Congressional Budget Justification FY 2017—Volume II U.S. Immigration and Customs Enforcement, Transportation Security Administration, U.S. Coast Guard Department of Homeland Security U.S. Immigration and Customs Enforcement Fiscal Year 2017 Budget Overview i. Summary of FY Budget Estimates by Appropriation without Emergency Funding Department of Homeland Security U.S. Immigration and Customs Enforcement Summary of FY 2017 Budget Estimates by Appropriation Total Appropriations (Dollars in Thousands) Appropriation POS Operations and Support Procurement, Construction, and Improvements Subtotal, Gross Discretionary FY 20151 FY 2016 FY 2017 Revised Enacted Enacted Request FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Program Changes Amount POS Adjustments-to-Base FTE Amount POS FTE Amount 20,844 19,417 $5,819,756 20,570 19,592 $5,779,041 20,685 19,655 $5,857,976 115 63 $78,953 115 58 (147,979) - 5 $226,911 - - $26,000 - - $53,000 - - $50,230 - - ($2,770) - - $50,230 - - ($53,000) 115 63 $76,165 115 58 (97,746) - 5 $173,911 20,844 19,417 $5,845,756 20,570 19,592 $5,832,041 20,685 19,655 $5,908,206 Immigration Inspection User Fees - - $141,482 - - $135,000 - - $135,000 - - - - - - - - - Breached Bond Detention Fund - - $51,959 - - $42,000 - - $42,000 - - - - - - - - - Student and Exchange Visitor Program Subtotal, Fees/Mandatory Total, Enacted Appropriations and Budget Estimates 387 357 $151,756 390 316 $145,000 390 316 $145,000 - - - - - - - - - 387 357 $345,197 390 316 $322,000 390 316 $322,000 - - - - - - - - - 21,231 19,774 $6,190,953 20,960 19,908 $6,154,041 21,075 19,971 $6,230,206 115 63 $76,165 115 58 (97,746) - 5 $173,911 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only. ICE - 2 ii. FY 2017 Investment Summary Department of Homeland Security U.S. Immigration and Customs Enforcement FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name Approp/PPA(s) FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request Consolidated ICE Financial Solution O&S/Management and Administration $555 $1,417 $1,552 IT Infrastructure O&S/Management and Administration $234,955 $202,298 $228,299 TECS Modernization O&S/Homeland Security Investigations $5,001 $5,096 $5,431 TECS Modernization PC&I/Management and Administration $21,000 $21,500 $21,000 Consolidated ICE Financial Solution PC&I/Management and Administration $5,000 $5,000 $11,800 SEVIS SEVP/Student and Exchange Visitor Program $17,152 $18,150 $18,628 $283,663 $253,461 $281,279 Total *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only ICE - 3 iii. Status of Congressionally Requested Studies, Reports and Evaluations Fiscal Year 2015 Due Date 12/31/2014 Reference/Citation House Report 113-481 accompanying the FY 2015 DHS Appropriations Act (P.L. 114-4) 2015 2/2/2015 FY 2015 DHS Appropriations Act (P.L. 114-4) 2015 4/15/2015 House Report 113-481 accompanying the FY 2015 DHS Appropriations Act (P.L. 114-4) 2015 9/3/2015 2015 2/15/2016 Joint Explanatory Statement accompanying the FY 2015 DHS Appropriations Act (P.L. 114-4) Joint Explanatory Statement accompanying the FY 2015 DHS Appropriations Act (P.L. 114-4) Requirement The Committee directs the Secretary to report to the Committee not later than December 31, 2014, on the Department’s plans to address operational needs in the source and transit zones and throughout the Caribbean basin, specifically in and around Puerto Rico and the U.S. Virgin Island, either as part of surge operations or on a more permanent basis. The Commissioner of U.S. Customs and Border Protection and the Assistant Secretary of Homeland Security of U.S. Immigration and Customs Enforcement shall, with respect to fiscal years 2015, 2016, 2017, and 2018, submit to the Committees on Appropriations of the Senate and the House of Representatives, at the time that the President’s Budget proposal for fiscal year 2016 is submitted pursuant to the requirements of section 1105(a) of title 31, United States Code, the information required in the multi-year investment and management plans required, respectively, under the headings “U.S. Customs and Border Protection, Salaries and Expenses” under title II of division D of the Consolidated Appropriations Act, 2012 (Public Law 112-74); “U.S. Customs and Border Protection, Border Security Fencing, Infrastructure, and Technology” under such title; and section 568 of such Act. The Committee directs ICE to expeditiously provide a report of its official findings regarding the circumstances of each of these releases from detention and to post the findings on its public facing website. ICE is directed to continue to submit the semi-annual reports on the deportation of parents of U.S.-born citizens. ICE is directed to continue to submit the semi-annual reports on the deportation of parents of U.S.-born citizens. ICE - 4 Status With ICE for edits. With DHS for edits. With DHS for edits. With DHS for edits. Being drafted by ICE. iv. Schedule of Authorized/Unauthorized Appropriations by PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Schedule of Authorized/Unauthorized Appropriations by Program Project/Activity (Dollars in Thousands) Budget Activity Last Year of Authorization Authorized Level Appropriation in Last Year of Authorization FY 2017 Request Fiscal Year Amount Amount Amount 1 3 1 3 2; 4 Operations and Support 2003 / 2004 N/A / $1,399,592.4 $3,032,094 N/A Management and Administration 20031 / 20043 N/A1 / $1,399,592.43 N/A4 20031 N/A N/A5 $268,393 20031 / 20043 N/A N/A5 $2,120,930 20031 N/A N/A5 $3,104,164 Procurement, Construction, and Improvements 1 2003 N/A $693,969 $50,230 Management and Administration 20031 N/A N/A $50,230 N/A $0 $3,726,063 $5,908,026 Office of the Principal Legal Advisor Homeland Security Investigations Enforcement and Removal Operations Total Direct Authorization/Appropriation $5,857,976 $364,489 Fee Accounts $322,000 - Student Exchange Visitor Program 145,000 - Breached Bond 42,000 - User Fee 135,000 Note: 1 Immigration and Naturalization Service—some investigations, and detention and deportation only (8 U.S.C. 1101, note; Immigration and Nationality Act, section 404(a)). 2 Includes $2,862,094,000 from the FY 2003 INS Salaries and Expenses appropriations, and $170,000,000 included in the FY 2003 Wartime Supplemental Appropriations Act, PL 108-11. 3 Customs Service, including the investigations function (19 U.S.C. 2075(b)(1)). 4 No 2004 appropriation for the U.S. Customs Service. ICE - 5 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits....................................................................................................3 A. Summary of Budget Estimates by Program, Project, and Activity- Appropriation Level ............................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ........................................................................................7 C. FY 2017 Investment Summary - Appropriation Level ..................................................................................................9 Schedule II – Program, Project, and Activity (PPA) Exhibits.................................................................................................10 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level..........................................................................................10 Schedule III – Other Exhibits.................................................................................................................................................132 Exhibit E. Justification of Proposed Legislative Language............................................................................................132 Exhibit F. Summary of Fee Collections and Carryover .................................................................................................135 Exhibit G. Summary of Reimbursable Resources ..........................................................................................................136 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program, Project, and Activity ........................................137 Exhibit I. Capital Investment and Construction Initiative Listing .................................................................................138 Exhibit J. Object Class Breakout by Appropriation .......................................................................................................139 Exhibit K. Object Class Breakout by PPA .....................................................................................................................141 Exhibit L. Permanent Positions by Grade.......................................................................................................................149 Exhibit M. Changes in Full Time Employment..............................................................................................................150 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program, Project, and Activity- Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Summary of FY 2017 Budget Estimates by Program, Project, and Activity FY 2017 Request (Dollars in Thousands) Program, Project, and Activity Management and Administration FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted1 Request POS 2,053 FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount 1,809 $347,421 1,554 1,459 $339,837 1,562 1,424 $364,489 8 (35) 1,662 1,478 $197,002 1,185 1,107 $190,880 1,185 1,075 $203,015 - (32) 12,135 391 331 $150,419 369 352 $148,957 377 349 $161,474 8 (3) 12,517 Enforcement and Removal 8,340 7,797 $3,318,444 8,685 7,995 $3,217,942 8,792 7,973 $3,104,164 107 (22) (113,778) Custody Operations 5,486 5,205 $2,434,593 5,740 5,271 $2,316,744 5,747 5,203 $2,178,963 7 (68) (137,781) (23,439) Personnel, Compensation, and Benefits Headquarters-Managed IT Fugitive Operations Criminal Alien Program Alternatives to Detention Transportation and Removal Program Homeland Security Investigations Domestic Investigations International Investigations Visa Security Program Intelligence Office of Principal Legal Advisor 24,652 827 788 $142,615 895 805 $156,572 895 829 $133,133 - 24 1,656 1,534 $327,223 1,673 1,606 $317,177 1,773 1,631 $347,455 100 25 30,278 291 220 $109,740 296 251 $114,275 296 248 $125,966 - (3) 11,691 80 50 $304,273 81 62 $313,174 81 62 $318,647 - - 5,473 9,179 8,547 $1,936,498 8,782 8,667 $1,981,368 8,782 8,706 $2,120,930 - 39 139,562 8,331 7,865 $1,699,811 8,064 7,981 $1,761,829 8,064 8,020 $1,892,183 - 39 130,354 292 243 $110,682 228 225 $107,210 228 225 $114,255 - - 7,045 86 71 $49,526 73 71 $32,561 73 71 $32,496 - - (65) 470 368 $76,479 417 390 $79,768 417 390 $81,996 - - 2,228 1,272 1,264 $217,393 1,549 1,471 $239,894 1,549 1,552 $268,393 - 81 28,499 Total, Operations and Support 20,844 19,417 $5,819,756 20,570 19,592 $5,779,041 20,685 19,655 $5,857,976 115 63 78,935 Subtotal, Enacted Appropriations & Budget Estimates 20,844 19,417 $5,819,756 20,570 19,592 $5,779,041 20,685 19,655 $5,857,976 115 63 78,935 - - - - - - - - - - - - 20,844 19,417 $5,819,756 20,570 19,592 $5,779,041 20,685 19,655 $5,857,976 115 63 78,935 Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only. 3 Overview The Operations and Support (O&S) appropriation enables U.S. Immigration and Customs Enforcement (ICE) to support the Department of Homeland Security’s (DHS) missions of preventing terrorism, securing the Nation’s borders, enforcing U.S. immigration laws, safeguarding cyberspace, and strengthening national preparedness through the enforcement of federal laws governing trade and travel. ICE uses the resources in O&S to combat terrorism, deter illegal immigration, and protect the Nation’s physical and cyber borders in all 50 states, the District of Columbia (D.C.), and 46 countries around the world. ICE fulfills these missions by conducting investigations, dismantling Transnational Criminal Organizations (TCOs), and prosecuting and removing criminals and aliens who either pose a risk to national security and public safety, or recently crossed the border. Within the Common Appropriation Structure (CAS), the O&S appropriation funds necessary operations, mission support, and associated management and administration costs across four Programs, Projects, and Activities (PPAs): Management and Administration (M&A), Enforcement and Removal Operations (ERO), Homeland Security Investigations (HSI), and the Office of the Principal Legal Advisor (OPLA). • M&A PPA funding enables a range of mission and operational support activities for ICE, including management of ICE’s financial resources, acquisition resources, information technology (IT), sensitive property, and other assets. M&A is responsible for human resources services, including workforce recruitment, on-boarding and professional development, equal employment opportunity activities, and complaints management for all ICE employees. M&A also processes Freedom of Information Act (FOIA) requests, provides firearms and tactical training to special agents and officers, and procures goods and services for the agency. The Office of Professional Responsibility (OPR) within the M&A PPA investigates allegations of administrative and criminal misconduct involving employees of ICE and criminal misconduct involving employees of U.S. Customs and Border Protection (CBP) when there is a nexus to an ICE investigation; assesses ICE’s organizational health through independent reviews of agency programs, offices and detention facilities to measure compliance with applicable policies, standards, and procedures; and administers internal security operations to protect people, information and facilities through personnel security, physical security, and security management operations. In FY 2017, ICE requests the following program changes in the O&S M&A PPA: o An increase of $16.1 million and 4 full-time equivalents (FTE) for the Headquarters (HQ) Managed IT Program to support critical and long overdue improvements in Identity, Credentials, and Access Management (ICAM), cloud support, and system bandwidth. Funding will support an additional eight personnel (4 FTE) to ensure 24/7/365 availability and to meet the cybersecurity needs of ICE IT systems, infrastructure, and services. 4 • ERO PPA funding enables ERO officers to enforce the Nation’s immigration laws by identifying and apprehending removable aliens, detaining those individuals when necessary, and removing them from the U.S. in a manner consistent with legal processes and procedures. ICE prioritizes the removal of individuals who pose a danger to national security or public safety, including aliens convicted of crimes. In FY 2017, ICE requests the following program changes in the O&S ERO PPA: o An increase of $6.6 million for the Criminal Alien Program (CAP), which will be used to hire 100 officers (50 FTE) to support ICE in apprehending and removing priority alien targets who are incarcerated within federal, state, and local prisons and jails, as well as at-large criminal aliens that have circumvented identification. Priority targets include convicted criminals and aliens with removal orders issued after January 1, 2014 who have failed to depart the United States. These officers will support DHS’ Priority Enforcement Program (PEP) on a 24/7 basis as ERO must rapidly respond to releases from over 3,000 jurisdictions, and will also work to arrest targets before they are released from jurisdictions that do not honor ICE detainers and requests for notifications of release from detention. o An increase of $13.2 million for costs related to the transportation of unaccompanied children (UC) from the custody of DHS to the custody of the Department of Health and Human Services (HHS). The request includes $10.2 million to increase Transportation and Removal Program (TRP) base funding to support transportation of up to 75,000 UC. Additionally, the budget includes contingency fund language that will fund additional transportation costs if UC numbers exceed prior year levels and scores the requested contingency fund increase at $3.0 million. o An increase of $1.2 million for Critical Life and Safety Infrastructure Repairs. Funding will support essential maintenance and repairs at the San Pedro, El Paso, St. Croix, Aguadilla, El Centro, and St. Thomas detention facilities. Projects at these facilities include conducting critical life safety repairs, installing fire alarms and smoke detectors, conducting sprinkler repairs, and ensuring Americans with Disabilities Act (ADA) accessibility to roadways and entrances. o An increase of $0.7 million for Electronic Health Records (eHR), which will be used to hire 7 personnel (4 FTE). Funding will enable ICE Health Service Corps (IHSC) to more effectively administer and oversee healthcare services delivered to detainees in ICE custody. These additional personnel will help manage the entire eHR network, improve the quality of data and compliance with data requirements, perform analytics, and develop reporting tools to help IHSC more efficiently deliver the right healthcare to the right people. o A total decrease of $185.8 million, consisting of a decrease of $169.3 million to reflect a reduction in average daily population (ADP) estimates for detention beds from 34,000 to 30,913 and a decrease of $16.6 million for associated 5 transportation costs. The FY 2017 budget request funds 30,913 detention beds, with 29,953 adult beds at a per diem rate of $126.46 per bed, and 960 family beds at a per diem rate of $161.36 per bed. Of the requested beds, 27,583 are funded by the O&S appropriation and 2,370 are funded by the Breached Bond Detention Fund and the Immigration Inspection User Fees. • HSI PPA funding enables HSI criminal investigators to protect the U.S. against terrorist and other criminal organizations that threaten public safety and national security. HSI brings to justice those individuals seeking to exploit U.S. customs and immigration laws worldwide by conducting investigations at home and abroad that support identification of activities, persons, and events that may pose a threat to the safety or security of the U.S. and its people. HSI also performs in-depth analysis of visa applications to identify fraud or malicious activity and develops, analyzes, and disseminates relevant information and intelligence to support law enforcement efforts and investigations across ICE, DHS, and many other levels of government. In FY 2017, ICE requests no program changes in the O&S HSI PPA. • OPLA PPA funding provides required legal advice, training, and services in support of the ICE mission. OPLA attorneys handle a variety of immigration-related issues as the legal representatives for the U.S. Government at immigration court hearings. These issues include contested removals, custody determinations, and applications for administrative relief. OPLA provides critical legal advice on criminal and administrative customs and immigration offenses, as well as general legal advice on administrative matters such as fiscal and procurement law, ethics, information disclosure, employment and labor laws, and federal litigation. OPLA attorneys also support the Department of Justice (DOJ) in defending removal orders when they are appealed to the U.S. Courts of Appeals and the U.S. Supreme Court, and serve as Special Assistant U.S. Attorneys (SAUSA) to prosecute criminal immigration and customs cases in federal court. In FY 2017, ICE requests no program changes in the O&S OPLA PPA. 6 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount 20,570 19,597 $0 $0 $6,241,234 1,185 369 5,740 895 1,673 296 81 8,064 228 73 417 1,549 20,570 1,107 352 5,271 805 1,606 251 62 7,981 225 71 390 1,471 19,592 $190,880 $148,957 $2,316,744 $156,572 $317,177 $114,275 $313,174 $1,761,829 $107,210 $32,561 $79,768 $239,894 ($266) $5,778,775 - 202 202 $1,060 $7,460 $38,503 $73,251 $69,701 $24,757 $122,434 $20 $2,935 $5,853 $80,112 $30,812 $456,898 20,570 20,570 115 (197) (197) 5 19,597 19,597 58 ($25,439) ($4,266) ($17,304) ($182,712) ($229,721) $227,177 $6,005,952 $6,005,952 ($147,976) Transfers to and from other accounts: Transfer to O&S Approp/M&A PPA from S&E Approp/PC&B PPA Transfer to O&S Approp/M&A PPA from S&E Approp/HQ Managed IT PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Custody Operations PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Fugitive Operations PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Criminal Alien Program PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Alternatives to Detention PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Transportation and Removal PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Domestic Investigations PPA Transfer to O&S Approp/HSI PPA from S&E Approp/International Investigations PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Visa Security Program PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Intelligence PPA Transfer to O&S Approp/OPLA PPA from S&E Approp/OPLA PPA WCF Transfer Total Transfers Increases Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding Unified Career Path Annualization GSA Rent Non GSA Rent General Expenses PALMS O&M Annualization of TECS Modernization (O&M) ICASS/CSCS Increase Restoration of One-Time FY 2016 Buy-Downs Adult Bed Rate Increase Total, Increases Decreases Termination of one-time costs Working Capital Fund FTE Baseline adjustment Family Bed Rate Decrease Total, Decreases Total Other Adjustments Total Adjustments-to-Base FY 2017 Current Services Program Changes 7 Pos. FTE Amount 100 7 8 115 50 4 4 58 $6,644 $1,216 $717 $16,133 $10,200 $2,953 $37,863 115 20,685 20,685 58 19,655 19,655 ($18,574) ($167,265) ($185,839) ($147,976) $5,857,976 $78,935 Increases Criminal Alien Program Officer Increase Critical Life Safety and Infrastructure Repairs Electronic Health Records Headquarters Managed Information Technology Unaccompanied Children Transportation Unaccompanied Children Contingency Funding Total, Increases Decreases ADP Decrease Family ADP Decrease Total, Decreases Total Program Changes FY 2017 Request FY 2016 to FY 2017 Change 8 C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) Management and Administration Management and Administration Homeland Security Investigations Consolidated ICE Financial Solution IT Infrastructure TECS Modernization Total *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only. 9 FY 2015 Revised Enacted* FY 2016 Enacted* FY 2017 Request $555 $1,417 $1,552 $234,955 $202,298 $228,299 $5,001 $240,510 $5,096 $208,811 $5,431 $235,282 Schedule II – Program, Project, and Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Management and Administration Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/M&A PPA from S&E Adjustments to Base Approp/PC&B PPA Transfer to O&S Approp/M&A PPA from S&E Approp/HQ Managed IT PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding GSA Rent Non-GSA Rent General Expenses PALMS O&M Working Capital Fund FTE Baseline adjustment Program Changes Headquarters Managed Information Technology Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 10 Positions - FTE - Amount - 1,185 1,107 $190,880 369 8 1,562 1,562 352 (39) 4 1,424 1,424 $148,957 ($27) $63 $472 $2,647 $5,040 $1,367 $2,270 $20 ($298) ($3,035) $16,133 $364,489 $364,489 PPA DESCRIPTION: • M&A provides mission and operational support capabilities for ICE’s program offices. M&A manages ICE's financial and human resources, IT, sensitive security, and other assets. M&A supports ICE-wide initiatives to ensure the effective stewardship of public funds, the integrity of the workforce, and enterprise-wide strategic management of component resources. It also supports the provisioning of IT infrastructure and services that enable ICE and other DHS components to meet their respective missions. M&A services funded by the O&S appropriation include: o Directing the planning and execution of operational and management support objectives outlined in the ICE strategic plan; o Investigating allegations of criminal and administrative misconduct involving ICE employees and criminal misconduct involving CBP employees when there is a nexus to HSI investigations; o Administering ICE’s internal security operations to protect people, information, and facilities through personnel security, physical security, and security management operations; o Assessing ICE’s organizational health through independent reviews of agency programs, offices, and detention facilities to measure compliance with applicable policies, standards, and procedures; o Managing ICE’s financial and physical assets and delivering financial management services, while promoting transparency, integrity, and accountability; o Delivering enterprise-wide, strategic procurement of goods and services; o Ensuring 24/7 availability of mission critical systems and core infrastructure services, including networks, voice communications, and video conferencing; o Delivering IT services to customers in more than 800 sites worldwide, providing remote and on-site technical/service desk support to employees to ensure continuous operations of ICE servers and equipment, and supporting office relocations where IT equipment is needed; o Developing and enforcing ICE-wide policies for the protection and control of sensitive information to enhance IT cybersecurity efforts; o Providing enterprise-wide productivity tools, such as Microsoft SharePoint, to ICE mission offices; and o Coordinating development of cost-effective, leading edge IT solutions to support ICE’s mission. • The M&A PPA is comprised of two Sub-PPAs: Personnel, Compensation and Benefits, Services, and Other Costs (PC&B) and HQ Managed IT. • In FY 2017, ICE M&A requests $364.5 million; 1,562 full-time positions (FTP); and 1,424 FTE to support the program mission. 11 The request supports 264 criminal investigators and 1,298 support personnel in the M&A PPA, and will allow M&A to provide a range of mission and operational support capabilities to ICE program offices and other DHS components. The FY 2017 request reflects an increase of $17.1 million from the FY 2015 Revised Enacted amount and $24.7 million from the FY 2016 Enacted amount. FY 2017 Total Request (Dollars in Thousands) $203,015 $161,474 $364,489 Program Activities PC&B HQ Managed IT M&A Total Request • The FY 2017 request, as compared to the FY 2016 Enacted level, includes the following total changes for the M&A PPA: o An increase for PC&B of $12.1 million; and o An increase for HQ Managed IT of $12.5 million. • In FY 2017, ICE requests an increase of $8.5 million for adjustments-to-base (ATBs) in the M&A PPA: o Decrease of $0.03 million due to a transfer to the DHS Working Capital Fund (WCF); o Increase of $0.06 million for increased Federal Protective Service (FPS) fees; o Increase of $0.5 million to annualize the FY 2016 pay raise; o Increase of $2.6 million for a 1.6 percent pay raise in FY 2017; o Increase of $5.0 million to annualize FY 2016 hiring; o Increase of $1.4 million for increased rent costs; o Increase of $2.3 million for increased general expense costs, other than GSA rent; o Increase of $0.02 million for the Performance and Learning Management System (PALMS), a Department-wide initiative that will provide access to online and instructor-led mandatory and professional development work, and will automate the performance appraisal process; o Decrease of $0.3 million for WCF; and o Decrease of $3.0 million due to a baseline adjustment of 39 FTE to reduce FTE levels for unfilled vacancies reported in previous budget submissions. 12 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Justification of Program Changes (Dollars in Thousands) Program Increase 1: Headquarters Managed Information Technology – HQ Managed IT PPA: Management and Administration Program Increase: FTP 8, FTE 4, Dollars $16,133 FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Increase: Headquarters Managed Information Technology – Headquarters Managed IT Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) 8 8 8 4 4 4 $16,133 $16,133 $16,133 Description of Item: ICE requests an increase of $16.1 million and 8 positions (4 FTE) in FY 2017 for ICE Office of the Chief Information Officer (OCIO) HQ Managed IT. This increase supports mission critical IT infrastructure maintenance and improvements that enable HQ Managed IT to meet the uninterrupted availability and cybersecurity needs of ICE IT systems, infrastructure, and services. Justification: This request will support much needed improvements to ICE’s existing core infrastructure capabilities. ICE will use these resources to support four primary activities: ICAM, cloud support, increased bandwidth, and personnel. • ICAM: An increase of $2.5 million will provide PIV-enabled access to ICE’s mission critical applications and deliver infrastructure capabilities to expand single sign-on for applications. Funding will cover products and licenses to include the cost 13 of software and hardware maintenance, license fees, ancillary hosting fees, site survey, system design, and system deployment. Funding will support system integration, including requisite coding and engineering changes to application authentication mechanisms. • Cloud Support: An increase of $7.5 million will enable transition to cloud computing services and migration to virtual, ondemand services versus supporting physical hardware. • Increased Bandwidth: An increase of $5.5 million will enable bandwidth enhancements at various sites to accommodate increased throughput requirements on ICE’s network for new investigative case management, video streaming, video conferencing, enhanced system response times, and data transmission. • Personnel: An increase of $0.7 million will allow for four additional technical FTE to support modernization and refresh of ICE’s IT infrastructure, including infrastructure planning, requirements analysis, design, development, security, testing, and operations. Impacts on Performance: • ICAM: This initiative will significantly improve ICE’s IT security by requiring the use of PIV-enabled access to systems. The multi-factor authentication will strengthen physical and logical access to ICE’s mission critical systems and reduce the risk of cyber security breach. • Cloud Support: This initiative will improve business agility and reduce operational costs by migrating services to a cloud environment. On-demand services and cloud computing will reduce the need for supporting and maintaining physical hardware. • Increased Bandwidth: The increased bandwidth will improve ICE’s ability to meet mission requirements by expanding the use of multi-media capabilities and reducing the wait times to access data (i.e., investigative case information). ICE depends on a stable data communications infrastructure and adequate bandwidth. With anticipated increases in bandwidth usage by new systems, the ICE network will struggle to keep up with user demand without this funding. • Personnel: The four additional FTE will provide expertise needed to modernize the infrastructure, increase security, and improve IT service delivery. 14 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost Civilian Total Military Total 2,053 1,809 $200,105 - $111 1,554 1,459 $220,069 - $151 1,562 1,424 $223,412 - $156.89 8 -35 $3,343 $6 - - - - - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The FTE change includes a net reduction of 35 FTE for M&A in FY 2017. The reduction is due to the overreporting of FTE levels in previous year budgets. • PCB Change FY 2016-2017: The increase to salaries and benefits is due to within grade increases, promotions, the 1.6 percent pay raise, and additional hiring for HQ Managed IT. ICE will spend funds on bonuses and performance awards that are consistent with Office of Personnel Management (OPM) awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The average cost increase between FY 2016 and FY 2017 includes within grade increases, career ladder promotions, and the pay raise. 15 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Cost Drivers (Non-Pay) - PPA Level ($000s) 2015 FY 2016 Revised Enacted Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Operations and Support – Management and Administration Infrastructure Configuration & Coordination FY 2017 Request FY 2016 to FY 2017 Change $9,537 $10,774 $24,097 $13,323 $14,127 $12,839 $17,974 $5,135 $531 $12,911 $15,798 $2,887 Corrective Maintenance $13,759 $13,340 $13,741 $401 Production Support $19,880 $12,776 $13,159 $383 $57,834 $62,640 $84,769 $22,129 Financial Services Security Compliance Total * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Infrastructure Configuration & Coordination: An increase of $13.3 million will enable transition to cloud computing services and migration to virtual, on-demand services versus supporting physical hardware. Of the $13.3 million increase, $5.5 million is proposed for bandwidth enhancements at various sites to accommodate increased throughput requirements on ICE’s network for new investigative case management, video streaming, video conferencing, enhanced system response times, and data transmission. Additional increase due to inflation. • Financial Services: An increase of $5.1 million will support core financial services such as financial reporting services, the financial system, and the Real Property Management System (RPMS). In FY 2017, ICE requires additional contract staff in order to ensure continued financial services support while reducing FTE. 16 • Security Compliance: An increase of $2.9 million will provide PIV-enabled access to ICE’s mission critical applications and deliver infrastructure capabilities to expand Single Sign-on for applications. Funding will cover products and licenses to include the cost of software and hardware maintenance, license fees, ancillary hosting fees, site survey, system design, and system deployment. Funding will support system integration, including requisite coding and engineering changes to application authentication mechanisms. Additional increase due to inflation. • Corrective Maintenance: Projected increase includes inflation plus program changes. • Production Support: Projected increase includes inflation plus program changes. 17 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Personnel, Compensation, and Benefits FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Personnel, Compensation, and Benefits Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/M&A PPA from S&E Adjustments to Base Approp/PC&B PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding GSA Rent Non-GSA Rent General Expenses Inflation PALMS O&M Working Capital Fund FTE Baseline adjustment Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 18 Positions - FTE - Amount - 1,185 1,185 1,185 1,107 (32) 1,075 1,075 $190,880 ($22) $35 $348 $1,956 $5,040 $720 $6,682 $20 ($169) ($2,475) $203,015 $203,015 SUB-PPA JUSTIFICATION: Funding for the PC&B Sub-PPA within the M&A PPA enables key mission support offices to carry out ICE-wide initiatives that ensure the effective stewardship of public funds, integrity of the workforce, and enterprise-wide strategic management of ICE resources. PC&B funding supports the efforts of critical offices across ICE: QHSR Alignment 1.1 Prevent Terrorist Attacks 1.3 Reduce Risk to the Nation’s Critical Infrastructure, Key Leadership, and Events 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors Office of the Assistant Secretary (OAS) OAS directs planning and execution of agency objectives outlined in the ICE strategic plan, including operational and management support to meet day-to-day 3.2 Prevent Unlawful Immigration organizational needs as well as long-term agency goals. Responsibilities include: providing leadership, coordinating across ICE’s operational components, addressing operational challenges, and supporting ICE’s continued development as a premier law enforcement agency (LEA). Offices that comprise OAS are responsible for human capital, congressional relations, public affairs, policy, diversity and civil rights, training and development, FOIA, privacy, and firearms and tactical training. Office of Professional Responsibility (OPR) OPR investigates allegations of criminal and administrative misconduct involving ICE employees and criminal misconduct involving CBP employees when there is a nexus to HSI investigations. OPR’s integrity assurance process includes a layered security approach to protect ICE personnel, facilities, and information from criminal and/or terrorist organizations, as well as a vigorous initial screening of applicants through comprehensive and periodic background investigations. OPR also assesses ICE’s organizational health by providing independent reviews of agency programs, offices, and detention facilities to measure compliance with applicable policies, standards, and procedures. 19 Office of the Chief Financial Officer (OCFO) OCFO manages ICE’s financial and physical assets, promotes integrity and accountability, delivers financial management services, provides real property and lease holds services, and manages the development, execution and monitoring of sound performance-based budgets. OCFO maintains a funds control policy and budget execution handbook for all ICE programs and continues to advance the accuracy of its managerial cost accounting model, which is compliant with Federal Accounting Standards Advisory Board (FASAB) standards. Additionally, OCFO manages all audits for ICE and is leading the transition from the legacy ICE financial management system to a Shared Service Provider. In FY 2015, ICE continued developing an evidence-based resource management approach, which employs a three-pronged strategy to tie workload to resource requirements: 1) the Workload Staffing Model (WSM); 2) Performance Management; and 3) Transformational Efforts. The WSM uses workload capacity to determine appropriate staffing levels and funding requirements. It also includes scenario-based forecasting to determine the effects of external drivers on ICE staffing. Office of Acquisition Management (OAQ) OAQ is a customer-focused organization applying an enterprise-wide, strategic approach to procurement. OAQ operates as a full business partner with internal and external organizations and serves as a strategic asset dedicated to improving the agency's overall business performance. OAQ is responsible for procuring various products and services for ICE. In FY 2017, funding for the PC&B Sub-PPA will support the following activities: • Oversee $2.3 billion of contracts for the acquisition of detention and law enforcement equipment and services; • Implement performance management and learning management elements of the DHS PALMS; • Redefine roles and responsibilities for the Office of Training and Development, Office of Firearms and Tactical Programs, and other program offices with respect to basic, specialized, advanced, and in-service training to reduce redundant activities; • Conduct semi-annual agency-wide reviews of travel cards, purchase cards, or pay administration activities to identify possible waste, fraud, and abuse; • Improve internal controls over financial reporting and operations by expanding upon the agency risk assessment to identify risks early and apply corrective action before they become audit findings; • Implement a data repository that will enable ICE to conduct internal and external reporting and audits of historical data and to provide efficiencies for operations prior to migration to the CIFS; 20 • Achieve ICE Academy Federal Law Enforcement Training Accreditation (FLETA) board accreditation by implementing policies and directives at the ICE Academy that are compliant with the 52 FLETA training program standards for law enforcement programs; • Implement a resident training course for managers, above the first line supervisor but below Senior Executive Service (SES) level; • Evaluate FOIA case process and workload staffing plan and implement the Six Sigma methodology to improve program performance; and • Deploy a mobile Firearms, Armor, and Credentials Tracking System (FACTS) app to allow firearms instructors to access and update FACTS records, such as qualification and training records, on mobile devices in the field. 21 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Personnel, Compensation, and Benefits Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted Civilian Total Military Total FY 2016 Enacted FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 1,662 1,478 $147,403 $100 1,185 1,107 $162,621 $147 1,185 1,075 $168,431 $157 - (32) $5,810 $10 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE change includes the reduction of 32 FTEs in FY 2017. The reduction is attributed to normalizing the hiring process in FY 2017 after an aggressive hiring surge in the second half of FY 2015 that continued throughout FY 2016. • PCB Change FY 2016-2017: The increase to salaries and benefits is due to within grade increases, promotions, and the 1.6 percent pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: Average cost increase between FY 2016 and FY 2017 includes within grade increases, career ladder promotions, and the pay raise. 22 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Personnel, Compensation, and Benefits Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Personnel, Compensation, and Benefits 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Financial Services $14,127 Data Analytics $10,831 Administrative Services and Support Services $2,457 Accounting and Auditing $2,518 Joint Integrity Case Management System $900 Total $30,833 $12,839 $9,303 $4,227 $2,985 $900 $30,254 2017 Request $17,974 $9,769 $4,312 $3,104 $900 $36,059 FY 2016 to FY 2017 Change $5,135 $466 $85 $119 $0 $5,805 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Financial Services: An increase of $5.1 million will support core financial services such as financial reporting services, the financial system, and the Real Property Management System (RPMS). In FY 2017, ICE requires additional contract staff in order to ensure continued financial services support. • Data Analytics: FY 2017 funding will be used to continue data analysis initiatives necessary to guide ICE business decisions including Business Analytic System, Cost Modeling, Workload Staffing Model, and Bed Study Support. In FY 2017, ICE will continue efforts to build the functionality of our business analytics tool, the Business Analytics Support System (BASS). • Administrative Services and Support Services: ICE will fund miscellaneous contracts such as detention contract requisition support and human capital strategy improvements. The FY 2017 change includes an increase for inflation. 23 • Accounting and Auditing: In FY 2017, ICE will monitor and examine ICE records to ensure A-123 compliance and bolster internal controls and audit readiness support. The FY 2017 change includes an increase for inflation. • Joint Integrity Case Management System (JICMS): ICE OPR uses JICMS as its primary case management tool to track cases involving criminal or administrative misconduct. Approximately $900,000 is estimated for the FY 2017 cost for use of the system. 24 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Headquarters Managed Information Technology FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Headquarters Managed Information Technology Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/M&A PPA from S&E Adjustments to Base Approp/HQ Managed IT PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise GSA Rent Non-GSA Rent General Expenses Decrease Working Capital Fund FTE Baseline adjustment Program Changes Headquarters Managed Information Technology Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 25 Positions - FTE - Amount - 369 8 377 377 352 (7) 4 349 349 $148,957 ($5) $28 $124 $691 $647 ($4,412) ($129) ($560) $16,133 $161,474 $161,474 SUB-PPA JUSTIFICATION: Funding for HQ Managed IT within the M&A PPA supports ICE OCIO in providing IT products and services that enable ICE and DHS to meet their mission. OCIO delivers technical infrastructure support, tactical communications, and centrally supported applications to provide employees with the tools and resources to carry out the activities and operations necessary to promote homeland security and public safety. The majority of HQ Managed IT funding supports maintenance and sustainment of the IT Infrastructure investment, the foundation of ICE’s IT capabilities. The Infrastructure investment delivers IT products and services that provide systems availability required to execute the mission, maximize workforce productivity, and improve information sharing. The IT Infrastructure investment supports the agency local-area, wide-area, and wireless networks, voice communications systems, web-hosting environment, data center infrastructure, database management, and all associated infrastructure. QHSR Alignment 1.1 Prevent Terrorist Attacks 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors 3.2 Prevent Unlawful Immigration 4.1 Strengthen the Security and Resilience of Critical Infrastructure 4.2 Secure the Federal Civilian Government Information Technology Enterprise Funding for HQ Managed IT allows OCIO to: • Deploy and maintain enterprise-wide services that ensure 24/7 availability of mission critical systems and core infrastructure services, including networks, voice communications, and video conferencing. This capability enables ICE personnel to access computer systems and share information with our federal, state, local, and tribal law enforcement partners. • Deliver IT field operations support to customers in more than 800 sites worldwide. The IT Field Operations team provides remote and on-site technical/service desk support to employees, ensures continuous operations of ICE servers and equipment, and supports IT equipment changes related to office relocations. The team also supports enforcement missions and special events when program offices request additional IT support. • Enhance IT cybersecurity as cyber threats and viruses continue to become more sophisticated. OCIO develops and enforces ICEwide policies for the protection and control of sensitive information. OCIO oversees additional IT security activities, including supporting information infrastructure, disaster recovery, security testing, risk assessment, and automated continuous monitoring. ICE is implementing the Continuous Diagnostics and Mitigation Program, which helps transform the way federal and other government entities manage their cyber networks. 26 • Provide reliable and secure Tactical Communications (TACCOM) to program personnel in the field and to the ICE law enforcement community. OCIO supports operations and maintenance (O&M) for ICE tactical communications infrastructure and radios. • Maintain an ICE collaboration tool that allows individual offices to share content and automate manual processes. OCIO also provides training and support to program offices for individual, customized solutions. • Deliver effective IT management and planning, enterprise architecture, budget formulation, project management, and strategic planning processes via cost-effective, leading edge IT solutions in support of ICE’s mission. In FY 2017, funding for the HQ Managed IT Sub-PPA will support the following activities: • Continue to provide technical assistance to field offices worldwide, enterprise application hosting and data center services, continuity of operations, application maintenance support and tiered Service Desk support to the ICE enterprise; • Repair and replace obsolete tactical communications infrastructure equipment to minimize site outages, prevent loss of communications with Law Enforcement Officers (LEOs) in the field, and ensure interoperability with other federal agencies; • Support ongoing monitoring and protection of ICE’s systems and data through network and host-based intrusion detection, vulnerability assessment, forensics analysis, cyber-defense incident response, and endpoint protection activities; • Enable Single Sign-On from the desktop to Enterprise Applications to reduce the number of usernames and passwords maintained by end-users; • Improve bandwidth and application response time for key ICE applications such as ICE TECS and EAGLE. The enhancement will also enable ICE to provide video conferencing and efforts related to HSI’s Covert Video Network; • Modernize ICE’s email solution by migrating Microsoft Exchange to as-a-service to avoid disruption of mission critical Microsoft services and to avoid reaching the current storage capacity; • Reduce infrastructure and hosting costs while providing greater stability and availability through migration from a manual tasking process to a cloud-based collaboration platform; and • Improve transparency through continued IT modernization efforts which standardize the collection, aggregation, and reporting of data through an enterprise data management solution. 27 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Headquarters Managed Information Technology Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 – 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 391 331 $52,702 $159 369 352 $57,448 $163 377 349 $54,981 $156 8 (3) ($2,467) ($7) - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The FTE change is due to a reduction of 3 FTE in FY 2017. The reduction is due to over-reporting of FTE levels in previous year budgets. • PCB Change FY 2016-2017: The increase to salaries and benefits is due to within grade increases, promotions, and the 1.6 percent pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The average cost increase is due to within grade increases, promotions, and the pay raise. 28 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Headquarters Managed Information Technology Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Headquarters Managed Information Technology 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Infrastructure Configuration & Coordination $9,357 Security Compliance $531 Corrective Maintenance $13,759 Production Support $19,880 Equipment $26,290 Software Licenses $10,085 Total $79,902 $10,774 $12,911 $13,340 $12,776 $9,200 $6,911 $65,912 2017 Request $24,097 $15,798 $13,741 $13,159 $9,476 $7,118 $83,389 FY 2016 to FY 2017 Change $13,323 $2,887 $401 $383 $276 $207 $17,477 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Infrastructure Configuration & Coordination: An increase of $13.3 million will enable transition to cloud computing services and migration to virtual, on-demand services versus supporting physical hardware. Of the $13.3 million increase, $5.5 million is for bandwidth enhancements at various sites to accommodate increased throughput requirements on ICE’s network for new investigative case management, video streaming, video conferencing, enhanced system response times, and data transmission. Additional increase due to inflation. 29 • Security Compliance: An increase of $2.9 million will provide PIV-enabled access to ICE’s mission critical applications and deliver infrastructure capabilities to expand Single Sign-on for applications. Funding will cover products and licenses to include the cost of software and hardware maintenance, license fees, ancillary hosting fees, site survey, system design, and system deployment. Funding will support system integration including requisite coding and engineering changes to application authentication mechanisms. Additional increase due to inflation. • Corrective Maintenance: Projected increase includes inflation plus program changes. • Production Support: Projected increase includes inflation plus program changes. • Equipment: Projected increase includes inflation plus program changes. • Software Licenses: Projected increase includes inflation plus program changes. 30 FY 2016 to FY 2017 Budget Change PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Enforcement and Removal Operations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/ERO PPA from S&E Adjustments to Base Approp/Custody Operations PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Fugitive Operations PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Criminal Alien Program PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Alternatives to Detention PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Transportation and Removal PPA 287(g) Rightsizing WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding Unified Career Path Annualization GSA Rent Non-GSA Rent General Expenses Restoration of One-Time FY 2016 Buy-Downs Adult Bed Rate Increase Termination of one-time costs Working Capital Fund FTE Baseline adjustment 31 Positions - FTE - Amount - 5,740 5,271 $2,316,744 895 805 $156,572 1,673 1,606 $317,177 296 251 $114,275 81 - 62 38 (114) $313,174 ($70) ($104) $578 $2,680 $14,975 $5,403 $69,701 $9,023 $35,450 $80,112 $30,812 ($2,891) ($2,189) ($10,438) Enforcement and Removal Operations Family Bed Rate Decrease Program Changes ADP Decrease Criminal Alien Program Officer Increase Critical Life Safety and Infrastructure Repairs Electronic Health Records Family ADP Decrease Unaccompanied Children Transportation Unaccompanied Children Contingency Funding Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions 100 7 8,792 8,792 FTE 50 4 7,973 7,973 Amount ($182,712) ($18,574) $6,644 $1,216 $717 ($167,265) $10,200 $2,953 $3,104,164 $3,104,164 PPA DESCRIPTION: • ERO enforces the Nation’s immigration laws by identifying and apprehending removable aliens, detaining those individuals when necessary, and removing them from the U.S. in a manner consistent with legal processes and procedures. ERO carries out its mission through a range of programs and activities that focus on identifying and prioritizing the removal of recent border crossers and those individuals who pose the most significant threats to national security or public safety, including aliens convicted of crimes. In support of border security and public safety, ERO provides: Safe, secure, and humane detention of aliens held in government custody; Safe and secure transportation of aliens who are in ICE custody or are undergoing removal from the U.S.; Healthcare for aliens in custody; Operations for locating and apprehending at-large aliens across the U.S. in order to facilitate prompt removal; Capabilities to identify incarcerated criminal aliens throughout U.S. correctional facilities in order to facilitate prompt removal from the U.S. rather than release into the community; and o Cost effective Alternatives to Detention (ATD) that place lower-risk aliens under various forms of intensive supervision or electronic monitoring. o o o o o ERO operates in a dynamic and shifting immigration landscape. As such, ERO works with other DHS components, LEAs, states, counties, and localities across the U.S. to uphold America's immigration laws at, within, and beyond our borders through efficient enforcement and removal operations. The ERO PPA is comprised of five Sub-PPAs: Custody Operations, Fugitive Operations, CAP, ATD, and TRP. 32 • In FY 2017, ERO requests $3,104.2 million; 8,792 FTP; and 7,973 FTE to support the program mission. The request supports 6,877 immigration officers and 1,915 mission support personnel in the ERO PPA. The request reflects a decrease of $214.3 million from the FY 2015 Revised Enacted amount and a decrease of $113.8 million from the FY 2016 Enacted amount. Program Activities Custody Operations Fugitive Operations Criminal Alien Program Alternatives to Detention Transportation and Removal Program ERO Total Request FY 2017 Total Request (Dollars in Thousands) $2,178,963 $133,133 $347,455 $125,966 $318,647 $3,104,164 • The FY 2017 request, as compared to FY 2016 Enacted level, includes the following total changes for the ERO PPA: o A decrease for Custody Operations of $137.8 million; o A decrease for Fugitive Operations of $23.4 million; o An increase for CAP of $30.3 million; o An increase for ATD of $11.7 million; and o An increase for TRP of $5.5 million. • In FY 2017, ICE requests an increase of $50.3 million for ATBs in the ERO PPA in O&S: o Decrease of $0.07 million to fund two FTE within OPLA who provide legal support to the 287(g) program, with no impact on ERO or 287(g) operations; o Decrease of $0.1 million due to a transfer to the DHS WCF; o Increase of $0.6 million for increased FPS fees; o Increase of $2.7 million to annualize the FY 2016 pay raise; o Increase of $15.0 million for a 1.6 percent pay raise in FY 2017; o Increase of $5.4 million to annualize FY 2016 hiring; o Increase of $69.7 million for the annualization of costs associated with the ERO Unified Career Path (UCP), which merged the Detention Officer (DO) and Immigration Enforcement Agents (IEA) into a single career path beginning in FY 2015; o Increase of $9.0 million for increased rent costs; 33 o Increase of $35.5 million for increased general expense costs other than GSA rent; o Increase of $80.1 million to restore one time FY 2016 buy-downs at the end of FY 2015; o Increase of $30.8 million due to an average daily adult detention bed rate increase from $123.54 to $126.46 in FY 2017; o Decrease of $2.9 million for termination of one-time costs; o Decrease of 2.2 million for WCF; o Decrease of $10.4 million due to a baseline adjustment of 114 FTE to reduce FTE levels for unfilled vacancies reported in previous budget submissions; and o Decrease of $182.7 million due an average daily family detention bed reduction from $342.73 to $161.36. 34 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Justification of Program Changes (Dollars in Thousands) Program Increase 1: Critical Life Safety and Infrastructure Repairs - Custody Operations PPA: Enforcement and Removal Operations Program Increase: FTP 0, FTE 0, $1,216 FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Increase: Critical Life Safety and Infrastructure Repairs - Custody Operations Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTE Dollars ($000) FTP - - $1,216 $1,216 $1,216 Description of Item: In FY 2017, ICE requests an increase of $1.2 million to provide essential maintenance and repairs at ICE-owned facilities. The ICEowned portfolio consists of approximately 1.3 million square feet of space at 18 sites. ERO, as the primary tenant, operates Service Processing Centers (SPCs) and conducts related mission operations at five ICE-owned sites. These facilities accommodate approximately 3,550, or 11 percent, of ICE detainees. The other 13 owned locations are used to house and support HSI, ERO, and OPLA field operations such as the Border Enforcement Security Task Forces (BESTs), CAP, and other investigative, legal, and administrative staff. There is also a $7.0 million request for additional projects in the Procurement, Construction, and Improvements (PC&I) appropriation. 35 Justification: The table below shows the proposed actions and associated funding for this initiative: Facility State / Terr. San Pedro SPC CA El Paso SPC TX St. Croix USVI Aguadilla SPC PR El Centro SPC CA St. Thomas USVI Work Description Critical life safety repairs to include addition of ADA accessibility to all roadways and entrances and HVAC repairs. Required life safety repairs to include installation of fire alarm systems in offices, gym, processing center, dining hall and kitchen. Replace corroded sprinklers in Dormitories 1, 2, 3, and 7. Required life safety repairs to cut down overgrown vegetation surrounding the facility to create a firebreak. Required life safety repairs to include installation of fire sprinkler systems, offsite fire alarm monitoring, additional strobes and emergency lighting. Required life safety repairs to include new smoke detection systems in both dormitories, installation of automatic sprinkler system at the bus maintenance facility, correct site lighting, repair of guard towers. Required life safety repairs to cut down overgrown vegetation surrounding the facility to create a firebreak. Total Amount (Dollars in Thousands) $232 $177 $150 $283 $174 $200 $1,216 Impacts on Performance: At the requested funding level, ICE will remediate the high priority issues listed above. Failure to fund this initiative presents a risk to the safety of ICE employees and detainees, and is likely to lead to adverse findings from audits performed by ICE, DHS, and DHS Office of Inspector General. 36 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Justification of Program Changes (Dollars in Thousands) Program Increase 2: Electronic Health Records - Custody Operations PPA: Enforcement and Removal Operations Program Increase: FTP 7, FTE 4, $717 FY 2015 Revised Enacted FTP FTE Dollars ($000) FTP FY 2016 Enacted FTE Dollars ($000) Program Increase: Electronic Health Records (eHR) - Custody Operations Subtotal, Program Increases Total Request FTP FY 2017 Request FTE Dollars ($000) 7 7 7 4 4 4 $717 $717 $717 Description of Item: The FY 2017 request includes an increase of $0.7 million and 4 FTE for Custody Operations’ IHSC. These positions will enable IHSC to more effectively administer and oversee healthcare services delivered to detainees in ICE custody. Justification: In FY 2014, ICE completed implementation of its eHR system at 22 IHSC facilities, including IHSC Headquarters. During FY 2015, there were roughly 6.8 unique records (individual appointments or diagnoses) for every detainee record (unique record/ID per person) for a total of 1.5 million records. This funding for additional personnel will support enhanced analysis and management reporting that will provide IHSC with higher quality information to: • • • • Better understand the healthcare needs of the detainee population; Use evidence-based guidelines to implement best practices at existing and new facilities; Determine the medical cost burden of the detainee population; and Allow ICE to assess medical rate increase requests from medical partners. 37 Impact on Performance: Additional data analysts are required to efficiently and effectively review, analyze, manage, and report eHR data and provide healthcare managers with information to make informed, data driven decisions. ICE will have the ability to monitor timely delivery of medical care and make determinations about suitability of staffing placement at facilities to address significant health concerns of detainees. Additional resources will provide data quality improvement and validation, analytics, dashboard development and deployment, and program management. This will allow ICE to maximize the benefits of eHR in reducing duplicative work; improving reporting capabilities; reducing the delay and likelihood of inaccurate medical care documentation; facilitating responses to agency, congressional and other inquiries; and providing timely information to guide medical and/or custody-related decision-making. 38 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Justification of Program Changes (Dollars in Thousands) Program Increase 3: Criminal Alien Program Officer Increase - Criminal Alien Program PPA: Enforcement and Removal Operations Program Increase: FTP 100, FTE 50, $6,644 FY 2015 Revised Enacted FTP FY 2016 Enacted Dollars FTE Dollars ($000) FTP FTE ($000) Program Increase: Criminal Alien Program Officer Increase - Criminal Alien Program FY 2017 Request FTP FTE Dollars ($000) Subtotal, Program Increases 100 100 50 50 $6,644 $6,644 Total Request 100 50 $6,644 Description of Item: The FY 2017 request of $6.6 million provides for 100 (50 FTE) CAP law enforcement officer positions to support expected increases in apprehensions resulting from expanded implementation of PEP. The request will add approximately 10 new teams to the program and enable DHS to work with state and local law enforcement to take custody of individuals who pose a danger to public safety before those individuals are released into U.S. communities. Justification: In November of 2014, Secretary Johnson established PEP to mitigate the public and officer safety impacts of detainer non­ compliance. PEP relies on fingerprint-based biometric information sharing between DHS and DOJ from fingerprints submitted during bookings by state and local LEAs. Under PEP, the focus for prioritized enforcement is refined. For example, ICE no longer seeks to transfer individuals for administrative immigration offenses alone, nor does it target those merely charged with (but not yet 39 convicted of) criminal offenses. Under PEP, ICE simply requests notification when a removable individual is to be released from state or local custody, although detainers may be issued for priority individuals that ICE has probable cause to believe are removable. This funding request directly supports DHS Quadrennial Homeland Security Review (QHSR) Mission Goal 3.2: Prevent Unlawful Immigration. CAP supports this goal under PEP by identifying, arresting, and initiating removal proceedings against criminal aliens, and other priority aliens that pose a risk to the public. PEP focuses the application of immigration enforcement resources on convicted criminals over undocumented immigrants who have committed no crimes, employing the safest and most efficient method for identifying, arresting, and removing priority individuals, which is when they are in the custody of a state or local LEA. This plan requires the cooperation of law enforcement professionals across this nation. To ensure PEP’s success, DHS officials, including the Secretary, have engaged in significant outreach to external stakeholders and law enforcement partners to educate them about PEP and encourage participation to develop mutually beneficial processes for the orderly transfer of priority criminal aliens. Impact on Performance: Prior to establishing PEP, there were 377 documented jurisdictions that had previously refused to honor some or all ICE detainers. As of January 11, 2016, and based on DHS and ICE public outreach from both senior Headquarters officials and field-based senior managers, 277 of those 377 jurisdictions (73%) that had previously not honored ICE detainers have agreed to honor requests for notification or requests for detention. These jurisdictions accounted for approximately 57% of the overall declined detainer total (16,495) between January 2014 and June 2015. This program increase will minimize risk to public safety by building capacity to allow ICE to respond in time to arrest priority individuals prior to their release after notification. 40 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Justification of Program Changes (Dollars in Thousands) Program Increase 4: Unaccompanied Children Base and Contingency Funding - Transportation and Removal Program PPA: Enforcement and Removal Operations Program Increase: FTP 0, FTE 0, $13,153 FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Increase: Unaccompanied Children Transportation Base ­ Transportation and Removal Program Program Increase: Unaccompanied Children Contingency Funding ­ Transportation and Removal Program Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) - - $10,200 - - $2,953 $13,153 $13,153 Description of Item: ICE requests $13.2 million in FY 2017 for transportation costs related to UC in excess of previous year levels. The request includes $10.2 million to increase TRP base funding to support transportation of up to 75,000 UC. Additionally, the budget includes contingency fund language that will fund additional transportation costs and scores the requested contingency fund increase at $3.0 million. ICE is responsible for costs associated with transporting UC to HHS’ Office Refugee Resettlement (ORR) facilities within 72 hours of their identification as an UC, as well as for removal costs for UC ordered removed. 41 Justification: In FY 2014, ICE experienced an influx of UC from El Salvador, Guatemala, and Honduras through the Rio Grande Valley areas of Arizona and Texas, where more than three quarters of UC were apprehended. In response to this influx, ICE successfully added two additional aircraft at the Brownsville, Texas operational hub. During that year, TRP transferred 56,029 UC from ICE custody to the custody of ORR, an increase of 145 percent over FY 2013 levels, and repatriated 1,901 UC to their country of origin through the ICE Air Operations Division. Furthermore, ICE required a reprogramming of $72.7 million to fund transportation costs of UC. In FY 2015, TRP transferred 27,308 UC from ICE custody to the custody of ORR, and repatriated 1,882 UC to their country of origin. In the first two months of FY 2016, 10,588 UC have been apprehended at the southwest border, which is a 106 percent increase over FY 2015 levels. Based on higher-than-average apprehensions of UC in late FY 2015 and early FY 2016, the FY 2017 TRP request funds transportation for 75,000 UC. FY 2017 contingency funding would be made available to ICE TRP in increments of $3.15 million if, at any time after January 1, 2017 and before October 31, 2017, the cumulative number of UC transferred to ORR exceeds 100, 110, 120, or 130 percent of the number of UC transferred through the comparable date in the previous fiscal year. Impact on Performance: The increase to the TRP program of $13.2 million will allow ICE to transfer UC to ORR within the statutorily required time frame of 72 hours. 42 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Justification of Program Changes (Dollars in Thousands) Program Decrease 1: ADP and TRP Decrease - Custody Operations PPA: Enforcement and Removal Operations Program Decrease: FTP 0, FTE 0, ($185,839) FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Decrease: ADP Decrease - Custody Operations Sub-PPA Program Decrease: ADP Decrease Transportation and Removal Program SubPPA Subtotal, Program Decreases Total, Program Decreases FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) - - ($167,265) - - ($18,574) ($185,839) ($185,839) Description of Item: The FY 2017 request funds 30,913 detention beds – 29,953 adult beds at an average rate of $126.46 per day and 960 family beds at an average rate of $161.36 per day. The request includes a reduction of $167.3 million in Custody Operations, which reflects a decrease of 1,327 adult beds and 1,800 family beds from FY 2016 levels. There is also a corresponding decrease of $18.6 million in TRP due to reduced ground and air transportation costs. Justification: The requested level of 29,953 adult detention beds allows ICE to detain and remove aliens that fall within a DHS civil enforcement priority as defined by the November 2014 memo, entitled Policies for the Apprehension, Detention, and Removal of Undocumented Immigrants. Of the requested level of adult detention beds, 27,583 are funded by the O&S appropriation, and the remaining 2,370 are 43 funded by the Breached Bond Detention Fund and the Immigration Inspection User Fees. The requested level of 960 family detention beds ensures adequate capacity for family processing and removal, as appropriate. These detention bed levels ensure the most cost-effective use of Federal dollars by focusing the more costly detention capabilities on priority aliens and those who are subject to mandatory detention by law (mandatory aliens). This strategy allows ICE to place lowrisk, non-mandatory aliens in ATD programs, such as electronic monitoring and intensive supervision. Impact on Performance: ICE’s current enforcement and removal policies were implemented in FY 2015 and into FY 2016, prioritizing enforcement action against those who are threats to national security, border security, and public safety. The requested funding levels will allow ICE to focus its detention resources on those individuals who pose a risk to national or public safety while ensuring the most humane treatment of aliens in our custody and also ensuring good stewardship of taxpayer dollars. 44 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FTP Civilian Total Military Total FTE Avg. FTP FTE Amount Cost $1,046,385 143 8,685 7,995 $1,152,840 Amount 8,340 7,797 - FY 2016 Enacted1 - - - - - - FY 2017 Request Delta FY 2016 – 2017 Avg. Avg. FTP FTE Amount FTP FTE Amount Cost Cost $151 8,792 7,973 $1,173,080 $147 107 (22) $20,240 - - - - - - - Avg. Cost ($4) - - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The FTE change includes a net reduction of 22 FTE for ERO in FY 2017. The reduction is due to over-reporting of FTE levels in previous year budgets. • PCB Change FY 2016-2017: The increase to salaries and benefits is due to within grade increases, promotions, the 1.6 percent pay raise, annualization of FY 2016 hiring for Fugitive Operations, and additional hiring for CAP. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The increased average cost per FTE is a result of the 1.6 percent cost of living adjustment for federal employees in 2017 and standard within grade increases. 45 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Cost Drivers (Non-Pay) - PPA Level ($000s) Operations and Support – Enforcement and Removal Operations 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) $1,163,880 Custody Operations: Contracts – Detention Beds / Guards / Alien Welfare $1,215,101 $973,203 ($241,898) Custody Operations: Contracts – Detainee Healthcare Services $149,819 $162,409 $139,291 ($23,118) Transportation and Removals: Contracts – Ground Transportation $134,558 $137,705 $134,443 ($3,262) Transportation and Removals: Contracts – Charter Aircraft $92,841 $95,012 $92,762 ($2,250) Alternatives to Detention: Contracts – Non-detained alien monitoring (ISAP III) $54,054 $60,330 $62,145 $1,815 Transportation and Removals: Contracts – Unaccompanied Children $23,744 $24,299 $34,299 $10,000 $1,618,896 $1,694,856 $1,436,143 ($258,713) Total * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Detention Beds: ERO operates in over 200 facilities, which have various detention standards, including 2011 Performance-Based National Detention Standards (PBNDS 2011). Costs for detention beds include contract guards, food, clothing and account for $973.2 million in annual costs in the base appropriation. • Healthcare Services: Medical and dental care for ICE detainees in ICE owned and contracted facilities accounts for $139.3 million. FY 2016 to FY 2017 decrease can be attributed to an expected lower rate of hospitalizations. • Ground Transportation: These costs fund $134.4 million for ground transportation including bus and escort rides to and from court, as well as transfers from apprehension sites to detention facilities. 46 • Air Transportation: These costs provide for air charter flights for adults, UC transferred to HHS shelters, and commercial flights for aliens being deported, accounting for $92.8 million. • ISAP III contract: ISAP III costs of $62.1 million support the monitoring of low-level aliens currently not in detention and on bond accounts. • Transportation of Unaccompanied Children: The recent trend of increased UC apprehensions requires prudent planning for increased transportation of UC to HHS facilities. The FY 2017 amount will cover transportation costs for up to 75,000 UC to HHS facilities. 47 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Custody Operations FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Custody Operations Prior Year Base FY 2015 Revised Enacted FY 2016 Enacted Transfer to O&S Approp/ERO PPA from S&E Adjustments to Base Approp/Custody Operations PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Unified Career Path Annualization GSA Rent Non-GSA Rent General Expenses Inflation Restoration of One-Time FY 2016 Buy-Downs Adult Bed Rate Increase Working Capital Fund FTE Baseline adjustment Family Bed Rate Decrease Program Changes Critical Life Safety and Infrastructure Repairs Electronic Health Records ADP Decrease Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 48 Positions - FTE - Amount - 5,740 7 5,747 5,747 5,271 (72) 4 5,203 5,203 $2,316,744 ($69) $398 $1,781 $10,662 $46,351 $8,155 $32,218 $90,011 $30,812 ($1,527) ($6,530) ($182,712) $1,216 $717 ($169,265) $2,178,963 $2,178,963 SUB-PPA JUSTIFICATION: Funding for the Custody Operations Sub-PPA within the M&A PPA supports the QHSR Alignment management and oversight of the civil immigration detention system. Custody Operations develops and implements solutions to meet evolving detention 3.2 Prevent Unlawful Immigration requirements in a cost-effective manner. It effectively manages and adjusts ICE’s detention approach to address significant challenges and shifts in the detention landscape, such as increases in the number of criminals, families, Central Americans, and special population detainees. Officers in the Custody Operations Sub-PPA provide everyday management of the detained population by processing individuals being booked into and out of immigration detention, overseeing the physical detention of individuals in ICE custody, and conducting detainee interviews in response to grievance complaints and other non-case management activities. Officers also are responsible for case management functions, which refers to the responsibilities of ERO officers to participate in the preparation of an individual’s immigration court proceedings and/or review his/her custody status to ensure that his/her detention is/remains appropriate under the law and in accordance with agency policy. As part of these responsibilities, Custody Operations officers review Notices to Appear; examine evidence and prepare and forward records to the Executive Office for Immigration Review; and prepare written reports of findings and make recommendations on detained cases. The average daily cost of detention at ICE facilities has increased in recent years. This cost per individual, or bed cost, varies by region, facility type, and individual. Bed costs have several components, including detention bed acquisition, detention guard services, detainee meals, welfare items, detainee health care, and other indirect costs. 49 Historic and Projected Adult Bed Costs ($) $140 $120 Dollars $100 $123.54 $126.46 18.93 19.40 20.85 13.42 12.13 12.03 13.37 87.79 89.26 90.63 92.11 92.24 FY 2013 FY 2014 FY 2015 FY 2016 Projected FY 2017 Projected $121.16 $121.69 19.15 18.48 11.94 $118.88 $80 $60 $40 $20 $0 Fiscal Year Bed and Guard Healthcare Other Costs The FY 2017 projected adult bed rate cost of $126.46 is based upon adjustments for detention bed and guard contracts, as well as other cost categories (i.e., direct, indirect, and service-wide). In FY 2017, ICE requests funding for 30,913 beds: 29,953 adult beds at an average rate of $126.46 and 960 family beds at an average rate of $161.36. Custody Operations will fund 27,583 adult beds for a total cost of $1.27 billion and 960 family beds for a total cost of $56.5 million. ICE receives funding for the remaining 2,370 adult beds from fee sources: Breached Bond Detention Fund will fund a projected 802 adult beds, and Immigration Inspection User Fees will fund a projected 1,568 adult beds. Additionally, Custody Operations funds approximately $765.5 million for personnel and $85.7 million of non-bed general expenses. Custody Operations anticipates cost impacts as a result of the following major cost drivers: • Detaining Criminal Aliens: A detention population containing more criminal aliens requires stricter security controls, as well as increased healthcare, because this population tends to have more chronic care medical needs. ERO must ensure criminals of different classifications are separated and supervised directly. Below is a chart reflecting ADP broken into DHS Civil Immigration Enforcement Priorities pursuant to the November 2014 memo titled Policies for the Apprehension, Detention, and Removal of Undocumented Immigrants. 50 An increased importance has been placed on the detention of criminal aliens under the November 20, 2014 priorities. Accordingly, ICE anticipates an increase in the projected ratio of the criminal to non-criminal detainee population. 51 • Increasing Central American Population: Over the past few fiscal years, there is a trend towards a higher ratio of Central Americans to Mexicans entering the country illegally. Reports of gang violence in Guatemala, Honduras, and El Salvador are a “push factor” of increased arrivals from Central America. Immigrants from these countries spend longer in the detention system due to claims for protection, which take longer to adjudicate. Travel documents required for removal also take longer to acquire from these countries as compared to Mexico. • Complying with Executive Order 13658: Executive Order 13658 set a new minimum wage for federal contractors at $10.10 per hour, effective on January 1, 2015. This impacts ongoing and future detention contracts’ staffing costs, especially in the staffing for food service workers and certain administrative positions. ICE expects that facilities will pass this cost increase on to ICE via the request for equitable adjustment process. • Providing Detainee Healthcare: IHSC provides direct patient care at detention facilities and during air, ground, and sea enforcement operations. IHSC employs a mix of programs and resources that are advantageous to the government and responsive 52 to the health care needs of the detained population. IHSC is a multi-sector, multidisciplinary workforce of 857 that includes 283 U.S. Public Health Service (USPHS) Commissioned Corps officers, 18 federal civil servants, and 556 contract health professionals as of the end of FY 2015. IHSC provides direct on-site patient care to approximately 15,000 ICE detainees at 21 detention facilities. Healthcare at the remaining, active ICE detention facilities is usually procured via two different methods: (1) when healthcare is provided on-site, it is typically handled by the detention vendor (or subcontractor) and those costs are included in the overall cost of the contract; and (2) any healthcare that is handled off-site, including off-site medical procedures that are handled at detention facilities for which IHSC provides direct patient care, is processed by the Department of Veterans Affairs Finance Services Center (VA FSC), approved by IHSC, and then paid for by ICE. • Maintaining Family Residential Centers (FRCs): In recent years, family groups have arrived in numbers that outpaced ICE’s historical capacity for processing and detaining families. To address this influx, ICE designated three of its facilities as FRCs. As shown in the graph below, ICE’s FRCs will support 960 family residential beds at an estimated rate of $161.36 in FY 2017. • Reforming the Detention System: Detention Reform is an ongoing initiative to ensure conditions are consistent with the civil authorities and the purposes of immigration detention. Many ICE detention beds are located in jails designed for penal, not civil, detention. As such, ICE is pursuing a series of comprehensive efforts designed to ensure that detention conditions are safe, secure, and humane. 53 o Revising Detention Standards: In February 2012, ICE released its newest national detention standards, known as PBNDS 2011. PBNDS 2011 currently applies to facilities housing approximately 80 percent of ICE’s ADP, including all dedicated facilities. The following improvements are included in the revised standards:  Improved medical and mental health services;  Increased access to legal services and religious opportunities;  Improved communication with detainees with limited English proficiency;  Enhanced processes for reporting and responding to complaints; and  Increased opportunities for visitation. o Complying with Detention Standards: ICE’s Detention Standards Compliance Oversight program ensures detention facilities comply with ICE national standards. ICE tailors these standards to meet the needs of ICE’s detainee population to include quality medical care, access to counsel, visitation, religious practices, language translation and interpretation, and other services. This program conducts annual facility inspections and provides on-site monitoring. Thirty-five Detention Service Managers and Detention Standards and Compliance Officers (DSMs/DSCOs) posted at key ICE detention facilities remediate deficiencies identified by OPR’s Office of Detention Oversight (ODO). DSMs/DSCOs reduce detainee grievances, ensure proper disciplinary processes, improve compliance with standards, and increase annual inspections ratings. As of July 2015, there were 50 total facilities under the purview of the program representing approximately 80 percent of ICE’s ADP. o Optimizing Detention Facilities: ICE seeks to optimize the detention space network to achieve both cost savings and better conditions for detainees. New contracts increase bed space in regions with high demand and improve conditions for low-risk detainees. ICE continues to pursue the development of new, dedicated facilities that provide flexibility in meeting the needs of ICE’s diverse and continuously evolving detainee population. o Reviewing the Use of Segregation for ICE Detainees: Pursuant to the ICE Segregation Directive published September 2013, ICE’s automated Segregation Review Management System (SRMS) stores, tracks, reviews, and manages data associated with ICE detainees in segregation. SRMS allows ERO Field Offices to submit notifications about segregation placements to ICE. The SRMS provides a centralized historical record of all segregation cases. o Operating the Detention Reporting and Information Line: ICE operates the Detention Reporting and Information Line (DRIL), a toll-free service for detainees and agency stakeholders to communicate directly with ERO about detainees’ concerns. Operators and language assistance are available Monday through Friday from 8:00 a.m. to 8:00 p.m. EST. DRIL addresses incidents of sexual or physical assault or abuse, requests for basic case information, 54 unresolved problems in detention, complaints regarding detainee services, and inquiries from the general public. o Implementing Regulations from the Prison Rape Elimination Act (PREA): DHS PREA regulations became effective on May 6, 2014, and ICE is currently compliant with all applicable PREA requirements. PREA regulations require that all new, renewed, or substantively modified detention facility contracts incorporate PREA standards. ICE has incorporated PREA standards into contracts at facilities covering approximately 60 percent of ICE’s ADP and will continue to pursue incorporation of PREA standards into other facility contracts, finalize PREA auditing tools and instruments, and procure a qualified external contractor to perform required inspections. Under DHS PREA standards, an external third party must audit all detention facilities where PREA is applicable by July 6, 2018. In FY 2017, funding for the Custody Operations Sub-PPA will support the following activities: • Continue promoting ICE’s Parental Interests Directive with advocacy groups, legal providers, victims’ rights organizations, family courts, and child welfare systems; • Achieve a 100 percent compliance rating with the National Detention Standards by receiving an inspection rating of acceptable or better on last inspection; • Complete at least 10 Quality Assurance Reviews and/or Site Assist Visits evaluating conditions of confinement and facility operational compliance with ICE detention standards; • Expand the On-site Monitoring Program to more than 95 percent of ICE detention population; and • Implement PREA requirements at all dedicated detention facilities and at least 10 additional non-dedicated detention facilities. 55 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Custody Operations Cost Drivers (Pay & Benefits) - Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost Civilian Total Military Total 5,486 5,205 $696,776 - $134 5,7405,271 $761,111 - $144 5,7475,203 $780,026 - $150 - 7 (68) $18,915 - $6 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The FTE change includes the reduction of 68 FTEs in FY 2017. This reduction is due to over-reporting of FTE levels in previous year budgets. • PCB Change FY 2016-2017: The increase in salaries and benefits is due to within grade increases, promotions, and the 1.6 percent pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: Average cost increase between FY 2016 and FY 2017 is due to grade increases, promotions, and the pay raise. 56 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Custody Operations Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Custody Operations 2015 Revised Enacted 2016 Enacted 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) Contracts – Detention Beds / Guards / Alien Welfare (Adult) Contracts – Detention Beds / Guards / Alien Welfare (Family) Custody Operations: Contracts – Detainee Healthcare Services $805,817 $358,063 $971,925 $243,176 $149,819 $162,409 $928,653 ($43,272) $44,550 ($198,626) $139,291 ($23,118) Requests for Equitable Adjustments (REA) Non-bed general expense cost drivers $24,853 $40,104 $55,355 $15,251 $119,252 $121,637 $124,070 $2,433 Total $1,457,804 $1,539,251 $1,291,919 ($247,332) * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Contracts: Custody Operations non-pay cost drivers reflected include contracts for detention beds and healthcare. o FY 2015 based on an average daily population of 34,000, excluding reprogrammings, transfers and FY 2016 buy downs. Healthcare costs reflect actual expenditures. o FY 2016 includes 28,910 adult detention beds and 2,760 family beds. Healthcare contracts are reduced and associated costs are funded from the detention contracts for Family Residential Centers. o FY 2017 assumes 27,583 adults beds and 960 family beds funded. Lower ADP of families thereby also reduces healthcare costs. • Non-Bed General Expenses: Office supplies, travel, training, sub-office utilities, advisory service contracts, and equipment are non-bed general expenses that significantly impact costs. Inflation and other expenses are the primary causes of this cost increase. • Requests for Equitable Adjustments (REA): REA from detention facilities are substantial cost drivers for Custody Operations, 57 especially since certain types are non-negotiable (i.e., Department of Labor (DOL) wage determinations). ICE leadership has also indicated a renewed focus on improving compliance standards at detention facilities. As a result, many facilities that were formerly not PBNDS 2011 compliant have undergone operational changes to achieve this higher compliance standard, including increased recreation time, increased law library time, improved recreation facilities, improved medical services, and access to mental health services. These changes result in cost increases, which are passed along to ICE. 58 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Fugitive Operations FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Fugitive Operations Prior Year Base FY 2015 Revised Enacted FY 2016 Enacted Transfer to O&S Approp/ERO PPA from S&E Adjustments to Base Approp/Fugitive Operations PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year funding Unified Career Path Annualization GSA Rent Non-GSA Rent General Expenses Restoration of One-Time FY 2016 Buy-Downs Termination of one-time costs Working Capital Fund FTE Baseline adjustment Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 59 Positions - FTE - Amount - 895 895 895 805 38 (14) 829 829 $156,572 ($10) $32 $273 $1,327 $5,403 $2,089 $518 $894 ($29,646) ($2,891) ($112) ($1,316) $133,133 $133,133 SUB-PPA JUSTIFICATION: Funding for the Fugitive Operations Sub-PPA within the ERO PPA will support the identification, location, and arrest of removable criminal aliens in the U.S. ICE originally established the National Fugitive Operations Program (NFOP) in 2003 to locate, arrest, or otherwise reduce the fugitive alien population. Today, NFOP prioritizes removable aliens who are national security threats, transnational gang members, convicted criminals, sex offenders, and aliens with removal orders issued after January 1, 2014 who have failed to depart the United States. A total of 129 Fugitive Operation Teams (FOT) provide immigration enforcement expertise in coordination with state and local law enforcement and participation in interagency task forces. QHSR Alignment 1.1 Prevent Terrorist Attacks 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actor 3.2 Prevent Unlawful Immigration The effectiveness of ICE Fugitive Operations is contingent on the critical information and efforts provided by the following: National Criminal Analysis and Targeting Center (NCATC) ERO’s NCATC, formerly known as the Fugitive Operations and Support Center, seeks to improve the efficiency and effectiveness of NFOP along with ERO’s overall enforcement efforts. NCATC serves as a national investigative enforcement operations center providing critical information to ICE law enforcement officers in the field and Headquarters offices. NCATC analyzes data and develops comprehensive lead and information referrals, which NCATC disseminates to ICE field components. This information helps locate and arrest at-large criminal and other priority aliens who pose a threat to the Nation’s communities. NCATC also produces information referrals on probation and parole cases. An information referral is information on a potentially removable alien that is likely to contribute a substantive benefit to ICE's law enforcement efforts. 60 Fugitive Operation Teams (FOTs) FOTs identify, locate, and arrest criminal and other priority aliens, including those on probation and parole. NFOP manages probation and parole enforcement for ICE, addressing more than 431,000 criminal aliens on probation and parole from the criminal justice system. ERO had 3,496 probation and parole arrests in FY 2015, a 41 percent increase over FY 2014. Since FY 2008, FOTs have increased criminal arrests each year, reaching an 88 percent criminal arrest rate in FY 2015. NFOP uses several activities, described below, to increase criminal alien arrests and improve investigative targeting: • Operation Cross Check targets specific alien populations such as at-large criminals convicted of violent offenses. Operation Cross Check is the NFOP’s flagship enforcement initiative. In FY 2015, ERO made more than 2,100 arrests during National Operation Cross Check VI. Additionally, ERO made more than 2,600 arrests through local Cross Check operations. • Operation SOAR builds on ICE’s ongoing efforts to target egregious criminal aliens convicted of sex offenses and remove them from communities. 61 On July 17, 2015, Miami FOT members, assisted by Miami Beach Police Department and the U.S. Marshals Service Fugitive Task Force, arrested a Honduran National with an INTERPOL Red Notice from Honduras for aggravated sexual assault. The individual had illegally re-entered the United States before being arrested for armed robbery. • Fugitive Alien Removal (FAR) permanently assigns ICE liaison officers to INTERPOL and a permanent Deputy Assistant Director overseeing the Criminal Alien Unit within INTERPOL’s Alien/Fugitive Division. These ICE personnel develop investigative leads and provide support to the FOTs in locating and arresting foreign fugitives or FAR cases ̶ foreign nationals wanted for crimes committed abroad who are now at-large in the United States. Between FY 2011 and FY 2015, NFOP raised its number of annual arrests from 74 to 345. In FY 2015, the NFOP spearheaded Project Red, together with the U.S. Marshals Service, locating and arresting more than two dozen foreign fugitives wanted abroad for serious offenses including rape and murder. • Most Wanted Program (MWP) aids ICE in the location and arrest of dangerous fugitives and at-large criminal aliens, develops community support by providing visibility and fostering awareness of ERO’s public safety mission, and builds cooperative relationships with law enforcement partners through the exchange of mutually beneficial information aimed at removing these threats from local communities. In FY 2014 and FY 2015, the NFOP arrested eight of their top 10 “most wanted” targets. On June 5, 2015, the Baltimore Fugitive Operations Team arrested one of ICE ERO’s top 10 most wanted. The subject was wanted in El Salvador for his participation in rape, torture, and murder as a member of a special operations military group. He also has convictions in the United States for disorderly conduct and assault. • No Safe Haven identifies, arrests, and removes aliens who are associated with human rights violations and war crimes in their home countries. • Operation Return to Sender applies an organized and methodical approach to the identification, location, and arrest of ICE fugitive aliens. 62 Mobile Criminal Alien Teams (MCATs) Beginning in FY 2016, ICE will implement the utilization of MCATs to assist with enforcement efforts in remote areas where personnel resources are not commensurate with the criminal alien workload. MCATs will be implemented in locations where ICE lacks a traditional presence. ERO will partner with HSI to share office space, information technology, and infrastructure with the goal of conducting at-large enforcement operations targeting criminal aliens who, when released by the LEA, were not turned over to ICE. Consistent with ERO’s enforcement priorities, MCATs will focus on priority criminal aliens. ERO Academy and Field Training The ERO Training Division (EROTD) is under the purview of the Fugitive Operations and Training Division and trains officers to locate and arrest removable criminal aliens who are at-large within the United States. EROTD is responsible for providing both basic and advanced training for ERO personnel and Designated Immigration Officers under the 287(g) program. EROTD members work cooperatively with state, local, and federal agencies and law enforcement to provide immigration enforcement training in pursuit of public safety. In FY 2017, funding for the Fugitive Operations Sub-PPA will support the following activities: • Plan and execute the deployment of FOTs through assessment of geographic and functional factors, including crime indicators, to address public safety threats and enforce border and immigration controls; • Oversee the rollout of additional functionality of the EAGLE Directed Identification Environment (EDDIE), a mobile biometrics application used with ICE-issued iOS devices. EDDIE includes fingerprint storage and ability to enroll a subject’s fingerprints into the Automated Biometric Identification System (IDENT); • Increase cooperation with foreign partners, via ERO liaisons posted to INTERPOL Washington and EUROPOL The Hague, to target transnational gangs and criminal aliens for arrest and removal from the United States; • Increase site visits to field offices to help identify best practices and encourage cooperation with local law enforcement partners. NFOP will continue its expanded outreach to national probation and parole organizations and improve methods of information sharing and coordination; and • Increase delivery and execution of enforcement operations-related training for newly upgraded ERO personnel and support staff to improve mission effectiveness in the field. 63 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Fugitive Operations Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost Civilian Total Military Total 827 788 $110,523 - $140 - 895 805 $124,755 - $155 - 895 829 $125,729 - $152 - - 24 - $974 - ($3) - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The FTE change includes a net increase of 24 FTEs in FY 2017. • PCB Change FY 2016-2017: The FY 2017 Fugitive Operations increase includes within grade increases, promotions, pay raise, and annualization of costs. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The average cost decrease between FY 2016 and FY 2017 is due to backfilling higher graded staff with lower graded staff. 64 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Fugitive Operations Cost Drivers (Non-Pay) – Sub-PPA Level $000s) Operations and Support – Fugitive Operations 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Contracts-Lexis/Nexis- National Criminal Analysis and Targeting Center $2,061 Travel $1,384 Total $3,445 $1,871 $1,256 $3,127 2017 Request $2,720 $1,827 $4,547 FY 2016 to FY 2017 Change $849 $571 $1,420 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Fugitive Operations non-pay cost drivers reflected include the National Criminal Analysis and Targeting Center and program travel. o Increased costs for Lexis/Nexis contract funding reflect additional usage by prior year hires; and o Travel by prior year hires, when they are fully trained, will result in higher travel costs. 65 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Criminal Alien Program FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Criminal Alien Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/ERO PPA from S&E Adjustments to Base Approp/Criminal Alien Program PPA 287(g) Rightsizing WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Unified Career Path Annualization Restoration of One-Time FY 2016 Buy-Downs Working Capital Fund FTE Baseline adjustment Program Changes Criminal Alien Program Officer Increase Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 66 Positions - FTE - Amount - 1,673 100 1,773 1,773 1,606 (25) 50 1,631 1,631 $317,177 ($70) ($21) $71 $536 $2,366 $20,214 $3,156 ($275) ($2,343) $6,644 $347,455 $347,455 SUB-PPA JUSTIFICATION: Funding for the CAP Sub-PPA within the ERO PPA supports apprehension and removal of criminal aliens incarcerated within local, state, and federal prisons and jails, as well as criminal aliens at-large within the United States. CAP officers screen biometric and biographic leads generated from LEAs and correctional facilities to identify priority aliens in custody and place them into removal proceedings prior to their release from jails and prisons. These efforts decrease or eliminate the time spent in ICE custody and reduce the overall cost to the U.S. Government. QHSR Alignment 1.1 Prevent Terrorist Attacks 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors 3.2 Prevent Unlawful Immigration Physical removals from the U.S. provide one general measure of the workload of CAP officers. The chart presented below illustrates the number of removals involving CAP for FY 2013 through FY 2015 with projected removals for FY 2016 and FY 2017. 