Congressional Research
A \Nibervice
The DHS Directorate of Science and
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The Dietorate of Since and Techoolgy isthe primary oreanizaion For esate and velopment (R&D) inthe Departnat of Howland Sscurity (DHS) With an propriate of $932.6 milion in FY 2009, ondacts RAED in several laboratories of son and
Funds R&D conducted by ether government agencies, the Department of Enerzy ational laborstorcs,indsty, and universities, The directorate eons primo se visions Chemical and Biolopcal Exlesivess Command, Conte an Ineropealiy Bender nd “Maritine Security Infastactre and Geophysical and Human Factors Adon offices have
responsibilities, sich as bora Taiies and university propa tha ew across the Aisisons Thelrectorae fs headed hy the Ur Sectetay for Seience sal Techs
In th post, some Mesibers of Congres snl ther observers hase bee highly ential of the cmesgrate+ performace though magnet changes have somewhat ante this itch in cent yes, funlamnal ass ein, Among these re
‘+ the allocation of RAD finding within the dvetorste's programs, it lalingIBe alae among base research, applied researc, and development and the proportion of funds allocated wy government, industry and academia
+ how te directorate ss pois, neong is use of states planning documents, system of Tmegrte Pret Teas, an the extent 1 which i 1
‘+ theatre snd effetiveness oF the ciectorae’sclationships with er federal R&D organizations, such a the Domestic Nuclear Detection Office, other ‘ongunizatons inside DHS, the Deparusen of Energy national aboratvies, and sth agencies:
1 the definition of the dieetorste's mision, such as idensfeation of is eastomers, the scape ofits R&D tole within DRS, an the extent oF non RAD sso
+ the directorate’: budcting and financial mimagement ncaing the quality of ss Inidgetdacunens ad the persistence of unobligated balances + thedivecorate’s responsiveness to Congres: ant
+ the clalishment of mares and gous for evalsting dhe scons’ tpt
‘Congressional poieymakers are widely expecta to consider reuthrization esaton for DAS dhring the II)" Congress, Sos essation would likely include provisions tat would fect the Science and Technology Directorate
Trang 3Contents Inưoedueion Mission, Orsatizaton, an Assets Mission Organization
Latoratories and Other Asst TỶ Plan Iland Animal Disease Center Transpmation Security Labomtory
National Biodefense Analisis and Connterncaones Center
Homeland Secor Insitute and Hornsiand Sear Stages and Analyis Taste Homeland ScevriySystenm Faginvering an Development laste University Ceters
DOE Nationa Laborsorss ‘Cees Cin Poi sss, Dining the Dirstorat's Mission
Customers
Scope sf RED Role Frnetions Other han Rae, TPiyilaon anl Statesie Plannin Plaine Documents
Pros Reflected in Allocation of Furi Integrated Prntct Tears
Useof External Adee Analysis of Tiret Information
Balance of RAD by Type and Performer Basie Research, Applet Research, an Developm Intramural ane Extra
Operational Actiiis
Ditficly of Tracking Bdge! Tens Toran i the President's Budget Information in DHS Budget astieations Financial Management
Relationships Consolation of R&D witkin DHS with Other RAD Organizations Role ofthe Domestic Nick Detection Oe Relationship with the DOE National Laboratories Interizeney Coordination
Mesrics and Goal for itstorate Output Responsiveness to Stakeholders Trusty
Conrese Expiring Authors
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LR 549, Naonal Bowing Prevention Aet of 2009, Figures
Figure 1, Organization ofthe SRT Discos Figure 2.2000 Funding forthe SAT Disctorte Figure 3, DHS RED by Charactor of Work
Figured, SAT Dinsctorate Statistics on RD Performer Typ, FY2008, Tables
Table 1 DHS R&D by Character of Work
Table 2 S&T Directorate R&D Ohlgaions by Chanter of Work, FY2005 and PY2006 ‘Comparison of lune 2007 and November 2008 NSP Esinsts, “Table 3 Categories of R&D as Deseibe by the SAT Directorate
‘Table 4, S&T Dirstrate Unobigated Balancs
“Table C-1, SRT Dinsctorate Budget Authority, FY2003-FY2077 Table C2 S&T Direcorate Budget Aut, FY2G07-FY2010
Appendixes
Append A Responsibilities and Amores ofthe Uner Secretary Appendix B Previous On
Appondis C Funding History of the S&T Ditetrate Appentin D, Activites of the S&T Directorate,
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Introduction
‘The Dincorate of Science al Technoloay SAT) i the primary organivation fr researc aad developmen (RAD) in the Depanneat of Homeland Secu, With hadget of $9326 milion in YOU the decorate condves RAD in several ahorstores ofits own aa funds RED <onducted hy other government agencies, the Department of Een) atonal abort, industry anduniversis,
ln the past, some Members of Congress have boon highly vical of ue directorate’ performance For example in 206, the House Appaipriations Commitee sad it was "eoneraal about he ily of [hc] SAT [Dizetorate] to advance the use uf selene an technology fa batting
"croram and against other hazards late! to homeland sc” and the Senate Aprsniatons| ‘Commits elle Ue dirctorat "a rilerks ship withoot a clat way to gt ik fe sai it as “extremely disappointed with the man in which [hs] S&T [Directorate on course
hing mages.”
‘Moe rece, management changes have considerably no this eric For esse, n 207, the Senate Appropriations Coma tated tht twas "pleased with the apa proses S&T appr fo be mane lows resolving past dcutes, The new Unde Serer Bis reatnictre the dretorate’s progam, Soka obligate resources a nel fashion, ahd inset a capable budge office able diver timely, acura, aed comprehensible dluments” Nevertheless a number of fundamen sues emai,
This report deserves the evolving mission, omanizaton, and assets ofthe SAT Dirctorate an theca i conducts I outlincs key poly issues, including tbe balace of the dretorate’s Prost, is oes and haw they azo s,s tlatonships wih ether RD onsanzaions, Inisson, ts hedging an Sania enaagoment, ant er conccrs, The report coeds With ‘cession of legs sss forthe IIT” Congres, Othe R&D organizations inthe
‘lute (sch ae the Domstie Nica Detection Orie and the R&D aces of the US ‘Coast Goad) ane seuss only othe extent tha they’ tea ta the SAT Dinter
Mission, Organization, and Assets
Mission
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suadtwory mlsion.Itead,the Horneiand Seeutig Act gave the Under Secretary a wide-ranging lsc of responsible an! authorities, Fo he comple ft see Appendix.) ln 2006 Under Secretary Jay M Colin summarized his inceapriation of the SAT Dirstrat’s mukifasted Inission a follows: "The SAT Directorates mission sto pret the oad by providing Federal, Sate local ad Taba officials wth slate he-a teehee and resources.” Some of dhe Under SeerearyS responsibilities and authorities are primarily cooednaive, These include
+ planning and coordinating the federal eivlian effort develop comermiasurs gsi eres heats + collaborating with the Seretary of Agriculture the Attorney Genera athe Secretary of Health and Humun Services inthe designation unl epulton of
biologie slot ages
+ cooninating with edhe appropriate executive agencies to reduce R&D, ‘Sopication and emf unmet nos ad
+ coontiating an itepatng the depantears activites ia RAD, demonstration testing a evaluation Al these tasks involve stakeholders who dy nt rept othe Under Secretary, so the Und Secretary’ ability to perform his duties relies onthe evoperation af ther agentes,
Another group of responsibiites an autovites ae ia suppor of ether DHS organizations These include
ý
+ supporting the Under Sotetary for National Protection the Und Seeetary for ltornetion Analysis at Ifeniuctre Postion) by and Programs (emery ssssing anlcging xulnerlilie am vets and
+ ewersocing department wide guidelines for merit eview of R&D,
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Teởwolagp Ko le cay Con + conducting basic and applied research, development, demonstration testing ane cvaltion + establishing a system for transfering technologies to Fedral, state, an acl governments apd the private sector: a + generally supponting U.S leadership in sience and technology
Organization
Under Secretary Coen eoneaized the management structure of the S&T Directorate son ater his eonfimation in August 2006 Fora discussion of the previous structure a the S&T
Direetorte which may be usefl in understanding budgets and other document fom before the transition, see Appendix Figure | Organization of the S&T Directorate Under secretary E r 1 = tên : Unversy| gyy| ¡[sa “nemeal
eve Samet || Sess] 2 Bo Peace teste fs
Guên || "0E | | Bares rior
Notas: TRE = Ton and Eaton HSARPA = Honing Say Adana Rate rac Ag The hie ofNisonl Lorne the Of of Unvry eg are arash Of Reernk” SARA te Osc fron inna ye ai sng Se rs oe
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‘The omgnizationl sructue ofthe SRT Ditecoyates shown jn Figure 1 The directorate ‘corsists primarily of se researc visions: the Explosives; Cheneal and Bolosical; Commu ‘Conon Imeroperabiliy: Borders and Marine Secuety: Human Factors: apd Inastucta tnd Geophysial Divisions These asthe dnctorate's main performers and funders of R&D in Iie respective topical areas, The Offices of Ress, Innovation aed Tamsin coi the
atvitin of hệ long hey als coma some ais of their ven the unto ate reformed by the Office of Teta Esato ad Stars: Special Progtamas and Agensy| and Intemational Liaison, Each of these 12 dvsions anc offioes headed bya director who Fepmrs dsl tthe Under Secret, As indicat bythe dase! nes and hans in Figure
the drstors ofthe Offices of Research, Innovation, and Transition ane with each ofthe six “isis, For more formation on the activities of te yarns componens, se Append D ‘The wal enacted FY2000 furaing forthe SAT Directorate is $952.6 milion Figure howe Congress allocated ths amount the divisions ffces, an othe aetivties The 2 shows 5 Salaries and henefits for headquarters employees who Work in the oer otis an visions The Dive of Special Prams and the Office of Agency and Intentional Liason resive us indoelythrooeh transfers from te other programs For more ilormation on funding sec
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‘he DHS Disctorato eee
Tatoo: Ky sus for Con Figure 2.F2009 Funding for the S&T Directorate Manager ad keodem Seo "4 72" TeelandEkeuelan "Sg" ‘ra Sansa ‘owges! ob or TrangHon nam tang game Lats Fata Này eg — Saino Sang củ
Source CRS aaj of PL, 10529, DiưưenĐ, mrếgtrteryzeterrk Gmpsetrdifcxe Soper Laboratories and Other Assets
‘The SAT Directorate has a variety of RAD assets tha sport its activites, Some ate ahoraores that were transferred nt the Departnene of Homeland Security when was eet n 2002 (The uansfers became effective in erly 2003, Other assts have been established moe recemly under the authority of the Homeland Security Ac
Environmental Measurements Laboratory
‘The Environmental Measurements Laboratory (EML) in New York City as formerly in the Department of Energy tas teansferred tothe S&T Directorate by See 303 ofthe Homcland Security Act Historically the fcus of EML was detection and monitoring of low-level radiation releases The transfer of EML to the S&T Diretoraterequited a rclignment of EML' activites to mec homeland security zoals According to some experts, this realignment process Was ‘ontentios.” DHS officials reportedly debated whether EML s most appropriately posit nein
>a ene an relates nt cused aang fhe ese Cmte on Since st Techy sek oxen nd Org ation he Emel Merce ara he
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the S&T Dtectorste or the Domestic Nuclear Deetion Office (INDO, discussed more below ‘wither EN shou he close and whether EM show be diced i sie ad the semaiing ‘apablesrheate tn May 2007 Under Secretary Coben istifiedtha EMI il rea ithe S&T Directorate; that it wll eominue to eperate suppening both DNDO ard eter DHS “rst: at ill emai as ete Inet bt sale, “ig sie” Facies * “Ts realignment an scoping proces is onan,
Plum Island Animal Disease Center
‘The Plum Island Avinal Disease Cater (PIADC),on Plum sland th coad e Lang Islnd NY, ss transfered from the Deparunsat of Agriculture tothe SAT Directorate by Sec 310 of the Homsland Secrty ‘mama pathogens that sigh than vestck ona tional evel sressarch seks to find Act The PLADC provides a fora aiiy where R&D can be performed
{ickst was to diagnose anna diseases alo develop vaevines another veterinary extents fo infected animals The PUYDC Tis hoon in service fo ove 50 ets, a questions have Deen isd about he sate of as laboratory inacnictue athe adegaey ofthat afastLete 10 continue performing necessary R&D for DHS
In Janoary 2009, DHS annonced that 9 new Nasional Bio: and Agto-Defease Facility (NBAF) ‘lle ut on the eampas of Kansas State Unversity" The PIADC laoratris Thế decommissioned once NBAF Bscomes fully operations Some policymakers have expres ‘concer paring the nove of font and out disease rescus om an sla the mena." andthe Governneat Accountability Office (GAO) as testified hat more information and
‘nals shold be perlorms to determine the magna of sks asscited with movin sch rescat fom Pl skid othe milan
‘Congress has enacted a seres of authorities eating to he proposed eretion a the NBAF transfor of PIADC research atvtes, and close of PIADE Uough te 28 far bil
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permit DHS allowing research on lve foot and-mouth disease virus onthe mainland at any acceso fait to PLADC Congress alto espn tothe perveived potential sks of Pesorsiag such esearch on she mainland, Congress equited DHS to complete 2 tsk assessment [whether foot-anmuth dscase work can he done safely onthe muna an have tis ascessnet reviewed by the GAO, Uni this sk assesment al reves complete, fds
pqmopiae in the Department of Honan Sect Appropriations Asi, 2008 (PL 11032 DDsision Dy my nos he use for construction othe NBA
DHS is evasting options fr the easton aa fur use ofthe PIADE fait Possibilities tha have heen suggested lide timing iio a govern aboratory fr aerative cn R&D, wine the site fora wil ara sling the property (or eommnercal development Sexton 540 ofthe Deparment of Homeland Scotty Appmpiations Aet, 209 (PL 110-32, Division Dy arcets DHS wo "guide the Plum Ilan Asset” and makes die proceeds avai to the SRT Directorate subject appropriations 49 ost da ost of envizomacatlFemelaton st the PLADC site and construction of the NBAF= any balance sill mani ar tht could be tne for eanstrction a eonoldated DIS hsaduaers Foe ste icrmation on NAF, sce {CRS Repo RLBSI60, The Notional Bio and Agro Dafne Fariy: ses for Congress
‘Transportation Security Laboratory
‘The Tearspostaion Security Laboratory (TSL) in Atlante Cty, NJ, was freer in dhe Transporation Security Administration (TSA) ant hetore tht nthe Feral Aviation Administration I became part of DHS along withthe rst of TSA under Sec 403 of the Homan! Sscurity Act, Iwas aster nthe SAT Disctorate in PY 2006 as part of an elt te consolidate the dopament's R&D artis, The TSE perlarms scar, devclopmsn, and testing an evalation atv, snail inthe ax of detection as maitigation of explosives seamen espns sats,"
National Biodefense Analysis and Countermeasures Center
The Homeland Sscurty Act established a Nation Bio: Weapons Defense Anlyss Center the Department of Defense Sec 1708) an then transfered it alms with ts fang, to the DES S&T Directorate See 203) Subscquealy rename the National Biodefense Analysis and Countermensires Center (NBACC, ths certs exis as bath a poeram office ana laboratory Fai The fait, curently under consimction in FL Detick, MD, sil elude igh
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Repom RL32891, The National Blodeinve Anas aud Comntermeasures Center: Issue for Homeland Security Institute and Homeland Security Studies and Analysis Institute
“The Homctand Security Insitute (HSH ss Homeland Security Act and managed oa the S&T Dgscorates bel hy Amlyác Series, lục an PFRDC established ander See, Sof the “The ISL asi the directorate adress homlan security sues thal rie scien technical an analyieal expertise Is main foc as systems analysis ad evalyaion, Mest of
its furs were received on 8p projec ass fom programs hat aguas 3 EYAI0§ and FY2I09 also rceveda sparse approphation of $5.9 ello, Under a sunset provision in the Homeland Security Act a gia paso he istiate Would have teint fi Novernher 2005, The Deparment of Homan Socurty Appropnatons Act 2008 (HL, 18 3M) extended that termiton date to April 25, 2009, Tht die was at exten anh the Sturiory authority for dhe HST has expires
{2 March 2009, under Soo 38 ofthe Howl Security Act, which gives DHS general aon lo establish FFRDCa, the SAT Discontents the Homan Security Shades und ‘Analysis Insist (HSSAN), The fonctions of the HSSAL appear io be very similar those of the HSI and ISSA aso manage by Analyte Services, Ine, The new itu will "provide Issn focused homeland sou analysis and expertise fusing on progam obec, “stem requitemonts, ak mets" Is eoatat fo one yest wh up to Fur one-yent extension for ttl Fung of up 29 $269 nln
Some Members of Congeess have questioned HSI’ bility proside efecsive,indspendent analysis of DHS programs, tosause DHS provided ts fond an hocause its coxactr might ‘sigh to conipete for a eominution ofits agement contact aftr the 2009 termination dat as indeed it di stecesstuly.” On de other hand, Congress established the iste specially 0 provide alysis to DIS, and there hes hon ite congressional eri ut specie Homeland Secu situ epots,Ttemsans to he sen how these concer wil erry phe othe ney staid HSS
(Ovesght ac investigations Natour Tron Prevention Saas Report onthe Federal Govern Ares
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Homeland Secuity Systems Engineering and Development Institute
The Homeland Security Systems Engnesting and Development Intute (HSSEDI) i arother [PFRDC also established under Se 85 othe melas Secuity Act in Marc 200 Til be ‘managed on the SAT Ditetertes bel hy the MITRE Corpaton, The HSSEDI wil provide the S&T Dieciorate with “alice on concept evolution, development ikearatien, best practices i hfeyele systems engineering atl maragement aa pmuarant level the am mMeprtion expertise across the homeland security enferpse" The HSSEDI conrset lu one year th yp to four one-year extensions for nal fumling o pp tõ HS mon
University Centers
‘The Hometand Security At roqits the Under Secretary establish a least one university Ise center foramen sent (See 8)" Twelve unisersty centers of exeelence beyn established so far
+ theCenter of Excelones for Command, Comte a lateroperabily, el by Rutgers Unisersity and Pure University
+ - the Cewer for Border Security an Immigration (COL-BSD a bythe Univesity af Arona and the Univeesiy of Texas El Pas + the Center for Explosives Datstion, Miiatoa, and Response, aby NNonsstern University athe University of Rhode Island
< Coser for Maite, land and Port Security, led by dhe University of aval and Stvens Instat of Technology
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4 the Center foe Risk and Exonomic Analysis of Terorism Events (CREATE led by the University of Southers Clio the National Cees for Fon Prtetion an Defense (NCFPD), shy the University of Minnesea
4+ tbe National Ceuter for Foreign Animal and Zoonnie Disease Defense (FAZD), Fahy Teas ASM University, + the National Consort forthe Stay of Tetrrsm and Responses to Terrorism (START) ed by the University of Maryland ‘+ the National Center or the Stay’ of Preparedness an Catastophic Event Resporse (PACER), kal by Joins Hopkins Universi td
the Center for Advancine Miembial Risk Assessment (CAMRAY, ka by
Michigan State University (estaba oimly wit the Eavionmeral Protection Agency) Those cemers are cperate by consortia of universities Soin consonance nom versity partners Although cach consort cola srsros members, Talia al alive ae Typically eoncesrated a he lead ination and stall amd of aj pater The centers ae ate of entities eased hy state and hove estas tthe diseion of DHS.” Funding for these centers s provided tough the SRT Ditectorate’s Oe of Univesity Progra The research stiitie ofthe enters ape so nanheeditly hy ĐH, hụt ater by ‘Mminsratve sal t cash center Each centers researc strasyy and pla sprovde DES For review however athe eztersatemp to align dei work wih the needs ofthe dpartnen
[Aspro the georaaization hegun in 206, the SAT Directorate plans wo align the topes of the ‘ener mote closely with esearch divisions, Over he nent several years, where maple ‘centers curently align witha single division, some may Be cose of meres, ad ons may he established
{nation sever university-ailiatc tivities ane somtimes considered altionl cents of ——
4 four University Aitiate Comers (UACS) aby Rutgers Univesity the Universi af Southera Calf, die University of Minis a Ura Chapa, a the University of Pishreh, tat work th the site for Discrete Seine at Lawrence Liveoee National Labor; + five Regional Visvaization and Analstics Centers (RVACS), fl by Penn State University, Purdie Univesity, Stanford Univers, the University of Noh
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4 two cents funded by the Infrastructure and Geophysical Division (uc University Programs) the Southeast Regional Research Iniative (SERED ans the Kentucky Crit! Ineasnitoe Priston fst (KCB,
The UAC and RVACs supp the Disision of Command, Cone, at Iterperaily DHS plas ott fund them ater PY2008 ant transition het Resear tivities tothe now Center ‘of Excellence fr Command, Control, anl Iterepeahilty n FY 2000
“Tho university centers of excellonoe and the universiy-affliatd detivties provide the main connetion hetwcen the SAT Director andthe academic comunity Aesth, the univers ‘centers of excellence re the primary mochanism forthe S&T Directorate athe academe ‘coma lo imkract an REED tps The dts ofthese exniers have Been an seo “congressional fous, with special terest given t how research st university centers of tAeelele felts tb DHS RED tees and SAT Director pots I 2007, Congress
‘osdere, uta net mypose, mie terms fo the university centers of excellence, hd tas Since evabished new university centers of excellence in spcifc research areas Stakeholders fesictodcongression eos a curtail Ue uration ofthe univers bạ response plans 0 ral
nor of ckeelene the university enters of excllence hus been more med
DOE National Laboratories
DHS sa speial statutory relationship with the atonal bortores of the Deparment of Energy (DOF
Notwithstanding aye aw governing te amination, mission, se, oraperatiens a any othe Deere cf Cincy atonal lates nd sie, iterate a ts
rosie an peters tr oa a as tots th aos ad eon amination bat ih teres of ach Iaartry Gr ste
‘The SAT Directorate can use ths authority to engage the DOE tational lnboratris to perform rescate for DHS asi they were bang tasked by DOE, Ths shit tedces costs for DHS ad vests anks egal riot with DDE sks, unlbe the tink of ther agencies that cant RAED the ntinal Ioratories ud the saa of “work fr oth.” ayy nis existence, the SST Digsetorate iene quer of DOE mains laboratories that poroem RAD potty felevan to homeland svusy, bu i ws eicize for having no seat to use tat capably
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DOE and DHS have snes mere ino 8 memorantan of aureenen tepanting the use of DOE: asset by DH 7 Directorate eprted in May 2007 tat it had lined is use ofthe (DOE national laboritores with is rompanizd division sacar Elesen oe aortic re included inthis alignmese: cach division algned with betscen tree apd sven of the The fl of the aenmnt process isto provide an enduring eaailiy for asic research"
The relationship hea the SAT Disctoratsand the DOE national aborstorcs is dscussa Funes below (Se "Relationships wits Other R&D Organizations)
Cross-Cutting Policy Issues
Te dictate aes vary f bony concen aition othe ses asc wth ie opecic anand asin of tm SET Dinos doce abot, Thess nce
+ is llocaion of scutes obstacle ech, vee + ts icf rar oretramara perms fr RAD:
1+ ts prices fe prneization and sta ie planing
+ its elaionshps with other R&D oxpanizavons, both inside ad ouside DHS + problems with is hadget docu san fnareial management ste:
its esponsiveness to Congress and industry ad "`
Defining the Directorate's Mission
“The Homan Sevurty Act dd na eve the SET Directorate a cones tatuory mission Incense variety of responsibilities and athe: forthe Unser Secretary These were suns tthe Doping ofthis repr and ave eroded in fll in Appenuis A DiTevene Pople aire tines have had cilferem eoncepsions of he drecoraes mission This ston Aiscuses tree aspects of ht cate: whether he directorates cute” hệ nữ ‘componente of DHS, the imate eral wer, suchas sae an local frst responders, oD the Sco ofthe sectoat's R&D mission relative to ther DHS components (such as DNDO}: an
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Customers
During the tenure of former Under Secretary Charles E, MeQucary (2008-2006), customers were describ as ing both itera ether sectrates ad aise deparmicnt al eter {sate an local homeland seca offical a first reser), The nad of sich a verse
troup are rola varied, a desing and mete those ess proved a be a challenge In ‘Mas’ 206, the Hose Cones on Appoptitons reported that
SAC hs ied aque sony tro how supports mssons ofS compen tenets Many DI corsponcntexess kpc enor set loo Dating the tenure of Under Secretary Coben (206-2008), the dvetorate identi its imetine ‘astomet the DHS componcas hough sili formulation hat recognizes en users 19 ‘congressional esinony in September 206, the Unde Secretary referred w his
sino fora tealpnmnt ofthe Dirscert 6 ber est the ska ac of {stom —ihe DES Components aie castes fear eaignar the seas lind men and women hat SAT conbls wo ake the Nato ler."
He capsize the noe forthe distorts to be mone atuned wo the neds of is DHS customs (ie DES cones ned an expan that is eae o aces in oe 10 wlae ‘ccowloics and sls that wll make tei jos beter, oe ft se sffetiv, and safer The S&T Diceteate nest oe more assent DIS ‘ompancnsoiesceage he liad ofthe pod work temp and ween SAT ae Tenzin oh ak Scope of RED Role
“The subjgt matter boundaries ofthe dgetorat’s RAD cole within DIS have expanded and opie ince its establishment, As discussed above, it fas absorb programs fom several ‘ther DHS orgarizations, but Congress rejected propels that takeover veain Coad Chat e(Side aulIhe Donevie Nuelear De cty Of + n08 a xepante organization with
Retnubil\ ft nưữcloycal anu nclear coustermeasures Given thal dae SRT Directorate hotabe only RAED operation with DHS questions remui abou What principles determine hs Iypes oF R&D it shold do, an when another organization should ake on a parcula R&D ope “The scope of escarch undertaken bythe SAT Dinstorate though is compote efits als has hss estioned, When DHS was established, Congress asm created wth the S&T Dirtorate
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the Homeland Security Advanced Research Projets Agency (HSARPA\, which was to aduiiser Anew established Acceleration Fund for Research and Devclopmeat of Homsland Security Technics.” Te scope ofthis agency has evolved since twas created Intl i was unclear how the SRT Dirctorate wuld implement HSARPA: ven the smal of te name othe Defense Advanced Rescare Projects Ageney (DARPA), some exper in the see
‘miami belived that, ike DARPA, st wld fn ies ch-rewand RAED Instead, Uae S&T Directorate usd FISARPA to copct essen of texeanntal acti, st ‘hich were conventions] RAD wih only moderate sk
As part ois reorganization of the S&T Ditetoat, Under Secretary Cohen rete the work, oF HSARPA The role of HSARPA is mnch redied om past yes, whet ws esponsble for sly ll ofthe dretoae’extmural R&D Is ow fuse on aes with gh isk aad high reward Though is Homeland Innovative Prototypical Solutions (HIPS) and High Impact “Tecnology Solutions (HITS) programs, HSARPA sow performs sear actives one the DARPA mode
The best way wo tse HSARPA nay cootnuc to bea topic of congressional insrst Advocates of the DARPA mode! point ut that wile is isk are high, andl ony a smal action of funded programs achieve heals, the Benois Fom the successes ea be seat Oa the ober hand esas most prosrams donot aie thee go, muy wil ikely eed to be fd tore 3 socces js ero The highs, high rewart approach is torfone likely to rogue a stained ‘nn sigiican nancial conte is a be sess
Functions Other than R&D
Althoueh de directorates main mes RAD its programs incide functions eis curly involv instarkars development, cchnolg testing ant exaation a varity of her relates ad tectnology transfor Urs 2007, conkhcted several operational programs sch as [jae in hich deployed andl operated eaoipment a well developing hasan scholarships and fellowships, the purpose of which as sometines bse daserhed as “apt Tin” fr Fate R&D pie i which sone Members of Congress have heen pacar ierestod The Unde Seeetty alo has sever eordatve esporsblities involving other Federal agencies While the shit of operational analtempl to focus onthe ain RAD roe, the ther activities apa responsi ies resin Thre peosrame o tierorgaaizaduns in 2017 su fas bse defniveeqplenaion of the lator tht determine which non-RaD funtons are npmpiate forthe directorate and shat determines thsi pdorl relative to RAD,
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opr, the sols and fellows weeuving financial assistance fom DHS do nat necessarily {er into homeland scour employment or RAD”
‘The S&T Directorate has raced the numbers of scholas and fellows and aterptit aig scholarship an fellowship activites with hose of the verity centers of excellence" THs Hay leat greater synotpcs and ellctivencs etwosn thea params a als may fini the Scale of involvement of universitis, saderts, and siete interested in homeland secur Wheter DHS, as an R&D funding emi, shoal continue to att to dovciop an came homelanl ss infant o sted Toes om sine mone federal assets Wo perfor R&D aetivitis and provide experienoe and wapetise i homelal seciy may conte to Dea opis rinttest 0 policymakers
Prioritization and Strategic Planning
A long standing congressional eit of the S&T Dinetorat shat is planing ad Pelortzation proces is opacue This perception of pacity fas leo concerns abou the aceounlailiy ofthe planning process andthe guabty ofthe decisions it produces Digstorate Priorities can be somewhat inferred fom the allcation of uning within he ctecorate et Planing and priontization documents were pubilysvilale In Fane 2907 for he fs ine the Arcctorat suod sates plan and a ve year R&D plan In Ags 2008, the ie year RED plan was updated o reflet adjustments funding al pogranaatic peers.» As desea in
these documens a system of Integrated Prat Teams (IPTS) now belps to provide end users with more input inthe privitization process
Planning Documents
The 2004 DHS stategc plan enuneiates hgh-evel zous for using scien ad eco moot the overall mission ofthe department According to ths plan, DHS sk
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LAhoaph te 2004 DIES stafegie plan cduBlxhetịc Hist of scion an sche
Provides guidance shout sir relative impor rors, i
For the fist few yeas of fs evistence, the SRT Ditectorae lacked a publely available long-term RAD plan As regured by a presidental dective" it worked with ite White House Office ot Seience and Technology Policy ta develop an anual RAD pla for crea intastrucure profsction,” bet ther sno sie sguitement for ether R&D topics The decorate had an "nal planing process, hut the ress of tak press we intra to te xo ad wre rot publicly reviewed.” Sone eotcasions awa dhe succes of iil proaches “val be dat fon the resus of OM's Progra Assessment Rating Tel (PART) In he absence ofan oxerall pla, however, was ficult fr thas outside of DHS to gain a bist,
year perspective
In fine 2007, the S&T Directorate released a separate state plan that includes five ye R&D plan” This document ands attachments ify discuss the dnetorate’s organizational strict, RAD goals, prontzaton proces, an workfore, bu they Toss hore om
describing the director's Prosctons, und program mission statements Athoagh thse documents provide propos une RAD topies an progcas apd providing nestonss budget Funding levels they do not describe the press by wih the allocation a these fare aon the sbiferent homeland security research are and projects a8 deermina They desthe nunBer {specie cher, sch ste opis a the six divisions, the like emphasis paced on “ifereat heats, Ue sekestion of particular RED projets, aa the percentage tate! For asi rescateh funding, but they donot clearly explain how these eoies were rade oF Bow they are
linked to a set of high-kevel strategic goals In tis sense the SAT Diretorate stacy pln is ‘more an operational husines plan thân strateie plan ae its
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Priorities Reflected in Allocation of Funding
{nepondent of any explicit strategy the SAT Dizetoat’s fring allocations ge insight into ite pres Mast notably, they reveal a song feu on developing countermeasure Wo weapons ‘of mass destin, Coalermesites to bckoieal seers have alays Sinele component in te drvtorates R&D porto, The establishment of DNDO ais eons the rest
sowing shareof the department's RED expends imply a decision to iesease the pri of fucker and radiological countermeasures (This may alt the SAT Directorate, even tag is rn longer involved in melear and aoogieal RAD, because sich dein inp reduces the elative piety of ether RAD tpi that rena inthe dretorate) In pan this on uncomveatonl,-keihoed,highrcossequence treats may zl! di programs taser © the directorate ats epson, which were heavily focused on BAlagcal chendeal am ae kạc ‘weapons The api incense in hee! emphasis on radical ad macieat thưegt$ dạning lệ FY an apps to hea satepc choice, however Alo eh lhe White House hs epaied is fationale for establishing DNDO, DHS hss piven no pubs expazation ois dsiston wo increase DNDO's funding,
Inthe past, the disc's focus om unconventional hits as dawn ito question it bit 39 eet he eontensional ha of ater DHS eomponeat agencies, Inthe dtctoate’s old budget Strtre, nding foe supp of eiher DHS agencies” mses ws consistently less than for eter Dialga o radolopiea und lear eoustermeasurs, See Appendix C3) The new budget Strture integrutes suppor for ose DHS ageacis" nods ino ach of the wsearch divisions 89 this sue as Become dificult o tack though hudget tens The IPT process inlides
representatives ofthe DHS operational apencis, however, ehih my felp ensure hat RAD tiles met the departments conventional needs
Integrated Product Teams
The S&T Diretorate has insted proces to solicit input rom the operational components ‘of DHS, to work withthe componcss in dealing technology gaps and nee, an develop Incchanisme to mt those gape and neds The foundation of hese row proccess eo
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Spabiliyi (2) providers frm the SST Directorate, whose oe it prove ec solutions: (3) acquiskion octal ace faancia offices, whose ole sto validate and exccte itu acquisition plans: and 4) en user represcraives, whose rleist provide the end users Pespectves." The inte is wo help the operational units make informe decisions about Technology investi, hase on the S&T Dinstorte’sunderstanine of tchnology athe sae ofapptcableWechnalngy solutions, The specific goal sto ently techno sation that ‘canbe develope and dive to th aequsiton progres of operational units hi he eats Congress another observers have genctally taken a positive view ofthe IPT process ‘omc with de dictate’ previous prioity-setingelfons,
‘One pst fits ofthe S&T Drastorae as hoe tha iis iicully meting the need of en users The IPT process explicitly recogiees the thes DHS compan asthe enrsumers of the S&T Directoral’s RAD eons I enifis sequiements ad capability zaps atthe fede level Ahoueh dete canbe input fromthe sate an ost level the IPT structure does not encore aul users ouside DHS, sch as sae and loc fst noponders to comauncate thir need slccly to the S&T Dirstorat, The expectation i tht the DHS operational enone that ‘work with tate and lal agencies wil understand thee ood al pest Ui interests
Tr provide a dirstre for frst responders to comnwinicate with SA, the dộnionMe hác “sahlshs th TeehSolutionspropram The goal ofthis program is gore fis responder tas tothe RED pipoine and provide solutions toh rapt protaypang or wenGieaton of
vite tcolosies is uae, however, how Hse ness peitzed relative to each ete ‘how TeehSoltions intriets with the IPT process
Use of Extemal Advice
‘When Congres exablished DIS, it ako created the Homan Security Seine and Techy [Advisory Committe (HSSTAC), an advisory conse fr the S&T Directorate, Ti summitee tet alten omovide Uke SAT Ur Sacreany ith alice relating to pres ard sMfetive use af the S&T Dirvorate ast, tis service was sporae.” The orginal stattory !ubority forthe HSSTAC psc in 2008." In 2006 the conti was eaurhotized as
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In January 2609, dhe HSSTAC was reconstituted as an avisory committee under the Soret gence autority to establish advisory commutices (6 USC 451)Acoolingt sere the LASSTAC is esabishod in accordunce with a shal operat nee the provsions ofthe Federal Advisory Committe Act (FAC) This version of the HSSTAC isnot constrain hy he terms ‘of Se, 11 ofthe Homelan Seerity Ac, whisk povided specific satay sary forthe MSSTAC
‘The DHS also, tnoagh ageney's FFRDG, fr ester advice and analysis, The HSI has cvatiboted the S&T Dirctorat, relies onc Honeland Soeniy Insiut (HS, thề in areas uch as Siatesiepoiey and planning investment aleraives the ientifention of DOE National Laboratories’ capabilites, chemical a bologcal ware, real inasivetae proton, et scemios,sandatds meation, eperational sal, al less learned srs AS the FSI provides ts repos dacly to DAS, the coniems of thse reports ante extent o whit thei recommendations ar implemented are sot publicly known
Analysis of Threat Information
Like hor predecessor, DNS Sevtelary Napolitano fas stated that DHS show make decisions Tse on isk Gin this conte, the sk ht ferent dveats pre to homed security) While ‘sk methodologies are unde exploration in the SAT Directorate, the exten to whi hey ate incoporite into decison making is unclear For example, presidental dretive tasks DHS ‘vith Completing «biennial hsloical sk ussese men.” Aihough the conn of ha assesment his not heen made pub many observers expect tat it wovids suliciem analysis an deal to idemtypriosiy ares for shor, can al lon tem RRKD ivestmns, For example is rests are being use by the Deparment Iola eountesmesstieprocvenent thigh Projet Biel" On the oer har of Heath and Haman Sersces to help pooeze
‘conimies ofthe Navional Aeaden of Seienes expressed fla ent conver ut this Asexomehf and seeurhnadel tha (1% Beds for poizaton i is Mas ae rete Anolhe paiderdil ieoeite requires DHS to develop an septate isk assessient foe ‘emical,ologca, alologieal, and avlear teats" The conneeson of these to sk
sabe eben Wee ose i eae pm,
thấp? tư sce abel le 9 Melee ps psa he Wen Wis
Eien Da 1 he ra Say Cha et rng cow ae
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assessments wo the dretorate’s R&D huy đing process sa apparent, however, nor is tear ‘water the dizctorste apples o pans to pps a sunilar it assessment methodology
Priority sting nother teat eeas of aros all its stv, I sok be mod ha hese Fisk {ssese ments may contain information eating to national oe howard security were fu a sich, might he incorporated int the dreorate's planning processes tah 9 nonpublic mechanism,
lntersgeney un intrs-agency coordination plas an important rein ensuring that RAD plans ans steatepies av itformed by threat information The echnigdes ves sal oder by Terris and evolve, Fechaoloeieleantermasies say be aie dat provide rotation spans these mafic techniques, ft (hy wile ieteetive it hey ate ot deployed Prior othe technigue’ use Transfer of pertinent est inforation fom the iteligence
‘ommanity to DHS, and then tothe ST Discorae, may provide an advantage in developing ‘Suererorisn tcnolgies and enncing preparsdnes
Balance of R&D by Type and Performer
“The scope ofthe SET Dinctorat’ stv is bro Is RAD ‘ofthreas w homeland security (with the exception, since 005 of most mbclear an aol ast sles he whole range Us, nhịch sec addressed hy the Domestic Nuclear Detection Office, see “Rote ofthe
Domestic Nacle Detetiv Office” Below) spas the specu fom hase reset
“operational ystems (hows mst operaionalftion have nos hoon (sear other DHS “otganizatons).Iecondts intectlythoush arangements with the ational abort, ids, universities, aad shee some activities det nis on Tastes ae supports others
fovernment agencies This section dsusse the balance anvong hase esearch, applied research, and developmers: the halance bese RAD pesformed within the Federal goverament
Cinarura and R&D performed by inst acim, ard tors extra) ard the sistrate' me in operational activities The ext sston discusses how the csstrae’s Planing an prortization processes balance the many R&D topics at i ees,
gical
Basic Research, Applied Research, and Development
How the S€eT Dinstoate allocates is resources hetwoon escrch and developmen sof imerest to both plieymakes and eer staksholders The exten © which the SAT Directorate invest in base rescurch in paniedlaric an asd of continuing congressional ines Investment i hase essa ie gonorally below o ares long-term ness, provide a bass fr future arped rescarch an declapmeri al fad to advance in knowlege asoss dscpines Enver in ‘leveleproent Tocuses manson thea erm, wth rele at are pally arrow in scone
Sea for example esti of Under Secay McQucry af bering othe se Corntdee ao
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more inneuiiely appiesble, The đườcord + KD parlio hay hen ciđii7ad as being "Xe teo múch toward developmen with not enough expentur on base research.” As noted below the directorate’ sad aol is to devote 20% of ts budget to base esearch According 0
HS the FY 200 budge equest was the Fst fo mst is 20a!”
In the Administration's annual bulgt documents the Olive of Managemen ard tidgst (OMB) provides an agency-hy-agency analysis federal R&D bat arty in four categories: basic rescare, appli research, development and facies an eguipmest For this purpose, OMB Aetins the fist three of these eateries a5 fll:
+ asi esate “syatmatic steal inetd toa a aller wedge or tunersaning ofthe fanlamental aspect of phenomena anol obser acts ‘without speife applications toads processes or pets ind.”
1 applod esearch “systemate study wo gun knowledge or understanding recess vo determin he mans y which a recopned and spc oad may he met”
+ development: “spstomatc pplication of knowledge or understating, directed toward the prodction of vst materials, devices, and spstems metho, including design, development, an smprvemen of patos and ne
roceses to net spe requirements"
The DHS portion of OMB analysis x summarizo in dhe appr potion of Table I, Note thst thx tigi do not dsingssh boteeen the S&T Dirstorate and oer DHS ongszations, They toto inl RAD tvs in the Domestic NelearDetetion Ofc, the US Cost ‘Guarana pothaps ater organizations, 3 Wella nthe S&T Devore
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«ste gor! The lower portion of able 1 shows the NSF obligation gues for DHS as 2 whole tn for ost the SUT Discos ‘There appear tobe discrepancies hseween these two sts of igus Se Figure 3 the NSF Sigures forthe SAT Digscorate fie PY2005-PY2007, hase esearch fe 4.4% of the al cịch cat aplied reseureh 28.3%, development 60 1 apd RAD plant 72% These proportions are idemscal (within ouning) in cach ofthese thre years The OMB figures show uch more ‘aration, particulary ine balance her cen appited research und developmen Tey also show
‘ey diferent amt of fas esearch in FY 206 and FY2IN07, The NSF fares ae ‘ibipations, whereas dhe OM figures ae budget author, a some of the ilfeences may be “explained by unohlgatd balances cared ot From seat 1o year (The sue of webiste Tralaces i sessed mae Below) Some ofthe NSF figures ae peininary However, CRS hss bss unaboto dering the cause ode ieee Table 1 DHS R&D by Character of Work 1¬ [LDS (OME) Budget Authorey Aipied Rees Devgane rc) ae ee er Bs 3m AIL DHS (NSF) Obligations oped Rech a CN BỌC ằ Đeespre a 8
DHS SRT Directorate ony (NS}Oblg ations
pied Reird — a TÔ ĂM a 0 8M er 8Ù nh CS Yo 8 J
‘Soares: Otc of Msgr nd Bs haya Frcs Bg of bo Ue Sete Coren Fc ory saree (Y2003 V0? we eal aha se and je sae ye
Jor Rear ont Deroy ied Yeats 040, NSPO?IES, bs S07 9990S cớ
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nse for Congres
cnacred PINE eens nd F209 aint Hoth om the FYROD nace) Nese orca ‘exec Dron of omen Rearmed ond ed Deep Fal ot aS Nooo Nowe 006 ur pra ees ỆYXBetudEt2G8 me, PÖBM8 s2 “spate cose: Pein fy marth an Deeper hen Tem 100 Nộp 06305),
fn F200 bge ONS xeon nade epropiton of $2.15 bon for Poe oil Rõ PseluefEoiomerc Tit kre nated naan Potacon an rogre Berta ot ‘Be Sconce Tasoy Deore, Actealy, unio fae ban ned moat a eategraon Pees Baal ns pram or procaine coureracur tot for leg RAD hs St [prchng RAD ced sqpmans Far are rman sau CRS Ropers RZ? Per oat pees reas rae Garon ons CRS Rep LSA Fe Reh ce Derek Fotng P1209 cornea oy he Seen
‘Comparing soeessve annual releases ofthe NSF igus forthe SAT Directorate (sce able 2) cdemonstzdcx(h len tð thị te prdimirary ceugitex may he subject to change This aioe ‘dns aot the reli of Ue data and the vay of the michanismes used to veneer,
‘Table 2.54 Directorate RRD Obligations by Character of Work, FY2005 and 'FY2006: Comparison of June 2007 and November 2008 NSF Estimates,
(5 nmin)
Pratninary Tune 206?” November 2008 Fina Pretiminary “June 200?” Novara 0 Preliminary pote sere tê H6 on si
Teal Tân Tê ine H1 Sourcas: Reson Sune Fanon, Ovi of Sone Renae dc Fn for Pama me Bowron Flr Yas 200¢06 NGF O72, ue 207 an ns Reach ond Down fl ere OOS Ne 5300 Nowe 088,
Trang 28‘he DHS Disctorato eee
Tatoo: Ky sus for Con Figure 3 DHS R&D by Character of Work alll Fyoa Fos FY05 FYO5 FYO7 FYoB FYon one YOK FYOS FYOB FYO7 NSF (osc Aecearen mAspiod Research Development OFacitietEavement|
Source: OHS RAD te ory cngoran by OB, FYOD-FY2008, DHS RAD clgnors
‘Stagnuatty NP PYDCFYI00 Sos Talo Ir dead Proje hil ae roma om SRC ONG ue for FY, he carps or year ace tse reser 31 ped rar 3 ‘Seelpmate and lanes ‘The SAT Directorate currently prefers to use a somewhat diferent se of eatepories, as shown in ‘Table 3 although it has nox provided a detailed breakdown of eurent or past expenditures
sccondng to thse categories The corrspondence etvicen the dnstorale's categories andthe ‘ones used by OMB ans NSP i only pana The definitions of base research appa sii (OMB's facies and equipment category apd NSF's RAD plant eategory seem to correspond the laboratory operations and construction portion of “other spending.” The “product tarsiion” ‘ategory maybe sini to development, The “innovative eapabilies” category, however, seems
‘ite cifeten rom applied research,
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‘Table 3 Categories of R&D as Described by the S&T Directorate
category eseription aces tae TC ưa ie repair cree me sa mm Khokô TỶ “ a Pep en ily Prosser Trung nar mr ric nề so “ Conroe
os seh ait meres
Che ong Teta enon da aes oa four Un acy yw Te Cn De Hee a SBT Brecon tng roe rE ae The RED catepories shown in Table 3 lint 0 time Teanes, Basie research is deserbed as long tem ith prods expect re tha eight years in the tau Iamovative eapabitis and Ttexuet ramiion are deseribe xs short-term, with ess eapestd within five years, Acconding fo these descriptions the SAT Dirsstrate’ investment porfoli docs not inchae mi-erin RAD ‘vith time hori of five to eight years, This sustion may be «hare o bringing the results of hese research to fruition in deployable stems,
Intramural and Extramural
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overamentciployses at DHS and other federal acts Before the 2006 reorgarizaton, st » anothers, animal R&D, conducted by {ewraaral RAD was mansged by HSARPA tut sno longer ve
Categriation f the dnsctorite’s activites as extramural os intramural is complicate by it Sponsorship of FFRDCs and university centers and ite use of the DOE national laboratories, The FFFRDCs a university centers are establishes onl oversea by DHS bt opsates by use ‘organizations and fund by contracts and gran The DOE national ahoratores, wile evernment-ow nal, ae alo manage a operated by contacts, The exilim
Sas of RAD perked a hese fei etefore polenlily apbigbaus
Annwal age documents spicaly do nt provide a ncakdonen of fining between neural tun extramural atvitics ang ira, academic, al non-profit ereizations or betwen Publisuctr an private-sector performers This type of iran sometines provide in Tsang testnnny on eings hy dictate tal however An example ive in Figure Operational Activities
Unt 2017 the SLT Dirsctorate comune several operational programs, The department's [FY 2008 bude request announced plans (o tant the ata, Biological Warne aed Incident Characterization and Raps Depoyable Chemeal Deletion System proarams rơm,
the S&T Directorates Chemical and Biolica Division othe DAS Ofice ot Hel fats, and the SAFECOM prograt frm the S&T Dinstorate's Command, Conta, an Ineropeabilty Division ta the DHS Disstorat of National Protection an Progrons In Masch 2007, Under
Secretary Coben note atthe four progcams to he easfere prot the IT poses {discussed above) and “have rachod technical maturity.” The moves were alsa driven bythe snot reorganization af the S&T Directorate in 206 an by the Deparment of Homclad Security Agpropistions Act, 2007 (PL 109-295), which cobfied the positon of DIS Chit Mess! Officer (CMO), eave im pimsry responsibly or coordinating the departs Biuletnee civlis, all he dept 1 cea at Office of Health ATi, sled bythe CMÔ,
Trang 31‘he DHS Disctorato eee
Tatoo: Ky sus for Con Figure 4.87 Directorate Statistics on RAD Performer Types, FY2008
Source SST Dreaora ring car: Ferry 4 2006 bed on FAOI6 peng ps eat ce
Difficulty of Tracking Budget Trends
‘Anna hudget documens, including the Anabstcal Perspectives volume ofthe President's Tnadgt and the S&T Dizeioat’s own congressional budget justiiatons, ate the most detailed published sources of information onthe directorate’ activites It is dificult, however, to use these dcuments to tick certain eye of budge trends
Information in the President's Budget
‘The Analytical Perspectives volume isa key sour of department-wide data on he uning halance among base research, applied researc, and development (see Table 1) Budget analysts have several causes For concern, however, aout the quality of these data for DHS One ise is the consistency of how activities are categorized, Another i the scope ofthe activites included Sometimes the ures include expenditures hat are ot RAD, and sometimes they oni
‘expenditures that are R&D,
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ÍnsÄtiion the Analyicøl Pzspecitzx RỆD dat include some DHS activites hat are ot RAD For example the FY2006 edition shows total reqlested DHS R&D funding of $1467 bilion, cvs though the FY2006 ret forthe ene SAT Ditectorat, containing ltt tine all DHS RAD programs, was ony $1358 lion, chasing salaries an espenss,” Sina, the F'Y2009 sliáon imlude S2 125 blion of aitamee apprariaien or Poje‡ BfoShied,a mail
‘counisemesse procurement program, as RAED ais consiction fing,” Asa
‘eonsegenee the appatet fine For R&D actives for FY2009 fs several nes tee han the ees bulges for al RAD prograns combine
‘Conversely, the Anostcal Perspetves data sometines spp to omit DHS RED sete st Should be include Foe exept, in the FY 2006 ein the estimate of atl DAS R&D for FFY205 is $1185 lon, Inthe DHS PY2006 congressional bulge justification, the total FY2005 funding forthe SRT Diewtorate (eeluing salaries and exponsss andthe RAD Prosrame of the Tansponation Secuty Administration, Coss Guar and Customs i $1288 Filion, The ference of $59 mullon not accoubs for by non RAD activites nthe SAT Directorate Instead, appar to retest the omission of the Transporation Security
‘Administration al Casto progr Fo the Anostical Perspectives dat
Information in DHS Budget Justifications
‘The dncetorate's congressional budge asifeations are the key source of information onthe hudgts of inividual programs (sce Appendix C) Ti main etic in using this information tarack ren rom year fo your isthe changing rpunizaton of the dtcctorate fa many cases ‘he major reorganization in 2006 makes i impessibleto compare pevgran-level budgets hetare
safer PY 207,
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nse for Congres
Financial Management
‘When the S&T Directorate was formed it had etlsh am ently ew Sinaia and
hhudgting system, because aough fe ncomported some exiting prograns fom other agencies, its mission and activites overall weze larly nef 2004, GAO fepoted that DHS as awoke fou a “daunting task” in bringing together the nancial management systems of the agencies "fom which it was formed," Establishing now systems fromthe ground up say have heen a8 exon greater challenge, Difficies the SCT Director has cacnptored im ths ort range fom insuficieechis-related management cons” to unclear dtcrnnations of admisatve ‘ovate costs” Accor ta the DHS sna! fsa pot for P2007, neal Financial onto inthe SAT Directorate no longer have material weaknesses (actors hat igh ke
Financial epeting inaccurate, but est ofthe effectiveness of thse cto retmi to bề completed nthe ares of Final system seu rans management, and payee Table 4.S&T Directorate Unobligated Balances {Swinson Fd of Yar ee ee ee) “ ‘Source OHS cong ula beg ciara fo daly voyeur he asad Fr eal ‘Segre HỘ n col PYRO anced moe PDD compel ot ater
—Ă< 1
Trang 34‘ct, 2006 (PL, 109-90) ana atonal 1 ‘Sponoprations Act, 2007 (PL 109-295), rill in the Department of Homeland Seeveity
‘Congress ples no expiration date on fun it spproprats ta the SAT Distorte, Congress ‘nay sen fr some unublgates balance persist it SRT Directorate aecouts, Even if hat fs the case the magnitude ofthe existing usbljgatedhalance may mca that it wil ke several Fiscal years reach the lovel of carryover dese by Congres
Under Scerstary Coen has testified thatthe SAT Disctorateatempuing to educe ts ‘snbhgatet balance and intends to spend funds in the year for whic Hey ee propedal February 2007, comparing the PY 2007 obligation rat the PY206 ab igation ae, he sai
tose you tse ee made icant rose ia geting the books ight sai crass ‘ota iain, we have commit an uy 47 pecont ur FY3007 badge hat ‘ompaes hs pscent at esame nest ea
Ly the end of FY2007, te sca fad rede its roe year uhigated balance to $74 tnillion, but it had only obligated 75% of is FY2007 spprapeaton " Asa esti wobligted Trae of $291 million was eat forward inka FANS" Th estinony Api 208, he Under Scetetaty ted that the S&T Ditetorate des not congo the DHS aeqsition prowess and refered to “challenges” wih geting commited fund Telicment of presses in he departient tar may euready be "subopiized olivate: he suggested need Wo sonsider Relationships with Other R&D Organizations
LAmone the by soponsBiiie ofthe Under Soxretary fr Seience an Technology are ‘oondinaling und inlesrating te RACD activities Directorate, entering int agrcmens with th Department of her DHS componcns of Enoryrezaring DHS use ot with those of he SAT
rational laboratories, as eooninatine DHS science and technology acts with wth Fedral agencies, Those relationships have res vay of sbes
Consolidation of R&D within DHS
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Homeland Security Ac.” The Cong Cha to be mnained as s giwe city vitjn DHS LAHhouph te Homelanô Senudt Act charges the Undr Secretary administering the primary research andl development activites ofthe Deparment (See 30211) with establishing and
it ale state that
ching nis tie sal be ust ect sty Unde Screary fe Dect Fromearyng ees, development, desta hen act, sng sh cies ze eet gh he Cader Sete Fr Selene aed Ten
orth is fe yours ofthe depart’ existence, tend coward consolidation of is R&D autivitis vended fo simplify tht cooedination wk, The coerence report ILRopL, 108-280) accompany the Deparment of Homeland Security Appropriations Act 20K (PL 1698)
fave tis tena explicn iteon The RED sctities ofthe tat Custos Servi were ansfere to the S&T Ditetorate in FY200S The RAD avis of TSA, including ts Transptation Security Laboratory, lowe ia FY2006 In bath years, ower, Congress slsapproved the deparmcn's proposals wo ansr dhe Coast Guns R&D program The Coast ‘Guard program connie io operat independ
‘Consolation was som by its ates as having the potential o foster elaboration, inerease symergy hetwcon programs, rice dpicton, stcarhine processes and process lino budgcting and oversight Cries, however, expressed doubt abot the SECT Dsctorate’ shility to balance RAD porte gms #grevsing spt of responsibilities, One concern 8s ‘wheter the dtecorte woul eectively spt the departents nan owelanl sent Inissons, (The fat that the Cas atl as oth homeland seevrity al homeland sce responsibilities was a key factor in Congress's devsion to keep ts R&D efforts iach)" Annies concern was whether the decorates heavy emphasis om counting weapons of mass cestuction ‘would rsul inthe gle of eters popes “The drsctorats’s experiences {Customs Service RAD program and several ther smaller activites scems 9 have gone smoothly with consolidation have baen mixes, The iteration ofthe
In contest shsorbing TSA's R&D program was perceives ws bing so ict ha in 2006, the Senate Conmittce on Appropriations proposed transfering the Transportation Security Laberatny Back © PSA:
Peri rth pri Given theese, Coma eves TSL woul be bent Imuniged by TSA"
“Ts proposal vas abandoned aller the S&T Diretorate and TSA signed a memorandom of undrstsaing in August 26
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‘The eabishpeht fthe Domnevie Nu laf Dssdion Office (INDO) in 200 was the frst cdspebalol RKD agividex asuy lop theS&T Diriarle Createdly preidenialdiecive' and subsequently given stator) authority by Tile V ofthe SAFE Pen Ae PT: 109-817) DNDO teok over the SAT Directorates raological and ncear countermeasures porto Although it hecame a sepaate erection under the dre autor ofthe Serer in FY2006 it eceved its fang though the SAT Directorate until FY2007,
‘Wher the establishment ot DNDO was a singular evee othe beginning of a wore general eed fossa deeonsidatin renin to be seen One patent rtivaion fr is exabshment ak ‘septate organization ws Congres’ disleasre wih the managetnent of the S&T Direorate For eample the House Connie on Appropriations expressed ts dstifetion with removing DNDO fiom the SAT Dinstoate hac nevertheless approved the nove because ofthe Habit it ‘would face” therase (PLR 100-475) During the tenure of former Under Sereary Coe, Congress appeased tore confit inthe SAT Dinctorte’s competence." IF at condense ‘omtinas, hse deconsoidtion may es ky
Role of the Domestic Nuclear Detection Office
The esabishnwent of DNDO 3 fee-standing office ouside the ST Ditectorate ke the cominued existence ofa shall RAD aoikEy 1 he Coast Guard) raises questions about how effectively dhe Under Sacretary for S&T willie able to cry ou his responsibilty of oordinting and incarating all scar devslopmem demonstration esting, and vation sctisitis of the Dpariment "In proving sattory uot for DNDO, the SAFE Port Act Furs that the Under Secretary an the dso of ONDO provide jin acai
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«stablshmens of DNDO appears reflet a intease nthe pray DHS places on counting Fadolgieal and nuclear sgt I tat pity should sift the separation nf DNDO fromthe SET Directorate may nukeit more difficult rsbalance the deparimens RAD agiridex Relationship with the DOE National Laboratories
“The lose eationship between DHS and the BOE national laboratories hs ese ses aout The ole of national ahoratory personnel inthe iectorae’s planing afd how that ay affect the dlnectorate’s decisions about awarding R&D contacts
As wells performing R&D om behalf f the SST Direorat, uae the tess ofthe special stator azangoment previously mentioned the DOE national labortoic sls Fequenly provide he dircctorate with ai tp for program planning and oversight In some cscs, TS AActAIPA, § USC, 3371-76) with the expectation a subset turning other original laborstorcs, The directorates exlesive wee of ational laboratory employes, ile IPA, émplojees, his hon an sae of eangresional iret, spel ith respect othe incre These employees have om he ehoie of eaters aa he Forman of frie oppontntin
| ation, he national laboratories en compet forthe dirctorat’s RAD farang, Esc ee the direrate ses several Brod Agency Announcements soicing RED proposal ro ‘sie the daria, Props suite in response to these annonesinents have eps} ‘ome fom industry hu hocause the Boal Agency Anouncemett proces sa ope,
‘omptitive solicitation, national iborauxies nay also partipte unless specially excluded ‘Questions have hoe ase! aout hth his station s appropriate an sun whither the ‘ational sboratoies have an unde advantage over industry (for example, Because of thee long Tistry of comicting classified and senstive R&D forthe Ioderal government an whoth he ‘lepartmet has an expt oe implicit policy about the balance bativeen ava wo industry and ‘swans othe rational laboratories,
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‘The Ohaana Adninisaton is pore considering tansfer of Select national abrstoies hom DOE to the Department of Defense (DOD) Some Menahers of Congress opposed ts potent trans, ting the missions of the DOE national sboruories beyond national secu." Trans ‘tational laboratory font DOE to DOD wold also change the elatonship Betws DHS as "he national labora fa the absence of stato changes: DHS woul io longer hve a spi
relat ae described in stale wth the tansfrne! laboratory: DHS aetivitis wold ths be ‘ond a6 “work Heit athe than as eile otha nde by the laboratrs-ow nin agen")
Interagency Coordination
As wl as raring coordination with other DHS components, the Hoel Security Act requires the SAT Dirstorate to itersct nih a varity of her executive branch agencies The Under Soereat i roguited by Soe 802 or the Hometand Seowsiy Act to develop, n conllation wth ahr agencies, «national policy ad sarge pan or fora eiviin efoto kenya develop eouncermasutes agaist terornin: 0 cotBnate those eft ad to ident poets, fa objectives, and policies for them He or she is spect esponsibility to colliborte with
the Sceetary of Agrcuture the Attorney General athe Secretary of Heath and Huma Serves i the desigation and replaton of biological sleet agcms Te drstorate takes extensive use ofthe DOE national ubalies and relies on Department of Defense iciffistõ house biotorensics laboratories, whi the Depart of Agrictune vss the eer’ Pans
[skin laboratory for research ot diet elt to homens In desea thir a, the electixenes of intcragency coordination sof conning importance
The national poliey and strategic plan has not yt en released and the obstactes is development Is emsountered state the eallengs of working with ther agencies, Former Under Seteany Cite esti ha, of Match 2007, alt ens tht ad Deen in pparaion For about {80 seats, bi as “perecived hy the othe departments ad apencies 8 marine} hs they ‘would do for Howland Soca they tough their efforts, could combate wo Hamelaml Secubty" As a esl he si “it hada very ie Ge ening to uidon."™™ A ew months later, he explained thi the dzetorate hal opiaall interpreted hs equizenent w Work in ‘consulation with other agencies a quiring the coneurence of those agencies, «process that he ‘lescribe a fergous” H sat ha he wold einer consilation as giving ther agencies opportunity to comment, and under that interpretation, he woul "work tow hs roel
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development measures across the fetal government develope wit he cooperation of Toso) federal agencies" andi "fist step in developing mre presritive plan
‘The coordination document states tha it wil be ual anally to report on performance Imegsutes aa pngtess toward Bomeland secur goals, The Fist update wil ake place in FY 2000 a pat ofthe ist Qarennial Homeland Security Review Former Unr Secretary ‘Cohen tested thatthe docarpet’s continued devslopment “wil play an importare role in hoping align states ard missions to aap oa fst changing wor and an tr co rinE snes" Even thous the 2007 dacume no preserve may, hs esabishine a oom
Framework, hep agencies Io iemitysyeraes and ue neod,Iragenees inde lan hei statics, that Consens may oe hares co aelieving 4 ne presets homolan! seeity R&D stategy
‘The SAT Directorate uses variety of mechanisms for aeragency svondiaton These inelale rmermorand of understating, partiviatinn in ierazeny comme and working sr, Spororship of imetageney mestngs as conferences, ont management of poeta, a jit Staley development” Formal coordiation takes place atu high lve through several White House groups icing the Homeland Security Council, National Secunty Coun, National Science and Technology Council (NSTC), apd Office of Science apd Techrology Policy The Unsder Soest Tor Science and Teshnoloey n-chais the NSTC Contec on Honan! and National Security, On specific R&D (opiee.eoonlindion sometimes takes place drongh the
Inuliazeney Technica Soppont Woekin Group CTSWG),aversven by the Depatiens of State tint Defense, The S&T Dirctorte and sever ther DHS vxganzations paticpate in SWC The SAT Disctorate’s strategie plan ates ha within she iectorae, he Tncrigeny Programs Division faites government-wide coinaon, and the Office aŸ Natgl Labordoie oonliates with DOF reganing the atonal laboratories The R&D plan aeempaying the Strategic pla dacs not expe dems areas of overlap oe syneay with se Rea agerci,
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“Management an oversight ofthe program ane complicated by discrepancies between DHS and HS sbout the arnt of funds that resi avilable, For mre details sce CRS Report
RLBW07, Pryor BioShietd Appropraons, Aegusions, and Policy plementation lsu for Congres
Metrics and Goals for Directorate Output
‘When the SAT Directorate was estas is optimal investment strate’ as uncle The Farge of threats a valnerbilities was broad andthe directorial placed a pmenium on identifying technologies an avanced tage of developmen, ansionine them imo deployable fxqipmen, a posing his pment to end uses, One DHS oficial Deived, “utes 3 kt ‘of fouhanging fit ot there, capability dat aleady exists, ther commercially o in laburatory potpes
As the dretorate matress R&D esas ae nomen ad deployed ịcfieus toạrhanging ful” ray need to evolve into a more diverse sratey tit leo inches mone funcdamatl sarc ad skier ivestmens, Funiamcnal or haste rset soften deni as {fey source of four tochnologies ad research with innately higher sk, bu ao higher
Fevara may have more potela foe sipfican Bielthrbughe Some experts advocate mote SAT Directorate investment dsc types of rescarch
TBdlwelointetin longerlem esearch it th pet or fe chs Ba ‘ld danatcallyjpeose DS's ality to Fle mii Ashe SKT DăcxkrMe tats, ons Rs ST porfolio~-vbich eas esting ona of th ea xm and hing rm seserc,Cundestnd tthe SAT Dirt eadership shes th Siew pai wodeone Ie Le Seteer Fer Sie and Tene plans Ti som highs bt pci very high pet poet Aston tole tat an ‘over eladdoa dứt prog ‘clcon safe bts that ress itis than is issn ries Adal Cen ila Uo hee sme lr lề Seu sport hopesto avoid hie—ye lave tamales efile cielgh an tehotnm scot he dase