26. EPA Homeland Security R&D Based
on Unpublished OMB Data
(budget authority, $ in millions)
2003 2003 2004 2005
Agency
Enacted Supplemental Enacted Request
EPA $52.9 -- $28.8 $22.8
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.
Published data in OMB's homeland security electronic appendix to the FY2005
Budget, with likely R&D identified by CRS, put EPA's funding for the only science
and technology activity listed, that is "protecting critical infrastructure and key
assets" at $51.5 million for FY2004 enacted and at $31.0 million requested for
FY2005. See Table 27. The reductions come largely from cuts in EPA's programs
relating to buildings contamination research.
For FY2005, EPA reported to Congress that it will conduct research and provide
guidance and technical support for federal, state, and local governments and other
institutions in the areas of biological agents, water security, and rapid risk
assessment. R&D work focuses on preparedness, risk assessment, detection,
containment, decontamination, and disposal of chemical and biological agents related
to threats to water systems. It conducts radiation monitoring, works to develop acute
exposure guidelines, rapid risk assessment to emergency personnel and the public form potential
homeland security threats.55 An emphasis in FY2005 will be new biologicals R&D to develop
sampling and analysis methods and decontamination and clean up of biological agents.
55
FY 2005 Annual Performance Plan and Congressional Justification, (EPA's Proposed
Budget), Section IV and p. i-8.
CRS-33
Table 27. EPA Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
Homeland Security FY2002 FY2002 FY2003 FY2003 FY2004 FY2005
Mission Enacted Supple- Enacted Supple- Enacted Request
mental mental
Budget Account: Science and technology (020-00-0107)
Protecting Critical $4.7 $90.3 $20.6 -- $51.5 $31.0
Infrastructure and Key
Assets
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted from OMB, 2003 Report to Congress
on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission Funding by Agency and Budget
Account (budget authority in millions of dollars)," pp. 47-67. Data in Roman for FY2003, FY2004 and FY2005 are
from: OMB, FY2005 Budget, Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission Funding by
Agency and Budget Account."
EPA's National Homeland Security Research Center (NHSRC) is the focal point
for the agency's homeland security R&D. The center funds intramural and
extramural performers to conduct R&D and provide technical assistance on
buildings, water, and rapid risk assessment; collaborates on homeland security
research authorized by memoranda (MOUs) between the Air Force Research
Laboratory at Wright-Patterson Air Force Base (for collaborative R&D on water
protection and improving risk assessment techniques),56 the FDA, and the
Department of Energy. For additional information, see EPA's description of the
work of its Homeland Security Research Center.57 NHSRC also works with DHS
"to provide support and guidance to DHS in the startup of their University Centers
of Excellence program."58 "The NHSRC works with the CDC in conducting
biological agent research, and with the Department of Energy "to access research
conducted by DOE's National Laboratories as well as to obtain data related to
radioactive materials."59 The center also collaborates with other federal agencies and
state and local emergency response personnel.
EPA's homeland security R&D program was reviewed in hearings on
"Homeland Security Research and Development at the EPA: Taking Stock and
56
J. Elaine Hunnicutt, "Air Force `Lab', EPA Sign Homeland Security Agreement," Army
Public Affairs Link, Mar. 1, 2003, Army News Service Release 0302.
57
Found at [http://www.epa.gov/ordnhsrc/]. Last viewed in Jan. 2004. See also FY 2005
Annual Performance Plan and Congressional Justification(EPA's Proposed Budget), p. IV-
75 and p. IV-161. See also EPA, Strategic Plan for Homeland Security, Available at
[http://www.epa.gov/epahome/] downloads/epa_homeland_security_strategic_plan.pdf.
Last viewed January 2004.
58
FY 2005 Annual Performance Plan and Congressional Justification(EPA's Proposed
Budget), p. IV-75 and p. IV-161.
59
FY 2005 Annual Performance Plan and Congressional Justification(EPA's Proposed
Budget), p. IV-75 and p. IV-161.
CRS-34
Looking Ahead," held by the Environment, Technology, and Standards
Subcommittee of the House Science Committee on May 19, 2004.60
National Aeronautics and Space Administration (NASA)
In unpublished data on homeland security R&D funding for FY2005, OMB did
not report NASA as having any funding for homeland security R&D. No funding
was reported in OMB's data table on combating terrorism R&D that appeared in its
2003 Report to Congress on Combating Terrorism. OMB's published homeland
security electronic appendix data, which this CRS report used to identify likely R&D,
included information that NASA requested funding totaling $81 million for FY2005
($2 million more than in FY2004) for "protecting critical infrastructure and key
assets" in the budget account "NASA/Science, aeronautics and exploration." See
Table 28. The AAAS, in alternative data, reported NASA's homeland security
FY2005 R&D budget request at $66 million, $1 million more than in FY2004, and
$7 million less than the amounts for FY2002 and FY2003.
Table 28. NASA Homeland Security Budget Accounts That Appear to
Contain R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
Homeland Security FY2002 FY2002 FY2003 FY2003 FY2004 FY2005
Mission Enacted Supple- Enacted Supple- Enacted Request
mental mental
Budget Account: Science, Aeronautics and Technology (026-00-0110)
Protecting Critical $40.0 $33.0 $65.0 -- -- --
Infrastructure and Key 83.0
Assets
Budget Account: Science, Aeronautics, and Exploration (026-00-0114)
Protecting Critical -- -- -- -- $79.0 $81.0
Infrastructure and Key
Assets
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted by CRS from OMB, 2003 Report to
Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission Funding by Agency
and Budget Account (budget authority in millions of dollars)," pp. 47-67. Data in Roman for FY2003, FY2004 and
FY2005 are from: OMB, FY2005 Budget, Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission
Funding by Agency and Budget Account."
Homeland security R&D activities, according to NASA's FY2004 budget
request, deal with improving the use of satellites and earth sciences research and
applications for improving global measurements for weather monitoring. In addition,
NASA reported that it serves "... the Nation through partnerships with the
Department of Homeland Security and other national organizations to benchmark
processes of monitoring air and water quality, tracking the spread of dangerous
60
Available at [http://www.house.gov/science/hearings/ets04/index.htm].
CRS-35
plumes and particulates, and planning for evacuation scenarios, for integration into
a Situation Center for decision support."61
Given the conflicting information, but, nevertheless, the considerable evidence
from AAAS and NASA itself that the agency does fund homeland security R&D, it
is likely that OMB's unpublished homeland security R&D data and published
counterterrorism data may have erroneously not reported any such funding for
NASA. It is probably likely that the actual amount of NASA's homeland security
R&D for FY2005 is below the total of $81 million requested for the homeland
security mission of "protecting critical infrastructure and key assets" for the budget
account "Science, Aeronautics, and Exploration."
National Science Foundation (NSF)
According to OMB's unpublished data on homeland security R&D funding,
NSF requested $315.8 million for FY2005, 3.3% more than the $305.6 million
enacted in FY2004. See Table 29. Using published data in OMB's 2003 Report to
Congress on Combating Terrorism, and in the homeland security appendix to OMB's
FY2005 Budget, Analytical Perspectives, this CRS report identified different
information for NSF's R&D on this topic. These appendix data put NSF's FY2005
request for homeland security activities at $343.6 million, slightly more than the
$327.9 million enacted for FY2004. (The figure of $343.6 million is the sum of
$16.2 million, $27.0 million, $290.2 million, and $10.2 million.) For FY2005, NSF
requested a total of $317.2 million for the homeland security mission budget account,
"research and related activities," mostly for "protecting critical infrastructure and key
assets," with $27 million for "defending against catastrophic threats." It also
requested $16.2 million for education and human resources, and $10.2 million for
salaries and expenses for homeland security R&D accounts, both for the mission of
"protecting critical infrastructure and key assets." See Table 30.
Table 29. NSF Homeland Security R&D Based on
Unpublished OMB Data
(budget authority, $ in millions)
Agency 2003 Enacted 2003 Supplemental 2004 Enacted 2005 Request
NSF $268.5 -- $305.6 $315.8
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.
61
NASA, FY2004 budget request, p. SAE 9-3. Available at
[http://www.nasa.gov/pdf/1967main_2004_full_budget.pdf], which was viewed last in Dec.
2003.
CRS-36
Table 30. NSF Homeland Security Budget Accounts That Appear to Contain
R&D Activities, FY2002 to FY2005
(budget authority, $ in millions)
Homeland Security FY2002 FY2002 FY2003 FY2003 FY2004 FY2005
Mission Enacted Supple- Enacted Supple- Enacted Request
mental mental
Budget Account: Education and human resources (422-00-0106)
Protecting Critical $11.2 $19.3 $11.5 -- $16.5 $16.2
Infrastructure and Key 11.5
Assets
Budget Account: Research and related activities (422-00-0100)
Defending Against 9.0 -- 27.0 -- 27.0 27.0
Catastrophic Threats 27.0
Protecting Critical 219.8 0.3 244.3 -- 281.3 290.2
Infrastructure and Key 244.3
Assets
Budget Account: Salaries and expenses (422-00-0180)
Protecting Critical -- -- 1.7 -- 3.1 10.2
Infrastructure and Key 1.7
Assets
Source: FY2002 data and data for FY2003 and FY2004 in italics are excerpted by CRS from OMB, 2003 Report to
Congress on Combating Terrorism, September 2003, "Appendix -- Homeland Security Mission Funding by Agency
and Budget Account (budget authority in millions of dollars)," pp. 47-67. Data in Roman for FY2003, FY2004 and
FY2005 are from: OMB, FY2005 Budget, Analytical Perspectives CD-ROM, "Appendix- Homeland Security Mission
Funding by Agency and Budget Account."
NSF's FY2005 homeland security R&D program includes fundamental research
encompassing an "Ecology of Infectious Diseases program," co-sponsored by NSF
and NIH, a "Microbial Genome Sequencing program," jointly sponsored by NSF and
USDA geared to understanding potential bioterrorism threats and how to combat
them. It supports a "Critical Infrastructure Protection" program with research "to
identify potential vulnerabilities and strengthen protection for the nation's
infrastructure," such as power grids, transportation, and water supply systems. It
supports information technology research to improve the security of information-
technology systems. It also funds a "Scholarship for Service program, to educate
students in information security and assurance "in exchange for service in federal
government agencies."62 NSF's FY2005 budget request also describes its specific
homeland security research support activities for cybersecurity and infrastructure
R&D; sensor technology; social, behavioral and economic sciences; robotics; and
laser diode research.63
The following issue may be raised: both NSF and NIH support the conduct of
R&D, yet most of NSF's homeland security R&D activities are categorized under the
62
National Science Foundation, FY 2005 Budget Request to Congress, p. 6.
63
Ibid., pp.234, 299, 321, 361.
CRS-37
homeland security mission of "protecting critical infrastructure and key assets" while
most of NIH's homeland security R&D activities are categorized under the heading
of "defending against catastrophic threats." NSF programs were not described in the
OMB document. Other sources indicate that NSF funds homeland security-related
awards in all scientific areas that the agency supports. The foundation also funds
specific applications-oriented homeland security R&D and training in intelligence,
biotechnology, and critical infrastructure. See Table 31. NSF's homeland security
webpage describes its activities and lists all grants awarded in support of homeland
security R&D.64 It is not clear what the differences are between the kinds of research
which may be supported under the two different headings of "defending against
catastrophic terrorism," and "protecting critical infrastructure and key assets." These
may require clarification to assist in presenting DHS and Congress with a complete
and accurate understanding of federally supported homeland security R&D.
Table 31. Examples of NSF R&D Programs for Homeland
Security and Counterterrorism R&D
Program Activity Information Sources
National Includes news, synopses of grants and [http://www.nsf.gov/od/lpa/ne
Science contracts awarded, etc. Current grants are ws/media/01/nsf_response.htm
Foundation for Data Mining and Homeland Security #grants]
(NSF) Applications, and those in: Engineering;
Homeland Social, Behavioral and Economic Sciences; [http://www.nsf.gov/od/lpa/ne
Security Page Biology; Computer/ Information Science & ws/03/fact030124.htm]
Engineering; Geosciences; Mathematical & and
Physical Sciences; Education & Human [http://www.nsf.gov/od/lpa/ne
Resources; Office of Integrative Activities, ws/media/01/nsf_response_aw
and National Hazards Center ards.htm] (continues to
inventory NSF awards made in
response to 9/11 attacks)
NSF Small Programs for homeland security [http://www.eng.nsf.gov/sbir/h
Business omeland.htm]
Innovation
Research
Support
Program
Other NSF Includes: "Opportunities in Basic Research [http://www.nsf.gov/pubs/2003
support in the Mathematical and Physical Sciences /nsf03569/nsf03569.htm]
programs for with the Potential to Contribute to National
"Approaches Security: A Partnership Between The NSF
to Combat Directorate of Mathematical and Physical
Terrorism" Sciences and The Intelligence Community,"
(ACT) Program Solicitation NSF 03-569
64
See [http://www.nsf.gov/od/lpa/news/03/fact030124.htm], which was viewed last in Jan.
2004.
CRS-38
Program Activity Information Sources
Other NSF - Fundamental research on Ecology of [http://www.nsf.gov]
homeland Infectious Diseases jointly with NIH and a
security- separate Microbial Genome Sequencing
related program that NSF says will contribute to a
research better understanding of potential
support bioterrorism threats.
programs - Scholarship for Service program, trains
students in information security and
assurance in exchange for service in federal
government agencies.
- Critical infrastructure protection programs
to identify vulnerabilities and strengthen
protection for grids, transportation networks
and water supply systems. NSF also
supports security-related information
technology research.
CRS-39
Concluding Observations
The request for FY2005 federally funded homeland security R&D totals about
$3.6 billion, exclusive of facilities and construction. This is a large amount of
funding and arguably the fastest growing component of the federal R&D budget.
DHS has statutory responsibilities, mandated by the Homeland Security Act, P.L.
107-296, to coordinate federal homeland security research and development (R&D).
DHS's Under Secretary for Science and Technology announced that homeland
security R&D will be coordinated by fall 2004. Implementation of these
responsibilities depends, in part, on the quality of information about homeland
security R&D programs in DHS and in other agencies. The data that are now
available on homeland security R&D do not appear sufficiently detailed, accurate, or
consistent to answer questions about priority-setting, policy and coordination among
federal agencies.
OMB prepares several different types of homeland security R&D data sets for
different purposes. Agencies also produce their own data. It is a difficult task to
collect comparable cross-agency data and OMB has made considerable progress in
constructing data sets. While there are some similarities in these data sets, there are
also major differences among them, making it difficult to have confidence in the
accuracy of any one data set or in comparisons over time. In its reports to Congress
on Combating Terrorism, OMB publishes summary data on federal agencies' budgets
for R&D for combating terrorism and gives short descriptions of some agency
programs. 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
produced an unpublished table on homeland security R&D. Also, in data appended
to the FY2005 budget request and available electronically, OMB published
information on homeland security funding by agency, subdivided by programs and
units. 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.65 OMB is also
required by that statute to consult with Congress annually about ways to identify and
report homeland security information.
R&D would appear to be included in two funding categories OMB uses to
identify types of homeland security budget accounts: the two homeland security
missions of "defending against catastrophic threats,"and of "protecting critical
infrastructures and key assets." However, the R&D components of these categories
have not been clearly identified.
65
Congressional Budget Office, "Federal Funding for Homeland Security," Economic and
Budget Issue Brief, Apr. 30, 2004, p. 3 (html version.) Available at
[http://www.cbo.gov/showdoc.cfm?index=5414&sequence=0] or
[ftp://ftp.cbo.gov/54xx/doc5414/homeland_security.pdf].
CRS-40
Coordination of homeland security R&D requires an ability to identify and
compare funding and activities supported by separate federal agencies in relation to
homeland security R&D needs. The inventory of agency programs identified in this
report suggests certain issues for which more adequate data may be needed in order
to determine policy, priorities, and accountability measures to coordinate homeland
security R&D programs. Such possible issues include
! Are the funding amounts reported for homeland security R&D
mutually exclusive? Or does the R&D reported as "homeland
security" by agencies and OMB also serve other civilian or defense
science and technology needs? That is, is some homeland security
R&D funding data also reported under other categories of R&D, or
does some homeland security R&D support dual-use purposes? Is
there double counting of such R&D? Are agencies' programs for
homeland security R&D new programs, or are agencies simply re-
labeling R&D that was previously conducted and categorized for
other purposes?
! What are the government's priorities for homeland security R&D,
divided by application or functional area, such as countering
bioterrorism, border security, information security, and threat
mitigation?
! What fields of science does federal agency homeland security R&D
support? What is the breakdown by discipline (such as, by
chemistry, biology, psychology, social sciences, and so forth) and by
type of R&D such as basic, applied, and development?
! Is there unnecessary duplication or, on the other hand, major gaps
in homeland security R&D?
! Who are the major performers of homeland security R&D , such
as by type, including academia, federal laboratory, and industrial
performers?
! In order to meet future homeland security R&D needs, should
plans be put in place to strengthen performer or scientific personnel
capacity for selected fields?
! Is there an opportunity, or need, to promote dedicated information
exchange or technology transfer among researchers who receive
federal homeland security R&D funding to allow researchers to
easily learn about the R&D accomplishments of others in order to
hasten discoveries and to prevent unnecessary redundancy?
! What are the similarities and differences in the R&D conducted by
different agencies in similar areas? An example is the biodefense
R&D conducted by DHHS and DOD; what is NSF's role in
supporting such work? Which agencies support R&D on information
security? How are priorities determined?
Clearer and more consistent information about homeland security R&D might
assist in eliminating unnecessary duplication, filling in gaps, identifying future R&D
personnel needs, and improving the capability of different types of R&D performers.
A detailed list of strengths and weaknesses in the various federal homeland security
R&D data sets and options to ameliorate problems are discussed in companion CRS
CRS-41
Report RL32482, Federal Homeland Security Research and Development Funding:
Issues of Data Quality, by Genevieve J. Knezo.
------------------------------------------------------------------------------
For other versions of this document, see http://wikileaks.org/wiki/CRS-RL32481