67 Removals have decreased as an increasing number of jurisdictions have reduced or eliminated the transfer out of priority individuals to ICE custody. Jurisdictions have also started to limit or deny ICE access to their detention facilities. Because of detainer non­ compliance and not receiving notifications of releases, jurisdictions release criminals directly into society rather than transferring them into ICE custody in a controlled, safe, and secure manner. Without this cooperation, ERO officers must seek out these criminals in higher risk situations that take more time and manpower. The additional effort required reduces the total number of criminal aliens ERO is able to apprehend and ultimately remove. Between January 1, 2014 and September 30, 2015, ICE ERO documented 18,646 declined detainers across approximately 506 counties, 46 states, and Washington, D.C. A majority of these declinations are due to local ordinances and department policies and directives. However, other states, such as California and Connecticut, have passed legislation restricting their state’s compliance with immigration detainers. CAP is comprised of the following programs: • The Priority Enforcement Program (PEP) mitigates the public and officer safety impacts of detainer non-compliance and increases notifications of releases. PEP uses an existing federal biometric information-sharing partnership between ICE and the Federal Bureau of Investigation (FBI) to identify individuals arrested by state and local LEAs who have been convicted of specifically enumerated crimes, who have intentionally participated in criminal gang activity, or who pose a demonstrable risk to national security. If an individual is unlawfully present or removable due to a criminal conviction, ICE takes enforcement action in accordance with its civil immigration enforcement priorities. Under PEP, ICE communicates its enforcement interest to LEAs through a request for notification or a request for detention. ICE continues to refine its allocation of enforcement resources and build capabilities to initiate efficient and aggressive enforcement actions against priority aliens while they are in local custody. Since the establishment of PEP, more than 275 jurisdictions that had previously not honored ICE detainers have agreed to honor requests for notification or requests for detention. This has a direct impact on officer and public safety, as criminal aliens in these jurisdictions will be apprehended by ICE officers within a controlled detention setting rather than released into the community where they would have an opportunity to re-offend. • The 287(g) Program allows ERO to expand its enforcement footprint to the state and local level by partnering with these jurisdictions to facilitate the processing, arrest, and booking of priority aliens into a state or local detention facility. Under joint Memoranda of Agreement (MOA) with state and local LEAs, ICE cross-designates non-federal law enforcement officers as 68 designated immigration officers (DIOs) to perform specific functions under the Immigration and Nationality Act (INA) in jail settings. The ICE ERO Headquarters 287(g) Unit oversees the work of the DIOs in cooperation with local ERO Field Offices. While program oversight resides within CAP, multiple ICE offices support the 287(g) Program. The table below provides a break out of this programmatic support along with corresponding funding levels and functional activities: Office Criminal Alien Program – 287(g) Program Management Office FY 2017 FY 2017 Proposed Staffing Funding Levels (Dollars in (FTP) Thousands) $13,865 Currently, ICE has: • 32 established MOAs with partnering LEAs in 16 states • 262 active Designated Immigration Officers Activities • Oversees the program, including issuing charging documents, providing immediate guidance to resolve emerging issues, and ensuring compliance with program policies and their respective 37 MOAs; and • Works with each ICE component to manage and execute program resources, including sponsoring training and conducting component reviews. • Responsible for the engineering, purchase, installation, sustainment, and management services of all IT components 4 deployed at the participating LEA locations operating under the 287(g) Program via their existing MOAs. ICE OCIO $3,994 ERO – Custody Operations $3,207 0 • Supports detention contract costs in locations with existing MOAs. $1,984 • Responsible for assessing the effectiveness of ERO field offices that supervise 287(g) programs, as well as ICE and LEA partners’ compliance with program policies and 287(g) MOA requirements; 11 and • Provides ICE leadership with an independent evaluation of the 287(g) Program. OPR 69 Office FY 2017 FY 2017 Proposed Staffing Funding Levels (Dollars in (FTP) Thousands) Office of State, Local, and Tribal Coordination $900 OPLA $371 TOTAL: $24,321 Activities • Responsible for building, sustaining, and improving relationships and coordinating partnership activities for multiple stakeholders, 5 including state, local, and tribal governments, LEAs, and other federal agencies. • Advises on the negotiations of proposed MOAs between ICE and partner LEAs and on operational matters affecting the program; • Serves as advisory member on the 287(g) Program Advisory Board; 2 • Advises on litigation matters, including coordination with DOJ, program testimony, talking points, and other correspondence; and • Provides legal training to state and local law enforcement personnel. 59 • Criminal History Information Sharing (CHIS) is an information sharing initiative between the U.S. Government and its international partners. Through CHIS, ICE provides its partners with valuable criminal conviction information on foreign nationals pending removal from the United States. CHIS also enables the sharing of foreign conviction data with ICE that would have previously remained unknown. These records assist in the identification and classification of additional aliens within ICE’s criminal removal priorities. The list of active CHIS foreign partners consists of El Salvador, Guatemala, Honduras, Mexico, the Dominican Republic, and Jamaica. Additionally, ICE has finalized a CHIS agreement with the Bahamas. In FY 2015, CAP sent 79,190 outbound notices of removal, and our foreign partners returned 12,229 positive messages of foreign history existence. • The Institutional Hearing and Removal Program (IHRP) brings together attorneys, immigration judges, and incarcerated aliens in a system designed to expedite the removal process. IHRP’s objective is to complete the judicial and administrative review proceedings prior to the completion of an alien’s incarceration pursuant to a criminal sentence. This process reduces or eliminates the need for further detention once the inmate enters ICE custody for the purposes of removal. In FY 2015, ERO worked with the 70 Federal Bureau of Prisons to coordinate the judicial and administrative removal process for approximately 6,000 foreign-born inmates eligible for sentence reduction. ERO is exploring the potential for expansion to additional hearing sites for cases regarding incarcerated aliens in order to reduce detention costs. • The Rapid Removal of Eligible Parolees Accepted for Transfer (Rapid REPAT) Program expedites the process of identifying and removing criminal aliens from the U.S. through a partnership with state correctional parole agencies. This partnership allows selected non-violent criminal aliens incarcerated in U.S. prisons and jails to accept early release in exchange for voluntarily returning to their country of origin. In such cases, eligible aliens must agree to waive appeal rights associated with their state convictions. If aliens re-enter the country following removal under the Rapid REPAT Program, state statutes may provide for revocation of parole and incarceration for the remainder of the alien’s original sentence. Additionally, aliens illegally re-entering may face additional federal charges and penalties. Rapid REPAT also helps participating states reduce the costs associated with detention. • The Violent Criminal Alien Section (VCAS) enforces violations of the United States Criminal Code discovered through ICE enforcement activities. The aggressive criminal prosecution of criminal alien offenders identified by ICE enforcement officers, in conjunction with USAO, enhances public safety and deters recidivism. In FY 2015, VCAS secured 5,671 Federal criminal convictions. Operational Footprint In addition to the programs mentioned above, CAP is also responsible for the following operational centers, which support the identification and removal of criminal aliens: • Law Enforcement Support Center (LESC): Established pursuant to Title 8 of the United States Code Section 1226, LESC provides LEAs with data, criminal intelligence, and other person-centric information regarding immigration status and criminal history of persons under investigation, in custody, or otherwise encountered. LESC operates 24 hours a day, 365 days a year. During FY 2015, LESC responded to more than 1.5 million LEA requests for identity and immigration status information, and resolved approximately 112,000 LEA calls. Using the full range of DHS indices, other federal databases and intelligence resources, LESC supports federal, state, local, tribal, and international law enforcement partners, including INTERPOL and ICE Attaché offices. LESC also manages the administration of ICE records within the National Crime Information Center (NCIC), which play a fundamental role in the Nation’s security and public safety. During FY 2015, LESC managed more than 293,000 NCIC records. LESC also serves a role in furthering the national effort to prevent gun violence through its work in supporting the FBI National Instant Criminal Background Check System (NICS), providing immigration status information to FBI NICS for federal background checks on firearms purchases. The FY 2017 request for CAP includes $34.5 million for full-time personnel 71 and operations at the LESC. • Pacific Enforcement Response Center (PERC): PERC provides 24/7 mission critical support to 17 field offices that support 42 states and 2 territories utilizing 38 ICE ERO employees and 39 contractors to deliver near real-time detainer issuance, intelligence support, and proactive, risk-based targeting of removable criminals. PERC’s proactive targeting focuses on removable criminal aliens who pose a threat to national security and public safety. PERC disseminates real-time intelligence to field offices in the form of actionable leads associated with criminal aliens both in custody and at-large. In FY 2015, PERC received approximately 243,000 Immigration Alien Referrals, resulting in more than 19,000 ICE detainers, 83,000 criminal alien referrals, and 10,000 atlarge lead referrals. • Criminal Alien Program Surge Enforcement Team (CAPSET): ICE established and implemented CAPSET in FY 2014 to enable ERO Field Offices to “surge” facilities whose priority target population outweighs local enforcement capabilities by drawing on personnel resources throughout the country. CAPSET aims to: o o o o Increase the number of priority criminal aliens identified and fully processed prior to their release from custody; Assist field offices in depleting target backlog and in reducing personnel assigned to the surged facility; Identify best practices that may be replicated in other locations; and Limit degradation to existing field office operations by drawing only one officer from each field office on periodic basis. CAP conducted four CAPSET surges in FY 2015, which resulted in 777 Encounters, 247 Detainers, 161 Charging Documents, 55 arrests, and 589 Final Removal Orders. • Threats to the Community (TC): TC targets at-large enforcement operations led by CAP to investigate, arrest, and remove criminal aliens that pose the greatest threats to the community. TC targets criminal aliens according to ICE priorities, focusing on at-large criminal aliens identified through interoperability, as well as those jurisdictions, which limit or refuse ICE access to their facilities. In FY 2017, funding for the CAP Sub-PPA will support continued mission delivery across these critical programs. 72 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Criminal Alien Program Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017– Request FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE 1,656 1,534 $199,348 $130 1,673 1,606 $215,422 $133 1,773 1,631 - Delta FY 2016 - 2017 Amount Avg. Cost FTP FTE Amount Avg. Cost $224,976 $137 100 25 $9,554 $4 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE change includes a net increase in FY 2017 due to hiring of new CAP officers requested in the budget. • PCB Change FY 2016-2017: In FY 2017, CAP has an increase in PCB due to requested hiring, within grade increases, promotions, and the 1.6 percent pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The average cost increase between FY 2016 and FY 2017 is due to within grade increases, promotions, and the pay raise. 73 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Criminal Alien Program Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Criminal Alien Program 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Contracts – Project Management Support/LESA $11,544 Travel $3,227 Contracts – LESA/LESC/Field Offices $2,016 Total $16,787 $11,299 $3,158 $1,973 $16,430 2017 Request $14,619 $4,087 $2,553 $21,259 FY 2016 to FY 2017 Change $3,320 $929 $580 $4,829 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • LESA Program Management Support: This cost driver includes the analysis of nationwide enforcement operations as well as coordination with state and local law enforcement jurisdictions to support immigration priorities. FY 2016 to FY 2017 change is attributed to an increase in the number of CAP officers, ERO performance metrics, and PEP. • Travel: Travel includes operational travel within the interior of the United States for the arrest of at-large criminal aliens. FY 2016 to 2017 change is attributed to an increase in the number of CAP officers. • LESC Field Offices Contracts: Contracts support nationwide enforcement operations as well as coordination with state and local law enforcement jurisdictions to support immigration priorities. The FY 2016 to FY 2017 change is attributed to an increase in the number of CAP officers, ERO performance metrics, and PEP. 74 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Alternatives to Detention FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Alternatives to Detention Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/ERO PPA from S&E Adjustments to Base Approp/Alternatives to Detention PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Unified Career Path Annualization GSA Rent Non-GSA Rent General Expenses Restoration of One-Time FY 2016 Buy-Downs Working Capital Fund FTE Baseline adjustment Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 75 Positions - FTE - Amount - 296 296 296 251 (3) 248 248 $114,275 ($3) $22 $70 $507 $697 $350 $2,338 $8,039 ($80) ($249) $125,966 $125,966 SUB-PPA JUSTIFICATION: Funding for the ATD Sub-PPA within the ERO PPA combines technology and case QHSR Alignment management to improve compliance with alien release conditions, facilitate alien compliance with court hearings, and assist with final orders of removal. Historically, 3.2 Prevent Unlawful Immigration ICE has seen strong cooperation with ATD requirements during the adjudication of immigration proceedings. ICE is projecting participation in the ATD program to increase significantly due to the large number of families crossing the border and limitations in detaining these families per the recent Flores court decision, and improvements to the program including better technology and implementation of staging areas. ATD permits certain individuals who are moving through U.S. immigration proceedings to remain in their communities and settle personal matters. This program may be appropriate for an alien released by ICE pursuant to an Order of Release on Recognizance, an Order of Supervision, a grant of parole, or a bond. To be eligible for the ATD program, participants must be 18 years of age or older, removable, and at some stage of immigration proceedings. The ATD program supervises participants, with contractor support and high levels of case management, through a combination of home visits, office visits, alert response, court tracking, and/or technology. Intensive Supervision Appearance Program III The Intensive Supervision Appearance Program III (ISAP III) contract allows ATD officers to determine the frequency of home and office visits and type of monitoring technology (i.e., telephonic or GPS, court management, and alert management) and can be reviewed and adjusted by the ATD officer at any time based upon compliance and/or changes in circumstances. The officer can consider factors when determining eligibility for ATD enrollment and appropriate options, including: • • • • • • • Stage in the removal process; Assets/property; Community and family ties; Legal representation; Criminal history; Compliance history; and Humanitarian concerns. ICE conducts risk evaluation of any individual who does not require detention and may assign some level of case management and 76 technology assignment under the provisions of ATD’s ISAP III contract. By using the ISAP III contract, ICE is able to increase significantly participant compliance with release conditions that include, but are not limited to, attending immigration hearings, obtaining travel documentation, and, if necessary, making travel arrangements and departing the United States without necessitating detention. Beginning in FY 2015, the ATD program established four staging areas (S sites), to identify and enroll eligible participants directly from major border processing areas. S sites are located in San Diego, CA, Phoenix, AZ; El Paso, TX; and McAllen, TX. ATD is able to track the participants via GPS as they leave the border areas and travel to a new Area of Responsibility (AOR). Once they arrive in an AOR, the ATD officer will make a determination as to their continued suitability for the ATD program and possible transition to a C, G, or T site. ATD has enrolled 8,191 S Site participants since its inception in FY 2015 In addition to S sites, there are three additional types of sites under the contract: • C sites: Standalone facilities operated by the contractor to monitor participants selected for the ATD program. Contractor Case Specialists (CS), at the direction of ICE, conduct case management that may include unscheduled home visits, scheduled office visits, support service referrals, court tracking, and alert management for C site participants. Support services a participant may be eligible for include, but are not limited to, medical services, legal services, translation services, information regarding local public transit and transportation, and court date reminders. The CS assigns the participant telephonic reporting or GPS monitoring based upon the ATD officer’s request. • G sites: Locations where the contractor works within the local ERO office. A G site is limited to a capacity of 100 participants; however, transition to a C site is possible upon request and a demonstration of need. The CS has the capability to perform all of the same functions as that of a C site. • T sites: ERO offices where ATD officers directly supervise the participant using contractor-provided software and equipment. ATD officers are responsible for total case management but have the option of assigning court tracking and initial alert resolution to the contractor. Family Case Management The Family Case Management Program (FCMP) began at the end of FY 2015, and is a new alternative to detention initiative aimed at families to promote compliance with immigration obligations by providing case management services and access to holistic community based services. ICE is enrolling participants in five metropolitan regions: Baltimore/Washington, New York 77 City/Newark, Chicago, Miami, and Los Angeles. In addition, FCMP will staff the San Antonio AOR to screen and enroll participants from the FRCs. Through FCMP, ERO will look to enroll households with pregnant women, families with multiple young children, and families with special needs children or adults, as well as other humanitarian concerns to facilitate compliance with their immigration obligations. Case management services offered through FCMP include: Assessments and individualized family service plans; Orientation and education to participants about their legal rights and responsibilities; Tracking and monitoring of immigration obligations (to include attendance at immigration court hearings); Referrals to legal services and community resources; Assistance with transportation logistics (if an emergency and needed only to attend a required ICE check-in, court appearance, or to further removal); and o Safe repatriation and reintegration planning for participants who are returning to their home countries. o o o o o The average daily participant increased to 26,625 in FY 2015 and was the largest population managed under contract in the history of the program due to the influx of families crossing the border. In FY 2016 and FY 2017, ICE will monitor a daily average of 53,000 participants in the ATD program. In FY 2017, funding for the ATD Sub-PPA will support the following activities: • Maintain a daily average ATD population of 53,000 participants; • Prioritize aliens for ATD who present the highest risk of flight (with an emphasis on aliens who fall into a stated priority category) but who are also not appropriate to detain; • Continue to evaluate data collected through the ISAP III contract and identify any new predictive qualities or trends to help guide appropriate case management and technology levels; • Identify population trends to maximize operational locations, open new locations, or expand upon current locations to accommodate increased populations; and • Conduct a cost efficiency study using historical data to determine factors that contribute to short-term and long-term success, while balancing program effectiveness and cost. 78 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Alternatives to Detention Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 291 220 $31,323 $141 296 251 $42,133 $167 296 248 $42,957 $170 - (3) $824 $3 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE change includes a decrease of 3 FTEs in FY 2017. The reduction is attributed to normalizing the hiring process in FY 2017 after an aggressive hiring surge in the second half of FY 2015 that continued throughout FY 2016. • PCB Change FY 2016-2017: In FY 2017, ATD has an increase in PCB due to within grade promotions, promotions, and the 1.6 percent pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The average cost changes between FY 2016 and FY 2017 due to within grade increases, promotions, and the pay raise. 79 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Alternatives to Detention Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Alternatives to Detention 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Contracts- Non Detained alien monitoring (ISAP III) $54,054 Total $54,054 $60,330 $60,330 2017 Request $62,145 $62,145 FY 2016 to FY 2017 Change $1,815 $1,815 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Alternatives to Detention non-pay cost drivers reflected include non-detained alien monitoring contracts (known as ISAP III). o ISAP III funding covers the monitoring of low-level aliens currently not in detention and on bond. o FY 2016 increase supports 53,000 average daily participants. o FY 2017 assumes that the number of average daily participants are maintained. 80 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Transportation and Removal Program FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Transportation and Removal Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/ERO PPA from S&E Adjustments to Base Approp/Transportation and Removal PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Unified Career Path Annualization Restoration of One-Time FY 2016 Buy-Downs Working Capital Fund Program Changes ADP Decrease Unaccompanied Children Transportation Unaccompanied Children Contingency Funding Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 81 Positions - FTE - Amount - 81 81 81 62 62 62 $313,174 ($1) $55 $20 $113 $350 $8,552 ($195) ($16,574) $10,200 $2,953 $318,647 $318,647 SUB-PPA JUSTIFICATION: Funding for the TRP Sub-PPA within the ERO PPA supports coordination of safe QHSR Alignment and secure physical departure of aliens who are subject to final orders of removal. TRP performs its responsibilities through the Removal Management Division 3.2 Prevent Unlawful Immigration (RMD) and the ICE Air Operations (IAO) Division. In addition to removals, TRP coordinates the transfer of UC from CBP to HHS shelters, as required. TRP currently estimates its cost per removal using an analysis of aliens removed per detention bed utilized. Over the last three fiscal years, ICE has removed approximately 8.5 aliens per detention bed. TRP’s average cost per removal exceeds $1,100. The tables below show removals by enforcement priority, as well as criminality. ICE has consistently maintained a criminal alien removal rate between 54 and 58 percent of total aliens removed. * FY2013 and FY2014 Removals by priority are estimated, as previous data was not collected on current priorities criteria in those fiscal years. 82 Removals and Returns by Type 400,000 Aliens 350,000 300,000 250,000 200,000 150,000 100,000 50,000 0 Non-Criminal Criminal FY 2013 FY 2014 FY 2015 151,834 216,810 137,983 177,960 96,045 139,368 FY 2016 Projected 83,103 129,058 FY 2017 Projected 82,767 128,329 FY 2015 YE data is through 9/30/2015 (IIDS v1.19 run date 10/04/2015; EID as of 10/02/2015). Projections for FY 2016 and FY 2017 are based on a model that accounts for historical data through September 30, 2015 and recent trends. Removal Management Division (RMD) RMD develops and implements initiatives to support ERO's mission to remove priority aliens from the United States. Removal and International Operations (RIO) Units support field offices, ICE Attachés, and foreign embassies and consulates to ensure the safe and orderly removal of aliens. RIO liaises with governmental and non-governmental organizations, approximately 200 embassies and consulates in the United States, foreign governments, and law enforcement organizations worldwide. Additionally, RMD is responsible for providing case management support for aliens subject to a final order of removal. Of primary focus is the oversight of the Post Order Custody Review process, which includes custody determinations relating to aliens pending removal from the United States and those designated as national security threats or specifically dangerous. RMD also adjudicates official requests for deferred action relating to aliens identified as cooperating witnesses and confidential informants. In FY 2015, TRP initiated the use of a pilot tool that uses reliable, readily available data from ENFORCE, an ICE data system of record, and expert analytic feedback to identify and prioritize nations that are uncooperative with removal operations. TRP takes into account both aggravating and mitigating factors in assessing each country, such as refusal of charter removal missions or the lack of a functioning government. TRP can use this information to identify trends that can assist Field Offices in timely and efficient removals of illegal aliens. 83 ICE Air Operations (IAO) IAO manages all aspects of flight operations for removals including scheduling flights, forecasting operational needs, and assisting with coordination between foreign governments and embassies. IAO oversees aviation safety, standardization, and training, and provides services to all ICE field offices conducting regular flight operations from operational locations in Arizona, Florida, Louisiana, and Texas. IAO transports aliens via air charters and commercial flights. Air charters remove aliens to countries with a high volume of removals. ICE uses special air charters for failure to comply cases, aliens ineligible for removal via commercial air, and highprofile persons. ICE also procures air charter services from vendors through the General Services Administration Schedule. This innovative arrangement provides ICE cost effective and highly flexible flight services. As a result, ICE can rapidly adjust to changing flight requirements such as dates, times, and operating locations. ICE uses commercial flights to facilitate the transfer, staging and removal of aliens via land Ports of Entry (POE) and for flights abroad, following federal travel regulations. In FY 2015, IAO successfully completed the transition from the Secure Messaging and Routing Terminal (SMART) System for secure unclassified overseas cable communication to an alternative method utilizing Simple Mail Transfer Protocol, better known as standard e-mail. The new secure messaging process required coordination with the Pentagon Telecommunications Center Service Unit. Conversion to this method allows transmission of unclassified cables 24 hours a day, 7 days a week, which has led to increased efficiency, better message tracking, and savings in the costs associated with SMART system maintenance. Ground Transportation TRP’s ground transportation includes alien pick-ups, transfers, and removals. Transportation network performance affects other ICE activities, including custody management, enforcement, and local field operations. TRP has local ground transportation contracts in New York, NY; Baltimore, MD; San Antonio, TX; San Francisco, CA; Los Angeles, CA; San Diego, CA; and Phoenix, AZ. All other transportation services are included as a component of the local detention services contract. 84 The ground transportation network operates in a decentralized fashion, which allows field offices to control local transportation networks and assets. Five field offices (i.e., Los Angeles, San Francisco, San Antonio, San Diego, and Seattle) account for approximately 60 percent of total ground transportation expenditures. ICE is currently conducting a comprehensive air and ground operations transportation networks assessment and analysis of alternatives. The goal of this work is to identify tradeoffs between various removal methods to drive efficiencies and optimize its networks. Unaccompanied Children (UC) ICE transfers UC to the care of HHS’ Office of Refugee Resettlement upon the assignment of bed space. ERO recently began using a contractor to conduct long-distance escorts of UC apprehended in the Rio Grande Valley. ICE safeguards the welfare of UC by limiting travel to daylight hours and ensuring the provision of one law enforcement escort officer for each UC. ICE uses commercial air to conduct the majority of UC removals. The FY 2017 budget request includes transportation costs for up to 75,000 UC and $3.0 million in scored UC transportation contingency funding. In FY 2017, funding for the TRP Sub-PPA will support the following activities: • Encourage signatories to the Convention on International Civil Aviation and issue travel documents within 30 days of receipt of request and to adhere to the non-signature provision regarding travel document issuance; • Improve cooperation regarding the timely return of foreign nationals with final orders of removal, including increasing travel document issuance rates, reducing average issuance times, and achieving a greater acceptance of charter removal missions; and • Implement results from the FY 2016 comprehensive ground and air transportation assessment. 85 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Transportation and Removal Program Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 80 50 $8,415 $168 81 62 $9,419 $152 81 62 $9,600 $155 $181 $3 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: There is no FTE change for Transportation and Removal in FY 2017. • PCB Change FY 2016-2017: In FY 2017, TRP has a slight increase in PC&B due to within grade increases, promotions, and the pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: Average cost changes between FY 2016 and FY 2017 are due within grade increases, promotions, and the pay raise. 86 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Transportation and Removal Program Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Transportation and Removal Program Contracts-Ground Transportation Contracts-Charter Aircraft Contracts-Unaccompanied Children Contracts-Commercial Aircraft Travel-Officer Escorts 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $134,558 $137,705 $92,841 $95,012 $23,744 $24,299 $20,482 $20,961 $1,892 $1,936 Total $273,517 $279,913 2017 Request $134,443 $92,762 $23,724 $20,464 $1,890 $273,283 FY 2016 to FY 2017 Change ($3,262) ($2,250) ($575) ($497) ($46) ($6,631) * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • TRP non-pay cost drivers reflected include contracts for air and ground transportation, and travel costs for officer escorts. o FY 2016 increase due to officer escorts travel as well as the use of more commercial versus charter flights. o FY 2017 realizes efficiencies gained from prior year consolidation of ground transportation contracts. o FY 2017 ground transportation cost projection is reflective of anticipated nation-wide movements of alien migrants in preparation of removal from the U.S. Decrease attributed to reduction from FY 2015 Enacted level. o FY 2017 charter aircraft are used by ICE Air Operations to conduct deportations. The decrease is attributed to reduction from FY 2016 enacted level. o FY 2017 UC migration is expected to remain relatively constant barring any unforeseen political or environmental circumstances. o FY 2017 commercial aircraft are also used to conduct deportations. o FY 2017 law enforcement escorts are expected to remain relatively constant. 87 FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Homeland Security Investigations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/HSI PPA from S&E Adjustments to Base Approp/Domestic Investigations PPA Transfer to O&S Approp/HSI PPA from S&E Approp/International Investigations PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Visa Security Program PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Intelligence PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding GSA Rent Non-GSA Rent General Expenses TECS Modernization O&M ICASS/CSCS Increase Termination of One-Time Costs Working Capital Fund FTE Baseline adjustment Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 88 Positions - FTE - Amount - 8,064 7,981 $1,761,829 228 225 $107,210 73 71 $32,561 417 8,782 8,782 390 50 (11) 8,706 8,706 $79,768 ($119) $370 $3,807 $18,275 $38,042 $12,981 $79,700 $2,935 $5,853 ($19,383) ($1,596) ($1,303) $2,120,930 $2,120,930 PPA DESCRIPTION: • HSI is responsible for disrupting and dismantling transnational criminal threats facing the United States, and uses its legal authorities to investigate immigration and customs violations. HSI special agents also conduct national security investigations aimed at protecting critical infrastructure vulnerable to sabotage, attack, or exploitation. As the largest investigative unit within DHS, HSI uses its broad authority to investigate a wide range of illegal activity with a focus on identifying and addressing the most significant threats to the safety and security of the American public, including: o o o o o o o o o o Financial crimes, money laundering and bulk cash smuggling; Commercial fraud and intellectual property theft; Cybercrimes including child exploitation and other Internet-enabled crime; Child sex tourism; Human rights violations; Human smuggling and trafficking; Immigration, document, and benefit fraud; Narcotics, weapons smuggling, and trafficking; Transnational gang activity; and Export enforcement. Due to many cross-jurisdictional responsibilities within DHS, HSI maintains a close working relationship with all DHS components, particularly in response to, and investigation of, crimes detected at and between U.S. POE. In addition, HSI frequently shares information and conducts joint investigations with other federal LEAs to mitigate risks to critical infrastructure, key resources, Armed Forces personnel, and the general public. The HSI PPA is comprised of four Sub-PPAs: Domestic Investigations, International Investigations, the Visa Security Program (VSP), and Intelligence (Intel). • In FY 2017, HSI requests $2,121.9 million; 8,782 FTP; and 8,706 FTE to support the program mission. The request supports 6,516 criminal investigators and 2,266 support personnel in the HSI PPA. The FY 2017 request reflects an increase of $184.7 million from the FY 2015 Revised Enacted amount and $139.6 million from the FY 2016 Enacted amount. 89 FY 2017 Total Request (Dollars in Thousands) $1,892,183 $114,255 $32,496 $81,996 $2,120,930 Program Activities Domestic Investigations International Investigations Visa Security Program Intelligence HSI Total Request • The FY 2017 request, as compared to the FY 2016 Enacted level, includes the following changes for HSI Program Activities: o An increase for Domestic Investigations of $130.4 million; o An increase for International Investigations of $7.0 million; o A decrease for VSP of $0.1 million; and o An increase for Intel of $2.2 million. • In FY 2017, ICE requests $139.8 million for ATBs in the HSI PPA for O&S: o Decrease of $1.7 million due to a transfer to the DHS WCF; o Increase of $0.4 million for increased FPS fees; o Increase of $3.8 million to annualize the FY 2016 pay raise; o Increase of $18.3 million for a 1.6 percent pay raise in FY 2017; o Increase of $38.0 million to annualize FY 2016 hiring of special agents, law enforcement support, and mission support personnel; o Increase of $13.0 million for increased rent costs; o Increase of $79.7 million for increased general expense costs other than GSA rent to adjust for historical spending with inflation for operational costs: o Increase of $2.9 million for costs associated with O&M for the modernized HSI case management system; o Increase of $5.9 million for increased Department of State (DOS) charges for the ICE offices and associated personnel in 46 foreign countries; o Decrease of $19.4 million for termination of one-time costs; o Decrease of $1.6 million for WCF; and o Decrease of $1.3 million due to a baseline adjustment of 11 FTE to reduce FTE levels for unfilled vacancies reported in previous budget submissions. 90 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) Civilian Total Military Total FY 2015 Revised Enacted1 FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 Avg. FTP FTE Amount FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost Cost 9,179 8,547 1,445,791 $169 8,782 8,667 $1,512,490 $175 8,782 8,706 $1,530,234 $176 - 39 $17,744 $1 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE change includes an increase of 39 FTE for Homeland Security Investigations in FY 2017. The increase in FY 2017 is due to annualization of FY 2016 hiring for Domestic Investigations. • PCB Change FY 2016-2017: The increase to salaries and benefits is due to within grade increases, promotions, the 1.6 percent pay raise, and annualization of FY 2016 hiring for Domestic Investigations. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The increased average cost per FTE is driven by a 1.6 percent cost of living adjustment for federal employees in 2017 and standard within grade increases. 91 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Cost Drivers (Non-Pay) - PPA Level ($000s) 2015 Revised Enacted Operations and Support – Homeland Security Investigations FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) Tactical Radios HQ Contracts Vehicles Special Agent in Charge Funding Fleet/Fuel Total $0 $0 $36,000 $36,000 $34,080 $20,997 $30,950 $9,953 $113 $0 $30,000 $30,000 $17,831 $18,048 $20,873 $2,825 $9,980 $8,498 $12,980 $4,482 $62,004 $47,543 $130,803 $83,260 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all non-pay information. • Tactical Radios: ICE will spend funding in FY 2017 to replace aging or outdated radios. • HQ Contracts: Costs for HQ contracts will increase in FY 2017, returning to slightly below FY 2015 levels. These contracts provide support for investigative activities and include, but are not limited to Title-III contracts, multiple tracking and data analysis systems, and consolidated IT equipment purchases. • Vehicles: ICE will spend funding in FY 2017 to purchase approximately 1,200 law enforcement vehicles to replace an aging fleet. 92 • Special Agent in Charge (SAC)/Field Funding: SAC funding covers Purchase Card expenditures, post travel and miscellaneous post obligations. The increase of SAC/field operational funding for FY 2017 is to accommodate hiring and increased mission related requirements. • Fleet/Fuel: The increase of fleet and fuel funding for FY 2017 is to accommodate FY 2016 hires, new vehicles purchased to replacing an aging fleet, and the costs to retrofit those vehicles with tactical radios and safety equipment. 93 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Domestic Investigations FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Domestic Investigations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/HSI PPA from S&E Adjustments to Base Approp/Domestic Investigations PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding GSA Rent Non-GSA Rent General Expenses TECS Modernization O&M Termination of one-time costs Working Capital Fund FTE Baseline adjustment Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 94 Positions - FTE - Amount - 8,064 8,064 8,064 7,981 50 (11) 8,020 8,020 $1,761,829 ($110) $331 $3,494 $16,844 $38,042 $12,303 $78,618 $2,935 ($19,383) ($1,417) ($1,303) $1,892,183 $1,892,183 SUB-PPA JUSTIFICATION: Funding for the Domestic Investigations Sub-PPA within the HSI PPA allows ICE to conduct criminal investigations that protect the U.S. against terrorists and TCOs who threaten our safety and national security. Domestic Investigations enforces more than 400 federal statutes and uses its authority to investigate immigration and customs violations. It deters, disrupts, and dismantles TCOs, terrorist organizations, and other malicious actors. Domestic Investigations also identifies, locates, and removes aliens who overstay their visas or potentially pose a threat to national security. Domestic Investigations strategic goals include: 1) preventing terrorism, 2) combatting illicit trade, travel, and finance, and 3) preventing the exploitation of the Nation’s people and institutions by immigration violators. The following graph outlines HSI’s Domestic Investigations activities and impacts including investigative hours and the resulting criminal arrests, indictments, and convictions. 95 QHSR Alignment 1.1 Prevent Terrorist Attacks 1.3 Reduce Risk to the Nation’s Critical Infrastructure, Key Leadership, and Events 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors 3.2 Prevent Unlawful Immigration Goal 1: Preventing Terrorism and Protecting the Homeland HSI’s top priority is to prevent terrorist attacks against the U.S. before they occur. HSI prevents terrorism by disrupting the persons or networks seeking to exploit U.S. border security, the immigration system, and customs laws. • Preventing, Deterring, and Responding to Terrorist Activities: Joint Terrorism Task Forces (JTTFs) effectively leverage HSI’s unique immigration and trade-based authorities to develop comprehensive investigative strategies to combat global terrorism. International terrorism and homegrown violent extremism are transnational in nature involving the flow of people, money, products, and information across our borders making the role of the HSI Special Agent invaluable to the JTTF, counterterrorism investigations, and the security of the homeland. These investigations are focused on a variety of trans-border violations relating to illicit travel, trade, and finance, and are frequently the sole means available to deter and disrupt attacks against the United States homeland or overseas interests. HSI Special Agents are assigned to and actively engaged in each of the 104 JTTF’s nationwide and provide permanent leadership at the National Joint Terrorism Task Force at FBI Headquarters. HSI is the largest, non-FBI contributor of personnel to the program. Between 2013 and 2015, HSI Special Agents initiated 1,329 JTTF investigations resulting in 332 administrative arrests for immigration violations, 307 criminal arrests, and 194 convictions. • Preventing and Disrupting Terrorist Entry into the U.S.: HSI uses a variety of collaborative and risk-based approaches to disrupt terrorists and criminals by screening visa applicants, performing overstay analyses, and mitigating national threats with risk based targeting. In conjunction with the VSP, Domestic Investigations uses the Pre-Adjudicated Threat Recognition Intelligence Operations Team (PATRIOT) program to vet applicants early in the visa process. The Overstay Analysis Unit researches systemgenerated leads to identify nonimmigrant visitors who violate their immigration status by overstaying the terms of admission. The Counterterrorism and Criminal Exploitation Unit (CTCEU) identifies and tracks hundreds of thousands of overstays and foreign student visa violators to identify those who may pose a threat to national security. This review detects and identifies those individuals exhibiting specific risk factors based on intelligence reporting and in-depth criminal research and analysis of dynamic social networks. Domestic Investigations uses a risk-based targeting approach to mitigate emerging national security threats from student and academic exchange visa holders and Student and Exchange Visitor Information System (SEVIS)-related vulnerabilities. • Protecting the Homeland through Counter-Proliferation: The Counter-Proliferation Investigations (CPI) Program oversees investigative activities related to the illegal procurement and export of U.S. military products, sensitive technologies, and controlled dual-use goods. One such activity, Project Shield America, is a partnership with private industry and academia to prevent the illegal export of sensitive munitions and strategic technologies. CPI also leads the Border Enforcement Analytic Program, which analyzes U.S. export-related data to find non-obvious investigative links. HSI serves as the Director of the 96 Federal Export Enforcement Coordination Center (E2C2), the primary forum for executive departments and partner agencies to coordinate, de-conflict, and enhance their export enforcement efforts. Unique Legal Authorities: ICE is the only federal agency with the full range of investigative and border-related authorities to investigate and enforce all U.S. export laws related to military items, sensitive dual-use commodities, and sanctioned or embargoed countries. In FY 2015, Domestic Investigations recorded 1,479 seizures of sensitive controlled commodities including illegal military and dual use technology. Goal 2: Protecting the Homeland against Illicit Trade, Travel, and Finance TCOs attempt to exploit our legitimate trade, travel, and transportation systems to illegally generate, move, and store bulk cash. In turn, the illicit proceeds fuel their existence and expansion. HSI targets TCOs at the source of their illicit activities. FY 2015 Domestic Investigations - Expenditures by Investigative Areas 2% Illicit Trade - $846M 16% Illicit Travel - $541M 50% Illicit Finance - $280M 32% Investigative Support ­ $33M • Enforcing Border Security: Foreign nationals and criminals continually try to penetrate U.S. borders. BESTs play a key role in the government’s efforts to enhance land and maritime border security. HSI leads 37 BEST units throughout the U.S., which include members from CBP, Coast Guard, and other LEAs. HSI also participates in the Joint Task Force Investigations (JTF-I), one of three joint task forces established by the Secretary to secure the Southern Border and Approaches (SBA) and increase unity of effort across the Department. JTF-I focuses on criminal investigations in support of the geographic task forces. BESTs and 97 participation on JTF-I leverage law enforcement and intelligence resources to identify, disrupt, and dismantle TCOs that seek to exploit vulnerabilities along the U.S. borders and threaten the overall security of the United States. • Combatting Human Trafficking: The U.S. is a major destination for thousands of men, women, and children trafficked from all around the world. These victims are trafficked for purposes such as sexual and labor exploitation. The Human Smuggling and Trafficking Unit (HSTU) targets these illicit activities through programs such as the Extraterritorial Criminal Travel Strike Force, the Illicit Pathways Attack Strategy, and the Trafficking in Persons Program. HSI’s comprehensive anti-human trafficking strategy places equal emphasis on the identification and rescue of victims and the prosecution of traffickers. • Combatting Child Exploitation: Each year millions of children fall prey to sexual predators, leaving them with psychological, physical, and emotional scars. Located within the ICE Cyber Crimes Center (C3), the Child Exploitation Investigations Unit investigates child pornographers, child sex tourists, smugglers, and traffickers of minors. C3 also partnered with the U.S. Special Operations Command (SOCOM) and the National Association to Protect Children (PROTECT) to launch the Human Exploitation Rescue Operative (HERO) Child Rescue Corps program for wounded, ill, or injured special operations forces. The twelve-month HERO program is designed to train, equip, and embed HERO participants into computer forensic intern positions in HSI offices around the country. Child Exploitation – A Growing Threat to Public Safety: In April 2015, a 40-year old male U.S. citizen received an 80-year federal sentence after pleading guilty to production and transportation of child pornography of a two-year-old child and 13-month-old infant. Domestic Investigations C3 coordinated with HSI Tampa after HSI investigators discovered six videos of the direct sexual assaults of the victims through social media. In FY 2015, investigators identified or rescued 1,004 child victims during Domestic Investigations-led or joint child exploitation investigations. 98 • Disrupting Drug Trafficking Organizations: The Office of National Drug Control Policy estimates that Americans spend more than $65 billion annually on illegal drugs. Drug trafficking organizations continue to develop sophisticated methods, advanced techniques, and new routes to smuggle drugs into our country. The Contraband Smuggling Unit operates strategic countersmuggling programs that combat smuggling crimes, customs violations, and the importation, distribution, manufacture, and possession of illegal narcotics. • Pursue Money Laundering and Bulk Cash Smuggling: TCOs manipulate legitimate banking, financial, and commercial trade systems to sustain and expand their operations. The Illicit Finance and Proceeds of Crime Unit (IFPCU) holistically investigates money laundering, illicit finance, and other financial crimes by investigating how TCOs earn, move, launder, and store their illicit proceeds. IFPCU also combats financial crimes by collaborating with the private sector, regulatory agencies, international organizations, and law enforcement partners to build the capacity to identify and investigate complex financial crimes and money laundering. The Trade Transparency Unit (TTU) investigates the movement of illicit proceeds within international trade systems and identifies crimes such as money laundering, customs fraud, contraband smuggling, and duty and tax evasion. The National Bulk Cash Smuggling Center prevents the repatriation of illicit proceeds in the form of bulk currency through aircraft, vehicles, maritime vessels, pedestrian border crossings, and express consignments. • Protecting Intellectual Property Rights: Commercial trade fraud is becoming more widespread due to increased cyber communications and global connectedness. HSI targets predatory and unfair trade practices through the National Intellectual Property Rights (IPR) Coordination Center, the Intellectual Property Unit, the Trade Enforcement Unit, and the Policy Training Unit. These units coordinate with field personnel and industry partners to enable the interdiction and investigation of criminal organizations that commit intellectual property theft and illegal trade practices that threaten economic stability, restrict competitiveness of U.S. industries, and threaten public health and safety. 99 Protecting American Citizens and War Fighters from Counterfeit Goods: In October 2015, a federal court sentenced a Massachusetts man to 37 months in prison for importing thousands of counterfeit integrated circuits and reselling them to U.S. customers, including contractors supplying the U.S. Navy’s submarine fleet. This sentence resulted from an investigation by HSI, the Defense Criminal Investigative Service (DCIS) and the Naval Criminal Investigative Service (NCIS). In addition to his prison term, the defendant must also pay $352,076 in restitution to the 31 companies whose trademarks he counterfeited and forfeit $70,050 and 12,960 counterfeit integrated circuits. The IPR Coordination Center works with the National Security Council and DHS senior leadership to protect public health and safety, the U.S. economy, and the U.S. armed forces by combating predatory and unfair trade practices that threaten the global economy. The IPR Coordination Center brings together 23 partners in a task force setting, including 19 federal investigative agencies and 4 international partners from INTERPOL, Europol, and the Canadian and Mexican governments. This partnership leverages the resources, skills, and authorities of each participating agency to provide a comprehensive response to intellectual property theft. • Fighting Cyber Crime: Corporations, businesses and the U.S. government depend on the Internet and IT systems to operate. This dependence increases vulnerability to cyber misuse and exploitation. The Cyber Crimes Unit, located within the ICE C3, oversees HSI's cyber-related investigations and focuses on TCOs that use cyber capabilities to further their criminal enterprise. The unit provides training, investigative support, guidance in emerging cyber technologies, and subject matter expertise. More than 270 computer forensics agents assigned to field offices throughout the world analyze large volumes of data to support investigations. Goal 3: Preventing the Unlawful Exploitation of the Nation’s People by Violators of Immigration Laws HSI, in coordination with CBP, enforces the borders and POE by apprehending aliens entering illegally. Within the United States, HSI protects the integrity of the immigration system by targeting fraud and abuse that undermine the nation’s immigration laws. HSI prioritizes the investigations of convicted criminal aliens and gang members. • Enforcing Worksite Compliance with Immigration Laws: The employment of illegal aliens violates the Immigration and Nationality Act and facilitates a host of other crimes including human smuggling, document fraud, identity theft, money laundering, and labor violations. The Worksite Enforcement Unit oversees strategies to prevent the employment of undocumented 100 workers. This unit creates a culture of business compliance through criminal arrests of employers, management of the Form I-9 Employment Eligibility Verification Form, and the ICE Mutual Agreement between Government and Employers program. Cases involving national security or public safety concerns and allegations of egregious worker exploitation receive high priority. Targeting Employers that Commit Worksite Abuses: In FY 2015, Domestic Investigations’ work resulted in the sentencing of the owner of an electrical contracting company to 18 months in jail and three years of supervised release for federal charges related to hiring illegal aliens to serve as electrical workers in the renovation of a building on a military base in the Washington, D.C. area. • Protecting the Public from Transnational Gang Members: The National Gang Unit develops and implements anti-gang initiatives focused on violent criminal activities and on crimes with a nexus to the border. HSI conducts organizational investigations under the Racketeer Influenced and Corrupt Organizations Act and the Violent Crimes in Aid of Racketeering statute. • Preventing Document and Benefit Fraud: The Document and Benefit Fraud Task Forces (DBFTFs) target criminal enterprises and individuals who attempt to use document and benefit fraud to compromise the integrity of the immigration system. Twentythree DBFTFs maximize resources, eliminate duplication of efforts, and conduct more effective investigations by creating Preserving Public Safety: In April 2015, several key leaders of a large criminal street organization were convicted of sentences ranging from five to 22 years of federal incarceration for racketeeringrelated offenses. This organization was linked directly to the Sinaloa drug cartel and was responsible for importing and transporting crystal methamphetamine and firearms (both originating in Mexico) that were distributed throughout the United States. partnerships with federal, state, and local LEAs. In FY 2017, funding for the Domestic Investigations Sub-PPA will support the following activities: • Conduct investigations and operations in the southwest border region to disrupt and dismantle the most dangerous human smuggling organizations and stem the growing violence associated with their activities; • Conduct the first Advanced Human Rights Violator Training Course at FLETC; 101 • Continue to lead JTF-I, a key component in the DHS Secretary’s intent to have three overarching DHS Task Forces to degrade TCOs; • Use source information collected by overseas HSI special agents to identify the routes and individuals involved in the illicit movement of currency; • Target TCOs which seek to repatriate illicit proceeds into foreign banking systems within their countries of residence; • Increase information sharing through strategic engagement with domestic and international partners by establishing a new TTU partnership and provide support to 10 current partners; • Expand Operation Genesis, a nationwide outreach campaign to raise industry awareness of document fraud and generate investigative leads; • Expand HSTU programs and initiatives such as the Extraterritorial Criminal Travel Program and Trafficking in Persons Strategy; • Expand the ICE Forensic Lab Evidence Recovery Team Program to additional HSI SAC offices; • Host a DarkNet underground marketplace international task force to identify and dismantle the top tier illicit underground marketplaces; • Establish Trade Enforcement Coordination Centers (TECC) at additional POE to co-locate ICE and CBP personnel to identify, interdict, and investigate inbound cargo that may enter the United States in violation of customs and trade laws; • Continue to prioritize programs addressing counterfeit products that pose a health and safety risk, such as those found in the automotive industry, personal healthcare, and military supply chains; • Continue to prioritize Special Response Team readiness in order to provide personnel who are specially trained and equipped for high-risk, specialized law enforcement operations and duties; and • Expand the Victim Assistance Forensic Interview Program. 102 Department of Homeland Security U.S Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Domestic Investigations Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 8,331 7,865 $1,335,349 $170 8,064 7,981 $1,396,331 $175 8,064 8,020 $1,419,086 $177 - 39 $22,755 $2 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE change includes an increase of 39 FTEs in FY 2017 due to annualization of FY 2016 hiring. • PCB Change FY 2016-2017: In FY 2017, the Domestic Investigations increase in PCB is due to annualization costs of personnel hired in FY 2016, within grade increases, promotions, and the pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The increase in average cost from FY 2016 to FY 2017 is due to within grade increases, promotions, and the pay raise. 103 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Domestic Investigations Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Domestic Investigations Tactical Radios HQ Contracts Vehicles SAC Funding Fleet/Fuel 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $34,080 $113 $17,831 $9,980 Total $62,004 $20,997 $18,048 $8,498 $47,543 2017 Request $36,000 $30,950 $30,000 $20,873 $12,980 $130,803 FY 2016 to FY 2017 Change $36,000 $9,953 $30,000 $2,825 $4,482 $83,260 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Tactical Radios: ICE will spend $36.0 million in FY 2017 to replace aging or outdated radios. • HQ Contracts: Costs for HQ contracts will increase in FY 2017, returning to slightly below FY 2015 levels. These contracts provide support for investigative activities and include, but are not limited to, Title-III contracts, multiple tracking and data analysis systems, and consolidated IT equipment purchases. • Vehicles: ICE will spend $30.0 million in FY 2017 to purchase vehicles to replace an aging fleet. 104 • SAC/Field Funding: SAC funding covers Purchase Card expenditures, post travel and miscellaneous post obligations. The increase of SAC/field operational funding for FY 2017 is to accommodate hiring and increased mission related requirements. • Fleet/Fuel: The increase of fleet and fuel funding for FY 2017 is to accommodate FY 2016 hires, new vehicles purchased to replacing an aging fleet, and the costs to retrofit those vehicles with tactical radios. 105 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations International Investigations FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) International Investigations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/HSI PPA from S&E Adjustments to Base Approp/International Investigations PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise GSA Rent Department of State ICASS/CSCS Working Capital Fund Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 106 Positions - FTE - Amount - 228 228 228 225 225 225 $107,210 ($3) $20 $154 $704 $403 $5,853 ($86) $114,255 $114,255 SUB-PPA JUSTIFICATION: Funding for the International Investigations Sub-PPA within the HSI PPA enables 62 QHSR Alignment offices in 46 countries to conduct law enforcement activities and provide investigative support to domestic offices in combating transnational crime. Specifically, International 2.3 Disrupt and Dismantle Investigations focuses on TCOs that engage in human smuggling and trafficking; Transnational Criminal Organizations trafficking of narcotics, money, weapons and sensitive technologies; and sexual and Other Illicit Actors exploitation of children, including child sex tourism. International Investigations partners with foreign and domestic counterparts to conduct international law enforcement operations and to support removals from the United States. ICE International Investigations develops International Agreements and Arrangements that support HSI’s investigative mission. International Investigations also works with HSI offices to develop non-binding international information sharing arrangements tailored to specific operational needs. ICE International Investigations personnel deployed overseas have a number of responsibilities, including: • • • • • Supporting the broader DHS and U.S. Government mission space, to include the Department of Defense (DOD), DOS, and DOJ; Liaising between foreign LEAs and ICE domestic offices; Serving as advisors to U.S. missions and foreign counterparts; Providing training and capacity building to foreign immigration, customs, and law enforcement partners; and Conducting outreach with foreign officials and sharing information under negotiated bilateral agreements and mutual legal assistance treaties. 107 ICE International Investigations personnel fuse criminal intelligence with foreign partner information to facilitate joint operations against common threats. To accomplish this mission, International Investigations deploys the following programs: • Biometric Identification Transnational Migration Alert Program (BITMAP): This program collects biometric and biographic data of suspect individuals. The program uses the DHS Automated Biometric Identification System (IDENT), the FBI Next Generation Identification (NGI), and the DOD Automated Biometric Information System (DOD ABIS) biometric databases to provide a more reliable strategic picture of the trends, routes, networks, and individuals associated with illicit pathways and activities. • Transnational Criminal Investigative Units (TCIUs): These teams, currently operating in nine countries, are bilateral, multi­ disciplinary investigative units led by ICE with foreign law enforcement membership. Aligned with the President’s Strategy in Combatting Transnational Organized Crime, TCIUs serve as force-multipliers, facilitating information exchange and rapid bilateral investigations to enhance cooperation between HSI and host governments in order to identify, disrupt, and dismantle criminal enterprises that threaten regional stability and pose a significant threat to the public and national security of the United States. The FY 2015 TCIU budget was approximately $3 million. In FY 2015, TCIU teams produced 634 criminal arrests, and seized $6,737,956 in currency, 17,055 pounds of cocaine, 114 weapons and weapon components, 5,193 rounds of ammunition, 61 vehicles and 3 vessels, $12,931,656 in counterfeit goods, and $3,350,000 in illegal commerce. 108 TCIU in Mexico: In August 2015, HSI re-established a TCIU in Mexico after a three-year hiatus. HSI collaborates with its Mexican partners to identify, disrupt, and dismantle TCOs with an emphasis on investigating human smuggling, human trafficking, and illicit proceeds derived from those activities. The re-establishment of this unit is a hallmark in relations between HSI and its Mexican partners. • Cultural Property, Arts, and Antiquities Investigations and Repatriations Program: This investigative program targets the illicit trafficking of cultural property from around the world and organizes the repatriation of stolen objects to their owners. Approximately 300 specially trained HSI special agents partner with federal, state, and local LEAs, private institutions, and foreign governments to conduct cultural property investigations. Repatriating Culturally Significant Artifacts: In FY 2015, ICE repatriated 882 cultural artifacts to nine countries. Among the repatriations were a set of nesting Egyptian sarcophagi to the Arab Republic of Egypt, a limestone head of Assyrian King Sargon II to the Republic of Iraq, and artwork by Pablo Picasso titled “La Coiffeuse” to the French Republic. In FY 2017, funding for the International Investigations Sub-PPA will support the following activities: • Focus on U.S./Mexico cross-border threats and global illicit pathways, including contraband smuggling, arms trafficking, money laundering, bulk cash smuggling, and transnational gangs; • Continue efforts to support the BITMAP initiative and work towards improved automation of the biometric data process flow; • Continue to evaluate ICE’s worldwide investigative resources through analysis of global threats, current ICE coverage, and agency priorities and reallocation of resources in locations that pose the greatest threat, investigative opportunity, and host nation connectivity to the United States; • Seek to expand the TCIU program into Kenya, Jordan, and the Philippines; and • Expand use of Customs Mutual Assistance Agreements with other countries as a mechanism to support bilateral information sharing and investigative cooperation. 109 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations International Investigations Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 – 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 292 243 $40,601 $167 228 225 $43,175 $192 228 225 $43,548 $194 $373 $2 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: There is no FTE change for International Investigations in FY 2017. • PCB Change FY 2016-2017: In FY 2017, International Investigations has an increase in PCB due to within grade promotion increases, promotions, and the 1.6 percent pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: Average cost changes between FY 2016 and FY 2017 are due to within grade increases, promotions, and the pay raise. 110 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations International Investigations Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – International Investigations 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) International Cooperative Administrative Support Services System $10,753 Housing Rent $7,838 Foreign Services National Salary and Benefits $7,697 Capital Security Cost Sharing $8,288 Permanent Change of Station $7,321 Total $41,897 $10,511 $8,981 $8,654 $8,622 $8,400 $45,168 2017 Request $10,721 $9,160 $8,827 $8,795 $8,568 $46,071 FY 2016 to FY 2017 Change $210 $179 $173 $173 $168 $903 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • International Cooperative Administrative Service System (ICASS): ICASS is the mechanism agencies choose to manage and pay for shared administrative service at U.S. embassies and consulates abroad. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. • Housing Rent: U.S. citizen employees assigned to U.S. missions abroad may be provided housing in U.S. Government-owned or leased properties. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. • Foreign Service National Salary and Benefits: Foreign Service National Salary and Benefits includes the costs associated with hiring Foreign Service Nationals or locally engaged staff to accomplish the ICE overseas mission. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. 111 • Capital Security Cost Sharing (CSCS): The Bureau of Overseas Operations assesses agencies a share of the cost to provide secure, safe, and functional facilities at U.S. embassies and consulates abroad. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. • Permanent Change of Station (PCS): PCS includes the costs associated with relocating U.S. citizen employees assigned to U.S. missions abroad. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level, which has been the average rate of inflation in previous fiscal years. 112 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Visa Security Program FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Visa Security Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/HSI PPA from S&E Adjustments to Base Approp/Visa Security Program PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Non GSA Rent General Expenses Working Capital Fund Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 113 Positions - FTE - Amount - 73 73 73 71 71 71 $32,561 ($1) $5 $4 $12 ($58) ($27) $32,496 $32,496 SUB-PPA JUSTIFICATION: Funding for the VSP Sub-PPA within the HSI PPA allows ICE to maximize the visa process as a counterterrorism tool to identify terrorists, criminals, and other aliens ineligible for a visa prior to their travel or application for admission to the United States. As such, VSP is in a unique position to provide valuable screening and vetting of foreign travelers originating from high risk areas throughout the world. VSP currently screens at 26 visaissuing posts in 20 countries. QHSR Alignment 1.1 Prevent Terrorist Attacks 2.1 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors 3.2 Prevent Unlawful Immigration Special agents assigned to VSP take a hands-on approach in managing visa security, including all of the following: • Screening and vetting visa applicants for terrorism and or criminal related links (resulting in more than seven thousand hits with a nexus to terrorism in FY 2015); • Coordinating efforts with law enforcement and intelligence community partners; • Providing law enforcement training and advice to U.S. consular officials; • Creating and enhancing U.S. Government Watch List records (resulting in 761 nominations or record additions during FY 2015); • Identifying and exploiting new terrorist tactics or fraud schemes; • Generating intelligence products; • Revoking fraudulent petitions; and • Initiating investigations leading to arrest, seizure, and prosecution. VSP differs from other screening efforts in that it leverages its capabilities to exploit suspect travelers, enhancing existing information and identifying previously unknown threats, instead of solely denying travel. Domestic screening and vetting at the earliest point in the visa application process allows VSP PATRIOT personnel to identify and address intelligence gaps prior to the applicant’s interview by DOS. This allows VSP staff to collaborate with the U.S. government and/or host country officials and conduct necessary investigative actions prior to the applicant arriving at their International Posting. Visa security screening and vetting often involves face-to-face interaction and on-the-ground follow-up, which can only occur overseas. Agents assigned to VSP develop investigative leads in four critical ways: 1. Coordinating with foreign government LEAs to verify a visa applicant’s true country of origin; 114 2. Identifying any criminal arrests, convictions, or potential affiliations with terrorist or criminal organizations; 3. Exploiting derogatory information found during data screening and vetting through liaison with other U.S. government agencies at posts; and 4. Substantiating recommendations to deny visas to high-risk individuals or “clear” eligible applicants incorrectly associated with such derogatory information. VSP’s Visa Security Section (VSS), part of ICE’s National Security Investigative Division, performs interagency checks for derogatory information of visa applicants to support a unified visa recommendation. VSS also provides classified research assistance across DHS and DOS to maximize the efficiency of visa review. VSP provides IT modernization and contract screener funding for the domestically based PATRIOT program. The PATRIOT program screens and vets applicants early in the visa process for criminal, terrorism, immigration, or related information, and then provides these initial recommendations to VSUs overseas for further vetting. Screening Visitors to the United States for Public Safety Risks: In FY2015, in screening more than 2.1 million visa applicants, the PATRIOT screening program recommended more than 8,600 visa refusals to DOS for criminal, terrorism, immigration, or other derogatory information. To guide future expansion and deployment of VSP personnel, ICE collaborates with DOS to rank all visa-issuing locations based on current risk and threat intelligence. In this way, ICE has identified existing overseas International Operations posts and new overseas locations that are top priorities for future year VSP expansion, as directed in the FY 2016 DHS Appropriations Act. In FY 2017, funding for the VSP Sub-PPA will support the following activities: • Continue to expand both physical and remote screening and vetting efforts; • Update the prioritized list of future VSP locations and posts; and • Add analytical support, including the addition of targeting rules to enhance the identification and exploitation of unknown threats. 115 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Visa Security Program Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 86 71 $13,780 $194 73 71 $13,501 $190 73 71 $13,634 $196 $133 $6 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: There is no FTE change for Visa Security Program in FY 2017. • PCB Change FY 2016-2017: In FY 2017, VSP has an increase in PCB for within grade increases, promotions, and the pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: Average cost changes between FY 2016 and FY 2017 are due to within grade increases, promotions, and the pay raise. 116 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Visa Security Program Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support Visa Security Program 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) International Cooperative Administrative Support Services System $3,636 Permanent Change of Station $3,383 Housing Rent $2,977 Capital Security Cost Sharing $3,475 Educational Allowances $1,173 Total $14,644 $5,278 $4,200 $3,339 $1,015 $945 $14,777 2017 Request $5,384 $4,284 $3,406 $1,035 $964 $15,073 FY 2016 to FY 2017 Change $106 $84 $67 $20 $19 $296 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • International Cooperative Administrative Support Services System (ICASS): ICASS is the mechanism agencies choose to manage and pay for shared administrative service at U.S. embassies and consulates abroad. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. • Permanent Change of Station (PCS): PCS includes the costs associated with relocating U.S. citizen employees assigned to U.S. missions abroad. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. • Housing Rent: U.S. citizen employees assigned to U.S. missions abroad may be provided housing in U.S. Government-owned or leased properties. The FY 2017 amount reflects a two percent increase over the FY 2016 planned level. 117 • Capital Security Cost Sharing (CSCS): The Bureau of Overseas Operations assesses agencies a share of the cost to provide secure, safe, and functional facilities at U.S. embassies and consulates abroad. The FY 2017 amount reflects a two percent increase, which has been the average rate of inflation, over the FY 2016 planned level. • Educational Allowances: Educational allowances are intended to provide children of U.S. citizen employees assigned abroad with an education comparable to what they would receive at a public school in the U.S. 118 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Intelligence FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Intelligence Prior Year Base FY 2015 Revised Enacted FY 2016 Enacted Transfer to O&S Approp/HSI PPA from S&E Adjustments to Base Approp/Intelligence PPA WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise GSA Rent Non GSA rent general expenses Working Capital Fund Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 119 Positions - FTE - Amount - 417 417 417 390 390 390 $79,768 ($5) $14 $155 $715 $275 $1,140 ($66) $81,996 $81,996 SUB-PPA JUSTIFICATION: Funding for the Intel Sub-PPA within the HSI PPA supports efforts to collect, analyze, and share timely and accurate intelligence on illicit trade, travel, and financial activity within the United States in coordination with DHS Intelligence Enterprise and members of the intelligence community. Intel maintains one of DHS’ largest agency-wide deployments of secure data communication connectivity. Intel also prepares ICE for agency-wide continuity of operations, emergency response, and crisis management and manages a 24/7 Joint Intelligence and Operations Center (JIOC). Intel gathers information to identify tactics, techniques, and procedures to counter public safety and national security threats while ensuring force protection and officer safety. QHSR Alignment 1.1 Prevent Terrorist Attacks 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors 3.2 Prevent Unlawful Immigration 5.1 Enhance National Preparedness. Intel is comprised of the following organizational units: • The Intelligence Collection and Operations Division (COD) is the executive office for the ICE Counterintelligence (CI) program, which is responsible for CI awareness, CI education, and defensive CI measures to protect the agency from hostile intelligence collection tactics. The COD supports intelligence community requests and requirements through the ICE Request for Information and Reports Officer programs. The program also facilitates the rapid and responsible sharing of time-sensitive intelligence through the JIOC. The COD and JIOC support the ICE Personnel Recovery Program by monitoring agents deployed overseas who may encounter life-threatening situations. • The Analysis Division conducts strategic-level analysis by synthesizing classified intelligence, law enforcement information, and open-source reporting. The fusion of information plays a vital role in supporting investigations related to illicit trade, travel, and finance. The Division provides finished analytic products to identify emerging and future patterns, trends, and threats; assist in prioritization of enforcement efforts; and, identify potential systemic vulnerabilities. • Intelligence Mission Management (IMM) facilitates the deployment of classified data connectivity throughout ICE and delivers the ICE Basic Intelligence Training (ICEBIT) Course. IMM coordinates with the SAC Intelligence Program offices to identify support needs and solutions. • The National Emergency Management Division (NEMD) serves as ICE’s lead for continuity of operations, emergency planning, and crisis management. NEMD manages continuity of operations planning, communications, and actions. 120 • JTF-I works with the ICE Intel and SAC Intelligence Programs across the joint operating area. HSI personnel assigned to JTF-I identify the top TCOs and networks that aim to destabilize communities and degrade national security. • The Human Smuggling Cell is an interagency platform led by ICE Intel to coordinate and integrate human smuggling intelligence and law enforcement information. The Human Smuggling Cell develops a comprehensive threat picture designed to drive law enforcement and other disruption efforts targeting human smuggling networks. • The Human Smuggling and Trafficking Center (HSTC) integrates and disseminates interagency intelligence to support strategies that prevent human trafficking. HSTC brings together experienced federal interagency specialists to convert intelligence into effective policies and diplomatic actions. In FY 2017, funding for the Intel Sub-PPA will support the following activities: • Provide intelligence analytic support to Joint Task Forces East, West, and Investigations; • Provide case analysis to HSI International Investigations by supporting investigations of methods used to launder drug proceeds, including trade-based money laundering, bulk cash smuggling, third party money laundering, virtual currencies, and the digital underground economy; • Conduct at least four iterations of the ICEBIT course and implement a phase of the career path for Intelligence Research Specialists; • Improve classified information sharing activities by ensuring the availability of resources to share classified intelligence; • Continue to provide collections management and intelligence reporting processes for JTF-I and the Human Smuggling Cell; • Execute counterintelligence awareness, personnel tracking overseas, and education for all ICE International Operations offices; • Refine techniques and methods for detecting and identifying human smuggling and trafficking networks by leveraging all data sources available to DHS; • Continue to propose courses of action to degrade organized human smuggling networks and help shape national strategy and policy to combat human smuggling and prevent mass migration events; and • Support interagency efforts to combat human trafficking using strategic intelligence, enhanced systems, and intelligence network analysis. 121 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Intelligence Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 470 368 $56,061 $152 417 390 $59,483 $153 417 390 $59,966 $154 $483 $1 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: There is no FTE change for Intel in FY 2017. • PCB Change FY 2016-2017: In FY 2017 Intel has an increase in PCB for within grade increases, promotions, and the pay raise. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: Average cost changes between FY 2016 and FY 2017 are due to within grade increases, promotions, and the pay raise. 122 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Intelligence Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Operations and Support – Intelligence Classified Connectivity Intelligence Systems Intelligence/Developmental Training Mission Support Intelligence Contractor Support 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $4,093 $3,152 $1,110 $2,307 $1,755 Total $12,417 $4,878 $1,825 $1,442 $1,412 $1,755 $11,312 2017 Request $2,679 $1,825 $1,442 $1,412 $1,176 $8,534 FY 2016 to FY 2017 Change ($2,199) ($579) ($2,778) * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Classified Connectivity: The Classified Connectivity costs support deployment of SECRET and TS/SCI systems across the agency. • Intelligence Systems: Intelligence Systems costs directly support Intelligence efforts (e.g., Falcon, Big Data Environment-BDE, CBP Analytical Framework for Intelligence-AFI, etc.). No change is expected in expenditures. • Intelligence/Developmental Training: Intelligence and Developmental Training costs support training efforts geared specifically to Intelligence Professionals. No change is expected in expenditures. • Mission Support: Mission Support costs directly support HSI Intelligence field offices. No change is expected in expenditures. • Intelligence Contractor Support: Intelligence Contractor Support costs provide contractor support for Intelligence Headquarters 123 projects and programs. The decrease in cost from FY 2016 to FY 2017 is due to an anticipated increase in hiring Federal FTEs. 124 FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Office of Principal Legal Advisor FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Office of Principal Legal Advisor Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to O&S Approp/OPLA PPA from S&E Adjustments to Base Approp/OPLA PPA 287(g) Rightsizing WCF Transfer Federal Protective Service Fee Annualization of FY 2016 Pay Raise FY 2017 Pay Raise Annualization of Prior Year Funding GSA Rent Non GSA Rent General expenses Termination of One-Time costs Working Capital Fund FTE Baseline adjustment Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 125 Positions - FTE - Amount - 1,549 1,549 1,549 1,471 114 (33) 1,552 1,552 $239,894 $70 ($16) $49 $501 $2,606 $24,766 $1,386 $5,013 ($3,165) ($183) ($2,528) $268,393 $268,393 PPA DESCRIPTION: OPLA is the largest legal entity within DHS, with more than 900 attorneys assigned to 26 offices throughout the United States and at ICE Headquarters in Washington, D.C. OPLA provides specialized legal advice, support, and training in the areas of customs law, immigration law, and criminal law to all ICE offices. OPLA is the sole legal representative for the U.S. Government in exclusion, deportation, and removal proceedings before the DOJ Executive Office for Immigration Review (EOIR). In FY 2015, OPLA litigated over 400,000 immigration-related cases before EOIR. ICE also assigns attorneys to work full-time at the U.S. Attorneys Offices (USAO) as SAUSAs. These attorneys prosecute criminal immigration and customs cases in federal court. OPLA is comprised of Field Legal Operations (FLO), Enforcement and Litigation, Management and General Law, and Ethics. • Field Legal Operations (FLO) o FLO is a Headquarters directorate that oversees the 26 ICE Offices of the Chief Counsel (OCC). FLO manages over 750 attorneys representing the government in immigration proceedings in over 300,000 immigration-related cases annually before EOIR, including contested removals, custody determinations, and applications for protection or relief from removal. These cases may involve individuals who pose national security threats, who have committed human rights violations, or who have violated criminal laws domestically or abroad. When acting as SAUSAs or embedded attorneys in local HSI and ERO offices, FLO attorneys provide direct representation and guidance in customs, worksite enforcement, tort claims, and administrative law issues, thereby ensuring that DHS’ goals and mission are pursued in a consistent and thorough manner. Additionally, FLO provides client support through legal advice and training, Notice to Appear (NTA) reviews, worksite enforcement assistance, human rights and national security collaborations, and prosecutorial discretion reviews consistent with ICE’s civil enforcement priorities. • Enforcement and Litigation o The Homeland Security Investigations Law Division is comprised of three sections. The Criminal Law Section, Human Rights Law Section, and National Security Law Section are dedicated to advancing ICE’s efforts to investigate and prosecute those who threaten our national security or violate our customs and immigration laws, while working to deny perpetrators of human rights abuses safe haven in the U.S. through specialized legal advice, training, and litigation support. o The Enforcement and Removal Operations Law Division provides legal advice, guidance, and litigation support to law enforcement officers and agents, and OPLA field offices. The division supports compliance with Fourth Amendment 126 requirements related to arrests, searches and seizures; immigration arrest authorities; operations to locate fugitive aliens; and 287(g) delegation of immigration authority. o The Immigration Law and Practice Division (ILPD) provides the OCCs, ICE leadership and programs, DHS Office of the General Counsel, and other agencies with advice and counsel regarding the interpretation, application, and enforcement of U.S. immigration law. First, ILPD oversees OPLA’s advocacy before EOIR, including OPLA’s appellate casework before the Board of Immigration Appeals (BIA). Second, ILPD monitors immigration-related litigation in the federal courts, ensuring that ICE’s law enforcement and security interests are considered or represented in the course of litigation. Third, ILPD provides specialized advice on sensitive issues related to refugee status, asylum, and other forms of protection, and works with HSI to make tools to detect and deter asylum fraud available to the OCCs. Fourth, in conjunction with ERO’s Fugitive Alien Removal (FAR) operations and other operations, ILPD monitors removal cases involving foreign fugitives. Lastly, ILPD manages OPLA’s review of claims to U.S. citizenship and issues related to the acquisition or derivation of U.S. citizenship, coordinating as necessary with the OCCs, ERO, and other stakeholders. o The District Court Litigation Division (DCLD) assists ICE personnel and DOJ in all aspects of federal litigation, including strategy, motion practice, discovery, and settlement negotiations. The DCLD works closely with DOJ, including the USAO, the Office of Immigration Litigation, and the Torts Branch to ensure representation of ICE’s interests in litigation. • Management and General Law o The Commercial and Administrative Law Division provides legal advice to ICE and represents the agency in the areas of fiscal law, procurement law, memoranda of understanding and other agreements, breached bonds, environmental law, and a range of other administrative law matters that support ICE operations. o The Labor and Employment Law Division (LELD) provides advice, guidance, training, and representation for ICE in employment and labor-related issues. LELD represents ICE before the Equal Employment Opportunity Commission and the Merit Systems Protection Board (MSPB). LELD works with DOJ to defend against Title VII, Equal Pay Act, Age Discrimination in Employment Act, ADA, and Rehabilitation Act claims pending against ICE in U.S. District Courts and U.S. Circuit Courts of Appeal; and other claims and petitions. LELD also works with the Office of Human Capital on labor issues, such as negotiating with bargaining units and responding to grievances. o The Government Information Law Division (GILD) advises and supports ICE program offices in complying with FOIA, the Privacy Act of 1974, and the E-Government Act of 2002. GILD advises on all matters relating to the disclosure of government 127 information within DHS and to external entities, such as members of the public, Congress, General Accounting Office, and others. • Ethics o The ICE Ethics Office provides advice, guidance, and training on the ethics Standards of Conduct and criminal statutes for the more than 19,000 employees who work for the agency in all 50 states and 46 foreign countries. The Ethics Office also collects, reviews, and certifies financial disclosure reports and executes a robust employee ethics education program. • In FY 2017, OPLA requests $268.4 million; 1,549 positions; and 1,552 FTE to support the program mission. The request supports 1,149 attorneys and 400 support personnel in the OPLA PPA. Funding will allow OPLA to keep up with the demand of criminal and civil priorities. The FY 2017 request reflects an increase of $51 million from the FY 2015 Revised Enacted amount and $28.5 million from the FY 2016 Enacted amount. • In FY 2017, ICE requests $28.5 million for ATBs in the OPLA PPA for O&S: o Increase of $0.1 million from ERO to fund two FTE within OPLA to provide legal support to the 287(g) program; o Decrease of $0.02 million due to a transfer to the DHS WCF; o Increase of $0.05 million for increased FPS fees; o Increase of $0.5 million to annualize the FY 2016 pay raise; o Increase of $2.6 million for a 1.6 percent pay raise in FY 2017; o Increase of $24.8 million to annualize FY 2016 hiring of attorneys, paralegals, and mission support personnel; o Increase of $1.4 million for increased rent costs; o Increase of $5.0 million for increased general expense costs other than GSA rent, adjusted based on prior year actuals inflated by 1 percent; o Decrease of $3.2 million for termination of one-time costs; o Decrease of $0.2 million for WCF; and o Decrease of $2.5 million due to reduction baseline adjustment of 33 FTE to reduce FTE levels for unfilled vacancies reported in previous budget submissions. 128 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Office of Principal Legal Advisor Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted1 FY 2017 Request Delta FY 2016 - 2017 FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 1,264 1,165 $169,390 $145 1,549 1,471 $216,804 $148 1,549 1,552 $208,921 $135 - 81 ($7,883) ($13) - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE change includes a net increase of 81 FTE for OPLA in FY 2017. The increase in FY 2017 is due to annualization of FY 2016 hiring. • PCB Change FY 2016-2017: The decrease to salaries and benefits is due hiring lower graded staff. ICE will spend funds on bonuses and performance awards that are consistent with OPM awards guidance. Historically, this has been approximately one percent of payroll. • Average Cost Change FY 2016-2017: The average cost decrease is due to backfilling higher graded employees with lower graded staff. 129 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Office of Principal Legal Advisor Cost Drivers (Non-Pay) – PPA Level ($000s) Operations and Support – Office of Principal Legal Advisor 2015 Revised Enacted 2016 Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) PLAnet and E-Discovery $6,074 Bowhead Document Scanning & Language Services $2,868 Travel $2,853 Equipment $2,008 Training $358 Total $14,161 $4,761 $3,500 $2,685 $2,028 $692 $13,666 2017 Request $4,999 $3,665 $2,848 $2,058 $782 $14,352 FY 2016 to FY 2017 Change $238 $165 $163 $30 $90 $686 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all nonpay information. • Contracts: o PLAnet and E-Discovery: The Principal Legal Advisor Network (PLAnet) and E-Discovery are critical to OPLA operations and ICE’s ability to respond to litigation discovery requirements. The cost of O&M for these systems is expected to increase in FY 2017. o Bowhead Document Scanning Contract and Language Services: The Bowhead contract provides non-personal services for document scanning, indexing, and data entry into PLAnet. The contract reduces the administrative burden on attorneys and improves information sharing across the program. The language service agreement provides translation services for OPLA attorneys. 130 • Travel: The operational travel budget will increase slightly in FY 2017 to allow Headquarters and field offices to effectively represent the U.S. Government in court at various locations across the U.S. The expected increase in hiring activities/initiatives drives the need to increase training travel as well. • Equipment: With the increase in hiring, OPLA anticipates the need to purchase additional equipment for attorney and support staff personnel in conjunction with a potential refresh of outdated equipment. • Training: A substantial increase in hiring activities/initiatives drives the need to increase training for new or recently hired attorneys in FY17. 131 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security Immigration and Customs Enforcement Operations and Support Justification of Proposed Legislative Language For necessary expenses for enforcement of immigration and customs laws, detention and removals, and investigations, including intellectual property rights and overseas vetted units operations; and purchase and lease of up to 3,790 (2,350 for replacement only) police-type vehicles; [$5,779,041,000] $5,855,023,000; [of which not to exceed $10,000,000 shall be available until expended for conducting special operations under section 3131 of the Customs Enforcement Act of 1986 (19 U.S.C. 2081)]; of which not to exceed $11,475 shall be for official reception and representation expenses; [of which not to exceed $2,000,000 shall be for awards of compensation to informants, to be accounted for solely under the certificate of the Secretary of Homeland Security; of which not less than $305,000 shall be for promotion of public awareness of the child pornography tipline and activities to counter child exploitation; of which not less than $5,400,000 shall be used to facilitate agreements consistent with section 287(g) of the Immigration and Nationality Act (8 U.S.C. 1357(g))]; of which [not to exceed] not less than [$45,000,000] $40,000,000 shall remain available until September 30, [2017] 2019 for maintenance, construction and lease hold improvements at owned and leased facilities [and of which not to exceed $11,216,000 shall be available to fund or reimburse other Federal agencies for the costs associated with the care, maintenance, and repatriation of smuggled aliens unlawfully present in the United States]: [Provided, That of the total amount made available under this heading, $100,000,000 shall be withheld from obligation until the Director of U.S. Immigration and Customs Enforcement submits to the Committees on Appropriations of the Senate and the House of Representatives a report detailing the number of full-time equivalent employees hired and lost through attrition for the period beginning on October 1, 2015, and ending on June 30, 2016: Provided further, That of the total amount made available under this heading, $5,000,000 shall be withheld from obligation until the Director of U.S. Immigration and Customs Enforcement briefs the Committees on Appropriations of the Senate and the House of Representatives on efforts to increase the number of communities and law enforcement agencies participating in the Priority Enforcement Program, including details as to the jurisdictions and law enforcement agencies approached and the level of participation on a by-community basis] Provided, That none of the funds made available under this heading shall be available to compensate any employee for overtime in an annual amount in excess of $35,000, except that the Secretary of Homeland Security, or the designee of the Secretary, may waive that amount as necessary for national security purposes and in cases of immigration 132 emergencies: [Provided further, That of the total amount provided, $15,770,000 shall be for activities to enforce laws against forced child labor, of which not to exceed $6,000,000 shall remain available until expended: Provided further, That of the total amount available, not less than $1,600,000,000 shall be available to identify aliens convicted of a crime who may be deportable, and to remove them from the United States once they are judged deportable: Provided further, That the Secretary of Homeland Security shall prioritize the identification and removal of aliens convicted of a crime by the severity of that crime: Provided further, That funding made available under this heading shall maintain a level of not less than 34,000 detention beds through September 30, 2016] Provided further, That of the total amount provided, not less than $2,120,930,000 is for homeland security investigations operations: Provided further, That of the total amount provided, not to exceed $10,000,000 shall be available until expended for conducting special operations under section 3131 of the Customs Enforcement Act of 1986 (19 U.S.C. 2081): Provided further, That of the total amount provided, not to exceed $2,000,000 shall be for awards of compensation to informants, to be accounted for solely under the certificate of the Secretary of Homeland Security: Provided further, That of the total amount provided, $6,000,000 shall remain available until expended for activities to enforce laws against forced child labor: Provided further, That of the total amount provided for homeland security investigations, $13,700,000 shall remain available until September 30, 2018, for visa security program and investigations abroad: Provided further, That of the total amount provided, not less than $3,101,211,000 is for enforcement and removal operations, including transportation of unaccompanied minor aliens, [Provided further, That of the amount provided for Custody Operations in the previous proviso, $45,000,000 shall remain available until September 30, 2020: Provided further, That of the total amount provided for the Visa Security Program and international investigations, $13,300,000 shall remain available until September 30, 2017: Provided further, That not less than $15,000,000 shall be available for investigation of intellectual property rights violations, including operation of the National Intellectual Property Rights Coordination Center] of which $45,000,000 shall remain available for ICE custody operations until September 30, 2021: Provided further, That of the total amount provided, not to exceed $11,216,000 shall be available to fund or reimburse other Federal agencies for the costs associated with the care, maintenance, and repatriation of smuggled aliens unlawfully present in the United States: Provided further, That of the total amount provided, not less than $5,400,000 shall be used to facilitate agreements consistent with section 287(g) of the Immigration and Nationality Act (8 U.S.C. 1357(g)): Provided further, That none of the funds provided under this heading may be used to continue a delegation of law enforcement authority authorized under section 287(g) of the Immigration and Nationality Act (8 U.S.C. 1357(g)) if the Department of Homeland Security Inspector General determines that the terms of the agreement governing the delegation of authority have been violated: Provided further, That none of the funds provided under this heading may be used to continue any contract for the provision of detention services if the two most recent overall performance evaluations received by the contracted “facility” are less than "adequate" or the equivalent median score in any subsequent performance evaluation system: Provided further, That nothing under this heading shall prevent U.S. Immigration and Customs Enforcement from exercising those authorities provided under immigration laws (as defined in section 101(a)(17) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(17))) during priority operations pertaining to aliens convicted of a crime: Provided further, That without regard to the limitation as to time and condition of section 503(d) of this Act, the Secretary may propose to 133 reprogram and transfer funds within and into this appropriation necessary to ensure the detention of aliens prioritized for removal: Provided further, That, at any point after January 1, 2017, and before October 1, 2017, if the Secretary of Homeland Security, in consultation with the Secretary of Health and Human Services, determines that the cumulative number of unaccompanied children transferred to the custody of the Secretary of Health and Human Services for the current fiscal year exceeds the number transferred through the comparable date in the previous fiscal year an additional $3,150,000 shall be available under this heading: Provided further, That, if the Secretary of Homeland Security, in consultation with the Secretary of Health and Human Services, determines that the cumulative number of such children transferred exceeds 110 percent of the number transferred through the comparable date, $3,150,000 shall be available in addition to the amount made available in the previous proviso: Provided further, That, if the Secretary of Homeland Security, in consultation with the Secretary of Health and Human Services, determines that the cumulative number of such children transferred exceeds 120 percent of the number transferred through the comparable date, $3,150,000 shall be available in addition to the amounts made available in the previous two provisos: Provided further, That, if the Secretary of Homeland Security, in consultation with the Secretary of Health and Human Services, determines that the cumulative number of such children transferred exceeds 130 percent of the number transferred through the comparable date, $3,150,000 shall be available in addition to the amounts made available in the previous three provisos: Provided further, That amounts made available under any of the previous four provisos may be transferred to any other appropriation: Provided further, That the transfer authority in the previous proviso is in addition to any other transfer authority provided by law. 134 Exhibit F. Summary of Fee Collections and Carryover Department of Homeland Security Immigration and Customs Enforcement Operations and Support (Discretionary Offsetting Fees ONLY) Summary of Fee Collections and Carryover (Dollars in Thousands) N/A 135 Exhibit G. Summary of Reimbursable Resources Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: U.S. Customs and Border Protection U.S. Citizenship and Immigration Services Department of Army (CSEPP) Department of Justice FEMA National Protection and Program Directorate U.S. Coast Guard Department of Defense Department of Homeland Security Federal Law Enforcement Training Center US VISIT Department of State Department of Treasury Total Budgetary Resources Pos Obligations by Program/Project Activity: HSI- International Investigations ERO - Custody Operations M&A - Personnel, Compensation, and Benefits, Service, and Other Costs HSI- Domestic Investigations Total Obligations Pos FTE - FY 2016 Enacted Amount - Pos - - FY 2015 Revised Enacted FTE FTE FY 2017 Request Amount - Pos - 100 120 50 270 FY 2016 Enacted Amount Pos 100 120 50 270 Increase/Decrease Amount $45,856 $274 $385 $2,749 $431 $8,427 $135 $2,037 $27,517 $25 $1,695 $23,516 $42,335 $155,382 Pos Amount Pos FTE Pos FTE 100 120 50 270 FY 2017 Request 100 120 50 270 Amount $45,856 $274 $385 $2,749 $431 $8,427 $135 $2,037 $27,517 $25 $1,695 $23,516 $42,335 $155,382 Increase/Decrease - - - - - - - - Amount $27,757 $4,321 - - - - - - 120 150 270 120 150 270 $44,435 $78,869 $155,382 136 FTE FTE - FTE - Amount $27,757 $4,321 120 150 270 120 150 270 $44,435 $78,869 $155,382 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support (Dollars in Thousands) Program/Project/Activity Personnel, Compensation, and Benefits Custody Operations Domestic Investigations Headquarters-Managed IT Fugitive Operations International Investigations Criminal Alien Program Visa Security Program Alternatives to Detention Intelligence Office of Principal Legal Advisor Transportation and Removal Program Total Working Capital Fund FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount - - $1,640 $5,520 $8,403 $368 $775 $218 $1,620 $62 $275 $445 $1,333 $63 $20,722 $1,640 $5,520 $8,403 $368 $775 $218 $1,620 $62 $275 $445 $1,333 $63 $20,722 137 Exhibit I. Capital Investment and Construction Initiative Listing Department of Homeland Security Immigration and Customs Enforcement Operations and Support Capital Investment and Construction Initiative Listing N/A 138 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Object Class Breakout by Appropriation (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits Total, Personnel and Other Compensation Benefits $1,670,772 $10,354 $326,691 $1,519 $852,333 $2,861,669 $1,814,984 $12,489 $350,885 $1,659 $922,188 $3,102,205 $1,833,302 $12,234 $355,977 $1,680 $932,484 $3,135,677 $18,318 ($255) $5,092 $21 $10,296 $33,472 $342,379 $13,489 $299,163 $8,356 $78,023 $146 $227,714 $125,264 $74,256 $1,411,965 $133,853 $81,792 $4,429 $70,051 $40,379 $17,657 $277 $25,990 $18 $2,886 $2,958,087 $340,922 $10,439 $266,236 $7,585 $70,315 $124 $200,404 $108,673 $65,231 $1,265,743 $119,879 $73,030 $3,973 $63,327 $37,144 $16,107 $278 $24,585 $16 $2,825 $2,676,836 $354,254 $12,225 $315,433 $8,127 $80,062 $124 $230,788 $120,198 $76,199 $1,164,157 $108,780 $85,463 $3,632 $69,863 $41,367 $18,455 $365 $29,154 $18 $3,635 $2,722,299 $13,332 $1,786 $49,197 $542 $9,747 $30,384 $11,525 $10,968 ($101,586) ($11,099) $12,433 ($341) $6,536 $4,223 $2,348 $87 $4,569 $2 $810 $45,463 Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 44.0 Refunds 91.0 Unvouchered Total, Other Object Classes 139 Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Total, Direct Obligations $5,819,756 $5,779,041 $5,857,976 $78,935 - - - - $5,819,756 $5,779,041 $5,857,976 $78,935 Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 140 Exhibit K. Object Class Breakout by Program, Project, and Activity Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Management and Administration Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $140,403 $154,373 $156,755 $2,382 $965 $1,063 $1,077 $14 $7,270 $8,016 $8,118 $102 $51,467 $56,617 $57,462 $845 $200,105 $220,069 $223,412 $3,343 - - - $458 $2,569 $1,741 $2,199 22.0 Transportation of Things $244 $167 $209 $42 23.1 Rental Payments to GSA $12,716 $8,832 $11,044 $2,212 23.2 Rental Payments to Others $1,747 $1,597 $1,806 $209 23.3 Communications, Utilities, and Misc. Charges $5,665 $4,462 $5,318 $856 $19 $12 $15 $3 $69,429 $61,146 $69,987 $8,841 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $9,705 $6,466 $8,308 $1,842 $11,701 $6,859 $9,165 $2,306 $6,172 $5,227 $6,069 $842 $2 $1 $2 $1 $18,875 $17,001 $19,322 $2,321 26.0 Supplies and Materials $1,970 $1,308 $1,666 $358 31.0 Equipment $3,569 $2,848 $3,377 $529 32.0 Land and Structures 42.0 Insurance Claims and Indemnities $2,898 $2 $2,073 $9 $2,562 $2 $489 ($7) 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 91.0 Unvouchered Total, Other Object Classes 141 $33 $19 $26 $7 $147,316 $119,768 $141,077 $21,309 Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $347,421 $339,837 $364,489 $24,652 - - 1,424 1,424 Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 142 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Enforcement and Removal Operations Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $575,031 $633,604 $644,720 $11,116 $1,040 $1,164 $1,176 $12 $156,565 $172,380 $175,423 $3,043 $1,519 $1,659 $1,680 $21 $312,229 $344,035 $350,081 $6,046 $1,046,384 $1,152,842 $1,173,080 $20,238 - - - $1,479 $301,218 $306,595 $308,074 22.0 Transportation of Things $3,198 $2,837 $2,751 ($86) 23.1 Rental Payments to GSA $131,806 $114,477 $109,318 ($5,159) ($83) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources $2,481 $2,266 $2,183 $38,515 $33,616 $33,822 $206 $113 $102 $92 ($10) $114,241 $37,813 $103,287 $33,888 $109,705 $30,586 $6,418 ($3,302) $30,426 $26,513 $25,580 ($933) $1,369,301 $1,225,596 $1,111,027 ($114,569) $133,529 $119,564 $108,381 ($11,183) $29,794 $25,880 $25,013 ($867) $4,356 $3,900 $3,536 ($364) 26.0 Supplies and Materials $44,589 $39,207 $38,065 ($1,142) 31.0 Equipment $14,062 $12,779 $9,214 ($3,565) $6,602 $5,858 $5,267 ($591) $10,016 $8,735 $8,470 ($265) $2,272,060 $2,065,100 $1,931,084 ($134,016) Adjustments - - - - Unobligated Balance, start of year - - - - 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes 143 Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $3,318,444 $3,217,942 $3,104,164 ($113,778) - - 7,973 7,973 Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 144 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Homeland Security Investigations Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $838,111 $876,967 $887,243 $10,276 $1,827 $1,915 $1,937 $22 $161,828 $169,174 $171,169 $1,995 $444,024 $464,434 $469,915 $5,481 $1,445,790 $1,512,490 $1,530,264 $17,774 - - - $6,246 $31,799 $29,319 $35,565 22.0 Transportation of Things $8,339 $6,613 $7,149 $536 23.1 Rental Payments to GSA $137,800 $134,827 $174,207 $39,380 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction $4,128 $3,722 $4,138 $416 $33,036 $31,849 $39,922 $8,073 $6 $6 $7 $1 25.1 Advisory and Assistance Services $33,761 $31,025 $38,356 $7,331 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources $76,262 $31,914 $67,605 $31,755 $79,466 $41,187 $11,861 $9,432 25.4 Operation and Maintenance of Facilities $33,734 $33,593 $43,644 $10,051 $322 $314 $397 $83 $28,960 $28,146 $35,969 $7,823 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons $73 $73 $96 $23 26.0 Supplies and Materials $22,524 $22,347 $28,933 $6,586 31.0 Equipment $20,839 $20,599 $26,411 $5,812 $8,157 $8,176 $10,626 $2,450 $277 $278 $365 $87 $15,906 $15,809 $20,601 $4,792 32.0 Land and Structures 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 44.0 Refunds 91.0 Unvouchered Total, Other Object Classes Adjustments 145 $18 $16 $18 $2 $2,853 $2,806 $3,609 $803 $490,708 $468,878 $590,666 $121,788 - - - - Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $1,936,498 $1,981,368 $2,120,930 $139,562 - - 8,706 8,706 Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 146 Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Office of Principal Legal Advisor Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits 11.1 Full-time Permanent $117,227 $150,040 $144,584 ($5,456) 11.3 Other than Full-Time Permanent $6,522 $8,347 $8,044 ($303) 11.5 Other Personnel Compensation $1,028 $1,315 $1,267 ($48) $44,613 $57,102 $55,026 ($2,076) $169,390 $216,804 $208,921 ($7,883) 21.0 Travel and Transportation of Persons $6,793 $3,267 $8,416 $5,149 22.0 Transportation of Things $1,708 $822 $2,116 $1,294 23.1 Rental Payments to GSA $16,841 $8,100 $20,864 $12,764 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction $0 $0 $0 $0 $807 $388 $1,000 $612 $8 $4 $10 $6 $10,283 $4,946 $12,740 $7,794 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources $1,484 $215 $714 $104 $1,838 $267 $1,124 $163 25.4 Operation and Maintenance of Facilities $2,758 $1,327 $3,417 $2,090 $0 $0 $0 $0 $4,163 $2,003 $5,159 $3,156 25.1 Advisory and Assistance Services 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment $0 $0 $0 $0 $968 $465 $1,199 $734 $1,909 $918 $2,365 $1,447 32.0 Land and Structures $0 $0 $0 $0 41.0 Grants, Subsidies, and Contributions $0 $0 $0 $0 $66 $32 $81 $49 44.0 Refunds $0 $0 $0 $0 91.0 Unvouchered $0 $0 $0 $0 $48,003 $23,090 $59,472 $36,382 42.0 Insurance Claims and Indemnities Total, Other Object Classes Adjustments 147 Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements Full Time Equivalents $217,393 $239,894 $268,393 $28,499 1,264 1,471 1,552 81 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 148 Exhibit L. Permanent Positions by Grade Department of Homeland Security U.S. Immigration and Customs Enforcement Operations and Support Permanent Positions by Grade Grades and Salary Range Total, SES Total, EX GS-15 GS-14 GS-13 GS-12 GS-11 GS-10 GS-9 GS-8 GS-7 GS-6 GS-5 GS-4 GS-2 Other Graded Positions Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Foreign Field Total, Operations and Support: Full Time Equivalents Average ES Salary Average GS Salary Average Grade 149 FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Pos. 86 1 1,062 3,248 7,478 3,204 3,116 28 947 754 727 41 138 12 1 1 20,844 1,757 19,087 2,325 17,938 581 20,844 Pos. 85 1 1,048 3,206 7,379 3,162 3,075 28 935 744 717 41 136 12 1 20,570 1,646 18,924 2,294 17,702 574 20,570 Pos. 86 1 1,054 3,224 7,420 3,180 3,092 28 940 748 721 41 137 12 1 20,685 1,744 18,941 2,308 17,800 577 20,685 Total 1 0 6 18 41 18 17 0 5 4 4 0 1 0 0 19,417 19,592 19,655 115 98 17 14 98 3 115 63 241,117 154,612 13 182,447 155,641 13 178,032 93,619 13 (4,415) (62,022) - Exhibit M. Changes in Full Time Employment FY 2015 Revised Enacted FTE Grades and Salary Range FY 2016 Enacted FTE FY 2017 Request FTE Increases Transfer to O&S Approp/M&A PPA from S&E Approp/PC&B PPA Transfer to O&S Approp/M&A PPA from S&E Approp/HQ Managed IT PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Custody Operations PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Fugitive Operations PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Criminal Alien Program PPA Transfer to O&S Approp/ERO PPA from S&E Approp/Alternatives to Detention PPA Transfer to O&S Approp/ERO PPA from S&E Approp/TRP PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Domestic Investigations PPA Transfer to O&S Approp/HSI PPA from S&E Approp/International Investigations PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Visa Security Program PPA Transfer to O&S Approp/HSI PPA from S&E Approp/Intelligence PPA Transfer to O&S Approp/OPLA PPA from S&E Approp/OPLA PPA - - 1,075 349 5,203 829 1,631 248 62 8,020 225 71 390 1,552 - - 19,655 Decreases Year End Actuals/Estimated FTEs: 150 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits.................................................................................. 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level................................... 3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...................................................................... 5 C. FY 2017 Investment Summary - Appropriation Level ................................................................................ 6 Schedule II – Program, Project, Activity (PPA) Exhibits........................................................................................ 7 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level.......................................................................... 7 Schedule III – Other Exhibits................................................................................................................................. 28 Exhibit E. Justification of Proposed Legislative Language............................................................................ 28 Exhibit F. Summary of Fee Collections and Carryover ................................................................................. 29 Exhibit G. Summary of Reimbursable Resources .......................................................................................... 30 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ................................. 31 Exhibit I. Capital Investment and Construction Initiative Listing.................................................................. 32 Exhibit J. Object Class Breakout by Appropriation ....................................................................................... 34 Exhibit K. Object Class Breakout by PPA ..................................................................................................... 36 Exhibit L. Permanent Positions by Grade....................................................................................................... 38 Exhibit M. Changes in Full Time Employment.............................................................................................. 39 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Summary of FY 2017 Budget Estimates by Program, Project, and Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount Management and Administration - - $26,000 - - $53,000 - - $50,230 - - ($2,770) Automation Modernization - - $26,000 - - $53,000 - - $43,230 - - ($9,770) Construction - - - - - - - - $7,000 - - $7,000 Total, Procurement, Construction, and Improvements - - $26,000 - - $53,000 - - $50,230 - - ($2,770) Subtotal, Enacted Appropriations & Budget Estimates - - $26,000 - - $53,000 - - $50,230 - - ($2,770) Less: Adjustments for Other Funding Sources - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $26,000 - - $53,000 - - $50,230 - - ($2,770) * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. Overview Procurement, Construction and Improvements (PC&I) provide funds necessary for the planning, operational development, engineering and purchase of one or more assets (which hereinafter also refers to end items) prior to sustainment. Information Technology (IT) ­ related PC&I may consist of one or more end items which provide useful software and/or hardware in an operational (production) environment, including non-tangible assets. Unless otherwise stipulated by regulation or statute, an end item or improvement project purchased with PC&I funding has: • Personal Property, a unit cost of greater than $250,000, and/or • Real Property, a unit cost of greater than $2 million. 3 The PC&I Appropriation is a zero-based budget request. All investments within the appropriation are justified for the budget year with previous year’s investment levels provided. U.S. Immigration and Customs Enforcement (ICE) programs funded through the PC&I appropriation support the maintenance, deployment, and modernization of facilities and IT applications, systems, and infrastructure that enable ICE to administer and enforce customs and immigration laws. Within the Common Appropriations Structure (CAS), the PC&I appropriation contains one Program, Project, and Activity (PPA): Management and Administration (M&A). In FY 2017, ICE requests the following funding (by project) in the PC&I M&A PPA: • $21.0M for TECS Modernization, which is a multi-year program to modernize the legacy TECS case management functionality and support ICE’s role as the primary investigative arm of DHS. TECS is the principal information-sharing platform used by stakeholders across DHS to determine admissibility of persons into the U.S. ICE Homeland Security Investigations (HSI) is the primary case management system user; however, the Office of Professional Responsibility (OPR) also requires system functionality. This funding will support replacement of obsolete mainframe technology with enhanced case management functionality required to conduct criminal investigations. • $11.8 million for the Consolidated ICE Financial Solution (CIFS) to support the migration of ICE’s financial data from the current legacy system to a shared service provider (SSP), enhancing access to financial management data and improving reporting. CIFS is the ICE-operated, core financial system that provides financial management services for ICE and its five DHS customer components. CIFS fulfills the Office of Management and Budget (OMB) guidance for standardized processes, reduced manual data entry, and increased access to financial management data. Funding will allow CIFS to improve program management through business process re-engineering, training, data conversion, business intelligence activities, and interface development in FY 2017. • $10.4 million for Critical Foundational Infrastructure (CFI) to ensure that ICE personnel can continue to access their desktop computing environment, perform general office productivity tasks, and access ICE’s and other DHS components’ enterprise applications. Funding will support technology refresh of ICE’s CFI in order to strengthen its IT infrastructure, reduce operations and maintenance (O&M) costs, and ensure continuous IT operational support for ICE’s mission in FY 2017. • $7.0 million for Critical Life and Safety Infrastructure Repairs to provide essential maintenance and repairs at ICE-owned facilities that have exceeded life expectancy and may be at risk of failure. Such failures would put ICE detainees and employees at risk, creating unplanned transportation and lodging costs should ICE need to relocate to other facilities. Funding also includes repairs needed to meet Americans with Disabilities Act (ADA) regulations concerning accessibility to roadways and entrances. 4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount - - $26,000 $53,000 $37,993 - - $53,000 $53,000 - - ($53,000) ($53,000) ($53,000) $50,230 - - $21,000 $11,800 $10,430 $7,000 $50,230 $50,230 $50,230 ($2,770)) Transfers to and from other accounts: From Automation Modernization Approp to PC&I Approp/M&A PPA Total Transfers Decreases Termination of One-Time Costs Total, Decreases Total Other Adjustments Total Adjustments-to-Base FY 2017 Current Services Program Changes Increases TECS Modernization Consolidated ICE Financial Solution Critical Foundation Infrastructure Critical Life Safety and Infrastructure Repairs Total, Increases Total Program Changes FY 2017 Request FY 2016 to FY 2017 Change 5 C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) Management and Administration Management and Administration TECS Modernization Consolidated ICE Financial Solution FY 2015 Revised Enacted $21,000 $5,000 Total $26,000 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. 6 FY 2016 Enacted FY 2017 Request $21,500 $21,000 $5,000 $26,500 $11,800 $32,800 Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Management and Administration Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From Automation Modernization Approp to PC&I Approp/M&A PPA Termination of One-Time Costs Program Changes TECS Modernization Consolidated ICE Financial Solution (CIFS) Critical Foundation Infrastructure Critical Life Safety and Infrastructure Repairs Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 26,000 53,000 - - 53,000 (53,000) 21,000 11,800 10,430 7,000 50,230 (2,770) PPA DESCRIPTION: M&A provides the full range of mission and operational support capabilities for ICE’s program offices. M&A services funded by the PC&I appropriation include: o Delivering technical infrastructure support, tactical communications, and centrally supported applications to provide employees with the necessary tools and resources to carry out assignments; o Ensuring 24/7 availability of mission critical systems and core infrastructure services including networks, voice communications, and video conferencing; o Delivering IT services to customers in more than 800 sites worldwide, providing remote and on-site technical/service desk support to employees to ensure continuous operations of ICE servers and equipment, and supporting office relocations where IT equipment is needed; o Providing enterprise-wide productivity tools, such as Microsoft SharePoint, to ICE mission offices; o Gathering end user requirements to recommend cost-effective, leading edge IT solutions to support ICE’s mission; and 7 o Managing the essential repair and maintenance at ICE-owned facilities to remedy life and safety issues. The M&A PPA is comprised of the Automation Modernization and Construction Sub-PPAs. In FY 2017, ICE M&A requests $50.2 million; 0 full-time positions (FTP) positions; and 0 full-time equivalents (FTE) for PC&I to support the program mission. The FY 2017 request reflects an increase of $24.2 million from the FY 2015 Enacted amount and a decrease of $2.8 million from the FY 2016 Enacted level. Program Activities FY 2017 Total Request (Dollars in Thousands) $43,230 $7,000 $50,230 Automation Modernization Construction M&A Total Request The FY 2017 request, as compared to the FY 2016 Enacted level, includes the following total changes for the M&A PPA: o A decrease for Automation Modernization of $9.8 million; and o An increase for Construction of $7.0 million. The FY 2017 request includes adjustments-to-base (ATB) of $53.0 million in the M&A PPA for PC&I that was previously appropriated to the Automation Modernization legacy appropriation. ATBs reflect a decrease of $53.0 million to terminate the one-time costs associated with the following Automation Modernization initiatives - TECS Modernization, CIFS, ICE Operational Data Store, Tactical Communications, and technical refresh. 8 Department of Homeland Security U.S. Immigration and Customs Enforcement Management and Administration Justification of Program Changes (Dollars in Thousands) Program Increase 1: TECS Modernization – Automation Modernization PPA: Management and Administration Program Increase: FTP 0, FTE 0, $21,000 FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Increase: TECS Modernization ­ Automation Modernization Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) - - $21,000 $21,000 $21,000 Description of Item: The FY 2017 request includes $21.0 million for the TECS Modernization program, a multiyear initiative to modernize ICE’s case management functionality. Funding of $5.4 million for investment maintenance is included in the Operations and Support Homeland Security Investigations PPA. Justification: The current TECS system’s technology is aging, costly, and difficult to sustain. ICE requires a modernized TECS system to: • Acquire, manage, and share law enforcement and criminal justice information on subjects of interest (e.g., people and organizations) with other law enforcement agencies (LEA) in association with investigations, legal proceedings, and intelligence efforts; • Assess and support the management of investigative and intelligence activities; and • Access and share DHS law enforcement and criminal justice information to law enforcement and criminal justice information maintained by other LEAs and intelligence organizations. The Investigative Case Management System will provide improved case management functionality to more than 6,800 ICE Special Agents, assigned to more than 200 cities throughout the United States and in 46 countries around the world. 9 The ICE TECS Modernization program will achieve Initial Operating Capability (IOC) in FY 2016. The requested $21.0 million in FY 2017 will enable TECS Modernization to reach Full Operating Capability (FOC) by the end of FY 2017. The funding will allow the program to address items that arise from the IOC deployment and continue the FOC build out of HSI investigative case management functionality. FOC planned functionality includes mobile support, operational efficiencies, system consolidation, and providing investigative case management functionality for OPR and Enforcement and Removal Operations (ERO). Cost (Dollars in Thousands) $6,000 $1,500 $2,000 $500 $5,000 $4,000 $1,000 $1,000 $21,000 Activity Development Support Data Warehousing Product Adaptation Interfaces Data Center Licenses Training Help Desk Total FY 2017 Funding Impacts on Performance: • Case Management: Improves case management by enhancing person-centric dashboards, creating an electronic discovery package consisting of case management documents (e.g., Operation Plans) with labeling and redacting capabilities, and enhancing IOC documents. • Subject Records: Creates additional fields to insert remarks and enhance communication with other LEAs, addresses validation for better data quality and consistency across subject records, and adds key ICE investigative elements to subject records (e.g., tunnel information, firearms, trade data, and other enhancements to IOC features). • Interfaces: Creates interfaces with outside IT systems and improves interoperability with DHS and other federal law enforcement partners, such as U.S. Citizenship and Immigration Services (USCIS), the Department of Justice’s Executive Office for Immigration Review, U.S. Customs and Border Protection, and the Federal Bureau of Investigation. • Universal Updates: Implements the following functionality that appears throughout the system in multiple screens and modules: media tagging; capability to save search criteria for streamlined searching; ability to manage (save/delete) notifications; full utilization of audio, video, and other multi-media information; and geospatial mapping. • Technical Updates: Implements remaining technical requirements needed to support FOC functionality (e.g., system mobility). 10 Department of Homeland Security U.S. Immigration and Customs Enforcement Management and Administration Justification of Program Changes (Dollars in Thousands) Program Increase 2: Consolidated ICE Financial Solution – Automation Modernization PPA: Management and Administration Program Increase: FTP 0, FTE 0, $11,800 FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Increase: Consolidated ICE Financial Solution (CIFS) - Automation Modernization Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) - - $11,800 $11,800 $11,800 Description of Item: In FY 2017, ICE requests $11.8 million for CIFS, which will replace the legacy core financial system used by ICE and its five DHS customer components: USCIS, Science and Technology (S&T), National Protection and Programs Directorate (NPPD), Office of Health Affairs (OHA), and Department Management and Operations (DMO). The program anticipates that IOC will be October 2018 and FOC within 12 to 18 months from IOC. Implementation of CIFS is an integral part of the Department’s Financial Systems Modernization (FSM) initiative and primarily consists of migrating ICE and its Customer Components to a SSP environment. The FSM initiative is an integrated financial, acquisition, and asset management solution; however, ICE will remain as the financial transaction provider for its Customer Components. Amongst other benefits, the ICE migration to a SSP will help the agency obtain favorable cost efficiencies, standardize data and reporting requirements, and streamline financial operations. Justification: ICE and its customers will migrate to a SSP environment, which will improve daily operations and how the agencies manage its processes. The SSP solution is necessary for ICE and its customers to maintain proprietary financial management data. The SSP uses existing federal financial management system infrastructure per OMB guidance to standardize processes, reduced manual data entry, increase access to financial management data, and decrease costs. 11 The table below shows the proposed actions and associated funding for this initiative: Sub-Project Program Management Office (PMO) Business Process Reengineering /Training Cost (Dollars in Thousands) $3,000 $4,000 Data Conversion and Repository $1,500 Business Intelligence $1,500 Interface Development $1,600 Other Direct Costs Total $200 Achievement • Develop program artifacts to support gouvernance and acquisition reviews • Conduct workplace evaluation and define target operating environment • Develop target environment processes and procedures • Implement new processes and procedures • Develop a training plan for system and processes • Complete data analysis and cleanup activities • Implement data repository and licenses • Convert historical data • Determine business intelligence requirements • Develop and test reports and other tools • Establish interface development plan • Develop and test application program interfaces • Engage with ICE operational centers and SSP service centers Delivery Date(s) • FY 2017 Q1-Q4 • FY 2017 Q2 • FY 2017 Q3 • FY 2017 Q4 • FY 2017 Q3-Q4 • FY 2017 Q4 • FY 2017 Q4 • FY 2017 Q4 • FY 2017 Q3-Q4 • FY 2017 Q3-Q4 • FY 2017 Q2-Q4 • FY 2017 Q2-Q4 • FY 2017 Q1-Q4 $11,800 Impacts on Performance: ICE can streamline financial operations by using an SSP solution that eliminates manual work-arounds for business processes. This will enable ICE to provide more effective and efficient accounting services to its customers. To promote a smoother transition, ICE and customers are documenting detailed requirements, determining business process changes, and cleaning and storing historical financial data in a non-proprietary solution. 12 Department of Homeland Security U.S. Immigration and Customs Enforcement Management and Administration Justification of Program Changes (Dollars in Thousands) Program Increase 3: Critical Foundation Infrastructure – Automation Modernization PPA: Management and Administration Program Increase: FTP 0, FTE 0, $10,430 FY 2015 Revised Enacted FTP FTE Dollars ($000) Program Increase: Critical Foundation Infrastructure - Automation Modernization Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) - - $10,430 $10,430 $10,430 Description of Item: In FY 2017, ICE requests $10.4 million for Critical Foundational Infrastructure to update outdated equipment, which will strengthen ICE’s IT infrastructure, reduce O&M costs, and ensure continuous IT operational support for ICE’s mission. Justification: ICE IT infrastructure is operating at the absolute minimum level and outdated IT infrastructure must be refreshed. The table below explains the planned refresh work and associated costs: Project (Priority) Desktop Computing Planned Refresh Work Deploy 4,867 workstations (laptops and/or virtual desktops) Cost (Dollars in Thousands) Details / Cost Breakdown • $7,805 Procure 4,867 units at $1,323.50 each, plus an additional $280 per unit for deployment support (site survey, system design, and system integration). 13 Project (Priority) Planned Refresh Work Security Operations Center (SOC) Tools Refresh security tools required to maintain current capabilities (Audit Log Management and Memory Forensics Tool Refresh) Total Cost (Dollars in Thousands) $2,625 Details / Cost Breakdown • • • • • Host Intrusion Prevention ($142,800) Audit Log Management ($1,254,000) Memory Forensics for High Value Targets ($358,900) Vulnerability Scanning, Infrastructure ($421,600) Vulnerability Scanning, Mobile ($447,700) $10,430 ICE has identified the following performance milestones for all systems in the ICE CFI refresh: Performance Milestone Conduct site survey, complete technical refresh design, and begin system deployment Complete system deployment Date FY 2017 Q1- Q4 FY 2018 Q4 Impacts on Performance: Failure to invest in IT Infrastructure results in unscheduled downtime of ICE mission critical systems and increases the risk of a cybersecurity incident. If this effort is not funded, estimated annual O&M costs will increase between 150 percent and 200 percent, eclipsing the cost of the technical refresh within 18 months. This rapidly elevating cost is because of the failure and emergency replacement of the, outdated servers, switches and circuits that are no longer supported by the manufacturer and beyond their standard life expectancy.] 14 Department of Homeland Security U.S. Immigration and Customs Enforcement Management and Administration Justification of Program Changes (Dollars in Thousands) Program Increase 4: Critical Life Safety and Infrastructure Repairs - Construction PPA: Management and Administration Program Increase: FTP 0, FTE 0, $7,000 FY 2015 Revised Enacted FTP FTE Dollars ($000) FY 2016 Enacted FTP FTE Dollars ($000) Program Increase: Critical Life Safety and Infrastructure Repairs - Construction Subtotal, Program Increases Total Request FY 2017 Request FTP FTE Dollars ($000) - - $7,000 $7,000 $7,000 Description of Item: In FY 2017, ICE requests $7.0 million to provide essential maintenance and repairs at two ICE-owned facilities. The ICE-owned portfolio consists of over 400 buildings and structures, 1.5 million square feet of building space and 3.8 million square feet of structures at 1) sites, situated on 618 acres of land. ERO, as the primary tenant, operates Service Processing Centers (SPCs) and related mission operations at five ICE-owned sites. These facilities accommodate approximately 3,550, or 11 percent, of ICE detainees. The other 13 owned locations are used to house and support ICE field operations such as the Border Enforcement Security Task Forces (BESTs), Criminal Alien Program (CAP), and other investigative, legal, and administrative staff. The construction program provides funds to build, maintain, and repair ICE-owned operational facilities, such as medical screening, processing, administrative, housing, and support facilities, needed to support the detention and processing of aliens. Justification: The table below shows the proposed actions and associated funding for this initiative: Facility Port Isabel SPC State Work Description TX Required life safety repairs that include installation of a fire alarm system for an entire campus, site flow tests and replacement of loaded sprinklers, repairs to the roof of the electronics building, and replacement of shower floors in Alpha, Bravo, Charlie, and Delta Dormitories. Conduct critical repairs to the water treatment plant and 15 Amount (Dollars in Thousands) $6,014 Facility State Amount (Dollars in Thousands) Work Description replace 15 A/C units as identified in Facility Condition Assessments. Batavia SPC NY Replacement of the microwave detection system protecting the perimeter. $986 Total $7,000 Impacts on Performance: At the requested funding level, ICE will remediate the high priority issues listed above. Failure to fund this initiative is likely to lead to adverse findings from audits performed by ICE, DHS, and DHS Office of Inspector General. 16 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Cost Drivers (Pay & Benefits) – PPA Level (Excludes Reimbursables) ($000s) FY15 Revised Enacted FTP FTE Amount FY16 Enacted Avg Cost FTP FTE Amount FY17 Request Avg Cost FTP FTE Amount FY 2016 to FY 2017 Change Avg Cost FTP FTE Amount Avg Cost Civilian Total - - - - - - - - - - - - - - - - Military Total - - - - - - - - - - - - - - - - * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: N/A. Positions are funded in the Operations and Support (O&S) appropriation. 17 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Cost Drivers (Non-Pay) – PPA Level ($000s) 2015 Enacted Procurement, Construction and Improvements – PPA 1 FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) TECS Modernization Contracts $10,702 $21,500 $21,000 ($500) Consolidated ICE Financial Solution Contracts $5,000 $5,000 $11,800 $6,800 Critical Foundational Infrastructure Equipment $0 $4,000 $10,430 $6,430 Operation and Maintenance of Facilities $0 $0 $7,000 $7,000 $15,702 $30,500 $50,230 $19,730 Total * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all non-pay information. • TECS Modernization Contracts: The FY 2017 funding will pay for costs such as development support, data warehousing, licenses, and interfaces that will enable ICE to reach FOC. • Consolidated ICE Financial System Contracts: The FY 2017 funding will provide contract support that will assist ICE and its customer components in the migration from the legacy financial system to a SSP. • Critical Foundational Infrastructure Equipment: The FY 2017 funding will purchase nearly 5,000 workstations in the second year of a multiyear IT infrastructure refresh. • Operation and Maintenance of Facilities: The FY 2017 funding will be used to remediate health and safety issues identified at two ICE-owned facilities. 18 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Automation Modernization FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Automation Modernization Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From Automation Modernization Approp to PC&I Approp/M&A PPA Termination of One-Time Costs Program Changes TECS Modernization Consolidated ICE Financial Solution (CIFS) Critical Foundation Infrastructure Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 26,000 53,000 - - 53,000 (53,000) 21,000 11,800 10,430 43,230 (9,770) SUB-PPA JUSTIFICATION: Automation Modernization Sub-PPA funding provides critical IT capabilities that support ICE’s front-line personnel while enabling improved information sharing with DHS and partner organizations. Automation Modernization ensures that ICE can develop, modernize, and enhance its IT to support ICE in achieving its mission efficiently and effectively. Activities funded by the Automation Modernization Sub-PPA strengthen law enforcement information availability, enhance financial management and audit practices across ICE, and improve case management capabilities through key IT applications, systems, and infrastructure. QHSR Alignment 1.1 Prevent Terrorist Attacks Three key initiatives are currently underway to enhance and modernize core infrastructure applications: 3.2 Prevent Unlawful Immigration TECS Modernization 4.2 Secure the Federal Civilian Government Information Technology Enterprise 2.3 Disrupt and Dismantle Transnational Criminal Organizations and Other Illicit Actors ICE TECS Modernization is a multiyear investment to modernize the legacy TECS case management functionality while supporting ICE’s mission of serving as the primary investigative arm of DHS. The current legacy TECS system, the primary investigative case management solution for ICE Special Agents, relies on aging technology that is costly and difficult to sustain due to the limited availability of subject matter experts for ongoing support. The modernized version of TECS will include case management 19 enhancements that streamline information processing and provide additional capabilities, such as mobile system access and database integration that are currently unavailable in the legacy system. In FY 2017, ICE requests $21.0 million for TECS Modernization to support the following activities: • • • • • • • • Enhance user interface and search capabilities; Improve data quality and integration; Improve collaboration between agents and supervisors; Improve accuracy and management of statistics; Improve interoperability with other systems; Align to DHS/ICE architecture standards for long-term sustainability, reduced support costs, and flexibility to quickly meet evolving mission needs; Work on a scalable platform allowing for the system to change as business needs change; and Develop enhanced interfaces through which agents can access critical data from internal and external partners in support of investigations. Consolidated ICE Financial Solution (CIFS) The CIFS initiative will enable ICE to modernize its core financial system and offer more analytical and data recording capabilities, enhancing ICE’s reporting and decision making capacity. In accordance with OMB guidance, ICE is researching alternatives to migrate to an SSP. Migration to an SSP will allow DHS to pursue a cost effective solution by sharing the cost with a larger pool of users. As part of this initiative, ICE is developing a nonproprietary data repository that will provide a centralized source for data migration and enable ICE to prepare for pre-conversion activities. ICE and its five component customers (USCIS, S&T, NPPD, OHA, and DMO) will use this repository. ICE is also developing a data warehouse for ICE historical financial management data as part of the CIFS program. In FY 2017, ICE requests $11.8 million for CIFS to support the following activities: • • • • • • • Manage project scope, schedule, cost, performance, and program quality; Establish key performance indicators (milestones); Manage lifecycle costs, risks, schedules, and ICE customer migrations; Implement a data warehouse to store historical transactions in order to fully retire the legacy system; Support data analysis and cleanup activities; Implement a data repository to enable audits of historical data and provide efficiencies for operations prior to migration; and Migrate current transactional data to the data repository to report and migrate to an SSP. 20 Critical Foundational Infrastructure (CFI) The CFI investment will ensure ICE personnel can continue to access their desktop computing environment, perform general office productivity tasks, as well as access ICE and DHS component enterprise applications. ICE IT infrastructure is operating at a minimum level, and ICE does not have the necessary resources to refresh outdated IT infrastructure that is reaching end of life. ICE’s aging core infrastructure places mission continuity at risk. ICE must ensure IT systems are secure and available 24/7 by updating outdated equipment. Failure to invest in IT infrastructure could result in unscheduled downtime of ICE mission critical systems and increase the risk of a major cybersecurity incident. If this effort is not funded, unplanned maintenance costs to address failing infrastructure will likely eclipse the cost of the technical refresh within 18 months. The CFI initiative builds upon Automation Modernization projects identified and previously funded under the ICE Atlas Program’s Atlas IT Infrastructure (AITI), Cyber Security Modernization (CSM), and Data Center Migration (DCM) projects. The ICE Atlas Program last received Automation Modernization funding in FY 2011 and all systems delivered by Atlas have transitioned to the ICE IT Infrastructure investment for sustainment. In FY 2017, ICE requests $10.4 million for CFI to support the following activities: • Refresh security tools required to maintain current capabilities such as: o Network Monitoring; o Audit Log Management; o Memory Forensics; and o Deploy and set up 4,867 workstations. 21 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Automation Modernization Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY15 Revised Enacted FTP FTE Amount FY16 Request Avg Cost FTP FTE Amount FY17 Request Avg Cost FTP FTE Amount FY 2016 to FY 2017 Change Avg Cost FTP FTE Amount Avg Cost Civilian Total - - - - - - - - - - - - - - - - Military Total - - - - - - - - - - - - - - - - * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: N/A. Positions are funded in the O&S appropriation. 22 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Automation Modernization Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Procurement, Construction, and Improvements Automation Modernization 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) TECS Modernization Contract $10,702 Consolidated ICE Financial System Contract $5,000 Critical Foundation Infrastructure Equipment Total $15,702 $21,500 $5,000 $4,000 $30,500 $21,000 $11,800 $10,430 $43,230 FY 2016 to FY 2017 Change ($500) $6,800 $6,430 $12,730 NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all non-pay information. • TECS Modernization Contracts: The FY 2017 funding will pay for costs such as development support, data warehousing, licenses, and interfaces that will enable ICE to reach FOC. • Consolidated ICE Financial System Contracts: The FY 2017 funding will provide contract support that will assist ICE and its customer components in the migration from the legacy financial system to a SSP. • Critical Foundational Infrastructure Equipment: The FY 2017 funding will purchase nearly 5,000 workstations in the second year of a multiyear IT infrastructure refresh. 23 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Construction FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Construction Prior Year Base Program Changes Budget Year FY 2015 Revised Enacted FY 2016 Enacted Critical Life Safety and Infrastructure Repairs FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 7,000 7,000 7,000 SUB-PPA JUSTIFICATION: QHSR Alignment Construction sub-PPA funding enables ICE to maintain ICE-owned facilities and provide housing, processing, medical, administrative, and support facilities to meet the needs of ICE ERO, other ICE 1.1 Prevent Terrorist Attacks programs, and DHS tenants. Construction resources are authorized for necessary expenses to plan, construct, renovate, equip, maintain, and repair ICE-owned facilities critical to the administration and 2.3 Disrupt and Dismantle Transnational enforcement of immigration and customs laws. These ICE-owned facilities support the detention of aliens Criminal Organizations and Other Illicit including general housing, medical screening, processing, administrative support, and legal proceedings. Actors These facilities accommodate approximately 11 percent of the detained population with an average daily population (ADP) of 3,550 at the end of FY 2015. In addition, ICE-owned facilities support ICE field 3.2 Prevent Unlawful Immigration operations such as investigations and legal and administrative support functions. This includes HSI, the Office of the Principal Legal Advisor, OPR, the Office of Firearms and Tactical Programs (OFTP), and others. The ICE-owned portfolio consists of over 400 buildings and structures. 1.5 million square feet of building space and 3.8 million square feet of structures at 18 sites, situated on 618 acres of land. ICE owns and operates five secure detention facilities, called SPCs, and related mission operations. The active SPC locations are: Batavia, New York; El Paso, Texas; Florence, Arizona; Miami, Florida; and Los Fresnos, Texas. The other ICE-owned facilities are located in Aguadilla, Puerto Rico; Altoona, Pennsylvania; Broadview, Illinois; Calipatria, California; El Centro, California; Fort Benning, Georgia; Honolulu, Hawaii; Huntsville, Texas; Oakdale, Louisiana; San Pedro, California; St. Thomas, U.S. Virgin Islands; and St. Croix, U.S. Virgin Islands. These locations include space for the BESTs, CAP teams, OFTP, and office space for ICE programs. 24 ICE Construction Sub-PPA funds are no-year funds. ICE reviews prior year spending annually to recover and redirect funds to accomplish vital repair and maintenance projects. Significant projects include the repair, replacement, or alteration of facilities to address health and safety as well as major mission operational issues. Additionally, ICE needs capital improvement projects to replace vital systems that are approaching or have exceeded their maximum life expectancy (deferred maintenance). This includes updating mechanical systems and other important infrastructure necessary to maintain ICE operations. In FY 2017, ICE requests $7.0 million to provide essential maintenance and repairs at ICE-owned facilities. . 25 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Construction Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY15 Revised Enacted FTP FTE Amount FY16 Enacted Avg Cost FTP FTE Amount FY17 Request Avg Cost FTP FTE Amount FY 2016 to FY 2017 Change Avg Cost FTP FTE Amount Avg Cost Civilian Total - - - - - - - - - - - - - - - - Military Total - - - - - - - - - - - - - - - - * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: N/A. Positions are funded in the O&S appropriation. 26 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Construction Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Procurement, Construction, and Improvements - Construction 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Operation and Maintenance of Facilities Total - - $7,000 $7,000 FY 2016 to FY 2017 Change $7,000 $7,000 NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all non-pay information. • Operation and Maintenance of Facilities: The FY 2017 funding will be used to remediate health and safety issues identified at two ICE-owned facilities. 27 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Justification of Proposed Legislative Language For necessary expenses for the administration and enforcement of the laws relating to customs and immigration, including automated systems and the planning, constructing, renovating, equipping, and maintaining of buildings and facilities; $50,230,000; of which $43,230,000 shall remain available until September 30, 2019; and of which $7,000,000 shall remain available until expended. Language Provision Explanation New legislative language for the CAS PC&I For necessary expenses for the administration and enforcement of the laws appropriation that reflects that this appropriation consists of funding for the former Automation Modernization relating to customs and immigration, and Construction appropriations. It also reflects a including automated systems and the decrease of nearly $10 million from the FY 2016 planning, constructing, renovating, equipping, and maintaining of buildings and enacted level for Automation Modernization activities, facilities; $50,230,000; of which $43,230,000 and a $7 million increase from the FY 2016 enacted for Construction-related activities. shall remain available until September 30, 2019; and of which $7,000,000 shall remain available until expended. 28 Exhibit F. Summary of Fee Collections and Carryover Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements (Discretionary Offsetting Fees ONLY) Summary of Fee Collections and Carryover (Dollars in Thousands) • • • • • • • FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request Collections (Actual or Anticipated) Carryover (Includes Recoveries) Portion of Current Year Collection Sequestered Previous Year Sequestered Funds Available - - - - - - - - - - - - Total Budget Authority - - - Statutory Authority: N/A Authorized Uses: N/A Change Mechanism: N/A Previous Changes: N/A Recovery Rate: N/A Forecasting Methodology: N/A Contingency Plan: N/A 29 Exhibit G. Summary of Reimbursable Resources 30 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 31 Exhibit I. Capital Investment and Construction Initiative Listing Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Capital Investment and Construction Initiative Listing The ICE Construction Program provides construction, maintenance, sustainment, and expansion of housing, processing, medical, administrative, and support facilities needed to support the detention of aliens. ICE continues to address the need for detention and support facilities required to handle the processing and removal of aliens during immigration proceedings. Facility Repair & Alterations 1. Project Description, Justification, and Scope ICE continually identifies repair and alteration projects at existing ICE-owned facilities. These projects are not capital construction projects, but maintenance, repair, and alteration projects necessary to maintain government-owned facilities and ensure they comply with safety and health code requirements in support to ICE tenant activities. 2. Significant Changes In FY 2017, ICE will use available balances and the requested $7.0 million in new funding to perform the most critical repairs and alterations to maintain ICE-owned facilities to prevent building structures and systems from becoming defective, which could result in higher repair costs. 3. Project Schedule FY 2017 Request Work Initiated Work Completed N/A N/A Physical Start Physical Complete Total Estimated Cost (Dollars in Thousands) Total Project Cost (Dollars in Thousands) 10/01/2016 3/31/2018 $7,000 $7,000 32 4. Schedule of Project Funding (Dollars in Thousands) Obligation (actual and planned) Expenditure (actual and planned) FY 2015 $0 $3,270 FY 2016 $0 $3,000 FY 2017 $7,000 $4,503 Total $7,000 $10,773 5. Method of Performance The ICE Chief Financial Officer, Office of Asset and Facilities Administration (OAFM) plans, manages, and monitors all construction, maintenance, and repair projects. ICE entered into a MOU with the United States Army Corps of Engineers (USACE) to provide environmental documentation, planning, design, construction, procurement, and project management services. 6. Compliance with Applicable Public Laws, Regulations, Standards, and Executive Orders The USACE is responsible for ensuring ICE projects comply with all applicable laws, code compliance, regulations and standards. ICE OAFM manages and monitors all services provided by USACE. ICE projects must comply with the following life safety codes and standards: • • • Local building codes or the latest edition of one of the model building codes, and the most current International Building Code; National Fire Protection Association Standard 101 Life Safety Code; and National Electric Code. ICE OAFM must also comply with the ICE Detention Design Guidelines (2011 edition) and the ICE Detention Construction Guidelines (2011 edition). ICE facilities must also comply with the Uniform Federal Accessibility Standards, Federal Standard 795, and Americans with Disabilities Act Accessibility Guidelines. 33 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Object Class Breakout by Appropriation (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits - - - - $424 $21 $9,389 $16,166 - $1,201 $60 $26,539 $25,200 - $1,201 $60 $25,439 $7,000 $16,530 - ($1,100) $7,000 ($8,670) - Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.0 Other Contractual Services 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 33.0 Investments and loans 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 43.1 Interest and Dividends 43.2 Immigration Fees 44.0 Refunds 91.0 Unvouchered 93.1 Limitation on expenses 34 Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change 99.0 Subtotal, Obligations 99.5 Below Reporting Threshold Total, Other Object Classes $26,000 $53,000 $50,230 ($2,770) Total, Direct Obligations $26,000 $53,000 $50,230 ($2,770) - - - - $26,000 $53,000 $50,230 ($2,770) Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 35 Exhibit K. Object Class Breakout by Sub-PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Automation Modernization Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $424 $1,201 $1,201 - $21 $60 $60 - $9,389 $26,539 $25,439 ($1,100) $16,166 $25,200 $16,530 ($8,670) $26,000 $53,000 $43,230 ($9,770) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $26,000 $53,000 $43,230 ($9,770) - - - - 21.0 Travel and Transportation of Persons 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 36 Department of Homeland Security U.S. Immigration and Customs Enforcement Procurement, Construction, and Improvements Management and Administration Construction Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - - - $7,000 $7,000 - - $7,000 $7,000 Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - - - $7,000 $7,000 - - - - 25.4 Operation and Maintenance of Facilities Total, Other Object Classes Total Requirements Full Time Equivalents 37 Exhibit L. Permanent Positions by Grade 38 Exhibit M. Changes in Full Time Employment 39 Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits .................................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................... 3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level........................................................................................ 4 C. FY 2017 Investment Summary - Appropriation Level ................................................................................................. 5 Schedule II – Program, Project, Activity (PPA) Exhibits .......................................................................................................... 6 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level ............................................................................................ 6 Schedule III – Other Exhibits .....................................................................................................................................................9 Exhibit E. Justification of Proposed Legislative Language ................................................................................................ 9 Exhibit F. Summary of Fee Collections and Carryover....................................................................................................11 Exhibit G. Summary of Reimbursable Resources ...........................................................................................................11 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity .................................................. 13 Exhibit I. Capital Investment and Construction Initiative Listing....................................................................................14 Exhibit J. Object Class Breakout by Appropriation..........................................................................................................15 Exhibit K. Object Class Breakout by PPA........................................................................................................................17 Exhibit L. Permanent Positions by Grade .........................................................................................................................19 Exhibit M. Changes in Full Time Employment................................................................................................................20 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Summary of FY 2017 Budget Estimates by Program, Project, and Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount Homeland Security Investigations 387 357 $151,756 390 316 $145,000 390 316 $145,000 - - - Total, Student and Exchange Visitor Program 387 357 $151,756 390 316 $145,000 390 316 $145,000 - - - Subtotal, Enacted Appropriations & Budget Estimates 387 357 $151,756 390 316 $145,000 390 316 $145,000 - - - - - - - - - - - - 387 357 $151,756 390 316 $145,000 390 316 $145,000 - - - Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: 1. FY 2015 Revised Enacted reflects actual collections. Overview The Student and Exchange Visitor Program (SEVP) enhances national security by collecting, maintaining, and providing reliable information on foreign students, exchange visitors, and the schools and exchange programs that host them. SEVP is an enforcement program that keeps our nation safe while facilitating the participation of students and exchange visitors in academic programs in the United States. Within the Common Appropriation Structure (CAS), the SEVP aligns to the Homeland Security Investigations (HSI) Program, Project, and Activity (PPA). HSI's criminal investigators protect the U.S. against terrorist and other criminal organizations that threaten public safety and national security. HSI brings to justice those seeking to exploit our customs and immigration laws worldwide. Within HSI, the National Security Investigations Division administers SEVP. Through SEVP, ICE oversees the School Certification Program and manages the Student and Exchange Visitor Information System (SEVIS), a web-based system for maintaining information on international students and exchange visitors (F, M, and J visa classifications) in the U.S. Funds made available through SEVP are used to collect, maintain, analyze, and provide information so that only legitimate foreign students or exchange visitors can gain entry into the United States, while protecting the nation’s security. 3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program FY 2016 to FY 2017 Budget Change- Appropriation Level (Dollars in Thousands) Pos. FY 2015 Revised Enacted1 387 FY 2016 Enacted 390 Adjustments-to-Base FY 2017 Current Services 390 FY 2017 Request 390 FY 2016 to FY 2017 Change - 1. FY 2015 Revised Enacted reflects actual collections. 4 FTE 357 316 316 316 - Amount $151,756 $145,000 $18,628 $145,000 $145,000 ­ C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) Student and Exchange Visitor Program SEVIS Total 5 FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request $17,152 $18,150 $18,628 $17,152 $18,150 $18,628 Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Homeland Security Investigations FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Student and Exchange Visitor Program Prior Year FY 2015 Revised Enacted1 Base FY 2016 Enacted Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 1. Positions 387 390 390 - FTE 357 316 316 - Amount $151,756 $145,000 $145,000 - FY 2015 Revised Enacted reflects actual collections. PPA DESCRIPTION: SEVP ensures that non-immigrants with F, M, and J visas comply with visa rules and immigration laws. SEVP oversees legitimate foreign students and exchange visitors who gain entry to the U.S. while preventing terrorists and criminals from exploiting the system. QHSR Alignment 1.1 Prevent Terrorist Attacks SEVP also provides funding to the Counterterrorism and Criminal Exploitation Unit (CTCEU) within 3.1 Strengthen and Effectively ICE’s National Security Investigations Program. CTCEU identifies and conducts criminal investigations Administer the Immigration System into exploitation of SEVP and/or SEVIS. CTCEU uses SEVIS to identify foreign students and exchange 3.2 Prevent Unlawful Immigration visitors who fail to enroll or maintain their status. CTCEU also manages Project Campus Sentinel (PCS), an outreach project focused on SEVP-certified schools. Through PCS, CTCEU builds partnerships between ICE field offices and academic institutions enabling ICE to address school fraud, visa exploitation, and non-immigrant student threats. The SEVP manages SEVIS to collect, maintain, analyze, and provide information through a web-based platform on schools, programs, nonimmigrant students, exchange visitors, and dependents participating in the visa system. SEVIS provides timely administrative and enforcement information to DOS, U.S. Customs and Border Protection (CBP), U.S. Citizenship and Immigration Services (CIS), and the CTCEU within ICE. 6 In FY 2017, ICE HSI plans an annual budget of $145.0 million; 390 full-time positions (FTP); and 316 full-time equivalents (FTE) for SEVP. The FY 2017 budget reflects an increase of 3 FTP and a decrease of 41 FTE from FY 2015 and no change from FY 2016. Funding will support salaries, benefits, and operational expenses. In FY 2017, SEVP will perform the following: • • • • • • Manage certification of schools providing education to F and M non-immigrant students and dependents in the U.S.; Collect fees from F and M non-immigrant students and J exchange visitors; Coordinate with the Department of State (DOS) regarding J exchange visitors; Oversee policies and reporting requirements for F and M non-immigrant students and J exchange visitors; Enforce administrative requirements for F and M non-immigrant students; and Manage the content and functionality of Study in the States, which is a Department of Homeland Security (DHS) website that provides resources, tools, and news for F and M non-immigrant students and school officials. 7 Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Homeland Security Investigations Cost Drivers (Pay & Benefits) – PPA Level (Excludes Reimbursables) ($000s) FY15 Revised Enacted FTP FTE Amount FY16 Enacted Avg Cost FTP FTE FY17 Request Amount Avg Cost FTP FTE FY 2016 to FY 2017 Change Amount Avg Cost FTP FTE Amount Avg Cost Civilian Total 387 357 $49,453 $139 390 316 $51,285 $162 390 316 $53,185 $168 - - $1,900 6 Military Total - - - - - - - - - - - - - - - - NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: There is no FTE change for SEVP in FY 2017. • PCB Change FY 2016-2017: The increase to salaries and benefits is due to within grade increases, promotions, the 1.6 percent pay raise • Average Cost Change FY 2016-2017: The average cost increase between FY 2016 and FY 2017 includes within grade increases, career ladder promotions, and the pay raise. 8 Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Homeland Security Investigations Cost Drivers (Non-Pay) – PPA Level ($000s) 2015 Revised Enacted Student and Exchange Visitor Program FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) Advisory & Assistance Services $40,652 $44,229 $44,229 $0 SEVIS $10,995 $13,487 $13,487 $0 CTCEU Contracts $10,622 $10,397 $10,397 $0 Government Services (MOU’s) $13,582 $9,997 $9,997 $0 $1,059 $807 $807 $0 $76,910 $78,917 $78,917 $0 CTCEU Fuel/Vehicle Maintenance Total NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Advisory & Assistance Services: SEVP has contracts that enable strategic development and closing of program vulnerabilities. • SEVIS: This funding supports agile developed modernization of the student portal, information sharing, information management, applying for certification/designation, adjudication and tracking compliance. • Government Services (MOUs): Includes MOUs with Department of State, Department of Commerce, Federal Emergency Management Agency and DHS Science and Technology. • CTCEU Contracts: Contracts inform management and provide technical expertise in support of agents. • CTCEU Fuel/Vehicle Maintenance: Fuel and Vehicles for agents following up on cases. Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security 9 U.S Immigration and Customs Enforcement Student and Exchange Visitor Program Justification of Proposed Legislative Language N/A 10 Exhibit F. Summary of Fee Collections and Carryover Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Summary of Fee Collections and Carryover (Dollars in Thousands) Historical Collections (In Thousands) FY 2009 SEVP $101,013 FY 2010 FY 2011 $112,479 FY 2012 $112,767 $126,765 FY 2013 $131,477 FY 2014 $140,975 FY 2015 $151,756 • Statutory Authority: The Enhanced Border Security and Visa Entry Reform Act of 2002 mandated that the Department of Homeland Security (DHS) conduct recertification of certified schools every two years. • Authorized Uses: SEVP reviews previously certified schools and adjudicates the recertification to affirm compliance with recordkeeping, retention, and reporting regulations and requirements. The focus of recertification is past performance coupled with a review to ensure that the school maintains its basic eligibility for certification. The process may include an on-site review. • Change Mechanism: The Illegal Immigration Reform and Immigrant Responsibility Act (IIRIRA) codified under Title 8 of the USC Sec. 1372(e)(1), Sec. 1372(e)(4)(A), and Sec. 1372(g)(2) provides ICE with the authority to assess fees. The Secretary of Homeland Security has the authority to both set and revise the fee. ICE is providing an annual budget based on estimated collections and program needs. Any proposed changes in the amounts designated in the annual President’s budget request require congressional reprogramming notification (8 U.S.C. Sec. 1356(r)(4)). • Previous Changes: The most recent fee increase was in 2008. • Recovery Rate: The intent of SEVP is full cost recovery. This fee recovers the full costs of the program including necessary technology refresh. • Forecasting Methodology: Prior year collection amounts provide the basis for estimate for fee revenues and activity costs. • Contingency Plan: SEVP has adequate carryover funding to cover potential short falls in the current year. Exhibit G. Summary of Reimbursable Resources 11 12 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program, Project, and Activity Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program (Dollars in Thousands) Program/Project/Activity Student and Exchange Visitor Program Total Working Capital Fund FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount $259 $259 $243 $243 $123 $123 ($120) ($120) 13 Exhibit I. Capital Investment and Construction Initiative Listing Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Capital Investment and Construction Initiative Listing N/A 14 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Object Class Breakout by Appropriation (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted 1 Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits $30,293 $70 $4,256 $14,834 $49,453 $31,415 $72 $4,415 $15,383 $51,285 $32,579 $75 $4,578 $15953 $53,185 - $742 $7 $9,428 $12 $2,939 $51,647 $1,645 $13,582 $13,656 $100 $1,789 - $732 $10 $9,428 $12 $­ $53,053 $1,645 $13,665 $13,656 $440 $1,074 - $732 $10 $9,428 $12 $­ $51,503 $1,645 $13,665 $13,656 $100 $1,074 - (1,550) (340) - Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.0 Other Contractual Services 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 33.0 Investments and loans 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 43.1 Interest and Dividends 43.2 Immigration Fees 44.0 Refunds 91.0 Unvouchered 93.1 Limitation on expenses 15 Object Classes 2015 2016 2017 FY 2016 to Revised Enacted 1 Enacted Request FY 2017 Change 99.0 Subtotal, Obligations 99.5 Below Reporting Threshold Total, Other Object Classes $95,547 $93,715 $91,815 - Total, Direct Obligations $145,000 $145,000 $145,000 - - - - - $145,000 $145,000 $145,000 - Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 1. FY 2015 Revised Enacted reflects 2015 estimates for fee collections, as submitted with the President’s 2015 Budget. 16 Exhibit K. Object Class Breakout by PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Object Class by PPA (Dollars in Thousands) Object Classes FY 2015 Revised Enacted1 Personnel and Compensation Benefits 11.1 Full-time Permanent 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits FY 2016 to FY 2017 Change - - - $30,293 $31,415 $32,579 - $70 $72 $75 - $4,257 $4,415 $4,578 - $14,834 $15,383 $15,953 - $49,453 $51,285 $53,185 - - - - - Other Object Classes 21.0 Travel and Transportation of Persons FY 2017 Request - 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation FY 2016 Enacted $742 $732 $732 - 22.0 Transportation of Things $7 $10 $10 - 23.1 Rental Payments to GSA $9,428 $9,428 $9,428 - $12 $12 $12 - $2,939 $­ $­ - 25.1 Advisory and Assistance Services $51,647 $53,053 $51,503 (1,550) 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources $1,645 $13,582 $1,645 $13,665 $1,645 $13,655 - 25.7 Operation and Maintenance of Equipment $13,656 $13,656 $13,656 - $100 $440 $100 (340) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 26.0 Supplies and Materials 31.0 Equipment $1,789 $1,074 $1,074 - $95,547 $93,715 $91,815 - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $145,000 $145,000 $145,000 - 357 316 316 - Total, Other Object Classes Total Requirements Full Time Equivalents 1. FY 2015 Revised Enacted reflects 2015 estimates for fee collections, as submitted with the President’s 2015 Budget. Student and Exchange Visitor Program Mission Statement The Student and Exchange Visitor Program administers the School Certification Program and manages the Student Exchange and Visitor Information System (SEVIS), a web-based system for maintaining information on international students and exchange visitors (F, M, and J visa classifications) in the United States. SEVIS is designed to keep our nation safe while facilitating the participation of foreign students and exchange visitors seeking to study in the United States. 17 Summary Justification and Explanation of Changes FY 2015 Revised Enacted 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Salaries & Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change $33,900 $33,900 $33,900 - $78 $78 $78 - $4,764 $4,764 $4,764 - $16,600 $16,600 $16,600 - $55,342 $55,342 $55,342 - Salaries and Benefits includes regular salaries and wages paid to civilian employees for full-time, part-time, temporary, or intermittent employment; compensation above the basic rates paid directly to civilian employees such as overtime, holiday pay, night work differential, hazardous duty pay, supervisory differential, incentive awards, and royalties; and benefits include life insurance, health insurance, employee retirement, work injury disabilities, professional liability insurance, retirement, retention and other incentives. 18 Exhibit L. Permanent Positions by Grade Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Permanent Positions by Grade Grades and Salary Range GS-15 GS-14 GS-13 GS-12 GS-11 GS-9 GS-7 GS-5 Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Total, Student and Exchange Visitor Program: Full Time Equivalents Average ES Salary Average GS Salary Average Grade 19 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. 9 53 207 20 16 56 3 23 387 24 363 170 217 387 Pos. 9 53 210 20 16 56 3 23 390 23 367 170 220 390 Pos. 9 53 210 20 16 56 3 23 390 23 367 170 220 390 Total - 357 316 316 - 94,872 13 94,872 13 94,872 13 - Exhibit M. Changes in Full Time Employment Department of Homeland Security U.S. Immigration and Customs Enforcement Student and Exchange Visitor Program Changes in Full Time Employment FY 2015 Grades and Salary Range Year End Actuals/Estimated FTEs: 20 FY 2016 FY 2017 FY 2015 Revised Enacted FY 2016 FY 2017 Enacted Enacted Pos. 357 Pos. 316 Pos. 316 Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ..............................................................................................................3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ...............................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level..................................................................................................4 C. FY 2017 Investment Summary - Appropriation Level ...........................................................................................................5 Schedule II – Program, Project, Activity (PPA) Exhibits ....................................................................................................................6 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level ......................................................................................................6 Schedule III – Other Exhibits ...............................................................................................................................................................9 Exhibit E. Justification of Proposed Legislative Language ..........................................................................................................9 Exhibit F. Summary of Fee Collections and Carryover..............................................................................................................10 Exhibit G. Summary of Reimbursable Resources .....................................................................................................................11 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ............................................................12 Exhibit I. Capital Investment and Construction Initiative Listing..............................................................................................13 Exhibit J. Object Class Breakout by Appropriation....................................................................................................................14 Exhibit K. Object Class Breakout by PPA..................................................................................................................................16 Exhibit L. Permanent Positions by Grade ...................................................................................................................................18 Exhibit M. Changes in Full Time Employment..........................................................................................................................19 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount Breached Bond Detention Fund - - $65,000 - - $42,000 - - $42,000 - - Total, Breached Bond Detention Fund - - $65,000 - - $42,000 - - $42,000 - - Subtotal, Enacted Appropriations & Budget Estimates - - $65,000 - - $42,000 - - $42,000 - - Less: Adjustments for Other Funding Sources - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $65,000 - - $42,000 - - $42,000 - - Overview Within the Common Appropriations Structure (CAS), the Breached Bond Detention Fund aligns to the Enforcement and Removal Operations (ERO) Program, Project, and Activity (PPA). ERO’s deportation officers and immigration enforcement agents enforce our Nation’s immigration laws by identifying and apprehending removable aliens, detaining these individuals when necessary, and removing them from the United States. Within ERO, the Bond Management Unit (BMU) administers the Breached Bond Detention Fund. The Breached Bond Detention Fund is a repository for money recovered through the collection of breached bonds. Funds cover costs associated with collection, bond management, detention, and litigation activities. Litigation activities target compliance from surety companies found to be delinquent in meeting their obligations. 3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 4 Pos. FTE Amount - - $65,000 $42,000 $42,000 $42,000 - C. FY 2017 Investment Summary - Appropriation Level Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Breached Bond Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 65,000 42,000 42,000 PPA DESCRIPTION: The Breached Bond Detention Fund was established by statute, and all collections in excess of the first $8 million are deposited into the fund 1. Amounts deposited into the fund remain available until expended. This fund covers collection, bond management, detention, and litigation activities. Litigation activities target compliance from surety companies found to be delinquent in meeting their obligations. QHSR Alignment 3.2 Prevent Unlawful Immigration In FY 2017, ICE ERO plans an annual budget of $42.0 million for new Breached Bond Detention Fund collections and spending authority; 0 full-time positions (FTP); and 0 full-time equivalents (FTE). The FY 2017 budget reflects a decrease of $23 million from FY 2015 to reflect projected collections and no change from FY 2016. In FY 2017, ICE will use collections to fund 802 detention beds at a rate of $126.46 and related costs such as healthcare and compliance oversight, support for the BMU, administration of the Breached Bond program, and other allowable costs. The BMU supports field operations by providing guidance related to immigration bond management, while ensuring field compliance with bond laws, regulations, policies, and procedures through training, site visits, and technical oversight. The BMU also coordinates with other ICE programs to facilitate the timely resolution of bond litigation issues, as well as financial reporting to ICE leadership. The remaining 30,111 detention beds are funded by the Operations and Support (O&S) appropriation and Immigration Inspection User Fees. 1 Pursuant to statute, ICE deposits the first $8 million collected into the General Fund of the U.S. Treasury. 6 Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Cost Drivers (Pay & Benefits) – PPA Level (Excludes Reimbursables) ($000s) NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: N/A. The Breached Bond Detention Fund consists of mandatory fee collections, and positions are funded in the O&S appropriation. 7 Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Cost Drivers (Non-Pay) – PPA Level ($000s) 2015 Revised Enacted Breached Bond Detention Fund FY 2016 Request FY 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) Adult Detention Beds Total $59,984 $36,930 $37,019 $89 $59,984 $36,930 $37,019 $89 NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all non-pay information. • Adult Detention Beds: ICE operates in 200+ facilities, which have various detention standards including 2011 Performance-Based National Detention Standards (PBNDS 2011). The costs for detention beds include contract guards, food, and clothing. In FY 2017, ICE will fund 802 detention beds at an average daily rate of $126.46. 8 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Justification of Proposed Legislative Language N/A 9 Exhibit F. Summary of Fee Collections and Carryover Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Summary of Fee Collections and Carryover (Dollars in Thousands) FY 2009 Breached Bond Detention Fund $52,438 FY 2010 $51,971 FY 2011 FY 2012 $48,790 $61,300 FY 2013 $57,260 FY 2014 $50,220 FY 2015 $51,959 • Change Mechanism: There are two sources of revenue for the Breached Bond Detention Fund: (1) Immigration bonds posted for the release of aliens detained by ICE ERO field offices as authorized by Title 8 of the United States Code (U.S.C.) Subsection 103.6; and (2) Application fees authorized by Section 245(i) of the Legal Immigrant and Family Equity (LIFE) Act. ICE or the Executive Office of Immigration Review set the penal amount of bonds. ICE receives a portion of the LIFE Act fees collected by U.S. Citizenship and Immigration Services (USCIS) as specified under the Immigration and Nationality Act (INA) Section 245(i093)(B) codified under 8 U.S.C. Sec. 1255(i)(3)(B). Any proposed changes in the amounts designated in the annual President’s budget request require congressional reprogramming notification (8 U.S.C. Sec. 1356(r)(4)). • Previous Changes: In 1998, Immigration Detention Account receipts merged into this account. The Congress enacted the LIFE Act, which extended the eligibility date for 245(i) of the INA from 1998 to 2000. ICE is unaware of any subsequent changes to this Fee. • Recovery Rate: Title 8 does not specify whether the intention of this fee was full cost recovery. Pursuant to statute, all fees in excess of the first $8 million are available until expended. Fees are not set based on expected costs. • Forecasting Methodology: ICE created a robust Breached Bond Detention Fee revenue prediction model to analyze and apply historical financial data from the Bond Management Information System in an effort to reduce the margin between the projected and actual amounts collected. The model covers more than 400,000 bond records since FY 2000. The specific areas of focus include the volume of bonds issued, type and amount of bonds issued, breach rates by dollar amount and bond type, and bond processing cycle times based on bond type. The Breached Bond Detention Fee model predicts and forecasts the breached bond collections amount for the next fiscal year through historical analysis and trend identification. • Contingency Plan: The services funded with Breached Bond Detention Fees are core ICE mission services. ICE offsets shortfalls through reductions to the spending planned in other accounts funded with annual appropriations. 10 Exhibit G. Summary of Reimbursable Resources 11 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 12 Exhibit I. Capital Investment and Construction Initiative Listing Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Capital Investment and Construction Initiative Listing N/A 13 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits - - - - $2,500 $2,500 $60,000 - $1,000 $1,000 $40,000 - $1,500 $1,500 $39,000 - $500 $500 ($1,000) - Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.0 Other Contractual Services 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 33.0 Investments and loans 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 43.1 Interest and Dividends 43.2 Immigration Fees 44.0 Refunds 91.0 Unvouchered 93.1 Limitation on expenses 14 Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change 99.0 Subtotal, Obligations 99.5 Below Reporting Threshold Total, Other Object Classes $65,000 $42,000 $42,000 - Total, Direct Obligations $65,000 $42,000 $42,000 - - - - - $65,000 $42,000 $42,000 - Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 15 Exhibit K. Object Class Breakout by PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Breached Bond Detention Fund Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - 21.0 Travel and Transportation of Persons $2,500 $1,000 $1,500 $500 25.2 Other Services from Non-Federal Sources $2,500 $1,000 $1,500 $500 $60,000 $40,000 $39,000 ($1,000) $65,000 $42,000 $42,000 - Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $65,000 $42,000 $42,000 - - - - - 25.4 Operation and Maintenance of Facilities Total, Other Object Classes Total Requirements Full Time Equivalents Breached Bond Detention Fund Mission Statement The Breached Bond Detention fund was authorized in Section 112 of the Department of Justice Appropriations Act of 1993 (P.L. 102-395). The Act amended Section 286 of the Immigration and Nationality Act (INA) of 1952, as amended, by establishing in the General Fund of the Treasury, a separate account to be called the Breached Bond Detention Fund. The first $8,000,000 in breached cash and surety bonds collected goes to the General Fund of the U.S. Treasury. All collections in excess of $8,000,000 posted under the INA, are deposited as offsetting collections into this fund. Amounts deposited into the fund, which remain available until expended, can be used for expenses incurred in the collection of breached bonds, bond management, litigation activities to obtain compliance from surety companies found to be delinquent in meeting their obligations, and for expenses associated with the detention of criminal and illegal aliens. Summary Justification and Explanation of Changes FY 2015 Revised Enacted Total, Salaries & Benefits FY 2016 Enacted - 16 FY 2016 to FY 2017 Change FY 2017 Request - - - FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change 21.0 Travel and Transportation of Persons $2,500 $1,000 $1,500 $500 Travel includes all costs of transportation of persons, subsistence of travelers, and incidental travel expenses in accordance with Federal travel regulations. FY 2015 FY 2016 Revised Enacted 25.2 Other Services from Non-Federal Sources FY 2017 Enacted $2,500 FY 2016 to Request FY 2017 Change $1,000 $1,500 $500 Other services include reported contractual services with non-Federal sources that are not otherwise classified under object class 25. FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change 25.4 Operation and Maintenance of Facilities $60,000 $40,000 $39,000 ($1,000) Operation and Maintenance of Facilities include all payments for such when done by contract with the private sector or another Federal government account. 17 Exhibit L. Permanent Positions by Grade 18 Exhibit M. Changes in Full Time Employment 19 Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ..............................................................................................................3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ...............................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level..................................................................................................5 C. FY 2017 Investment Summary - Appropriation Level ...........................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ....................................................................................................................7 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level ......................................................................................................7 Schedule III – Other Exhibits .............................................................................................................................................................12 Exhibit E. Justification of Proposed Legislative Language ........................................................................................................12 Exhibit F. Summary of Fee Collections and Carryover..............................................................................................................13 Exhibit G. Summary of Reimbursable Resources .....................................................................................................................15 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ............................................................16 Exhibit I. Capital Investment and Construction Initiative Listing..............................................................................................17 Exhibit J. Object Class Breakout by Appropriation....................................................................................................................18 Exhibit K. Object Class Breakout by PPA..................................................................................................................................19 Exhibit L. Permanent Positions by Grade ...................................................................................................................................20 Exhibit M. Changes in Full Time Employment..........................................................................................................................21 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 20151 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount Immigration Inspection User Fees - - $141,482 - - $135,000 - - 135,000 - - - Total, Immigration Inspection User Fees - - $141,482 - - $135,000 - - 135,000 - - - Subtotal, Enacted Appropriations & Budget Estimates - - $141,482 - - $135,000 - - 135,000 - - - Less: Adjustments for Other Funding Sources - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $141,482 - - $135,000 - - 135,000 - - - 1. FY 2015 Revised Enacted reflects actual collections. Overview The U.S. Customs and Border Protection (CBP) collects Immigration Inspection User Fees from foreign passengers arriving on commercial aircraft and vessels at United States (U.S.)-operated air and sea ports of entry (POE). Immigration Inspection User Fees finance a portion of CBP and U.S. Immigration and Customs Enforcement (ICE) costs to deter, detect, detain, adjudicate, and remove passengers attempting to make an unauthorized landing or bring aliens unlawfully into the U.S. through air and sea POE. CBP deposits fees into the Immigration User Fee Account (IUFA) and the fees remain available until expended. ICE receives 17.4% of collections. Within the Common Appropriation Structure (CAS), Immigration Inspection User Fees are aligned to four Program, Projects, and Activities (PPA) within the Operations and Support appropriation: Management and Administration (M&A), the Office of the Principal Legal Advisor (OPLA), Enforcement and Removal Operations (ERO), and Homeland Security Investigations (HSI). ICE determines allocations for each PPA based on the level of activity each program contributes toward IUFA-related work as determined by the annual ICE User Fee Study. 3 • Within the M&A PPA, Immigration Inspection User Fees fund mission support expenses associated with the detection, detention, adjudication, and removal of criminal and illegal aliens. • Within the OPLA PPA, Immigration Inspection User Fees fund costs associated with representation and support of immigration court cases with respect to inadmissible and removable aliens arrested at an air or sea POE. • the HSI PPA, Immigration Inspection User Fees support intelligence reporting related to pre-inspection and inspection activities at air or sea POE as well as costs associated with investigating aliens arrested at air or sea POEs and substantiating immigration court cases. • . Within the ERO PPA, Immigration Inspection User Fees support the apprehension, detention, and removal of aliens identified at an air or sea POE. In addition, funds support costs associated with non-detained aliens arrested at air or sea POE and released on bond or participating in the Alternatives to Detention (ATD) program. 4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted1 FY 2016 Enacted FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 1. FY 2015 Revised Enacted reflects actual collections. 5 Pos. FTE Amount - - $141,482 $135,000 $135,000 $135,000 - C. FY 2017 Investment Summary - Appropriation Level Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Immigration User Fee Prior Year FY 2015 Revised Enacted1 Base FY 2016 Enacted Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 1. Positions - FTE - Amount 141,482 135,000 135,000 - FY 2015 Revised Enacted reflects actual collections. PPA DESCRIPTION: The M&A IUFA allocation funds the expansion, operation and maintenance of information systems for nonimmigrant control and debt collection. Additionally, funds support mission support expenses associated with the detection, detention, adjudication, and removal of criminal and illegal aliens. QHSR Alignment 3.2 Prevent Unlawful Immigration The OPLA IUFA allocation is used to compensate OPLA for the cost incurred for removal and asylum proceedings of inadmissible aliens arriving on commercial aircraft and vessels. Funds also support immigration removal proceedings resulting from drug possession, presentation of fraudulent documents and failure to present documentation, and for any alien who is inadmissible under 8 U.S.C. § 1182(a) who has attempted illegal entry into the United States through avoidance of immigration inspection at air or sea POE. The ERO IUFA allocation funds detention and removal services for inadmissible aliens arriving on commercial aircraft and vessels and for any alien who is inadmissible under 8 U.S.C. § 1182(a) who has attempted illegal entry into the United States through avoidance (at an air or sea POE) of immigration inspection. In FY 2017, the ERO IUFA allocation will fund an estimated 1,568 detention beds at a rate of $126.46 per day. ICE funds the remaining 29,345 detention beds in the O&S appropriation and the Breached Bond Detention Fund. The HSI IUFA funds activities related to the detection of fraudulent documents used by passengers traveling to the United States; including training of, and technical assistance to, commercial airline personnel regarding such detection. Additionally, it funds intelligence costs that support investigations 7 of aliens arrested at an air or sea POE, and the development of Homeland Security Intelligence Reports that support CBP inspection and pre-inspection activities. In FY 2017, ICE plans an annual budget of $135.0 million; 0 full-time positions (FTP); and 0 full-time equivalents (FTE) of mandatory funding for the Immigration Inspection User Fee appropriation. ICE conducts an annual User Fee Study that identifies the level of activity each program contributes toward IUFA- related work. PPA allocations are determined based on these activity levels. 8 Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Justification of Program Changes (Dollars in Thousands) DESCRIPTION OF ITEM: N/A 9 Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Cost Drivers (Pay & Benefits) – PPA Level (Excludes Reimbursables) ($000s) NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: N/A. The Immigration Inspection User Fee account consists of mandatory fee collections, and positions are funded in the Operations and Support (O&S) appropriation. 10 Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Cost Drivers (Non-Pay) – PPA Level ($000s) FY 2015 Revised Enacted Immigration Inspection User Fees FY 2016 Request FY 2017 Request FY 2016 to FY 2017 Change FY 2017 Non- Pay Cost Drivers (greatest-least) Adult Detention Beds $52,991 $69,938 $72,376 $2,438 HQ contracts $8,687 $19,374 $12,147 -$7,227 Permanent Change of Station (PCS) $8,088 $1,190 $8,017 $6,827 Fleet/Fuel $7,951 $7,836 $7,536 -$300 Vehicle Replacement $3,127 $2,500 $3,200 $700 $80,844 $100,838 $103,276 $2,438 Subtotal, Select Non-Pay Cost Drivers NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: These cost drivers may cross multiple Object Classes, which are further detailed in the Object Class information. The total reflected on this table does not necessarily total all non-pay information. • Adult Detention Beds: ICE operates in 200+ facilities, which have various detention standards including 2011 Performance-Based National Detention Standards (PBNDS 2011). The costs for detention beds include contract guards, food, and clothing. In FY 2017, ICE will fund 1,568 detention beds at an average daily rate of $126.46. • HSI Headquarters contracts: These contracts provide support for investigative activities and include, but are not limited to Title-III contracts, multiple tracking and data analysis systems, and consolidated IT equipment purchases. • Permanent Change of Station: PCS includes the costs associated with relocating employees to domestic or overseas offices. In FY 2017, PCS funding from the Immigration Inspection User Fees account will increase to FY 2015 levels. • Fleet/fuel: Immigration Inspection User Fee funds are used to supplement base appropriated funds to cover fuel and maintenance costs for over 6,000 vehicles. ICE is projecting a reduction in maintenance costs as new vehicles are purchased. • Vehicles: ICE will use $3.2 million fin FY 2017 from User Fee funds to purchase vehicles to replace an aging fleet. 11 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Justification of Proposed Legislative Language N/A 12 Exhibit F. Summary of Fee Collections and Carryover Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Summary of Fee Collections and Carryover (Dollars in Thousands) Historical Collections (Dollars in Thousands) FY 2009 Immigration Inspection User Fees $104,436 FY 2010 $110,316 FY 2011 $114,484 FY 2012 $119,087 FY 2013 $123,121 FY 2014 $128,170 FY 2015 $141,482 • Change Mechanism: Legislation (INA Sec. 286(d) codified under Title 8 USC Sec. 1356(d) provides the authority to assess fees. CBP has oversight for the Immigration Inspection User Fee program. ICE receives 17.37% of the Airline and Vessel Immigration Inspection User Fees collected. Fees can be adjusted every two years following a public notice and comment period. • Previous Changes: The last fee increase occurred in 2002 before DHS was established. • Recovery Rate: As this fee predates the establishment of DHS, it is unknown whether this fee should recover the full costs of the program services. A 2014 Cost Fee study indicates that User Fees do not fully recover associated costs with a recovery rate of 83.9%. • Forecasting Methodology: The Immigration Inspection User Fee forecast uses three methodologies, all of which rely on historical data and statistical calculations. Methodologies 2 and 3 calculate seasonal variations in the IUFA collections from CBP. Periodic deadlines for collection (from airline companies, etc.) cause this seasonality. o Methodology 1: Applies an annual growth rate to the three-year average of each month. This rate is determined by taking the average of the past three annual growth rates. This methodology serves as a point of reference, as new projections are now used. o Methodology 2: Applies an additive seasonal projection to the last seven years of historical data. This methodology uses two smoothing parameters for the seasonal component. Microsoft Excel facilitates the projections for this methodology, using the Solver function to minimize the mean squared error (MSE) of the projection. o Methodology 3: Applies a Holt-Winters additive seasonal projection to the last seven years of historical data. This methodology is similar to the second, but uses three smoothing parameters for the seasonal component instead of two. Microsoft Excel develops the projections for this 13 methodology, using the Solver function to minimize the MSE of the projection. Contingency Plan: The services funded under Immigration Inspection User Fees are core services provided under ICE mission operations. ICE offsets shortfalls through reductions to the spending planned in other accounts funded with annual appropriations. 14 Exhibit G. Summary of Reimbursable Resources 15 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 16 Exhibit I. Capital Investment and Construction Initiative Listing Department of Homeland Security Immigration and Customs Enforcement Immigration User Fee Capital Investment and Construction Initiative Listing N/A 17 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted 1 Enacted Request FY 2017 Change Personnel and Other Compensation Benefits Total, Personnel and Other Compensation Benefits - - - - $4,541 $673 $654 $6,239 $34,710 $101 $57,416 $3,816 $7,961 $4 $12,834 $6,051 $135,000 $4,541 $673 $654 $6,239 $22,126 $101 $70,000 $3,816 $7,961 $4 $12,834 $6,051 $135,000 $4,541 $673 $654 $6,239 $21,126 $101 $71,000 $3,816 $7,961 $4 $12,834 $6,051 $135,000 ($1,000) $1,000 - $135,000 $135,000 $135,000 - - - - - $135,000 $135,000 $135,000 - Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 1. FY 2015 Revised Enacted reflects 2015 estimates for fee collections, as submitted with the President’s 2015 Budget. 18 Exhibit K. Object Class Breakout by PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Immigration Inspection User Fees Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted1 FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $4,541 $673 $4,541 $673 $4,541 $673 - 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources $654 $654 $654 $6,239 $6,239 $6,239 - $34,710 $22,126 $21,126 ($1,000) $101 $101 $101 - $57,416 $70,000 $71,000 $1,000 25.6 Medical Care $3,816 $3,816 $3,816 - 25.7 Operation and Maintenance of Equipment $7,961 $7,961 $7,961 - $4 $4 $4 - $12,834 $12,834 $12,834 - $6,051 $6,051 $6,051 - $135,000 $135,000 $135,000 - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $135,000 $135,000 $135,000 - - - - - 25.4 Operation and Maintenance of Facilities 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 1. FY 2015 Revised Enacted reflects 2015 estimates for fee collections, as submitted with the President’s 2015 Budget. 19 Exhibit L. Permanent Positions by Grade 20 Exhibit M. Changes in Full Time Employment 21 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Page No. I. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) ................................. 1 II. Current Services Program Description by PPA............................................................................... 2 III. Exhibits and Other Supporting Material ...................................................................................... 14 B. FY 2016 to FY 2017 Budget Change........................................................................................ 14 D. Summary of Reimbursable Resources ...................................................................................... 15 E. Summary of Requirements By Object Class............................................................................. 16 F. Permanent Positions by Grade................................................................................................... 17 H. PPA Budget Justifications ........................................................................................................ 18 I. Changes In Full Time Employment ........................................................................................... 30 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ............................. 31 I. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE 1,662 1,478 391 Legal Proceedings Domestic Investigations Personnel Compensation and Benefits, Service, and Other Costs Headquarters Managed IT Investment International Investigations Visa Security Program Intelligence Amount Increase(+) or Decrease(-) for FY 2017 Total Changes POS FTE Amount Amount Program Changes POS FTE Amount - (1,185) (1,107) ($190,880) - - - - (369) (352) ($148,957) - - - - (1,549) (1,471) ($239,894) (7,981) ($1,761,829) POS FTE $197,002 1,185 1,107 $190,880 - - 331 $150,419 369 352 $148,957 - 1,272 1,264 $217,393 1,549 1,471 $239,894 8,331 7,865 $1,699,811 8,064 7,981 $1,761,829 Adjustments-to-Base POS FTE Amount POS FTE Amount - (1,185) (1,107) ($190,880) - - (369) (352) ($148,957) - - - (1,549) (1,471) ($239,894) (7,981) ($1,761,829) - - - (8,064) - - - (8,064) 292 243 $110,682 228 225 $107,210 - - - (228) (225) ($107,210) - - - (228) (225) 86 71 $49,526 73 71 $32,561 - - - (73) (71) ($32,561) - - - (73) (71) ($32,561) 470 368 $76,479 417 390 $79,768 - - - (417) (390) ($79,768) - - - (417) (390) ($79,768) 5,205 $2,434,593 5,740 5,271 $2,316,744 (5,271) ($2,316,744) ($107,210) DRO - Custody Operations 5,486 - - - (5,740) - - - (5,740) DRO - Fugitive Operations 827 788 $142,615 895 805 $156,572 - - - (895) (805) ($156,572) - - - (895) (805) ($156,572) 1,656 1,534 $327,223 1,673 1,606 $317,177 - - - (1,673) (1,606) ($317,177) - - - (1,673) (1,606) ($317,177) 291 220 $109,740 296 251 $114,275 - - - (296) (251) ($114,275) - - - (296) (251) ($114,275) 80 50 $304,273 81 62 $313,174 - - - (81) (62) ($313,174) - - - (81) (62) ($313,174) - - - - - - - - - - DRO - Criminal Alien Program DRO - Alternatives to Detention DRO - Transportation and Removal Program Comprehensive Identification and Removal of Criminal Aliens (5,271) ($2,316,744) - - - - - - - - Total, Salaries and Expenses 20,844 19,417 $5,819,756 20,570 19,592 $5,779,041 - - - (20,570) (19,592) ($5,779,041) - - - (20,570) (19,592) ($5,779,041) Subtotal, Enacted Appropriations & Budget Estimates 20,844 19,417 $5,819,756 20,570 19,592 $5,779,041 - - - (20,570) (19,592) ($5,779,041) - - - (20,570) (19,592) ($5,779,041) ($2,462) - - - ($2,462) - - - 20,844 19,417 $5,817,387 20,570 19,592 $5,776,579 - - - (20,570) (19,592) ($5,776,579) - - - (20,570) (19,592) ($5,776,579) Rescission of unobligated prior year balances pursuant to P.L. 114-113 505 Rescission Net, Enacted Appropriations and Budget Estimates: 1 - - - - - - - - - ($2,462) ($2,369) Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission. II. Current Services Program Description by PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Personnel Compensation and Benefits, Service, and Other Costs Program Performance Justification (Dollars in Thousands) PPA: Personnel Compensation and Benefits, Service, and Other Costs Perm. Pos. 1,662 1,185 (1,185) (1,185) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 1,478 $197,002 1,107 $190,880 (1,107) ($190,880) (1,107) ($190,880) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure (CAS), FY 2016 base funds will be transferred out to: Personnel Compensation and Benefits, Service, and Other Costs Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From Salaries & Expenses (S&E) Approp / Personnel Compensation and Benefits, Service, and Other Costs (PC&B) PPA to Operations & Support (O&S) Approp / Management & Administration (M&A) PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 2 Positions 1,662 1,185 (1,185) FTE 1,478 1,107 (1,107) Amount 197,002 190,880 (190,880) (1,185) (1,107) (190,880) Department of Homeland Security U.S. Immigration and Customs Enforcement Headquarters Managed IT Investment Program Performance Justification (Dollars in Thousands) PPA: Headquarters Managed IT Investment Perm. Pos. 391 369 (369) (369) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 331 $150,419 352 $148,957 (352) ($148,957) ­ ­ ­ (352) ($148,957) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: Headquarters Managed IT Investment Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / HQ Managed IT PPA to O&S Approp / M&A PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 3 Positions 391 369 (369) FTE 331 352 (352) Amount 150,419 148,957 (148,957) (369) (352) (148,957) Department of Homeland Security U.S. Immigration and Customs Enforcement Legal Proceedings Program Performance Justification (Dollars in Thousands) PPA: Legal Proceedings Perm. Pos. 1,272 1,549 (1,549) (1,549) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 1,264 $217,393 1,471 $239,894 (1,471) ($239,894) ­ ­ ­ (1,471) ($239,894) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: Legal Proceedings Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted From S&E Approp / Legal Proceedings PPA to O&S Approp / Office of the Principal Legal Advisor (OPLA) PPA FY 2017 Request Total Change from FY 2016 to FY 2017 4 Positions 1,272 1,549 (1,549) FTE 1,264 1,471 (1,471) Amount 217,393 239,894 (239,894) (1,549) (1,471) (239,894) Department of Homeland Security U.S. Immigration and Customs Enforcement Domestic Investigations Program Performance Justification (Dollars in Thousands) PPA: Domestic Investigations Perm. Pos. 8,331 8,064 (8,064) (8,064) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 7,865 $1,699,811 7,981 $1,761,829 (7,981) ($1,761,829) ­ ­ ­ (7,981) ($1,761,829) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: Domestic Investigations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Domestic Investigations PPA to O&S Approp / Homeland Security Investigations (HSI) PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 5 Positions 8,331 8,064 FTE 7,865 7,981 Amount 1,699,811 1,761,829 (8,064) (8,064) (7,981) (7,981) (1,761,829) (1,761,829) Department of Homeland Security U.S. Immigration and Customs Enforcement International Investigations Program Performance Justification (Dollars in Thousands) PPA: International Investigations Perm. Pos. 292 228 (228) (228) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 243 $110,682 225 $107,210 (225) ($107,210) ­ ­ ­ (225) ($107,210) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: International Investigations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / International Investigations PPA to O&S Approp / HSI PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 6 Positions 292 228 (228) FTE 243 225 (225) Amount 110,682 107,210 (107,210) (228) (225) (107,210) Department of Homeland Security U.S. Immigration and Customs Enforcement Visa Security Program Program Performance Justification (Dollars in Thousands) PPA: Visa Security Program Perm. Pos. 86 73 (73) (73) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 71 71 (71) (71) Amount $49,526 $32,561 ($32,561) ($32,561) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: Visa Security Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Visa Security Program (VSP) PPA to O&S Approp / HSI PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 7 Positions 86 73 (73) FTE 71 71 (71) Amount 49,526 32,561 (32,561) (73) (71) (32,561) Department of Homeland Security U.S. Immigration and Customs Enforcement Intelligence Program Performance Justification (Dollars in Thousands) PPA: Intelligence Perm. Pos. 470 417 (417) (417) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 368 $76,479 390 $79,768 (390) ($79,768) ­ ­ ­ (390) ($79,768) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: Intelligence Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted From S&E Approp / Intelligence PPA to O&S Approp / HSI PPA FY 2017 Request Total Change from FY 2016 to FY 2017 8 Positions 470 417 (417) FTE 368 390 (390) Amount 76,479 79,768 (79,768) (417) (390) (79,768) Department of Homeland Security U.S. Immigration and Customs Enforcement DRO - Custody Operations Program Performance Justification (Dollars in Thousands) PPA: DRO - Custody Operations Perm. Pos. 5,486 5,740 (5,740) (5,740) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 5,205 $2,434,593 5,271 $2,316,744 (5,271) ($2,316,744) ­ ­ ­ (5,271) ($2,316,744) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: DRO - Custody Operations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Custody Operations PPA to O&S Approp / Enforcement and Removal Operations (ERO) PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 9 Positions 5,486 5,740 (5,740) FTE 5,205 5,271 (5,271) Amount 2,434,593 2,316,744 (2,316,744) (5,740) (5,271) (2,316,744) Department of Homeland Security U.S. Immigration and Customs Enforcement DRO - Fugitive Operations Program Performance Justification (Dollars in Thousands) PPA: DRO - Fugitive Operations Perm. Pos. 827 895 (895) (895) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 788 $142,615 805 $156,572 (805) ($156,572) ­ ­ ­ (805) ($156,572) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: DRO - Fugitive Operations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Fugitive Operations PPA to O&S Approp / ERO PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 10 Positions 827 895 (895) FTE 788 805 (805) Amount 142,615 156,572 (156,572) (895) (805) (156,572) Department of Homeland Security U.S. Immigration and Customs Enforcement DRO - Criminal Alien Program Program Performance Justification (Dollars in Thousands) PPA: DRO - Criminal Alien Program Perm. Pos. 1,656 1,673 (1,673) (1,673) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 1,534 $327,223 1,606 $317,177 (1,606) ($317,177) ­ ­ ­ (1,606) ($317,177) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: DRO - Criminal Alien Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Criminal Alien Program (CAP) PPA to O&S Approp / ERO PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 11 Positions 1,656 1,673 (1,673) FTE 1,534 1,606 (1,606) Amount 327,223 317,177 (317,177) (1,673) (1,606) (317,177) Department of Homeland Security U.S. Immigration and Customs Enforcement DRO - Alternatives to Detention Program Performance Justification (Dollars in Thousands) PPA: DRO - Alternatives to Detention Perm. Pos. 291 296 (296) (296) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 220 $109,740 251 $114,275 (251) ($114,275) ­ ­ ­ (251) ($114,275) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the CAS, FY 2016 base funds will be transferred out to: DRO - Alternatives to Detention Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Alternatives to Detention (ATD) PPA to O&S Approp / ERO PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 12 Positions 291 296 (296) FTE 220 251 (251) Amount 109,740 114,275 (114,275) (296) (251) (114,275) Department of Homeland Security U.S. Immigration and Customs Enforcement DRO - Transportation and Removal Program Program Performance Justification (Dollars in Thousands) PPA: DRO - Transportation and Removal Program Perm. Pos. 80 81 (81) (81) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 50 $304,273 62 $313,174 (62) ($313,174) (62) ($313,174) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: DRO - Transportation and Removal Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From S&E Approp / Transportation and Removal Program (TRP) PPA to O&S Approp / ERO PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 13 Positions 80 81 (81) FTE 50 62 (62) Amount 304,273 313,174 (313,174) (81) (62) (313,174) III. Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount 20,844 20,570 (20,570) 19,417 19,592 (19,592) $5,819,756 $5,779,041 ($5,779,041) (1,185) (369) (1,549) (8,064) (228) (73) (417) (5,740) (895) (1,673) (296) (81) (20,570) (20,570) -­ - (1,107) (352) (1,471) (7,981) (225) (71) (390) (5,271) (805) (1,606) (251) (62) (19,592) (19,592) ($190,880) ($148,957) ($239,894) ($1,761,829) ($107,210) ($32,561) ($79,768) ($2,316,744) ($156,572) ($317,177) ($114,275) ($313,174) ($5,779,041) ($5,779,041) Transfers to and from other accounts: From S&E Approp / PC&B PPA to O&S Approp / M&A PPA From S&E Approp / HQ Managed IT PPA to O&S Approp / M&A PPA From S&E Approp / Legal Proceedings PPA to O&S Approp / OPLA PPA From S&E Approp / Domestic Investigations PPA to O&S Approp / HSI PPA From S&E Approp / International Investigations PPA to O&S Approp / HSI PPA From S&E Approp / VSP PPA to O&S Approp / HSI PPA From S&E Approp / Intelligence PPA to O&S Approp / HSI PPA From S&E Approp / Custody Operations PPA to O&S Approp / ERO PPA From S&E Approp / Fugitive Operations PPA to O&S Approp / ERO PPA From S&E Approp / CAP PPA to O&S Approp / ERO PPA From S&E Approp / ATD PPA to O&S Approp / ERO PPA From S&E Approp / TRP PPA to O&S Approp / ERO PPA Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 14 - - D. Summary of Reimbursable Resources Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: U.S. Customs and Border Protection U.S. Citizenship and Immigration Services National Protection and Program Directorate (NPPD) Department of Army (CSEPP) Department of Justice FEMA Department of Defense Department of Homeland Security Federal Law Enforcement Training Center US VISIT US Coast Guad Department of State Department of Treasury Total Budgetary Resources Pos Obligations by Program/Project Activity: International Investigations DRO - Custody Operations Personnel Compensation and Benefits, Service, and Other Costs Domestic Investigations Total Obligations Pos FTE 100 120 50 270 100 120 50 270 Amount $45,856 $274 $8,427 $385 $2,749 $431 $2,037 $34,169 $25 $1,695 $135 $23,516 $48,295 $167,994 FY 2016 Enacted Pos FTE 100 120 50 270 FY 2015 Revised Enacted FTE 120 150 270 120 150 270 Amount $27,757 $4,321 $51,087 $84,829 $167,994 100 120 50 270 FY 2017 Request Amount $45,856 $274 $8,427 $385 $2,749 $431 $2,037 $27,517 $25 $1,695 $135 $23,516 $42,335 $155,382 Pos Amount $27,757 $4,321 $44,435 $78,869 $155,382 Pos - FY 2016 Enacted Pos FTE 120 150 270 15 120 150 270 FTE Increase/Decrease Amount - - Pos (100) (120) (50) (270) FY 2017 Request FTE - Amount ($45,856) ($274) ($8,427) ($385) ($2,749) ($431) ($2,037) ($27,517) ($25) ($1,695) ($135) ($23,516) ($42,335) ($155,382) Increase/Decrease Amount - FTE (100) (120) (50) (270) Pos - (120) (150) (270) FTE (120) (150) (270) Amount ($27,757) ($4,321) ($44,435) ($78,869) ($155,382) E. Summary of Requirements By Object Class Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits Total, Personnel and Other Compensation Benefits $1,670,772 $10,355 $326,691 $1,519 $852,332 $2,861,669 $1,814,984 $12,486 $350,885 $1,659 $922,188 $3,102,202 - ($1,814,984) ($12,486) ($350,885) ($1,659) ($922,188) ($3,102,202) $342,379 $13,489 $299,162 $8,356 $78,023 $146 $227,713 $125,265 $74,256 $1,411,965 $133,853 $81,793 $4,429 $70,051 $40,379 $17,657 $895 $25,372 $18 $2,886 $2,958,087 $340,922 $10,439 $266,236 $7,585 $70,315 $124 $200,404 $108,673 $65,231 $1,265,743 $119,879 $73,030 $15,787 $54,259 $35,347 $15,161 $843 $24,020 $16 $2,825 $2,676,839 - ($340,922) ($10,439) ($266,236) ($7,585) ($70,315) ($124) ($200,404) ($108,673) ($65,231) ($1,265,743) ($119,879) ($73,030) ($15,787) ($54,259) ($35,347) ($15,161) ($843) ($24,020) ($16) ($2,825) ($2,676,839) $5,819,756 $5,779,041 - ($5,779,041) - - - - $5,819,756 $5,779,041 - ($5,779,041) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 44.0 Refunds 91.0 Unvouchered Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 16 F. Permanent Positions by Grade Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Permanent Positions by Grade Grades and Salary Range Total, SES Total, EX GS-15 GS-14 GS-13 GS-12 GS-11 GS-10 GS-9 GS-8 GS-7 GS-6 GS-5 GS-4 GS-2 Other Graded Positions Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Foreign Field Total, Salaries and Expenses: Full Time Equivalents Average ES Salary Average GS Salary Average Grade 17 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. 86 1 1,062 3,248 7,478 3,204 3,116 28 947 754 727 41 138 12 1 1 20,844 1,757 19,087 2,325 17,938 581 20,844 Pos. 85 1 1,048 3,206 7,379 3,162 3,075 28 935 744 717 41 136 12 1 20,570 1,646 18,924 2,294 17,702 574 20,570 Pos. - Total (85) (1) (1,048) (3,206) (7,379) (3,162) (3,075) (28) (935) (744) (717) (41) (136) (12) (1) (20,570) (1,646) (18,924) (2,294) (17,702) (574) (20,570) 19,417 19,592 - (19,592) 241,117 154,612 13 182,447 155,641 13 - (182,447) (155,641) (13) H. PPA Budget Justifications Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Headquarters Management and Administration Personnel Compensation and Benefits, Service, and Other Costs Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $100,560 $110,942 - ($110,942) $913 $1,007 - ($1,007) $6,906 $7,619 - ($7,619) $39,024 $43,053 - ($43,053) $147,403 $162,621 - ($162,621) - - - ($1,032) $1,811 $1,032 - 22.0 Transportation of Things $168 $96 - ($96) 23.1 Rental Payments to GSA $8,387 $4,778 - ($4,778) $108 $62 - ($62) $2,300 $1,311 - ($1,311) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $17 $10 - ($10) $10,543 $6,006 - ($6,006) $7,152 $4,075 - ($4,075) $11,174 $6,366 - ($6,366) 25.4 Operation and Maintenance of Facilities 25.6 Medical Care $1,506 $2 $858 $1 - ($858) ($1) 25.7 Operation and Maintenance of Equipment $1,835 $1,045 - ($1,045) 26.0 Supplies and Materials $1,464 $834 - ($834) 31.0 Equipment $1,348 $768 - ($768) 32.0 Land and Structures $1,749 $997 - ($997) $2 $1 - ($1) $33 $19 - ($19) $49,599 $28,259 - ($28,259) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $197,002 $190,880 - ($190,880) 1,478 1,107 - (1,107) 25.3 Other Goods and Services from Federal Sources 42.0 Insurance Claims and Indemnities 91.0 Unvouchered Total, Other Object Classes Total Requirements Full Time Equivalents 18 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Headquarters Management and Administration Headquarters Managed IT Investment Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - ($43,431) $39,843 $43,431 - 11.3 Other than Full-Time Permanent $52 $56 - ($56) 11.5 Other Personnel Compensation $364 $397 - ($397) $12,443 $13,564 - ($13,564) $52,702 $57,448 - ($57,448) - - - ($709) 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $758 $709 - 22.0 Transportation of Things $76 $71 - ($71) 23.1 Rental Payments to GSA $4,329 $4,054 - ($4,054) 23.2 Rental Payments to Others $1,639 $1,535 - ($1,535) 23.3 Communications, Utilities, and Misc. Charges $3,365 $3,151 - ($3,151) $2 $2 - ($2) $58,886 $55,140 - ($55,140) $2,553 $2,391 - ($2,391) $527 $493 - ($493) $4,666 $4,369 - ($4,369) $17,040 $15,956 - ($15,956) $506 $474 - ($474) 31.0 Equipment $2,221 $2,080 - ($2,080) 32.0 Land and Structures $1,149 $1,076 - ($1,076) - $8 - ($8) $97,717 $91,509 - ($91,509) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $150,419 $148,957 - ($148,957) 331 352 - (352) 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 19 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Legal Proceedings Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $117,227 $150,040 - ($150,040) 11.3 Other than Full-Time Permanent $6,522 $8,347 - ($8,347) 11.5 Other Personnel Compensation $1,028 $1,315 - ($1,315) $44,613 $57,102 - ($57,102) $169,390 $216,804 - ($216,804) - - - - 21.0 Travel and Transportation of Persons $6,793 $3,267 - ($3,267) 22.0 Transportation of Things $1,708 $822 - ($822) 23.1 Rental Payments to GSA $16,840 $8,100 - ($8,100) $807 $388 - ($388) $8 $4 - ($4) $10,283 $4,946 - ($4,946) $1,484 $714 - ($714) $215 $104 - ($104) 25.4 Operation and Maintenance of Facilities $2,758 $1,327 - ($1,327) 25.7 Operation and Maintenance of Equipment $4,164 $2,003 - ($2,003) $968 $465 - ($465) $1,909 $918 - ($918) $66 $32 - ($32) $48,003 $23,090 - ($23,090) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $217,393 $239,894 - ($239,894) 1,264 1,471 - (1,471) 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 26.0 Supplies and Materials 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 20 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Domestic Investigations Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $768,424 $803,516 - ($803,516) $1,573 $1,645 - ($1,645) $156,570 $163,721 - ($163,721) $408,781 $427,449 - ($427,449) $1,335,348 $1,396,331 - ($1,396,331) - - - ($16,811) $16,764 $16,811 - 22.0 Transportation of Things $203 $203 - ($203) 23.1 Rental Payments to GSA $122,846 $123,194 - ($123,194) $234 $235 - ($235) $24,040 $24,108 - ($24,108) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction $5 $5 - ($5) 25.1 Advisory and Assistance Services $21,578 $21,640 - ($21,640) 25.2 Other Services from Non-Federal Sources $28,331 $28,411 - ($28,411) 25.3 Other Goods and Services from Federal Sources $29,491 $29,575 - ($29,575) 25.4 Operation and Maintenance of Facilities $32,682 $32,775 - ($32,775) $243 $243 - ($243) $24,189 $24,258 - ($24,258) 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons $73 $73 - ($73) 26.0 Supplies and Materials $20,485 $20,544 - ($20,544) 31.0 Equipment $17,780 $17,831 - ($17,831) $7,692 $7,714 - ($7,714) $277 $278 - ($278) $15,089 $15,132 - ($15,132) 32.0 Land and Structures 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 91.0 Unvouchered $2,461 $2,468 - ($2,468) $364,463 $365,498 - ($365,498) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $1,699,811 $1,761,829 - ($1,761,829) 7,865 7,981 - (7,981) Total, Other Object Classes Total Requirements Full Time Equivalents 21 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses International Investigations Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $21,140 $22,481 - ($22,481) $254 $270 - ($270) $3,612 $3,840 - ($3,840) $15,595 $16,584 - ($16,584) $40,601 $43,175 - ($43,175) - - - - 21.0 Travel and Transportation of Persons $9,477 $8,659 - ($8,659) 22.0 Transportation of Things $5,424 $4,956 - ($4,956) 23.1 Rental Payments to GSA $9,414 $8,602 - ($8,602) 23.2 Rental Payments to Others $3,705 $3,386 - ($3,386) 23.3 Communications, Utilities, and Misc. Charges $2,071 $1,893 - ($1,893) $1 $1 - ($1) $4,681 $4,278 - ($4,278) $28,778 $26,294 - ($26,294) $1,082 $989 - ($989) $677 $618 - ($618) $75 $69 - ($69) $916 $837 - ($837) 26.0 Supplies and Materials $1,378 $1,259 - ($1,259) 31.0 Equipment $1,437 $1,313 - ($1,313) $618 $565 - ($565) $18 $16 - ($16) $329 $300 - ($300) $70,081 $64,035 - ($64,035) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $110,682 $107,210 - ($107,210) 243 225 - (225) 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 41.0 Grants, Subsidies, and Contributions 44.0 Refunds 91.0 Unvouchered Total, Other Object Classes Total Requirements Full Time Equivalents 22 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Visa Security Program Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - 11.1 Full-time Permanent $6,657 $6,522 - ($6,522) 11.5 Other Personnel Compensation $1,646 $1,613 - ($1,613) 12.1 Civilian Personnel Benefits $5,477 $5,366 - ($5,366) $13,780 $13,501 - ($13,501) - - - - 21.0 Travel and Transportation of Persons $3,638 $1,940 - ($1,940) 22.0 Transportation of Things $2,696 $1,438 - ($1,438) 23.1 Rental Payments to GSA $5,372 $2,864 - ($2,864) $189 $101 - ($101) $2,240 $1,194 - ($1,194) Total, Personnel and Compensation Benefits Other Object Classes 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services $5,095 $2,717 - ($2,717) $13,317 $7,100 - ($7,100) 25.3 Other Goods and Services from Federal Sources $309 $165 - ($165) 25.4 Operation and Maintenance of Facilities $375 $200 - ($200) $4 $2 - ($2) $1,691 $902 - ($902) 26.0 Supplies and Materials $247 $132 - ($132) 31.0 Equipment $334 $178 - ($178) 42.0 Insurance Claims and Indemnities $185 $98 - ($98) $54 $29 - ($29) $35,746 $19,060 - ($19,060) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $49,526 $32,561 - ($32,561) 71 71 - (71) 25.2 Other Services from Non-Federal Sources 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 91.0 Unvouchered Total, Other Object Classes Total Requirements Full Time Equivalents 23 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Intelligence Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - 11.1 Full-time Permanent $41,890 $44,448 - ($44,448) 12.1 Civilian Personnel Benefits $14,170 $15,035 - ($15,035) $56,060 $59,483 - ($59,483) - - - ($1,908) Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $1,920 $1,908 - 22.0 Transportation of Things $16 $16 - ($16) 23.1 Rental Payments to GSA $168 $167 - ($167) 23.3 Communications, Utilities, and Misc. Charges $4,685 $4,654 - ($4,654) 25.1 Advisory and Assistance Services $2,407 $2,390 - ($2,390) 25.2 Other Services from Non-Federal Sources $5,837 $5,799 - ($5,799) 25.3 Other Goods and Services from Federal Sources $1,032 $1,026 - ($1,026) 25.7 Operation and Maintenance of Equipment $2,164 $2,149 - ($2,149) $414 $412 - ($412) $1,288 $1,279 - ($1,279) $465 $462 - ($462) $14 $14 - ($14) $9 $9 - ($9) $20,419 $20,285 - ($20,285) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $76,479 368 $79,768 390 - ($79,768) (390) 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 42.0 Insurance Claims and Indemnities 91.0 Unvouchered Total, Other Object Classes Total Requirements Full Time Equivalents 24 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Detention and Removal Operations: DRO - Custody Operations Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $383,415 $418,816 - ($418,816) $746 $815 - ($815) $103,678 $113,251 - ($113,251) $1,519 $1,659 - ($1,659) $207,418 $226,570 - ($226,570) $696,776 $761,111 - ($761,111) - - - ($14,406) $16,093 $14,406 - 22.0 Transportation of Things $1,627 $1,457 - ($1,457) 23.1 Rental Payments to GSA $75,914 $67,956 - ($67,956) $1,531 $1,370 - ($1,370) $18,601 $16,651 - ($16,651) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction $108 $97 - ($97) 25.1 Advisory and Assistance Services $34,042 $30,473 - ($30,473) 25.2 Other Services from Non-Federal Sources $26,840 $24,027 - ($24,027) 25.3 Other Goods and Services from Federal Sources $18,916 $16,933 - ($16,933) $1,356,287 $1,214,098 - ($1,214,098) $133,498 $119,502 - ($119,502) $10,630 $9,516 - ($9,516) $4,356 $3,900 - ($3,900) $22,866 $20,469 - ($20,469) 31.0 Equipment $4,495 $4,024 - ($4,024) 32.0 Land and Structures $4,467 $3,999 - ($3,999) 42.0 Insurance Claims and Indemnities $7,546 $6,755 - ($6,755) $1,737,817 $1,555,633 - ($1,555,633) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $2,434,593 $2,316,744 - ($2,316,744) 5,205 5,271 - (5,271) 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials Total, Other Object Classes Total Requirements Full Time Equivalents 25 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Detention and Removal Operations: DRO - Fugitive Operations Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - 11.1 Full-time Permanent $60,433 $68,215 - ($68,215) 11.5 Other Personnel Compensation $17,274 $19,498 - ($19,498) 12.1 Civilian Personnel Benefits $32,816 $37,042 - ($37,042) $110,523 $124,755 - ($124,755) - - - ($1,060) Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $1,069 $1,060 - 22.0 Transportation of Things $172 $171 - ($171) 23.1 Rental Payments to GSA $8,575 $8,501 - ($8,501) $32 $31 - ($31) $1,306 $1,295 - ($1,295) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction $1 $1 - ($1) 25.1 Advisory and Assistance Services $2,404 $2,384 - ($2,384) 25.2 Other Services from Non-Federal Sources $2,767 $2,729 - ($2,729) 25.3 Other Goods and Services from Federal Sources $1,306 $1,295 - ($1,295) 25.4 Operation and Maintenance of Facilities $3,335 $3,291 - ($3,291) - $30 - ($30) 25.7 Operation and Maintenance of Equipment $3,096 $3,069 - ($3,069) 26.0 Supplies and Materials $2,358 $2,338 - ($2,338) 31.0 Equipment $5,022 $4,979 - ($4,979) $600 $595 - ($595) $49 $48 - ($48) $32,092 $31,817 - ($31,817) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $142,615 $156,572 - ($156,572) 788 805 - (805) 25.6 Medical Care 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 26 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Detention and Removal Operations: DRO - Criminal Alien Program Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $109,295 $118,108 - ($118,108) $30 $33 - ($33) $30,299 $32,742 - ($32,742) $59,723 $64,538 - ($64,538) $199,347 $215,421 - ($215,421) - - - ($1,269) $1,595 $1,269 - 22.0 Transportation of Things $882 $702 - ($702) 23.1 Rental Payments to GSA $44,412 $35,341 - ($35,341) 23.2 Rental Payments to Others $299 $238 - ($238) 23.3 Communications, Utilities, and Misc. Charges $13,029 $10,368 - ($10,368) 25.1 Advisory and Assistance Services $11,607 $9,236 - ($9,236) 25.2 Other Services from Non-Federal Sources $4,776 $3,800 - ($3,800) 25.3 Other Goods and Services from Federal Sources $8,990 $7,154 - ($7,154) 25.4 Operation and Maintenance of Facilities $7,165 $5,701 - ($5,701) $13,244 $10,539 - ($10,539) 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons - $11,814 - ($11,814) $14,848 $2,745 - ($2,745) 31.0 Equipment $3,449 $946 - ($946) 32.0 Land and Structures $1,189 - - - 42.0 Insurance Claims and Indemnities $2,391 $1,903 - ($1,903) $127,876 $101,756 - ($101,756) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $327,223 $317,177 - ($317,177) 1,534 1,606 - (1,606) 26.0 Supplies and Materials Total, Other Object Classes Total Requirements Full Time Equivalents 27 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Detention and Removal Operations: DRO - Alternatives to Detention Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $17,559 $23,619 - ($23,619) $83 $110 - ($110) $4,164 $5,601 - ($5,601) $9,518 $12,803 - ($12,803) $31,324 $42,133 - ($42,133) - - - ($1,196) $1,300 $1,196 - 22.0 Transportation of Things $223 $205 - ($205) 23.1 Rental Payments to GSA $2,842 $2,615 - ($2,615) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services $86 $79 - ($79) $3,991 $3,671 - ($3,671) $63,365 $58,296 - ($58,296) 25.2 Other Services from Non-Federal Sources $1,766 $1,624 - ($1,624) 25.3 Other Goods and Services from Federal Sources $1,081 $995 - ($995) $698 $642 - ($642) $1,347 $1,239 - ($1,239) 26.0 Supplies and Materials $477 $439 - ($439) 31.0 Equipment $884 $814 - ($814) 32.0 Land and Structures $346 $318 - ($318) $10 $9 - ($9) $78,416 $72,142 - ($72,142) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $109,740 $114,275 - ($114,275) 220 251 - (251) 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 28 Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses Detention and Removal Operations: DRO - Transportation and Removal Program Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $4,329 $4,846 - ($4,846) $182 $203 - ($203) 11.5 Other Personnel Compensation $1,150 $1,288 - ($1,288) 12.1 Civilian Personnel Benefits $2,754 $3,082 - ($3,082) $8,415 $9,419 - ($9,419) - - - - 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $281,161 $288,665 - ($288,665) 22.0 Transportation of Things $294 $302 - ($302) 23.1 Rental Payments to GSA $63 $64 - ($64) $533 $548 - ($548) $1,588 $1,631 - ($1,631) $4 $4 - ($4) 25.1 Advisory and Assistance Services $2,822 $2,898 - ($2,898) 25.2 Other Services from Non-Federal Sources $1,664 $1,709 - ($1,709) $133 $136 - ($136) $1,816 $1,864 - ($1,864) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care $31 $32 - ($32) 25.7 Operation and Maintenance of Equipment $1,477 $1,517 - ($1,517) 26.0 Supplies and Materials $4,040 $4,148 - ($4,148) $212 $217 - ($217) $20 $20 - ($20) $295,858 $303,755 - ($303,755) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $304,273 $313,174 - ($313,174) 50 62 - (62) 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 29 I. Changes In Full Time Employment FY 2015 FY 2016 FY 2017 18,977 19,417 19,592 - 175 175 - Transfer from Salaries and Expenses to Operations and Support Subtotal, Decreases - - (19,592) (19,592) Year End Actuals/Estimated FTEs: Net Change from prior year base to Budget Year Estimate: 18,977 - 19,592 175 (19,592) BASE: Year End Actual from Prior Year Increases Increase Subtotal, Increases Decreases 30 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security U.S. Immigration and Customs Enforcement Salaries and Expenses (Dollars in Thousands) FY 2015 FY 2016 FY 2017 Increase/Decrease Progam/Project/Activity Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount Personnel Compensation and Benefits, Service, and Other Costs Headquarters Managed IT Investment Legal Proceedings Domestic Investigations International Investigations Visa Security Program Intelligence DRO - Custody Operations DRO - Fugitive Operations DRO - Criminal Alien Program DRO - Alternatives to Detention DRO - Transportation and Removal Program Total Working Capital Fund $3,448 774 2,803 17,669 458 129 936 11,607 1,629 3,407 578 132 $43,570 $3,235 $726 $2,630 $16,574 $429 $121 $878 $10,887 $1,528 $3,195 $542 $124 $40,869 - ($3,235) ($726) ($2,630) ($16,574) ($429) ($121) ($878) ($10,887) ($1,528) ($3,195) ($542) ($124) ($40,869) 31 Department of Homeland Security U.S. Immigration and Customs Enforcement Automation Modernization ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Page No. II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) .............3 III. Current Services Program Description by PPA ...........................................................4 V. Exhibits and Other Supporting Material .......................................................................5 B. FY 2016 to FY 2017 Budget Change ........................................................................5 D. Summary of Reimbursable Resources.......................................................................6 E. Summary of Requirements By Object Class..............................................................7 F. Permanent Positions by Grade ...................................................................................9 H. PPA Budget Justifications .......................................................................................10 I. Changes In Full Time Employment ..........................................................................12 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity............13 II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security U.S. Immigration and Customs Enforcement Automation Modernization Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Program Changes Amount POS FTE Adjustments-to-Base Amount POS FTE Amount Automation Modernization - - $26,000 - - $53,000 - - - - - ($53,000) - - - - - ($53,000) Total, Automation Modernization - - $26,000 - - $53,000 - - - - - ($53,000) - - - - - ($53,000) Subtotal, Enacted Appropriations & Budget Estimates - - $26,000 - - $53,000 - - - - - ($53,000) - - - - - ($53,000) Less: Adjustments for Other Funding Sources - - - - - - - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $26,000 - - $53,000 - - - - - ($53,000) - - - - - ($53,000) 3 III. Current Services Program Description by PPA Department of Homeland Security U.S. Immigration and Customs Enforcement Automation Modernization Program Performance Justification (Dollars in Thousands) PPA: Automation Modernization Perm. Pos. - FY 2015 Revised Enacted FY 2016 President's Budget 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE - Amount $26,000 $53,000 ($53,000) ($53,000) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriations Structure, Automation Modernization funding will be reported in the Procurement, Construction, and Improvements (PC&I) appropriation in the Management and Administration (M&A) Program, Project, and Activity (PPA) in all future year budget submissions. Automation Modernization Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted From Automation Modernization approp to Transfer PC&I approp/M&A PPA Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 4 Positions - FTE - Amount 26,000 53,000 - - (53,000) (53,000) V. Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change Department of Homeland Security U.S. Immigration and Customs Enforcement Automation Modernization FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount - - $26,000 $53,000 ($53,000) - - ($53,000) ($53,000) ($53,000) ($53,000) Transfers to and from other accounts: From Automation Modernization approp to PC&I approp/M&A PPA Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 5 D. Summary of Reimbursable Resources E. Summary of Requirements By Object Class Department of Homeland Security U.S. Immigration and Customs Enforcement Automation Modernization Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits - - - - $424 $21 $9,389 $16,166 $26,000 $1,201 $60 $26,539 $25,200 $53,000 - ($1,201) ($60) ($26,539) ($25,200) ($53,000) $26,000 $53,000 - ($53,000) - - - - Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.0 Other Contractual Services 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 33.0 Investments and loans 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 43.1 Interest and Dividends 43.2 Immigration Fees 44.0 Refunds 91.0 Unvouchered 93.1 Limitation on expenses 99.0 Subtotal, Obligations 99.5 Below Reporting Threshold Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year 7 Object Classes Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Total Requirements 8 - - - - $26,000 $53,000 - ($53,000) F. Permanent Positions by Grade H. PPA Budget Justifications Department of Homeland Security U.S. Immigration and Customs Enforcement Automation Modernization Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $424 $1,201 - ($1,201) $21 $9,389 $60 $26,539 - ($60) ($26,539) $16,166 $25,200 - ($25,200) $26,000 $53,000 - ($53,000) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $26,000 - $53,000 - - ($53,000) - 21.0 Travel and Transportation of Persons 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents Automation Modernization Mission Statement The Automation Modernization account allows ICE to improve information sharing with DHS and other partner organizations. The initiatives under Automation Modernization strengthen information availability, improve case management capability, and enhance financial management and audit practices across ICE. Summary Justification and Explanation of Changes FY 2015 Revised Enacted Total, Salaries & Benefits FY 2016 Enacted - FY 2016 to FY 2017 Change FY 2017 Request - - - FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change 21.0 Travel and Transportation of Persons $424 $1,201 $0 ($1,201) Travel includes all costs of transportation of persons, subsistence of travelers, and incidental travel expenses in accordance with 10 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Federal travel regulations. The decrease in FY 2017 is due to the transfer from the Automation Modernization appropriation to the PC&I appropriation/M&A PPA under the Common Appropriations Structure. FY 2015 FY 2016 Revised Enacted 23.3 Communications, Utilities, and Misc. Charges FY 2017 Enacted $21 FY 2016 to Request $60 FY 2017 Change $0 ($60) Communications, Utilities, and Miscellaneous Charges include all payments for rental or lease of information technology equipment and services, postal services and rentals, and utility services, including Blackberry/pager/cellular phones. The decrease in FY 2017 is due to the transfer from the Automation Modernization appropriation to the PC&I appropriation/M&A PPA under the Common Appropriations Structure. FY 2015 Revised Enacted 25.1 Advisory and Assistance Services $9,389 FY 2016 FY 2017 Enacted Request $26,539 FY 2016 to FY 2017 Change $0 ($26,539) Advisory and Assistance Services include services acquired by contract from non-Federal sources (i.e. the private sector, foreign governments, state and local governments, tribes, etc.), as well as from other units within the Federal government. The decrease in FY 2017 is due to the transfer from the Automation Modernization appropriation to the PC&I appropriation/M&A PPA under the Common Appropriations Structure. FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request 31.0 Equipment $16,166 $25,200 FY 2016 to FY 2017 Change $0 ($25,200) Equipment includes all costs for the purchases of personal property of a durable nature or the initial installation of equipment when performed under contract. The decrease in FY 2017 is due to the transfer from the Automation Modernization appropriation to the PC&I appropriation/M&A PPA under the Common Appropriations Structure. 11 1. Changes In Full Time Employment 12 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 13 Department of Homeland Security U.S. Immigration and Customs Enforcement Construction ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Page No. I. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) .............. 3 II. Current Services Program Description by PPA ............................................................ 4 III.. Exhibits and Other Supporting Material ..................................................................... 5 B. FY 2016 to FY 2017 Budget Change ........................................................................ 5 D. Summary of Reimbursable Resources ....................................................................... 6 E. Summary of Requirements By Object Class.............................................................. 7 F. Permanent Positions by Grade ...................................................................................8 H. PPA Budget Justifications .........................................................................................9 I. Changes In Full Time Employment ..........................................................................10 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ............ 11 I. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security U.S. Immigration and Customs Enforcement Construction Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Program Changes Amount POS FTE Adjustments-to-Base Amount POS FTE Amount Construction - - - - - - - - - - - - - - - - - - Total, Construction - - - - - - - - - - - - - - - - - - Subtotal, Enacted Appropriations & Budget Estimates - - - - - - - - - - - - - - - - - - Less: Adjustments for Other Funding Sources - - - - - - - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - - - - - - - - - - - - - - - - - 3 II. Current Services Program Description by PPA N/A CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriations Structure, Construction funding will be reported in the Procurement, Construction, and Improvements appropriation in the Management and Administration Program, Project, and Activity in all future year budget submissions. 4 Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change D. Summary of Reimbursable Resources E. Summary of Requirements By Object Class F. Permanent Positions by Grade H. PPA Budget Justifications Department of Homeland Security U.S. Immigration and Customs Enforcement Construction Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - - - - - - - - - Total Requirements Full Time Equivalents Construction Mission Statement The Construction account uses its resources to plan, construct, renovate, and maintain buildings and facilities necessary for the administration and enforcement of customs and immigration laws. Summary Justification and Explanation of Changes FY 2015 Revised Enacted Total, Salaries & Benefits FY 2016 Enacted - 9 FY 2016 to FY 2017 Change FY 2017 Request - - - 1. Changes In Full Time Employment 10 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 11 Department of Homeland Security Immigration and Customs Enforcement _____________________________________________________ Fiscal Year 2017 Strategic Context Congressional Submission Immigration and Customs Enforcement - Strategic Context Table of Contents A. C omponent Overview .................................................................................................................................. 2 FY 2017 Budget Request ............................................................................................................................. 2 B. Component Contributions to Achieving Departmental Missions ................................................................ 3 Mission 1: Prevent Terrorism and Enhance Security ............................................................................. 4 Resources Requested................................................................................................................................. 4 Performance Measures ............................................................................................................................. 4 Mission 2: Secure and Manage Our Borders ........................................................................................... 4 Resources Requested................................................................................................................................. 4 Performance Measures ............................................................................................................................. 5 Mission 3: Enforce and Administer Our Immigration Laws.................................................................. 6 Resources Requested................................................................................................................................. 6 Performance Measures ............................................................................................................................. 7 Mission 4: Safeguard and Secure Cyberspace ....................................................................................... 10 Resources Requested............................................................................................................................... 10 Performance Measures ........................................................................................................................... 10 Mission 5: Strengthen National Preparedness and Resilience.............................................................. 10 Resources Requested............................................................................................................................... 10 Performance Measures ........................................................................................................................... 11 Mature and Strengthen Homeland Security ........................................................................................... 11 Resources Requested............................................................................................................................... 11 Performance Measures ........................................................................................................................... 11 ICE - i Immigration and Customs Enforcement - Strategic Context A. Component Overview The Immigration and Customs Enforcement is comprised of the following mission-oriented programs that support achievement of the DHS strategic missions, goals, and objectives. Enforcement and Removal Operations (ERO): The Enforcement and Removal Operations program enforces the Nation’s immigration laws by identifying and apprehending removable aliens, detaining these individuals when necessary, and removing them from the United States. To enforce border security, protect public safety, and protect national security, ICE prioritizes the removal of individuals apprehended at the border or ports of entry while attempting to unlawfully enter the United States, as well as those who pose a danger to national security or a risk to public safety, including aliens convicted of crimes, with particular emphasis on violent criminals, felons, and repeat offenders. Homeland Security Investigations (HSI): The Homeland Security Investigations program conducts criminal investigations to protect the United States against terrorist and other criminal organizations that threaten public safety and national security; combats transnational criminal enterprises that seek to exploit America’s legitimate trade, travel, and financial systems; and upholds and enforces America’s customs and immigration laws at and beyond our Nation’s borders. Office of Principal Legal Advisor (OPLA): The Office of the Principal Legal Advisor is the exclusive legal representative in exclusion, deportation and removal proceedings against criminal aliens, terrorists and human rights abusers in immigration courts around the country. In addition, Office of the Principal Legal Advisor provides critical legal support to Immigration and Customs Enforcement components focusing on customs, cybersecurity, worksite enforcement, ethics, employment law, tort claims and administrative law issues. Management and Administration: This program captures activities that provide enterprise leadership, management and/or business administration services and describes the capabilities and activities that support the day-to-day management and back office functions enabling the Department to operate efficiently and effectively. Key capabilities include conducting agency planning and performance management, managing finances, managing agency workforce, providing physical and personnel security, acquiring goods and services, managing information technology, managing agency property and assets, managing agency communications, managing legal affairs, and providing general management and administration. FY 2017 Budget Request The table below shows Immigration and Customs Enforcement FY 2017 Budget request by its mission-oriented programs. Immigration and Customs Enforcement - 2 Immigration and Customs Enforcement - Strategic Context FY 2017 Request Program Dollars FTE (in thousands) Enforcement and Removal Operations 7,973 3,104,164 Homeland Security Investigations 8,706 2,120,930 Office of Principal Legal Advisor 1,552 268,393 Management and Administration 1,424 736,719 19,655 6,230,206 Total Budget Request B. Component Contributions to Achieving Departmental Missions The table below shows the alignment of the FY 2017 Immigration and Customs Service programs to the DHS Missions and Mature and Strengthen Homeland Security. Programs Prevent Terrorism and Enhance Security Secure and Manage Our Borders DHS Missions Enforce and Safeguard and Administer Our Secure Immigration Cyberspace Laws Strengthen National Preparedness and Resilience Enforcement and Removal 100% Operations Homeland* Security 11% 63% 16% 9% 0%** Investigations Office of Principal Legal 0%** 1% Advisor * Management and 10% 33% Administration *Totals account for rounding. **ICE has funding aligned to these missions equaling to under 1% of funding. Immigration and Customs Enforcement - 3 Mature and Strengthen Homeland Security 0%** 0%** 99% 57% Immigration and Customs Enforcement - Strategic Context Mission 1: Prevent Terrorism and Enhance Security Resources Requested Immigration and Customs Services resources supporting Prevent Terrorism and Enhance Security are provided in the table below. $ in thousands Program FY 2015 Revised Enacted $ FTE** FY 2016 Enacted $ FTE FY 2017 Request $ FTE Homeland Security 215,952 935 220,487 948 236,086 951 Investigations 935 220,487 948 236,086 951 Total 215,952* *Totals account for rounding. **Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures ICE contributes to this mission, but does not have performance measures in this area. Mission 2: Secure and Manage Our Borders Resources Requested Immigration and Customs Service resources supporting Secure and Manage Our Borders are provided in the table below. $ in thousands Program FY 2015 Revised Enacted $ FTE** Homeland Security 1,222,429 Investigations Office of Principal 638 Legal Advisor Management and 73,172 Administration Total 1,296,239 *Totals account for rounding. FY 2016 Enacted $ FTE FY 2017 Request $ FTE 5,559 1,245,364 5,638 1,334,642 5,429 0 704 0 788 0 180 73,150 159 72,963 159 5,739 1,319,218 5,798* 1,408,393* 5,589* Immigration and Customs Enforcement - 4 Immigration and Customs Enforcement - Strategic Context **Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures For Secure and Manage Our Borders, Strategic Measures represent ICE’s measures that gauge achievement for this mission area, and are considered to be our Government Performance and Results Act Modernization Act (GPRAMA) performance measures. Strategic Measures Measure: Percent of significant child exploitation or child sex trafficking investigations that resulted in a disruption or dismantlement Description: This measure reports the percent of transnational child exploitation or child sex trafficking investigations resulting in the disruption or dismantlement of high-threat criminal organizations/individuals. "Child exploitation" is defined as manufacturing and distributing sexual or perverted acts or images of children under the age of 18. "Disruption" is defined as impeding the normal and effective operation of the targeted organization. "Dismantlement" is defined as destroying the organization's leadership, financial base and network to the degree that the organization is incapable of operating and/or reconstituting itself. ICE has established a Child Exploitation Investigations Center (CEIC) to serve as a central coordination point for state, local, and tribal offices, the National Center for Missing and Exploited Children, and other federal law enforcement agencies, as well as international law enforcement agencies dedicated to combating the sexual exploitation of children. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A 20.0% 25.0% 41.0% 20.0% 21.0% Target: N/A 23.5% 59.0% 18.1% N/A N/A Result: *The FY 2016 target previously published as 42% in the FY 2014 – 2016 Annual Performance Report was changed to 20%. The program is reducing its targets to account for the data collection issue discovered in FY 2015. Measure: Percent of significant drug investigations that resulted in a disruption or dismantlement Description: This measure will report on the percent of transnational drug investigations resulting in the disruption or dismantlement of high-threat transnational drug trafficking organizations/individuals. "Transnational drug trafficking organization" is defined by the U.S. Department of Justice (DOJ) as those organizations on approved Consolidated Priority Organizational Target (CPOT) or Regional Priority Organizational Target (RPOT) lists or those who are earning, laundering, or moving more than $10 million a year in drug proceeds. "Disruption" is defined as impeding the normal and effective operation of the targeted organization. "Dismantlement" is defined as destroying the organization's leadership, financial base and network to the degree that the organization is incapable of operating and/or Immigration and Customs Enforcement - 5 Immigration and Customs Enforcement - Strategic Context reconstituting itself. To impact the result of this measure, ICE established international partnerships to link global customs and law enforcement agencies. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A 11.0% 44.0% 29.0% 15.0% 16.0% Target: N/A 42.6% 45.0% 14.5% N/A N/A Result: *The FY 2016 target previously published as 42% in the FY 2014 – 2016 Annual Performance Report was changed to 13%. The program is reducing its targets to account for the data collection issue discovered in FY 2015. Measure: Percent of significant transnational gang investigations that resulted in a disruption or dismantlement Description: This measure reports on the percent of transnational gang investigations resulting in the disruption or dismantlement of high-threat transnational criminal gangs. "Transnational gang" is defined as members within a transnational criminal organization linked to gang activity as defined by the Racketeering Influenced Corrupt Organization (RICO) and/or the Violent Crime in Aid of Racketeering (VICAR) statutes. "Disruption" is defined as impeding the normal and effective operation of the targeted organization. "Dismantlement" is defined as destroying the organization's leadership, financial base and network to the degree that the organization is incapable of operating and/or reconstituting itself. To impact the result of this measure ICE has developed and implemented anti-gang initiatives focused on violent criminal activities and on crimes with a nexus to the border. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A 15.0% 62.0% 41.0% 13.0% 14.0% Target: N/A 60.8% 44.0% 12.0% N/A N/A Result: *The FY 2016 target previously published as 42% in the FY 2014 – 2016 Annual Performance Report was changed to 13%. The program is reducing its targets to account for the data collection issue discovered in FY 2015. Mission 3: Enforce and Administer Our Immigration Laws Resources Requested Immigration and Custom Enforcement resources supporting Enforce and Administer Our Immigration Laws are provided in the table below. $ in thousands Program Enforcement and FY 2015 Revised Enacted $ FTE** 3,317,979 7,797 FY 2016 Enacted $ FTE 3,217,792 7,995 Immigration and Customs Enforcement - 6 FY 2017 Revised $ FTE 3,111,007 7,973 Immigration and Customs Enforcement - Strategic Context Removal Operations Homeland Security 346,852 314,228 1,445 325,787 1,468 1,475 Investigations Office of Principal 2,363 1,914 1 2,113 1 1 Legal Advisor Management and 258,532 179 235,576 159 238,450 159 Administration 9,422* 3,781,267 9,622* 3,698,671 9,607* Total 3,892,652 *Totals account for rounding **Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures For Enforce and Administer Our Immigration Laws, two types of performance measures are presented. Strategic Measures represent ICE’s measures that gauge achievement for this mission area, and are considered to be our Government Performance and Results Act Management Act (GPRAMA) performance measures. Additional Management Measures are displayed, as appropriate, to provide a more thorough context of expected performance results. Strategic Measures Measure: Average length of stay in detention of all convicted criminal aliens prior to removal from the United States (in days) Description: This measure provides an indicator of efficiencies achieved in working to drive down the average length of stay for convicted criminals in ICE's detention facilities. Decreases in the average length of stay can significantly reduce the overall costs associated with maintaining an alien population prior to removal. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <=35.0 <=35.0 <=34.5 <=34.5 <=37.5 <=37.0 Target: 31.9 33.5 37.5 40.3 N/A N/A Result: Measure: Number of convicted criminal aliens removed per fiscal year Description: This measure includes removals from the U.S. under any types of removal order as well as voluntary returns of immigration violators to their country of origin. This measure reflects the full impact of program activities to ensure that criminal aliens identified in the country, that are amenable to removal do not remain in the U.S. (statistical tracking note: Measure equals the case status with a departure date within the fiscal year, filtered by criminality and exiting ERO Criminal Alien Program codes.) Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: Immigration and Customs Enforcement - 7 Immigration and Customs Enforcement - Strategic Context Target: Result: 220,350 225,390 225,390 216,810 198,000 177,960 198,000 139,368 158,664 N/A 161,060 N/A Measure: Number of employers audited, sanctioned, or arrested for violating immigrationrelated employment laws or otherwise brought into compliance with those laws Description: This measure is a cumulative result of enforcement-related actions against employers that hire illegal labor. Enforcement-related actions include criminal arrests, audits, and final orders of fines of employers related to worksite enforcement. This measure demonstrates the impact of worksite enforcement operations to ensure that employers do not violate immigration-related employment laws. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A 1,800 1,854 1,854 1,854 1,854 Target: N/A 4,743 2,191 1,928 N/A N/A Result: Measure: Percent of detention facilities found in compliance with the national detention standards by receiving an acceptable inspection rating Description: This measure gauges the percent of detention facilities that have received an overall rating of acceptable or above within the Enforcement and Removal Operations (ERO) National Detention Standards Program. The National Detention Standards were originally issued in September 2000 to facilitate consistent conditions of confinement, access to legal representation, and safe and secure operations across the immigration detention system. The standards have been updated into a performance based format known as the Performance Based National Detention Standards. Through a robust inspections program, the program ensures facilities utilized to detain aliens in immigration proceedings or awaiting removal to their countries do so in accordance with the Performance Based National Detention Standards. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 94% 100% 100% 100% 100% 100% Target: 97% 100% 100% 100% N/A N/A Result: Measure: Percent of removal orders secured by ICE attorneys that support current enforcement priorities Description: This measure indicates the percent of total removal orders secured by OPLA attorneys that support the agency's current enforcement priorities. OPLA attorneys play an integral role in enforcing the nation's immigration laws by prosecuting accused violators and ultimately securing orders of removal against those found to be in the United States illegally. The current policy prioritizes the use of enforcement personnel, detention space, and removal resources to ensure removals orders promote the established enforcement priorities. The policy priorities include aliens who pose a danger to national security or a risk to public safety, recent illegal entrants, and aliens who are fugitives or otherwise obstruct immigration controls. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Immigration and Customs Enforcement - 8 Immigration and Customs Enforcement - Strategic Context Year: Target: Result: N/A N/A N/A N/A N/A N/A N/A N/A 60.0% N/A 60.0% N/A . Measure: Percent of total aliens removed that are criminal aliens Description: This measure reflects the number of criminal aliens removed against the total overall number of alien removals from the U.S. during a fiscal year. This measure reflects the full impact of program activities for aliens that are deemed removable. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A 59% 57% 57% Target: N/A N/A N/A 59% N/A N/A Result: Management Measures Measure: Average daily population of illegal aliens maintained in detention facilities Description: Average Daily Population (ADP) - Midnight count man-days is based on Midnight Count. A MANDAY is based on whether a subject is in an ERO detention facility for the midnight count. For every subject in a facility for the midnight count corresponds to one MANDAY. The ADP is the number of mandays for a given time period, divided by the number of days in that time period. MIRP The and ORR facilities are not included. Average daily population is congressionally mandated at 33,400. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 34,000 34,000 31,800 30,539 30,539 30,539 Target: 34,260 33,788 33,227 28,449 N/A N/A Result: Measure: Estimated average adult bed cost per day Description: All costs associated with directly or indirectly supporting the maintenance of detention beds. These include bed and detention guard contracts; contracts for detainee provisions, healthcare, building maintenance, etc. These costs also include headquarters support and oversight for detention operations. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <=$122.00 <=$122.00 <=$119.00 <=$119.00 <=$123.54 <=$123.54 Target: $118.14 $118.88 $121.16 $127.08 N/A N/A Result: Measure: Number of aliens removed convicted of the most serious crimes (level 1 offenders) Description: This measure indicates the number of aliens who have been convicted of the most serious crimes, known as level 1 offenders, that have been removed from the United States. Immigration and Customs Enforcement - 9 Immigration and Customs Enforcement - Strategic Context Fiscal Year: Target: Result: FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 80,050 77,954 85,000 74,159 86,000 63,159 87,012 53,351 58,225 N/A 59,094 N/A Mission 4: Safeguard and Secure Cyberspace Resources Requested Immigration and Customs Enforcement resources supporting Safeguard and Secure Cyberspace are provided in the table below. $ in thousands Program FY 2015 Revised Enacted $ FTE** FY 2016 Revised $ FTE FY 2017 Enacted $ FTE Homeland Security 177,684 585 182,634 590 197,171 828 Investigations 585 182,634 590 197,171 828 Total 177,684 **Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures ICE contributes to this mission, but does not have performance measures in this area. Mission 5: Strengthen National Preparedness and Resilience Resources Requested Immigration and Customs Enforcement resources supporting Strengthen National Preparedness and Resilience are provided in the table below. $ in thousands Program Homeland Security Investigations Total FY 2015 Revised Enacted $ FTE* FY 2016 Enacted $ FTE FY 2017 Revised $ FTE 3,710 20 3,866 20 3,974 20 3,710 20 3,866 20 3,974 20 Immigration and Customs Enforcement - 10 Immigration and Customs Enforcement - Strategic Context *Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures ICE contributes to this mission, but does not have performance measures in this area. Mature and Strengthen Homeland Security Resources Requested Immigration and Customs Enforcement resources supporting Mature and Strengthen Homeland Security are provided in the table below. $ in thousands Program $ FY 2015 FTE* $ FY 2016 FTE $ FY 2017 FTE Enforcement and 466 0 150 0 157 0 Removal Operations Homeland* Security 2,494 2 3,230 3 2,205 3 Investigations Office of Principal 214,841 1,263 237,077 1,470 265,242 1,551 Legal Advisor Management and 386,718 1,451 406,112 1,142 418,307 1,107 Administration 2,716 646,568 2,615 685,910 2,660 Total 604,518 *Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures ICE contributes to this mission, but does not have performance measures in this area. Immigration and Customs Enforcement - 11 Department of Homeland Security Transportation Security Administration (TSA) Budget Overview ____________________________________________________ Fiscal Year 2017 Congressional Justification i. Summary of FY Budget Estimates by Appropriation without Emergency Funding Department of Homeland Security Transportation Security Administration Summary of FY 2017 Budget Estimates by Appropriation Total Appropriations (Dollars in Thousands) Appropriation Operations and Support Operations and Support - Fees (Discretionary) Operations and Support - Fees(Mandatory) Research and Development Procurement, Construction, and Improvements Subtotal, Mandatory FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request Increase(+) or Decrease(-) for FY 2017 Total Changes Program Changes POS 56,897 FTE 54,701 Amount $6,714,528 POS 55,027 FTE 50,962 Amount $6,786,219 POS 54,379 FTE 51,380 Amount $6,914,937 POS (648) FTE Amount 418 $128,718 POS FTE 124 109 $215,100 176 146 $193,953 182 178 $207,849 6 32 $13,896 - - 6 14 $14,000 24 24 $5,200 24 24 $5,200 - - - - 191 192 $5,000 $428,739 188 177 $5,000 $449,724 188 177 $5,000 $456,093 - - $6,369 - 11 Adjustments-to-Base Amount 11 $7,150 POS FTE Amount (659) 407 $121,568 - 6 32 $13,896 - - - - - - $5,000 - - $1,369 6 14 $264,000 24 24 $255,200 24 24 $255,200 - - - - - - - - - Subtotal, Discretionary 57,212 55,002 $7,113,367 55,391 51,285 $7,184,896 54,749 51,735 $7,333,879 (642) 450 $148,983 11 11 $12,150 (653) 439 $136,833 Total 57,218 55,016 $7,377,367 55,415 51,309 $7,440,096 54,773 51,759 $7,589,079 (642) 460 $148,983 11 11 $12,150 (653) 439 $136,833 Subtotal, Enacted Appropriations and Budget Estimates 57,218 55,016 $7,377,367 55,414 51,310 $7,440,096 54,773 51,759 $7,589,079 (642) 450 $148,983 11 11 $12,150 (653) 439 $136,833 Less: Adjustments for Other Funding Sources Aviation Passenger Security Fee - - ($2,544,100) - - ($2,579,153) - - ($3,491,834) - - ($912,681) - - ($908,833) - - ($3,848) - - ($2,065,000) - - ($2,130,000) - - ($2,608,785) - - ($478,785) - - ($488,833) - - $10,048 Aviation Security Infrastructure Fee - - - - - - - - ($420,000) - - ($420,000) - - ($420,000) - - - Aviation Security Capital Fund - Mandatory - - ($250,000) - - ($250,000) - - ($250,000) - - - - - - - - - Vetting Fees - Discretionary - - ($215,100) - - ($193,953) - - ($207,849) - - ($13,896) - - - - - ($13,896) - - - - - - - - 450 ($763,698) 11 11 ($896,683) (653) 439 $132,985 Alien Flight Student Program Fee - Mandatory Net, Enacted Appropriations and Budget Estimates: - - ($14,000) - - ($5,200) - - ($5,200) - 57,218 55,016 $4,833,267 55,414 51,310 $4,860,943 54,773 51,759 $4,097,245 (642) 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only TSA- 2 ii. FY 2017 Investment Summary Department of Homeland Security Transportation Security Administration FY 2017 Investment Summary (Dollars in Thousands) Investment Name Electronic Baggage Screening Program Information Technology Infrastructure Program Passenger Screening Program Secure Flight Security Technology Integrated Program Technology Infrastructure Modernization Screening Partnership Program Financial System Replacement PPA(s) Transportation Screening Operations Transportation Screening Operations; Transportation Assessment and Enforcement; & Management and Administration Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Management and Administration FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request $474,786 $493,699 $499,267 $372,240 $365,439 $377,976 $162,650 $186,688 $185,910 $99,029 $105,111 $97,645 $14,254 $14,577 $14,612 $42,713 $41,938 $41,714 $171,666 $166,928 $170,382 $8,851 $6,682 $18,066 Total $1,346,189 $1,381,062 $1,405,572 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only TSA- 3 iii. Status of Congressionally Requested Studies, Reports and Evaluations Fiscal Year Due Date 2004 10/31/2015 IRTPA 2004, 9/11 Act, ATSA, DHS NIPP 2012 12/20/2015 No-Hassle Flying Act 2012 2015 12/23/2015 Gerardo Hernandez Airport Security Act of 2015, Section 6 2015 1/23/2016 42361 2016 2/1/2016 FY 2016 Approps 2016 2/15/2016 FY 2016 Approps 2016 2/16/2016 FY 2016 Approps 2015 3/1/2016 TSA Office of Inspection Accountability Act of 2015, Section 5 2016 3/11/2016 FY 2016 Approps 3/18/2016 Reference/Citation Transportation Security Acquisition Reform Act, Section 1615 Gerardo Hernandez Airport Security Act of 2015, Section 3 Gerardo Hernandez Airport Security Act of 2015, Section 7 2015 3/22/2016 2015 3/22/2016 2004 4/1/2016 IRPTA 2004, 9/11 Act, etc. 2005 4/15/2016 FY05 Appropriations 2016 5/15/2016 FY 2016 Approps 2016 6/1/2016 FY 2016 Appropriations 2016 6/15/2016 FY 2016 Approps 2013 8/9/2016 Helping Heroes Fly Act (Annual) TSA- 4 Requirement 2015 Annual Transportation Security Report (TSA-150512-006) No-Hassle Flying Act Annual Report (TSA150714-007) Reimbursable Agreements (TSA-151007005) Interoperability Review and Report (TSA151007-009) Obligation Plans FY 2016 Q1 FAMS Hiring Report (TSA151203-009) EDS Reimbursement Review and Validation Plan (TSA-160108-023) Office of Inspection Workforce Certification (TSA-160108-014) FY 2016 Advanced Integrated Passenger Screening Report (TSA-151203-020) Annual Small Business Contracting Goals (TSA-151224-010) Security Incident Response at Airports (TSA-151007-004) Security Incident Response for Surface Transportation Systems (TSA-151007-007) 2016 Biennial National Strategy for Transportation Security (TSA-150714-006) FY 15 Unclaimed Money at Airports Annual Report (TSA-131105-007) FY 2016 Q2 FAMS Hiring Report (TSA151203-011) 2016 First Semiannual Deobligations Report (TSA-151208-001) National Explosives Detection Canine Team Program (TSA-160108-020) TSA's Progress in Implementing the Helping Heroes Fly Act (TSA-160108-024) Status Undergoing DHS review Undergoing OMB review To be drafted Undergoing DHS review Template being developed Undergoing TSA review Undergoing TSA review To be drafted Undergoing TSA review Undergoing TSA review Undergoing TSA review Undergoing TSA review To be drafted To be drafted To be drafted To be drafted To be drafted To be drafted Fiscal Year Due Date Reference/Citation 2016 8/15/2016 FY 2016 Approps 2016 11/15/2016 FY 2016 Approps 2016 12/1/2016 FY 2016 Appropriations Requirement FY 2016 Q3 FAMS Hiring Report (TSA151203-012) FY 2016 Q4 FAMS Hiring Report (TSA151203-018) 2016 Second Semiannual Recoveries and Deobligations (TSA-151208-002) TSA- 5 Status To be drafted To be drafted To be drafted iv. Schedule of Authorized/Unauthorized Appropriations by PPA Budget Activity Operations and Support Transportation Screening Operations Transportation Assessment and Enforcement Management and Administration Procurement, Construction, and Improvements Transportation Screening Operations1 Research and Development Transportation Screening Operations Total Direct Authorization/Appropriation 1 Last Year of Authorization Fiscal Year N/A N/A N/A N/A N/A N/A N/A N/A N/A Authorized Level Amount N/A N/A N/A N/A N/A N/A N/A N/A Appropriation in Last Year of Authorization Amount N/A N/A N/A N/A N/A N/A N/A N/A FY 2017 Request Amount $7,127,986 $5,303,957 $1,487,082 $336,947 $456,093 $456,093 $5,000 $5,000 N/A N/A $7,589,079 This PPA includes funding from the Aviation Security Capital Fund, which was reauthorized through FY 2028 by P.L. 110-53. TSA- 6 Department of Homeland Security Departmental Management and Operations Transportation and Security Administration Operations and Support Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ....................................................................................................1 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level .....................................................1 B. FY 2016 to FY 2017 Budget Change - Appropriation Level........................................................................................3 C. FY 2017 Investment Summary - Appropriation Level .................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ..........................................................................................................7 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level ............................................................................................7 Schedule III – Other Exhibits ...................................................................................................................................................70 Exhibit E. Justification of Proposed Legislative Language ..............................................................................................70 Exhibit F. Summary of Fee Collections and Carryover....................................................................................................73 Exhibit G. Summary of Reimbursable Resources ...........................................................................................................86 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ..................................................90 Exhibit I. Capital Investment and Construction Initiative Listing....................................................................................91 Exhibit J. Object Class Breakout by Appropriation..........................................................................................................92 Exhibit K. Object Class Breakout by PPA........................................................................................................................94 Exhibit L. Permanent Positions by Grade .......................................................................................................................104 Exhibit M. Changes in Full Time Employment..............................................................................................................105 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security Transportation Security Administration Operations and Support Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS Transportation Screening Operations National Explosives Detection Canine Team Program Passenger and Baggage Screening Vetting Programs FTE Amount 51,901 49,981 509 503 51,266 49,364 POS FTE Amount $4,934,956 50,121 46,395 $129,900 509 493 $4,741,104 49,479 45,780 POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount $5,015,797 49,453 46,784 POS FTE Amount $5,090,908 -668 389 531 $131,391 22 38 $9,682 $4,819,149 48,793 46,135 $4,893,766 -686 355 $74,617 $121,709 531 $75,111 126 114 $63,952 133 122 $74,939 129 118 $65,751 -4 -4 ($9,188) Transportation Assessment and Enforcement 3,481 3,358 $1,465,365 3,358 3,145 $1,431,746 3,377 3,173 $1,487,082 19 28 $55,336 Compliance Enforcement and Response 2,425 2,375 $375,987 2,298 2,188 $359,556 2,296 2,186 $374,649 -2 -2 $15,093 38 35 $828,700 38 36 $825,834 38 36 $835,086 - - $9,252 Intelligence Operations and TSOC 407 385 $76,183 420 385 $77,986 444 418 $83,520 24 33 $5,534 Reviews and Assessments 611 563 $184,495 602 536 $168,370 599 533 $193,827 -3 -3 $25,457 1,515 1,362 $314,207 1,548 1,422 $338,676 1,549 1,423 $336,947 1 1 ($1,729) 1,515 1,362 $314,207 1,548 1,422 $338,676 1,549 1,423 $336,947 1 1 ($1,729) $6,786,219 54,379 51,380 $6,914,937 -648 418 $128,718 In-Flight Security Management and Administration Management and Administration Subtotal, Operations and Support, Appropriated Transportation Screening Operations, Discretionary Fees 56,897 54,701 $6,714,528 55,027 50,962 124 109 $215,100 176 146 $193,953 182 178 $207,849 6 32 $13,896 TWIC 42 43 $102,000 43 42 $82,267 46 45 $96,163 3 3 $13,896 Hazardous Materials 34 34 $39,000 35 34 $21,083 38 37 $21,083 3 3 - General Aviation at DCA - 5 $2,000 5 5 $400 5 5 $400 - - - Commercial Aviation and Airports - - $8,000 - - $6,500 - - $6,500 - - - Other Security Threat Assessments - - $100 - - $50 - - $50 - - - Air Cargo/Certified Cargo Screening Program 12 7 $11,000 11 11 $3,500 11 11 $3,500 - - - TSA Precheck 36 20 $53,000 82 54 $80,153 82 80 $80,153 - 26 - $6,980,172 54,561 51,558 $7,122,786 -642 450 $142,614 - Subtotal, Operations and Support, Discretionary Transportation Assessment and Enforcement, Mandatory Fees Alien Flight School Total, Operations and Support Budget Authority 57,021 54,810 $6,929,628 55,203 51,108 6 14 $14,000 24 24 $5,200 24 24 $5,200 - - 6 14 $14,000 24 24 $5,200 24 24 $5,200 - - - $6,985,372 54,585 51,582 $7,127,986 -642 450 $142,614 57,027 54,824 $6,943,628 55,227 51,132 1 Department of Homeland Security Transportation Security Administration Operations and Support Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount - - ($2,294,100) - - ($2,329,153) - - ($3,241,834) - - ($912,681) Aviation Security Passenger Fee - - ($2,065,000) - - ($2,130,000) - - ($2,608,785) - - ($478,785) Aviation Security Infrastructure Fee - - - - - - - - ($420,000) - - ($420,000) Discretionary Vetting Programs Fees - - ($215,100) - - ($193,953) - - ($207,849) - - ($13,896) Alien Flight School Fee – Mandatory - - ($14,000) - - ($5,200) - - ($5,200) - - - $4,656,219 54,561 51,558 $3,886,152 -642 450 ($770,067) Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: 57,027 54,824 $4,649,528 55,203 51,108 1Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission. * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. Overview The Operations and Support (O&S) appropriation funds the Transportation Security Administration’s (TSA) operating salaries and expenses. This appropriation provides funding for TSA screening operations, including in-flight security, a strong security regulation and enforcement presence on-site at the Nation’s commercial airports, multi-modal regulation compliance inspections and deterrence programs, and support for operational and headquarters personnel, systems and infrastructure. • Transportation Security Operations: This PPA supports activities related to TSA’s passenger, baggage, and air cargo screening functions. Program changes include investments to recapitalize IT infrastructure, increased staffing to support “No Fly” watchlist redress programs, and a reduction in the Large Aircraft and Charter Screening Program. • Transportation Assessment and Enforcement: This PPA encompasses TSA’s security reviews, assessment, and enforcement activities as well as in-flight security activities. Program changes include investments to recapitalize IT infrastructure. • Management and Administration: Management and Administration (M&A) provides all aspects of the support infrastructure required to sustain TSA’s nationwide operations. Program changes include investments to recapitalize IT infrastructure. 2 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security Transportation Security Administration Operations and Support FY 2016 to FY 2017 Budget Change (Dollars in Thousands) Adjustments-to-Base Pos. FTE Amount 54,368 51,369 $7,721,722 2,900 640 132 1,590 38 46,086 180 289 133 312 43 35 5 11 82 1264 341 309 130 683 55,203 2,789 615 126 1,526 36 42,525 175 260 122 290 42 34 5 11 54 1132 324 281 120 641 51,108 $571,738 $93,659 $26,161 $337,345 $2,094 $2,272 $805,076 $20,758 $2,973,839 $239,025 $280,509 $166,928 ($2,130,000) $52,003 $72,739 $105,651 $82,267 $21,083 $400 $6,500 $50 $3,500 $80,153 $273,259 $201,596 $449,160 $28,148 $82,650 ($576) $4,847,907 22 37 59 16 9 323 22 37 407 $56,942 $15,157 $8,841 $2,000 $26,941 $1,500 $500 $20,501 $12,160 $5,600 $1,650 $3,500 $1,609 $1,300 $158,201 Transfers to and from other accounts: Transfer In from Aviation - Airport Management and Support Transfer In from Aviation - Air Cargo Transfer in from Aviation - Airport Management and Support Transfer In from Aviation - Aviation Regulation and Enforcement Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Transfer In from Aviation - Federal Air Marshals Service Transfer In from Aviation - Federal Flight Deck Officer Training Transfer In from Aviation - Screener Personnel Compensation and Benefits Transfer In from Aviation - Screener Training and Other Transfer In from Aviation - Screening Technology Maintenance Transfer In from Aviation - Screening Partnerships Program Transfer In from Aviation - Aviation Passenger Security Fee Transfer In from Intelligence and Vetting - Intelligence Transfer In from Intelligence and Vetting - Other Vetting Programs Transfer In from Intelligence and Vetting - Secure Flight Transfer In from Intelligence and Vetting - TWIC - Fee Transfer In from Intelligence and Vetting - Hazardous Material CDL - Fee Transfer In from Intelligence and Vetting - General Aviation at DCA - Fee Transfer In from Intelligence and Vetting - CAA - Fee Transfer In from Intelligence and Vetting - OSTA - Fee Transfer In from Intelligence and Vetting - Air Cargo - Fee Transfer In from Intelligence and Vetting - TSA Pre✓® Application Program - Fee Transfer In from Support - Headquarters Administration Transfer In from Support - Human Capital Services Transfer In from Support - Information Technology Transfer In from Surface - Staffing and Operations Transfer In from Surface - Surface Inspectors and VIPRs Transfer out to Department of Homeland Security Total Transfers Increases 2017 Pay Increase Annualization of 2016 Pay Increase Annualization of Canine Teams Annualization of FIO Annualization of Transportation Security Officers Enhanced Criminal Vetting for Aviation Workers Fingerprint Result Database Other Adjustment-to-Base Other Adjustments-to-Base Physcial Access Renovation Prior-Year Corrections RapBack Implementation Risk Assessments/Physical Security Upgrades SPP Pay COLA Secure Flight Balanced Workforce Secure Flight Routers Total, Increases 3 Department of Homeland Security Transportation Security Administration Operations and Support FY 2016 to FY 2017 Budget Change (Dollars in Thousands) Decreases Other Adjustments-to-Base (Disaster Management) PreCheck Expansion Program Efficiencies Reprogramming Secure Flight - Watchlist Services - Non-Recur Vetting Programs - Watchlist Services - Non-Recur Total, Decreases Total Other Adjustments Total Adjustments-to-Base FY 2017 Current Services Program Changes (718) (718) (659) 54,544 54,544 11 407 51,515 51,515 11 ($12) ($11,700) ($19,936) ­ ($1,380) ($1,420) ($34,448) $123,753 $4,971,740 $4,971,740 $7,150 11 11 11 11 $3,500 $10,000 $13,500 11 54,555 11 51,526 ($6,350) ($6,350) $7,150 $4,978,890 Increases Increase Redress Staffing Recapitalize Aging IT Infrastructure Total, Increases Decreases Reduce Large Aircraft and Charter Screening Program (LACSP) funding Total, Decreases Total Program Changes FY 2017 Request 4 Department of Homeland Security Transportation Security Administration Operations and Support Mandatory Funding FY 2016 to FY 2017 Budget Change (Dollars in Thousands) Adjustments-to-Base Pos. FTE Amount 24 24 $5,200 24 24 24 24 24 24 24 24 24 24 $5,200 $5,200 $5,200 $5,200 $5,200 Transfers to and from other accounts: Transfer In from Intelligence and Vetting – Alien Flight Student Program - fee Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request 5 C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security Transportation Security Administration Operations and Support FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Transportation Screening Operations Transportation Assessment and Enforcement Management and Administration Management and Administration Transportation Screening Operations Transportation Screening Operations Electronic Baggage Screening Program Information Technology Infrastructure Program Passenger Screening Program Secure Flight Security Technology Integrated Program Technology Infrastructure Modernization Information Technology Infrastructure Program Financial System Replacement Information Technology Infrastructure Program TWIC Hazardous Materials Total 6 FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request $172,857 $193,719 $198,567 $307,891 $292,081 $301,913 $85,317 $86,790 $81,933 $99,029 $105,111 $97,645 $3,832 $3,775 $4,334 $38,613 $37,838 $35,414 $22,910 $21,278 $22,316 $8,851 $6,682 $18,066 $54,333 $52,080 $53,747 $94,317 $72,987 $87,820 $33,301 $921,251 $15,031 $887,372 $14,797 $916,552 Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Transportation Screening Operations Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Annualization of Canine Teams Annualization of Transportation Security Officers Change in Collections/Receipts - TWIC Enhanced Criminal Vetting for Aviation Workers Fingerprint Result Database Other Adjustment-to-Base Other Adjustment-to-Base - TSA Pre✓® PreCheck Expansion Prior-Year Corrections Program Efficiencies RapBack Implementation Reprogramming SPP Pay COLA Secure Flight - Watchlist Services - Non-Recur Secure Flight Balanced Workforce Secure Flight Routers Technical Adjustment - Hazardous Material CDL Technical Adjustment – TWIC Transfer In from Aviation - Airport Management and Support 7 Positions - FTE 16 Amount 41,273 10,964 8,841 - 323 - 26,941 13,896 22 (718) 37 - 26 22 37 - 1,500 500 2,478 (11,700) (6,388) 1,650 1,609 (1,380) 1,300 3 3 3 3 - 2,900 2,789 571,738 Transportation Screening Operations Transfer In from Aviation - Aviation Regulation and Enforcement Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Transfer In from Aviation - Screening Partnership Program Transfer In from Aviation - Screener Personnel Compensation and Benefits Transfer In from Aviation - Screener Training and Other Transfer In from Aviation - Screening Technology Maintenance Transfer In from Intelligence and Vetting - Other Vetting Programs Transfer In from Intelligence and Vetting ­ Secure Flight Transfer In from Intelligence and Vetting ­ TWIC – Fee Transfer In from Intelligence and Vetting ­ Hazardous Material CDL - Fee Transfer In from Intelligence and Vetting ­ General Aviation at DCA - Fee Transfer In from Intelligence and Vetting - CAA – Fee Transfer In from Intelligence and Vetting ­ OSTA - Fee Transfer In from Intelligence and Vetting - Air Cargo - Fee Transfer In from Intelligence and Vetting - TSA Pre✓® Application Program – Fee Transfer In from Alien Flight Student Program – fee Transfer In from Support - Headquarters Administration Transfer In from Support - Human Capital Services Transfer In from Support - Information Technology Transfer In from Surface - Staffing and Operations Transfer In from Surface - Surface Inspections and VIPRs 8 Positions FTE Amount 509 - 493 - 121,709 2,094 - - 2,272 - - 166,928 46,086 42,525 2,973,839 180 175 239,025 - - 280,509 129 118 72,204 293 271 103,572 43 42 82,267 35 34 21,083 5 5 400 - - 6,500 - - 50 11 11 3,500 82 54 80,153 24 24 5,200 - - 6,724 - - 130,836 - - 339,946 3 3 378 1 1 - Transportation Screening Operations Transfer out to Department of Homeland Security Vetting Programs - Watchlist Services - NonRecur Program Changes Increase Redress Staffing Recapitalize Aging IT Infrastructure Reduce Large Aircraft and Charter Screening Program (LACSP) funding Budget Year FY 2017 Request Positions FTE Amount - - (344) 11 - 11 - (1,420) 3,500 6,160 49,659 46,986 (6,350) 5,303,957 PPA DESCRIPTION: This PPA supports passenger, baggage, and air cargo screening, the National Explosives Detection Canine Team program, vetting programs that support screening capabilities, as well as field support for these efforts. Since 2011, TSA has been performing this function through the use of an intelligence-driven Risk-Based Security (RBS) approach. RBS increases overall security effectiveness by focusing security resources on higher risk and unknown travelers, while expediting the process for low risk and known/trusted travelers. 9 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Screening Operations Justification of Program Changes (Dollars in Thousands) Program Increase 1: Increase Redress Staffing - Passenger and Baggage Screening PPA: Transportation Screening Operations Program Increase: FTP 11, FTE 11, Dollars $3,500 Program Increase 2: Recapitalize Aging IT Infrastructure - Passenger and Baggage Screening PPA: Transportation Screening Operations Program Increase: FTP 0, FTE 0, Dollars $6,160 Program Decrease 1: Reduce Large Aircraft and Charter Screening Program (LACSP) Funding - Passenger and Baggage Screening PPA: Transportation Screening Operations Program Decrease: FTP 0, FTE 0, Dollars ($6,350) Funding Profile FY 2015 Revised Enacted FY 2016 Enacted FTP FTE Dollars ($000) FTP FTE Dollars ($000) Current Services: Passenger and Baggage Screening Subtotal, Current Services Program Increase: Increase Redress Staffing - Passenger and Baggage Screening Program Increase: Recapitalize Aging IT Infrastructure - Passenger and Baggage Screening Subtotal, Program Increases Program Decrease: Reduce Large Aircraft and Charter Screening Program (LACSP) funding - Passenger and Baggage Screening Subtotal, Program Decreases Total Request FTP FY 2017 Request FTE Dollars ($000) 48,782 46,124 48,782 46,124 10 $4,890,456 $4,890,456 11 11 $3,500 11 11 $6,160 $9,660 48,793 46,135 ($6,350) ($6,350) $4,893,766 INCREASE REDRESS STAFFING:\ • The FY 2017 request includes an increase of 11 positions, 11 FTE, and $3.5 million in the Transportation Screening Operations PPA for the DHS Traveler Redress Inquiry Program (TRIP). Justification: DHS TRIP provides a single portal for travelers who use commercial airlines and are directed to the ticket counter to receive a boarding pass, repeatedly receive secondary screening at the security checkpoint, or are denied boarding an aircraft due to the Federal Watch list screening process. TSA is revising the DHS TRIP redress process for travelers who were denied boarding. These revisions will provide greater transparency and more robust review procedures. Most notably, the revisions will enable TSA to provide redress applicants with confirmation of “No Fly” watchlist status, and the reasons for that status. This will allow redress applicants the ability to submit relevant evidence to challenge the determination and correct errors. These revised redress procedures are required in order to comply with a court order from the United States District Court for the District of Oregon. These revisions to the redress process will increase the process’ complexity, and will result in a significant increase in the numbers of No Fly applicants seeking redress. To meet this projected increase in the number of applicants, TSA requires an increase of 11 staff to process the increase in requests and modify the DHS TRIP case processing system. Additionally, the new procedures will require separate processes for U.S. citizens and non-citizens, which will require database development and the acquisition of citizen verification services. The current database is nearing the end of its service life, and is no longer in compliance with TSA and DHS policy for cloud-based systems – accordingly, TSA has determined that a new system would be more cost effective than patching the aging system. The cost of the new systems is estimated at $1.5 million. Impact on Performance: The proposed increase in staffing and funding for DHS TRIP will enable TSA to implement the revised DHS TRIP redress process, and will enable TSA to achieve its Redress performance goals. Strategic Performance Measure: Average number of days for DHS Traveler Redress Inquiry Program redresses requests to be closed. RECAPITALIZE AGING IT INFRASTRUCTURE: • The FY 2017 request includes an increase of $6.16 million to help address critical information technology (IT) equipment requirements for the Transportation Screening Operations PPA, affecting agency-wide abilities to perform mission-essential and operationally critical functions. This funding is part of a $10 million request across all three PPAs, which will be used to replace 661 switches at a cost of $4,543 each, 1,180 servers at a cost of $4,237 each, and 616 laptops and 810 desktops at a cost of $1,400 each, all of which will be at or beyond their end of useful life (EOL) by FY 2017. 11 Justification: By providing funding to refresh servers, laptops, and desktops, TSA will be able to meet the needs of the growing TSA user base and decrease potential risks to systems security. TSA has over 6,000 switches and 1,800 servers that will be at or beyond their EOL by FY 2017. As these switches and servers reach their EOL (as specified by the manufacturer), the availability of security updates, technical support, and replacement parts sharply diminishes, placing TSA’s infrastructure at a higher risk of failure for an extended period of time. In FY 2011, TSA procured new desktops and laptops. Due to decreases in IT funding and other immediate priorities, TSA was unable to refresh these systems and has reached a critical state. Some, but not all, of these systems were refreshed in FY 2015 and FY 2016. The FY 2017 funding will provide the necessary funds to continue refresh of these out of date systems. Impact on Performance: If capital investments are not made, TSA would be at a significantly increased risk of operational downtime and outages. Should a server that is past EOL fail, TSA would experience network and/or system down-time of anywhere from 1 hour to 24-plus hours at any one of more than 440 airports and operation centers nation-wide, as well as at some overseas locations. This would also increase vulnerabilities to TSA’s IT infrastructure, which would consequently increase the number of system Plans of Action and Milestones (POA&Ms), and risk to system confidentiality, integrity, and availability. In addition, TSA has over 35,000 computers, including laptops and desktops, which are already out of warranty or past their EOL. The failure of one of these personal computers or laptops may cause the TSA official/employee to lose all data that has not been backed up and to be unable to access any internal TSA Mission Essential system until the PC is either repaired or replaced. Depending upon the location of the TSA employee, it could be a down-time period of several hours to multiple days. Any one of these outcomes would lead to a degradation of mission-critical systems and impact command and control capabilities at TSA Headquarters and field locations. REDUCTION TO LARGE AIRCRAFT AND CHARTER SCREENING PROGRAM: Description of Item: • The FY 2017 request includes a reduction of $6.35 million in the Transportation Screening Operations PPA for the Large Aircraft and Charter Screening Program (LACSP). Justification: This reduction is due to a delay in the General Aviation Security Rulemaking, which will postpone modifications to the Secure Flight system. Impact on Performance: This proposed reduction will not adversely impact the Large Aircraft and Charter Screening Program or Secure Flight, since the General Aviation Security Rule is now projected to be published in FY 2018. 12 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Screening Operations Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FY 2017 Request FY 2016 to FY 2017 Change Avg. Avg. Avg. Avg. FTP FTE Amount FTP FTE Amount FTP FTE Amount Cost Cost Cost Cost 52,026 50,084 $3,378,757 $67 50,297 46,541 $3,453,244 $74 49,635 46,962 $3,548,253 $76 -662 421 $95,009 $2 FTP Civilian Total Military Total FY 2016 Enacted FTE Amount 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: FTE increase driven primarily by a net increase of 323 Transportation Security Officers (TSOs) FTE to increase security at checkpoint, partially offset by TSO FTE reductions due to new Screening Partnership Program airports. Additional FTE increases due to requirements for “No Fly” watchlist redress, annualization of National Explosives Detection Canine Teams added in fiscal year 2015, and TSA Pre✓® expansion efforts started in FY 2016. • PCB Change FY 2016-2017: Personnel Compensation and Benefits Changes are driven primarily by the increases in FTE identified above and average co changes identified below. • Average Cost Change FY 2016-2017: Average cost increase is a result of the 2016 and 2017 pay raises. This is reduced slightly by the increase in TSOs who have a lower-than-average cost per FTE. • FY 2017 request estimate $232.4 thousand in bonuses and $68.4 million for performance awards. This request remains in line with OPM Awards Guidanc on Spending Limitation. 13 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Screening Operations Cost Drivers (Non-Pay) – PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted PPA – Transportation Screening Operations FY 2017 Non- Pay Cost Drivers (greatest-least) Screening Equipment Maintenance and Disposal $258,174 Training, Supplies & Consumables $209,029 Privatized Screening Contracts $171,666 Total $380,695 $280,509 $220,321 $166,928 $387,249 $280,500 $211,414 $168,537 $379,951 FY 2016 to FY 2017 Change ($9) ($8,907) $1,609 ($7,298) *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Screening Equipment Maintenance and Disposal: The requested funding supports maintenance service contracts for over 13,000 pieces of screening technology equipment that have come out of original warranty. The FY 2017 funding level decreases only by approximately $9 thousand from its FY 2016 level due to minor base adjustments. • Privatized Screening: Total budgeted amount for privatized screening contracts. Amount is increased from FY16 by $1.6M due to anticipated contract screener wage inflation. • Training, Supplies & Consumables: Total budget for TSO Training, screening consumables and uniform costs. Non-pay amount is reduced by $8.9 million in FY 2017 primarily due to a contract conversion to fund new hire training instructor requirements at the TSA Academy in Glynco, GA as well as a reduction to screening consumables due to efficiencies. 14 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations National Explosives Detection Canine Team Program FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) National Explosives Detection Canine Team Program Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Annualization of Canine Teams Prior-Year Corrections Program Efficiencies Transfer In from Aviation – Aviation Regulation and Enforcement Budget Year FY 2017 Request 15 Positions 22 - FTE 16 22 - Amount 786 225 8,841 (170) 509 531 493 531 121,709 131,391 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations National Explosives Detection Canine Team Program Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 509 503 $69,319 $137 509 493 $65,517 $132 531 531 $74,153 $139 22 38 $8,636 $7 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. Pay and benefits cost drivers are described at the PPA level. SUB-PPA JUSTIFICATION: The NEDCTP trains and deploys certified explosives detection canine teams to deter and detect the introduction of explosive devices into the transportation system. Bomb threats cause disruption of air, land, and sea commerce and pose an unacceptable danger to the traveling public. Explosives detection canine (EDC) teams are proven and reliable resources in the detection of explosives and are a key component in a balanced counter-terrorism program. The NEDCTP consists of TSA-led canine teams (“proprietary teams”) and partnerships between TSA and state and local law enforcement (“legacy teams”) within the aviation, mass transit, and maritime sectors as noted in the following chart: Type Function State and Local Law Multi-Modal Enforcement Teams (Legacy) Total State and Local Law Enforcement Teams Federal Teams (Proprietary) Multi-Modal Passenger Screening Total Federal Teams Total All Explosives Detection Canine Teams FY 2015 – FY 2017 Teams Locations 675 106 675 106 134 28 188 40 322 68 997 174 To increase operational efficiency and effectiveness, in FY 2015 TSA consolidated all canine assets to maximize flexibility in response to changes in intelligence or capability requirements in any transportation environment. Multimodal teams can be moved easily between transportation modes in 16 response to threats or as part of TSA’s risk-based security requirements. Multi-Modal/Passenger Screening Canine Teams: The operation of TSA-led Passenger Screening Canine (PSC) teams in the airport passenger environment is an effective way to screen the general public in mass numbers or during peak periods when applying RBS expedited screening initiatives. The PSC detection methodology relies on the canine’s ability to process air currents and detect carried or body-worn explosives whether someone is moving or still. The canine handler is trained to read the canine’s behavioral changes to identify the source of an explosives odor and follow the vapor wake to the explosive source. TSA uses PSC teams to conduct screening of individuals entering screening checkpoints with an active TSA Pre✓® lane. This provides an additional layer of explosives screening of all individuals entering the checkpoint and enables TSA to provide an expedited screening process for randomly selected passengers determined to be low risk. TSA has developed a comprehensive risk-based PSC Team allocation model that includes eleven risk factors with varying mathematical weight-based values. Using this risk-based model, TSA identified a risk-based list of airports to receive PSC teams. The FY 2015 Budget included funding to support 12 additional canine teams which will be trained and deployed in FY 2016. The FY 2017 budget supports a total of 997 teams with a final goal to have all TSA led canine teams certified to screen passengers by the end of calendar year 2016. In addition, TSA will continue to refine and expand the multi-modal concept, further enhance the Managed Inclusion process, and continue to expand the effectiveness of the National Explosives Detection Canine Security Program effort with key international aviation security partners. State and Local Law Enforcement Teams: TSA fosters voluntary partnerships with state and local law enforcement agencies for canines through Other Transactional Agreements (OTAs) and reimbursable (formerly cooperative) agreements. TSA provides funding for training, certification and maintenance of the explosives detection capable canines, training for the handlers, and partial reimbursement of handlers’ salaries and other costs. The OTA outlines the roles and responsibilities associated with the participant and NEDCTP. The OTA also addresses certification standards, guidelines, procedures, logistical support and coordination for all canine matters relating to the program. Training: Training for TSA’s canines consists of the following: • Canines receive approximately 15 weeks of training prior to being assigned to a 10 week EDC Student Handler Course. • PSC canines receive approximately 25 weeks of training prior to being assigned to a 12 week PSC Student Handler Course There is also an additional four-week bridge course for handlers trained in EDC to obtain the additional skill for PSC work. 17 Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations Passenger and Baggage Screening FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Passenger and Baggage Screening Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Annualization of Transportation Security Officers Other Adjustment-to-Base Program Efficiencies Reprogramming SPP Pay COLA Secure Flight – Watchlist Services – Non-Recur Secure Flight Balanced Workforce Secure Flight Routers Transfer In from Aviation – Airport Management and Support Transfer In from Aviation – Checkpoint Support Transfer In from Aviation – EDS Procurement and Installation Transfer In from Aviation – SPP Transfer In from Aviation – Screener Personnel Compensation and Benefits Transfer In from Aviation – Screener Training and Other Transfer In from Aviation – Screening Technology Maintenance Transfer In from Intelligence & Vetting – Secure Flight Transfer In from Support – Headquarters Administration Transfer In from Support – Human Capital Services Transfer In from Support – Information Technology 18 Positions - FTE - Amount 40,289 10,682 (718) 37 - 323 37 - 26,941 (289) (6,213) 1,609 (1,380) 1,300 2,900 - 2,789 - 571,738 2,094 - - 2,272 166,928 46,086 42,525 2,973,839 180 175 239,025 - - 280,509 293 271 103,572 - - 6,724 - - 130,836 - - 339,946 - Passenger and Baggage Screening Transfer In from Surface – Staffing and Operations Transfer In from Surface – Surface Inspections and VIPRs Transfer out to Department of Homeland Security Program Changes Increase Redress Staffing Recapitalize Aging IT Infrastructure Reduce Large Aircraft and Charter Screening Program (LACSP) funding Budget Year FY 2017 Request 19 Positions FTE Amount 3 3 378 1 1 - 11 - 11 - (344) 3,500 6,160 48,793 46,135 (6,350) 4,893,766 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations Passenger and Baggage Screening Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 51,266 49,364 $3,281,802 $65 49,479 45,780 $3,352,205 $72 48,793 46,135 $3,435,721 $73 (686) 355 $83,516 $1 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. Pay and benefits cost drivers are described at the PPA level. 20 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations Passenger and Baggage Screening Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Sub-PPA – Passenger and Baggage Screening FY 2017 Non- Pay Cost Drivers (greatest-least) Screening Equipment Maintenance and Disposal $258,174 Training, Supplies & Consumables $209,029 Privatized Screening Contracts $171,666 Total $380,695 $280,509 $220,321 $166,928 $387,249 $280,500 $211,414 $168,537 $379,951 FY 2016 to FY 2017 Change ($9) ($8,907) $1,609 ($7,298) *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only SUB-PPA JUSTIFICATION: Passenger and Baggage Screening ($ in Thousands) Screening – Federal Screening – Privatized TSO Training Screening Equipment Maintenance and Disposal Secure Flight Security Technology Integrated Program Total FY 2015 Revised Enacted $ 4,108,262 $ 171,666 $ 99,601 $ 258,174 $ 99,569 $ 3,832 $ 4,741,104 FY 2016 Enacted $ 4,145,666 $ 166,928 $ 116,620 $ 280,509 $ 105,651 $ 3,775 $ 4,819,149 FY 2017 Request $ 4,220,234 $ 170,382 $ 116,595 $ 280,500 $ 101,721 $ 4,334 $ 4,893,766 A major component of TSA’s Screening Operation is the screening of passengers and their baggage before entering the sterile area of an airport. TSA’s Transportation Security Officers (TSOs) screen approximately 695 million passengers and nearly 2 billion carry-on and checked baggage per year. Of these passengers, approximately 5 percent are screened by contracted screeners through a privatized screening program. All TSOs receive specialized training in the use of the latest threat detection technology, and TSA strives to develop a highly effective and professional TSO workforce through leadership training and new hire training at the TSA Academy. TSA’s Secure Flight program pre-screens a daily average of 6 million air passengers to include continuous watch list matching, routinely preventing known or suspected terrorists from entering the checkpoint. Screening – Federal: $ 4.220 billion TSA maintains a federal workforce of approximately 43,000 TSO FTE at approximately 440 airports with various security screening duties and specialties. With the evolution of TSA’s risk-based security programs, the TSO responsibility, especially at the checkpoint, has significantly evolved. Officer duties go beyond verbatim adherence to Standard Operating Procedures and include critical thinking about today’s threats and risks, and the 21 mitigation techniques necessary to respond to those threats. TSO Budgeted FTE by Job Title/ Function1 Job title Band FY 2015 FTE FY 2016 FTE FY 2017 FTE TSOs D, E 28,772 27,072 27,299 Lead/Master F 6,158 6,837 6,894 Supervisory/Expert TSOs G 4,515 4,798 4,837 BDOs F,G,H,I 3,131 2,660 2,660 Managers H, I 1,158 1,158 1,158 TOTAL 43,734 42,525 42,848 Workforce is composed of approximately 10,000 part time TSOs and 35,000 full time TSOs 1TSO TSO FTE Allocated to Security Duties Job Duty FY 2015 FTE FY 2016 FTE FY 2017 FTE TDC 2,001 2,001 2,001 BDOs 3,131 2,660 2,660 Checkpoint / Other 44,864 37,864 38,187 TOTAL 43,734 42,525 42,848 Basic job descriptions of the different types of TSOs are below: • TSO – Front-line workforce performing checkpoint security, document checking, airport employee screening and unpredictable security measures (i.e. Playbook). • Lead TSO (LTSO)/Master TSO – Provides intermediary leadership at the checkpoint. Master TSOs can also perform training duties and operate in airport coordination centers. • Supervisory TSO (STSO)/Expert TSO – Supervises checkpoint operations. Expert TSOs can also perform training duties and operate in airport coordination centers. • Playbook/Risk Emphasized Flight Screening (REFS) – Provides a more risk based focus at the local airport level. • Behavior Detection Officer (BDO) – Performs passenger screening through Behavior Detection and Analysis (BDA) • Transportation Security Manager (TSM) – Performs overall oversight duties of security operations. 22 • National Deployment Force (NDF) –Deploys top performing TSOs, BDOs, and other operations personnel to Federal Security Directors (FSDs) for security screening support during crises, peak seasonal demands, special security events, risk mitigation or other activities that require higher-than­ normal security related staffing levels. TSA determines and allocates TSO FTE to the airports through the Staffing Allocation Model. This is a robust process run by each airport’s scheduling operations officer and utilizes: • Official Airline Guide flight data representing airport specific flight activity; • Airport specific facility layout and equipment configuration details, to include presence of TSA Pre✓® lanes; • Input of program offices and risk analysis; • A discrete event simulation model to project staffing requirements; and • Sophisticated workload based optimization software to apply collective bargaining compliant rules to determine efficient work schedules. Over the past few years, the TSO workforce has grown smaller while becoming more specialized, all while meeting the demands of increased passenger volume as displayed in the following chart: 23 50,000 TSO Workforce FTE and Passenger Growth 825,000,000 45,000 FAA Forecast for Passenger Growth 740,000,000 40,000 655,000,000 SPECIALIZED FTE AIT FTE 35,000 TRADITIONAL FTE 570,000,000 Passengers* 30,000 485,000,000 25,000 20,000 FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015* FY 2016* FY 2017* 400,000,000 * Passenger Data is taken from the Bureau of Transportation Statistics T-100 Market Data. Data only includes figures with a World Area Code of less than 100 which signals originations within the U.S. Details here: http://www.transtats.bts.gov/TableInfo.asp?Table_ID=292&DB_Short_Name=Air%20Carriers&Info_Only=0 FY14 Thru FY16 are based on the FAA Aerospace Forecast for Fiscal Years 2014-2034 (2.2% increase FY14 Thru FY16). Also note that passenger count ties to enplanements, not necessarily screening throughput. TSOs at security checkpoints must be properly supplied with the consumables required for the screening process such as disposable gloves and swabs and uniforms in order to project a professional and official image. The security checkpoints and baggage screening areas in which they perform their screening duties require essential IT equipment and support. Federal Security Directors (FSDs) oversee and support the screening operation of each airport and have an area of responsibility dependent on geographic location, number of airports, and complexity and risk of certain airports. The FSDs are supported by administrative staff located both in the field and TSA headquarters. In addition, Transportation Security Specialists – Explosives (TSS-Es) are deployed to high-risk locations to help resolve potential bomb threats without the disruption of calling in local bomb squads that may close checkpoints for hours at a time. The TSOs, FSDs and staff, and TSS-Es have distinct and critical roles in maintaining smooth and effective screening operations at approximately 440 airports throughout the country. Historical TSO Attrition Rates Attrition Type Work Schedule FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 Voluntary Voluntary Voluntary Full-Time ONLY Part-Time ONLY TOTAL 4.2% 12.9% 6.2% 4.9% 13.5% 8.5% 6.5% 16.1% 10.8% 8.1% 19.0% 12.9% 9.1% 19.7% 13.6% 9.5% 18.9% 13.3% TSA strives to hire, retain, and develop the highest performing individuals in the TSO workforce. Attrition levels can be attributed to many factors including impact from the overall health of the economy. There has been a slight increase in voluntary attrition for TSOs in recent years; although this can partially be attributed to an improved economy. TSA has taken steps to improve retention through improved career development resources and a 24 shorter probationary period for entry level TSOs by reducing the required service period for a D band to be promoted to the E band from two years to one year. The President’s Safety, Health, and Return to Employment Initiative requires Federal agencies to reduce the Total Case Rate (TCR) and Lost Time Case Rate (LTCR) by three percent each fiscal year. As noted in the chart below, TSA has exceeded this goal and will seek to continue the trend of reducing numbers of TSO injuries and illnesses. FY 2010 FY 2011 FY 2012 FY 2013 FY 2014 FY 2015 % Change FY 2010- 2015 TCR 7.2 5.5 5.5 4.9 3.6 3.3 -54% LTCR 3.4 2.8 2.6 2.3 1.9 1.9 -44% The Department of Homeland Security’s (DHS) Office of Inspector General (OIG) performed covert testing in FY 2015 on TSA checkpoint operations and technology. As a result of vulnerabilities identified from this report, TSA is aggressively working to examine the proximate root causes of the covert testing failures and provide effective system-wide solutions. Specifically, TSA is looking at the people, process and technology to ensure TSA employs a strategic, systems-focused approach to detect and disrupt the latest threat streams. TSA’s FY 2017 request supports screeners, training, technology, and field intelligence officers to mitigate the gap in screening identified by the OIG report and ensure:  Appropriate measures are in place to drive a focus on TSA’s primary mission – screening;  Assumptions, plans, and processes are evaluated and working to address any complacency in how TSA approaches operations, so TSA remains adaptive and updates concepts of operations; and,  Workforce training is systematically addressed, so TSA can deliver an effective system and earn the confidence of the traveling public. Screening – Privatized: $ 170.382 million The Screening Partnership Program (SPP) was established under Section 108 of the Aviation and Transportation Security Act (P.L. 107-71) (ATSA) to permit an airport operator to request screening services through a private screening company. Private screening contractors are to ‘perform equal to’ or ‘better than’ Federal screening operations under Federal oversight following the same operating procedures. The FAA Modernization and Reform Act of 2012 (P.L. 112-95) requires TSA to approve an airport’s application to participate in SPP if approval will not compromise security, detrimentally affect cost efficiency, or detrimentally affect screening effectiveness of passengers or property. Since enactment of the Act, TSA has adjudicated and approved eight applications. One airport, Sacramento International in California, withdrew its application after it was approved. In addition, TSA has established a 12 month goal for awarding a new SPP contract; however, circumstances outside of TSA’s control may impact procurement timelines, such as legislative mandates released during a solicitation. The following map shows the current and potential SPP Airports: 25 In FY 2016, TSA moved towards an Indefinite Delivery, Indefinite Quantity (IDIQ) contract vehicle for future SPP contracts. This change has several anticipated benefits including an expedited procurement process, increased competition during the initial procurement phase and increased consistency amongst contracts. The re-compete for screening services at San Francisco International Airport and Charles M. Schulz- Sonoma County Airport will be the first airports to be competed via a task order under the IDIQ contract. TSO Training: $ 116.595 million TSA has increased the emphasis on training in developing a professional and effective workforce over the past several months. Recent OIG covert test failings have exemplified the need for consistent and effective training. The TSO workforce receives training courses tailored to their supervisory level and specialization, and receives recurrent training throughout their career with TSA. The following is a list of major training programs provided to the TSO workforce. TSO Basic Training Program (222 hours, including 128 hours of On-the-Job training): This program provides core training of the TSO workforce. This request continues the centralization and standardization of TSO Basic Training at the TSA Academy at the Federal Law Enforcement Training Center (FLETC), in Glynco, Georgia. This provides TSA with a structured, centralized training environment for its TSO new hires for the first time since TSA was first stood up in 2002. Centralizing training in a formal, professional academy ensures consistency and professionalism, produces 26 greater organizational unity, increases confidence in skills, dedication and connectedness to a common agency culture, and enhances focus on mission. Additional training provided to the workforce is as follows: Training Annual Recurrent In-Service Training Behavior Detection Officer Training Security Training Instructor Training Essentials of Leading Screening Operations Course Essentials of Supervising Screening Operations Course Essentials of Managing Screening Operations Course Leadership Training Expanding Skills and Critical Thinking Training Career Development Description Provides training to ensure TSOs maintain proficiency of skills learned during basic training. Keeps TSOs up-to-date with procedural changes, the use of new/updated technologies building new capabilities; enhanced skills; and identifies new threat items. Required of all TSOs Provides training in behavior observation and analysis for the purpose of identifying passengers exhibiting behaviors indicative of hostile intent. Recurrent BDO training and National Training Team (NTT) Certification is also funded from this PPA. Supports the permanent TSA in-house instructor certification program. . Designed to provide tools needed to allow LTSOs to successfully support the TSO workforce and STSOs in the execution and management of the daily operations and challenges faced at checkpoint and/or checked baggage screening locations. Provides front line supervisors with core knowledge and critical job skills that enable them to contribute to the success in critical areas such as employee integrity, responsibility and performance. Designed to provide tools needed to allow TSMs to successfully support the TSO workforce, to include the LTSOs and STSOs in the execution and management of the daily operations and challenges faced at checkpoint and/or checked baggage screening locations. Supports the requirements of 5 Code of Federal Regulations (CFR) 412.202 Systematic Training and Development of Supervisors, Manager, and Executives. Leadership training programs have been developed and are deployed for different levels of TSOs. Help TSOs become more analytical and less “check-list oriented” by emphasizing critical thinking and effective communications. Consolidates the latest methods for explosives detection, as well as the human factors that can affect security. Provides career-advancement tools and resources in its online system called Security Officer Advancement Resources. In addition, TSA has partnered with community colleges to provide TSOs and uniformed officers the opportunity to work toward a TSA Homeland Security Certificate and/or an associates’ degree in Homeland Security or related field. Using initial feedback provided by the DHS OIG, TSA immediately initiated efforts to develop a “Mission Essentials – Threat Mitigation” training course for its workforce. The course is an 8-hour instructor-led training class and includes the following: • An up-to-date briefing on the current intelligence information related to aviation security threats; 27 • A focused review of standard operating procedures, which are reinforced through hands-on practice labs focused on anomaly resolution during patdowns, to include not only the mechanics of the screening procedures, but also how to counter social engineering that may be encountered when passengers attempt to explain away anomalies; and • A review and discussion regarding the capabilities and limitations of the screening technologies deployed, and the critical role officers have in the overall effectiveness of the Nation’s commercial aviation security system. It is TSA’s intent to continue to design and develop mission essential training for the frontline leadership team. TSA will continue to monitor performance indicators generated by both internal and external assessments and incident summaries to determine the primary subject that will be the focus of these ongoing training courses. Each subsequent course will be designed to review the key learning objectives of the previous course in the “Essentials” series and further expand capabilities and competencies based on the agreed upon learning objectives for the new course. Screening Equipment Maintenance and Disposal: $ 280.5 million Screening Equipment Maintenance and Disposal ($ in Thousands) Checkpoint Equipment Maintenance and Disposal Checked Baggage Equipment Maintenance and Disposal FY 2015 Revised Enacted $85,317 $172,857 Total $258,174 FY 2016 Enacted FY 2017 Request $86,790 $193,719 $81,933 $198,567 $280,509 $280,500 The FY 2017 Budget Request supports the maintenance and disposal of Transportation Security Equipment (TSE) in the Nation’s airports. Maintenance is essential to preserve and support the operational capability of screening technology equipment. During the initial warranty period, the Original Equipment Manufacturer (OEM) is responsible for all preventive and corrective maintenance actions as specified in each technology acquisition contract. The OEM warranty period for major TSE begins when the equipment passes a Site Acceptance Test (SAT). After the warranties expire, all TSA checkpoint and checked baggage screening equipment is under a TSA maintenance contract throughout its life cycle. In FY 2017, the Budget Request will support maintenance services for over 13,000 pieces of security equipment that have come out of OEM warranty. These costs include labor; repair parts; packaging and transportation of repair parts; initial consumables for Explosives Trace Detection (ETD) units; tools, test equipment and calibration; maintenance training; and related logistics, data management, safety, occupational health, and environmental management functions. The FY 2017 Budget Request also includes funding for the disposal of equipment. This includes funding to remove Sensitive Security Information and hazardous material from disposed equipment. Secure Flight: $101.721 million The Secure Flight program directly supports the passenger screening process. TSA’s request includes an increase of 11 positions/FTE and $3,500 thousand for the DHS TRIP program to implement an order from the 9th Circuit district Court requiring major modification to the redress process. 28 Using an automated process to match Secure Flight Passenger Data (SFPD) against watch lists maintained by the Federal Government, Secure Flight prevents terrorist from boarding an aircraft or accessing the sterile area of a U.S. airport by effectively identifying individuals who may pose a threat to aviation or national security. In addition, Secure Flight includes a matching function for the Centers for Disease Control and Prevention’s Do Not Board list, which contains a list of individuals with communicable diseases who meet specific criteria and pose a significant health risk to other passengers. These individuals are restricted from boarding commercial aircraft departing from and/or arriving in the United States. Any travelers identified during the automatic matching process undergo an additional manual review. Flagged travelers are then identified to the airline for notification and to make the redress process available to the traveler. Secure Flight pre-screens an average of 6 million passengers daily – approximately 2 million each 72 hours, 48 hours, and 24 hours out from scheduled flights. As part of TSA’s risk-based, intelligence-driven approach to aviation security, Secure Flight identifies passengers who pose a low risk to aviation security with programs such as the Pre✓® Application Program. This allows TSA to apply more Secure Flight resources to passengers with a higher or unknown risk profile. The Pre✓® Application Program is described in greater detail in the Vetting Programs Sub-PPA. In order to protect sensitive information in the databases Secure Flight accesses, TSA continually works to strengthen the cybersecurity protocols of the Secure Flight program through the use of an enterprise security monitoring suite and a continuous monitoring program designed to identify threats early, keep up with evolving threats, and reduce overall risk. Security Technology Integrated Program (STIP): $ 4.334 million In FY 2017, TSA will continue to maintain the Security Technology Integrated Program (STIP). STIP is a TSA data information technology program that connects all Transportation Security Equipment (TSE) to a single network, enabling two-way exchange of information. STIP enables centralized management and monitoring of deployed TSE and provides the ability to respond to the rapidly changing threat environment in a more agile manner. The FY 2017 Budget request will support and maintain the STIP capability by providing hardware and software licenses for the TSA System Integration Facility (TSIF) environment. The requested funds will also support the STIP Help Desk, as well as provide Information System Security Officer (ISSO) cyber security support for the program. 29 Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations Vetting Programs FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Vetting Programs Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Change in Collections/Receipts – TWIC Enhanced Criminal Vetting for Aviation Workers Fingerprint Result Database Other Adjustment-to-Base Other Adjustment-to-Base – TSA Pre✓® PreCheck Expansion Program Efficiencies RapBack Implementation Technical Adjustment – Hazardous Material CDL Technical Adjustment – TWIC Transfer In from Intelligence and Vetting – Other Vetting Programs Transfer In from Intelligence and Vetting – TWIC – Fee Transfer In from Intelligence and Vetting – Hazardous Material CDL – Fee Transfer In from Intelligence and Vetting – General Aviation at DCA – Fee Transfer In from Intelligence and Vetting – CAA – Fee Transfer In from Intelligence and Vetting – OSTA – Fee Transfer In from Intelligence and Vetting – Air Cargo – Fee Transfer In from Intelligence and Vetting – TSA Pre✓® Application Program – Fee Transfer In from Alien Flight Student Program – fee 30 Positions - FTE - Amount 198 57 13,896 - 26 1,500 500 2,767 - - - (11,700) (5) 1,650 3 3 - 3 3 - 129 118 72,204 43 42 82,267 35 34 21,083 5 5 400 - - 6,500 - - 50 11 11 3,500 82 54 80,153 24 24 5,200 Vetting Programs Budget Year Vetting Programs – Watchlist Services – NonRecur FY 2017 Request 31 Positions FTE Amount 335 320 (1,420) 278,800 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Screening Operations Vetting Programs Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 251 217 $27,636 $127 309 268 $35,522 $133 311 296 $38,379 $130 2 28 $2,857 ($3) - Civilian Total Military Total 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. Pay and benefits cost drivers are described at the PPA level. SUB-PPA JUSTIFICATION: Vetting Programs: $278.800 million Vetting Programs ($ in Thousands) FY 2015 Enacted $23,394 $6,334 $34,224 $102,000 $39,000 $2,000 Vetting Operations Transportation Vetting System1 Technology Infrastructure Modernization2 Transportation Worker Identification Credential – Fee Hazardous Materials Endorsement Threat Assessment Program – Fee General Aviation at DCA – Fee Commercial Aviation and Airport – Fee Other Security Threat Assessments – Fee Air Cargo – Fee TSA Pre✓® Application Program – Fee Alien Flight Student Program – Fee Total $34,249 $7,994 $32,696 $82,267 $21,083 $400 FY 2017 Request $26,230 $7,994 $31,520 $96,163 $21,083 $400 $8,000 $100 $11,000 $53,000 $14,000 $6,500 $50 $3,500 $80,153 $5,200 $6,500 $50 $3,500 $80,153 $5,200 $293,052 $274,092 $278,800 FY 2016 Enacted 1 FY 2017 Transportation Vetting System represents the appropriated amount in the Operations and Support (O&S) Appropriation. Remaining funds covered by various Fee programs. 2 FY 2017 Technology Infrastructure Modernization represents the appropriated amount in the O&S Appropriation. Remaining funds covered by TWIC Fees, and appropriated dollars in the Procurement, Construction and Improvements appropriation. Vetting Operations keeps the Nation’s Transportation Network safe by requiring individuals requesting access to the Network to undergo a name-based 32 Security Threat Assessment (STA) and/or an FBI fingerprint-based Criminal History Records Check (CHRC). Vetting Operations includes Fee Programs, Other Vetting programs, the Transportation Vetting System, and the Technology Infrastructure Modernization program. Vetting Operations: $26.237 million The numerous small vetting programs included in Vetting Operations are in an operational and maintenance mode and will continue to vet the various populations each fiscal year using a name-based STA. Some of these populations also require FBI fingerprint-based CHRCs, which are funded with fees. As of September 2015, over 165 million names have been vetted from the following programs: Total Names Vetted Since Program Inception (as of September 2015) Program Aviation Workers and Secure Identification Display Area (SIDA) Badges Crew Vetting* Population Vetted 13,555,701 151,916,939 DCA Access Standard Security Program (DASSP) Private Charter Standard Security Program (PCSSP) 12/5 Standard Security Program Maryland Three (MD-3) Airspace waivers (ASW) 28,517 3,971 62,042 2,567 46,442 TOTAL 165,616,179 *Air crews are vetted prior to each flight. These programs consist of the following populations: • The Aviation Workers Program (including SIDA and other badge holders), covers individuals requiring credentials at U.S. federalized domestic airports (450,000 workers require a name-based STA, and if applicable a fingerprint-based FBI CHRC annually); • The Crew Vetting program covers flight crewmembers on passenger and cargo flights into, out of, or over the continental United States (14.2 million crewmembers require a name-based STA annually); • The Other Aviation Vetting Programs, including the DASSP, PCSSP, 12/5 Standard Security Program, MD-3, and ASW Program, all require a name-based STA. All except ASW require a fingerprint-based (FBI) CHRC, which is covered by fees. Since inception, TSA has vetted over 1.4 million records for the Other Aviation Vetting Programs, vetting approximately 18,000 new records annually. Recent recommendations from GAO, DHS Office of the Inspector General, and the Aviation Security Advisory Council (ASAC) indicate TSA needs to continuously monitor the criminal history of regulated populations. In FY 2017, TSA’s request includes $1.65 million to support implementation of FBI Rap Back service as well as $1.5 million to enhance Criminal Vetting for Aviation Workers to continually monitor individuals for criminal activity and more quickly identify those individuals who may pose a threat to transportation security. These requests are included as adjustments to the base. 33 Transportation Vetting System (TVS): $7.994 million The TVS is a high-capacity, high-speed, automated biographic vetting system used to compare identities submitted for STAs. TVS is used to discover threat linkages; detect event-based anomalies; manage, correlate, and analyze encounters; ensure carrier data submission compliance, and search databases and watch lists. TVS is funded by both appropriations ($8.0M) and fee programs ($12.3M). Technology Infrastructure Modernization (TIM): $31.520 million and $3.894 million from discretionary fees The TIM Program is replacing current legacy systems with an integrated end-to-end solution that manages enrollments, credentials, and vetting assessment results for millions of transportation sector workers and travelers within the Maritime, Surface, and Aviation transportation sectors. The TIM Program interfaces with other DHS information services, including those of the Screening Coordination Office (SCO), Customs and Border Protection (CBP), the Office of Biometric Identity Management (OBIM), U.S. Citizenship and Immigration Services (USCIS), and others as appropriate. The TIM Program will also interface with other Federal agencies as necessary, including the FBI, the Terrorist Screening Center (TSC), and other critical Federal infrastructure. TSA currently uses TIM for the workers within the Maritime sector, and anticipates migrating the TSA Pre✓® Application Program population to TIM in FY 2017. As additional populations are fully migrated over to the TIM system, fees collected from those populations will contribute to the operations and maintenance costs of TIM based on usage. O&M funding for TIM is supported by both appropriations ($31.5M) and fee programs ($3.9M). TSA also requests an additional $6.3 million in Procurement, Construction and Improvement funding, for a total investment of $41.7 million for the TIM program. Transportation Worker Identification Credential (TWIC) Fee: $96.163 million In FY 2017, TSA estimates it will collect $96.163 million in TWIC fees, which represents an additional $13.896 million above the FY 2016 enacted level. This increase is a result of the five year renewal cycle for the majority of TWIC credential holders. Of the $96.163 million in TWIC fees, $3.894 million will be used for TIM. The TWIC fees administer, vet and adjudicate maritime workers seeking a TWIC. 34 The TWIC fee program provides a tamper-resistant biometric credential to maritime workers requiring unescorted access to secure areas of port facilities and vessels that are regulated under the Maritime Transportation Security Act. The program provides a common, consistent biometric credential at over 3,400 facilities and on over 12,000 vessels. Prior to issuing a TWIC, the program ensures the identity of each TWIC holder has been verified, a satisfactory security background check has been completed on that identity, and each credential issued is positively linked to the rightful holder through the use of biometric technology (using standards published by the National Institute of Standards Technology). The final TWIC rule (published in 2007) includes the ability to provide a discount for Free and Secure Trade card holders, documented merchant mariners, and truckers with a Hazardous Materials Endorsement (HME) in states that have elected to offer comparability between the HME and TWIC security threat assessments. Workers needing a TWIC can enroll during a single visit in any one of the 292 enrollment centers located throughout the nation. Also through the use of Trusted Agents and mobile units, some vendors/companies can enroll their own workers. TSA processed 428,474 enrollments in FY 2015. Overall, TSA has processed 3,584,881 TWIC enrollments from inception in 2008 to September 30, 2015. To fully leverage the security benefit of the TWIC, the United States Coast Guard (USCG) has authorized the use of approximately 250 handheld TWIC readers in place of visually inspecting the card prior to allowing access to secure areas. Additionally, the USCG is currently verifying compliance with TWIC requirements through electronic validation during vessel and facility compliance exams and/or security spot checks. Hazardous Materials Endorsement Threat Assessment Program (HTAP) Fee: $21.083 million In FY 2017, TSA estimates it will collect $21.1 million in HTAP to vet and adjudicate workers seeking a HTAP credential. The HTAP was established to protect against threats to transportation posed by terrorists, dangerous criminals, and illegal aliens that may attempt to transport hazardous materials in commerce. As of September 2015, nine States collect the required biographic information and biometric data through their individually established and maintained programs. The remaining 41 states and the District of Columbia have elected to utilize the TSA-contracted agent. Additionally, drivers registered in a state serviced by the TSA Agent may be fingerprinted in any other state serviced by the TSA Agent. 35 The HTAP has a robust redress process, including appeals, waivers, and Administrative Law Judge review. As of September 30, 2015, the program conducted threat assessments on 272,543 applicants in FY 2015 and more than 3.03 million drivers since inception and is entirely funded by fee revenue. General Aviation at Ronald Reagan Washington National Airport (DCA) Fee: $400 thousand This fee supports name-based Security Threat Assessments and 5 positions and 5 FTE that screen flight crewmembers and passengers on non­ commercial aircraft (non-cargo) flying into/out of DCA from/to one of the 28 domestic gateway airports. As of June 30, 2015 TSA had vetted approximately 13,000 General Aviation – DCA passenger and crew during the Fiscal Year. Commercial Aviation and Airport Fee: $6.500 million This fee program covers the fingerprint-based FBI CHRC for those individuals who apply for, or are issued, personnel identification credentials at U.S. domestic airports (e.g., airport facilities workers, retail employees, airline employees, taxi drivers, parking attendants, etc.). Prior to receiving any identification credentials, aviation workers must undergo a successful name-based STA, which is currently funded through appropriated funds. The program also processes FBI CHRCs for the General Aviation population. Airport and aircraft operators are provided a choice of service providers from among three TSA Designated Aviation Channelers. As of July 8, 2015, the total current badged Aviation Worker population is approximately 2.8 million, which includes approximately 480,000 new or modified applications in FY 2015. Other Security Threat Assessments (OSTA) Fee: $50 thousand The OSTA fees supports the costs for a fingerprint-based FBI CHRC for the programs listed below. Populations under these programs also undergo a name-based STA, which is funded through appropriated dollars. • The 12/5 covers flight crewmembers operating aircraft with a maximum certificated takeoff weight of 12,500 pounds or more (approximately 2,500 applicants/year). • The PCSSP covers private charter flight crewmembers operating aircraft with a maximum certified takeoff weight of 100,309 pounds or more, or a passenger-seating configuration of 61 or more, or whose passengers are enplaned from or deplaned into a sterile area. PCSSP does not include government charters. • The MD-3 program covers pilots who operate aircraft and apply for privileges to fly to or from Potomac Airport, Washington Executive/Hyde Field, or College Park Airport. • The ASW program covers domestic and international flight crew members and passengers requiring access to certain operational areas of DCA or access to Washington, D.C. flight restricted zones, major sporting events, Disney theme parks, flight training, and special events. • SSI fee covers those individuals who require access to SSI. 36 Air Cargo Fee: $3.500 million The Air Cargo program fee collections supports STAs of air cargo workers in the air cargo supply chain, including individuals authorized to screen cargo at designated cargo screening facilities. The program vets approximately 90,000 air cargo workers per year. TSA Pre✓® Application Program Fee: $80.153 million The TSA Pre✓® Application Program is a prescreening initiative that conducts risk assessments on passengers who voluntarily participate prior to their arrival at the airport checkpoint. If TSA determines an individual is a low risk traveler, that individual may be able to receive expedited screening. The FY2017 request includes 55 positions and 54 FTE to support the TSA Pre✓® expansion effort. ® Under this program, travelers may be eligible for expedited security screening for air travel through TSA Pre✓ lanes, if they: (1) voluntarily submit requested biometric and biographic information to TSA; (2) pay the $85 non-refundable program fee covering TSA’s costs for conducting the security threat assessment and adjudicating the application (includes $12.75 for an FBI Criminal History Records Check); and (3) successfully undergo a security threat assessment to confirm they do not pose a threat to transportation or national security. As of December 31, 2015, 355 enrollment centers are available at Universal Enrollment Services (UES) sites (which serve multiple programs including TWIC and HTAP) and at airports. TSA continues to look for opportunities to expand the TSA Pre✓® population. Cumulative Program Statistics (As of December 31, 2015) Program Areas Measurement 1,961,779 1,959,166 355 Total Enrollments Total Approved Number of Enrollment Centers Open** **Includes 314 Universal Enrollment Services Sites and 41 On-Airport enrollment sites. 37 FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Transportation Assessment and Enforcement Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Annualization of Field Intelligence Officers Other Adjustments-to-Base Physcial Access Renovation Program Efficiencies Risk Assessments/Physical Security Upgrades Transfer In from Aviation – Air Cargo Transfer In from Aviation – Airport Management & Support Transfer In from Aviation – Aviation Regulation and Enforcement Transfer In from Aviation – Federal Air Marshalls Service Transfer In from Aviation – Federal Flight Deck Officer Program Transfer In from Aviation – Air Cargo Transfer In from Intelligence and Vetting – Intelligence Transfer In from Intelligence and Vetting – Other Vetting Programs Transfer In from Intelligence and Vetting – Secure Flight Transfer In from Support – Headquarters Administration Transfer In from Support – Human Capital Services Transfer In from Support – Information Technology Transfer In from Surface – Staffing and Operations 38 Positions 575 FTE 9 553 Amount 13,087 3,523 2,000 30,183 5,600 (8,416) 3,500 69,401 131 125 25,983 1,081 1,033 215,636 - - 805,076 38 65 36 62 20,758 24,258 289 260 52,003 4 4 535 19 19 2,079 366 315 71,363 - - 570 - - 35,900 127 117 27,770 Transportation Assessment and Enforcement Transfer In from Surface – Surface Inspectors and VIPRs Transfer out to Department of Homeland Security Program Changes Recapitalize Aging IT Infrastructure Budget Year FY 2017 Request Positions FTE Amount 682 640 82,650 3,377 3,173 (23) 3,646 1,487,082 PPA DESCRIPTION: Transportation Assessment and Enforcement (TA&E) encompasses TSA’s security reviews, assessment, and enforcement activities in the various modes of transportation as well as in-flight security activities in the aviation domain. Activities captured in this program area include: Intelligence and Analysis, Visible Intermodal Prevention and Response teams, domestic and international inspectors, reviews and assessments, Federal Air Marshals’ international and domestic flight coverage, Federal Flight Deck Officer program, and training crew members in self-defense. 39 Department of Homeland Security Transportation Security Administration Transportation Assessment and Enforcement Justification of Program Changes (Dollars in Thousands) Program Increase 1: Recapitalize Aging IT Infrastructure – Reviews and Assessments PPA: Transportation Assessment and Enforcement Program Increase: FTP 0, FTE 0, Dollars $3,646 Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) Current Services: Reviews and Assessments Subtotal, Current Services Program Increase: Recapitalize Aging IT Infrastructure – Reviews and Assessments Subtotal, Program Increases Total Request FTP FY 2016 Enacted FTE Dollars ($000) FTP FY 2017 Request FTE Dollars ($000) 599 599 533 533 $190,181 $190,181 599 533 $3,646 $3,646 $193,827 DESCRIPTION OF ITEM: The FY 2017 request includes an increase of $3.646 million to help address critical information technology (IT) equipment requirements for the Transportation Assessment and Enforcement PPA affecting agency-wide abilities to perform mission-essential and operationally critical functions. This funding is part of a $10 million request across all three PPAs, and will be used to replace 661 switches at a cost of $4,543 each, 1,180 servers at a cost of $4,237 each, and 616 laptops and 810 desktops at a cost of $1,400 each, all of which will be at or beyond their end of useful life (EOL) by FY 2017. Complete justification write-up is in the Management and Administration PPA. Justification and impact of this program change is described above, in the Transportation Screening Operations section. 40 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 3,481 3,358 $1,099,829 $327 3,358 3,145 $1,090,573 $346 3,339 3,137 $1,110,594 $353 (19) (8) $20,021 $7 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The FY17 request includes an increase of 9 FTE for Field Intelligence Officers (FIOs). • PCB Change FY 2016-2017: The increase in Personnel Compensation and Benefits in Transportation Assessment and Enforcement is due to the annualization of $1.2 million for 17 FIOs and the 2016 and 2017 pay raises. • Average Cost Change FY 2016-2017: Average cost changes are due to the annualization of the FY 2016 pay increase and the FY 2017 pay increase. • FY 2017 request estimates $535.2 thousand in bonuses and $8.6 million for performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. 41 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Transportation Assessment and Enforcement 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Travel and Transportation of Persons $103,255 $102,458 Advisory and Assistance Services $31,791 $38,367 Other Goods and Services from Federal Sources $31,962 $25,495 Other Services from Non-Federal Sources $24,138 $21,889 Background Investigations Contracts $547 $2,640 Total $191,693 $190,849 $108,193 $43,745 $33,257 $30,707 $8,745 $224,647 FY 2016 to FY 2017 Change $5,735 $5,378 $7,762 $8,818 $6,105 $33,798 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • FY 2017 Non-Pay Cost Driver – Field Intelligence Officers: The FY17 request includes $0.8 million associated with the increased FIOs to enhance security at the checkpoints. • FY 2017 Non-Pay Cost Driver – Travel and Transportation of Persons: The FY17 request includes increased mission travel costs. These costs are driven by the Federal Air Marshal Service’s (FAMS) revised Concept of Operations and cost increases related to domestic and international travel of inspectors and other front line operational workforce positions. • FY 2017 Non-Pay Cost Driver – Contracts: The FY 2017 request includes an increase of $6.1 million in funding for background investigations contracts, due to the sizable data breaches that occurred in FY 2015. The breaches significantly impeded background investigations, and the slack will be picked up in FY 2017, particularly as the FAMS continues to hire in accordance with achieving its optimal staffing size. Contractual costs associated with systems can fluctuate based upon changes in scope and requirements. • FY 2017 Non-Pay Cost Driver – State Department Charges: State department charges for embassy and employee support fluctuate often and costs can be unpredictable based on what services are required which may include demographics of employees and the threat environment. • FY 2017 Non-Pay Cost Driver – Information Technology: Funds support TSA’s enterprise-wide core IT and telecommunications infrastructure. The IT infrastructure is defined as all of the elements employed in the delivery of IT services to users, including the computing, network and telecommunications hardware, software, database management, operating systems software, middleware, help desk, Operations Centers, documentation and video. The FY 2017 budget request includes part of a total request of $10 million to address critical IT equipment requirements affecting agency-wide abilities to perform mission-essential and operationally critical functions. 42 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Compliance Enforcement and Response FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Compliance Enforcement and Response Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Other Adjustments-to-Base Program Efficiencies Transfer In from Aviation - Air Cargo Transfer In from Aviation - Aviation Regulation and Enforcement Transfer In from Surface - Surface Inspectors and VIPRs Budget Year FY 2017 Request 43 Positions 575 FTE 553 Amount 3,356 915 18,023 (6,990) 69,401 1,039 993 207,294 682 2,296 640 2,186 82,650 374,649 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Compliance Enforcement and Response Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 2,425 2,375 $281,388 $117 2,298 2,188 $279,905 $127 2,296 2,186 $283,988 $129 (2) (2) $4,083 $2 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. Pay and benefits cost drivers are described at the PPA level. 44 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Compliance Enforcement and Response Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) Appropriation - Compliance Enforcement and Response 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Other Goods and Services from Federal Sources $21,000 Travel and Transportation of Persons $7,850 Total $28,850 $16,000 $5,000 $21,000 $21,000 $10,193 $31,193 FY 2016 to FY 2017 Change $5,000 $5,193 $10,193 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only SUB-PPA JUSTIFICATION: TSA’s inspector community has made significant efforts over the past few years to ensure schedules maximize resources to address the highest risk areas. Analysis of inspection data as well as risk scores are used to drive and prioritize inspection activity and take into account various factors, including the latest intelligence information. The inspectors have a broad range of responsibility which involves the evaluation of the security integrity of approximately 440 U.S. airports and the combined total of over 1,500 domestic and international carriers that operate in the United States. These inspectors also conduct periodic inspections of over 7,500 Indirect Air Carriers (IACs) operating in the United States. In addition, they provide inspection and security assessments for freight railroads, mass transit, passenger rail, highway motor carriers, and pipelines. Aviation Regulation Compliance (Domestic and International) Domestic Transportation Security Inspectors – Aviation (TSI-A) have an essential role in executing local annual inspection plans based on a national inspection plan. Inspections are both scheduled and random and may include one or all of the critical security elements required by TSA. The regulatory inspection and enforcement program conducts “targeted” and “comprehensive” inspections at all airports, aircraft operators, flight schools, repair stations, and foreign air carriers at domestic airports. “Targeted” inspections are conducted annually and are focused inspections relying largely on operational performance for determining compliance (i.e. testing). “Comprehensive” inspections are conducted bi-annually and consist of the previously described “targeted” inspection and further extend TSA’s risk-based security model. TSI-A’s responsibilities include: • Reviewing records and files pertaining to criminal history records checks performed pursuant to Federal law. • Reviewing records and files to ensure compliance of indirect air carriers; private passenger and/or cargo charters; and airmen and aircrew with security requirements. • Performing testing to determine compliance with transportation security regulations. The TSI-As investigate incidents related to 45 violations of TSA regulations, security directives, and approved security programs. • Delivering technical briefings and providing assistance to the aviation industry in interpreting agency policies to ensure compliance with rules. To ensure the adequacy and integrity of security at airports, TSIs evaluate the types of fences, lighting, and locks being used, among other important security measures through visual and hands-on inspection. Based on these assessments inspectors will recommend enhancements for non-regulated airports/facilities, including general aviation landing facilities and airports, and for aircraft operators. Areas of emphasis for inspection and/or assessment include: access control systems, security identification systems, surveillance systems, law enforcement response capabilities, physical security of aviation facilities and aircraft. Inspectors are given the authority to initiate enforcement actions against airports, air carriers, and indirect air carriers where compliance violations have occurred or corrections have not been made. This includes misconduct of employees that threaten the security of an airport and/or aircraft. The International Aviation Regulation area includes funds which support Transportation Security Administration Representatives (TSARs), Pre-Clearance Program, Capacity Development Program, Transportation Security Specialists (TSSs), Transportation Security Inspectors, and International Industry Representatives (IIRs). TSARs serve as on-site administrators/coordinators for the TSA response to terrorist incidents and threats to U.S. citizens and assets at foreign transportation modes. They collaborate with other U.S. agencies to ascertain the most likely attack methods and evaluate the root causes of the vulnerabilities at airports in their portfolios. TSARs also serve as principal policy advisors to U.S. Ambassadors and other U.S. and foreign government officials on transportation security affairs for all modes of transportation, and are responsible for determining whether their assigned countries’ National Civil Aviation Security Programs meet international standards for aviation security. TSARs also contribute to the TSA compliance effort by planning and coordinating airport risk analysis and assessments. TSA in conjunction with the U.S. Customs and Border Protection (CBP) have established Pre-Clearance locations whereby CBP Officers pre-clear passengers and baggage for entry into the United States. Pre-cleared international flights arrive at a domestic airport gate and passengers deplane directly into the sterile area at more than 65 U.S. airports. Upon arrival at the U.S. domestic terminal facility, the traveler may either connect to a U.S. domestic flight or they may leave the airport. In order to permit these passengers to bypass TSA screening, TSA must ensure that the screening measures applied to passengers, carry-on baggage, and hold baggage (where applicable) at the preclearance foreign airport is comparable to those measures performed at domestic U.S. airports. Determination of comparability entails extensive negotiation with the host government and frequent observations and analysis of operations. Additionally, under the No Hassle Flying Act (NHFA), checked baggage preclearance activities will expand at existing preclearance locations as more partners work towards achieving comparability in baggage. Four of the 15 existing preclearance locations (eight in Canada, two in The Bahamas, one in Bermuda, one in Aruba, two in Ireland, and one in United Arab Emirates),have been approved for checked baggage operations, with five more locations on the immediate horizon. In 2014, the U.S. Congress directed the Secretary of DHS, in consultation with the Secretary of State, to “establish pre-inspection stations in at least 25 additional airports that would most effectively facilitate the travel of admissible aliens and reduce the number of 46 inadmissible aliens, especially aliens who are potential terrorists.” Furthermore, a mandate from the DHS Secretary was ordered to increase the footprint of pre-clearance operations from the current 17 percent of all U.S. inbound passengers by 16 percent to a total of 33 percent in the next 7-10 years at a rate of 2 to 3 new airports per calendar year. On May 29, 2015, the DHS Secretary announced ten preclearance expansion locations to include: Amsterdam, Brussels, Istanbul, London-Heathrow, Madrid, Manchester, Narita, Oslo, Punta Cana, and Stockholm. The current DHS expansion initiative, along with NHFA recognition, will increase the number of site visits, reporting, and all associated program activities by over 50 percent in the next few years, not including the additional surge in activity in standing up these sites. TSA’s Capacity Development mission is the risk-based, measurable, and sustainable reduction of global aviation security risk by enhancing international aviation security performance and building capability through assistance delivery. An important part of this effort is aviation security training conducted in response to risks and threats identified by a number of entities (DHS, Department of State Anti-Terrorism Assistance Program, Department of Transportation, and the Organization of American States/Inter-American Committee Against Terrorism). In addition to assisting these entities, TSA provides sponsored civil aviation training that mitigates vulnerabilities identified during foreign airport assessments and/or support TSAR country risk mitigation plans. TSA is charged with assessing all foreign airports with flights to the U.S. and those from which U.S. air carriers operate (regardless of the destination). TSA has a cadre of Transportation Security Specialists (TSSs) who visit the nearly 300 airports at one to three year intervals. Frequency of the visits is based on risk computations of current threat, documented vulnerabilities, and flight data. During the assessments, TSA evaluates the security posture of the airport in accordance with security standards established by the ICAO. The observations focus on screening (e.g. passengers, accessible property, and checked bags), access control (e.g., fence integrity, badge display and control, vehicle access), aircraft security (e.g., ensuring the aircraft was guarded against any unauthorized access), cargo security (e.g. screening, chain of custody, facility security, personnel security), catering, and quality control (e.g., ensuring that screeners were properly trained). Annual visits are conducted to ensure that all U.S. air carriers operate in compliance with TSA regulations identified in the Aircraft Operator Standard Security Program (AOSSP) and supporting Security Directives (SDs). TSA also inspects foreign air carriers that fly to the U.S. from each airport that they operate to ensure compliance with the Model Security Program and supporting Emergency Amendments (EAs). At airports where the vulnerability shortfalls have been documented as particularly egregious, these inspections occur semi-annually. TSSs also continue to conduct aircraft repair station inspections. The Aircraft Repair Station Security Final Rule serves to ensure the security of maintenance, overhaul, repair and assembly work conducted on air carrier aircraft and components at repair stations located within and outside the United States. TSA’s principal representatives to the international aviation industry are International Industry Representatives. The IIRs provide regulatory oversight and guidance to each foreign air carrier/U.S. aircraft operator and are responsible for ensuring that air carriers understand and comply with U.S. regulations and TSA-accepted security programs and initiatives. The role of the IIR has become increasingly complicated with ever-increasing threats against civil aviation emerging from outside the United States. As more stringent rules, requirements, and procedures have been imposed on foreign air carriers and U.S. aircraft operators with scheduled or public charter operations to and from the United States from foreign locations, the role of the IIR has correspondingly expanded. As the table below indicates, IIRs are placed globally to assist TSA outreach efforts in locations with foreign partners. The IIR locations are determined by regional need, country approval and embassy space. 47 Airport Law Enforcement and Assessments The Airport Law Enforcement and Assessments program funds Other Transaction Agreements (OTAs) with state and local law enforcement agencies to provide enhanced law enforcement services; Assistant Federal Security Director – Law Enforcement (AFSD­ LE) positions; and Joint Vulnerability (JVAs) and Man-Portable Air Defense System (MANPADS) Vulnerability Assessments. The OTAs with state and local law enforcement agencies provide uniformed officers at passenger security checkpoints under the flexible response authorities granted to TSA. These agreements partially reimburse airports throughout the United States for post 9/11 law enforcement hours. They ensure a consistent law enforcement presence is always available to deter suspicious activity and respond quickly in the event of a breach of security at designated checkpoints. In addition to these agreements, AFSD-LEs further coordinate and support TSA’s security efforts with local law enforcement. AFSD-LEs partner with law enforcement officials from other Federal, State, and local agencies to address significant issues, share intelligence and ensure the safety of airports. TSA in conjunction with the Federal Bureau of Investigations (FBI) conducts Joint Vulnerability Assessments (JVAs) which assess current and potential threats to commercial air transportation facilities within the United States. Additionally, TSA conducts ManPortable Air Defense System (MANPADS) Vulnerability Assessments (MVAs) to enhance domestic security of air transportation by minimizing the potential for missile or stand-off weapons attack against aircraft by deterring, detecting, and mitigating the MANPADS threat. Additionally, TSA provides oversight and guidance on the development and implementation of MANPADS mitigation plans at commercial airports. TSA also conducts international MANPADS Assist Visits in collaboration with the Department of State, to partner with international allies on joint international assessments that are appropriate and mutually beneficial to the U.S. Government and the host nation. These visits are similar to the domestic MANPADS Vulnerability Assessments and are conducted at foreign airports at the host country’s request to identify and define potential launch locations in areas surrounding the airport by using known terrorist methodology and weapon employment tactics and capabilities. Air Cargo Inspectors (Domestic and International) TSA provides compliance oversight of 300 domestic aircraft operators and foreign air carriers as well as 4,000 cargo Indirect Air Carriers (IACs) and over 1,000 Certified Cargo Screening Facilities (CCSFs). Each year, TSA inspectors carry out planned and random inspections targeting these foreign and domestic air carriers and IACs. Transportation Security Inspectors-Cargo (TSI-Cs) are located at 121 airports with high cargo volumes in the United States. TSI-Cs responsibilities include: • Enforcing statutory and regulatory requirements and provide guidance to industry on securing air cargo. • Ensuring air carriers (passenger and all-cargo), IACs and CCSFs meet their operational responsibility by implementing the TSAissued security requirements to include a TSA-approved security program that describes security policies, procedures, and systems. These requirements include measures related to the acceptance, handling, screening and inspection of cargo; training of employees in security and cargo inspection procedures; testing employee proficiency in cargo inspection; and access to cargo areas and aircraft. 48 • Performing compliance inspections; including special emphasis inspections, focused inspections, and air cargo surges (weeklong compliance enforcement surges focused on IACs, air carriers, and CCSFs within a single metropolitan area); along with investigations and tests of air carriers and IACs. • Performing educational outreach to assist air carriers and IACs in complying with air cargo security mandates. • Conducting monthly cargo surges at airports and IAC facilities with a risk-based approach to scheduling that address specific identified vulnerabilities. TSA calculates risk scores for airlines (which include both passenger and all-cargo), IACs, and CCSFs. Risk scores are utilized to focus Inspector time during all field activities, including cargo surges, special emphasis inspections and testing. At a high-level, TSI-Cs conduct inspections based on following risk schema: • Previous inspection and test results; • Previous investigation/non-compliance history; • Operation volumes; and • Intelligence and other special considerations TSA maintains a presence with Customs and Border Protection (CBP) at the National Targeting Center –Cargo (NTC-C) to increase information sharing between TSA and other agencies involved in the identification and mitigation of high-risk cargo. The NTC-C is able to utilize known terrorist information received from National Targeting Center-Passenger (NTC-P) and conduct in-depth research in various systems to identify cargo shipments and businesses linked to these individuals. This work includes initiatives such as: • Conducting domestic security reviews of high-risk air cargo shipments referred from field inspectors during Cargo Risk Based Inspection Technique (CRBIT) activities; • Working with other DHS agencies at the NTC-C to mitigate supply chain vulnerabilities; • Assisting in cargo alarm resolution through research; • Conducting in-depth research on new IAC and CCSF applicants; • Conducting Security Threat Assessment verifications for field inspectors and the Office of Law Enforcement /Federal Air Marshal Service (OLE/FAMS) Investigative Risk and Analysis Division; • Developing inspection and testing protocols for Cargo Surges, using the various systems available to them to focus the surge activity on higher risk entities. Internationally, Transportation Security Specialists - Cargo (TSS-C) will conduct assessments of known consignors, regulated agents, cargo terminal operators, and other regulated entities in countries with NCSP recognition. This is to ensure that regulated entities, other than air carriers, which provide air cargo security are compliant with national cargo security program requirements. Ongoing access for TSA TSSs is a condition of NCSP recognition. TSA continues several efforts to ensure that cargo destined for the United States is subjected to the required level of security. These efforts include: • Conducting a comprehensive review of all airports and air carriers involved in transporting cargo destined for the United States; 49 • Focusing on the full spectrum of cargo security issues such as determining recognition of other countries’ cargo security and explosives detection canine security programs, identifying best practices for dissemination to other cargo experts, and providing technical assistance; • Deploying inspectors to high threat locations in response to credible intelligence information; • Participating on ICAO air cargo working groups; • Targeting international inbound air cargo shipments; and • Assisting with Customs-Trade Partnerships Against Terrorism (C-TPAT) validations for air carriers. The verification procedures include a series of on-site audits of foreign airports, air carrier cargo facilities, and off-airport sites which accept, handle, and screen air cargo. Verification procedures are conducted at every foreign last point of departure airport at least annually, with interim activities scheduled for the higher-priority sites. These activities include comprehensive reviews of each air carrier’s security program, observation of the implementation of its security program, evaluation of Authorized Representative Agreements, and proper use of approved screening methods. Surface Domestic Inspectors TSA is mandated to protect the surface transportation system (including mass transit, freight rail, highways, pipeline, and maritime modes) and to ensure the freedom of movement and the security of people and commerce. This mission, which is coordinated by TSA to optimize resources in a risk-based approach to security, is accomplished largely by a consortium of Federal, State, local, and private entities. Transportation Security Inspectors - Surface (TSI-Ss) are deployed through a risk-based approach and provide coverage of key passenger rail and mass transit rail facilities in their regions, as well as 49 High Threat Urban Areas (HTUAs), as defined by DHS. The location and number of inspectors is also determined by transit ridership, proximity to Toxic Inhalation Hazard (TIH) shipment locations (freight rail), critical infrastructure ratings, and HTUA ranking. TSI-Ss provide stakeholder liaison functions and situational awareness of security conditions. During surface transportation incidents, they convey valuable first-hand information to TSA Federal Security Directors (FSDs), security, policy, intelligence offices, and TSA leadership. To ensure inspectors operate safely and appropriately in the surface transportation environment, TSA schedules its TSI-Ss for a oneweek railroad security and safety course at the Transportation Technology Center, Inc. (TTCI), a specialized facility in Pueblo, Colorado. Most other TSI training is conducted at the TSA Academy at the Federal Law Enforcement Training Center (FLETC) in Glynco, Georgia, or at the Transportation Safety Institute in Oklahoma City, OK. Responsibilities of the TSI-Ss include: • Conducting regulatory inspections to ensure compliance with surface rules and regulations; • Conducting threat and vulnerability inspections, reviews, and assessments (i.e. BASE) that are used to determine the capability of a potentially targeted transportation system/asset to reduce the risk from a specified threat; • Conducting Risk Reduction Survey assessments for railcars carrying TIH materials and shippers; 50 • Serving as panel members on the Transportation Security Grant Program (TSGP) to review project proposals, assess grant applications, and assist in developing a process for awarding grants; • Responding to surface transportation security incidents (i.e., train derailments, possible improvised explosive devices, major truck accidents, etc.) to gather real-time, on-scene information which are provided to FSDs and TSA senior leadership; • Staffing transit agency and freight rail operations centers in times of increased threat, heightened alert, or during a catastrophic event; • In coordination with the United States Coast Guard, enforcing the Transportation Workers Identification Credential (TWIC) regulations, and, • Participating in multi-modal operations. The statute underlying 49 CFR parts 1520 and 1580 provides TSA’s TSI-Ss with regulatory authority to ensure a secure chain of custody of security-sensitive material rail cars between rail carriers and shippers/receivers at points of origin, delivery, and interchange. TSA’s TSI-Ss observe the handling and placement of security-sensitive material rail cars and verify the paperwork at the covered facilities to ensure compliance, including security inspections, reporting requirements for incidents and significant security concerns, potential threats, and location tracking requirements. That law also requires the designation of a Rail Security Coordinator and an alternate by freight and passenger railroad carriers, rail transit systems, and certain hazardous materials facilities. Visible Intermodal Prevention & Response (VIPR) The mission of VIPR operations is to promote confidence in and protect our nation’s transportation systems through targeted and visible deployment of integrated TSA assets, utilizing screening and law enforcement capabilities in coordinated activities to augment security of any mode of transportation. VIPR operations teams may include some combination of Federal Air Marshals, Transportation Security Inspectors, Transportation Security Officers, Behavior Detection Officers, Transportation Security SpecialistsExplosives, Explosives Detection Canine teams, and Federal, state and local law enforcement officers. VIPR teams can be deployed for normal transportation mode activities, during periods of heightened threat, or at special events that require additional security. These teams provide deterrent and detection capabilities while introducing an element of unpredictability to disrupt potential terrorist activities. To achieve its mission, TSA applies a risk-based deployment process, which utilizes random deployments of timing, location, and activity type. The risk-based deployment process utilizes information from the Transportation Sector Security Risk Assessment (TSSRA) to align VIPR capabilities with the modes at highest risk of terrorist activity. TSA maintains flexibility to rapidly redirect and deploy VIPR capabilities in response to changes in the threat profile. All teams are characterized as multi-modal and can be deployed in aviation or surface transportation venues. 51 Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement In-Flight Security In-Flight Security Current Services Budget Year FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Positions 2017 Pay Increase Annualization of 2016 Pay Increase Program Efficiencies Transfer In from Aviation - Federal Air Marshalls Service Transfer In from Aviation - Federal Flight Deck Officer Program 38 FY 2017 Request 38 52 FTE - Amount 8,125 2,147 (1,020) - 805,076 36 36 20,758 835,086 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement In-Flight Security Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost Civilian Total Military Total 38 - 35 $676,901 - * - 38 - 36 $677,369 - 1 * - 38 - 36$687,641 - * - - - $10,272 - * - Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. * Federal Air Marshalls Service FTE is classified secret, and is not included in this document. As such, calculating average FTE cost for this subPPA would be inaccurate. Pay and benefits cost drivers are described at the PPA level. 53 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement In-Flight Security Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Appropriation - In-Flight Security Travel and Transportation of persons FY 2017 Non- Pay Cost Drivers (greatest-least) $95,405 Total $95,405 $97,458 $97,458 $98,000 $98,000 FY 2016 to FY 2017 Change $542 $542 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only SUB-PPA JUSTIFICATION: Federal Air Marshals: $815.313 million The Federal Air Marshals detect, deter, and defeat criminal, terrorist, and hostile activities that target our nation’s transportation systems. In FY 2015, the FAMS revised their Concept of Operations (CONOPS) utilizing a risk-based security approach, and informed by the results of the Transportation Sector Security Risk Assessments (TSSRA). The new CONOPS framework deploys and utilizes FAMS personnel and resources based on data elements designed to mitigate the maximum risk to the civilian aviation system and traveling public. In FY 2017, TSA will continue to operate under this new CONOPS. The FAMS budget supports payroll costs for FAMs and the civilian workforce who provide vital protective and law enforcement services for both domestic and international air travel, operational and infrastructure requirements, internal business processes, and training and travel expenses of the FAMS. The FAMS budget also supports the following workforce management activities: maintenance of facilities in the Washington, D.C. area, Atlantic City, New Jersey, and 20 field offices across the country; program infrastructure and logistics support such as vehicles, communications, duty equipment, and physical security. In FY 2017, the FAMS will continue to support efficiencies commensurate with workforce adjustments. In FY 2014 to FY 2016, FAMS strategically re-aligned office coverage to optimally mitigate risk. Federal Flight Deck Officer (FFDO) and Flight Crew Training: $19.773 million The FFDO program was created by the Arming Pilots Against Terrorism Act of 2003 (P.L. 107-296), which authorizes the deputation of qualified airline pilots to act as Federal LEOs in order to defend the flight decks of aircraft against acts of criminal violence or air piracy. This voluntary program provides a combination of law enforcement training in firearms proficiency, self-defense tactics, authority, use-of-force, and decision-making in defense of both commercial and cargo aircraft. 54 Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Intelligence Operations and TSOC FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Intelligence Operations and TSOC Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Annualization of Field Intelligence Officers Program Efficiencies Transfer In from Aviation - Airport Management & Support Transfer In from Aviation - Aviation Regulation and Enforcement Transfer In from Intelligence and Vetting – Intelligence Transfer In from Intelligence and Vetting - Other Vetting Programs Transfer In from Intelligence and Vetting ­ Secure Flight Budget Year FY 2017 Request 55 Positions - FTE 9 - Amount 608 157 2,000 (56) 131 125 25,983 1 1 211 289 260 52,003 4 4 535 19 444 19 418 2,079 83,520 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Intelligence Operations and TSOC Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 407 385 $48,338 $125 420 385 $50,199 $129 444 418 $54,941 $130 24 33 $4,742 $1 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. Pay and benefits cost drivers are described at the PPA level. 56 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Intelligence Operations and TSOC Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Appropriation - Intelligence Operations and TSOC Advisory and Assistance Services Background Investigations Contracts FY 2017 Non- Pay Cost Drivers (greatest-least) $5,819 $547 Total $6,366 $13,325 $2,640 $15,965 FY 2016 to FY 2017 Change $13,971 $8,745 $22,716 $646 $6,105 $6,751 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes SUB-PPA JUSTIFICATION: Intelligence Programs: $57.393 million Intelligence Office and Systems: TSA’s Intelligence Office is focused solely on the transportation sector, which allows TSA to review, synthesize, and analyze transportation specific intelligence in addition to providing comprehensive and cogent analytic products. Intelligence is critical to TSA’s overall risk-based security strategy and the intelligence products generated provide the threat framework to prioritize security resources. These intelligence products are regularly used by TSA senior leadership, Federal Security Directors (FSDs), and the Federal Air Marshal Service (FAMS) to guide decisions. In addition to sharing intelligence internally, TSA coordinates closely and shares information with the DHS Office of Intelligence and Analysis, the Intelligence Community (IC), the intelligence sections of law enforcement agencies, and the transportation industry. TSA operates and maintains 24/7 intelligence capabilities at TSA Headquarters, Annapolis Junction Operation Center (AJOC), Colorado Springs Operation Center (CSOC) and the TSA Operations Center (TSOC). Through these centers, TSA disseminates warnings and notifications of credible and immediate threats and assists in coordinating domestic and international civil aviation and other modal security intelligence activities. To perform its mission, TSA provides and maintains Top Secret (TS) and Secret Collateral classified information technology infrastructures for interfacing via voice, video, and data with the IC, state and local law enforcement, field sites, and industry partners, which include the following: • The TSA Intelligence Managed Network (TINMAN) allows TS/SCI level access, to support intelligence analysis and production at the Headquarters, AJOC, CSOC and Freedom Center locations. • The TSA Remote Access to Classified Enclaves (TRACE) solution provides SECRET level secure access to classified and unclassified threat information in a timely manner to remote locations. In FY 2016, TSA will complete a transition from TRACE to the Homeland Security Data Network (HSDN) to better enable information sharing at the classified levels with TSA field components and local transportation stakeholders. • The Crisis Management System is a classified voice, video, and data system that is maintained and certified by Defense Information Systems Agency and utilized for classified connectivity to the Intelligence community during national crisis and special events 57 Field Intelligence Officers: To facilitate collaboration and provide rapid analysis and notification of threats, TSA Field Intelligence Officers (FIOs) are assigned at key transportation nodes and liaison officers are placed at key IC and law enforcement agencies. The majority of intelligence information sharing with stakeholders in the field occurs through direct engagement by the FIOs. The FY 2017 request includes an annualization of 9 FTE to enhance this capability and improve security at the checkpoints. Encounters Analysis: TSA watch teams provide 24/7 analysis of encounters as well as targeting watch list nominations and reporting functions. Through encounter analysis TSA is able to analyze intelligence information to identify individuals who may be associated with terrorism and/or enhance the U.S. government’s data holdings on previously-identified Known Suspected Terrorists. Watch teams allow TSA to integrate case, credential, and encounter information from across TSA’s vetted programs to provide additional analysis on encounters with individuals who may be associated with terrorism and the potential threat they pose to the transportation system. TSA is also able to identify, analyze, and disseminate relevant transportation security and intelligence information to appropriate IC and Law Enforcement entities in a timely, relevant and actionable manner through encounter analysis. Transportation Security Operations Center: $26.160 million The Transportation Security Operations Center (TSOC), located at TSA’s Freedom Center in Northern Virginia, provides 24/7/365 coordination, communications, and collaboration of intelligence and domain awareness for all DHS transportation-related security activities worldwide. The TSOC correlates and fuses real-time intelligence and operational information, ensuring unity of action in the prevention of, and response to, terrorist-related incidents across transportation modes. The TSOC provides direct lines of communications for the immediate notification from the public. These reporting requirements are in line with the Implementing Recommendations of the 9/11 Commission Act (P.L. 110-53). The TSOC is TSA’s primary interface to the DHS National Operations Center (NOC) for all transportation security issues and events. Additionally, the TSOC ensures TSA is prepared for major incidents and disasters by developing deliberative response plans, policies and procedures that govern TSA’s Critical Incident Management system, providing training, and continually exercising those persons involved in incident management to ensure readiness. The TSOC also ensures TSA capability exists to operate from alternative facilities under the Continuity of Operations program. The TSOC supports the Automatic Detection and Processing Terminal (ADAPT) Program, to access the Federal Aviation Administration (FAA) radar feeds, and various government and commercial databases, to verify flight operations to, from, within and over the National Airspace System. TSA continues oversight for the Airspace Authorization Unit which provides remote operations to support the Airspace Security Operations Center during designated DHS National Special Security Events such as the Democratic and Republican National Conventions, and other events as needed. 58 Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Reviews and Assessments FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Reviews and Assessments Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Other Adjustments-to-Base Physcial Access Renovation Program Efficiencies Risk Assessments/Physical Security Upgrades Transfer In from Aviation - Aviation Regulation and Enforcement Transfer In from Aviation - Air Cargo Transfer In from Support - Headquarters Administration Transfer In from Support - Human Capital Services Transfer In from Support - Information Technology Transfer In from Surface - Staffing and Operations Transfer out to Department of Homeland Security Program Changes Recapitalize Aging IT Infrastructure Budget Year FY 2017 Request 59 Positions - FTE - Amount 998 304 12,160 5,600 (350) 3,500 41 65 39 62 8,131 24,258 366 315 71,363 - - 570 - - 35,900 127 117 27,770 599 533 (23) 3,646 193,827 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Reviews and Assessments Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 611 563 $93,202 $165 602 536 $83,100 $154 599 533 $84,024 $157 (3) (3) $924 $3 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. Pay and benefits cost drivers are described at the PPA level. 60 Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Assessment and Enforcement Reviews and Assessments Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Appropriation - Reviews and Assessments FY 2017 Non- Pay Cost Drivers (greatest-least) Other Services from Non-Federal Sources $24,138 Advisory and Assistance Services $25,972 Other Goods and Services from Federal Sources $10,962 Total $61,072 $21,889 $25,042 $9,495 $56,426 $30,707 $29,774 $12,257 $72,738 FY 2016 to FY 2017 Change $8,818 $4,732 $2,762 $16,312 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only SUB-PPA JUSTIFICATION: Reviews and Assessments include security activities across all surface transportation modes (maritime, postal, shipping, passenger rail, bus, mass transit, pipeline, highway, and freight), aviation transportation modes (commercial and general aviation, air cargo), and, internal security activities (physical security, inspections, and professional responsibility). Reviews and Assessments – Surface TSA is responsible for assessing security threats, vulnerabilities, and consequences in all surface transportation modes including cross-modal (maritime, postal, and shipping); mass-transit (passenger, rail, and bus); freight rail; pipeline; and highway and motor carrier activities and coordination of preparedness and activities for all hazards threatening the critical infrastructure and systems that comprise the Transportation Systems Sector. This work is done through initiatives such as the National Transportation Strategy, Plan, and Report approved in September 2015 and reviews, assessments, and programs such as the Intermodal Security Training Exercise Program which focuses on building and sustaining security preparedness (to include the cybersecurity domain). This is accomplished through: • Baseline Assessment for Security Enhancement program which is designed to establish security standards for individual system security programs and assess progress through voluntary comprehensive reviews; • Critical Facility Security Reviews which evaluate the physical security of pipeline facilities; and • Corporate Security Reviews enabling TSA to assess the current status of security efforts and gauge progress from previous reviews. Most recently, TSA is developing a tool for the randomized deployment of patrols to deter and prevent terrorist attacks to public transit systems while balancing available resources, ridership demands, and system characteristics. This tool is known as Assistance for Randomized Monitoring Over Routes and it will provide analytic capabilities to improve decision-making and tools for optimally deploying limited resources. TSA is also working 61 with internal experts and industry to expand the First Observer™ Program, a free, accessible web-based anti-terrorism domain awareness training program for highway and motor carrier surface transportation security professionals to identify, observe, assess, and report potential terrorist or suspicious activities to all modes of surface transportation. Additionally, TSA works with industry to identify emerging security training needs, develop new training modules, refresh existing training, and ensure compliance with the 9/11 Act Security Training Rule. Additionally, funding in this area supports outreach, oversight, and coordination efforts to strengthen security within the mass transit system. Examples of which are: collaboration with transit agencies such as the surface working groups on the Mass Transit and Passenger Rail Modal Security Strategy; standards development with the American Public Transportation Association; issuance of counter-terrorism guides which assist stakeholders in the developing and implementing organizational security plans; work with the Government Coordinating Councils which review and develop modal-wide security programs; coordination with the Scientific Advisory Group who provide TSA with objective, independent information for policy development and industry-engagement activities through research and analysis of Toxic Inhalation Hazards (TIH) found in the transportation sector; and information sharing through other industry working groups, web-based portals, public awareness campaigns, incident-specific messaging, daily security-oriented publications, and other outreach methods. Reviews and Assessments – Aviation and Air Cargo TSA conducts outreach and oversight, and coordinates with airlines, airports, and the general aviation community. The Commercial Airlines program is responsible for 69 U.S. certificated aircraft operators. This activity includes the TSA/Aircraft Operator Corporate liaison function, development of new aviation security policy, and management of existing policy for necessary modification or elimination based on the evolving threat against full program commercial airlines. Additionally, TSA provides vital subject matter expertise for critical incident management during times of national emergencies and conducts outreach to airlines when developing aviation security measures to mitigate threats. Additionally, TSA builds relationships with the commercial airport industry and oversees the development of policies and programs to enhance security at the Nation’s commercial airports. TSA actively engages members of the commercial airport industry on security issues with the intent to lessen the burden on the operator while maintaining security standards. TSA also coordinates aviation security efforts with airlines, airports, and within the general aviation community which includes corporate operators, recreational and private aircraft, charter operations, private and public use of general aviation airports, airmen, and airspace. TSA works collaboratively with industry and government stakeholders to develop innovative methods to enhance security and to develop, disseminate, and consistently apply a framework of appropriate and feasible security standards. TSA uses a threat based and risk management approach to develop strategies, policies, plans, and programs to reduce the security risks and vulnerabilities. Reviews and Assessments – Internal Reviews and Assessments – Internal include pre- and post- employment qualifications, physical and personnel security, covert testing, and conducting security reviews. This includes managing and issuing credentials and badges; conducting risk assessments and Federal Security Level determinations of all TSA Facilities; conducting assessments and reviews of TSA records to identify Sensitive Security Information; managing the Foreign Access Management/Visitor Program which facilitates vetting of all foreign national visitors to TSA facilities; ensuring security education training and awareness is provided to the TSA workforce; providing oversight of all Industrial Security Program requirements to ensure all classified contracts meet DHS and DOD standards; and managing the TSA Insider Threat Program to deter, detect, and mitigate insider threats to TSA’s personnel, operations, information, and critical infrastructure. 62 Additionally, funding supports audits, covert testing, inspections and criminal investigations ensuring the integrity, efficiency, and effectiveness of TSA's workforce, operations, and programs and testing for vulnerabilities in people, processes, and technology to identify areas for improvement and/or mitigation. Funding also supports the review and adjudication of allegations of misconduct for senior level, law enforcement employees, J band employees, and Transportation Security Managers; tracking and oversight of misconduct cases; and adjudicating appeals of adverse actions issued against Transportation Security Officers. 63 FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security Transportation and Security Administration Operations and Support Management and Administration FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Management and Administration Current Services 2017 Pay Increase Annualization of 2016 Pay Increase Other Adjustments-to-Base (Disaster Management) Program Efficiencies Transfer In from Support - Headquarters Administration Transfer In from Support - Human Capital Services Transfer In from Support - Information Technology Transfer in from Aviation - Airport Management and Support Transfer out to Department of Homeland Security Program Changes Recapitalize Aging IT Infrastructure Budget Year FY 2017 Request Positions - FTE - Amount 2,582 670 - - (12) (5,132) 898 817 195,172 341 324 70,190 309 281 73,314 1 1 178 1,549 1,423 (209) 194 336,947 PPA DESCRIPTION: The Management and Administration (M&A) PPA supports headquarters offices, human resources, information technology, and major acquisitions to support those efforts. Included in this PPA is funding for the Office of the Administrator and Deputy Administrator, Chief Risk Officer, Chief Counsel, Finance and Administration, Legislative Affairs, Acquisition, Civil Rights and Liberties, Ombudsman, and Traveler Engagement, Training and Development, Strategic Communications and Public Affairs, Human Capital, and Information Technology. M&A also provides all aspects of the support infrastructure required to sustain TSA’s nationwide operations. These activities include policy development, performance management, human capital services, training and workforce engagement, information technology, facilities management, financial management, acquisition, civil rights protection, legal advice, and providing a safe and healthy work environment for employees. M&A programs oversee the day-to-day management of TSA’s appropriated and fee-funded operation, while providing TSA employees with a safe and 64 healthy work environment. The M&A PPA supports TSA’s human resource programs. In FY 2017, these programs will • perform the full suite of human capital activities; • identify and promote the best and most efficient HR practices; • promote employee development, and workforce engagement initiatives; and • provide leadership training and development programs for headquarters and field staff. The M&A PPA also funds TSA’s enterprise-wide core IT and telecommunications infrastructure. This includes hardware, software, database management, operating systems software, middleware, help desk, Operations Centers, documentation and video. The FY 2017 budget request includes an additional $10 million to purchase replacement servers, laptops, and desktops for equipment that will be at or beyond their end of useful life by FY 2017. M&A also provides facility and management support for headquarters, the Freedom Center, the Franconia Warehouse, and the Mission Support Centers. In FY 2017 TSA will complete its Headquarters Consolidation will consolidate TSA Headquarters, the Reston Building, the Walker Lane Facility, and the Ashburn Facility into one location with a new 15-year lease. The FY 2017 request for this PPA also funds TSA’s contributions to the DHS Working Capital Fund (WCF). 65 Department of Homeland Security Transportation and Security Administration Operations and Support Management and Administration Justification of Program Changes (Dollars in Thousands) Program Increase 1: Recapitalize Aging IT Infrastructure – Management and Administration PPA: Management and Administration Program Increase: FTP 0, FTE 0, Dollars $194 Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) Current Services: Recapitalize Aging IT Infrastructure - Management and Administration Subtotal, Current Services Program Increase: Recapitalize Aging IT Infrastructure - Management and Administration Subtotal, Program Increases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) 1,549 1,423 1,549 1,423 $336,753 $336,753 1,549 1,423 $194 $194 $336,947 DESCRIPTION OF ITEM: TSA requests an increase of $0.194 million to help address critical information technology (IT) equipment requirements in the Management and Administration PPA, affecting agency-wide abilities to perform mission-essential and operationally critical functions. This funding is part of a $10 million request across all three PPAs, which will be used to replace 661 switches at a cost of $4,543 each, 1,180 servers at a cost of $4,237 each, and 616 laptops and 810 desktops at a cost of $1,400 each, all of which will be at or beyond their end of useful life (EOL) by FY 2017. Justification and impact of this program change is described above, in the Transportation Screening Operations section. 66 Department of Homeland Security Transportation and Security Administration Operations and Support Management and Administration Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 1,515 1,362 $205,937 $150 1,548 1,422 $215,071 $150 1,549 1,423 $218,503 $153 1 1 $3,432 $2 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The increase in FTE in Management and Administration is due to the realignment of one FTE to M&A from the Transportation Screening Operations PPA, via the Legacy Aviation – Airport Management and Support PPA. • PCB Change FY 2016-2017: The increase in Personnel Compensation and Benefits is due to increases in FTE described above and average FTE cost described below. • Average Cost Change FY 2016-2017: The change in the average cost is due to the annualization of the 2016 pay increase, and the 2017 pay increase. • FY 2017 request estimate $105.3 thousand in bonuses and $1.7 million for performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. 67 Department of Homeland Security Transportation and Security Administration Operations and Support Management and Administration Cost Drivers (Non-Pay) - PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Appropriation - Management and Administration Contracts HQ facilities Financial System Replacement Information Technology Working Capital Fund FY 2017 Non- Pay Cost Drivers (greatest-least) $42,960 $47,209 $32,383 $32,231 $8,384 $6,682 $10,535 $9,221 $7,103 $6,886 Total $101,365 $102,229 $46,936 $32,351 $18,066 $9,189 $5,540 $112,082 FY 2016 to FY 2017 Change ($273) $120 $11,384 ($32) ($1,346) $9,853 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • FY 2017 Non-Pay Cost Driver – Contracts: Contracts are essential part of Management and Administration. Reduction of $273,000 is net of one-time costs in FY 2016 for transition costs and increase in costs for newly awarded contracts. Major contracts include services for TSA Contact Center (TCC), Equal Employment Opportunity, Financial System, Asset Management, Human Resources, Information Technology and Acquisition. TCC serves as the central point of contact, providing information in response to concerns regarding security procedures, claims, policies, and as TSA employee contact for human resource issues. EEO contracts provide services in mediation and investigations, which are mandated by Federal Law to be available. Maintaining the current financial system is necessary for reporting and its robust internal funds control functionality. Acquisition contracts include contract closeout, audit services, and support for major investments. • FY 2017 Non-Pay Cost Driver – Headquarters Facilities: The Transportation Security Administration (TSA) is in the process of securing a 15­ year Headquarters lease that will consolidate four locations into a single location while reducing the current footprint that the leases now occupy. Increase of $120,000 is due to increase in operating and maintenance costs. HQ Consolidation is projected to cost an additional $24M for site improvements and equipment. However, due to the Court decision which overturned the new lease signed in August for the new Headquarters, this cost will change and some costs may slip into FY 2018. TSA is funding the $24M through FY2016 carryover. • FY 2017 Non-Pay Cost Driver – Financial Systems Replacement: To address the numerous outdated, legacy financial management system at many of its Component offices, DHS has initiated a Department-wide Financial Systems Modernization initiative. DHS must invest in modernizing Component financial management systems in order to improve financial accountability and financial reporting, and enable business process standardization. In FY 2017, TSA requires funding to complete the migration to a shared service provider for financial, acquisition, and asset management solution services. Increase of $11.4 million is for implementation of the new system in FY 2017. 68 • FY 2017 Non-Pay Cost Driver – Information Technology: Funds support TSA’s enterprise-wide core IT and telecommunications infrastructure. The IT infrastructure is defined as all of the elements employed in the delivery of IT services to users, including the computing, network and telecommunications hardware, software, database management, operating systems software, middleware, help desk, Operations Centers, documentation and video. The FY 2017 budget request includes an additional $194,000 for the M&A PPA, part of a total request of $10 million to address critical IT equipment requirements affecting agency-wide abilities to perform mission-essential and operationally critical functions. • FY 2017 Non-Pay Cost Driver – Working Capital Fund: Funds are for activities managed by the DHS WCF. Total WCF assessment is $44.1 million. Decrease of $1.3M is due to the removal from the WCF of Enterprise License agreement, government-wide initiatives, and Working Capital fund Operations. WCF activities include: e-training, National Finance Center Payroll Services, Human Capital Business Systems, Capital Planning and Investment Control, DHS Infrastructure Transformation Program, Integrated Audit, and Government-wide IT-related services. 69 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security Transportation and Security Administration Operations and Support Justification of Proposed Legislative Language For necessary expenses of the Transportation Security Administration related to providing civil aviation security services, surface transportation security, the development of intelligence and vetting activities, and transportation security support1pursuant to the Aviation and Transportation Security Act (Public Law 107-71; 115 Stat. 597; 49 U.S.C. 40101 note), [$5,719,437,000]$6,914,937,0002, to remain available until September 30, [2017]20183; of which not to exceed $7,650 shall be for official reception and representation expenses: Provided, That any award to deploy explosives detection systems shall be based on risk, the airport's current reliance on other screening solutions, lobby congestion resulting in increased security concerns, high injury rates, airport readiness, and increased cost effectiveness: Provided further, That security service fees authorized under section 44940 of title 49, United States Code, shall be credited to this appropriation as offsetting collections and shall be available only for aviation security: Provided further, That the sum appropriated under this heading from the general fund shall be reduced on a dollar-for-dollar basis as such offsetting collections are received during fiscal year [2016]20174 so as to result in a final fiscal year appropriation from the general fund estimated at not more than [$3,589,437,000]$3,886,152,0005: [Provided further, That the funds deposited pursuant to section 44945 of title 49, United States Code, that are currently unavailable for obligation are hereby permanently cancelled: Provided further, That notwithstanding section 44923 of title 49, United States Code, for fiscal year 2016, any funds in the Aviation Security Capital Fund established by section 44923(h) of title 49, United States Code, may be used for the procurement and installation of explosives detection systems or for the issuance of other transaction agreements for the purpose of funding projects described in section 44923(a) of such title: Provided further, That notwithstanding any other provision of law, for the current fiscal year and each fiscal year hereafter, mobile explosives detection systems purchased and deployed using funds made available under this heading may be moved and redeployed to meet evolving passenger and baggage screening security priorities at airports: Provided further, That none of the funds made available in this Act may be used for any recruiting or hiring of personnel into the Transportation Security Administration that would cause the agency to exceed a staffing level of 45,000 full-time equivalent screeners: Provided further, That the preceding proviso shall not apply to personnel hired as part-time employees: Provided further, That not later than 90 days after the date of enactment of this Act, the Secretary of Homeland Security shall submit to the Committees on Appropriations of the Senate and the House of Representatives a detailed report on-­ (1) the Department of Homeland Security efforts and resources being devoted to develop more advanced integrated passenger screening technologies for the most effective security of passengers and baggage at the lowest possible operating and acquisition costs, including projected funding levels for each fiscal year for the next 5 years or until project completion, whichever is earlier; (2) how the Transportation Security Administration is deploying its existing passenger and baggage screener workforce in the most cost-effective manner; and (3) labor savings from the deployment of improved technologies for passenger and baggage screening, including high-speed baggage screening, and how those savings are being used to offset security costs or reinvested to address security vulnerabilities:]6 70 Provided further, That Members of the United States House of Representatives and the United States Senate, including the leadership; the heads of Federal agencies and commissions, including the Secretary, Deputy Secretary, Under Secretaries, and Assistant Secretaries of the Department of Homeland Security; the United States Attorney General, Deputy Attorney General, Assistant Attorneys General, and the United States Attorneys; and senior members of the Executive Office of the President, including the Director of the Office of Management and Budget, shall not be exempt from Federal passenger and baggage screening. Language Provision transportation security, the development of intelligence and vetting activities, and transportation security support… 2 …[$5,719,437,000]$6,914,937,0002… 3 …[2017]2018… 4 …[2016]2017… 5 …[$3,589,437,000]$3,886,152,000… 6 …[Provided further, That the funds deposited pursuant to section 44945 of title 49, United States Code, that are currently unavailable for obligation are hereby permanently cancelled: Provided further, That notwithstanding section 44923 of title 49, United States Code, for fiscal year 2016, any funds in the Aviation Security Capital Fund established by section 44923(h) of title 49, United States Code, may be used for the procurement and installation of explosives detection systems or for the issuance of other transaction agreements for the purpose of funding projects described in section 44923(a) of such title: Provided further, That notwithstanding any other provision of law, for the current fiscal year and each fiscal year hereafter, mobile explosives detection systems purchased and deployed using funds made available under this heading may be moved and redeployed to meet evolving passenger and baggage screening security priorities at airports: Provided further, That none of the funds made available in this Act may be used for any recruiting or hiring of personnel into the Transportation Security Administration that would cause the agency to exceed a staffing level of 45,000 fulltime equivalent screeners: Provided further, That the preceding proviso shall not apply to personnel hired as part-time employees: Provided further, That not later than 90 days after the date of enactment of this Act, the Secretary of Homeland Security shall submit to the Committees on Appropriations of the Senate and the House of Representatives a detailed report on-­ (1) the Department of Homeland Security efforts and resources being devoted to develop more advanced integrated passenger screening technologies for the most effective security of passengers and baggage at the lowest possible operating and acquisition costs, including projected funding levels for each fiscal year for the next 5 years or until project completion, whichever is earlier; 1....surface 71 Explanation Language required to add elements under DHS’s new Common Appropriation Structure Dollar change only. No substantial change proposed. Fiscal year change only. No substantial change proposed. Fiscal year change only. No substantial change proposed. Dollar change only. No substantial change proposed. Language moved to the new Procurement, Construction, and Improvements appropriation. (2) how the Transportation Security Administration is deploying its existing passenger and baggage screener workforce in the most cost-effective manner; and (3) labor savings from the deployment of improved technologies for passenger and baggage screening, including high-speed baggage screening, and how those savings are being used to offset security costs or reinvested to address security vulnerabilities:] 72 Exhibit F. Summary of Fee Collections and Carryover Department of Homeland Security Transportation and Security Administration Operations and Support Transportation Worker Identification Credential Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted 2016 Enacted 57,072 82,267 96,163 36,075 36,414 53,673 --­ --­ --­ --­ --­ --­ 93,146 118,681 149,836 Collections (Actual or Anticipated) Carryover (Includes Recoveries) Portion of Current Year Collection Sequestered Previous Year Sequestered Funds Available Total Budget Authority 2017 Request • Statutory Authority: 6 USC 469 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended. • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on February 1, 2015, to implement a reduced charge for the Federal Bureau of Investigations reduced criminal history records check charge. The change was accomplished through the regulatory process. 73 • Recovery Rate: The fee rate is $128.00 (full), $105.25 (reduced), and $60.00 (replacement) per applicant. The credential is valid for up to five years. The fee recovers approximately 100% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund services. 74 Department of Homeland Security Transportation and Security Administration Operations and Support Hazardous Materials Endorsement Threat Assessment Program Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) 20,288 Carryover (Includes Recoveries) 7,476 Portion of Current Year Collection Sequestered --­ Previous Year Sequestered Funds Available --­ 27,764 Total Budget Authority 2016 Enacted 2017 Request 21,083 21,083 6,959 4,236 --­ --­ --­ --­ 28,042 25,319 • Statutory Authority: 6 USC 469 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended. • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on April 25, 2013. The change removed the fees from regulation text to facilitate fee updates through Notice in the Federal Register. The imposition was accomplished through the regulatory process. 75 • Recovery Rate: The fee rate is $48.50 (full state), $29.00 (reduced state), $86.50 (full vendor), and $67.00 (reduced vendor) per applicant for the security threat assessment. The threat assessment is valid up to 5 years. The fee recovers approximately 100% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund services. 76 Department of Homeland Security Transportation and Security Administration Operations and Support General Aviation at Ronald Reagan Washington National Airport Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) 553 Carryover (Includes Recoveries) 1,229 Portion of Current Year Collection Sequestered --­ Previous Year Sequestered Funds Available --­ 1,782 Total Budget Authority 2016 Enacted 2017 Request 400 400 1,345 1,745 --­ --­ --­ --­ 1,745 2,145 • Statutory Authority: 6 USC 469 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended. • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. Further, reimbursement for security services in support of general aviation access at Ronald Reagan Washington National Airport shall be available until expended only for these purposes. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on July 19, 2005, to originally implement the fee. The imposition was accomplished through the regulatory process. 77 • Recovery Rate: The fee rate is $15.00 per passenger and crewmember for the security threat assessment and $296.00 per round trip for the physical screening of passengers and aircraft. The threat assessment is valid for one trip. The fee recovers approximately 100% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund services. 78 Department of Homeland Security Transportation and Security Administration Operations and Support Commercial Aviation and Airports Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) 8,070 Carryover (Includes Recoveries) 763 Portion of Current Year Collection Sequestered --­ Previous Year Sequestered Funds Available --­ 8,833 Total Budget Authority 2016 Enacted 2017 Request 6,500 6,500 1,011 311 --­ --­ --­ --­ 7,511 6,811 • Statutory Authority: 6 USC 469 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on February 1, 2015. The change implemented a reduced charge for the Federal Bureau of Investigations (FBI) reduced criminal history records check charge. The imposition was accomplished by the FBI through the regulatory process. 79 • Recovery Rate: The fee rate is $12.75 per applicant for a security threat assessment service. The threat assessment is valid for up to five years. The fee recovers approximately 15% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund service until TSA can complete the rulemaking process to recover 100% of the vetting service. 80 Department of Homeland Security Transportation and Security Administration Operations and Support Other Security Threat Assessments Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) --­ Carryover (Includes Recoveries) 48 Portion of Current Year Collection Sequestered --­ Previous Year Sequestered Funds Available --­ 48 Total Budget Authority 2016 Enacted 2017 Request 50 50 48 98 --­ --­ --­ --­ 98 148 • Statutory Authority: 6 USC 469 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on February 1, 2015. The change implemented a reduced charge for the Federal Bureau of Investigations (FBI) reduced criminal history records check charge. The imposition was accomplished by the FBI through the regulatory process. 81 • Recovery Rate: The fee rate is $12.75 per applicant for a security threat assessment service. The threat assessment is valid for up to five years. The fee recovers approximately 27% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund service until TSA can complete the rulemaking process to recover 100% of the vetting service. 82 Department of Homeland Security Transportation and Security Administration Operations and Support Air Cargo Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) 5,155 Carryover (Includes Recoveries) 4,890 Portion of Current Year Collection Sequestered --­ Previous Year Sequestered Funds Available --­ 10,045 Total Budget Authority 2016 Enacted 2017 Request 3,500 3,500 8,199 7,575 --­ --­ --­ --­ 11,699 11,075 • Statutory Authority: 6 USC 469 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on May 23, 2012, to implement a revised fee of $41.00. The imposition was accomplished through the regulatory process. • Recovery Rate: The fee rate is $41.00 per applicant for the security threat assessment. The threat assessment is valid for up to five years. The fee recovers approximately 100% of allowable costs. 83 • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund services. 84 Department of Homeland Security Transportation and Security Administration Operations and Support TSA Pre✓® Application Program Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) 87,128 Carryover (Includes Recoveries) 20,141 Portion of Current Year Collection Sequestered --­ Previous Year Sequestered Funds Available --­ 107,269 Total Budget Authority 2016 Enacted 2017 Request 80,153 80,153 48,352 56,548 --­ --­ --­ --­ 128,505 136,701 • Statutory Authority: 49 USC 114 - Imposition of a fee to recover the cost incurred for any registered traveler program. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended. • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of the registered traveler program. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on December 4, 2013. The change originally implemented the fee at the start of the program. The imposition was accomplished through the regulatory process. • Recovery Rate: The fee rate is $85.00 per applicant for a security threat assessment service. The threat assessment is valid for up to five years. The fee recovers approximately 100% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund service. 85 Department of Homeland Security Transportation and Security Administration Operations and Support Aviation Security Infrastructure Fee Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted 18,052 --­ --­ --­ 18,052 Collections (Actual or Anticipated) Carryover (Includes Recoveries) Portion of Current Year Collection Sequestered Previous Year Sequestered Funds Available Total Budget Authority 2016 Enacted --­ --­ --­ --­ --­ 2017 Request 420,000 --­ --­ --­ 420,000 • FY17 Proposed Adjustment: Reinstate TSA authority to impose the fee on air carriers to collect $420 million in new annual revenue to further offset TSA appropriations. Proposed adjustment requires legislative action to amend the Aviation and Transportation Security Act. • Statutory Authority: 49 USC 44940 - Imposition of a fee on air carriers engaged in air transportation at airports in the U.S. • Authorized Uses: The costs of providing civil aviation security services including salary, training, background investigations, Federal Air Marshals, research and development, Federal Security Managers, deployment of law enforcement, security-related capital improvements at airports, and training pilots and flight attendants. • Change Mechanism: The fee structure and amount would be set in statute. Changes must be accomplished through the statutory process via authorization committees. Changes must also adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on September 30, 2014, as a result of new statutory language. The change removed TSA’s authority to impose the Fee. • Recovery Rate: The fee rate is $420 million in annual industry-wide collections and apportioned to individual air carriers based on the amount of September 11th Security Fee each carrier remitted or is owed to TSA. The fee would recover approximately 5% of allowable costs. • Forecasting Methodology: Collections are not based on the provision of services. The forecast is set to recover the industry-wide annual limitation of $420 million. • Contingency Plan: Utilization of appropriated resources to fund services. 86 Department of Homeland Security Transportation and Security Administration Operations and Support Aviation Passenger Security Fee Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted Collections (Actual or Anticipated) Carryover (Includes Recoveries) Portion of Current Year Collection Sequestered Previous Year Sequestered Funds Available Total Budget Authority 2,068,238 --­ --­ --­ 2,068,238 2016 Enacted 2,130,000 --­ --­ --­ 2,130,000 2017 Request 2,608,785 --­ --­ --­ 2,608,785 • FY17 Proposed Adjustment: Adjust the fee paid by passengers from $5.60 per one-way trip with a roundtrip limitation of $11.20 to $6.60 per one-way trip with a round trip limitation of $13.20 in the second quarter of FY17. The adjustment would generate $488.8 million in new revenue in FY17 to further offset TSA appropriations. Requires legislative action to amend the Aviation and Transportation Security Act. • Statutory Authority: 49 USC 44940 - Imposition of a fee on passengers for air transportation originating at airports in the United States. • Authorized Uses: The costs of providing civil aviation security services including salary, training, background investigations, Federal Air Marshals, research and development, Federal Security Managers, deployment of law enforcement, security-related capital improvements at airports, and training pilots and flight attendants. • Change Mechanism: The fee structure and amount are set in statute. Changes must be accomplished through the statutory process via authorization committees. Changes must also adhere to the regulatory process that may range from six months to two years. • Previous Changes: The last change to the fee took effect on December 19, 2014, as a result of new statutory language. The change is being accomplished through the regulatory process. • Recovery Rate: The fee rate is $5.60 per one-way air transportation that originates at an airport in the U.S., except that the fee imposed per roundtrip shall not exceed $11.20. The fee recovers approximately 34% of allowable costs. • Forecasting Methodology: Historical actuals and relevant economic growth factors. • Contingency Plan: Utilization of appropriated resources to fund services. 87 Department of Homeland Security Transportation and Security Administration Operations and Support Alien Flight School Program Fee Summary of Fee Collections and Carryover (Dollars in Thousands) 2015 Revised Enacted 2016 Enacted 5,164 7,906 (365) 360 13,065 5,200 7,773 (340) 365 12,998 Collections (Actual or Anticipated) Carryover (Includes Recoveries) Portion of Current Year Collection Sequestered Previous Year Sequestered Funds Available Total Budget Authority 2017 Request 5,200 6,399 --­ 340 11,939 • Statutory Authority: 49 USC 44939 - Imposition of a fee to recover the cost incurred for vetting and credentialing in the field of transportation. Collections shall be available for expenditure only to pay the costs incurred in the provision of services and shall remain available until expended. • Authorized Uses: Available for expenditure only to pay the costs incurred in the provision of vetting and credentialing services. • Change Mechanism: Changes must adhere to the regulatory process that may range from six months to two years depending on the regulatory path. • Previous Changes: The last change to the fee took effect on April 13, 2009. The change implemented a $70.00 fee for category 4 training. The imposition was accomplished through the regulatory process. • Recovery Rate: The fee rate is $130.00 per applicant for category 1-3 training and $70.00 per applicant for category 4 training. The threat assessment is valid for each unique training event. The fee recovers approximately 100% of allowable costs. • Forecasting Methodology: Historical enrollment patterns and projected fee rates. • Contingency Plan: Utilization of appropriated resources to fund services. 88 Exhibit G. Summary of Reimbursable Resources Department of Homeland Security Transportation Security Administration Operations and Support Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: Director of National Intelligence DHS Office of Operations Coordination and Planning Depatment of Justice Department of State - Counter Terrorism Department of Defense - Africom DHS - United States Coast Guard DHS - United States Secret Service DHS - Immigration and Customs Enforcement Other DHS - National Protection & Programs Directorate Recovery Accountability and Transparency Board Department of Homeland Security FPS Domestic Nuclear Detection Office DHS Office of Health Affairs Total Budgetary Resources Pos Obligations by Program/Project Activity: Salaries and Expenses Total Obligations Pos FTE Amount FY 2016 Enacted Pos FTE FY 2017 Request Amount Pos FTE - FY 2015 Revised Enacted FTE Amount FY 2016 Enacted Pos FTE Pos Amount $3,300 $3,300 Pos FY 2017 Request Amount Pos FTE - 89 2 1 1 4 Increase/Decrease Amount $196 $204 $62 $2,000 $500 $8 $7 $140 $183 $3,300 4 4 FTE Amount Increase/Decrease FTE Amount Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security Transportation Security Administration Operations and Support (Dollars in Thousands) Progam/Project/Activity FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount Passenger and Baggage Screening Management and Administration Reviews and Assessments Total Working Capital Fund $28,595 $5,540 $9,978 $44,113 90 Exhibit 1. Capital Investment and Construction Initiative Listing 91 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security Transportation Security Administration Operations and Support Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits $2,760,888 $296,636 $299,926 $100,114 $1,219,514 $500 $7,602 $4,685,180 $2,846,921 $286,641 $292,656 $97,509 $1,227,712 $499 $9,433 $4,761,371 $2,871,603 $309,384 $309,794 $102,839 $1,276,003 $505 $9,705 $4,879,833 $24,682 $22,743 $17,138 $5,330 $48,291 $6 $272 $118,462 $165,892 $1,240 $144,117 $41,880 $63,889 $2,347 $625,474 $433,825 $197,747 $20,701 $243 $293,597 $6,256 $69,904 $101,519 $12,204 $76,349 $1,264 - $165,684 $1,258 $121,936 $43,500 $62,221 $2,246 $599,081 $424,307 $183,215 $21,568 $257 $314,929 $5,375 $70,375 $105,266 $25,665 $75,854 $1,264 - $170,955 $1,257 $121,394 $46,179 $62,823 $2,191 $601,499 $429,581 $195,341 $21,741 $262 $315,075 $5,419 $68,535 $102,257 $25,553 $76,864 $1,227 - $5,271 ($1) ($542) $2,679 $602 ($55) $2,418 $5,274 $12,126 $173 $5 $146 $44 ($1,840) ($3,009) ($112) $1,010 ($37) - Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.0 Other Contractual Services 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 33.0 Investments and loans 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities 43.1 Interest and Dividends 43.2 Immigration Fees 44.0 Refunds 91.0 Unvouchered 93.1 Limitation on expenses 92 Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change 99.0 Subtotal, Obligations 99.5 Below Reporting Threshold Total, Other Object Classes $2,258,448 $2,224,001 $2,248,153 $24,152 Total, Direct Obligations $6,943,628 $6,985,372 $7,127,986 $142,614 - - - - $6,929,628 $6,980,172 $7,122,786 $142,614 Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 93 Exhibit K. Object Class Breakout by PPA Transportation Security Administration Operations and Support Transportation Screening Operations National Explosives Detection Canine Team Program Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $52,690 $48,888 $55,332 $6,444 $58 $221 $58 $221 $66 $250 $8 $29 $207 $207 $234 $27 $16,089 $16,089 $18,210 $2,121 $54 $54 $61 $7 $69,319 $65,517 $74,153 $8,636 - - - - $4,018 $4,018 $4,093 $75 $56 $56 $57 $1 23.1 Rental Payments to GSA 23.2 Rental Payments to Others $146 $49 $146 $49 $149 $50 $3 $1 23.3 Communications, Utilities, and Misc. Charges $375 $375 $382 $7 $17 $17 $17 - 25.1 Advisory and Assistance Services $2,586 $2,586 $2,634 $48 25.2 Other Services from Non-Federal Sources $9,613 $8,323 $8,478 $155 25.3 Other Goods and Services from Federal Sources $9,896 $8,797 $8,960 $163 $1 $1 $1 - $12 $12 $12 - $107 $107 $109 $2 25.8 Subsistence & Support of Persons $2,540 $2,540 $2,587 $47 26.0 Supplies and Materials $3,212 $3,212 $3,272 $60 $27,924 $29 $25,924 $29 $26,407 $30 $483 $1 $60,581 $56,192 $57,238 $1,046 Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $129,900 $121,709 $131,391 $9,682 Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 24.0 Printing and Reproduction 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements 94 FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits Full Time Equivalents FY 2016 Enacted FY 2017 Request - - - - 503 493 531 38 *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 95 FY 2016 to FY 2017 Change Department of Homeland Security Transportation Security Administration Operations and Support Transportation Screening Operations Passenger and Baggage Screening Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $1,880,262 $1,957,788 $1,961,321 $3,533 11.3 Other than Full-Time Permanent $293,084 $282,754 $305,834 $23,080 11.5 Other Personnel Compensation $171,608 $165,611 $179,012 $13,401 $87,238 $84,157 $91,038 $6,881 $849,071 $539 $861,375 $520 $897,954 $562 $36,579 $42 $3,281,802 $3,352,205 $3,435,721 $83,516 - - - ($1,570) 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $47,994 $49,109 $47,539 22.0 Transportation of Things $681 $680 $673 ($7) 23.1 Rental Payments to GSA $130,908 $112,045 $110,821 ($1,224) 23.2 Rental Payments to Others $16,197 $16,683 $16,273 ($410) 23.3 Communications, Utilities, and Misc. Charges $44,896 $43,311 $43,889 $578 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services $422 $328,426 $427 $320,285 $416 $320,632 ($11) $347 25.2 Other Services from Non-Federal Sources ($2,025) $346,569 $344,531 $342,506 25.3 Other Goods and Services from Federal Sources $95,669 $92,847 $93,274 $427 25.4 Operation and Maintenance of Facilities $14,613 $15,154 $14,672 ($482) ($1) 25.6 Medical Care $52 $53 $52 $284,311 $306,031 $306,067 $36 26.0 Supplies and Materials $55,456 $56,532 $54,643 ($1,889) 31.0 Equipment $81,833 $84,326 $81,953 ($2,373) 32.0 Land and Structures $10,502 $24,157 $23,890 ($267) $773 $773 $745 ($28) $1,459,302 $1,466,944 $1,458,045 ($8,899) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $4,741,104 $4,819,149 $4,893,766 $74,617 49,364 45,780 46,135 355 25.7 Operation and Maintenance of Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 96 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Screening Operations Vetting Programs Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $20,781 $27,695 $29,780 $2,085 11.3 Other than Full-Time Permanent $247 $514 $512 ($2) 11.5 Other Personnel Compensation $918 $1,203 $1,266 $63 $6,347 $8,593 $9,304 $711 $28,293 $38,005 $40,862 $2,857 - - - - $2,039 $455 $438 ($17) $30 $30 $26 ($4) 23.2 Rental Payments to Others $2,344 $1,969 $1,910 ($59) 23.3 Communications, Utilities, and Misc. Charges $1,090 $1,257 $1,196 ($61) 24.0 Printing and Reproduction $1,727 $1,610 $1,557 ($53) $204,740 $179,583 $180,014 $431 $8,361 $13,926 $13,029 ($897) $29,360 $321 $22,330 $254 $26,099 $241 $3,769 ($13) ($102) 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment $2,309 $2,084 $1,982 25.8 Subsistence & Support of Persons $569 $0 $0 $0 26.0 Supplies and Materials $479 $233 $229 ($4) $11,089 $12,356 $11,217 ($1,139) $301 $0 $0 $0 $264,759 $236,087 $237,938 $1,851 Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $293,052 $274,092 $278,800 $4,708 236 293 320 27 31.0 Equipment 32.0 Land and Structures Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 97 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Assessment and Enforcement Compliance Enforcement and Response Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $207,151 $209,113 $211,018 $1,905 $183 $171 $195 $24 $6,015 $5,958 $6,500 $542 $1,050 $1,028 $1,175 $147 $66,902 $87 $63,546 $89 $65,000 $100 $1,454 $11 $281,388 $279,905 $283,988 $4,083 - - - - $7,850 $5,000 $10,194 $5,194 22.0 Transportation of Things $90 $91 $65 ($26) 23.1 Rental Payments to GSA $3,500 $45 $528 $483 23.2 Rental Payments to Others $1,037 $919 $823 ($96) $706 $550 $535 ($15) $31 $5,876 $29 $4,250 $23 $4,326 ($6) $76 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities $1,060 $1,060 $1,060 - $21,774 $16,213 $21,750 $5,537 $4 $3 $3 - $56 $50 $50 - $167 $120 $120 - 25.8 Subsistence & Support of Persons $3,062 $2,750 $2,750 - 26.0 Supplies and Materials $4,540 $3,800 $3,681 ($119) 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 31.0 Equipment $298 $225 $207 ($18) $44,500 $44,500 $44,500 - $48 $46 $46 - $94,599 $79,651 $90,661 $11,010 Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $375,987 $359,556 $374,649 $15,093 2,375 2,188 2,186 (2) 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 98 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Assessment and Enforcement In-Flight Security Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $348,572 $350,718 $355,209 $4,491 $270 $270 $272 $2 11.5 Other Personnel Compensation $109,751 $108,506 $111,825 $3,319 12.1 Civilian Personnel Benefits $217,808 $217,376 $219,830 $2,454 12.2 Military Personnel Benefits $500 $499 $505 $6 $676,901 $677,369 $687,641 $10,272 - - - $542 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $95,405 $97,458 $98,000 22.0 Transportation of Things $121 $119 $115 ($4) 23.1 Rental Payments to GSA $2,200 $2,197 $2,105 ($92) 23.2 Rental Payments to Others $3,101 $3,068 $2,920 ($148) 23.3 Communications, Utilities, and Misc. Charges $8,560 $8,757 $8,390 ($367) $3 $3 $3 - 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $18,592 $2,211 $17,501 $2,173 $16,483 $2,056 ($1,018) ($117) 25.3 Other Goods and Services from Federal Sources $14,674 $10,200 $10,699 $499 $996 $989 $942 ($47) 24.0 Printing and Reproduction 25.4 Operation and Maintenance of Facilities 25.6 Medical Care $60 $60 $57 ($3) 25.7 Operation and Maintenance of Equipment $1,629 $1,626 $1,558 ($68) 26.0 Supplies and Materials $3,329 $3,400 $3,239 ($161) 31.0 Equipment $532 $529 $508 ($21) 42.0 Insurance Claims and Indemnities $386 $385 $370 ($15) $151,799 $148,465 $147,445 ($1,020) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $828,700 $825,834 $835,086 $9,252 35 36 36 - Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 99 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Assessment and Enforcement Intelligence Operations and TSOC Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $36,110 $37,582 $41,083 $3,501 $108 $111 $123 $12 $1,452 $1,491 $1,662 $171 $10,668 $11,015 $12,073 $1,058 $48,338 $50,199 $54,941 $4,742 - - - $23 $1,100 $1,135 $1,158 22.0 Transportation of Things $30 $31 $31 - 23.1 Rental Payments to GSA $5,809 $5,817 $5,865 $48 23.2 Rental Payments to Others $452 $476 $467 ($9) 23.3 Communications, Utilities, and Misc. Charges $171 $180 $176 ($4) $7 $10 $7 ($3) $5,819 $13,325 $13,971 $646 $11,612 $547 $1,772 $2,640 $1,767 $2,745 ($5) $105 $182 $192 $188 ($4) $3 $3 $3 - $23 $24 $23 ($1) 26.0 Supplies and Materials $816 $849 $852 $3 31.0 Equipment $816 $851 $851 - 32.0 Land and Structures $456 $480 $471 ($9) 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 42.0 Insurance Claims and Indemnities $2 $2 $4 $2 $27,845 $27,787 $28,579 $792 Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $76,183 $77,986 $83,520 $5,534 385 385 418 33 Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 100 Department of Homeland Security Transportation Security Administration Operations and Support Transportation Assessment and Enforcement Reviews and Assessments Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $67,608 $61,371 $61,734 $363 $676 $635 $680 $45 $2,860 $2,475 $2,120 ($355) 11.8 Special Personal Services Payments $11,619 $12,117 $10,392 ($1,725) 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel $10,435 $4 $6,497 $5 $9,093 $5 $2,596 - $93,202 $83,100 $84,024 $924 - - - $1,102 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $4,478 $4,872 $5,974 22.0 Transportation of Things $84 $60 $101 $41 23.1 Rental Payments to GSA $627 $499 $767 $268 23.2 Rental Payments to Others $6,741 $4,688 $8,201 $3,513 23.3 Communications, Utilities, and Misc. Charges $4,516 $4,310 $4,781 $471 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services $63 $25,972 $51 $25,042 $72 $29,774 $21 $4,732 25.2 Other Services from Non-Federal Sources $24,138 $21,889 $30,707 $8,818 25.3 Other Goods and Services from Federal Sources $10,962 $9,495 $12,257 $2,762 $1,663 $1,159 $2,015 $856 $46 $64 $73 $9 $2,708 $2,548 $2,896 $348 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons $85 $85 $82 ($3) 26.0 Supplies and Materials $1,200 $1,227 $1,528 $301 31.0 Equipment $3,734 $3,605 $4,192 $587 $340 $236 $413 $177 $3,925 $11 $5,430 $10 $5,957 $13 $527 $3 $91,293 $85,270 $109,803 $24,533 Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $184,495 $168,370 $193,827 $25,457 32.0 Land and Structures 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements 101 Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits Full Time Equivalents FY 2016 Enacted FY 2017 Request - - - - 563 536 533 (3) *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 102 FY 2016 to FY 2017 Change Department of Homeland Security Transportation Security Administration Operations and Support Management and Administration Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $147,714 $153,766 $156,126 $2,360 11.3 Other than Full-Time Permanent $2,010 $2,128 $1,702 ($426) 11.5 Other Personnel Compensation $7,101 $7,191 $7,159 ($32) $42,194 $43,221 $44,539 $1,318 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $6,918 $8,765 $8,977 $212 $205,937 $215,071 $218,503 $3,432 - - - ($78) $3,008 $3,637 $3,559 22.0 Transportation of Things $148 $191 $189 ($2) 23.1 Rental Payments to GSA $927 $1,187 $1,159 ($28) $11,959 $15,648 $15,535 ($113) $3,575 $3,481 $3,474 ($7) $77 $99 $96 ($3) 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $33,463 $30,261 $36,509 $30,633 $33,665 $29,978 ($2,844) ($655) 25.3 Other Goods and Services from Federal Sources $14,865 $20,693 $19,557 ($1,136) $2,921 $3,816 $3,679 ($137) $14 $15 $15 - $2,343 $2,389 $2,320 ($69) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials $872 $1,122 $1,091 ($31) $3,217 $3,374 $3,329 ($45) $605 $792 $779 ($13) $15 $19 $19 - $108,270 $123,605 $118,444 ($5,161) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $314,207 $338,676 $336,947 ($1,729) 1,362 1,422 1,423 1 31.0 Equipment 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 103 Exhibit L. Permanent Positions by Grade Department of Homeland Security Transportation Security Administration Operations and Support Permanent Positions by Grade Grades and Salary Range FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. Pos. Pos. Total Total, SES 166 Total, EX 1 GS-15 1 GS-14 26 GS-13 409 GS-12 1,212 GS-11 4,611 GS-10 2,580 GS-9 5,760 GS-8 7,928 GS-7 26,064 GS-6 5,817 GS-5 10 Total Permanent Positions 54,585 Unfilled Positions EOY Total Permanent Employment EOY Headquarters 4,380 U.S. Field 50,205 Total, Operations and Support: 54,585 Full Time Equivalents 51,582 Average ES Salary - Average GS Salary - Average Grade - 104 Exhibit M. Changes in Full Time Employment FY 2015 FY 2016 FY 2017 Increases Transfer In from Aviation - Airport Management and Support Transfer In from Aviation - Air Cargo Transfer in from Aviation - Airport Management and Support Transfer In from Aviation - Aviation Regulation and Enforcement Transfer In from Aviation - Federal Flight Deck Officer Program Transfer In from Aviation - Screener Personnel Compensation Benefits Transfer In from Aviation - Screener Training and Other Transfer In from Intelligence and Vetting - Intelligence Transfer In from Intelligence and Vetting - Other Vetting Programs Transfer In from Intelligence and Vetting - Secure Flight Transfer In from Intelligence and Vetting - TWIC - Fee Transfer In from Intelligence and Vetting - Hazardous Material CDL - Fee Transfer In from Intelligence and Vetting - General Aviation at DCA - Fee Transfer In from Intelligence and Vetting - Air Cargo - Fee Transfer In from I&V - TSA Pre✓® Application Program - Fee Transfer In from Intelligence and Vetting - Alien Flight Student Program - fee Transfer In from Support - Headquarters Administration Transfer In from Support - Human Capital Services Transfer In from Support - Information Technology Transfer In from Surface - Staffing and Operations Transfer In from Surface - Surface Inspectors and VIPRs Increase Redress Staffing 2,789 615 126 1,526 36 42,525 175 260 122 290 42 34 5 11 86 24 1132 324 281 120 641 11 Decreases Year End Actuals/Estimated FTEs: 51,175 105 Department of Homeland Security Departmental Management and Operations Transportation and Security Administration Procurement, Construction and Improvements Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits......................................................................................... 1 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level.......................................... 1 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ............................................................................. 3 C. FY 2017 Investment Summary - Appropriation Level ....................................................................................... 5 Schedule II – Program, Project, Activity (PPA) Exhibits............................................................................................... 6 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level................................................................................. 6 Schedule III – Other Exhibits........................................................................................................................................ 34 Exhibit E. Justification of Proposed Legislative Language................................................................................... 34 Exhibit F. Summary of Fee Collections and Carryover ........................................................................................ 35 Exhibit G. Summary of Reimbursable Resources ................................................................................................. 36 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity........................................ 37 Exhibit I. Capital Investment and Construction Initiative Listing ........................................................................ 38 Exhibit J. Object Class Breakout by Appropriation .............................................................................................. 47 Exhibit K. Object Class Breakout by PPA ............................................................................................................ 48 Exhibit L. Permanent Positions by Grade.............................................................................................................. 50 Exhibit M. Changes in Full Time Employment..................................................................................................... 51 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Transportation Screening Operations Passenger and Baggage Screening Vetting Programs Subtotal, Procurement, Construction, and Improvements, Discretionary Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount 191 192 $178,739 188 177 $199,724 188 177 $206,093 - - $6,369 191 192 $174,639 188 177 $195,624 188 177 $199,793 - - $4,169 - - $4,100 - - $4,100 - - $6,300 - - $2,200 191 192 $178,739 188 177 $199,724 188 177 $206,093 - - $6,369 Mandatory Fees Aviation Security Capital Fund Mandatory Fee Subtotal Mandatory Fees Total Procurement, Construction, and Improvements Budget Authority 191 192 191 192 $250,000 $250,000 $250,000 $250,000 $250,000 $250,000 $428,739 188 177 188 177 $449,724 188 177 188 177 $456,093 - - $6,369 - - $6,369 Less: Adjustments for Other Funding Sources Aviation Security Fees – Mandatory Aviation Security Capital Fund Fee Net, Enacted Appropriations and Budget Estimates: ($250,000) $178,739 ($250,000) $199,724 ($250,000) $206,093 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only. Overview Procurement, Construction and Improvements (PC&I) provide funds necessary for the planning, operational development, engineering and purchase of one or more assets (which hereinafter also refers to end items) prior to sustainment. Information Technology (IT) ­ related PC&I may consist of one or more end items which provide useful software and/or hardware in an operational (production) environment, including non-tangible assets. 1 Unless otherwise stipulated by regulation or statute, an end item, or improvement project, purchased with PC&I funding has: • Personal Property, a unit cost of greater than $250,000, or • Real Property, a unit cost of greater than $2 million. The funds provide the necessary operations and mission support for the following PPAs: • Transportation Screening Operations: This PPA funds major acquisitions that support activities related to TSA's passenger, baggage, and air cargo screening functions. It includes a $5 million increase for development of an advanced X-Ray image processing algorithm. 2 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Discretionary Funding FY 2016 to FY 2017 Budget Change (Dollars in Thousands) Adjustments-to-Base Pos. FTE Amount 188 177 $867,348 5 60 123 188 5 57 115 177 $11,030 $106,607 $77,396 $6,300 $201,333 - - $325 $94 $419 188 188 - 177 177 - ($659) ($659) ($240) $201,093 $201,093 $5,000 188 177 $5,000 $5,000 $5,000 $206,093 Transfers to and from other accounts: Transfer In From Aviation - Air Cargo Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Transfer In from Intelligence and Vetting - Other Vetting Programs Total Transfers Increases 2017 Pay Increase Annualization of 2016 pay increase Total, Increases Decreases Program Efficiencies Total, Decreases Total Other Adjustments Total Adjustments-to-Base FY 2017 Current Services Program Changes Increases Advanced Technology (AT) X-Ray Image Analysis Total, Increases Total Program Changes FY 2017 Request 3 Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Mandatory Funding FY 2016 to FY 2017 Budget Change (Dollars in Thousands) Adjustments-to-Base Pos. FTE Amount 188 177 $867,348 - - $250,000 $250,000 $250,000 $250,000 $250,000 Transfers to and from other accounts: Transfer In From Aviation - Aviation Security Capital Fund Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request 4 C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security Transportation Security Administration Operations and Support FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) Passenger and Baggage Screening Passenger and Baggage Screening Passenger and Baggage Screening Vetting Programs Electronic Baggage Screening Program (EBSP) FY 2016 Enacted FY 2017 Request $299,429 $297,480 $298,200 $74,833 $97,398 $101,477 $10,422 $10,802 $4,100 $4,100 $388,784 $409,780 FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. $10,278 $6,300 $416,255 Passenger Screening Program (PSP) Security Technology Integrated Program (STIP) Technology Infrastructure Modernization (TIM) Total * FY 2015 Revised Enacted 5 Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Transportation Screening Operations FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Transportation Screening Operations Current Services 2017 Pay Increase Annualization of 2016 pay increase Program Efficiencies Transfer In From Aviation - Air Cargo Transfer In From Aviation - Aviation Security Capital Fund Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Transfer In from Intelligence and Vetting - Other Vetting Programs Advanced Technology (AT) X-Ray Image Program Changes Analysis Budget Year FY 2017 Request Positions 5 FTE 5 Amount 325 94 (659) 11,030 60 57 250,000 106,607 123 115 77,396 - - 6,300 188 177 5,000 456,093 PPA DESCRIPTION: This PPA supports passenger, baggage, and air cargo screening; vetting programs that support screening capabilities; and field support for these efforts to include funding for major acquisitions. The FY 2017 adjustments to base include a net decrease of $0.240 million in appropriated funding, representing the effects of the 2016 and 2017 pay increases, and a reduction due to program efficiencies. 6 Department of Homeland Security Transportation Security Administration Transportation Screening Operations Justification of Program Changes (Dollars in Thousands) Program Increase 1: Advanced Technology (AT) X-Ray Image Analysis - Passenger and Baggage Screening PPA: Transportation Screening Operations Program Increase: FTP 0, FTE 0, Dollars $5,000 Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) Current Services: Advanced Technology (AT) X-Ray Image Analysis - Passenger and Baggage Screening Subtotal, Current Services Program Increase: Advanced Technology (AT) X-Ray Image Analysis - Passenger and Baggage Screening Subtotal, Program Increases Total Request FTP FY 2016 Enacted FTE Dollars ($000) FTP FY 2017 Request FTE Dollars ($000) 188 188 177 177 $451,093 $451,093 188 177 $5,000 $5,000 $456,093 DESCRIPTION OF ITEM: The FY 2017 President’s Budget Request includes an increase of $5.0 million to support the testing and deployment of an improved algorithm for checkpoint Advanced Technology (AT) X-Ray machine image analysis. Justification: In June 2015, covert testing conducted by the DHS Office of the Inspector General revealed that TSA failed to detect certain prohibited items at several airports across the country. These shortfalls were not limited to certain employees or locations, but rather pointed at deficiencies in the screening process and technology. 7 As a part of the DHS response to address these results, TSA is requesting funding for the testing and deployment of an enhanced Tier II algorithm for checkpoint x-ray image analysis. This algorithm will provide frames or other markers around selected items, which will alert the Transportation Screening Officers (TSOs) at the checkpoint to potential threats in carry-on bags. The algorithm will also provide enhanced threat image libraries based on recent and emerging threats. Operational Testing for the Tier II algorithm on Rapiscan AT units is scheduled to begin in the second quarter of Fiscal Year 2017, with deployment in the following quarter. Impact on Performance: This investment will provide TSA with an overall enhanced capability of finding threats and mitigating the risk to the traveling public. These algorithms are designed to increase the TSOs ability to find prohibited items, increase TSO efficiency in finding prohibited items, and ensure greater consistency of applying resolution protocols. 8 Department of Homeland Security Procurement, Construction, and Improvements Transportation Screening Operations Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost Civilian Total Military Total 191 192 $29,021 - $160 188 177 $26,916 - $152 - 188 177 $27,335 - $154 - - - - - $419 - $2 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: N/A – there is no change in FTE. • PC&B Change FY 2016-2017: The $419 thousand increase in Personnel Compensation and Benefits reflects the average cost change described below. • Average Cost Change FY 2016-2017: The average cost increased by approximately $2,367 per FTE. This average cost change is due to annualization of the 2016 pay increase, and the 2017 pay increase. • FY 2017 request estimates $13,200 for bonuses and $211,000 for performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. 9 Department of Homeland Security Transportation Security Administration Transportation Screening Operations Cost Drivers (Non-Pay) - PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted PPA - Transportation Screening Operations FY 2017 Non- Pay Cost Drivers (greatest-least) Checked Baggage Technology Purchase and Installation $76,725 $87,670 Baggage Facility Modifications $137,100 $101,671 Screening Technology Capability Upgrades $59,892 $79,422 Checkpoint Technology Purchase and Installation $15,790 $25,230 Screening Technology Test and Evaluation $42,759 $43,228 Total $336,266 $337,221 $101,212 $86,878 $56,752 $49,980 $47,464 $342,286 FY 2016 to FY 2017 Change $13,542 ($14,793) ($22,670) $24,750 $4,236 $5,065 * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • FY 2017 Non-Pay Cost Driver – Checked Baggage Technology Purchase and Installation: TSA procures and installs checked baggage Transportation Security Equipment (TSE) to support Risk-Based Security (RBS), to respond to emerging threats, and to recapitalize TSE as it reaches the limits of its useful life. The specific recapitalization needs for checked baggage screening devices are continually being assessed. Airport projects are often multi-year efforts resulting in the purchase of equipment one fiscal year, but deployment of it in the next to align with the airport’s project schedule and screening needs. For inline Checked Baggage Inspection Systems (CBIS), TSE are deployed for installation when new modification projects are either completed or near completion. Technology purchase and installation requirements vary year to year based on testing schedules, airport site readiness, and operational requirements. As FY 2015 and FY 2016 agreements with airports for the design and construction of inline CBIS near completion, TSA must procure and install the equipment in order to finish the project. This is a significant contributor to TSA’s FY 2017’s Checked Baggage Technology Purchase and Installation requirement. Details on types of equipment and quantities can be found in the Checked Baggage Screening Sub-PPA Justification section. • FY 2017 Non-Pay Cost Driver – Baggage Facility Modifications: TSA enters into Other Transactional Agreements (OTAs) with airports/airport authorities to provide sufficient funds for airports to prepare the baggage handling facility 10 for the security equipment that is to be purchased and installed into inline CBIS. The OTAs are executed using a twoyear planning and obligation cycle – in the first year an OTA is entered into for the design of the CBIS, and the second year an OTA is entered into for facility modification and construction. The number of facility modification projects and projected funding levels varies each year depending on airport readiness as well as TSA’s priority list. The following table lists TSA’s planned OTA’s for FY 2016 and FY 2017 for both new in-line systems and recapitalization systems. Planned New In-line and Recapitalization OTAs for FY 2016 and FY 2017 New In-line OTAs Recapitalization OTAs Akron Canton Regional (CAK) Saipan International (GSN) Burbank-Glendale-Pasadena (BUR) Albert J. Ellis (OAJ) Salt Lake City International (SLC) Chicago O’Hare International – T3 (ORD) Charleston AFB/International (CHS) Savanah/Hilton Head International (SAV) Chicago O’Hare International – T5 (ORD) Chicago O’Hare International – Terminal 3 (ORD) Sitka Rocky Gutierrez (SIT) Dallas/Fort Worth International (DFW) El Paso International (ELP) St. Petersburg-Clearwater International (PIE) Fairbanks International (FAI) Kona International Airport at Keahole (KOA) Tri-Cities (PSC) Houston Intercontinental (IAH) Louis Armstrong New Orleans International (MSY) Washington/Baltimore International Thurgood Marshall (BWI) Phoenix-Mesa Gateway (IWA) • FY 2017 Non-Pay Cost Driver – Screening Technology Capability Upgrades: TSA will utilize the FY 2017 funding to focus on a broad range of assessment and engineering activities to increase threat detection capabilities and prolong the 11 life of existing equipment. New capabilities include the ability to detect an expanded set of threat materials with higher detection probabilities, lower false alarm rates, faster throughput rates, and at lower life-cycle costs, resulting in less impact to airport operations and the traveling public. FY 2017 funding will be used for patches and upgrades to system software and hardware, operating system upgrades, technical risk assessments, system certification and accreditation assessments and security compliance assessments. The costs for capability upgrades vary each year depending on the status of testing activities and the types of equipment and upgrades that are required, as well as evolving threats and operational requirements. • FY 2017 Non-Pay Cost Driver – Checkpoint Technology Purchase and Installation: TSA procures and installs checkpoint TSE to support RBS requirements, to recapitalize the aging screening equipment fleet, and to add detection capabilities and improve performance. TSA is in the process of reevaluating checkpoint screening technology requirements based on latest operational needs and threats. Technology purchase and installation requirements vary year to year based on testing schedules, airport site readiness, and operational requirements. In FY 2017, TSA will begin to procure and recapitalize its Enhanced Metal Detection (EMD) units and Advanced Technology (AT) X-ray systems. Details on quantities can be found in the Checkpoint Screening Sub-PPA Justification section. • FY 2017 Non-Pay Cost Driver – Screening Technology Test and Evaluation: TSA tests and evaluates checkpoint, checked baggage, air cargo and surface screening technologies. Qualification testing enables TSA to validate a system’s conformance with technical specifications and verify that TSE is capable of meeting the functional requirements, such as passenger throughput, without negatively impacting the operations of an actual airport. The results of qualification testing determine the readiness of TSE to enter operational testing in the field, which validates that the equipment satisfies the Agency’s operational requirements. Upon successful completion of testing, TSA and/or industry will consider the TSE for potential procurements. For checkpoint and checked baggage technologies, the test and evaluation process informs TSA’s future procurement decisions. While TSA does not procure air cargo or surface screening technologies, this process informs industry’s procurement decisions. Specifically, for air cargo, industry is required to purchase, use, and maintain systems authorized by TSA and listed on the ACSTL. Depending on the number of systems undergoing testing in each year, the costs for this activity can vary. 12 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Transportation Screening Operations Passenger and Baggage Screening FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Passenger and Baggage Screening Current Services 2017 Pay Increase Annualization of 2016 pay increase Program Efficiencies Transfer In From Aviation - Air Cargo Transfer In From Aviation - Aviation Security Capital Fund Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Advanced Technology (AT) X-Ray Image Program Changes Analysis Budget Year FY 2017 Request 13 Positions 5 FTE 5 Amount 325 94 (659) 11,030 60 57 250,000 106,607 123 115 77,396 188 177 5,000 449,793 Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Transportation Screening Operations Passenger and Baggage Screening Cost Drivers (Pay & Benefits) – Sub-PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 191 192 $29,021 $151 188 177 $26,916 $152 188 177 $27,335 $154 -$419 $2 191 192 $29,021 $151 188 177 $26,916 $152 188 177 $27,335 $154 -$419 $2 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. 14 Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Transportation Screening Operations Passenger and Baggage Screening Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Sub-PPA - Passenger and Baggage Screening FY 2017 Non- Pay Cost Drivers (greatest-least) Checked Baggage Technology Purchase and Installation $76,725 $87,670 Baggage Facility Modifications $137,100 $101,671 Screening Technology Capability Upgrades $59,892 $79,422 Checkpoint Technology Purchase and Installation $15,790 $25,230 Screening Technology Test and Evaluation $42,759 $43,228 Total $332,266 $337,221 $101,212 $86,878 $56,752 $49,980 $47,464 $342,286 FY 2016 to FY 2017 Change $13,542 ($14,793) ($22,670) $24,750 $4,236 $5,065 * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. SUB-PPA JUSTIFICATION: To increase security effectiveness, TSA is requesting funds for the testing, procuring, and deploying of screening equipment and technologies. The FY 2017 Budget includes funding to test, procure, and deploy checkpoint capabilities to enhance threat detection and security effectiveness at approximately 2,200 passenger checkpoint lanes in our Nation’s airports; checked baggage screening technology systems with the latest threat detection capabilities to approximately 440 airports nationwide; and air cargo screening technologies for 300 domestic and foreign air carriers, 4,000 cargo Indirect Air Carriers, and over 1,000 Certified Cargo Screening Facilities. In addition to appropriated funds, the $250 million from the Aviation Security Capital Fund (ASCF) will be used for acquisition and installation of checked baggage screening equipment and facilities modifications. These combined discretionary and mandatory funds will be used for: 1) Qualification and operational testing efforts; 2) Procurement, deployment, and installation of new screening technologies and detection capabilities; 3) Airport design and facility modification efforts to enable the deployment of new and enhanced screening capabilities; 4) Engineering initiatives to enhance detection capabilities, as well as automate equipment, and better integrate screening technology into the checkpoint and airports; 15 5) Strengthening the IT security posture of screening equipment; and, 6) Program operations support. Checkpoint Screening: Current and planned checkpoint screening technologies include: • Advanced Imaging Technology (AIT): Screens passengers for metallic and non-metallic threats, including weapons, explosives, and other objects concealed under layers of clothing; • Next-Generation Advanced Technology X-Ray (AT-2): Next-generation X-ray systems with advanced visual detection capabilities that use multi-view capabilities or automated explosives detection capabilities; • Boarding Pass Scanners (BPS): Confirm passenger vetting status by automating the scanning of passenger boarding passes; • Bottled Liquids Scanners (BLS): Screen bottles to determine if they contain prohibited liquids; • Credential Authentication Technology (CAT): Digitally validate the passengers’ credential with near-real time vetting status updates from Secure Flight; • Enhanced Metal Detectors (EMD): Screen persons for metallic weapons such as guns or knives; and, • Explosives Trace Detectors (ETD): Test for explosive residue on selected passengers and carry-on items. The following tables depict TSA’s planned procurements and installation for checkpoint equipment in FY 2017: Checkpoint Technology Purchase Costs ($ in Thousands) Technology Type Avg Cost Per Unit With Available Carryover Funds* # of Units Cost With FY 2016 Enacted # of Units Cost With FY 2017 Request # of Units Cost Advanced Imaging Technology (AIT) $ 131.4 7 $ 919.8 - $ - - $ Advanced Technology (AT) X-Ray $ 128.3 - 131.1 14 $ 1,796.2 - $ - 296 $ Bottled Liquids Scanners (BLS) $ - $ - $ - - $ - Boarding Pass Scanners (BPS) $ 1.7 12 $ 20.4 175 $ 297.5 - $ - Credential Authentication Technology (CAT) $ 13.5 - $21.5 475 $ 9,047.0 625 $ 12,186.5 - $ - Enhanced Metal Detection (EMD) $ 10.8 - $ - $ - 70 $ Explosives Trace Detection (ETD) TOTAL $ 31.3 21 $ - $ - - $ 529 $ 12,440.7 32.8 *Reflects planned purchases with available no-year and expiring carryover. 16 - 657.3 800 $ 12,484.0 366 38,806.0 756.0 - $ 39,562.0 Checkpoint Technology Installation Costs ($ in Thousands) Technology Type Advanced Imaging Technology (AIT) Advanced Technology (AT) X-Ray Bottled Liquids Scanners (BLS) Boarding Pass Scanners (BPS)** Credential Authentication Technology (CAT) Enhanced Metal Detection (EMD) Explosives Trace Detection (ETD) Relocation/Redeployment TOTAL Avg Cost Per Unit $ $ $ $ $ $ $ $ 55.0 35.1 0.0 0.7 0.4 - 0.7 - With Available Carryover Funds* # of Units 7 14 12 475 21 529 Cost $ $ $ $ $ $ $ $ $ 385.2 491.6 0.0 332.5 1,209.3 With FY 2016 Enacted # of Units 10 55 175 625 50 915 Cost $ $ $ $ $ $ $ $ $ 550.3 1,931.3 0.0 437.5 0.0 86.0 9,740.9 1,246.0 With FY 2017 Request # of Units 296 70 366 Cost $ $ $ $ $ $ $ $ $ 10,393.0 25.0 10,418.0 *Reflects planned installations to be obligated with available no-year and expiring carryover. **There are no installation costs associated with Boarding Pass Scanners (BPS). The FY 2017 request will support the upgrade of AITs with Tier III detection capability and wideband software. The Tier III algorithm updates and wideband software additions will improve image quality, increase TSA’s ability to achieve increased threat detection capabilities for AIT systems, and reduce false alarm rates. The FY 2017 budget also supports investment in an enhanced Tier II algorithm for checkpoint x-ray image analysis, which will provide a screener assist function with frames or other markers around selected items, which will alert the TSOs to potential threats in carry-on bags. Checked Baggage Screening: Checked baggage screening technologies can include Explosives Detection Systems (EDS) or Explosives Trace Detection (ETD) systems. EDS technologies are classified as follows: • High-speed (HSEDS): Throughput > 900 bags per hour (bph) • Medium-speed (MSEDS): 400 < Throughput ≤ 900 bph • Reduced-size (RSEDS): 100 < Throughput ≤ 400 bph The following tables depict TSA’s planned checked baggage screening equipment procurements and installation for FY 2017, both from appropriated funds and from the Aviation Security Capital Fund (ASCF): 17 Checked Baggage Technology Procurement Costs ($ in Thousands) Equipment Type RSEDS MSEDS HSEDS** Avg Cost Per Unit $ 380 - 396 $ 990 - 1,240 $ 1,240 Total With Available Carryover Funds # of Units Cost 0 12 0 12 $ $ $ $ FY 2016 Enacted # of Units 12,500 12,500 10 62 0 72 Cost $ $ $ $ 3,800 68,605 72,405 FY 2017 Request # of Units 10 77 0 87 Cost $ $ $ $ 3,962 77,000 80,962 *Funding for FY 2016 and FY 2017 planned equipment purchases is included in the ASCF. **Because TSA's Qualified Product List does not currently include any HSEDS, there are no purchases planned for FY 2016 or FY 2017. Checked Baggage Technology Installation Costs ($ in Thousands) Equipment Type RSEDS MSEDS HSEDS** Avg Cost Per Unit $ $ $ Total 49 - 75 242 - 340 340 With Available Carryover Funds # of Units Cost 20 20 $ $ $ $ FY 2016 Enacted # of Units 5,700 5,700 0 49 0 49 Cost $ $ $ $ 15,265 15,265 FY 2017 Request # of Units 20 77 0 97 Cost $ $ $ $ 1,000 19,250 20,250 *Funding for FY 2016 and FY 2017 planned equipment installations is included in the ASCF. **Because TSA's Qualified Product List does not currently include any HSEDS, there are no installations planned for FY 2016 or FY 2017. The FY 2017 budget request also supports OTAs between TSA and airports or airport authorities to provide sufficient funds for airports to prepare the baggage handling facility for the security equipment that is to be purchased and installed. These facility modification OTAs can involve either new in-line CBIS or recapitalization of an existing CBIS, which are prioritized based on technical obsolescence. In FY 2017, TSA will prioritize upgrading legacy EDS to extend their service life and achieve greater detection capabilities, rather than replacing these systems at a greater cost. The airports that will receive OTAs for EDS procurement are listed in the PPA-Level Non-Pay Cost Driver section. TSA will also utilize the FY 2017 funding for the ongoing development and deployment of new algorithms to detect evolving threats. Specifically, in FY 2017 TSA expects to work on algorithms that will more reliably detect homemade explosive threats in checked baggage, while simultaneously reducing false alarm rates. 18 Air Cargo Screening Technology: The FY 2017 request will support the qualification and evaluation of existing and emerging air cargo screening technologies and procedures. These funds will help determine their suitability, effectiveness, and feasibility for use in air cargo screening environments. TSA does not procure or deploy air cargo screening equipment – instead the air cargo industry is responsible for procurement and maintenance of such equipment, from a list of authorized equipment maintained by TSA. The following technologies are currently approved for procurement and use by industry to screen air cargo on passenger and all cargo aircrafts: • ETD units • Non- Computed Tomography (CT) X-Ray (small, medium, and large aperture) systems • AT X-Ray (small, medium, and large aperture) systems • EDS • EMD units • Carbon Dioxide (CO2) monitors Other Technology Investments: Other screening technology investments supported by the FY 2017 budget include: • Increased automation, equipment integration, and other enhancements to the Security Technology Integrated Program; • Advanced Surveillance Program projects at McCarran International Airport (LAS) and San Diego International Airport (SAN); and • Enhancements to TSE network security testing, risk assessments, and the analysis and identification of emerging IT requirements. Program Operations and Management: Finally, this request includes funds for the following, in support of the above activities: • Personnel, Compensation and Benefits; • Program, Resource and Data Management; • Business Operations; and, • Personnel Travel, Training and Certification. Aviation Security Capital Fund (ASCF): The FY 2017 request for PC&I Transportation Screening Operations includes the $250.0 million mandatory ASCF. The ASCF is authorized through FY 2028 through the 9/11 Act. Upon legislative approval in FY 2012 through FY 2015, TSA has used ASCF 19 funds for the procurement and installation of checked baggage equipment required for its recapitalization efforts, in addition to facility modifications. In FY 2017, TSA intends to devote the ASCF to the following: • $113.212 million to checked baggage technology procurement and installation • $86.878 million in support of OTAs • $47.060 million for technology testing, engineering, and capability enhancement initiatives • $2.850 million for program operations and management activities 20 PC&I Investment Exhibit Department of Homeland Security Transportation Security Administration Transportation Screening Operations Passenger and Baggage Screening Investment Name: Electronic Baggage Screening Program (UII Number- 024-000005670) The Electronic Baggage Screening Program (EBSP) supports the TSA mission to screen 100% of checked baggage across all Federalized airports to minimize the risk of injury or death to persons, or damage or loss of property due to terrorist or criminal activity. EBSP automates processes to detect and prevent the introduction of explosives materials, weapons, and other dangerous articles into commercial aircraft. Key objectives are: increasing threat detection capability; improving checked baggage screening efficiency; replacing EDS and ETD units; and using competitive procurement contracts for new and viable technologies. The EBSP manages the full life cycle of acquisition activities, including identifying the necessary requirements for a screening system, and testing, procuring, and deploying the equipment. The specific recapitalization needs for checked baggage screening devices are continually being assessed. The EBSP also enters into OTAs with airports and airport authorities to provide funds for airports to prepare the baggage handling facility for the security equipment that is to be purchased and installed into inline Checked Baggage Inspection Systems (CBIS). FY 2015 Revised Enacted EBSP Project Request ($000)* FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request PC&I Planning $ 31,300 $ 31,142 $ 31,634 $ 492 PC&I Acquisition $ 250,407 $ 250,000 $ 250,000 $ - PC&I Salaries $ 17,722 $ 16,338 $ 16,566 $ 228 PC&I TOTAL $ $ 720 299,429 $ PC&I Obligations** $ 358,511 PC&I Unobligated Balance** $ (59,082) PC&I Expenditures $ 322,455 297,480 $ 298,200 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. Note this is a PC&I Exhibit and is to only reflect Planning & Acquisition Costs of the Investment as the Project request with subsequent obligations, unobligated balance, and expenditures relative to Planning and Acquisition Costs. Amounts in the table include funding from the Aviation Security Capital Fund. **Obligations and expenditures are reflected in the year of obligation or expenditure so can exceed total authority levels. 21 Project request: The PC&I Appropriation funds the following activities for the EBSP: 1) Testing, procurement, deployment, and installation of checked baggage screening technologies and detection capabilities to airports nationwide; 2) Airport design and facility modification efforts associated with establishing new inline projects, as well as recapitalizing fielded equipment, to enable the deployment of new and enhanced screening capabilities; 3) Engineering initiatives to enhance detection capabilities, as well as automate and integrate equipment; 4) Efforts to address emerging IT security threats to checked baggage equipment that is connected to the TSA network at airports nationwide; and 5) Program operations support for the aforementioned activities. Quantity: TSA’s EBSP accomplishes its checked baggage security mission by managing the acquisition lifecycle of EDS and ETD machines. The table below provides a breakout of purchases from FY 2015 as well as planned checked baggage technology purchases for FY 2016 and FY 2017: Explosives Detection Systems (EDS) 75 Planned Procurements in Current Year (FY 2016)* 84 Explosives Trace Detection (ETD) 85 0 Quantity of End Units or System(s) Procurements in Prior Year (FY 2015)* Planned Procurements in Budget Year (FY 2017)* 87 0 *Includes actual/planned procurements with current year funds and available carryover funds in each year. Project Status: The EBSP is a Level 1 mixed life cycle program that provides the full scope of program support over the life of the systems. As a mixed life cycle program, the EBSP has already installed screening equipment to achieve 100 percent screening of checked baggage at airports nationwide. Since achieving the 100 percent screening mandate, the EBSP has focused on recapitalizing checked baggage screening equipment with enhanced performance and detection capabilities. The EBSP acquisitions are spread across its lifecycle, which is projected to end in FY 2027. 22 Key Milestones - FY 2015: • Initiated two OTA’s with Cleveland Hopkins International Airport (CLE) and Houston George Bush Intercontinental Airport (IAH) totaling approximately $58 million, which will support the future recapitalization of 26 EDS and will further enable detection capability enhancements, including homemade explosives detection. • Supported recapitalization efforts by procuring 85 next generation ETD machines and 75 EDS to fulfill airport requirements and ensure an increasingly effective baggage screening posture. Key Milestones - FY 2016: • Execute OTAs to initiate new inline CBIS designs and facility modifications and further promote EBSP’s recapitalization strategy. • Continue implementation and deployment of necessary cyber security measures including operating system remediation, network upgrades, and physical security enhancements. • Test and implement enhanced capabilities for homemade explosives (HME) detection. Key Milestones - FY 2017: • Begin replacement of Morpho Detection CTX-5500 EDS equipment. • Initiate deployment of RBS-related equipment and system modifications to enable communications among various components of the CBIS, including the tag readers and baggage sorting controllers. • Implement EDS Capability Procurement II (EDS-CP2) through initiation of an incremental capability improvement strategy and initial procurement of capability enhancements for current EDS fleet. 23 PC&I Investment Exhibit Department of Homeland Security Transportation Security Administration Transportation Screening Operations Passenger and Baggage Screening Investment Name: Passenger Screening Program (UII Number- 024-000005612) The Passenger Screening Program (PSP) identifies, tests, procures, deploys, and sustains equipment to detect threats concealed on people and in their carry-on items as they enter the airport terminal sterile area through the passenger screening checkpoints. The PSP is composed of multiple, distinct technology projects with mixed life cycle phases, all integrated to make up PSP’s three capability areas comprised of: 1) people screening, 2) carry-on baggage screening, and 3) layered security. While increasing screening effectiveness, this investment also balances other operational considerations such as maximizing checkpoint efficiency; mitigating privacy and dignity concerns; maintaining operational affordability; reducing security risk; and addressing deployment, maintenance, and other equipment life cycle issues. FY 2015 Revised Enacted PSP Project Request ($000)* FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request PC&I Planning $ 10,500 $ 10,500 $ 10,500 $ PC&I Acquisition $ 55,865 $ 79,523 $ 83,500 $ 3,977 PC&I Salaries $ 8,468 $ 7,375 $ 7,477 $ 102 PC&I TOTAL $ 74,833 $ 4,079 PC&I Obligations** $ 129,023 PC&I Unobligated Balance** $ (54,190) PC&I Expenditures $ 85,448 $ 97,398 $ 101,477 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. Note this is a PC&I Exhibit and is to only reflect Planning & Acquisition Costs of the Investment as the Project request with subsequent obligations, unobligated balance, and expenditures relative to Planning and Acquisition Costs. **Obligations and expenditures reflected in the year of obligation or expenditure so can exceed total authority levels. 24 - Project Request: The PC&I Appropriation funds the following activities for the PSP: 1) Testing, procurement, deployment, and installation of checkpoint screening technologies and detection capabilities to airports nationwide; 2) Engineering initiatives to enhance detection capabilities, as well as automate and integrate equipment; 3) Efforts to strengthen the IT security posture of the checkpoint screening equipment that is connected to the TSA network at airports nationwide; and 4) Program operations support for the aforementioned activities. Quantity: The PSP accomplishes its security mission by managing the acquisition lifecycle of various checkpoint screening technology systems. The table below provides a breakout of purchases by screening technology type in FY 2015, as well as planned purchases for FY 2016 and FY 2017: Advanced Imaging Technology (AIT) 61 Planned Procurements in Current Year (FY 2016)** 7 Advanced Technology X-ray (AT) 55 14 296 Boarding Pass Scanner (BPS) 625 187 0 Credential Authentication Technology (CAT) 4 1,100 0 Enhanced Metal Detector (EMD) 0 0 70 Explosives Trace Detection (ETD) 1,085 21 0 Quantity of End Units or System(s)* Procurements in Prior Year (FY 2015)** Planned Procurements in Budget Year (FY 2017)** 0 *Table only reflects the types of checkpoint screening equipment that were procured in Prior Year and that are planned for procurement in the Current and Budget years. Therefore, this table does not reflect all checkpoint screening technologies found at airports nationwide. **Includes actual/planned procurements with current year funds and available carryover funds in each year. 25 Project Status: The PSP is a Level 1 mixed life cycle program that provides the full scope of program support over the life of the systems. The PSP acquisitions are spread across its life cycle, which is projected to end in FY 2026. Key Milestones - FY 2015: • Awarded a contract to purchase and install 55 additional AT units, which will support operational requirements and improve operational efficiency. This procurement enabled TSA to replace aging TRX X-ray carry-on baggage screening systems, which lack the enhanced functionality offered by AT X-ray systems. • Awarded a contract for AIT tier III algorithm development that supports the AIT targeted threat algorithm development effort. This effort will help to address DHS Office of Inspector General (OIG) covert testing findings by improving TSA’s ability to detect anomalies in targeted areas of the body. • Procured and deployed 625 new BPS to 108 airports nationwide. The scanners replaced airline owned systems and allowed TSA to control the configuration of all deployed BPS units at airport security checkpoints nationwide. Key Milestones - FY 2016: • Deploy the 55 AT units that were procured in the previous year, which will support operational requirements and improve operational efficiency. • Award a contract for Smiths AT Tier II algorithm operational testing and deployment. This investment will provide TSA with an overall enhanced capability of finding threats and mitigating the risk to the traveling public. The algorithm is designed to increase the TSO’s ability to find prohibited items and ensure greater consistency of applying resolution protocols. • Complete test and evaluation of the AIT Tier III algorithm. Key Milestones - FY 2017: • Award a contract for Rapiscan AT Tier II algorithm operational testing and deployment. This investment will provide TSA with an overall enhanced capability of finding threats and mitigating the risk to the traveling public. The algorithm is designed to increase the TSO’s ability to find prohibited items and ensure greater consistency of applying resolution protocols. • Complete QT&E and OT&E of the AIT Tier III algorithm. • Deploy the AIT Tier III algorithm to AITs located in TSA airport security checkpoints nationwide. 26 PC&I Investment Exhibit Department of Homeland Security Transportation Security Administration Transportation Screening Operations Passenger and Baggage Screening Investment Name: Security Technology Integrated Program (UII Number- 024-000005624) The Security Technology Infrastructure Program (STIP) is a TSA data information technology program that connects all TSE to a single network, enabling two-way exchange of information. STIP provides a dynamic, adaptable communications infrastructure that facilitates the transfer of information to and from fielded TSE. STIP will meet information collection, retrieval, and dissemination requirements of the PSP and the EBSP, and address potential areas of improvement within operations and maintenance for TSE. FY 2015 Revised Enacted STIP Project Request ($000)* FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request PC&I Planning $ 786 $ 785 $ 801 $ 16 PC&I Acquisition $ 8,882 $ 8,940 $ 8,365 $ (575) PC&I Salaries $ 754 $ 1,077 $ 1,112 $ 35 PC&I TOTAL $ $ (524) 10,422 PC&I Obligations** $ 18,189 PC&I Unobligated Balance** $ (7,767) PC&I Expenditures $ 22,332 $ 10,802 $ 10,278 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. Note this is a PC&I Exhibit and is to only reflect Planning & Acquisition Costs of the Investment as the Project request with subsequent obligations, unobligated balance, and expenditures relative to Planning and Acquisition Costs. **Obligations and expenditures are reflected in the year of obligation or expenditure so can exceed total authority levels. Project Request: The PC&I Appropriation funds the following activities for the STIP: 1) System build-out, including development and deployment of software application suites, algorithms, and upgrades that enable fielded TSE to communicate with the STIP Enterprise Manager; 27 2) Development of the Service Management Application (SMA) that automates current TSE configuration management processes; 3) Efforts to address emerging IT security threats; and 4) Program operations support for the aforementioned activities. Quantity: N/A - STIP is an information technology system/program. The program does not purchase or own TSE. All TSE is procured, installed, and maintained by the PSP and EBSP. Project Status: The STIP is a Level 2 mixed life cycle program that provides the full scope of program support over the life of the systems. The STIP acquisitions are spread across its life cycle, which is projected to end in FY 2026. Key Milestones - FY 2015: • Released STIP Enterprise Mission Manager (STEMM) 3.1 and 3.2, which connects STIP servers and fielded TSE via a standards-based, government-owned custom software solution. This enabled TSA to move away from using a third party licensed software solution. • Across nine airports of varying locations and sizes, retrofitted 200 CEIA Walk-through Metal Detectors (WTMDs) with a customized STIP-enablement solution to meet evolving TSA network and IT cyber security requirements. Upon successful completion of operational testing, TSA will begin work to deploy the STIP solution to the full WTMD fleet. • In response to emerging cyber security concerns, formulated minimum baseline cybersecurity requirements for TSE. This will enable TSA to begin planning how to execute IT Security requirement changes on specific TSE. Key Milestones - FY 2016: • Award a new contract to enhance capabilities for the STIP Application Suite. This contract will enable TSA to add new functionalities and/or improve existing ones to support operational efficiency and risk-based security. • Award the new SMA contract, which is expected to enhance STIP capabilities by adding new functionalities and/or improving existing ones in order to support configuration change management and asset tracking for fielded TSE. • Procure additional CISCO Identity Services Engine (ISE) licenses and next generation firewall. This will support the reengineering of the back-end STIP network architecture into discrete and logically isolated segmentation in order to enhance cybersecurity to the overall TSA network. 28 Key Milestones - FY 2017: • Transition STIP physical testing environments to the cloud to achieve higher reliability, availability, and performance while reducing the need for direct technical maintenance and dedicated federal resources. • Remediate cybersecurity vulnerabilities across different types of fielded TSE to facilitate connectivity to the STIP network. • Develop backend network capability to make passenger biometrics available to designated TSE in near real-time, which will enhance risk-based security. 29 Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Transportation Screening Operations Vetting Programs FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Vetting Programs Budget Year Transfer In from Intelligence and Vetting - Other Vetting Programs FY 2017 Request 30 Positions FTE Amount - - 6,300 6,300 Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Transportation Screening Operations Vetting Programs Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Appropriation - Vetting Programs FY 2017 Non- Pay Cost Drivers (greatest-least) Technology Infrastructure Modernization (TIM) $4,100 Total $4,100 $4,100 $4,100 $6,300 $6,300 FY 2016 to FY 2017 Change $2,200 $2,200 * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. SUB-PPA JUSTIFICATION: The FY 2017 request includes funding for the Technology Infrastructure Modernization (TIM) Program. Funding in this appropriation will be used to add the TSA Pre® Application Program population to the TIM system. 31 PC&I Investment Exhibit Department of Homeland Security Transportation Security Administration Transportation Screening Operations Investment Name: Technology Infrastructure Modernization (UII Number- 024-000005664) The Technology Infrastructure Modernization (TIM) System will provide an integrated, end-to-end solution to manage identities, credentials, and assessment results for millions of transportation workers, providing more accurate and timely identification of terrorist threats. TIM will provide a service oriented architecture framework, mission services, and service capabilities. FY 2015 Revised Enacted TIM Project Request ($000)* FY 2016 Enacted - $ PC&I Acquisition $ PC&I Salaries $ - $ - $ - $ - PC&I TOTAL $ 4,100 $ 4,100 $ 6,300 $ 2,200 PC&I Obligations $ 4,100 PC&I Unobligated Balance $ PC&I Expenditures $ $ 4,100 $ FY 2016 to FY 2017 Change PC&I Planning 4,100 $ FY 2017 Request $ 6,300 $ $ 2,200 4,100 * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only. Note this is a PC&I Exhibit and is to only reflect Planning & Acquisition Costs of the Investment as the Project request with subsequent obligations, unobligated balance, and expenditures relative to Planning and Acquisition Costs. Project Request: The TIM program will be completing a DHS Technical Assessment at the end of FY 2016 and starting the capabilities that are associated with onboarding and vetting of the Pre® population for FY 2017. 32 Quantity: There are no severable items for the TIM program in PC&I; all system procurement vehicles are cost-based contracts defined as non­ severable contracts. Project Status: The TIM program is currently executing a series of releases that are associated with fixing issues identified through the operational test. At the same time, TIM is assisting DHS CIO in an overall technical assessment to determine the best technical approach moving forward. The current assessment is scheduled to be completed at the end of the 2nd quarter of FY 2016 with an Acquisition Review Board (ARB) at the end of FY 2016. At the start of FY 2017, the program anticipates all operational test issues will be fixed, and the TIM system will be capable of adding additional populations. Pending the results of the DHS/TSA Technical Assistance Integrated Program Team (IPT), the program anticipates that TIM will begin modifications of the system to incorporate the Pre® Application Program capability with additional populations to follow. Key Milestones - FY 2015: • Self-identified cost and schedule breach for TIM procurement and issued a stop-work order to the vendor • Developed and executed a strategy to address operational test issues • Continued the O&M of the TWIC vetting and credentialing functionality and successfully issued TWIC cards Key Milestones - FY 2016: • End of 2nd Quarter FY 2016 completion of DHS Technical Assistance IPT to determine the best technical approach for the TIM program while nearing the issuance of one million TWIC cards during this timeframe • Anticipated DHS ARB to take place September 30, 2016 • Successful Operational Testing Key Milestones - FY 2017: • Award new task order for Pre® population integration • Completion of Pre® population and onboarding 33 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Justification of Proposed Legislative Language For necessary procurement, construction, and improvement expenses of the Transportation Security Administration pursuant to the Aviation Transportation Security Act (Public Law 107-71; Stat.597; 49 U.S.C. 40101 note), $206,093,000 to remain available until September 30, 2019; Provided, That, notwithstanding section 44923 of title 49, United States Code, for fiscal year 2017, any funds in the Aviation Security Capital Fund established by section 44923(h) of title 49, United States Code, may be used for the procurement and installation of explosives detection systems or for the issuance of other transaction agreements for the purpose of funding projects described in section 44923(a) of such title: Provided further, That, not later than 90 days after the date of enactment of this Act, the Secretary of Homeland Security shall submit to the Committees on Appropriations of the Senate and the House of Representatives a detailed report on— (1) the Department of Homeland Security efforts and resources being devoted to develop more advanced integrated passenger screening technologies for the most effective security of passengers and baggage at the lowest possible operating and acquisition costs, including projected funding levels for each fiscal year for the next 5 years or until project completion, whichever is earlier; (2) how the Transportation Security Administration is deploying its existing passenger and baggage screener workforce in the most cost effective manner; and (3) labor savings from the deployment of improved technologies for passenger and baggage screening, including high-speed baggage screening and how those savings are being used to offset security costs or reinvested to address security vulnerabilities: Explanation of Proposed Change The legislative language associated with this account has been updated and streamlined to reflect the Department’s new Common Appropriations Structure. Funding amounts have been updated to reflect the FY 2017 President’s Budget. 34 Exhibit F. Summary of Fee Collections and Carryover 35 Exhibit G. Summary of Reimbursable Resources 36 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 37 Exhibit I. Capital Investment and Construction Initiative Listing Department of Homeland Security Transportation and Security Administration Procurement, Construction and Improvements Capital Investment and Construction Initiative Listing INITIATIVE NAME ($ in Thousands) FY 2017 BUDGET Current Services New Initiative Total FUNDING FROM: PC&I Appropriation - Transportation Screening Operations PPA: $298,200 Initiative #1 Electronic Baggage Screening Program (EBSP) $499,267 $0 $499,267 O&S Appropriation - Transportation Screening Operations PPA: $198,567 R&D Appropriation - Transportation Screening Operations PPA: $2,500 PC&I Appropriation - Transportation Screening Operations PPA: $101,477 Initiative #2 Passenger Screening Program (PSP) $185,910 $0 $185,910 O&S Appropriation - Transportation Screening Operations PPA: $81,933 R&D Appropriation - Transportation Screening Operations PPA: $2,500 Total Non-IT Investment Total of IT Investments Total all IT and Non-IT Investments $685,177 $0 $685,177 $0 $0 $0 $685,177 $0 $685,177 38 INITIATIVE #1 TSA – ELECTRONIC BAGGAGE SCREENING PROGRAM (EBSP) 1. Project Description, Justification and Scope The Electronic Baggage Screening Program (EBSP) supports the development, testing, procurement, deployment, and lifecycle management of checked baggage TSE screening technologies. The program directly supports TSA’s goals of protecting the transportation system from dangerous people and items that threaten its security, managing risks to critical transportation infrastructure, and strengthening the TSA’s operations and management. EBSP increases threat detection capabilities, improves checked baggage screening efficiency, and delivers new technologies to the field. The EBSP also involves efforts studying the integration of new technologies into existing systems to ensure operational effectiveness and suitability prior to full system production and deployment. EBSP conducts and participates in: • Testing and operational assessments in support of mission area analyses, concept of operations development and workforce characterization • Operational testing and evaluation as part of the acquisition process for items to be procured by TSA. 2. Significant Changes In FY 2017, EBSP is developing new algorithms that will more reliably detect homemade explosive formulations in checked baggage while also reducing false alarm rates. In coordination with our partners in DHS and industry, TSA is working to certify, qualify and implement improved algorithms on both in-service EDS as well as new systems currently under development. 39 3. Project Schedule ($ in Thousands) Fiscal Quarter and Year Projects $ in Thousands Project Start Project Complete (FY02-FY14) Planning Q1 2002 Q4 2015 $442,063 $332,516 (FY02-FY14) Acquisition Q1 2002 Q4 2015 $7,793,761 $7,846,815 (FY02-FY14) Maintenance Q1 2002 Q4 2015 $2,344,839 $2,237,272 (FY02-FY14) Personnel Cost and Benefits Q1 2002 Q4 2014 $105,729 $92,083 (FY15) Planning Q1 2015 Q4 2016 $33,800 $93,243 (FY15) Acquisition Q1 2015 Q4 2016 $250,407 $251,792 (FY15) Maintenance Q1 2015 Q4 2016 $172,857 $204,068 (FY15) Personnel Cost and Benefits Q1 2015 Q4 2015 $17,722 $17,300 (FY16) Planning Q1 2016 Q4 2017 $33,642 $2,938 (FY16) Acquisition Q1 2016 Q4 2017 $250,000 $5,254 (FY16) Maintenance Q1 2016 Q4 2017 $193,719 $1,118 (FY16) Personnel Cost and Benefits Q1 2016 Q4 2016 $16,338 $4,203 (FY17) Planning Q1 2017 Q4 2018 $34,134 - (FY17) Acquisition Q1 2017 Q4 2018 $250,000 - (FY17) Maintenance Q1 2017 Q4 2018 $198,567 - (FY17) Personnel Cost and Benefits Q1 2017 Q4 2017 $16,566 - $12,154,144 $11,088,602 TOTAL *Reflects obligations as of December 30, 2015. Amounts may include de-obligations to prior year contracts. 40 Total Estimated Completion Cost Total Project Cost to Date* 4. Schedule of Project Funding ($ in Thousands) Projects Prior (FY 2002- FY 2014) Planning FY 2015 FY 2016 FY 2017 Total $442,063 $33,800 $33,642 $34,134 $543,639 Acquisition $7,793,761 $250,407 $250,000 $250,000 $8,544,168 Maintenance $2,344,839 $172,857 $193,719 $198,567 $2,909,982 $105,729 $17,722 $16,338 $16,566 $156,355 $10,686,392 $474,786 $493,699 $499,267 $12,154,144 Salaries and Benefits TOTAL 5. Cost Estimate Detail and Changes ($ in Thousands) Description of Milestone (FY02-FY15) Perform program management in accordance with the final strategic plan; execute engineering initiatives for continuous quality and improvements; perform facility modification, purchase of EDS, and installation of EDS for Airport Optimal Solutions utilizing final strategic plan; and perform operations and maintenance utilizing strategic plan. Planned Total Cost Actual Total Cost $11,161,178 $11,075,089 Explanation of Difference Airport scheduling delays slowed deployment of equipment, and acquisition of EDS equipment delayed due to competitive award. 6. Method of Performance EBSP is currently in a mixed acquisition life cycle phase, focusing predominately on the produce/deploy/support phase of the acquisition process. Operational performance is measured based on the following criteria: • 100 percent electronic screening of checked baggage for explosives at all commercial airports nationwide • Percent of checked baggage screened with EDS that maximize security, effectiveness, and efficiency 41 • • • Cost per bag screened Operational availability of baggage screening equipment Customer satisfaction 7. Related Annual Funding Requirements Not applicable - all annual operating, support and maintenance costs are included in the program cost estimates. 8. Budget Allocation to Programs ($ in Thousands) Allocated Budget Appropriation/PPA* FY 2016 PC&I Appropriation - Transportation Screening Operations PPA O&S Appropriation - Transportation Screening Operations PPA R&D Appropriation - Transportation Screening Operations PPA FY 2017 $297,480 $193,719 $2,500 $298,200 $198,567 $2,500 TOTAL $493,699 $499,267 * While these Appropriations and PPAs also support other TSA investment (e.g., STIP and PSP) and non-investment programs (e.g., ASP), the table above only reflects funds that support the EBSP. 9. Compliance with applicable Public Laws, Regulations, Standards and Executive Orders This program is mandated under the Aviation and Transportation Security Act (P.L. 107-71) which requires 100% screening of checked baggage by EDS or an equivalent standard. 42 INITIATIVE #2 TSA – PASSENGER SCREENING PROGRAM (PSP) 1. Project Description, Justification and Scope The Passenger Screening Program (PSP) assists TSOs in denying entry to potential threats directed against the air transportation network. PSP identifies and evaluates risks to passenger screening checkpoints and helps mitigate threats to air travel infrastructure PSP program objectives include: • Increasing detection, • Limiting false alarms, • Enhancing efficiency, • Consolidating equipment footprint, and • Implementing the capability to allow centralized results monitoring in support of checkpoint staffing reductions. Current PSP technologies that have been tested, procured and deployed include: • AIT with Automated Target Recognition (ATR) capability; • AT-2 X-ray; • BPS; • BLS; • EMD; and, • ETD 2. Significant Changes In FY 2017, TSA will invest in an enhanced Tier II algorithm for checkpoint x-ray image analysis to increase the TSO’s ability to find prohibited items, improve TSO efficiency in finding those items, and ensure greater consistency of applying resolution protocols. 43 3. Project Schedule ($ in Thousands) Project Start Project Complete* (FY02 – FY14) Planning and Testing Q1 2002 Q4 2015 $89,791 $135,767 (FY02 – FY14) Procurement and Deployment Q1 2002 Q4 2015 $1,736,120 $1,571,059 (FY02 – FY14) Operations and Support (Maintenance & Disposal) Q1 2002 Q4 2015 $574,147 $505,179 (FY02 – FY14) Personnel Cost and Benefits Q1 2002 Q4 2015 $46,166 $38,324 (FY15) Planning and Testing Q1 2015 Q4 2016 $13,000 $4,140 (FY15) Procurement and Deployment Q1 2015 Q4 2016 $55,865 $45,776 (FY15) Operations and Support (Maintenance & Disposal) Q1 2015 Q4 2016 $85,317 $81,028 (FY15) Personnel Cost and Benefits Q1 2015 Q4 2015 $8,468 $7,436 (FY16) Planning and Testing Q1 2016 Q4 2017 $13,000 $0 (FY16) Procurement and Deployment Q1 2016 Q4 2017 $79,523 $2,971 (FY16) Operations and Support (Maintenance & Disposal) Q1 2016 Q4 2017 $86,790 $0 (FY16) Personnel Cost and Benefits Q1 2016 Q4 2016 $7,375 $1,829 (FY17) Planning and Testing Q1 2017 Q4 2018 $13,000 $0 (FY17) Procurement and Deployment Q1 2017 Q4 2018 $83,500 $0 (FY17) Operations and Support (Maintenance & Disposal) Q1 2017 Q4 2018 $81,933 $0 (FY17) Personnel Cost and Benefits Q1 2017 Q4 2017 $7,477 $0 $2,981,472 $2,393,509 Projects TOTAL *Reflects obligations as of January 5, 2015. Amounts may include de-obligations to prior year contracts. 44 Total Estimated Completion Cost Total Project Cost to Date* 4. Schedule of Project Funding ($ in Thousands) Projects Planning and Testing Prior (FY 2002–FY 2014) $89,791 FY 2015 FY 2016 FY 2017 Total $13,000 $13,000 $13,000 $128,791 Procurement and Deployment Operations and Support (Maintenance & Disposal) Personnel Cost and Benefits $1,736,120 $55,865 $79,523 $83,500 $1,955,008 $574,147 $85,317 $86,790 $81,933 $828,187 $46,166 $8,468 $7,375 $7,477 $69,486 TOTAL $2,446,224 $162,650 $186,688 $185,910 $2,981,472 5. Cost Estimate Detail and Changes Description of Milestone Planned Total Cost ($ in Thousands) Actual Total Cost Procurement and Deployment (FY06) $93,220 $82,732 Procurement and Deployment (FY11) $288,888 $252,461 $75,821 $26,717 $166,971 $117,438 Operations and Support (Maintenance) (FY14) Procurement and Deployment (FY12) *Only significant differences are listed. 6. Method of Performance Program performance will be measured based on the following criteria: • Cost Per Passenger Screened • Percent of Operational Availability • Percent of Available Passengers Screened by AIT • Percent of Checkpoint Lanes with AIT Coverage • Percent of Checkpoint Lanes with AT Coverage • Customer Survey 45 Explanation of Difference Program received quantity discount and awards lower than estimate; funds reallocated between activities Funds were reallocated between programs and activities Less deployments; funds reallocated to other maintenance requirements Funds were reallocated between programs and activities 7. Related Annual Funding Requirements Not applicable - all annual operating, support and maintenance costs are included in the program cost estimates. 8. Budget Allocation to Programs ($ in Thousands) Allocated Budget Appropriation/PPA* FY 2016 PC&I Appropriation - Transportation Screening Operations PPA O&S Appropriation - Transportation Screening Operations PPA R&D Appropriation - Transportation Screening Operations PPA FY 2017 $97,398 $86,790 $2,500 $101,477 $81,933 $2,500 TOTAL $186,688 $185,910 *While these Appropriations and PPAs also support other TSA investment (e.g., STIP and EBSP) and non-investment programs (e.g., ASP), the table above only reflects funds that support the PSP. 9. Compliance with applicable Public Laws, Regulations, Standards and Executive Orders This program is mandated under ATSA, which requires screening of all passengers and property including carry-on baggage and other articles that will be carried aboard a passenger aircraft. 46 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Other Compensation Benefits $21,159 $454 $7,408 $29,021 $20,409 $454 $6,053 $26,916 $20,828 $454 $6,053 $27,335 $419 $419 $1,468 $573 $145 $275,319 $311 $6,133 $1,673 $863 $402 $142 $112,689 $399,718 $1,468 $573 $145 $288,324 $311 $6,133 $1,673 $863 $402 $142 $122,774 $422,808 $1,468 $573 $145 $294,274 $311 $6,133 $1,673 $863 $402 $142 $122,774 $428,758 $5,950 $5,950 $428,739 $449,724 $456,093 $6,369 $428,739 $449,724 $456,093 $6,369 Other Object Classes 21.0 Travel and Transportation of Persons 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total, Direct Obligations Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 47 Exhibit K. Object Class Breakout by PPA Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Transportation Screening Operations Passenger and Baggage Screening Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Other Compensation Benefits $21,159 $454 $7,408 $29,021 $20,409 $454 $6,053 $26,916 $20,828 $454 $6,053 $27,335 $419 $419 $1,468 $573 $145 $271,219 $311 $6,133 $1,673 $863 $402 $142 $112,689 $395,618 $1,468 $573 $145 $284,224 $311 $6,133 $1,673 $863 $402 $142 $122,774 $418,708 $1,468 $573 $145 $287,974 $311 $6,133 $1,673 $863 $402 $142 $122,774 $422,458 $3,750 $3,750 Total, Direct Obligations $424,639 $445,624 $449,793 $4,169 Total Requirements $424,639 192 $445,624 177 $449,793 177 $4,169 - Other Object Classes 21.0 Travel and Transportation of Persons 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 48 Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Transportation Screening Operations Vetting Programs Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits Total, Personnel and Other Compensation Benefits - - - - 25.1 Advisory and Assistance Services Total, Other Object Classes $4,100 $4,100 $4,100 $4,100 $6,300 $6,300 $2,200 $2,200 Total, Direct Obligations $4,100 $4,100 $6,300 $2,200 $4,100 - $4,100 - $6,300 - $2,200 - Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only 49 Exhibit L. Permanent Positions by Grade Department of Homeland Security Transportation Security Administration Procurement, Construction, and Improvements Permanent Positions by Grade FY 2017 Request Grades and Salary Range Pos. Total, SES 2 L Band 6 K Band 22 J Band 103 I Band 37 H Band 17 B Band 1 Total Permanent Positions 188 Unfilled Positions EOY 8 Total Permanent Employment EOY 180 Headquarters 188 Total, Procurement, Construction, and Improvements: 188 Full Time Equivalents 177 Average ES Salary - Average GS Salary - Average Grade - 50 Exhibit M. Changes in Full Time Employment FY 2015 Increases FY 2016 FY 2017 177 Transfer In From Aviation - Air Cargo 5 Transfer In from Aviation - Checkpoint Support 57 Transfer In from Aviation - EDS Procurement and Installation 115 Decreases Year End Actuals/Estimated FTEs: 177 51 Department of Homeland Security Departmental Management and Operations Transportation and Security Administration Research and Development Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits............................................................................................ 1 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level............................................. 1 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ............................................................................... 3 C. FY 2017 Investment Summary - Appropriation Level ......................................................................................... 4 Schedule II – Program, Project, Activity (PPA) Exhibits.................................................................................................. 5 Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level.................................................................................... 5 Schedule III – Other Exhibits........................................................................................................................................... 11 Exhibit E. Justification of Proposed Legislative Language...................................................................................... 11 Exhibit F. Summary of Fee Collections and Carryover ........................................................................................... 12 Exhibit G. Summary of Reimbursable Resources ................................................................................................... 13 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity .......................................... 14 Exhibit I. Capital Investment and Construction Initiative Listing............................................................................ 15 Exhibit J. Object Class Breakout by Appropriation ................................................................................................. 16 Exhibit K. Object Class Breakout by PPA ............................................................................................................... 17 Exhibit L. Permanent Positions by Grade................................................................................................................. 18 Exhibit M. Changes in Full Time Employment........................................................................................................ 19 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security Transportation Security Administration Research and Development Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity Transportation Screening Operations Passenger and Baggage Screening Transportation Screening Operations Transportation Assessment and Enforcement Transportation Assessment and Enforcement Total, Research and Development FY 2015 FY 2016 Revised Enacted1 Enacted POS FTE Amount POS FTE Amount POS $5,000 $5,000 $5,000 $5,000 $5,000 $5,000 - FY 2017 Increase(+) or Decrease(-) for FY Request Total Changes FTE Amount POS FTE Amount $5,000 $5,000 $5,000 - Subtotal, Enacted Appropriations & Budget Estimates $5,000 $5,000 $5,000 Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: $5,000 $5,000 $5,000 1Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission. * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. Overview Research and Development (R&D) funds necessary operations, mission support, and associated costs to facilitate the following mission programs: • Transportation Screening Operations: This PPA consists of R&D activities in support of TSA’s passenger, baggage, and air cargo screening functions. There are no changes from base funding in this PPA. R&D is typically categorized in one of the following: 1 • Basic Research – systematic study to gain knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications toward processes or products in mind. • Applied Research – systematic study to gain knowledge or understanding necessary for determining the means by which a recognized and specific need may be met. • Development – systematic use of the knowledge and understanding gained from research for the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes. TSA’s efforts within the R&D appropriation usually involve inter-agency agreements with established research organizations, such as the DHS Science and Technology Directorate, the Department of Energy, the Naval Sea Systems Command, and other federally funded research and development centers (FFRDCs). As part of the Consolidated Appropriation Structure effort, TSA will conduct an in-depth agency-wide review of contracts and inter-agency agreements that fit within the DHS definitions and guidelines of R&D activities. 2 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security Transportation Security Administration Research and Development FY 2016 to FY 2017 Budget Change (Dollars in Thousands) Adjustments-to-Base Pos. FTE Amount - - $10,000 - - $2,500 $2,500 $5,000 $5,000 $5,000 $5,000 Transfers to and from other accounts: Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request 3 C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security Transportation Security Administration Operations and Support FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) Passenger and Baggage Screening Passenger and Baggage Screening Electronic Baggage Screening Program Passenger Screening Program Total FY 2015 Revised Enacted FY 2017 Request $2,500 $2,500 $2,500 $2,500 $5,000 $2,500 $5,000 $2,500 $5,000 * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. 4 FY 2016 Enacted Schedule II – Program, Project, Activity (PPA) Exhibits Exhibit D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security Transportation and Security Administration Research and Development Transportation Screening Operations FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Transportation Screening Operations Current Services Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Budget Year FY 2017 Request Positions - FTE - Amount 2,500 - - 2,500 5,000 PPA DESCRIPTION: This PPA funds R&D that supports the screening of passengers and their baggage before entering the sterile area of an airport, as well as the screening of air cargo and TSA’s various vetting programs. TSA’s Transportation Security Officers (TSOs) screen approximately 695 million passengers and nearly 2 billion carry-on and checked bags per year. To increase security effectiveness, this PPA is focused on developing screening capabilities and technologies which are more effective, adaptive, and flexible, enhancing TSA’s ability to react to changes in the threat environment. 5 Department of Homeland Security Transportation Security Administration Transportation Screening Operations Cost Drivers (Non-Pay) - PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Transportation Screening Operations FY 2017 Non- Pay Cost Drivers Open Threat Assessment Platform (OTAP) System Architecture $5,000 Total $5,000 $5,000 $5,000 FY 2016 to FY 2017 Change $5,000 $5,000 - * FY 2015 and FY 2016 funding levels reflect the CAS structure and are for comparison purposes only NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • FY 2017 Non-Pay Cost Driver - Open Threat Assessment Platform System Architecture: The FY 2017 request of $5.0 million is TSA’s most current estimate of the amount it will devote in the budget year to the Open Threat Assessment Platform (OTAP) System Architecture development. This represents no change from FY 2016. 6 FY 2016 to FY 2017 Budget Change- Sub-PPA Level Summary Tables of Sub-PPA Department of Homeland Security Transportation and Security Administration Research and Development Transportation Screening Operations Passenger and Baggage Screening FY 2016 to FY 2017 Budget Change- Sub-PPA Level (Dollars in Thousands) Passenger and Baggage Screening Current Services Transfer In from Aviation - Checkpoint Support Transfer In from Aviation - EDS Procurement and Installation Budget Year FY 2017 Request 7 Positions - FTE - Amount 2,500 - - 2,500 5,000 Department of Homeland Security Transportation Security Administration Research and Development Transportation Screening Operations Passenger and Baggage Screening Cost Drivers (Non-Pay) – Sub-PPA Level ($000s) 2015 Revised 2016 Enacted 2017 Request Enacted Passenger and Baggage Screening FY 2017 Non- Pay Cost Drivers (greatest-least) Open Threat Assessment Platform (OTAP) System Architecture $5,000 $5,000 $5,000 Total $5,000 $5,000 $5,000 * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. FY 2016 to FY 2017 Change - SUB-PPA JUSTIFICATION: Research and Development Contracts/Interagency Agreements: In FY 2017 TSA will engage with R&D partners in the development of innovative systems and risk capabilities. The FY 2017 Budget request will support an IAA with the Department of Energy National Nuclear Security Administration Sandia National Laboratories for the continued development of the Open Threat Assessment Platform (OTAP) baseline-prototype. Project Description: Open Threat Assessment Platform System Architecture – FY 2015: $5 million FY 2016 Enacted: $5 million FY 2017 Request: $5 million Current transportation security screening systems are highly complex and proprietary with little data, image or interface standardization. As a result, TSA must depend on the equipment manufacturer and existing contracting mechanisms for software, algorithm, component or operational upgrades. This impacts TSA’s ability to innovate and to respond to emerging and evolving threats. OTAP is a prototype open architecture system that includes the hardware and software necessary to make data, images, and user-interfaces accessible at each step of the checkpoint and baggage screening process. These accessible components will allow transportation security vendors to provide innovative solutions, such as a sensor or algorithm, for equipment made by other vendors. OTAP will enable standard interfaces to be established, meaning different vendors’ Transportation Screening Equipment (TSE) will be able to communicate with each other – such as passing scan data from one vendor’s x-ray to another vendor’s threat-detection algorithm. By laying the foundation for the standardization of data and interfaces, a strengthened threat detection market, and dynamic risk-based screening, TSA will be able to increase detector sensitivity and close the gap between its own and adversary innovation cycles. Once accessible interfaces are implemented for checkpoint and baggage x-ray systems and the technical and business processes have been proved-out, the knowledge gained from this prototyping effort will be applied to other security screening technologies, including Explosives Detection System (EDS), Advanced Imaging Technology (AIT), Credential Authentication Technology (CAT), and Explosives Trace Detection (ETD). 8 Prior Year Key Events • • • • Reviewed open-platform requirements. Conducted analysis of TSE to determine the best subcomponents to segment into modules. Drafted interfaces for moving information within these TSE modules. Developed a plan for integrating modules in a prototype cabinet x-ray system. This plan identifies major steps that must be taken to create an operational prototype. Current Year Key Events • Develop initial “alpha” Open-Platform Software Library (OPSL), the middleware that will implement the accessible interface protocols in an Application Program Interface • Implement OPSL on prototype TSE, providing compliant cyber-secure software for implementing major TSE functions and passing data between TSE subcomponents. • Verify OPSL is capable of being implemented on future TSE. • Develop components that are compliant with OPSL interface specifications. • Develop database for organizing and labeling features of data from security screening sensors. • Identify best-practices for the development of a future graphical user interface (GUI) module. • Initiate development of GUI module. Budget Year Key Events • Create a baseline x-ray scanning system with an open architecture and validate basic system software and APIs are capable of undergoing field testing. • Finish development of OPSL-compliant prototype GUI. • Develop system simulator for faster testing of prototype threat-detection algorithms. • Begin integrating next-generation hardware and software components into an initial prototype. Funding History ($ in Thousands) FY 2011-FY 2014** N/A FY 2015 $5,000 FY 2016 $5,000 * FY 2015 and FY 2016 funding levels reflect the FY 2017 CAS structure and are for comparison purposes only. ** OTAP began in FY 2015, so there is no prior year funding to report. Project Schedule Including Milestones Planned activities and milestones include: • While concurrently working on an initial prototype, begin work on a first revision of the prototype for planned completion in FY 2018. • Continue work on a human-factors optimized GUI for incorporation in the first revision of the initial prototype in FY 2018. 9 • If partnerships with hardware and software vendors proceed successfully, initiate development of further revisions to the initial prototype that incorporate next-generation hardware and software. Projected completion of these revisions is in FY 2018 and 2019. Delayed Milestones • N/A Type of Research OTAP is categorized as developmental research: systematic use of the knowledge and understanding gained from research for the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes. Technical Readiness Level (TRL) According to the Technology Readiness Scale (shown in the following chart), this project will develop interface protocols in a lab environment (TRL 4) and implement them on a prototype that moves progressively through TRL 5 and 6 to an operational environment (TRL 7). Procurement, Construction, and Improvements Research and Development Basic Research Technology Readiness Level-1 Basic Principles Observed/ Reported Technology Readiness Level-2 Technology Concept/ application formulated Applied Research Technology Readiness Level-3 Critical Function or Characteristic proof of concept Technology Technology Development Demonstration Technology Technology Technology Readiness Readiness Readiness Level-4 Level-5 Level-6 Validation in Validation in System lab Relevant Prototypes in Environment Environment relevant environment System Development Technology Readiness Level-7 System Prototypes in operational environment System Test and Launch Technology Readiness Level-8 Actual system completed and qualified through test and demonstration Technology Readiness Level-9 Actual system proven through successful mission operations Operations and Support / Federal Assistance System Viability and Operations Technology Deployment Actual system commences with regular and sustained operations Transition Plans The National Laboratories will work with industry partners to validate the application program interfaces and the OPSL middleware for subsequent incorporation into TSA systems. Should the prototyping effort be successful, design materials, scan data, and test results will be provided to TSA program managers, who will be able to use this information and experience to accelerate the procurement of operational screening systems in FY 2019 and beyond. 10 Schedule III – Other Exhibits Exhibit E. Justification of Proposed Legislative Language Department of Homeland Security Transportation and Security Administration Research and Development Justification of Proposed Legislative Language For necessary expenses of the Transportation Security Administration for applied scientific research and development pursuant to the Aviation Transportation Security Act (Public Law 107-71; Stat.597; 49 U.S.C. 40101 note), $5,000,000, to remain available until September 30, 2019. Explanation of Proposed Change The legislative language associated with this account has been updated and streamlined to reflect the Department’s new Common Appropriations Structure. Funding amounts have been updated to reflect the FY 2017 President’s Budget. 11 Exhibit F. Summary of Fee Collections and Carryover 12 Exhibit G. Summary of Reimbursable Resources 13 Exhibit H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 14 Exhibit 1. Capital Investment and Construction Initiative Listing 15 Exhibit J. Object Class Breakout by Appropriation Department of Homeland Security Transportation Security Administration Research and Development Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $5,000 $5,000 $5,000 - $5,000 $5,000 $5,000 - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $5,000 $5,000 $5,000 - - - - - 25.5 Research and Development Contracts Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only. 16 Exhibit K. Object Class Breakout by PPA Department of Homeland Security Transportation Security Administration Research and Development Transportation Screening Operations Passenger and Baggage Screening Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $5,000 $5,000 $5,000 - $5,000 $5,000 $5,000 - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $5,000 $5,000 $5,000 - - - - - 25.5 Research and Development Contracts Total, Other Object Classes Total Requirements Full Time Equivalents *FY 2015 and FY 2016 funding levels reflect the CAS Structure and are for comparison purposes only. 17 Exhibit L. Permanent Positions by Grade 18 Exhibit M. Changes in Full Time Employment 19 Department of Homeland Security Transportation Security Administration Aviation Security Fiscal Year 2017 Congressional Justification Table of Contents Page No II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA)................. 1 III. Current Services Program Description by PPA................................................................. 2 V. Exhibits and Other Supporting Material........................................................................... 15 B. FY 2016 to FY 2017 Budget Change........................................................................ 15 D. Summary of Reimbursable Resources...................................................................... 17 E. Summary of Requirements By Object Class............................................................. 18 F. Permanent Positions by Grade .................................................................................. 19 H. PPA Budget Justifications......................................................................................... 20 I. Changes In Full Time Employment ........................................................................... 33 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity.............. 34 II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security Transportation Security Administration Aviation Security Summary of FY 2017 Budget Estimates by Program/Project Activity (Dollars in Thousands) FY 2015 Program Project Activity Screening Partnership Program EDS Procurement and Installation Aviation Regulation and Other Enforcement Screener Personnel Compensation and Benefits Screener Training and Other Screening Technology Maintenance Airport Management and Support Checkpoint Support FFDO and Flight Crew Training Air Cargo Federal Air Marshals Subtotal, Discretionary Revised Enacted POS FTE 126 1,630 47,897 144 3,046 60 38 668 53,609 128 1,609 45,936 156 3,126 59 35 663 51,712 53,609 51,712 1 AMOUNT FY 2016 FY 2017 Enacted Request AMOUNT POS FTE Increase (+) or Decrease (-) For FY 2017 Total Changes AMOUNT POS FTE Program Changes AMOUNT POS FTE Adjustments-to-Base POS FTE AMOUNT POS 171,666 83,933 349,821 2,918,890 225,442 258,174 587,657 88,469 22,365 106,343 806,335 5,619,095 123 1,590 46,086 180 3,032 60 38 645 51,754 115 1,526 42,525 175 2,915 57 36 620 47,969 166,928 82,168 337,345 2,973,839 239,025 280,509 597,899 111,201 20,758 104,689 805,076 5,719,437 - - (166,928) (123) (115) (82,168) - (1,590) (1,526) (337,345) - (46,086) (42,525) (2,973,839) (180) (175) (239,025) (280,509) - (3,032) (2,915) (597,899) (60) (57) (111,201) (38) (36) (20,758) (645) (620) (104,689) (805,076) - (51,754) (47,969) (5,719,437) - - (166,928) (123) (115) (82,168) - (1,590) (1,526) (337,345) - (46,086) (42,525) (2,973,839) (180) (175) (239,025) (280,509) - (3,032) (2,915) (597,899) (60) (57) (111,201) (38) (36) (20,758) (645) (620) (104,689) (805,076) - (51,754) (47,969) (5,719,437) FTE AMOUNT 250,000 250,000 5,869,095 51,754 47,969 250,000 250,000 5,969,437 - - (250,000) (250,000) - (51,754) (47,969) (5,969,437) - - (250,000) (250,000) - (51,754) (47,969) (5,969,437) - - (2,065,000) - (2,065,000) - - (2,130,000) - (2,130,000) - - - - - 2,130,000 2,130,000 - - - - - 2,130,000 2,130,000 - - (250,000) - - (250,000) - - - - - 250,000 - - - - - 250,000 53,609 51,712 3,554,095 51,754 47,969 3,589,437 - - - (51,754) (47,969) (3,589,437) - - - (51,754) (47,969) (3,589,437) - - (202,900) - - - - - - - - - - - - - - - - - - - - (158,414) - - - - - 158,414 - - - - - 158,414 53,609 51,712 3,351,195 51,754 47,969 3,431,023 - - - (51,754) (47,969) (3,431,023) - - - (51,754) (47,969) (3,431,023) Mandatory Fees Aviation Security Capital Funds Mandatory Fee Subtotal, Mandatory Fees Total, Aviation Security Budget Authority Less: Adjustments for Other Funding Sources Discretionary Fees Aviation Security Fees - Discretionary Aviation Passenger Security Fee Aviation Security Fees - Mandatory Aviation Security Capital Funds Fees Subtotal, Enacted Appropriations and Budget Estimates Rescission of prior year unobligated balances pursuant to P.L. 114-4 Rescission of unobligated prior year balances pursuant to P.L. 114-113 Net, Enacted Appropriations and Budget Estimates 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission 1 III. Current Services Program Description by PPA Department of Homeland Security Transportation Security Administration Screening Partnership Program Program Performance Justification (Dollars in Thousands) PPA: Screening Partnership Program Perm. Pos. - FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE - Amount $171,666 $166,928 ($166,928) ($166,928) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Screening Partnership Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 2 Positions - FTE - Amount 171,666 166,928 - - (166,928) (166,928) Department of Homeland Security Transportation Security Administration Screener Personnel Compensation and Benefits Program Performance Justification (Dollars in Thousands) PPA: Screener Personnel Compensation and Benefits Perm. Pos. 47,897 46,086 (46,086) (46,086) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 45,936 $2,918,890 42,525 $2,973,839 (42,525)($2,973,839) (42,525)($2,973,839) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Screener Personnel Compensation and Benefits Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 3 Positions 47,897 46,086 FTE 45,936 42,525 Amount 2,918,890 2,973,839 (46,086) (46,086) (42,525) (42,525) (2,973,839) (2,973,839) Department of Homeland Security Transportation Security Administration Screener Training and Other Program Performance Justification (Dollars in Thousands) PPA: Screener Training and Other Perm. Pos. 144 180 (180) (180) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 156 $225,442 175 $239,025 (175) ($239,025) (175) ($239,025) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Screener Training and Other Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 4 Positions 144 180 FTE 156 175 Amount 225,442 239,025 (180) (180) (175) (175) (239,025) (239,025) Department of Homeland Security Transportation Security Administration Checkpoint Support Program Performance Justification (Dollars in Thousands) PPA: Checkpoint Support Perm. Pos. 60 60 (60) (60) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 59 57 (57) (57) Amount $88,469 $111,201 ($111,201) ($111,201) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Checkpoint Support Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Transfer Out to PC&I - Transportation Screening Operations Transfer Out to R&D - Transportation Screening Operations FY 2017 Request Total Change from FY 2016 to FY 2017 5 Positions 60 60 FTE 59 57 Amount 88,469 111,201 - - (2,094) (60) (57) (106,607) (60) (57) (2,500) (111,201) Department of Homeland Security Transportation Security Administration EDS Procurement and Installation Program Performance Justification (Dollars in Thousands) PPA: EDS Procurement and Installation Perm. Pos. 126 123 (123) (123) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 128 $83,933 115 $82,168 (115) ($82,168) (115) ($82,168) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: EDS Procurement and Installation Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Transfer Out to PC&I - Transportation Screening Operations Transfer Out to R&D - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 6 Positions 126 123 FTE 128 115 Amount 83,933 82,168 - - (2,272) (123) (115) (77,396) (123) (115) (2,500) (82,168) Department of Homeland Security Transportation Security Administration Screening Technology Maintenance Program Performance Justification (Dollars in Thousands) PPA: Screening Technology Maintenance Perm. Pos. - FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE - Amount $258,174 $280,509 ($280,509) ($280,509) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Screening Technology Maintenance Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 7 Positions - FTE - Amount 258,174 280,509 - - (280,509) (280,509) Department of Homeland Security Transportation Security Administration Aviation Regulation and Other Enforcement Program Performance Justification (Dollars in Thousands) PPA: Aviation Regulation and Other Enforcement Perm. Pos. 1,630 1,590 (1,590) (1,590) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 1,609 $349,821 1,526 $337,345 (1,526) ($337,345) (1,526) ($337,345) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Aviation Regulation and Other Enforcement Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Assessment & Enforcement Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 8 Positions 1,630 1,590 FTE 1,609 1,526 Amount 349,821 337,345 (1,081) (1,033) (215,636) (509) (1,590) (493) (1,526) (121,709) (337,345) Department of Homeland Security Transportation Security Administration Airport Management and Support Program Performance Justification (Dollars in Thousands) PPA: Airport Management and Support Perm. Pos. 3,046 3,032 (3,032) (3,032) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 3,126 $587,657 2,915 $597,899 (2,915) ($597,899) (2,915) ($597,899) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Airport Management and Support Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Management & Administration Transfer Out to O&S - Transportation Assessment & Enforcement Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 9 Positions 3,046 3,032 FTE 3,126 2,915 Amount 587,657 597,899 (1) (1) (178) (131) (125) (25,983) (2,900) (3,032) (2,789) (2,915) (571,738) (597,899) Department of Homeland Security Transportation Security Administration FFDO and Flight Crew Training Program Performance Justification (Dollars in Thousands) PPA: FFDO and Flight Crew Training Perm. Pos. 38 38 (38) (38) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 35 36 (36) (36) Amount $22,365 $20,758 ($20,758) ($20,758) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: FFDO and Flight Crew Training Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Assessment & Enforcement Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 10 Positions 38 38 FTE 35 36 Amount 22,365 20,758 (38) (38) (36) (36) (20,758) (20,758) Department of Homeland Security Transportation Security Administration Air Cargo Program Performance Justification (Dollars in Thousands) PPA: Air Cargo Perm. Pos. 668 645 (645) (645) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 663 $106,343 620 $104,689 (620) ($104,689) (620) ($104,689) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Air Cargo Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted Transfer Out to O&S - Transportation Assessment & Enforcement Transfer Out to PC&I - Transportation Screening Operations FY 2017 Request Total Change from FY 2016 to FY 2017 11 Positions 668 645 FTE 663 620 Amount 106,343 104,689 (640) (615) (93,659) (5) (645) (5) (620) (11,030) (104,689) Department of Homeland Security Transportation Security Administration Federal Air Marshals Program Performance Justification (Dollars in Thousands) PPA: Federal Air Marshals Perm. Pos. - FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount - $806,335 - $805,076 - ($805,076) - ($805,076) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Federal Air Marshals Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Assessment & Enforcement Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 12 Positions - FTE - Amount 806,335 805,076 - - (805,076) (805,076) Department of Homeland Security Transportation Security Administration Aviation Passenger Security Fee Program Performance Justification (Dollars in Thousands) PPA: Aviation Passenger Security Fee Perm. Pos. - FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE - Amount ($2,065,000) ($2,130,000) $2,130,000 $2,130,000 CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Aviation Passenger Security Fee Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to O&S - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 13 Positions - FTE - Amount (2,065,000) (2,130,000) - - 2,130,000 2,130,000 Department of Homeland Security Transportation Security Administration Aviation Security Capital Funds Fees Program Performance Justification (Dollars in Thousands) PPA: Aviation Security Capital Funds Fees Perm. Pos. - FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount - $250,000 - $250,000 - ($250,000) - ($250,000) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Aviation Security Capital Funds Fees Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to PC&I - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 14 Positions - FTE - Amount 250,000 250,000 - - (250,000) (250,000) V. Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change Department of Homeland Security Aviation Security FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount 53,609 51,754 (51,754) 51,712 47,969 (47,969) $5,619,095 $5,719,437 ($5,719,437) (49,675) (188) (1) (1,890) (51,754) (51,754) (51,754) (45,982) (177) (1) (1,809) (47,969) (47,969) (47,969) ($4,358,114) ($195,033) ($5,000) ($178) ($1,161,112) ($5,719,437) ($5,719,437) ($5,719,437) Transfers to and from other accounts: Transfer Out to O&S - Transportation Screening Operations Transfer Out to PC&I - Transportation Screening Operations Transfer Out to R&D - Transportation Screening Operations Transfer Out to O&S - Management & Administration Transfer Out to O&S - Transportation Assessment & Enforcement Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 15 Department of Homeland Security Aviation Security Capital Fund Mandatory Funding FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount - - $250,000 $250,000 ($250,000) - - ($250,000) ($250,000) ($250,000) ($250,000) Transfers to and from other accounts: Transfer Out to PC&I - Transportation Screening Operations Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 16 D. Summary of Reimbursable Resources Department of Homeland Security Transportation Security Administration Aviation Security Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: Pos Transport Canada Director of National Intelligence Recovery Accountability and Transparency Board - Detailee International Civil Aviation Organization Department of State - Counter Terrorism Department of Defense - Africom Department of Homeland Security - USCG Department of Transportation - Safe Skies for Africa Department of State - Yemen Organization of American States Total Budgetary Resources FTE 1 1 2 1 1 2 Amount $1,000 $240 $180 $50 $1,300 $250 $75 $1,400 $700 $65 $5,260 FY 2016 Enacted Pos 1 1 2 FY 2015 Revised Enacted Obligations by Program/Project Activity: Checkpoint Support Federal Air Marshals Aviation Regulation and Other Enforcement Total Obligations Pos FTE 2 2 2 2 Amount $1,000 $420 $3,840 $5,260 FTE FY 2017 Request Amount 1 1 2 Pos $240 $180 $50 $1,300 $250 $75 $1,400 $700 $65 $4,260 - FY 2016 Enacted Pos FTE 2 2 17 Increase/Decrease Amount - Pos - $420 $3,840 $4,260 Pos FTE - Amount (1) (1) (2) ($240) ($180) ($50) ($1,300) ($250) ($75) ($1,400) ($700) ($65) ($4,260) Increase/Decrease Amount - FTE (1) (1) (2) FY 2017 Request Amount 2 2 FTE Pos - FTE (2) (2) Amount (2) (2) ($420) ($3,840) ($4,260) E. Summary of Requirements By Object Class Department of Homeland Security Transportation Security Administration Aviation Security Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits $2,440,661 $293,445 $287,527 $88,538 $1,138,627 $684 $4,249,482 $2,523,499 $283,117 $280,038 $84,157 $1,279 $1,148,759 $667 $4,321,516 - ($2,523,499) ($283,117) ($280,038) ($84,157) ($1,279) ($1,148,759) ($667) ($4,321,516) $156,135 $877 $138,370 $14,650 $13,940 $429 $188,924 $314,066 $62,716 $15,435 $5,000 $209 $259,857 $6,163 $66,870 $41,103 $10,875 $72,793 $1,201 $1,369,613 $158,878 $880 $119,551 $14,733 $14,167 $440 $223,568 $316,007 $52,164 $16,266 $5,000 $221 $282,042 $6,093 $67,909 $29,440 $24,550 $64,812 $1,200 $1,397,921 - ($158,878) ($880) ($119,551) ($14,733) ($14,167) ($440) ($223,568) ($316,007) ($52,164) ($16,266) ($5,000) ($221) ($282,042) ($6,093) ($67,909) ($29,440) ($24,550) ($64,812) ($1,200) ($1,397,921) $5,619,095 $5,719,437 - ($5,719,437) - - - - $5,619,095 51,712 $5,719,437 47,969 - ($5,719,437) (47,969) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.0 Other Contractual Services 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 33.0 Investments and loans 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements Full Time Equivalents 18 F. Permanent Positions by Grade Department of Homeland Security Transportation Security Administration Aviation Security Permanent Positions by Grade Grades and Salary Range Total, SES Total, EX M Band L Band K Band J Band I Band H Band G Band F Band E Band D Band C Band B Band A Band Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Total, Aviation Security: Full Time Equivalents Average ES Salary Average GS Salary Average Grade 19 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. 63 0 Pos. 63 0 Pos. - Total (63) 12 421 1,060 1,812 2,594 6,123 8,827 26,776 5,910 10 1 0 53,609 3,609 50,000 53,609 12 421 1,060 1,794 2,539 5,928 8,213 26,282 5,431 10 1 51,754 3,500 48,254 51,754 - (51,754) (3,500) (48,254) (51,754) 51,712 47,969 - (47,969) - - - - (12) (421) (1,060) (1,794) (2,539) (5,928) (8,213) (26,282) (5,431) (10) (1) H. PPA Budget Justifications Department of Homeland Security Transportation Security Administration Aviation Security Federal Air Marshals Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $345,376 $347,254 - ($347,254) $270 $270 - ($270) 11.5 Other Personnel Compensation $109,347 $108,131 - ($108,131) 12.1 Civilian Personnel Benefits $217,000 $216,661 - ($216,661) $671,993 $672,316 - ($672,316) - - - ($97,384) 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $95,325 $97,384 - 22.0 Transportation of Things $79 $79 - ($79) 23.1 Rental Payments to GSA $2,200 $2,197 - ($2,197) 23.2 Rental Payments to Others $2,700 $2,696 - ($2,696) 23.3 Communications, Utilities, and Misc. Charges $8,560 $8,757 - ($8,757) $3 $3 - ($3) $3,460 $3,954 - ($3,954) $1,720 $1,717 - ($1,717) $13,800 $919 $9,389 $918 - ($9,389) ($918) 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care $60 $60 - ($60) 25.7 Operation and Maintenance of Equipment $1,629 $1,626 - ($1,626) 26.0 Supplies and Materials $3,001 $3,096 - ($3,096) 31.0 Equipment $500 $499 - ($499) 42.0 Insurance Claims and Indemnities $386 $385 - ($385) $134,342 $132,760 - ($132,760) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $806,335 $805,076 - ($805,076) - - - - Total, Other Object Classes Total Requirements Full Time Equivalents 20 Department of Homeland Security Transportation Security Administration Aviation Security Screening Partnership Program Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $37 $37 - ($37) $171,526 $166,787 - ($166,787) $1 $1 - ($1) $101 $102 - ($102) 21.0 Travel and Transportation of Persons 25.2 Other Services from Non-Federal Sources 25.4 Operation and Maintenance of Facilities 26.0 Supplies and Materials 31.0 Equipment $1 $1 - ($1) $171,666 $166,928 - ($166,928) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $171,666 - $166,928 - - ($166,928) - Total, Other Object Classes Total Requirements Full Time Equivalents 21 Department of Homeland Security Transportation Security Administration Aviation Security Screener Personnel Compensation and Benefits Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $1,610,749 $1,685,655 - ($1,685,655) 11.3 Other than Full-Time Permanent $292,503 $282,171 - ($282,171) 11.5 Other Personnel Compensation $169,344 $163,362 - ($163,362) - $84,157 - ($84,157) $87,238 - - - $756,682 $756,139 - ($756,139) 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel $539 $520 - ($520) $2,917,055 $2,972,004 - ($2,972,004) - - - - $1,786 $1,786 - ($1,786) $49 $49 - ($49) $1,835 $1,835 - ($1,835) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $2,918,890 $2,973,839 - ($2,973,839) 45,936 42,525 - (42,525) Total, Personnel and Compensation Benefits Other Object Classes 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources Total, Other Object Classes Total Requirements Full Time Equivalents 22 Department of Homeland Security Transportation Security Administration Aviation Security Screener Training and Other Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $12,405 $13,831 - ($13,831) $9 $11 - ($11) $3,999 $4,862 - ($4,862) $16,413 $18,704 - ($18,704) - - - ($35,758) $34,561 $35,758 - 22.0 Transportation of Things $34 $36 - ($36) 23.1 Rental Payments to GSA $279 $293 - ($293) 23.2 Rental Payments to Others $111 $117 - ($117) 23.3 Communications, Utilities, and Misc. Charges $115 $121 - ($121) 24.0 Printing and Reproduction $212 $223 - ($223) 25.1 Advisory and Assistance Services $26,619 $27,543 - ($27,543) 25.2 Other Services from Non-Federal Sources $78,497 $85,382 - ($85,382) 25.3 Other Goods and Services from Federal Sources $8,858 $9,302 - ($9,302) 25.4 Operation and Maintenance of Facilities 25.6 Medical Care $8,859 $15 $9,302 $16 - ($9,302) ($16) 25.7 Operation and Maintenance of Equipment $35 $37 - ($37) $42,160 $43,240 - ($43,240) $7,984 $8,261 - ($8,261) $3 $3 - ($3) $687 $687 - ($687) $209,029 $220,321 - ($220,321) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $225,442 $239,025 - ($239,025) 156 175 - (175) 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 23 Department of Homeland Security Transportation Security Administration Aviation Security Checkpoint Support Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $7,039 $6,319 - ($6,319) $91 $82 - ($82) $1,938 $1,739 - ($1,739) $9,068 $8,140 - ($8,140) - - - - 21.0 Travel and Transportation of Persons $761 $1,000 - ($1,000) 23.2 Rental Payments to Others $256 $336 - ($336) $57 $75 - ($75) $55,859 $90,907 - ($90,907) 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $165 $216 - ($216) 25.3 Other Goods and Services from Federal Sources $988 $1,299 - ($1,299) 25.4 Operation and Maintenance of Facilities $1,227 $1,612 - ($1,612) 25.5 Research and Development Contracts $2,500 $2,500 - ($2,500) $88 $116 - ($116) $17,500 $5,000 - ($5,000) $79,401 $103,061 - ($103,061) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $88,469 $111,201 - ($111,201) 59 57 - (57) 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 24 Department of Homeland Security Transportation Security Administration Aviation Security EDS Procurement and Installation Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $14,470 $13,564 - ($13,564) $381 $357 - ($357) $4,320 $4,050 - ($4,050) $19,171 $17,971 - ($17,971) - - - - 21.0 Travel and Transportation of Persons $433 $429 - ($429) 23.2 Rental Payments to Others $226 $224 - ($224) $67 $67 - ($67) $55,039 $54,086 - ($54,086) 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $87 $86 - ($86) 25.3 Other Goods and Services from Federal Sources $4,815 $4,772 - ($4,772) 25.5 Research and Development Contracts $2,500 $2,500 - ($2,500) 25.7 Operation and Maintenance of Equipment $869 $861 - ($861) 25.8 Subsistence & Support of Persons $405 $401 - ($401) 26.0 Supplies and Materials 31.0 Equipment $21 $300 $21 $750 - ($21) ($750) $64,762 $64,197 - ($64,197) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $83,933 $82,168 - ($82,168) 128 115 - (115) Total, Other Object Classes Total Requirements Full Time Equivalents 25 Department of Homeland Security Transportation Security Administration Aviation Security Screening Technology Maintenance Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $59 $64 - ($64) $1,649 $1,792 - ($1,792) 21.0 Travel and Transportation of Persons 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $3 $3 - ($3) 25.7 Operation and Maintenance of Equipment $256,462 $278,649 - ($278,649) 26.0 Supplies and Materials $1 $1 - ($1) $258,174 $280,509 - ($280,509) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $258,174 - $280,509 - - ($280,509) - Total, Other Object Classes Total Requirements Full Time Equivalents 26 Department of Homeland Security Transportation Security Administration Aviation Security Aviation Regulation and Other Enforcement Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $148,298 $154,591 - ($154,591) $156 $154 - ($154) $2,797 $2,747 - ($2,747) $1,300 $1,279 - ($1,279) $51,230 $50,545 - ($50,545) $145 $143 - ($143) $203,926 $209,459 - ($209,459) - - - - $10,343 $9,086 - ($9,086) 22.0 Transportation of Things $151 $153 - ($153) 23.1 Rental Payments to GSA $392 $387 - ($387) 23.2 Rental Payments to Others $131 $129 - ($129) $1,011 $999 - ($999) $45 $44 - ($44) 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $5,871 $23,182 $5,649 $22,628 - ($5,649) ($22,628) 25.3 Other Goods and Services from Federal Sources $23,903 $17,064 - ($17,064) $4 $4 - ($4) $34 $34 - ($34) $248 $245 - ($245) $5,758 $5,692 - ($5,692) $7,481 $7,213 - ($7,213) $67,262 $58,481 - ($58,481) 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 41.0 Grants, Subsidies, and Contributions 42.0 Insurance Claims and Indemnities $79 $78 - ($78) $145,895 $127,886 - ($127,886) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $349,821 $337,345 - ($337,345) 1,609 1,526 - (1,526) Total, Other Object Classes Total Requirements Full Time Equivalents 27 Department of Homeland Security Transportation Security Administration Aviation Security Airport Management and Support Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $242,847 $245,580 - ($245,580) $516 $522 - ($522) $1,556 $1,573 - ($1,573) $84,056 $96,433 - ($96,433) $328,975 $344,108 - ($344,108) - - - ($11,248) $11,219 $11,248 - 22.0 Transportation of Things $571 $572 - ($572) 23.1 Rental Payments to GSA $135,412 $116,574 - ($116,574) $10,772 $10,798 - ($10,798) $4,077 $4,087 - ($4,087) $163 $163 - ($163) $9,242 $9,264 - ($9,264) $34,870 $34,954 - ($34,954) $9,242 $4,348 $9,264 $4,358 - ($9,264) ($4,358) 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care $27 $27 - ($27) $544 $544 - ($544) 26.0 Supplies and Materials $13,031 $13,063 - ($13,063) 31.0 Equipment $14,243 $14,278 - ($14,278) 32.0 Land and Structures $10,872 $24,547 - ($24,547) $49 $50 - ($50) $258,682 $253,791 - ($253,791) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $587,657 $597,899 - ($597,899) 3,126 2,915 - (2,915) 25.7 Operation and Maintenance of Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 28 Department of Homeland Security Transportation Security Administration Aviation Security FFDO and Flight Crew Training Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $3,196 $3,464 - ($3,464) $404 $375 - ($375) $1,308 $1,214 - ($1,214) $4,908 $5,053 - ($5,053) - - - - 21.0 Travel and Transportation of Persons $80 $74 - ($74) 22.0 Transportation of Things $42 $40 - ($40) $401 $372 - ($372) 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 23.2 Rental Payments to Others 25.1 Advisory and Assistance Services $15,132 $13,547 - ($13,547) 25.2 Other Services from Non-Federal Sources $491 $456 - ($456) 25.3 Other Goods and Services from Federal Sources $874 $811 - ($811) $77 $71 - ($71) $328 $304 - ($304) 25.4 Operation and Maintenance of Facilities 26.0 Supplies and Materials 31.0 Equipment $32 $30 - ($30) $17,457 $15,705 - ($15,705) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $22,365 $20,758 - ($20,758) 35 36 - (36) Total, Other Object Classes Total Requirements Full Time Equivalents 29 Department of Homeland Security Transportation Security Administration Aviation Security Air Cargo Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $56,281 $53,242 - ($53,241) $3,598 $3,400 - ($3,400) $18,094 $17,116 - ($17,116) - $4 - ($4) $77,973 $73,762 - ($73,761) - - - - $3,317 $3,798 - ($3,798) 23.1 Rental Payments to GSA $87 $100 - ($100) 23.2 Rental Payments to Others $53 $61 - ($61) 23.3 Communications, Utilities, and Misc. Charges $53 $61 - ($61) $6 $7 - ($7) $16,053 $16,825 - ($16,826) $1,739 $1,992 - ($1,992) $187 $214 - ($214) $73 $70 $84 $80 - ($84) ($80) 26.0 Supplies and Materials $658 $753 - ($753) 31.0 Equipment $543 $621 - ($621) $5,531 $6,331 - ($6,331) $28,370 $30,927 - ($30,928) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $106,343 $104,689 - ($104,689) 663 620 - (620) 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 41.0 Grants, Subsidies, and Contributions Total, Other Object Classes Total Requirements Full Time Equivalents 30 Department of Homeland Security Transportation Security Administration Aviation Security Aviation Passenger Security Fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - ($1,548,750) ($1,597,000) - $1,597,000 ($516,250) ($533,000) - $533,000 ($2,065,000) ($2,130,000) - $2,130,000 Other Object Classes - - - - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - ($2,065,000) ($2,130,000) - $2,130,000 - - - - 11.1 Full-time Permanent 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Total Requirements Full Time Equivalents 31 Department of Homeland Security Transportation Security Administration Aviation Security Aviation Security Capital Funds Fees Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - 25.1 Advisory and Assistance Services $110,400 $193,600 - ($193,600) 31.0 Equipment $139,600 $56,400 - ($56,400) $250,000 $250,000 - ($250,000) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $250,000 $250,000 - ($250,000) - - - - Total, Other Object Classes Total Requirements Full Time Equivalents 32 I. Changes In Full Time Employment BASE: Year End Actual from Prior Year FY 2015 FY 2016 49,427 51,712 Increases Restoration of Assumed RBS Efficiencies - TSA Academy Instructors - 31 Increase Canine Teams 16 - Annualization of Prior Year Increases 27 - 8 10 Transfer of Resources from Other Appropriations to Aviation Adjustment for Actual / Enacted FTE 3,092 - Subtotal, Increases 3,143 41 RBS Efficiencies - Transportation Security Specialist - Explosives - (18) RBS Efficiencies - Transportation Security Inspectors - (52) Enacted Canines - (16) CAS Transfer - - Decreases Transfer of Resources from Aviation to Other Appropriations Other Adjusments to the base Workforce Shaping (1) (1) (367) (137) - (1,894) (3) - Consolidate VIPR Funding (185) - Reduce Playbook Operations (302) - FFDO Program Decrease Leverage efficiencies from Risk Based Security (RBS) Subtotal, Decreases Year End Actuals/Estimated FTEs: Net Change from prior year base to Budget Year Estimate: 33 - (1,666) (858) (3,784) 51,712 47,969 2,285 (3,743) FY 2017 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security Transportation Security Administration Aviation Security (Dollars in Thousands) Progam/Project/Activity Screener Training and Other Airport Management and Support Total Working Capital Fund FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount $8,856 1,447 $10,303 $2,750 $1,827 $4,577 - ($2,750) ($1,827) ($4,577) 34 Department of Homeland Security Transportation Security Administration Surface Transportation Security Fiscal Year 2017 Congressional Justification Table of Contents Page No. II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) ...... 1 III. Current Services Program Description by PPA ..................................................... 2 V. Exhibits and Other Supporting Material ................................................................. 4 B. FY 2016 to FY 2017 Budget Change............................................................... 4 D. Summary of Reimbursable Resources ............................................................. 5 E. Summary of Requirements By Object Class .................................................... 6 F. Permanent Positions by Grade .......................................................................... 7 H. PPA Budget Justifications................................................................................8 I. Changes In Full Time Employment ................................................................10 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity .. 11 II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security Transportation Security Administration Surface Transportation Security Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) FY 2015 Program Project Activity 1 Revised Enacted POS FTE Amount FY 2016 FY 2017 Enacted Request POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount Program Changes POS FTE Adjustments-to-Base Amount POS FTE Amount Staffing and Operations 137 130 $29,230 130 120 $28,148 - - - (130) (120) ($28,148) - - - (130) (120) Surface Inspectors and VIPR 744 713 $93,550 683 641 $82,650 - - - (683) (641) ($82,650) - - - (683) (641) ($82,650) Total, Surface Transportation Security 881 843 $122,780 813 761 $110,798 - - - (813) (761) ($110,798) - - - (813) (761) ($110,798) Subtotal, Enacted Appropriations & Budget Estimates 881 843 $122,780 813 761 $110,798 - - - (813) (761) ($110,798) - - - (813) (761) ($110,798) - - - - - ($14,000) - - - - $14,000 - - - - $14,000 881 843 $122,780 813 761 $96,798 - - - (813) (761) ($96,798) - - - (813) (761) ($196,798) Rescission of unobligated prior year balances pursuant to P.L. 114-113 Net, Enacted Appropriations and Budget Estimates: 1 - - Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission 1 ($28,148) III. Current Services Program Description by PPA Department of Homeland Security Transportation Security Administration Staffing and Operations Program Performance Justification (Dollars in Thousands) PPA: Staffing and Operations Perm. Pos. 137 130 (130) (130) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 130 $29,230 120 $28,148 (120) ($28,148) (120) ($28,148) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Staffing and Operations Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support Transportation Assessment & Enforcement Transfer Out to Operations & Support Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 2 Positions 137 130 FTE 130 120 Amount 29,230 28,148 (127) (117) (27,770) (3) (130) (3) (120) (378) (28,148) Department of Homeland Security Transportation Security Administration Surface Inspectors and VIPR Program Performance Justification (Dollars in Thousands) PPA: Surface Inspectors and VIPR Perm. Pos. 744 683 (683) (683) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 713 $93,550 641 $82,650 (641) ($82,650) (641) ($82,650) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Surface Inspectors and VIPR Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support Transportation Assessment & Enforcement Transfer Out to Operations & Support Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 3 Positions 744 683 FTE 713 641 Amount 93,550 82,650 (682) (640) (82,650) (1) (683) (1) (641) (82,650) V. Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change Department of Homeland Security Transportation Security Administration Surface Transportation Security FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount 881 813 (813) 843 761 (761) $122,780 $110,798 ($110,798) (809) (4) (813) (813) (813) (757) (4) (761) (761) (761) ($110,420) ($378) ($110,798) ($110,798) ($110,798) Transfers to and from other accounts: Transfer Out to Operations & Support - Transportation Assessment & Enforcement Transfer Out to Operations & Support - Transportation Screening Operations Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 4 D. Summary of Reimbursable Resources Department of Homeland Security Transportation Security Administration Surface Transportation Security Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: Domestic Nuclear Detection Office Total Budgetary Resources Pos Obligations by Program/Project Activity: Surface Transportation Security Inspectors & Canines Total Obligations Pos FTE - FY 2016 Enacted Amount - Pos $5 $5 - FY 2015 Revised Enacted FTE - - FY 2017 Request Amount $140 $140 Pos Pos $5 $5 FTE Amount $140 $140 Pos - 5 - FTE - FY 2016 Enacted Amount - FTE Increase/Decrease Amount - Pos - FY 2017 Request FTE - - Amount ($140) ($140) Increase/Decrease Amount - FTE - Pos - FTE - - Amount ($140) ($140) E. Summary of Requirements By Object Class Department of Homeland Security Transportation Security Administration Surface Transportation Security Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Other Compensation Benefits $85,288 $89 $684 $24,202 $110,263 $75,377 $79 $604 $20,743 $96,803 - ($75,377) ($79) ($604) ($20,743) ($96,803) $1,281 $325 $934 $155 $21 $9,232 $114 $416 $39 $12,517 $1,256 $287 $825 $146 $21 $10,917 $111 $397 $35 $13,995 - ($1,256) ($287) ($825) ($146) ($21) ($10,917) ($111) ($397) ($35) ($13,995) $122,780 $110,798 - ($110,798) - - - - $122,780 $110,798 - ($110,798) Other Object Classes 21.0 Travel and Transportation of Persons 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 6 F. Permanent Positions by Grade Department of Homeland Security Transportation Security Administration Surface Transportation Security Permanent Positions by Grade Grades and Salary Range Total, SES L Band K Band J Band I Band H Band G Band F Band Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Total, Surface Transportation Security: Full Time Equivalents Average ES Salary Average GS Salary Average Grade 7 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. 4 1 22 125 392 215 70 52 881 64 772 234 647 881 Pos. 4 1 21 115 360 197 66 49 813 38 775 221 592 813 Pos. - Total (4) (1) (21) (115) (360) (197) (66) (49) (813) (38) (775) (221) (592) (813) 843 761 - (761) 164,742 - 164,742 - - (164,742) - H. PPA Budget Justifications Department of Homeland Security Transportation Security Administration Surface Transportation Security Staffing and Operations Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $14,283 $13,120 - ($13,120) $5,322 $4,888 - ($4,888) $19,605 $18,008 - ($18,008) - - - - $1,031 $1,035 - ($1,035) 23.3 Communications, Utilities, and Misc. Charges $79 $79 - ($79) 24.0 Printing and Reproduction $19 $19 - ($19) $8,156 $8,667 - ($8,667) 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources $88 $88 - ($88) $252 $252 - ($252) $9,625 $10,140 - ($10,140) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $29,230 $28,148 - ($28,148) 130 120 - (120) 26.0 Supplies and Materials Total, Other Object Classes Total Requirements Full Time Equivalents 8 Department of Homeland Security Transportation Security Administration Surface Transportation Security Surface Inspectors and VIPR Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - ($62,257) $71,005 $62,257 - 11.3 Other than Full-Time Permanent $89 $79 - ($79) 11.5 Other Personnel Compensation $684 $604 - ($604) $18,880 $15,855 - ($15,855) $90,658 $78,795 - ($78,795) - - - - 21.0 Travel and Transportation of Persons $250 $221 - ($221) 23.1 Rental Payments to GSA $325 $287 - ($287) 23.2 Rental Payments to Others $934 $825 - ($825) $76 $67 - ($67) $2 $2 - ($2) $1,076 $2,250 - ($2,250) $26 $23 - ($23) $164 $145 - ($145) 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 26.0 Supplies and Materials 31.0 Equipment $39 $35 - ($35) $2,892 $3,855 - ($3,855) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $93,550 $82,650 - ($82,650) 713 641 - (641) Total, Other Object Classes Total Requirements Full Time Equivalents 9 I. Changes In Full Time Employment BASE: Year End Actual from Prior Year FY 2015 FY 2016 624 843 Increases FTE Adjustment 3 - 63 - Consolidate VIPR Funding 257 - Subtotal, Increases 323 - Transfer to Intelligence - (1) Transfer to Aviation Regulation and Other Enforcement - (5) Other Adjustments Decreases Transfer to Other Vetting Programs Adjustment for Enacted FTE Transfer Out to Operations and Support - (1) (12) - - - (72) - Actual FTE Adjustment - (62) Efficiencies - (13) Reduce VIPR Teams Transfer from Surface to Screener Training and Other MRK Center transfer to OIA Subtotal, Decreases (8) - (12) - (104) (82) Year End Actuals/Estimated FTEs: 843 761 Net Change from prior year base to Budget Year Estimate: 219 (82) 10 FY 2017 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 11 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Fiscal Year 2017 Congressional Justification Table of Contents Page No. II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA)................. 1 III. Current Services Program Description by PPA ................................................................ 2 V. Exhibits and Other Supporting Material .......................................................................... 13 B. FY 2016 to FY 2017 Budget Change ....................................................................... 13 D. Summary of Reimbursable Resources...................................................................... 15 E. Summary of Requirements By Object Class............................................................. 16 F.Permanent Positions by Grade ................................................................................... 17 H.PPA Budget Justifications.......................................................................................... 18 I. Changes In Full Time Employment ........................................................................... 30 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity.............. 31 II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security Transportation Security Administration Intelligence and Vetting Summary of FY 2017 Budget Estimates by Program/Project Activity (Dollars in Thousands) FY 2015 FY 2016 Revised Enacted Budget Activity Secure Flight Intelligence Other Vetting Programs Subtotal, Appropriated Transportation Worker Identification Credential (TWIC) ­ offsetting fee Hazardous Materials Endorsement Threat Assessment Program General Aviation-Offsetting Fee Commercial Aviation and Airport Fee Other Security Threat Assessments Air Cargo - Fee TSA Pre™ Application Program – Fee Subtotal, Mandatory Alien Flight School - mandatory fee Subtotal, Enacted Appropriations and Budget Estimates Adjustments for Other Funding Sources: Transportation Worker Identification Credential (TWIC) ­ offsetting fee Alien Flight School - mandatory fee Hazardous Materials Endorsement Threat Assessment Program General Aviation-Offsetting Fee Commercial Aviation and Airport Fee Other Security Threat Assessments Air Cargo - Fee TSA Pre™ Application Program – Fee Net, Enacted Appropriations & Budget Estimates POS FTE 1 AMOUNT FY 2017 Enacted POS FTE Increase (+) or Decrease (-) For FY 2017 Request AMOUNT POS FTE Total Changes AMOUNT POS FTE (312) (289) (133) (734) Program Changes AMOUNT POS FTE Adjustments-to-Base AMOUNT POS FTE AMOUNT 308 278 126 712 269 262 114 645 99,569 51,545 68,052 219,166 312 289 133 734 290 260 122 672 105,651 52,003 79,039 236,693 - - (290) (260) (122) (672) (105,651) (52,003) (79,039) (236,693) - -(312) (290) -(289) (260) -(133) (122) -(734) (672) (105,651) (52,003) (79,039) (236,693) 42 43 102,000 43 42 82,267 - - (43) (42) (82,267) - - (43) (42) (82,267) 34 34 5 7 20 14 14 768 39,000 35 34 2,000 5 5 8,000 100 11,000 11 11 53,000 82 54 14,000 24 24 14,000 24 24 448,266 934 842 21,083 400 6,500 50 3,500 80,153 5,200 5,200 435,846 - - (21,083) (400) (6,500) (50) (3,500) (80,153) (5,200) (5,200) (435,846) - - (35) (34) - (5) (5) - (11) (11) - (82) (54) - (24) (24) - (24) (24) -(934) (842) (21,083) (400) (6,500) (50) (3,500) (80,153) (5,200) (5,200) (435,846) (82,267) (5,200) - - 82,267 5,200 - - (21,083) (400) (6,500) (50) (3,500) (80,153) 236,693 - - (934) (842) 21,083 400 6,500 50 3,500 80,153 236,693 0 0(934) (842) 12 36 6 6 842 (102,000) (14,000) 842 768 (39,000) (2,000) (8,000) (100) (11,000) (53,000) 219,166 934 842 1 (35) (34) (5) (5) (11) (11) (82) (54) (24) (24) (24) (24) (934) (842) Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission 1 82,267 5,200 21,083 400 6,500 50 3,500 80,153 236,693 III. Current Services Program Description by PPA Department of Homeland Security Transportation Security Administration Secure Flight Program Performance Justification (Dollars in Thousands) PPA: Secure Flight Perm. Pos. 308 312 (312) (312) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 269 $99,569 290 $105,651 (290) ($105,651) ­ (290) ($105,651) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Secure Flight Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Assessment and Enforcement Transfer Out to Operations & Support ­ Transportation Screening Operations FY 2017 Request Total Change from FY 2016 to FY 2017 2 Positions 308 312 FTE 269 290 Amount 99,569 105,651 (19) (19) (2,079) (293) (312) (271) (290) (103,572) (105,651) Department of Homeland Security Transportation Security Administration Intelligence Program Performance Justification (Dollars in Thousands) PPA: Intelligence Perm. Pos. 278 289 (289) (289) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 262 $51,545 260 $52,003 (260) ($52,003) (260) ($52,003) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Intelligence Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Assessment & Enforcement FY 2017 Request Total Change from FY 2016 to FY 2017 3 Positions 278 289 FTE 262 260 Amount 51,545 52,003 (289) (289) (260) (260) (52,003) (52,003) Department of Homeland Security Transportation Security Administration Other Vetting Programs Program Performance Justification (Dollars in Thousands) PPA: Other Vetting Programs Perm. Pos. 126 133 (133) ­ (133) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 114 $68,052 122 $79,039 (122) ($79,039) (122) ($79,039) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Other Vetting Programs Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Assessment and Enforcement Transfer Out to Operations & Support ­ Transportation Screening Operations Transfer Out to PC&I - Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 4 Positions 126 133 FTE 114 122 Amount 68,052 79,039 (4) (4) (535) (129) (118) (72,204) (133) (122) (6,300) (79,039) Department of Homeland Security Transportation Security Administration Transportation Worker Identification Credential (TWIC) - offsetting fee Program Performance Justification (Dollars in Thousands) PPA: Transportation Worker Identification Credential (TWIC) - offsetting fee Perm. Pos. 42 43 (43) (43) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 43 $102,000 42 $82,267 (42) ($82,267) (42) ($82,267) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Transportation Worker Identification Credential (TWIC) - offsetting fee Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 5 Positions FTE Amount 42 43 43 42 102,000 82,267 (43) (43) (42) (42) (82,267) (82,267) Department of Homeland Security Transportation Security Administration Hazardous Materials Endorsement Threat Assessment Program Program Performance Justification (Dollars in Thousands) PPA: Hazardous Materials Endorsement Threat Assessment Program Perm. Pos. 34 35 (35) (35) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 34 $39,000 34 $21,083 (34) ($21,083) (34) ($21,083) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Hazardous Materials Endorsement Threat Assessment Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 6 Positions 34 35 FTE 34 34 Amount 39,000 21,083 (35) (35) (34) (34) (21,083) (21,083) Department of Homeland Security Transportation Security Administration General Aviation-Offsetting Fee Program Performance Justification (Dollars in Thousands) PPA: General Aviation-Offsetting Fee Perm. Pos. 5 (5) ­ (5) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 5 5 (5) (5) Amount $2,000 $400 ($400) ($400) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: General Aviation-Offsetting Fee Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 7 Positions 5 FTE 5 5 Amount 2,000 400 (5) (5) (5) (5) (400) (400) Department of Homeland Security Transportation Security Administration Air Cargo - Fee Program Performance Justification (Dollars in Thousands) PPA: Air Cargo - Fee Perm. Pos. 12 11 (11) ­ (11) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 7 11 (11) (11) Amount $11,000 $3,500 ($3,500) ($3,500) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Air Cargo - Fee Prior Year Base Budget Year FY 2015 Revised Enacted FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations FY 2017 Request Total Change from FY 2016 to FY 2017 8 Positions 12 11 FTE 7 11 Amount 11,000 3,500 (11) (11) (11) (11) (3,500) (3,500) Department of Homeland Security Transportation Security Administration Commercial Aviation and Airport Fee Program Performance Justification (Dollars in Thousands) PPA: Commercial Aviation and Airport Fee Perm. Pos. ­ ­ ­ FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE - Amount $8,000 $6,500 ($6,500) ($6,500) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Commercial Aviation and Airport Fee Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 9 Positions - FTE - Amount 8,000 6,500 - - (6,500) (6,500) Department of Homeland Security Transportation Security Administration Other Security Threat Assessments Program Performance Justification (Dollars in Thousands) PPA: Other Security Threat Assessments Perm. Pos. - FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE - Amount $100 $50 ($50) ($50) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Other Security Threat Assessments Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 10 Positions - FTE - Amount 100 50 - - (50) (50) Department of Homeland Security Transportation Security Administration Alien Flight School - mandatory fee Program Performance Justification (Dollars in Thousands) PPA: Alien Flight School - mandatory fee Perm. Pos. 6 24 (24) ­ (24) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 14 24 (24) (24) Amount $14,000 $5,200 ($5,200) ($5,200) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Alien Flight School - mandatory fee Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 12 Positions 6 24 FTE 14 24 Amount 14,000 5,200 (24) (24) (24) (24) (5,200) (5,200) Department of Homeland Security Transportation Security Administration TSA Pre™ Application Program – Fee Program Performance Justification (Dollars in Thousands) PPA: TSA Pre™ Application Program – Fee Perm. Pos. 36 82 (82) ­ (82) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE 20 54 (54) (54) Amount $53,000 $80,153 ($80,153) ($80,153) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: TSA Pre™ Application Program – Fee Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 12 Positions 36 82 FTE 20 54 Amount 53,000 80,153 (82) (82) (54) (54) (80,153) (80,153) V. Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change Department of Homeland Security Transportation Security Administration Intelligence and Vetting FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount 836 910 (934) 754 818 (842) $434,266 $430,646 ($435,846) (312) (598) (910) (910) (910) (283) (535) (818) (818) (818) ($54,617) ($6,300) ($369,729) ($430,646) ($430,646) ($430,646) Transfers to and from other accounts: Transfer Out to Operations & Support - Transportation Assessment & Enforcement Transfer Out to PC&I - Transportation Screening Operations Transfer Out to Operations & Support - Transportation Screening Operations Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 13 Department of Homeland Security Intelligence and Vetting: Mandatory Funding FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Enacted FY 2016 Enacted Pos. FTE Amount 6 24 14 24 $14,000 $5,200 (24) (24) (24) (24) (24) (24) (24) (24) ($5,200) ($5,200) ($5,200) ($5,200) Adjustments-to-Base Transfers to and from other accounts: Transfer Out to Operations & Support - Transportation Screening Operations Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 14 D. Summary of Reimbursable Resources Department of Homeland Security Transportation Security Administration Intelligence and Vetting Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: Director of National Intelligence DHS - National Protection & Programs Directorate Total Budgetary Resources Pos FTE - 2 2 Amount $226 $512 $738 FY 2016 Enacted Pos - FY 2015 Revised Enacted Obligations by Program/Project Activity: Intelligence Secure Flight Other Vetting Programs Total Obligations Pos FTE - 1 1 2 Amount $135 $91 $512 $738 FTE 2 2 FY 2017 Request Amount $196 $196 Pos Amount $105 $91 $196 Pos - FY 2016 Enacted Pos FTE - 15 1 1 2 FTE Increase/Decrease Amount - Pos - FY 2017 Request FTE - (2) (2) Amount ($196) ($196) Increase/Decrease Amount - FTE - Pos - FTE - (1) (1) (2) Amount ($105) ($91) ($196) E. Summary of Requirements By Object Class Department of Homeland Security Transportation Security Administration Intelligence and Vetting Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Other Compensation Benefits $71,222 $420 $3,072 $21,373 $96,087 $77,998 $686 $3,360 $23,549 $105,593 - ($77,998) ($686) ($3,360) ($23,549) ($105,593) $2,797 $38 $6,643 $1,442 $1,727 $236,199 $18,813 $30,350 $1,296 $2 $7,046 $865 $44,961 $352,179 $1,157 $38 $6,279 $1,645 $1,610 $223,725 $14,503 $24,837 $1,214 $2 $6,841 $598 $47,804 $330,253 - ($1,157) ($38) ($6,279) ($1,645) ($1,610) ($223,725) ($14,503) ($24,837) ($1,214) ($2) ($6,841) ($598) ($47,804) ($330,253) $448,266 $435,846 - ($435,846) - - - - $448,266 $435,846 - ($435,846) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 16 F. Permanent Positions by Grade Department of Homeland Security Transportation Security Administration Intelligence and Vetting Permanent Positions by Grade Grades and Salary Range Total, SES L Band K Band J Band I Band H Band G Band F Band E Band D Band B Band Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Total, Intelligence and Vetting: Full Time Equivalents Average ES Salary Average Salary, Banded Positions Average Band 17 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. 2 9 89 234 208 122 116 59 2 1 842 51 743 765 77 842 Pos. 2 12 99 260 226 158 115 58 1 2 1 934 51 743 848 86 934 Pos. - Total (2) (12) (99) (260) (226) (158) (115) (58) (1) (2) (1) (934) (51) (743) (848) (86) (934) 768 842 - (842) 173,975 105,764 10 173,975 105,764 10 - (173,975) (105,764) (10) H. PPA Budget Justifications Department of Homeland Security Transportation Security Administration Intelligence and Vetting Secure Flight Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $24,311 $23,650 - ($23,650) $87 $84 - ($84) $886 $7,737 $862 $7,526 - ($862) ($7,526) $33,021 $32,122 - ($32,122) - - - - $56 $62 - ($62) $2 $2 - ($2) $3,902 $4,311 - ($4,311) $352 $388 - ($388) $24,505 $27,076 - ($27,076) $302 $289 $333 $319 - ($333) ($319) $869 $960 - ($960) $4,304 $4,756 - ($4,756) $87 $97 - ($97) $31,880 $35,225 - ($35,225) $66,548 $73,529 - ($73,529) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $99,569 $105,651 - ($105,651) 269 290 - (290) 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 18 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Intelligence Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.6 Medical Care 26.0 Supplies and Materials 31.0 Equipment FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $26,060 $26,654 - ($26,654) $86 $88 - ($88) $1,265 $1,294 - ($1,294) $7,265 $7,430 - ($7,430) $34,676 $35,466 - ($35,466) - - - - $630 $640 - ($640) $6 $6 - ($6) $5,432 $12,917 - ($12,917) $10,150 $244 - ($244) $160 $2,232 - ($2,232) $2 $2 - ($2) $270 $274 - ($274) $219 $222 - ($222) $16,869 $16,537 - ($16,537) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $51,545 $52,003 - ($52,003) 262 260 - (260) Total, Other Object Classes Total Requirements Full Time Equivalents 19 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Other Vetting Programs Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $12,960 $12,148 - ($12,148) 11.3 Other than Full-Time Permanent $128 $120 - ($120) 11.5 Other Personnel Compensation $627 $588 - ($588) $3,858 $3,616 - ($3,616) $17,573 $16,472 - ($16,472) - - - - $189 $189 - ($189) $30 $30 - ($30) $1,000 $1,000 - ($1,000) 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges $100 $100 - ($100) $37,234 $41,464 - ($41,464) 25.2 Other Services from Non-Federal Sources $996 $8,096 - ($8,096) 25.4 Operation and Maintenance of Facilities $100 $100 - ($100) $1,200 $100 $1,200 $100 - ($1,200) ($100) 25.1 Advisory and Assistance Services 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 31.0 Equipment $9,530 $10,288 - ($10,288) $50,479 $62,567 - ($62,567) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $68,052 $79,039 - ($79,039) 114 122 - (122) Total, Other Object Classes Total Requirements Full Time Equivalents 20 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Transportation Worker Identification Credential (TWIC) - offsetting fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 23.2 Rental Payments to Others 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $2,092 $4,406 - ($4,406) $97 $205 - ($205) $626 $1,319 - ($1,319) $2,815 $5,930 - ($5,930) - - - - $49 $38 - ($38) $497 $383 - ($383) $70,149 $53,988 - ($53,988) $507 $390 - ($390) $26,649 $20,510 - ($20,510) $1 $1 - ($1) $368 $284 - ($284) $66 $51 - ($51) $899 $692 - ($692) $99,185 $76,337 - ($76,337) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $102,000 $82,267 - ($82,267) 43 42 - (42) 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 21 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Hazardous Materials Endorsement Threat Assessment Program Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $1,677 $3,302 - ($3,302) $42 $83 - ($83) $506 $996 - ($996) $2,225 $4,381 - ($4,381) - - - - $29 $13 - ($13) 23.2 Rental Payments to Others $461 $210 - ($210) 23.3 Communications, Utilities, and Misc. Charges $300 $136 - ($136) 24.0 Printing and Reproduction $923 $419 - ($419) $31,987 $14,528 - ($14,528) 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources $364 $165 - ($165) $1,627 $739 - ($739) 25.4 Operation and Maintenance of Facilities $121 $55 - ($55) 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials $517 $57 $235 $26 - ($235) ($26) 25.3 Other Goods and Services from Federal Sources 31.0 Equipment $389 $176 - ($176) $36,775 $16,702 - ($16,702) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $39,000 $21,083 - ($21,083) 34 34 - (34) Total, Other Object Classes Total Requirements Full Time Equivalents 22 Department of Homeland Security Transportation Security Administration Intelligence and Vetting General Aviation-Offsetting Fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - 11.1 Full-time Permanent - $150 - ($150) 11.3 Other than Full-Time Permanent - $3 - ($3) 11.5 Other Personnel Compensation - $28 - ($28) 12.1 Civilian Personnel Benefits - $55 - ($55) - $236 - ($236) - - - - $1,679 $138 - ($138) $74 $6 - ($6) $247 $20 - ($20) $2,000 $164 - ($164) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $2,000 $400 - ($400) 5 5 - (5) Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 25.3 Other Goods and Services from Federal Sources 26.0 Supplies and Materials Total, Other Object Classes Total Requirements Full Time Equivalents 23 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Commercial Aviation and Airport Fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - 25.1 Advisory and Assistance Services $1,676 $1,362 - ($1,362) 25.2 Other Services from Non-Federal Sources $6,324 $5,138 - ($5,138) $8,000 $6,500 - ($6,500) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $8,000 $6,500 - ($6,500) - - - - Total, Other Object Classes Total Requirements Full Time Equivalents 24 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Other Security Threat Assessments Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - $100 $50 - ($50) $100 $50 - ($50) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $100 $50 - ($50) - - - - 25.1 Advisory and Assistance Services Total, Other Object Classes Total Requirements Full Time Equivalents 25 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Air Cargo - Fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 23.2 Rental Payments to Others 25.1 Advisory and Assistance Services FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $826 $755 - ($755) $35 $32 - ($32) $267 $244 - ($244) $1,128 $1,031 - ($1,031) - - - - $96 $24 - ($24) $530 $132 - ($132) $6,653 $1,663 - ($1,663) 25.3 Other Goods and Services from Federal Sources $855 $214 - ($214) 25.4 Operation and Maintenance of Facilities $141 $35 - ($35) 25.7 Operation and Maintenance of Equipment $377 $95 - ($95) $16 $4 - ($4) $1,204 $302 - ($302) $9,872 $2,469 - ($2,469) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $11,000 $3,500 - ($3,500) 7 11 - (11) 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 26 Department of Homeland Security Transportation Security Administration Intelligence and Vetting TSA Pre™ Application Program – Fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $2,851 $5,469 - ($5,469) $94 $181 - ($181) $950 $1,822 - ($1,822) $3,895 $7,472 - ($7,472) - - - - $30 $45 - ($45) 23.2 Rental Payments to Others $150 $222 - ($222) 23.3 Communications, Utilities, and Misc. Charges $690 $1,021 - ($1,021) 24.0 Printing and Reproduction $804 $1,191 - ($1,191) $46,029 $68,126 - ($68,126) 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 31.0 Equipment $81 $119 - ($119) $529 $783 - ($783) $39 $58 - ($58) $167 $17 $248 $25 - ($248) ($25) $569 $843 - ($843) $49,105 $72,681 - ($72,681) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $53,000 $80,153 - ($80,153) 20 54 - (54) Total, Other Object Classes Total Requirements Full Time Equivalents 27 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $7,446 $14,082 - ($14,082) - $3 - ($3) $268 $529 - ($529) $2,349 $4,436 - ($4,436) $10,063 $19,050 - ($19,050) - - - - 21.0 Travel and Transportation of Persons $1,883 $258 - ($258) 23.2 Rental Payments to Others $1,638 $947 - ($947) $990 $1,157 - ($1,157) $1,727 $1,610 - ($1,610) $156,594 $139,717 - ($139,717) Total, Personnel and Compensation Benefits Other Object Classes 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials $7,276 $5,812 - ($5,812) $29,734 $22,252 - ($22,252) $302 $1,429 $149 $862 - ($149) ($862) $403 $126 - ($126) $3,061 $2,013 - ($2,013) $205,037 $174,903 - ($174,903) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $215,100 $193,953 - ($193,953) 109 146 - (146) 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents 28 Department of Homeland Security Transportation Security Administration Intelligence and Vetting Alien Flight School - mandatory fee Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - 11.1 Full-time Permanent $445 $1,464 - ($1,464) 11.3 Other than Full-Time Permanent $119 $391 - ($391) 11.5 Other Personnel Compensation $26 $87 - ($87) $164 $541 - ($541) $754 $2,483 - ($2,483) - - - - 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $39 $8 - ($8) $103 $21 - ($21) $12,434 $2,551 - ($2,551) $89 $18 - ($18) $167 $34 - ($34) $25 $5 - ($5) 25.7 Operation and Maintenance of Equipment $113 $23 - ($23) 26.0 Supplies and Materials 31.0 Equipment $5 $271 $1 $56 - ($1) ($56) $13,246 $2,717 - ($2,717) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $14,000 $5,200 - ($5,200) 14 24 - (24) 23.2 Rental Payments to Others 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities Total, Other Object Classes Total Requirements Full Time Equivalents 29 I. Changes In Full Time Employment BASE: Year End Actual from Prior Year FY 2015 FY 2016 444 768 12 - Increases Transfer from Surface Appropriation Transfer In from Aviation Security to Intelligence PPA - 1 Balanced Workforce Contract Conversion in Hazmat Fee PPA - 17 Transfer In from Surface Transportation Security to Other Vetting PPA - 1 Balanced Workforce Contract Conversion in Other Vetting PPA - 6 Transfer In from Surface Transportation Security to Intelligence PPA - 1 Balanced Workforce Contract Conversion in TWIC Fee PPA - 21 Balanced Workforce Contract Conversion in Alien Flight School Fee PPA - 9 TWIC FTE Increase 3 - TSA Pre✓® Application Program 9 - 36 17 262 - Actual FTE Adjustment Transfer of Intelligence PPA from Support appropriation Other Vetting Position and FTE Increase 1 - Air Cargo FTE Increase 1 1 324 74 Common Appropriation Structure Adjustment - - Subtotal, Decreases - - Year End Actuals/Estimated FTEs: 768 842 Net Change from prior year base to Budget Year Estimate: 324 74 Subtotal, Increases Decreases 30 FY 2017 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security Transportation Security Administration Intelligence and Vetting (Dollars in Thousands) Program/Project/Activity Intelligence Total Working Capital Fund FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount $351 $351 $2,103 $2,103 - ($2,103) ($2,103) 31 Department of Homeland Security Transportation Security Administration Transportation Security Support Fiscal Year 2017 Congressional Justification Table of Contents Page No. II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA).....1 III. Current Services Program Description by PPA......................................................2 V. Exhibits and Other Supporting Material ................................................................5 B. FY 2016 to FY 2017 Budget Change...............................................................5 D. Summary of Reimbursable Resources .............................................................6 E. Summary of Requirements By Object Class ....................................................7 F. Permanent Positions by Grade..........................................................................8 H. PPA Budget Justifications................................................................................9 I. Changes In Full Time Employment.................................................................13 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ..14 II. Summary of FY 2017 Budget Estimates by Program/Project Activity (PPA) Department of Homeland Security Transportation Security Administration Transportation Security Support Summary of FY 2017 Budget Estimates by Program Project Activity FY 2017 Request (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS Administration Headquarters Administration FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY 2017 Total Changes Amount POS FTE Amount Program Changes POS FTE Adjustments-to-Base Amount POS FTE Amount 1,886 1,693 $937,226 1,914 1,737 $924,015 - - - (1,914) (1,737) ($924,015) - - - (1,914) (1,737) ($924,015) 1,301 1,155 $269,100 1,264 1,132 $273,259 - - - (1,264) (1,132) ($273,259) - - - (1,264) (1,132) ($273,259) Human Capital Services 264 247 $199,126 341 324 $201,596 - - - (341) (324) ($201,596) - - - (341) (324) ($201,596) Information Technology 321 291 $469,000 309 281 $449,160 - - - (309) (281) ($449,160) - - - (309) (281) ($449,160) Total, Transportation Security Support 1,886 1,693 $937,226 1,914 1,737 $924,015 - - - (1,914) (1,737) ($924,015) - - - (1,914) (1,737) ($924,015) Subtotal, Enacted Appropriations & Budget Estimates 1,886 1,693 $937,226 1,914 1,737 ($924,015) Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: - - 1,886 1,693 $924,015 - - - (1,914) (1,737) ($924,015) - - - (1,914) (1,737) - - - - - - - - - - - - - - $937,226 1,914 1,737 $924,015 - - - (1,914) (1,737) ($924,015) - - - (1,914) (1,737) ($924,015) - - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission 1 III. Current Services Program Description by PPA Department of Homeland Security Transportation Security Administration Headquarters Administration Program Performance Justification (Dollars in Thousands) PPA: Headquarters Administration Perm. Pos. 1,301 1,264 (1,264) (1,264) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 1,155 $269,100 1,132 $273,259 (1,132) ($273,259) ­ ­ ­ (1,132) ($273,259) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Headquarters Administration Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Management & Administration Transfer Out to Operations & Support ­ Transportation Assessment & Enforcement Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 2 Positions 1,301 1,264 FTE 1,155 1,132 Amount 269,100 273,259 (898) (817) (195,172) (366) (315) (71,363) (1,264) (1,132) (6,724) (273,259) Department of Homeland Security Transportation Security Administration Human Capital Services Program Performance Justification (Dollars in Thousands) PPA: Human Capital Services Perm. Pos. 264 341 (341) (341) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 247 $199,126 324 $201,596 (324) ($201,596) ­ ­ ­ (324) ($201,596) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Human Capital Services Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Management & Administration Transfer Out to Operations & Support ­ Transportation Assessment & Enforcement Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 3 Positions 264 341 FTE 247 324 Amount 199,126 201,596 (341) (324) (70,190) - - (570) (341) (324) (130,836) (201,596) Department of Homeland Security Transportation Security Administration Information Technology Program Performance Justification (Dollars in Thousands) PPA: Information Technology Perm. Pos. 321 309 (309) (309) FY 2015 Revised Enacted FY 2016 Enacted 2017 Adjustments-to-Base FY 2017 Current Services FY 2017 Program Change FY 2017 Total Request Total Change 2016 to 2017 FTE Amount 291 $469,000 281 $449,160 (281) ($449,160) ­ ­ ­ (281) ($449,160) CURRENT SERVICES PROGRAM DESCRIPTION: As a result of the Common Appropriation Structure, FY 2016 base funds will be transferred out to: Information Technology Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer Out to Operations & Support ­ Management & Administration Transfer Out to Operations & Support ­ Transportation Assessment & Enforcement Transfer Out to Operations & Support ­ Transportation Screening Operations Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 4 Positions 321 309 FTE 291 281 Amount 469,000 449,160 (309) (281) (73,314) - - (35,900) (309) (281) (339,946) (449,160) V. Exhibits and Other Supporting Material B. FY 2016 to FY 2017 Budget Change Department of Homeland Security Transportation Security Administration Transportation Security Support FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Pos. FTE Amount 1,886 1,914 (1,914) 1,693 1,737 (1,737) $937,226 $924,015 ($924,015) (1,548) (366) (1,914) (1,914) (1,914) (1,422) (315) (1,737) (1,737) (1,737) ($338,676) ($107,833) ($477,506) ($924,015) ($924,015) ($924,015) Transfers to and from other accounts: Transfer Out to Operations & Support - Management & Administration Transfer Out to Operations & Support - Transportation Assessment & Enforcement Transfer Out to Operations & Support - Transportation Screening Operations Total Transfers Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change 5 D. Summary of Reimbursable Resources Department of Homeland Security Transportation Security Administration Transportation Security Support Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: Pos Department of Justice Director of National Intelligence DHS Other Federal Agencies DHS - Immigration and Customs Enforcement Office of Health Affairs Total Budgetary Resources FTE - 1 2 1 1 1 6 Amount $32 $388 $266 $8 $114 $137 $945 FY 2016 Enacted Pos - FY 2015 Revised Enacted Obligations by Program/Project Activity: Headquarters Administration Information Technology Total Obligations Pos FTE - 3 3 6 Amount $404 $541 $945 FTE 1 1 1 3 FY 2017 Request Amount $62 $384 $8 $183 $637 Pos Amount $454 $183 $637 Pos - FY 2016 Enacted Pos FTE - 6 2 1 3 FTE Increase/Decrease Amount - Pos - FY 2017 Request FTE - (1) (1) (1) (3) Amount ($62) ($384) ($8) ($183) ($637) Increase/Decrease Amount - FTE - Pos - FTE - (2) (1) (3) Amount ($454) ($183) ($637) E. Summary of Requirements By Object Class Department of Homeland Security Transportation Security Administration Transportation Security Support Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 2016 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits $185,977 $2,682 $9,121 $53,768 $6,918 $258,466 $189,753 $2,758 $9,088 $54,010 $8,765 $264,374 - ($189,753) ($2,758) ($9,088) ($54,010) ($8,765) ($264,374) $7,086 $328 $2,528 $20,534 $48,492 $171 $319,300 $106,025 $102,893 $5,302 $32 $28,001 $1,985 $34,990 $1,028 $65 $678,760 $7,352 $343 $2,605 $22,225 $46,552 $177 $306,812 $103,821 $100,077 $5,701 $34 $26,948 $2,075 $33,739 $1,115 $65 $659,641 - ($7,352) ($343) ($2,605) ($22,225) ($46,552) ($177) ($306,812) ($103,821) ($100,077) ($5,701) ($34) ($26,948) ($2,075) ($33,739) ($1,115) ($65) ($659,641) $937,226 $924,015 - ($924,015) - - - - $937,226 $924,015 - ($924,015) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations Adjustments Net Offsetting Collections Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Offsetting Collections Total Requirements 7 F. Permanent Positions by Grade Department of Homeland Security Transportation Security Administration Transportation Security Support Permanent Positions by Grade Grades and Salary Range Total, SES Total, EX L Band K Band J Band I Band H Band G Band F Band E Band D Band C Ban B Band Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Total, Transportation Security Support: Full Time Equivalents Average ES Salary Average Salary, Banded Positions Average Band 8 FY 2015 FY 2016 FY 2017 FY 2016 to Revised Enacted Enacted Request FY 2017 Change Pos. 29 1 50 329 633 335 241 155 77 20 9 3 4 1,886 105 1,781 1,554 332 1,886 Pos. 30 1 50 329 643 340 243 161 80 21 9 3 4 1,914 105 1,809 1,582 332 1,914 Pos. - Total (30) (1) (50) (329) (643) (340) (243) (161) (80) (21) (9) (3) (4) (1,914) (105) (1,809) (1,582) (332) (1,914) 1,693 1,737 - (1,737) 171,910 - 171,910 - - (171,910) - H. PPA Budget Justifications Department of Homeland Security Transportation Security Administration Transportation Security Support Administration Headquarters Administration Summary of Requirements by Object Class (Dollars in Thousands) FY 2015 Revised Enacted Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $125,874 $125,327 - ($125,327) 11.3 Other than Full-Time Permanent $2,210 $2,160 - ($2,160) 11.5 Other Personnel Compensation $6,644 $6,493 - ($6,493) $38,077 $37,208 - ($37,208) $172,805 $171,188 - ($171,188) - - - ($4,946) 12.1 Civilian Personnel Benefits Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $4,563 $4,946 - 22.0 Transportation of Things $235 $255 - ($255) 23.1 Rental Payments to GSA $1,447 $1,568 - ($1,568) 23.2 Rental Payments to Others $20,273 $21,977 - ($21,977) 23.3 Communications, Utilities, and Misc. Charges $315 $342 - ($342) 24.0 Printing and Reproduction $120 $129 - ($129) $9,491 $10,289 - ($10,289) $38,128 $12,186 $39,013 $13,212 - ($39,013) ($13,212) $4,921 $5,335 - ($5,335) $21 $23 - ($23) $722 $783 - ($783) 26.0 Supplies and Materials $1,384 $1,500 - ($1,500) 31.0 Equipment $1,440 $1,561 - ($1,561) 32.0 Land and Structures $1,028 $1,115 - ($1,115) $21 $23 - ($23) $96,295 $102,071 - ($102,071) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $269,100 $273,259 - ($273,259) 1,155 1,132 - (1,132) 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total Requirements Full Time Equivalents 9 Department of Homeland Security Transportation Security Administration Transportation Security Support Administration Human Capital Services Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $23,711 $30,043 - ($30,043) 11.3 Other than Full-Time Permanent $472 $598 - ($598) 11.5 Other Personnel Compensation $788 $999 - ($999) $6,139 $7,778 - ($7,778) 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel $6,918 $8,765 - ($8,765) $38,028 $48,183 - ($48,183) - - - - $2,209 $2,105 - ($2,105) $51 $48 - ($48) $261 $248 - ($248) 23.3 Communications, Utilities, and Misc. Charges $12 $12 - ($12) 24.0 Printing and Reproduction $51 $48 - ($48) 25.1 Advisory and Assistance Services $91,989 $87,600 - ($87,600) 25.2 Other Services from Non-Federal Sources $46,209 $44,005 - ($44,005) 25.3 Other Goods and Services from Federal Sources $19,922 $18,971 - ($18,971) $11 $11 - ($11) $224 $214 - ($214) Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 25.6 Medical Care 26.0 Supplies and Materials 31.0 Equipment $159 $151 - ($151) $161,098 $153,413 - ($153,413) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $199,126 $201,596 - ($201,596) 247 324 - (324) Total, Other Object Classes Total Requirements Full Time Equivalents 10 Department of Homeland Security Transportation Security Administration Transportation Security Support Administration Information Technology Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Personnel and Compensation Benefits 11.1 Full-time Permanent FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - $36,392 $34,383 - ($34,383) 11.5 Other Personnel Compensation $1,689 $1,596 - ($1,596) 12.1 Civilian Personnel Benefits $9,552 $9,024 - ($9,024) $47,633 $45,003 - ($45,003) - - - ($301) Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons $314 $301 - 22.0 Transportation of Things $42 $40 - ($40) 23.1 Rental Payments to GSA $1,081 $1,037 - ($1,037) 23.3 Communications, Utilities, and Misc. Charges $48,165 $46,198 - ($46,198) $217,820 $208,923 - ($208,923) 25.2 Other Services from Non-Federal Sources $21,688 $20,803 - ($20,803) 25.3 Other Goods and Services from Federal Sources $70,785 $67,894 - ($67,894) $381 $366 - ($366) $27,279 $26,165 - ($26,165) $377 $361 - ($361) $33,391 $32,027 - ($32,027) 25.1 Advisory and Assistance Services 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 31.0 Equipment 42.0 Insurance Claims and Indemnities $44 $42 - ($42) $421,367 $404,157 - ($404,157) Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - $469,000 $449,160 - ($449,160) 291 281 - (281) Total, Other Object Classes Total Requirements Full Time Equivalents 11 Department of Homeland Security Transportation Security Administration Transportation Security Support Administration Intelligence Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Personnel and Compensation Benefits - - - - Other Object Classes - - - - Adjustments - - - - Unobligated Balance, start of year - - - - Unobligated Balance, end of year - - - - Recoveries of Prior Year Obligations - - - - - - - - - - - - Total Requirements Full Time Equivalents 12 I. Changes In Full Time Employment FY 2015 FY 2016 1,608 1,693 Fill Vacancies 141 50 Transfer from Aviation 212 - Subtotal, Increases 353 50 Transfer from Support to Operations & Support - - Transfer from Support to Aviation - (6) (262) - (6) - Subtotal, Decreases (268) (6) Year End Actuals/Estimated FTEs: 1,693 1,737 85 44 BASE: Year End Actual from Prior Year Increases Decreases Other adjustments/transfer to Intelligence & Vetting Leverage Efficiencies from Risk Based Security (RBS) Net Change from prior year base to Budget Year Estimate: 13 FY 2017 J. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security Transportation Security Administration Transportation Security Support (Dollars in Thousands) Progam/Project/Activity Headquarters Administration Human Capital Services Information Technology Total Working Capital Fund FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount $9,027 2,529 64,029 $75,585 $8,510 $6,719 $55,999 $71,228 - ($8,510) ($6,719) ($55,999) ($71,228) 14 Department of Homeland Security Transportation Security Administration _____________________________________________________ Fiscal Year 2017 Strategic Context Congressional Submission Transportation Security Administration - Strategic Context Table of Contents A. C omponent Overview .................................................................................................................................. 2 FY 2017 Budget Request ............................................................................................................................. 3 B. Component Contributions to Achieving Departmental Missions ................................................................ 3 Mission 1: Prevent Terrorism and Enhance Security ............................................................................. 4 Resources Requested................................................................................................................................. 4 Performance Measures ............................................................................................................................. 4 Mission 2: Secure and Manage Our Borders ......................................................................................... 12 Resources Requested............................................................................................................................... 12 Performance Measures ........................................................................................................................... 12 Mature and Strengthen Homeland Security ........................................................................................... 12 Resources Requested............................................................................................................................... 12 Performance Measures ........................................................................................................................... 12 TSA - i Transportation Security Administration - Strategic Context A. Component Overview The Transportation Security Administration (TSA) is comprised of the following missionoriented programs that support achievement of the DHS strategic missions, goals, and objectives. Transportation Screening Operations: Transportation Screening Operations focuses its resources at security checkpoints by applying intelligence-driven, risk-based screening procedures and enhancing use of technology to prevent dangerous items or individuals from boarding aircraft while also improving the passenger experience. By placing more emphasis on pre-screening individuals and optimizing screening processes and the use of technology, TSA can focus its efforts on passengers who are more likely to pose a risk to transportation, enhancing the travel experience for known and trusted travelers going through expedited screening. TSA also supports the installation of electronic baggage screening equipment in our Nation's airports to ensure 100% screening of checked baggage, including Explosives Trace Detection devices and Explosive Detection System equipment. Other activities captured in this program area are air cargo screening, federal and proprietary canine deployments, and vetting airline passengers and transportation employees. Transportation Assessments and Enforcement: Transportation Assessments and Enforcement encompasses TSA’s security reviews, assessment, and enforcement activities in the various modes of transportation, and in-flight security activities in the aviation domain. Activities captured in this program area include: Intelligence and Analysis; Visible Intermodal Prevention and Response teams; domestic and international inspectors, reviews, and assessments; Federal Air Marshals international and domestic flight coverage; deputizing airline pilots; and training crew members in self-defense. Management and Administration: This program captures activities that provide enterprise leadership, management and/or business administration services and describes the capabilities and activities that support the day-to-day management and back office functions enabling the Department to operate efficiently and effectively. Key capabilities include conducting agency planning and performance management, managing finances, managing agency workforce, providing physical and personnel security, acquiring goods and services, managing information technology, managing agency property and assets, managing agency communications, managing legal affairs, and providing general management and administration. TSA - 2 Transportation Security Administration - Strategic Context FY 2017 Budget Request The table below shows TSA’s FY 2017 Budget request by its mission-oriented programs. Program Transportation Screening Operations Transportation Assessments and Enforcement Management and Administration Total Budget Request FY 2017 Request Dollars FTE (in thousands) 47,163 5,765,021 3,173 1,487,109 1,423 51,759 336,949 7,589,079 B. Component Contributions to Achieving Departmental Missions The table below shows the alignment of the TSA programs to the DHS Missions and Mature and Strengthen Homeland Security. Programs Transportation Screening Operations Transportation Assessments and Enforcement Management and Administration Prevent Terrorism and Enhance Security Secure and Manage Our Borders DHS Missions Mature Enforce and Strengthen and Administer Safeguard National Strengthen Our and Secure Preparedness Homeland Immigration Cyberspace and Security Laws Resilience 99% 89% 1% 5% 6% 34% 66% TSA - 3 Transportation Security Administration - Strategic Context Mission 1: Prevent Terrorism and Enhance Security Resources Requested TSA resources supporting Prevent Terrorism and Enhance Security are provided in the table below. $ in thousands Program $ FY 2015 FTE* FY 2016 $ FY 2017 FTE $ FTE Transportation 5,549,416 50,295 5,629,264 46,741 5,706,026 47,162 Screening Operations Transportation Assessments and 1,307,463 2,732 1,284,401 2,542 1,316,882 2,571 Enforcement Management and 108,577 452 110,025 427 113,344 462 Administration 53,479 7,023,690 49,710 7,136,252 50,195 Total 6,965,456 *Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures For Prevent Terrorism and Enhance Security, two types of performance measures are presented. Strategic Measures represent TSA measures that gauge achievement for this mission area, and are considered to be our Government Performance and Results Act Modernization Act (GPRAMA) performance measures. Additional Management Measures are displayed, as appropriate, to provide a more thorough context of expected performance results. Strategic Measures Measure: Average number of days for DHS Traveler Redress Inquiry Program (TRIP) redress requests to be closed Description: This measure describes the average number of days for the processing of traveler redress requests, excluding the time for the traveler to submit all required documents. DHS TRIP is a single point of contact for individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs or crossing U.S. borders. DHS TRIP is part of an effort by the Departments of State and Homeland Security to welcome legitimate travelers while securing our country from those who want to do us harm. This measure indicates how quickly the program is providing redress to individuals who have inquiries or seek resolution regarding difficulties they experienced during their travel screening at transportation hubs or crossing U.S. borders. TSA - 4 Transportation Security Administration - Strategic Context Fiscal Year: Target: Result: FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 <97 93 <93 52 <78 62 <70 50 <60 N/A <60 N/A Measure: Percent of air carriers operating from domestic airports in compliance with leading security indicators Description: This measure identifies air carrier compliance for U.S. flagged aircraft operating domestically with leading security indicators. These critical indicators are derived from security laws, rules, regulations, and standards. A leading security indicator is a key indicator that may be predictive of the overall security posture of an air carrier. Identifying compliance with the key indicators assesses air carrier's vulnerabilities and is part of an overall risk reduction process. Measuring compliance with standards is a strong indicator of system security. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 98.1% 98.0% 98.0% 98.0% N/A N/A Result: Measure: Percent of daily passengers receiving expedited physical screening based on assessed low risk Description: This measure gauges the percent of daily passengers who received expedited physical screening because they meet low risk protocols or have been otherwise assessed at the checkpoint as low-risk. TSA Pre-Check incorporates modified screening protocols for eligible participants who have enrolled in the TSA Pre-Check program as well as other known populations such as known crew members, active duty service members, members of Congress and other trusted populations. In an effort to strengthen aviation security while enhancing the passenger experience, TSA is focusing on risk-based, intelligence-driven security procedures and enhancing its use of technology in order to focus its resources on the unknown traveler. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A N/A 50% 50% Target: N/A N/A N/A N/A N/A N/A Result: Measure: Percent of domestic air enplanements vetted against the terrorist watch list through Secure Flight Description: The Secure Flight program compares domestic passenger information to the No Fly and Selectee List components of the Terrorist Screening Database (TSDB), which contains the Government's consolidated terrorist watch list, maintained by the Terrorist Screening Center. The No Fly and Selectee Lists are based on all the records in the TSDB, and represent the subset of names who meet the criteria of the No Fly and Selectee designations. Secure Flight will also match data against additional subsets of the TSDB as determined by Department and Agency leadership. This is a unified approach to watch list matching for covered passenger flights, to TSA - 5 Transportation Security Administration - Strategic Context avoid unnecessary duplication of watch list matching efforts and resources and reduce the burden on aircraft operators. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 100% 100% 100% 100% N/A N/A Result: Measure: Percent of domestic cargo audits that meet screening standards Description: This measure gauges the compliance of shippers with cargo screening standards. Enforcing and monitoring cargo screening standards is one of the most direct methods TSA has for overseeing air cargo safety. TSA conducts these audits of shippers based on cargo regulations specified in Title 49 Code of Federal Regulations Part 1540 and these audits include: training, facilities, acceptance of cargo, screening, certifications, identification verification, and procedures. Ensuring successful cargo screening means having a safe, fast flow of air commerce and reduces the risk of criminal and terrorist misuse of the supply chain. The objective is to increase the security posture and compliance rate for each entity conducting domestic cargo screening. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A N/A 95% 96% Target: N/A N/A N/A N/A N/A N/A Result: Measure: Percent of foreign airports that serve as last points of departure and air carriers involved in international operations to the United States advised of necessary actions to mitigate identified vulnerabilities in order to ensure compliance with critical security measures Description: This index combines: (1) percent of foreign airports serving as Last Point of Departure (LPD) to the U.S. notified of critical vulnerabilities and accompanying recommendations, and (2) percent of foreign air carriers operating flights from these foreign airports and U.S. air carriers operating from any foreign airport regardless of destination notified of violations of critical regulations and accompanying recommendations/follow-up action. TSA evaluates/documents security at foreign airports with service to U.S., airports from which U.S. air carriers operate, and other sites on a 5-point scale against critical International Civil Aviation Organization (ICAO) aviation and airport security standards. TSA assess compliance with these standards and provides feedback to the host governments for awareness and recommended follow-up action. Identifying and notifying air carriers of non-compliance with critical regulations mitigates air carrier vulnerabilities and reduces risk. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A 100% 100% 100% 100% 100% Target: N/A 100% 100% 100% N/A N/A Result: TSA - 6 Transportation Security Administration - Strategic Context Measure: Percent of international air enplanements vetted against the terrorist watch list through Secure Flight Description: The Secure Flight program compares international passenger information to the No Fly and Selectee List components of the Terrorist Screening Database (TSDB), which contains the Government's consolidated terrorist watch list, maintained by the Terrorist Screening Center. The No Fly and Selectee Lists are based on all the records in the TSDB, and represent the subset of names who meet the criteria of the No Fly and Selectee designations. Secure Flight will also match data against additional subsets of the TSDB as determined by Department and Agency leadership This is a unified approach to watch list matching for covered passenger flights, to avoid unnecessary duplication of watch list matching efforts and resources and reduce the burden on aircraft operators. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 100% 100% 100% 100% N/A N/A Result: Measure: Percent of international cargo audits that meet screening standards Description: This measure gauges the compliance of international shippers with cargo screening standards. Enforcing and monitoring cargo screening standards is one of the most direct methods TSA has for overseeing air cargo safety. TSA conducts these audits of shippers based on cargo regulations specified in Title 49 Code of Federal Regulations Part 1540 and these audits include: training, facilities, acceptance of cargo, screening, certifications, identification verification, and procedures. Ensuring successful cargo screening means having a safe, fast flow of air commerce and reduces the risk of criminal and terrorist misuse of the supply chain. The objective is to increase the security posture and compliance rate for each entity conducting domestic cargo screening. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A N/A 95% 96% Target: N/A N/A N/A N/A N/A N/A Result: Measure: Percent of overall compliance of domestic airports with established aviation security indicators Description: This measure provides the percent of domestic airports assessed that comply with established security standards and practices related to aviation security. Security indicators are key indicators that may be predictive of the overall security posture of an airport. Identifying compliance with the key indicators assesses airport vulnerabilities and is part of an overall risk reduction process. Measuring compliance with standards is a strong indicator of system security. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 95.0% 94.4% 94.0% 95.0% N/A N/A Result: TSA - 7 Transportation Security Administration - Strategic Context Measure: Percent of overall level of implementation of industry agreed upon Security and Emergency Management action items by mass transit and passenger rail agencies Description: This measure provides the rate of implementation by mass transit, light and passenger rail, bus, and other commuter transportation agencies with established security standards and practices related to six critical Security Action Items (SAIs). These six SAIs are key indicators of the overall security posture of a mass transit and passenger rail transportation system. Measuring implementation of these six SAIs assesses transit vulnerabilities and is part of an overall risk reduction process. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 75% 75% 77% 82% 86% 86% Target: 39% 69% 78% 80% N/A N/A Result: Management Measures Measure: Average number of international inspections conducted annually per inspector Description: International compliance with security requirements is measured through number of airport assessments and air carrier inspections for all regions and offices performed by field and headquarters inspectors. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 15 16 17 19 19 19 Target: 26.8 20.3 19.0 20.0 N/A N/A Result: Measure: Level of baggage security screening assessment results Description: This measure appraises the percent of the time Transportation Security Officers (TSOs) correctly detect threat items concealed in baggage using realistic and standardized assessment scenarios. This information is used to improve screening practices and procedures to reduce the probability of a successful terrorist or other criminal attack to the aviation transportation system. The actual results are Classified and are not releasable to the public at this time for security reasons. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: Classified Classified Classified Classified Classified Classified Target: Classified Classified Classified Classified N/A N/A Result: Measure: Level of passenger security screening assessment results Description: This measure appraises the percent of the time Transportation Security Officers (TSOs) correctly detect threat items concealed in baggage using realistic and standardized assessment scenarios. This information is used to improve screening practices and procedures to reduce the probability of a successful terrorist or other criminal attack to the aviation TSA - 8 Transportation Security Administration - Strategic Context transportation system. The actual results are classified and are not releasable to the public at this time for security reasons. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: Classified Classified Classified Classified Classified Classified Target: Classified Classified Classified Classified N/A N/A Result: Measure: Number of high risk pipeline systems on which security reviews were conducted Description: Pipeline Security Reviews assess and elevate the security posture of the pipeline energy transportation mode. Information and recommendations from pipeline corporate headquarters and field site reviews inform critical energy facility operators of issues to enhance security from terrorism and criminal activity. The onsite security reviews develop firsthand knowledge of security planning and execution of the critical pipeline systems, establish communication with key pipeline security personnel, and identify and share smart practices. As industry wide security gaps are identified through the process, the TSA Surface Division develops programs to address gaps throughout the pipeline industry. Each pipeline corporation is assessed/reassessed every 4-5 years. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 15 15 15 23 45 50 Target: 16 7 0 44 N/A N/A Result: Measure: Percent of checked baggage screened with Explosive Detection Systems (EDS) Description: The measure tracks the percentage of checked baggage screened by Explosives Detection System (EDS) equipment, and provides an indicator of the deployment and utilization of stand-alone and in-line Next Generation (NextGen) EDS, which are installed at airports to detect threats concealed within checked baggage. Checked baggage that is not screened with EDS is alternatively screened with Explosives Trace Detection units in order to meet the 100% checked baggage screening requirement of the Aviation and Transportation Security Act of 2001 (P.L. 107-71). Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 91% 90% 90% 90% 90% 90% Target: 90% 90.0% 90% 90% N/A N/A Result: Measure: Percent of countries with direct flights to the U.S. who are provided aviation security assistance Description: The measure reports the amount of interaction the United States has with countries providing Last-Point-of-Departure (LPD) service to the U.S. An LPD country is a country with at least one port providing direct traffic to a specific destination - usually a foreign airport with direct passenger and/or cargo flights to a U.S. destination airport. The U.S. interacts with countries providing LPD service with the goal to share aviation security policy and practices at TSA - 9 Transportation Security Administration - Strategic Context either the national or airport level. Fiscal FY 2012 FY 2013 Year: 100% 100% Target: 100% 100% Result: FY 2014 FY 2015 FY 2016 FY 2017 100% 100% 100% 100% 100% N/A 100% N/A Measure: Percent of Indirect Air Carriers found to be compliant with TSA standard security programs Description: This measure gauges the percent of Indirect Air Carriers that have at least one finding during inspection calculated against the total number of inspections conducted. An Indirect Air Carrier (IAC) is defined as any person, organization, or business within the United States national air system that does not possess a Federal Aviation Administration issued air carrier operation certificate, yet employs the services of licensed air carriers to move cargo from one destination to another. Air carriers leasing and selling space on their aircrafts provide these services to companies for the purpose of shipping items. Examples of an IAC could be a charter vendor, the postal service, or freight forwarder. Standard Security Programs provide detailed guidance to these regulated parties on how to implement regulatory requirements. Continuing education, outreach efforts, and targeting additional resources on IACs identified as noncompliant, will increase the rate of IACs in compliance. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 86% 88% 90% 92% 94% 96% Target: 88.7% 90.0% 89.0% 88.0% N/A N/A Result: Measure: Percent of international flight crews, aviation workers, hazardous material drivers, transportation workers requiring unescorted access to secure areas of MTSA-regulated facilities and vessels, all mariners holding Coast Guard-issued credentials, and non-U.S. citizens receiving flight instruction at Federal Aviation Administration certified flight schools in the U.S. and abroad undergoing a security threat assessment Description: This measure indicates the percent of international flight crews, aviation workers, hazardous material drivers, transportation workers requiring unescorted access to secure areas of MTSA-regulated facilities and vessels, and all mariners holding Coast Guard-issued credentials, and non-U.S. citizens receiving flight instruction at Federal Aviation Administration certified flight schools in the U.S. and abroad receiving a Security Threat Assessment. Vetting is a process in which individuals are cleared as able to access the transportation system and are therefore not considered a threat. Thorough vetting will decrease vulnerabilities of sensitive transportation systems by limiting access of potentially dangerous individuals who are identified by vetting and credentialing programs. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 100% 100% 100% 100% N/A N/A Result: TSA - 10 Transportation Security Administration - Strategic Context Measure: Percent of risk based flight coverage by the Federal Air Marshal Service (FAMS) Description: This measure reflects the percent of flights covered by FAMS according to the updated Concept of Operations (CONOPS) and TSA’s risk based strategy. The updated CONOPS and risk based strategy redistribute resources to more adequately cover high-risk flights as well as implement a random and unpredictable nature to FAMS scheduling. FAMs are trained and equipped law enforcement officers who deploy on commercial U.S. aircraft for both domestic and international flights to detect, deter, and defeat hostile acts targeting U.S. air carriers, airports, passengers, and crews.to achieve maximum risk mitigation and promote confidence in the nation's civil aviation system. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A N/A 100% 100% Target: N/A N/A N/A N/A N/A N/A Result: Measure: Percent variation between risk based planned deployments and actual deployments for Visible Intermodal Prevention and Response (VIPR) operations Description: This measure reflects the coverage by VIPR teams at prioritized locations based upon risk and assesses how well TSA is deploying its VIPR resources based on the risk levels assigned to deployment locations. The percent is determined by evaluating the deviation of actual coverage from desired coverage. VIPR operations are the deployment of any combination of TSA personnel and equipment for the purpose of enhancing the security of any mode of transportation (aviation, mass transit, highway, maritime, freight rail, and pipeline) with any of TSA's transportation security and law enforcement stakeholders which may include federal, state, tribal, or local authorities. The deployment locations within each transportation mode nationwide have been assigned a risk level based on data from the Transportation Sector Security Risk Assessment (TSSRA). TSSRA also determines the percent of deployment time for each risk level and constitutes the foundation for the risk-based deployment targets. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A N/A 90% 91% Target: N/A N/A N/A N/A N/A N/A Result: TSA - 11 Transportation Security Administration - Strategic Context Mission 2: Secure and Manage Our Borders Resources Requested TSA resources supporting Secure and Manage Our Borders are provided in the table below. $ in thousands Program Transportation Assessments and Enforcement $ FY 2015 FTE* 71,295 300 FY 2016 FY 2017 $ FTE $ FTE 73,812 293 73,775 292 71,295 300 73,812 293 73,775 292 Total *Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures TSA contributes to this mission, but does not have performance measures in this area. Mature and Strengthen Homeland Security Resources Requested TSA resources supporting Mature and Strengthen Homeland Security are provided in the table below. $ in thousands Program $ FY 2015 FTE* FY 2016 $ FY 2017 FTE $ FTE Transportation 48,379 1 40,410 1 58,995 1 Screening Operations Transportation Assessments and 86,607 326 73,533 310 96,452 310 Enforcement Management and 205,630 910 228,651 995 223,605 961 Administration 1,237 342,594 1,306 379,052 1,272 Total 340,616 *Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ submission. Performance Measures TSA contributes to this mission, but does not have performance measures in this area. TSA - 12 Department of Homeland Security United States Coast Guard One-Time Exhibits ____________________________________________________ Fiscal Year 2017 Congressional Justification i. Summary of FY 2017 Budget Estimates by Appropriation Department of Homeland Security U.S. Coast Guard Summary of FY 2017 Budget Estimates by Appropriation Total Appropriations (Dollars in Thousands) Budget Activity Operating Expenses Environmental Compliance and Restoration FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE 47,914 45,704 6,901,488 48,429 48,247 6,986,815 325 320 85,327 - - - 325 320 25 24 13,221 25 24 13,315 - - 94 - - - - - Reserve Training 94 416 416 110,614 416 416 112,302 - - 1,688 - - - - - 1,688 Acquisition, Construction and Improvements 1,230,008 914 889 1,945,169 914 897 1,136,788 - 8 (808,381) - 8 (808,381) - - - - - - - - - - - - - - - - - - - 87 17,892 96 96 18,019 96 96 18,319 - - 300 - - - - - 300 - - 176,970 - - 168,847 - - 160,899 - - (7,948) - - - - - (7,948) 49,378 47,028 8,397,045 49,555 49,352 9,157,358 49,880 49,680 8,428,438 325 328 (728,920) - 8 (808,381) 325 320 79,461 - - 1,450,626 - - 1,604,000 - - 1,666,940 - - 62,940 - - - - - 62,940 14 13 112,830 14 14 114,326 14 14 116,088 - - 1,762 - - - - - 1,762 Maritime Oil Spill Program - - 182,266 - - 107,329 - - 107,868 - - 539 - - - - - 539 General Gift Funds - - 1,703 - - 1,621 - - 2,214 - - 593 - - - - - 593 14 13 1,747,425 14 14 1,827,276 14 14 1,893,110 - - 65,834 - - - - - 65,834 - - [45,000] - - [45,000] - - [45,000] - - - - - - - - - - [457] 213,000 - 366 160,002 - - - - (366) (160,002) - - - - (366) (160,002) - - (5,028) - - (10,140) - - - - - 10,140 - - - - - 10,140 - - [4,785] - - - - - - - - - - - - - - - - - (61,695) - - (22,245) - - - - - 22,245 - - - - - 22,245 47,041 10,290,747 49,569 49,732 11,112,251 49,894 49,694 10,321,548 325 (38) (800,843) - 8 (808,381) 325 (46) 7,538 Boat Safety Subtotal Mandatory OSLTF Contribution Overseas Contingency Operations (OCO) Funding Funding (P.L.113-6) 505 Rescission Transfer from CBP to AC&I Rescissions of unobligated balances permanently reduced Gross Enacted Appropriations and Budget Estimates (Discretionary, Mandatory and Rescissions) FTE 6,844,406 48,104 47,927 22 13,197 25 445 456 114,572 898 759 - - 96 49,392 AMOUNT AMOUNT POS FTE AMOUNT POS FTE Adjustments-to-Base FTE Research, Development, Test and Evaluation Medicare-Eligible Retiree Health Care Fund Contribution Subtotal, Enacted Appropriations and Budget Estimates Retired Pay POS Program Changes POS Alteration of Bridges AMOUNT Increase (+) or Decrease (-) For FY 2017 Total Changes AMOUNT POS FTE AMOUNT 85,327 ii. FY 2017 Investment Summary by Appropriation Department of Homeland Security U.S. Coast Guard FY 2017 Investment Summary by Appropriation* Total Appropriations (Dollars in Thousands) Investment Summary by Program/Project Activity Operating Expenses: CG Logistics Information Management System (CG-LIMS) PPAIV Coast Guard Business Intelligence (CGBI) PPAIV Direct Access PPAIV Financial Management Service Improvement Initiative (FMSII) PPAIV Interagency Operations Centers PPAIV Marine Information for Safety and Law Enforcement (MISLE) PPAIV CGOne PPAV Core Accounting System (CAS) PPAV SWIRS PPAV Vessel Logistics System (VLS) PPAV Asset Logistics Management Information System (ALMIS) PPAVI Ports and Waterways Safety System (PAWSS) PPAVI Rescue 21 PPAVI Acquisition, Construction and Improvements: Fast Response Cutter (FRC) I. Vessels National Security Cutter (NSC) I. Vessels Offshore Patrol Cutter (OPC) I. Vessels Polar Icebreaker I. Vessels HC-130J II. Aircraft HC-144A II. Aircraft HC-27J II. Aircraft HH-65 II. Aircraft C4ISR III. Other CG-Logistics Information Management System (CG-LIMS) III. Other Total Investments * Includes only those investments on Major Acquisition Oversight List (MAOL) FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request $262,057 $3,066 $6,096 $12,188 $5,244 $7,164 $9,655 $24,191 $31,248 $56,615 $5,207 $8,230 $17,949 $75,204 $979,432 $110,000 $632,847 $20,000 $107,485 $15,000 $20,000 $30,000 $36,300 $7,800 $1,241,489 $276,008 $3,884 $6,116 $12,382 $19,564 $7,164 $9,655 $24,191 $29,847 $56,615 $5,207 $8,230 $17,949 $75,204 $1,518,500 $340,000 $743,400 $89,000 $6,000 $150,000 $3,000 $102,000 $40,000 $36,600 $8,500 $1,794,508 $301,028 $3,884 $6,128 $12,494 $24,410 $7,164 $9,655 $24,191 $34,120 $56,615 $5,207 $8,230 $17,949 $90,981 $847,200 $240,000 $127,000 $100,000 $147,600 $20,800 $25,500 $130,000 $25,000 $24,300 $7,000 $1,148,228 FY 2016 to FY 2017 Change $25,020 $12$112 $4,846 $4,273 $15,777 ($671,300) ($100,000) ($616,400) $11,000 $141,600 ($129,200) $22,500 $28,000 ($15,000) ($12,300) ($1,500) ($646,280) iii. Status of Congressionally Requested Studies, Reports, Briefings, and Evaluations Department of Homeland Security U.S. Coast Guard Fiscal Year Due Date 2016 9-Feb-16 2016 9-Feb-16 2016 16-Feb-16 2016 17-Mar-16 2016 17-Mar-16 2016 15-Jun-16 2016 15-Jun-16 2016 15-Jun-16 2016 13-Sep-16 2015 30-Sep-16 2015 15 days after completions Reference/Citation (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 114-113) Omnibus Appropriations Act, 2016 (P. L. 113-76) Consolidated Appropriations Act, 2014 (P. L. 113-76) Consolidated Appropriations Act, 2014 Requirement Capital Investment Plan (FY2017-2021) Unmanned Aircraft Systems: Acquisition and Utilization Bering Sea and Arctic Region Coverage Sexual Assaults: Expedited Transfer and Special Victims Counsel Program Fishing Safety: Pilot Training Program Arctic Icebreaking Capabilities Great Lakes Icebreaking Mission Analysis Vessel Traffic in the Gulf of Mexico Electronic Aids to Navigation Revised Concept of Operations (CONOPS) Polar Icebreaker Alternative Analyses Status Under Development Under Development Under Development Under Development Under Development Under Development Under Development Under Development Under Development Under Development Under Development iv. Schedule of Authorized/Unauthorized Appropriations Department of Homeland Security U.S. Coast Guard Authorization Levels for Discretionary Appropriations (Dollars in Thousands) Last Year of Authorization Authorized Level Appropriation in Last Year of Authorization FY 2017 Request Fiscal Year1 Amount Amount2 Amount Operating Expenses FY 2015 6,981,036 6,830,318 6,986,815 Acquisition, Construction, and Improvements FY 2015 1,546,448 1,225,223 1,136,788 Research, Development, Test, and Evaluation FY 2015 19,890 17,892 18,319 Alteration of Bridges FY 2015 16,000 - - Environmental Compliance and Restoration FY 2015 16,701 13,197 13,315 Reserve Training FY 2015 140,016 114,572 112,302 8,720,091 8,201,202 8,267,539 Budget Activity Total Direct Authorization/Appropriation 1 Howard Coble Coast Guard and Maritime Transportation Act of 2014, P.L. 113-281, was signed December 18, 2014 (FY 2015). 2 Appropriation Levels shown are FY 2015 enacted levels for Coast Guard appropriations. Department of Homeland Security United States Coast Guard Operating Expenses ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................7 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 8 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................8 Schedule III – Other Exhibits ..................................................................................................................................... 68 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language.................................................................................................................68 Summary of Fee Collections and Carryover .......................................................................................................................70 Summary of Reimbursable Resources ..................................................................................................................................71 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................72 Capital Investment and Construction Initiative Listing....................................................................................................74 Object Class Breakout by Appropriation .............................................................................................................................75 Object Class Breakout by PPA ...............................................................................................................................................77 Permanent Positions by Grade ................................................................................................................................................84 Changes in Full Time Employment ......................................................................................................................................88 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Operating Expenses Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity I. Military Pay and Allowances II. Civilian Pay and Benefits FY 2015 Revised Enacted1 POS FTE Amount 40,046 38,724 $3,449,782 POS 40,223 FY 2016 Enacted FTE Amount 40,449 $3,488,617 POS 40,447 FY 2017 Request FTE Amount 40,699 $3,597,319 Increase(+) or Decrease(-) for FY 2017 POS 224 Total Changes FTE Amount 250 108,702 7,868 6,980 $781,517 7,881 7,478 $792,229 7,982 7,548 $817,324 101 70 $25,095 III. Training and Recruiting - - $198,279 - - $206,498 - - $198,605 - - ($7,893) IV. Operating Funds and Unit Level Maintenance - - $1,008,682 - - $1,027,780 - - $996,204 - - ($31,576) V. Centrally Managed Accounts - - $337,556 - - $329,906 - - $329,099 - - ($807) VI. Intermediate and Depot Level Maintenance - - - $1,056,458 - - $1,048,264 - - ($8,194) Total, Operating Expenses 47,914 45,704 $1,068,590 $6,844,406 48,104 47,927 $6,901,488 48,429 48,247 $6,986,815 325 320 $85,327 Subtotal, Enacted Appropriations & Budget $85,327 47,914 45,704 $6,844,406 48,104 47,927 $6,901,488 48,429 48,247 $6,986,815 325 320 OSLTF Contribution - - [24,500] - - [24,500] - - [24,500] - - - Overseas Contingency Operations (OCO) - - - - - - (366) ($160,002) - ($3,097) - 366 - $160,002 505 Rescission [457] - $213,000 ($8,654) - - - - - $8,654 47,914 45,704 $7,054,309 48,104 48,293 $7,052,836 48,429 48,247 $6,986,815 325 (46) ($66,021) Net, Enacted Appropriations and Budget Estimates: 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Operating Expenses: The Operating Expenses (OE) appropriation funds the Coast Guard’s roles and responsibilities as the principal Federal agency in the maritime domain providing for the safety, security, and stewardship of U.S. resources for the Nation. CG-OE-3 B. Budget Activities: The OE appropriation funds the annualization of prior-year funding, economic adjustments, and operating and maintenance funding for new and existing Coast Guard Programs, Projects and Activities (PPAs). The OE request directly funds all 11 statutory Coast Guard missions and other Service activities in support of the Coast Guard’s six DHS Programs and other National priorities. C. Budget Request Summary: The FY 2017 request for Coast Guard provides 48,429 positions, 48,247 FTE, and $6,986,815,000. The OE request includes increases of $291.328 million for the transfer of funds for the Working Capital Fund, annualization of prior year funding and the FY 2016 military pay raise; and provides for the FY 2017 pay increase for military (1.6 percent) and civilian (1.6 percent) personnel; military allowances; and the operation, maintenance, and crewing of systems, vessels, aircraft and shore facilities delivered via the Coast Guard’s acquisition programs (e.g., shore facilities, Rescue 21, Logistics Information Management System (LIMS), Fast Response Cutter (FRC), National Security Cutter (NSC), C-27J Aircraft, HC-130J Aircraft, and MH-60T Helicopter). The FY 2017 Budget preserves the Coast Guard’s operational readiness to meet today’s needs and challenges, while investing in long­ term mission capability. The OE adjustments-to-base include decreases of $201.610 million to execute decommissionings of legacy assets and to continue the focus on critical frontline operations. Decreases include: vessel decommissionings; targeted personnel reductions; management and support efficiencies; the termination of one-time costs; and annualization of prior year management efficiencies. Base adjustment increases include: • Annualization of FY 2016 Funding – $58.754 million • Mandatory Personnel Entitlements – $102.863 million • Operational Adjustments – $8.642 million • Operating and Maintenance funds for new assets, including follow-on costs related to Shore Facilities, Rescue 21, LIMS, and Surface and Air Asset Follow-on – $121.069 million Base adjustment decreases include: • Mandatory Personnel Entitlements – ($2.954 million) • Termination of One-Time FY 2016 Costs – ($94.873 million) • Operational Adjustments – ($68.823 million) • Asset Decommissionings – ($18.371 million) • Part Year Management Annualizations – ($16.589 million) CG-OE-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Operating Expenses FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Transfers to and from other accounts: WCF Transfer Transfer to Acquisition, Construction and Improvement (AC&I) Transfer Total Transfers Increases Annualization of Part Year Funding Mandatory Personnel Entitlements Annualization of 2016 Military and Civilian Pay Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances Operational Adjustments Federal Protective Service Fee GSA and Other Governmental Rent Military Justice Reorganization Personnel Security & Suitability Investigations Performance Management & Learning Systems Operating and Maintenance Funds for New Assets Shore Facility Follow-On Rescue 21 (R21) Follow-On Logistics Information Management System (LIMS) Follow-On Fast Response Cutter (FRC) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On HC-130J Aircraft Follow-On MH-60T Helicopter Follow-On CG-OE-5 Pos. 47,914 48,104 325 FTE 45,704 47,927 320 Amount $6,844,406 $6,901,488 $395,009 - - ($983) ($3,555) $147 ($4,391) - 322 $58,754 - - $15,784 $26,859 $9,552 $49,464 $1,204 28 23 - 15 12 - $179 $1,720 $2,847 $3,501 $395 8 175 306 73 66 27 5 86 131 37 34 7 $3,540 $5,371 $2,744 $21,488 $38,672 $28,052 $17,302 $3,900 Base Re-Allocations (non-add) Military and Civilian FTP and FTE Transfer PPA Funding Adjustment Total, Increases Decreases Termination of One-Time Costs Part Year Management Annualizations Mandatory Personnel Entitlements 2016 Civilian Compensable Work Day Operational Adjustments High Value Unit Escort Reduction Human Resources Efficiencies Chief Financial Officer (CFO) Personnel Reduction National Capital Region (NCR) Footprint Consolidation Air Station Los Angeles Lease Termination Savings Maintenance Efficiencies National Security Cutter Fuel Efficiency Management and IT Efficiencies Professional Services Contract Reduction Asset Decommissionings and Retirements Four 110-foot Patrol Boats One High Endurance Cutter (WHEC) Manned Covert Surveillance Aircraft One Seagoing Buoy Tender (WLB) Crew Total, Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-OE-6 Pos. FTE Amount [32] 706 [32] 649 [$3,318] [$5,493] $291,328 - (89) ($94,873) ($16,589) - - ($2,954) (28) (48) (15) (29) 53 - (14) (29) (9) (15) 27 - ($924) ($2,192) ($984) ($3,900) ($1,081) ($2,489) ($13,481) ($8,772) ($35,000) (72) (184) (11) (47) (381) 325 48,429 48,429 325 (55) (92) (6) (47) (329) 320 48,247 48,247 320 ($4,559) ($7,275) ($2,722) ($3,815) ($201,610) $85,327 $6,986,815 $6,986,815 $85,327 C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security U.S. Coast Guard Operations and Support FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name PPA(s) CG Logistics Information Management System (CG-LIMS) Coast Guard Business Intelligence (CGBI) Direct Access Financial Management Service Improvement Initiative (FMSII) Interagency Operations Centers Marine Information for Safety and Law Enforcement (MISLE) CGOne Core Accounting System (CAS) SWIRS Vessel Logistics System (VLS) Asset Logistics Management Information System (ALMIS) Ports and Waterways Safety System (PAWSS) Rescue 21 Total Operating Funds and Unit Level Maintenance Operating Funds and Unit Level Maintenance Operating Funds and Unit Level Maintenance Operating Funds and Unit Level Maintenance Operating Funds and Unit Level Maintenance Operating Funds and Unit Level Maintenance Centrally Managed Accounts Centrally Managed Accounts Centrally Managed Accounts Centrally Managed Accounts Intermediate and Depot Level Maintenance Intermediate and Depot Level Maintenance Intermediate and Depot Level Maintenance CG-OE-7 FY 2015 FY 2016 FY 2017 Revised Enacted Request Enacted $3,066 $3,884 $3,884 $6,096 $6,116 $6,128 $12,188 $12,382 $12,494 $5,244 $19,564 $24,410 $7,164 $7,164 $7,164 $9,655 $9,655 $9,655 $24,191 $24,191 $24,191 $31,248 $29,847 $34,120 $56,615 $56,615 $56,615 $5,207 $5,207 $5,207 $8,230 $8,230 $8,230 $17,949 $17,949 $17,949 $75,204 $75,204 $90,981 $262,057 $276,008 $301,028 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Operating Expenses I. Military Pay and Allowances FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) I. Military Pay and Allowances Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Current Services Annualization of Part Year Funding Annualization of 2016 Military Pay Raise 2017 Military Pay Raise 2017 Military Allowances Military Justice Reorganization Rescue 21 (R21) Follow-On Fast Response Cutter (FRC) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On HC-130J Aircraft Follow-On MH-60T Helicopter Follow-On Military and Civilian FTP and FTE Transfer PPA Funding Adjustment Termination of One-Time Costs Part Year Management Annualizations High Value Unit Escort Reduction CG-OE-8 Positions 40,046 40,223 27 1 175 302 67 66 27 (32) (28) FTE 38,724 40,449 312 14 1 86 129 34 34 7 (32) (83) (14) Amount 3,449,782 3,488,617 26,475 6,726 26,859 49,464 2,100 75 8,742 12,349 3,660 3,696 1,022 (3,266) 223 (4,415) (6,958) (801) I. Military Pay and Allowances Human Resources Efficiencies Chief Financial Officer (CFO) Personnel Reduction Maintenance Efficiencies Professional Services Contract Reduction Four 110-foot Patrol Boats One High Endurance Cutter (WHEC) Manned Covert Surveillance Aircraft One Seagoing Buoy Tender (WLB) Crew Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions (37) FTE (22) Amount (1,454) (1) (29) (72) (184) (11) (47) 40,447 224 (1) (15) (55) (92) (6) (47) 40,699 250 (36) (876) (2,294) (3,590) (5,286) (441) (3,272) 3,597,319 108,702 PPA DESCRIPTION: The Military Pay and Allowances PPA funds expenses related to compensation and benefits for active duty military personnel. This category includes pay, allowances, employer’s share of the Federal Insurance Contribution Act (FICA), Social Security credits, and other expenses associated with compensating military personnel. Costs related to compensation are calculated by using the Coast Guard’s Standard Personnel Cost (SPC) tables. These tables are updated annually and provide a detailed calculation for each billet, broken down by rank/rate, location—in the United States (INCONUS) or out of the country (OCONUS), which includes Alaska and Hawaii— medical costs and permanent change of station (PCS) expenses. Calculations for medical cost estimates are the same for each billet. Calculations for PCS moves and base pay are based upon rank and location of billet. The FY 2017 submission includes a 1.6 percent pay increase for military personnel. The Coast Guard was founded as a military, multi-mission, maritime service. Active duty military personnel ensure the Service remains agile, adaptable, and ready to serve the Nation’s maritime interests across a range of dynamic operational environments. As members of one of the Nation’s five Armed Forces and the only military service within the Department of Homeland Security, Coast Guard military personnel conduct missions that protect the public, the environment, and U.S. economic interests in the Nation’s inland waters, ports, waterways, and coastal regions, territorial sea, and on the high seas. CG-OE-9 Department of Homeland Security Operating Expenses I. Military Pay and Allowances Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) Military Total FY 2015 Revised Enacted 1 FY 2016 Enacted Avg. FTP FTE Amount FTP FTE Amount Cost 40,046 38,724 $3,449,782 $89 40,223 40,449 $3,488,617 FY 2017 Request FY 2016 to 2017 Change Avg. Avg. Avg. FTP FTE Amount FTP FTE Amount Cost Cost Cost $85 40,447 40,699 $3,597,319 $87 224 250 $108,702 $2 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 FTE Actuals and FY2015 Revised Enacted Budgetary Resources may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The increase of 250 FTE reflects the net change of increases and decreases for FY 2017 initiatives. • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 military (1.3 percent) pay raise. Provides funding for the FY 2017 military (1.6 percent) pay raise. Provides funding for Basic Allowance for Housing, Permanent Change of Station, and Military Health Care. • Average Cost Change FY 2016-2017: Average cost change is due to personnel cost increases that affect all FTE. CG-OE-10 Department of Homeland Security United States Coast Guard Operating Expenses II. Civilian Pay and Benefits FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) II. Civilian Pay and Benefits Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Current Services Annualization of Part Year Funding Annualization of 2016 Civilian Pay Raise 2017 Civilian Pay Raise 2017 Civilian Allowances Military Justice Reorganization Personnel Security & Suitability Investigations Rescue 21 (R21) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On Military and Civilian FTP and FTE Transfer PPA Funding Adjustment Part Year Management Annualizations 2016 Civilian Compensable Work Day Human Resources Efficiencies Chief Financial Officer (CFO) Personnel Reduction Management and IT Efficiencies Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 CG-OE-11 Positions 7,868 7,881 1 23 7 4 6 32 (11) FTE 6,980 7,478 10 1 12 4 2 3 32 (6) (7) Amount 781,517 792,229 1,175 9,058 9,552 1,204 95 1,228 373 253 309 3,318 (203) (591) (2,954) (474) (14) 53 7,982 101 (8) 27 7,548 70 (650) 3,402 817,324 25,095 PPA DESCRIPTION: The Civilian Pay and Benefits PPA funds expenses related to compensation and entitlements for Federal civilian employees. The workforce is composed of General Schedule (GS) personnel, Administrative Law Judges (AL), Senior Executive Service (SES) personnel, personnel whose salaries are Administratively Determined (AD) (e.g., Coast Guard Academy civilian faculty members), Wage Grade (WG) positions employed in industrial operations, and “Non-Ceiling” (NC) employees (e.g., cooperative education students, student aides, and Federal junior fellows). The FY 2017 request includes a 1.6 percent pay increase for civilian personnel, as well as funding for an increase in retirement contributions for the Federal Employees Retirement System (FERS). Civilian personnel are an integral part of the Coast Guard and vital to execution of its statutory missions. The Coast Guard continues to complement its military workforce by recruiting diverse, well-educated, and dedicated civilians needed to meet current and future demands. CG-OE-12 Department of Homeland Security Operating Expenses II. Civilian Pay and Benefits Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) Civilian Total FY 2015 Revised Enacted1 FY 2016 Enacted FY 2017 Request FY 2016 to 2017 Change Avg. Avg. Avg. Avg. FTP FTE Amount FTP FTE Amount FTP FTE Amount FTP FTE Amount Cost Cost Cost Cost 7,868 6,980 $781,517 $112 7,881 7,478 $792,229 $105 7,982 7,548 $817,324 $107 101 70 $25,095 $2 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 FTE Actuals and FY2015 Revised Enacted Budgetary Resources may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: The increase of 70 FTE reflects the net change of increases and decreases for FY 2017 initiatives. • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 civilian (1.3 percent) pay raise. Provides funding for the FY 2017 civilian (1.6 percent) pay raise. Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. • Average Cost Change FY 2016-2017: Average cost change is due to personnel cost increases that impact all FTE. • Bonuses and Performance Awards: FY 2017 request estimates $5.697 million for bonuses and performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. CG-OE-13 Department of Homeland Security United States Coast Guard Operating Expenses III. Training and Recruiting FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) III. Training and Recruiting Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to Acquisition, Construction and Current Services Improvement (AC&I) Annualization of Part Year Funding Military Justice Reorganization Personnel Security & Suitability Investigations Shore Facility Follow-On Rescue 21 (R21) Follow-On Fast Response Cutter (FRC) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On HC-130J Aircraft Follow-On MH-60T Helicopter Follow-On Military and Civilian FTP and FTE Transfer PPA Funding Adjustment Termination of One-Time Costs Part Year Management Annualizations High Value Unit Escort Reduction Human Resources Efficiencies Chief Financial Officer (CFO) Personnel Reduction Maintenance Efficiencies Management and IT Efficiencies Professional Services Contract Reduction CG-OE-14 Positions - FTE - Amount 198,279 206,498 - - (216) 2,482 164 4 213 5 1,422 2,307 4,729 2,448 1,347 (52) 1,098 (16,204) (387) (45) (89) - - (4) (47) (4,770) (1,450) III. Training and Recruiting Four 110-foot Patrol Boats One High Endurance Cutter (WHEC) Manned Covert Surveillance Aircraft One Seagoing Buoy Tender (WLB) Crew Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount (175) (300) (160) (213) 198,605 (7,893) PPA DESCRIPTION: The Training and Recruiting PPA provides funding for the Coast Guard’s basic and professional training and education programs, as well as operation and maintenance of the eight national Coast Guard training centers, the Coast Guard Academy, nine regional training centers and Coast Guard recruiting centers. The Coast Guard’s Force Readiness Command serves as the principal training component charged with optimizing human performance to enhance mission execution. The Command provides clear tactics, techniques, and procedures, relevant training, and quality assessments throughout the fleet. Enhanced safety and efficiencies are realized through service wide assessments and standardization, the oversight of unit readiness, and the management of armories, ammunition and small arms firing ranges. Annually the Coast Guard training system conducts Basic Training for 3,000 recruits and commissions 300 officers. Further, initial enlisted specialty training occurs at 19 “A” schools, and advanced and currency training is conducted in over 900 “C” schools. The 2017 request includes essential funding to recruit and process CG applicants into the enlisted and officer corps, including expenses for members that are processed through the Military Entrance Processing Stations (MEPS) prior to accession. In addition, funding provides for tuition, travel, and per diem for formal training and education performed by military service members and civilian personnel. Through internal and external efficiency reviews and prioritization efforts, it ensures prudent allocation of resources for training and workforce preparation that arm Coast Guard personnel with the knowledge, skills, and abilities necessary to execute missions. The Coast Guard maintains a rigorous set of standard operating procedures to ensure the validity and reliability of training and stewardship of training resources. In addition to the training provided by the Coast Guard, the funding also ensures adequate resources are available for training opportunities provided through other DHS training facilities, commercial providers, DoD, and other government agencies. Training and education are conducted by dedicated resident staffs in classrooms, but may also include exportable training, correspondence courses, and/or computer-based training. CG-OE-15 Department of Homeland Security U.S. Coast Guard Training and Recruiting Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - III. Training and Recruiting Training and Education Recruiting and Training Centers 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $99,529 $106,323 $98,750 $100,175 Total $198,279 $206,498 $101,249 $97,356 $198,605 FY 2016 to FY 2017 Change ($5,074) ($2,819) ($7,893) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Training and Education: Funds formal training, including temporary duty, for civilian and military personnel, including travel costs. Funding in FY 2017 reflects the anticipated need. • Recruiting and Training Centers: Funds the operating and maintenance expenses for Coast Guard training and recruiting centers, including tuition, formal training and associated costs. Funding in FY 2017 reflects the anticipated need. CG-OE-16 Department of Homeland Security United States Coast Guard Operating Expenses IV. Operating Funds and Unit Level Maintenance FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) IV. Operating Funds and Unit Level Maintenance Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to Acquisition, Construction and Current Services Improvement (AC&I) Transfer Annualization of Part Year Funding Military Justice Reorganization Personnel Security & Suitability Investigations Shore Facility Follow-On Rescue 21 (R21) Follow-On Logistics Information Management System (CG­ LIMS) Follow-On Fast Response Cutter (FRC) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On HC-130J Aircraft Follow-On MH-60T Helicopter Follow-On PPA Funding Adjustment Termination of One-Time Costs Part Year Management Annualizations High Value Unit Escort Reduction Human Resources Efficiencies Chief Financial Officer (CFO) Personnel Reduction National Capital Region (NCR) Footprint Consolidation CG-OE-17 Positions - FTE - Amount 1,008,682 1,027,780 - - (1,784) 147 9,611 356 2,062 937 55 - - 2,744 5,764 11,889 1,756 3,021 396 (4,978) (18,346) (3,638) (53) (73) - - (25) - - (276) IV. Operating Funds and Unit Level Maintenance Maintenance Efficiencies National Security Cutter Fuel Efficiency Management and IT Efficiencies Professional Services Contract Reduction Four 110-foot Patrol Boats One High Endurance Cutter (WHEC) Manned Covert Surveillance Aircraft One Seagoing Buoy Tender (WLB) Crew Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount (359) (13,481) (3,132) (21,396) (735) (1,283) (546) (209) 996,204 (31,576) PPA DESCRIPTION: The Operating Funds and Unit Level Maintenance PPA funds units, facilities, and activities that are under the direct operational and administrative control of the Coast Guard’s Headquarters and Atlantic Area or Pacific Area Commanders. These include National Security Cutters (WMSL), High and Medium Endurance Cutters (WHECs/WMECs); Sectors; Patrol Boats; Multi-mission Boat Stations; Air Stations; Communication Stations; Deployable Specialized Forces (DSF); support commands; and Area Offices. The funding provides supplies, materials, and services that allow the Coast Guard to sustain its operations tempo and an immediate response capability. The request funds unit level maintenance of cutters, boats, aircraft, electronics systems, mechanical systems, and electrical equipment; service-life replacement and emergent purchase of boats; procurement of supplies and materials utilized for unit “housekeeping” and administration, spare parts, liquid fuel, and energy; and other materials consumed that contribute directly to mission effectiveness. This PPA also supports the Financial Systems Modernization (FSM) initiative to migrate USCG to a shared service provider for financial, acquisition, and asset management solution services. The FSM initiative follows DHS Directives, OMB guidance, and processes developed by Treasury’s Office of Financial Innovation and Transformation. In FY 2017, $24.410 million in funding is planned for the USCG FSM initiative; with migration scheduled to be completed in FY 2018. The DHS Office of the Chief Financial Officer provides guidance and oversight to Component FSM initiatives. Coast Guard requests no new funding for these initiatives in FY 2017. CG-OE-18 Department of Homeland Security U.S. Coast Guard IV. Operating Funds and Unit Level Maintenance Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - IV. Operating Funds and Unit Level Maintenance Area Commands District Commands Coast Guard Headquarters 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $391,409 $394,465 $332,192 $338,458 $284,365 $294,113 Total $1,007,966 $1,027,036 $399,327 $346,788 $249,300 $995,415 FY 2016 to FY 2017 Change $4,862 $8,330 ($44,813) ($31,621) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Area Commands: Funds all units, facilities, and activities that are under the direct operational control of the Coast Guard’s Atlantic and Pacific Area Commanders. Funding in FY 2017 reflects the anticipated need. • District Area Commands: Funds all units, facilities, and activities that are under the direct operational control of the Coast Guard’s District Commanders. Funding in FY 2017 reflects the anticipated need. • Headquarters: Funds all units, facilities, and activities that are under the direct operational control of the Coast Guard’s Headquarters. Funding in FY 2017 reflects the anticipated need. CG-OE-19 Department of Homeland Security United States Coast Guard Operating Expenses V. Centrally Managed Accounts FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) V. Centrally Managed Accounts Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Current Services WCF Transfer Annualization of Part Year Funding Federal Protective Service Fee GSA and Other Governmental Rent Military Justice Reorganization Personnel Security & Suitability Investigations Performance Management & Learning Systems Rescue 21 (R21) Follow-On Fast Response Cutter (FRC) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On HC-130J Aircraft Follow-On MH-60T Helicopter Follow-On PPA Funding Adjustment Termination of One-Time Costs Part Year Management Annualizations High Value Unit Escort Reduction Human Resources Efficiencies Chief Financial Officer (CFO) Personnel Reduction National Capital Region (NCR) Footprint Consolidation Air Station Los Angeles Lease Termination Savings CG-OE-20 Positions - FTE - Amount 337,556 329,906 (983) 2,402 179 1,720 132 207 395 37 919 902 656 723 34 1,373 (1,563) (270) (25) (102) - - (269) - - (3,624) - - (1,081) V. Centrally Managed Accounts Maintenance Efficiencies Management and IT Efficiencies Four 110-foot Patrol Boats One High Endurance Cutter (WHEC) Manned Covert Surveillance Aircraft One Seagoing Buoy Tender (WLB) Crew Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount (41) (1,883) (245) (269) (10) (121) 329,099 (807) PPA DESCRIPTION: The Centrally Managed Accounts PPA funds centrally managed accounts that provide service to the entire Coast Guard. The major accounts include: the Federal Telephone System (FTS), Standard Workstation recapitalization, Coast Guard Data Network (CGOne), satellite and data communications, General Services Administration (GSA) rent, postal expenses, ammunition replenishment, and the DHS Working Capital Fund. CG-OE-21 Department of Homeland Security U.S. Coast Guard V. Centrally Managed Accounts Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - V. Centrally Managed Accounts 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Working Capital Fund $97,383 $104,343 Other Centrally Managed Operating Expenses $240,173 $225,563 Total $337,556 $329,906 $74,862 $254,237 $329,099 FY 2016 to FY 2017 Change ($29,481) $28,674 ($807) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Working Capital Fund: The Coast Guard’s contribution to the DHS Working Capital Fund. Funding in FY 2017 reflects the anticipated need. • Other Centrally Managed Operating Expenses: Funds non-Working Capital Fund centrally managed accounts that provided service to the entire Coast Guard. Funding in FY 2017 reflects the anticipated need. CG-OE-22 Department of Homeland Security United States Coast Guard Operating Expenses VI. Intermediate and Depot Level Maintenance FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) VI. Intermediate and Depot Level Maintenance Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Transfer to Acquisition, Construction and Current Services Improvement (AC&I) Annualization of Part Year Funding Shore Facility Follow-On Rescue 21 (R21) Follow-On Fast Response Cutter (FRC) Follow-On National Security Cutter (NSC) Follow-On C-27J Aircraft Support Follow-On HC-130J Aircraft Follow-On MH-60T Helicopter Follow-On PPA Funding Adjustment Termination of One-Time Costs Part Year Management Annualizations Maintenance Efficiencies Management and IT Efficiencies Professional Services Contract Reduction Four 110-foot Patrol Boats One High Endurance Cutter (WHEC) Manned Covert Surveillance Aircraft Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 CG-OE-23 Positions - FTE - Amount 1,068,590 1,056,458 - - (1,555) 16,609 2,390 4,826 4,641 10,972 16,942 7,414 1,101 2,487 (54,345) (4,745) (1,166) (2,389) (9,860) 186 (137) (1,565) 1,048,264 (8,194) PPA DESCRIPTION: The Intermediate and Depot Level Maintenance PPA funds the Coast Guard’s depot level maintenance for the Service’s vessels, aircraft, shore facilities, and C4IT (command, control, communications, computers and information technology) systems. The Coast Guard maintains its vessels, aircraft, shore infrastructure, and C4IT systems using a blend of organic maintenance and repair infrastructure and contracted depot level maintenance activities. A mature project planning and execution program exists within the Coast Guard to provide routine organizational-level and depot level maintenance. Where expertise or infrastructure does not exist organically within the Service, the Coast Guard uses contracted resources to provide the requisite maintenance support. This funding is vital to ongoing sustainment and support of in-service Coast Guard vessels, aircraft, shore facilities, and C4IT systems. CG-OE-24 Department of Homeland Security U.S. Coast Guard VI. Intermediate and Depot Level Maintenance Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - VI. Intermediate and Depot Level Maintenance 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Aeronautical Intermediate and Depot Level Maintenance $348,264 $338,373 Electronic Intermediate and Depot Level Maintenance $251,813 $246,752 Civil/Ocean Engineering & Shore Facilities Intermediate and Depot Level Maintenance $209,497 $208,933 Vessel Intermediate and Depot Level Maintenance $259,016 $262,400 Total $1,068,590 $1,056,458 FY 2016 to FY 2017 Change $345,909 $248,308 $7,536 $1,556 $189,377 $264,670 $1,048,264 ($19,556) $2,270 ($8,194) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Aeronautical Depot Level Maintenance: Funds the Coast Guard’s depot level maintenance for the Service’s aircraft using a blend of organic maintenance and repair infrastructure and contracted depot level maintenance activities. Funding in FY 2017 reflects the anticipated need. • Electronic Depot Level Maintenance: Funds the Coast Guard’s depot level maintenance for the Service’s Command, Control, Communications, Computers, and Information Technology (C4IT) systems using a blend of organic maintenance and repair infrastructure and contracted depot level maintenance activities. Funding in FY 2017 reflects the anticipated need. • Civil/Ocean Engineering and Shore Facilities Depot Level Maintenance: Funds the Coast Guard’s depot level maintenance for the Service’s shore infrastructure using a blend of organic maintenance and repair infrastructure and contracted depot level maintenance activities. Funding in FY 2017 reflects the anticipated need. • Vessel Depot Level Maintenance: Funds the Coast Guard’s depot level maintenance for the Service’s vessels using a blend of organic maintenance and repair infrastructure and contracted depot level maintenance activities. Funding in FY 2017 reflects the anticipated need. CG-OE-25 Transfers WCF Transfer ................................................................................................................................................................................... ($983) PPA Breakdown - WCF Transfer PPA V: Centrally Managed Accounts Central Accounts Total ($000) (983) (983) CG-OE-26 Transfer to Acquisition, Construction and Improvement (AC&I) ........................................................................................... ($3,555) PPA Breakdown - Transfer to Acquisition, Construction and Improvement (AC&I) Total ($000) PPA III: Training and Recruiting Recruiting and Training Centers (216) PPA IV: Operating Funds and Unit Level Maintenance Atlantic Area Pacific Area 1st District 5th District 7th District 8th District 9th District 11th District 13th District 14th District 17th District Headquarters Directorates Headquarters Units (118) (80) (55) (54) (86) (63) (43) (41) (27) (19) (28) (496) (674) PPA VI: Depot Level Maintenance Aircraft Maintenance Vessel Maintenance (1,205) (350) (3,555) Pursuant to language in the FY 2016 Consolidated Appropriations Act, this request transfers funds from the Operating Expenses appropriation to the Acquisition, Construction and Improvement (AC&I) Appropriation for the purchase of end-use item equipment expected to cost in excess of $250,000. CG-OE-27 Transfer ................................................................................................................................................................................................$147 PPA Breakdown - Transfer PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates Total ($000) 147 147 CG-OE-28 Increases Annualization of Part Year Funding.............................................................................................................................................$58,754 PPA Breakdown - Annualization of Part Year Funding Total ($000) PPA I: Military Personnel (312 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station 23,087 2,878 510 PPA II: Civilian Personnel (10 FTE) Civilian Pay and Allowances 1,175 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 1,985 497 PPA IV: Operating Funds and Unit Level Maintenance Atlantic Area Pacific Area 1st District 5th District 7th District 8th District 11th District 14th District 17th District Headquarters Directorates Headquarters Units Other Activities (4) 276 75 116 169 340 869 143 510 6,174 895 48 PPA V: Centrally Managed Accounts Central Accounts 2,402 PPA VI: Depot Level Maintenance Aircraft Maintenance Electronics Maintenance Vessel Maintenance 12,066 1,323 3,220 58,754 CG-OE-29 Annualizes funding and FTE to provide full-year resources for certain projects and programs enacted in the prior year. FY 2016 Line Items FTE (Mil) FTE (Civ) Recurring Amount ($000) Fast Response Cutter (FRC) Follow-On 89 3 17,021 National Security Cutter (NSC) Follow-On 99 3 9,189 C-27J Aircraft Support Follow-On 71 4 23,040 HC-130J Aircraft Follow-On 16 0 3,067 MH-60T Helicopter Follow-On 13 0 2,772 Air Station Los Angeles Relocation: Phase I 0 0 392 ATTC Underwater Egress Facility Support Follow-On 0 0 96 sUAS Service Contract Fixed Wing Aircraft "Bravo-0" Response Total 1 0 753 23 0 2,424 312 10 58,754 Annualization of 2016 Military and Civilian Pay Raise ..............................................................................................................$15,784 PPA Breakdown - Annualization of 2016 Military and Civilian Pay Raise Total ($000) PPA I: Military Personnel Military Pay and Allowances Permanent Change of Station 6,672 54 PPA II: Civilian Personnel Civilian Pay and Allowances 9,058 15,784 Provides one quarter of funding to annualize the 2016 military and civilian (1.3 percent) pay raise. CG-OE-30 2017 Military Pay Raise..................................................................................................................................................................$26,859 PPA Breakdown - 2017 Military Pay Raise PPA I: Military Personnel Military Pay and Allowances Permanent Change of Station Total ($000) 26,637 222 26,859 Provides three quarters of funding for the 2017 military (1.6 percent) pay raise. 2017 Civilian Pay Raise ....................................................................................................................................................................$9,552 PPA Breakdown - 2017 Civilian Pay Raise PPA II: Civilian Personnel Civilian Pay and Allowances Total ($000) 9,552 9,552 Provides three quarters of funding for the 2017 civilian (1.6 percent) pay raise. FY 2017 Military Allowances.........................................................................................................................................................$49,464 PPA Breakdown - 2017 Military Allowances PPA I: Military Personnel Military Pay and Allowances (Basic Allowance for Housing) Military Health Care Permanent Change of Station Total ($000) 16,386 10,576 22,502 49,464 Provides funding to maintain current services and ensure parity of military pay, allowances, and health care with DoD. This request includes additional funding for Basic Allowance for Housing (BAH) changes scheduled to take effect on January 1, 2017. Health care CG-OE-31 costs are forecasted using actuarial projections and include funding for Coast Guard clinics, TRICARE, pharmaceuticals, use of DoD military treatment facilities and Public Health Service physicians serving at Coast Guard medical facilities. Permanent Change of Station costs are forecasted to increase based on actuarial projections and an increase in average travel order cost. Civilian Non Pay Increases ..............................................................................................................................................................$1,204 PPA Breakdown - 2017 Civilian Allowances PPA II: Civilian Personnel Civilian Pay and Allowances Total ($000) 1,204 1,204 Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. Federal Protective Service Fee............................................................................................................................................................$179 PPA Breakdown - Federal Protective Service Fee PPA V: Centrally Managed Accounts Central Accounts Total ($000) 179 179 Provides funding for increased Federal Protective Service fees. CG-OE-32 GSA and Other Governmental Rent...............................................................................................................................................$1,720 PPA Breakdown - GSA and Other Governmental Rent PPA V: Centrally Managed Accounts Central Accounts Total ($000) 1,720 1,720 Provides funding for cost increases at General Services Administration (GSA)-leased buildings occupied by the Coast Guard. Military Justice Reorganization ......................................................................................................................................................$2,847 PPA Breakdown - Military Justice Reorganization PPA I: Military Personnel (27 FTP, 14 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) 1,600 131 369 PPA II: Civilian Personnel (1 FTP, 1 FTE) Civilian Pay and Allowances 95 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 151 13 PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates Headquarters Units Other Activities 285 69 2 PPA V: Centrally Managed Accounts Central Accounts 132 2,847 CG-OE-33 Provides funding to reorganize the Coast Guard legal program to more effectively provide military justice services. Additional frontline prosecutors, defense counsel, and military judges are necessary to maintain good order and discipline in the Service due to the increased number and complexity of criminal cases, including sexual assault cases. Personnel Security and Suitability Investigations.................................................................................................................................. $3,501 PPA Breakdown - Personnel Security & Suitability Investigations PPA II: Civilian Personnel (23 FTP, 12 FTE) Civilian Pay and Allowances Total ($000) 1,228 PPA III: Training and Recruiting Training and Education 4 PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates Headquarters Units PPA V: Centrally Managed Accounts Central Accounts 1,916 146 207 3,501 Provides funding to conduct Personnel Security (PERSEC) and Suitability background investigations required to maintain the Coast Guard workforce. The request reflects increased costs resulting from changes directed by the Office of Personnel Management (OPM) and the Office of the Director of National Intelligence (ODNI). Performance and Learning Management System ............................................................................................................................$395 PPA Breakdown - Performance Management & Learning Systems PPA V: Centrally Managed Accounts Central Accounts Total ($000) 395 395 CG-OE-34 Provides funding to implement the Performance and Learning Management System (PALMS) that automates the performance management process. PALMS consolidates nine separate learning management systems that currently exist throughout the Department of Homeland Security (DHS) into a single enterprise platform. Shore Facility Follow-On .................................................................................................................................................................$3,540 PPA Breakdown - Shore Facility Follow-On Total ($000) PPA III: Training and Recruiting Recruiting and Training Centers 213 PPA IV: Operating Funds and Unit Level Maintenance 1st District 5th District 7th District 13th District 14th District Headquarters Directorates Headquarters Units 28 100 106 201 100 230 172 PPA VI: Depot Level Maintenance Civil/Ocean Engineering and Shore Facility Maintenance 2,390 3,540 Provides for the operation and maintenance of recapitalized shore facilities scheduled for completion prior to 2017 and provides for caretaker maintenance of legacy LORAN properties. Provides funding for energy, utility services, routine repairs, and housekeeping. The request also supports non-recurring maintenance and repairs (e.g., system renewals, preventive and emergency maintenance, scheduled inspections, etc.) anticipated throughout the life of the facility. The request provides the resources required to operate and maintain new and improved facilities completed under the following Acquisition, Construction, and Improvement projects: • • • Sector Charleston National Security Cutter Homeport Upgrades Sector San Juan Fast Response Cutter Homeport Upgrades Base Ketchikan Fast Response Cutter Homeport Upgrades CG-OE-35 • • • • • • Training Center Cape May Fast Response Cutter Homeport Upgrades Sector Field Office Fort Macon Fast Response Cutter Homeport Upgrades Air Station Barbers Point Clear Water Aircraft Rinse Rack Construction Sector Columbia River Family Housing Construction Coast Guard Academy Waterfront Facilities Upgrades Station New York Boat Ramp Construction Rescue 21 Follow-On ........................................................................................................................................................................$5,371 PPA Breakdown - Rescue 21 (R21) Follow-On Total ($000) PPA I: Military Personnel (1 FTP, 1 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station 57 5 13 PPA II: Civilian Personnel (7 FTP, 4 FTE) Civilian Pay and Allowances 373 PPA III: Training and Recruiting Training and Education 5 PPA IV: Operating Funds and Unit Level Maintenance Headquarters Units 55 PPA V: Centrally Managed Accounts Central Accounts 37 PPA VI: Depot Level Maintenance Electronics Maintenance Civil/Ocean Engineering and Shore Facility Maintenance 4,666 160 5,371 Provides follow-on funding to support Rescue 21, the Coast Guard’s primary command, control, and communications system in the inland and coastal zones. Rescue 21 is a key enabler for effective emergency response in the maritime domain. This funding supports equipment Operations and Maintenance (O&M), circuit connectivity, property leases, utilities, training, and technology refresh. Rescue 21 capabilities will be fully delivered to the Western Rivers and Alaska regions in FY 2017. CG-OE-36 Logistics Information Management System (CG-LIMS) Follow-On ..........................................................................................$2,744 PPA Breakdown - Logistics Information Management System (LIMS) Follow-On PPA IV: Operating Funds and Unit Level Maintenance Headquarters Units Total ($000) 2,744 2,744 Provides additional funding for the operation and maintenance of CG-LIMS. CG-LIMS is the Coast Guard’s enterprise logistics management system that is designed to interface with existing and future logistics and financial systems. CG-OE-37 Fast Response Cutter (FRC) Follow-On.......................................................................................................................................$21,488 PPA Breakdown - Fast Response Cutter (FRC) Follow-On Total ($000) PPA I: Military Personnel (175 FTP, 86 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station 5,974 831 1,937 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 1,294 128 PPA IV: Operating Funds and Unit Level Maintenance 5th District 8th District 14th District 17th District Headquarters Directorates Headquarters Units Other Activities 44 408 2,071 940 904 1,381 16 PPA V: Centrally Managed Accounts Central Accounts 919 PPA VI: Depot Level Maintenance Electronics Maintenance Vessel Maintenance 1,146 3,495 21,488 Fast Response Cutter (FRC) Follow-On Support Hulls 23-26 Provides personnel for shore-side support of FRC hulls 23-26 to be home-ported in Honolulu, Hawaii, and Pascagoula, Mississippi. These billets will staff the shore-side maintenance teams to conduct vessel, electronics system, and weapons maintenance. CG-OE-38 Fast Response Cutter Operation & Maintenance (O&M) for Hulls 22-25 Provides O&M funding for Fast Response Cutter (FRC) hulls 22-25 scheduled for delivery in 2017. These FRCs will be homeported as follows: FRC hull 22 in Ketchikan, Alaska; FRC hull 23 in Pascagoula, Mississippi; FRC hull 24 in Honolulu, Hawaii; and FRC hull 25 in Pascagoula, Mississippi. The FRC is the replacement for the 110-foot Island Class patrol boat that is past its design service life. The FRC is more capable than the 110-foot patrol boat with advanced electronics and enhanced operational capabilities. Fast Response Cutter (FRC) Crews for Hulls 24-28 Provides personnel to operate and maintain FRC hull 24 homeported in Honolulu, Hawaii; FRC hull 25 homeported in Pascagoula, Mississippi; FRC hull 26 homeported in Honolulu Hawaii; and FRC hulls 27 and 28 homeported in Atlantic Beach, North Carolina. Advance arrival of the crews is critical to ensure appropriate pre-arrival training is received to ensure crew readiness prior to cutter delivery. CG-OE-39 National Security Cutter (NSC) Follow-On .................................................................................................................................$38,672 PPA Breakdown - National Security Cutter (NSC) Follow-On PPA I: Military Personnel (302 FTP, 129 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) 8,084 1,235 3,030 PPA II: Civilian Personnel (4 FTP, 2 FTE) Civilian Pay and Allowances 253 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 2,123 184 PPA IV: Operating Funds and Unit Level Maintenance Atlantic Area Pacific Area 8th District Headquarters Directorates Headquarters Units Other Activities 56 7,835 9 3,140 829 20 PPA V: Centrally Managed Accounts Central Accounts 902 PPA VI: Depot Level Maintenance Electronics Maintenance Civil/Ocean Engineering and Shore Facility Maintenance Vessel Maintenance 4,568 326 6,078 38,672 NSC Operations and Maintenance (O&M) for NSC 6 Provides Operations and Maintenance funding for NSC 6, scheduled for delivery in Q1 FY 2017, which will be homeported in Alameda, CA. The NSC (WMSL Class) is replacing the legacy High Endurance Cutters (WHEC Class). CG-OE-40 National Security Cutter (NSC) Crew Hotel (Phase I & II) for NSC-7 Provides personnel to operate and maintain NSC-7. To complete critical pipeline and pre-acceptance training, NSC-7 crew Phase I and Phase II are established at least 6 months in advance of delivery. Since the delivery of BERTHOLF (NSC-1), the Coast Guard has successfully reduced pipeline training timelines to optimize NSC crew pre-delivery activities. National Security Cutter (NSC) Crew Size Increase Provides personnel to increase the size of NSC crews Alpha through Hotel from 110 to 126 personnel. A Coast Guard Manpower Requirements Analysis recommended that 126 crewmembers is the optimal crew size to operate, maintain, and support these assets through all operations and readiness postures. National Security Cutter (NSC) SCIF Crew Follow-On Provides personnel and follow-on funding to operate, staff, and maintain equipment in the Sensitive Compartmented Information Facilities (SCIF) onboard NSC hulls five and six. The installed SCIFs and trained personnel greatly improve mission effectiveness by enhancing the ability to detect and interdict specific threats and vessels. National Security Cutter SCIF Crew Increase Provides funding to increase personnel to operate, staff, and maintain equipment in the Sensitive Compartmented Information Facilities (SCIF) onboard NSC hulls 1-4. Additional personnel will properly align the number of SCIF-dedicated crewmembers with personnel operational tempo standards. CG-OE-41 C-27J Aircraft Support Follow-On ...............................................................................................................................................$28,052 PPA Breakdown - C-27J Aircraft Support Follow-On PPA I: Military Personnel (67 FTP, 34 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) 2,670 325 665 PPA II: Civilian Personnel (6 FTP, 3 FTE) Civilian Pay and Allowances 309 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 4,630 99 PPA IV: Operating Funds and Unit Level Maintenance 5th District 7th District 11th District Headquarters Directorates Headquarters Units Other Activities 8 4 1,541 12 185 6 PPA V: Centrally Managed Accounts Central Accounts 656 PPA VI: Depot Level Maintenance Aircraft Maintenance Electronics Maintenance Civil/Ocean Engineering and Shore Facility Maintenance 16,567 275 100 28,052 CG-OE-42 C-27J Follow-on Support Provides personnel for support of C-27J aircraft at the Aviation Logistics Center, Aviation Technical Training Center, and Aviation Training Center. These personnel will support the long-term sustainment requirements to maintain the C-27J fleet and train those who maintain and operate these aircraft. C-27J Fleet Induction Phase 2 Follow-On Provides funding for 1,000 flight hours, including personnel, operations, maintenance, and support of C-27J airframes five and six. The flight hour capacity of these C-27Js will primarily be used to conduct missions such as Alien Migrant Interdiction Operations (AMIO), Counter-Drug (CD), Ports, Waterways and Coastal Security, Search and Rescue, and Living Marine Resources (LMR). CG-OE-43 HC-130J Aircraft Follow-On .........................................................................................................................................................$17,302 PPA Breakdown - HC-130J Aircraft Follow-On Total ($000) PPA I: Military Personnel (66 FTP, 34 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station 2,358 320 1,018 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 2,367 81 PPA IV: Operating Funds and Unit Level Maintenance 17th District Headquarters Directorates Headquarters Units Other Activities 2,896 9 112 4 PPA V: Centrally Managed Accounts Central Accounts 723 PPA VI: Depot Level Maintenance Aircraft Maintenance 7,414 17,302 HC-130J Aircraft Follow-On Provides funding for personnel, operation and maintenance, and support for HC-130J aircraft #8 and #9. These HC-130Js primarily enhance the Coast Guard’s ability to conduct the Search and Rescue (SAR), Alien Migrant Interdiction Operations (AMIO), CounterDrug (CD), Ports, Waterways and Coastal Security (PWCS) and Living Marine Resources (LMR) enforcement missions. HC-130J Block Upgrade Provides funding for necessary upgrades to ensure two Coast Guard HC-130J aircraft comply with FAA requirements and remain usable in all flight regimes and airspace. This maintenance will be conducted in conjunction with a Joint Users Group including partners from all U.S. Government HC-130J users. CG-OE-44 MH-60T Helicopter Follow-On .......................................................................................................................................................$3,900 PPA Breakdown - MH-60T Helicopter Follow-On Total ($000) PPA I: Military Personnel (27 FTP, 7 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station 524 65 433 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers 1,338 9 PPA IV: Operating Funds and Unit Level Maintenance 17th District Headquarters Directorates Headquarters Units Other Activities PPA V: Centrally Managed Accounts Central Accounts 283 4 108 1 34 PPA VI: Depot Level Maintenance Aircraft Maintenance Civil/Ocean Engineering and Shore Facility Maintenance 641 460 3,900 Provides funding for personnel, operation and maintenance, and support of MH-60T aircraft #45. This aircraft, provided to the Coast Guard via the Sundowner program, will enhance the Coast Guard’s ability to conduct the Search and Rescue (SAR), Alien Migrant Interdiction Operations (AMIO), Counter-Drug (CD), Ports, Waterways and Coastal Security (PWCS), and Living Marine Resources (LMR) enforcement missions. CG-OE-45 Military and Civilian FTP and FTE Transfer ............................................................................................................................ [$3,318] PPA Breakdown - Military and Civilian FTP and FTE Transfer PPA I: Military Personnel (-32 FTP, -32 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station PPA II: Civilian Personnel (32 FTP, 32 FTE) Civilian Pay and Allowances Total ($000) (2,833) (312) (121) 3,318 PPA III: Training and Recruiting Training and Education (52) 0 Transfers 37 military FTP/FTE to civilian FTP/FTE and transfers five civilian FTP/FTE to military. These conversions are consistent with GAO recommendation to staff inherently civilian job functions with civilian personnel. CG-OE-46 PPA Funding Adjustment ............................................................................................................................................................. [$5,493] PPA Breakdown - PPA Funding Adjustment Total ($000) PPA I: Military Personnel Military Pay and Allowances Permanent Change of Station 211 12 PPA II: Civilian Personnel Civilian Pay and Allowances (203) PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (312) 1,410 PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates Headquarters Units (42) (4,936) PPA V: Centrally Managed Accounts Central Accounts 1,373 PPA VI: Depot Level Maintenance Electronics Maintenance 2,487 0 Implements recurring technical base adjustments to reallocate funding to the appropriate Project, Program, and Activity (PPA) for compliance with Coast Guard financial policy and proper alignment to the modernized operations and support organizations of the Coast Guard. All requested adjustments retain the original intent and purpose of the funding appropriated; however, the PPA required to properly execute these items has been determined to differ from that to which the funding was originally appropriated. CG-OE-47 Decreases Termination of One-Time Costs ................................................................................................................................................. ($94,873) PPA Breakdown - Termination of One-Time Costs PPA I: Military Personnel Permanent Change of Station Total ($000) (4,415) PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (16,198) (6) PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates (18,346) PPA V: Centrally Managed Accounts Central Accounts (1,563) PPA VI: Depot Level Maintenance Aircraft Maintenance Electronics Maintenance Civil/Ocean Engineering and Shore Facility Maintenance Vessel Maintenance (19,931) (8,328) (18,926) (7,160) (94,873) This line item reflects FY 2017 savings associated with the termination of one-time costs for program start-up and exit transactions enacted in FY 2016. CG-OE-48 FY 2016 Line Items Recurring Amount ($000) Response Boat - Medium (RB-M) Follow-On (40) Fast Response Cutter (FRC) Follow-On (3,821) National Security Cutter (NSC) Follow-On (1,514) C-27J Aircraft Support Follow-On (23,948) HC-130J Aircraft Follow-On (1,236) MH-60T Helicopter Follow-On (2,433) Air Station Los Angeles Relocation: Phase I (2,443) ATTC Underwater Egress Facility Support Follow-On (65) sUAS Service Contract (605) Shore-side Support Structure Review & Rebalancing (80) Logistics & Service Center Shared Service Efficiencies (38) Health Services Delivery Review & Rebalancing (50) Two 110-ft Patrol Boats (739) Three HC-130 Aircraft (560) Critical Depot Level Maintenance (41,795) Operational Efficiency (8,406) Small Boat Purchases (7,100) Total CG-OE-49 (94,873) Part-Year Management Annualizations .................................................................................................................................... ($16,589) PPA Breakdown - Part Year Management Annualizations Total ($000) PPA I: Military Personnel (-83 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station (5,701) (758) (499) PPA II: Civilian Personnel (-6 FTE) Civilian Pay and Allowances (591) PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (283) (104) PPA IV: Operating Funds and Unit Level Maintenance 1st District 7th District 9th District 11th District 13th District Headquarters Directorates Headquarters Units Other Activities PPA V: Centrally Managed Accounts Central Accounts (2) (79) (2) (391) (2) (3,025) (123) (14) (270) PPA VI: Depot Level Maintenance Aircraft Maintenance Electronics Maintenance Vessel Maintenance (4,471) (15) (259) (16,589) This line item annualizes part-year reductions from various asset decommissionings and programmatic reductions enacted in FY 2016. CG-OE-50 FY 2016 Line Items Shore-side Support Structure Review & Rebalancing Logistics & Service Center Shared Service Efficiencies Health Services Delivery Review & Rebalancing Two 110-ft Patrol Boats Three HC-130 Aircraft Total FTE (Mil) (8) (2) (7) (13) (53) (83) FTE (Civ) (6) (6) Recurring Amount ($000) (714) (922) (558) (1,869) (12,526) (16,589) FY 2016 Compensable Work Day Reduction.............................................................................................................................. ($2,954) PPA Breakdown - 2016 Civilian Compensable Work Day PPA II: Civilian Personnel Civilian Pay and Allowances Total ($000) (2,954) (2,954) Terminates the non-recurring funding provided for the compensable work day of February, 29th 2016. CG-OE-51 Naval Vessel Escort Reduction ........................................................................................................................................................ ($924) PPA Breakdown - High Value Unit Escort Reduction PPA I: Military Personnel (-28 FTP, -14 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) (776) (136) 111 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (24) (21) PPA IV: Operating Funds and Unit Level Maintenance 5th District Headquarters Directorates Other Activities (45) (6) (2) PPA V: Centrally Managed Accounts Central Accounts (25) (924) Reflects savings from a reduction in the number of Coast Guard escorts provided to the Navy. The Coast Guard uses a risk-based approach to identify naval activities that require escort. CG-OE-52 Human Resources Efficiencies...................................................................................................................................................... ($2,192) PPA Breakdown - Human Resources Efficiencies Total ($000) PPA I: Military Personnel (-37 FTP, -22 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station (1,336) (180) 62 PPA II: Civilian Personnel (-11 FTP, -7 FTE) Civilian Pay and Allowances (474) PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (35) (54) PPA IV: Operating Funds and Unit Level Maintenance 1st District 11th District 17th District Headquarters Directorates Headquarters Units Other Activities (23) (2) (2) (9) (33) (4) PPA V: Centrally Managed Accounts Central Accounts (102) (2,192) CG-OE-53 Human Resources Efficiencies FTP FTE Coast Guard Academy Chief Petty Officer Reduction (5) (3) (225) Health Care Personnel Efficiencies (9) (6) (390) Housing Management Efficiencies (18) (9) (655) - - (184) Coast Guard Academy Social Etiquette Program Reduction (1) (1) (53) Human Resources Personnel Efficiencies (4) (2) (210) Pay and Personnel Center Personnel Efficiencies (7) (4) (279) Personnel Services Command Efficiencies (2) (2) (81) Community Services Command Efficiencies (2) (2) (115) (48) (29) (2,192) Extended Tour Lengths Savings Total Amount ($000) Coast Guard Academy Chief Petty Officer Reduction Provides annual savings through reduction of Coast Guard Academy Chief Petty Officers. The Academy will realign duties and adjust workloads to ensure Cadets continue to receive appropriate oversight and mentoring. Health Care Personnel Efficiencies Reflects savings in personnel funding for Coast Guard health services delivery. Savings will be realized through reduction of health services personnel. Position realignment and workload adjustments at Coast Guard health services locations will ensure there is no reduction in services to members or dependents. Housing Management Efficiencies Provides annual savings from the reduction of personnel available to support and maintain Coast Guard housing. These reductions are based on the Coast Guard’s projected housing divesture plan and will not affect the level of service provided to members or dependents. CG-OE-54 Extended Tour Lengths Savings Provides annual Permanent Change of Station (PCS) savings through extending the length of assignment for selected military positions. Coast Guard Academy Social Etiquette Program Reduction Provides annual savings through a reduction of personnel in the Coast Guard Academy’s formal social etiquette program. Position realignment and workload adjustments at the Academy will ensure Cadets continue to receive necessary training on military social etiquette. Human Resources Personnel Efficiencies Reflects savings from Coast Guard Human Resources personnel reductions. Position realignment and workload adjustments will mitigate any reduction in services. Pay and Personnel Center Personnel Efficiencies Provides annual savings from the reduction of personnel at the Coast Guard Pay and Personnel Center (PPC) Customer Care Branch. Position realignment and work load adjustments at PPC will mitigate any reduction in services to members, dependents, or retirees. Personnel Services Command Efficiencies Provides annual savings from the reduction of personnel at the Coast Guard Personnel Services Command. Position realignment and workload adjustments will mitigate any reduction in services. Community Services Command Efficiencies Provides annual savings from the reduction of personnel at the Coast Guard Community Services Command. Position realignment and workload adjustments will mitigate any reduction in services. CG-OE-55 Chief Financial Officer (CFO) Personnel Reduction .................................................................................................................... ($984) PPA Breakdown - Chief Financial Officer (CFO) Personnel Reduction PPA I: Military Personnel (-1 FTP, -1 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) (38) (5) 7 PPA II: Civilian Personnel (-14 FTP, -8 FTE) Civilian Pay and Allowances (650) PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (3) (1) PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates Headquarters Units (4) (21) PPA V: Centrally Managed Accounts Central Accounts (269) (984) Chief Financial Officer (CFO) Personnel Reduction FTP FTE Office of Budget and Programs Staff Reduction (2) (2) (129) Financial Management Reductions (13) (7) (855) (15) (9) (984) Total Amount ($000) Office of Budget and Programs Staff Reduction Provides savings from the elimination of two positions in the Coast Guard Office of Budget and Programs. This initiative will eliminate one Acquisition, Construction and Improvement (AC&I) program reviewer and the office’s single administrative support position. CG-OE-56 Financial Management Reductions Provides annual savings from the elimination of thirteen financial management support positions at the Coast Guard Finance Center. These positions maintain the legacy Coast Guard Core Accounting System which provides financial services for the Coast Guard and other DHS components. The Coast Guard is scheduled to transition from this system to a Federal Shared Service Provider in FY 2018. National Capital Region (NCR) Footprint Consolidation.......................................................................................................... ($3,900) PPA Breakdown - National Capital Region (NCR) Footprint Consolidation PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates PPA V: Centrally Managed Accounts Central Accounts Total ($000) (276) (3,624) (3,900) This initiative reduces the cost of the Coast Guard’s NCR real property footprint by consolidating GSA leased property occupants at the Douglas A. Munro Coast Guard Headquarters Building at St. Elizabeths. Air Station Los Angeles Lease Termination Savings.................................................................................................................. ($1,081) PPA Breakdown - Air Station Los Angeles Lease Termination Savings PPA V: Centrally Managed Accounts Central Accounts Total ($000) (1,081) (1,081) Reflects annual cost savings due to the expiration of the Air Station Los Angeles lease at Los Angeles International Airport. The Coast Guard will use an existing hangar at Naval Base Ventura County as a Forward Operating Base until a permanent hangar is built. Coast Guard Search and Rescue response times within the current area of operation will continue to meet Coast Guard’s national standards. CG-OE-57 Maintenance Efficiencies............................................................................................................................................................... ($2,489) PPA Breakdown - Maintenance Efficiencies PPA I: Military Personnel (-29 FTP, -15 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station PPA III: Training and Recruiting Training and Education Recruiting and Training Centers Total ($000) (976) (140) 240 (25) (22) PPA IV: Operating Funds and Unit Level Maintenance Headquarters Units Other Activities PPA V: Centrally Managed Accounts Central Accounts (357) (2) (41) PPA VI: Depot Level Maintenance Aircraft Maintenance Electronics Maintenance Civil/Ocean Engineering and Shore Facility Maintenance Vessel Maintenance (180) (300) (606) (80) (2,489) Provides annual savings from maintenance efficiencies realized through personnel reductions and centralized inventory management of operational support equipment. A thorough review of the Coast Guard’s shore-side support identified potential personnel efficiencies with no direct operational impact and minimal effect on current service deliveries. Centralized management and standardization of equipment requirements and usage will reduce costs while continuing to meet Service demand. CG-OE-58 National Security Cutter Energy Efficiency.............................................................................................................................. ($13,481) PPA Breakdown - National Security Cutter Fuel Efficiency PPA IV: Operating Funds and Unit Level Maintenance Headquarters Units Total ($000) (13,481) (13,481) Provides annual savings from a re-calculation of projected National Security Cutter (NSC) energy costs based on observed fuel consumption during actual operations. CG-OE-59 Management and IT Efficiencies.................................................................................................................................................. ($8,772) PPA Breakdown - Management and IT Efficiencies PPA II: Civilian Personnel (53 FTP, 27 FTE) Civilian Pay and Allowances Total ($000) 3,402 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (1,467) (3,303) PPA IV: Operating Funds and Unit Level Maintenance Atlantic Area Pacific Area 1st District 5th District 8th District 9th District Headquarters Directorates Headquarters Units (729) (281) (100) (123) (30) (137) 15,455 (17,187) PPA V: Centrally Managed Accounts Central Accounts (1,883) PPA VI: Depot Level Maintenance Electronics Maintenance (2,389) (8,772) CG-OE-60 Management & IT Efficiencies FTP FTE Education and Training Efficiencies - - (1,477) Security Contract Management Efficiency - - (1,350) Use of Multi-Function Devices - - (1,350) Communication System Program Efficiency - - (1,437) Secret Internet Protocol Router Network (SIPRNet) Tunneling IT Workforce Rebalancing IT Support Delivery Efficiency Total Amount ($000) - - (256) 53 27 (902) - - (2,000) 53 27 (8,772) Education and Training Efficiencies Provides annual savings from Coast Guard advanced education and training efficiencies that allow the Service to meet requirements at a reduced cost. Security Contract Management Efficiency Reflects savings from centralized management of security contracts across the Coast Guard. The consolidation of separately managed security contracts at individual Coast Guard installations will decrease costs without reducing levels of service. Use of Multi-Function Devices Reflects savings from replacing stand-alone printing, copying, faxing, and scanning devices with Multi-Functional Devices (MFD). MFDs require less support, power, and supplies to operate. Communication System Program Efficiency Provides annual savings from the consolidated management of Coast Guard telephony services. The Coast Guard will transition two central office exchange service units to a Coast Guard-owned Private Branch Exchange (PBX) system. CG-OE-61 Secret Internet Protocol Router Network (SIPRNet) Tunneling Reflects a reduced funding requirement to maintain and manage SIPRNet capabilities by eliminating circuits and improving management of Tactical Local Area Network Encryption (TACLANE) devices. In addition, this initiative will reduce reliance on external agencies for cryptographic assistance. IT Workforce Rebalancing Reflects savings from converting specific IT contractor positions to government positions at units across the Coast Guard. This targeted rebalancing will improve IT services and contracting oversight. IT Support Delivery Efficiency Reflects savings associated with moving Coast Guard development, deployment and support of critical IT systems to a utility services model. By centralizing management and oversight, IT support will be offered more efficiently and uniformly across the Service. CG-OE-62 Professional Services Contract Reduction................................................................................................................................. ($35,000) PPA Breakdown – Professional Services Contract Reduction Total ($000) PPA I: Military Personnel Military Health Care (2,294) PPA III: Training and Recruiting Recruiting and Training Centers (1,450) PPA IV: Operating Funds and Unit Level Maintenance Headquarters Directorates PPA VI: Depot Level Maintenance Aircraft Maintenance Electronics Maintenance Civil/Ocean Engineering and Shore Facility Maintenance Vessel Maintenance (21,396) (1,800) (2,600) (3,460) (2,000) (35,000) Reflects savings in professional services contracts based on an assessment of their direct contribution to Coast Guard front-line operations. The changes include the termination of contracts due to expire in 2016 that are not mission critical. CG-OE-63 Four 110-foot Patrol Boats............................................................................................................................................................ ($4,559) PPA Breakdown - Four 110-foot Patrol Boats PPA I: Military Personnel (-72 FTP, -55 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) (3,549) (523) 482 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (103) (72) PPA IV: Operating Funds and Unit Level Maintenance 5th District 7th District 14th District 17th District Headquarters Directorates Headquarters Units Other Activities (454) (60) (80) (212) 36 42 (7) PPA V: Centrally Managed Accounts Central Accounts (245) PPA VI: Depot Level Maintenance Electronics Maintenance Vessel Maintenance 35 151 (4,559) Decommissions four 110-foot Island Class (WPB) patrol boats. The 110-foot WPB fleet is beyond its projected 20-year service life and is increasingly costly to maintain and operate. These assets are being replaced by more capable Fast Response Cutters (FRCs). The Coast Guard will re-invest the savings from decommissioning the 110-foot WPBs to fund the operations and maintenance costs of the FRCs scheduled for delivery in 2017. CG-OE-64 Decommission High Endurance Cutter (WHEC)....................................................................................................................... ($7,275) PPA Breakdown - One High Endurance Cutter (WHEC) PPA I: Military Personnel (-184 FTP, -92 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station PPA III: Training and Recruiting Training and Education Recruiting and Training Centers Total ($000) (5,751) (891) 1,356 (171) (129) PPA IV: Operating Funds and Unit Level Maintenance Pacific Area Headquarters Directorates Headquarters Units Other Activities (2,093) 300 525 (15) PPA V: Centrally Managed Accounts Central Accounts (269) PPA VI: Depot Level Maintenance Electronics Maintenance Vessel Maintenance 688 (825) (7,275) Decommissions one legacy High Endurance Cutter (WHEC). The remaining WHEC fleet is operating well beyond its design service life and is increasingly costly to maintain and operate. The WHEC fleet is being replaced by more capable National Security Cutters (WMSL Class). The sixth National Security Cutter (NSC) is under production and is scheduled for delivery in FY 2017. CG-OE-65 Manned Covert Surveillance Aircraft (MCSA) Program Termination ................................................................................... ($2,722) PPA Breakdown - Manned Covert Surveillance Aircraft Total ($000) PPA I: Military Personnel (-11 FTP, -6 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station (463) (53) 75 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (149) (11) PPA IV: Operating Funds and Unit Level Maintenance 7th District Headquarters Directorates Headquarters Units Other Activities (314) (179) (52) (1) PPA V: Centrally Managed Accounts Central Accounts (10) PPA VI: Depot Level Maintenance Aircraft Maintenance (1,565) (2,722) Terminates Operations and Maintenance (O&M) funding and personnel support for the Manned Covert Surveillance Aircraft (MCSA) program. The Coast Guard has not received this airframe, and has requested that the Air Force terminate the MCSA contract with Sikorsky Aircraft Corporation. CG-OE-66 Seagoing Buoy Tender (WLB) Temporary Crew Reduction .................................................................................................... ($3,815) PPA Breakdown - One Seagoing Buoy Tender (WLB) Crew PPA I: Military Personnel (-47 FTP, -47 FTE) Military Pay and Allowances Military Health Care Permanent Change of Station Total ($000) (3,220) (455) 403 PPA III: Training and Recruiting Training and Education Recruiting and Training Centers (149) (64) PPA IV: Operating Funds and Unit Level Maintenance 14th District Headquarters Directorates Other Activities (157) (45) (7) PPA V: Centrally Managed Accounts Central Accounts (121) (3,815) Provides annual savings from the temporary disestablishment of one 225-foot Seagoing Buoy Tender (WLB) crew during an extended Midlife Maintenance Availability (MMA) period for this asset class. Individual cutters will rotate through the MMA period until FY 2024, at which time the Coast Guard will go on budget to re-establish a WLB crew. CG-OE-67 Schedule III – Other Exhibits E. Justification of Proposed Legislative Language Department of Homeland Security United States Coast Guard Operating Expenses For necessary expenses for the operations and maintenance of the Coast Guard, not otherwise provided for; purchase or lease of not to exceed 25 passenger motor vehicles, which shall be for replacement only; purchase or lease of small boats for contingent and emergent requirements (at a unit cost of no more than $700,000) and repairs and service-life replacements, not to exceed a total of $31,000,000; purchase or lease of boats necessary for overseas deployments and activities; purchase or lease of other equipment (at a unit cost of no more than $250,000); minor shore construction projects not exceeding $1,000,000 in total cost on any location; payments pursuant to section 156 of Public Law 97–377 (42 U.S.C. 402 note; 96 Stat. 1920); and recreation and welfare; [$7,061,490,000,]$6,986,815,000,1 of which [$500,002,000]$340,000,0002 shall be for defense-related activities[, of which $160,002,000 is designated by the Congress for Overseas Contingency Operations/Global War on Terrorism pursuant to section 251(b)(2)(A)(ii) of the Balanced Budget and Emergency Deficit Control Act of 1985]; of which $24,500,000 shall be derived from the Oil Spill Liability Trust Fund to carry out the purposes of section 1012(a)(5) of the Oil Pollution Act of 1990 (33 U.S.C. 2712(a)(5)); and of which not to exceed $23,000 shall be for official reception and representation expenses: Provided, That none of the funds made available by this Act shall be for expenses incurred for recreational vessels under section 12114 of title 46, United States Code, except to the extent fees are collected from owners of yachts and credited to this appropriation: Provided further, That to the extent fees are insufficient to pay expenses of recreational vessel documentation under such section 12114, and there is a backlog of recreational vessel applications, then personnel performing non-recreational vessel documentation functions under subchapter II of chapter 121 of title 46, United States Code, may perform documentation under section 12114: [Provided further, That of the funds provided under this heading, $85,000,000 shall be withheld from obligation for Coast Guard Headquarters Directorates until a future-years capital investment plan for fiscal years 2017 through 2021, as specified under the heading ‘‘Coast Guard, Acquisition, Construction, and Improvements’’ of this Act, is submitted to the Committees on Appropriations of the Senate and the House of Representatives: Provided further, That funds made available under this heading for Overseas Contingency Operations/Global War on Terrorism may be allocated by program, project, and activity, notwithstanding section 503 of this Act:] Provided further, That without regard to the limitation as to time and condition of section 503(d) of this Act, after June 30, up to $10,000,000 may be reprogrammed to or from Military Pay and Allowances in accordance with subsections (a), (b), and (c) of section 503. CG-OE-68 1 2 Language Provision … [$7,061,490,000,]$6,986,815,000, … [$500,002,000]$340,000,000 Explanation Dollar change only. No substantial change proposed. Dollar change only. No substantial change proposed. CG-OE-69 F. Summary of Fee Collections and Carryover CG-OE-70 G. Summary of Reimbursable Resources Department of Homeland Security U.S. Coast Guard Operating Expenses Summary of Reimbursable Resources (Dollars in Thousands) Collections by Source: Department of Homeland Security Department of Defense Department of Transportation Department of Treasury Department of Commerce Department of State Department of Justice Federal Emergency Management Agency Environmental Protection Agency - Panama Canal Authority Other Anticipated Reimbursables General Operational Reimbursements Total Budgetary Resources FY 2015 Revised Enacted Pos FTE Amount 123 110 $20,509 469 453 $88,761 19 14 $25,821 66 54 $187 6 6 $843 25 12 $4,428 $148 $20 6 5 $2,100 $54 108 63 $15,226 - $23,119 822 717 $181,216 FY 2016 Enacted Pos FTE Amount 120 102 $26,493 476 427 $134,816 41 14 $16,275 82 56 $11,614 6 6 $860 27 26 $7,301 $5,348 $30 14 13 $5,100 $76 109 89 $27,301 - $19,685 875 733 $254,899 FY 2017 Request Pos FTE Amount 113 107 $26,579 476 443 $137,671 23 25 $6,623 81 81 $11,657 6 5 $871 27 27 $7,311 $5,349 $35 14 5 $4,500 $76 135 99 $27,468 - $25,000 875 792 $253,140 Increase/Decrease Pos FTE Amount (7) 5 $86 16 $2,855 (18) 11 ($9,652) (1) 25 $43 (1) $11 1 $10 $1 $5 (8) ($600) 26 10 $167 $5,315 59 ($1,759) Obligations by Program/Project Activity: Military Personnel Civilian Personnel Operational Reimbursements Total Obligations FY 2015 Revised Enacted Pos FTE Amount 586 537 $59,172 236 180 $20,486 - $101,558 822 717 $181,216 FY 2016 Enacted Pos FTE Amount 604 548 $62,120 271 185 $21,899 - $170,880 875 733 $254,899 FY 2017 Request Pos FTE Amount 604 574 $64,360 271 218 $24,220 - $164,560 875 792 $253,140 Increase/Decrease Pos FTE Amount 26 $2,240 33 $2,321 - ($6,320) 59 ($1,759) CG-OE-71 H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity Department of Homeland Security U.S. Coast Guard Operating Expenses (Dollars in Thousands) Program/Project/Activity V. Centrally Managed Accounts Total Working Capital Fund Program/Project Activity GSA Rent Internal Control Audit Bankcard Program TIER NFC Payroll Services HCBS Payroll Service Flexible Spending Account DHS Exec Lead ELA NDU Faculty Research Library & Information Services DHS One Net Regulatory Services CAO Mail Services FY 2015 FY 2016 FY 2017 Increase/Decrease Revised Enacted Amount Enacted Amount Request Amount for FY 2017 Amount $97,383 $97,383 $104,343 $104,343 $74,862 $74,862 ($29,481) ($29,481) FY 2015 Revised Enacted Amount $ 51,057 $ 3,416 $ 3 $ 61 $ 2,172 $ 300 $ 8 $ 36 $ 25,348 $ 66 $ 617 $ 6,841 $ $ 1,626 $ $ $ $ $ $ $ $ $ $ $ $ $ $ CG-OE-72 FY 2016 Enacted Amount 54,041 3,458 3 63 2,236 348 61 54 25,064 62 667 8,608 170 2,752 $ $ $ $ $ $ $ $ $ $ $ $ $ $ FY 2017 Request Amount 55,063 3,169 3 63 2,219 593 62 22 61 665 6,370 20 1,731 Increase/Decrease for FY 2017 Amount $ 1,022 $ (289) $ $ $ (17) $ 245 $ 1 $ (32) $ (25,064) $ (1) $ (2) $ (2,238) $ (150) $ (1,021) e-Training CLAN Operations Interagency Council Funding USA Jobs Enterprise HR Integration (EHRI) e-Rulemaking HR LOB e-GovBenefits Fin Mgmt LOB Geospatial LOB Budget Formulation & Execution LOB e-Integrated Financial Assistance Environment e-Integrated Acquisition Environment e-Gov Disaster Mgmt IAE Loans and Grants Performance Management LOB e-Integrated Awards Environment Capital Planning and Investment Control (CPIC) Strategic Sourcing CPO Shared Reporting WCF Ops Total Working Capital Fund $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 681 79 147 47 145 81 11 10 31 37 17 5 456 1,637 10 9 1,263 266 750 150 97,383 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ CG-OE-73 1,240 308 93 51 148 81 12 11 21 25 5 5 510 1,637 11 10 1,362 316 731 179 104,343 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 1,264 346 91 52 162 79 13 11 20 25 11 5 6 329 1,362 330 715 74,862 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ 24 38 (2) 1 14 (2) 1 (1) 6 (510) (1,637) (11) (4) 329 14 (16) (179) (29,481) 1. Capital Investment and Construction Initiative Listing CG-OE-74 J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Operating Expenses Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 Revised Enacted 2016 2017 Enacted Request FY 2016 to FY 2017 Change Personnel and Other Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Other Compensation Benefits $556,463 $3,610 $16,927 $732,743 $1,892,303 $6,760 $191,681 $250,248 $6,432 $570,415 $3,701 $17,351 $742,319 $1,938,094 $6,930 $197,487 $255,877 $6,590 $590,287 $3,830 $17,955 $758,705 $1,949,088 $6,970 $204,536 $257,439 $6,639 $19,872 $129 $604 $16,386 $10,994 $40 $78,049 $1,562 $49 $3,657,167 $3,737,764 $3,795,449 $57,685 $193,254 $82,341 $53,382 $31,141 $181,033 $3,983 $181,445 $891,585 $216,686 $189,928 $67,715 $49,535 $30,289 $181,493 $4,551 $176,565 $808,498 $217,447 $188,517 $78,441 $46,658 $30,337 $179,488 $4,636 $164,448 $765,337 $216,384 $8,589 $10,726 ($2,877) $48 ($2,005) $85 ($12,117) ($43,161) ($1,063) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources CG-OE-75 Object Classes 25.4 Operation and Maintenance of Facilities 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations 2015 Revised Enacted $225,507 $302,493 $129,654 $689 $761,109 $108,781 $21,722 $539 $3,385,344 2016 2017 $211,208 $319,967 $169,761 $845 $739,320 $136,496 $23,085 $539 $3,317,242 $193,277 $327,184 $160,611 $847 $708,905 $104,757 $21,000 $539 $3,191,366 FY 2016 to FY 2017 Change ($17,931) $7,217 ($9,150) $2 ($30,415) ($31,739) ($2,085) ($125,876) Enacted Request $7,042,511 $7,055,006 $6,986,815 ($68,191) ($3,179) $2,170 ($2,170) $8,000 ($8,000) $8,000 ($5,830) - $7,041,502 $7,060,836 $6,986,815 ($74,021) Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Total Requirements CG-OE-76 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Operating Expenses I. Military Pay and Allowances Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel and