Tài liệu dhs directorate of science and technology key issues for congress pot

Transpmation Security Labomtory National Biodefense Analisis and Connterncaones Center Homeland Secor Insitute and Hornsiand Sear Stages and Analyis Taste Homeland ScevriySystenm Fagin

Congressional Research

A \Nibervice

The DHS Directorate of Science and

Technology: Key Issues for Congress

Summary

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

+ 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

Congolese ies

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

Overview of Lepislton inthe 111° Congress DHS Authorization Act for FY2010

PY2010 Appropsiaons Lepsiion

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,

zatonal Sout ofthe SAT Dirstrate

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

‘The Homeland Security Act of 2002 (PL, 107-296, whi established the Deparment of

Homeland Security (DHS zeaed withia DHS a Directorate of Science and Tecnology headed

hy an Under Secretary for Science and Technolo.” The directorate Was at pisces concise

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,

Finally some ofthe Under Sscrstary’srespnsiiiges and uthorites posit functions of the S&T Directorate tel Dese include

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

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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

KỶ Service

‘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

Manager ad keodem Seo "4 72"

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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

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

Congress akressd eoncers eganting leg ary to perfor lve Ftd meth ease ‘ns research on the aia The 2008 arm Bil required the Setetary of Acute se 3

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 iueotisirten lalurttvie hat ea pelorm homeland scart Defense researc a

biofonersies When consiruton is complet, twill be operate by contactor as Feely unde esearch and developient etter (FFRDICI, For more information on NBACC, see CRS

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

(Ovesght ac investigations Natour Tron Prevention Saas Report onthe Federal Govern Ares

£f ee ReaD oni at eld Speer {8 NT, (Mesog tami yet ee

‘ee wa epangnecig vie R eaotente

“Congested Rowand Soi CC *

nse for Congres

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

4 the Center “Management ad hy the Universi of North Carolina at Chapt Hill an Jekson for Natural Dissers, Coast Infrasnatrs saad Emery

State University

+ the National Teasponasion Security Center Univesity in Houston, Tougaloo College an the University of Connecticut: of Excelence, la hy Tess Soutiera

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

‘Carolin a Chath, andthe Univesity of Washington, ha collaborate wih the National Visualization and Analstcs Center at Pcie Northwest Natio Laboratory: and

tye SRT Dino tin tener in FY200% Dat f Helin Sc, Scns a

“Congested Reman Sviee

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

Siig odo ns DOE ree fr ir ie crn of re

"Comment of Charles McQuay Und Secreta feSes Techn, iter of eMail

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 The extent to which the dirsctorae’s toe shoul ince optional and othr esponsiliis as bell as RUD,

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

“Congrnionl Rew Sie

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,

rive w the establishment of DES, po single agency ad respossbity fe homeland secur, ad homeland scurty was moe generally considered to be an independent fick of say While academic RAD capability aed educational programs i nana security and defense existed, Sch capacity was licking i he aren of hom sci: As pat ofthe ST Ditotorate’= Mots "capacity bling,” The cetera ured sharps and fellowships ain wo stablishinganiversity research centers, Some analysis hase questioned he eectivenes ofthis

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

vse, erage and enhance he vist resources aad expertise of he Fars Geert,

Friatesete, scala toa nựt main eznizatons and he xienfc

ics, We wlldevstp new apaiiesto faite the arg tinea ada

‘etandassst ets and vlan ont varios ds wens as

‘Scrstom and lel dre: sndietths tect oft ats Wests ose

‘ar aleetson developing colo to dtc and pve! te is apt och, sig cdiacgiol múteler maehic We wll dev and deploy he spate,

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

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 Tntegrated Product Teams PTS), Each IPs focused on a diferent opie and rings together cdocBion her ms DHS eperationa components a the S8eT Directorate a els sles fn-users Tach IPT catit of (1) eustonerreresesativs, whose resto Mea gaps i

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 Santer extended util the end of 2008." It was vero Du was not use develop oF provide a Publicly avalabl static overview orto review of te SAT Directorates research invertinen Plan, Tie HSSTAC has mo hen rsuuthoried since 2008,

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

forte 2° Conny Noland Seay Preeti

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,

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

EngumHRmmEmE

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

“The National Scienee Fondation (NSP) aso proces annual statics on federal R&D spensing, The NSP ures deserbe obligations and tl, which ret fos dt aatoity

‘sas actualy spent, ad therefore they ate only available fer a fiscal yar fs compete.” Like OM, NSF uss four categories: basi researc, pple esearch, develope and RAD pa {eux the same dsfntions as OMT ds for basic nscarch, applied esearch, an developmen indie R&D plan calegory appears o he unset OME slate and spent

nam

«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

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

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

‘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,

“Coagrnionl Rew Skee

‘he DHS Disctorato eee

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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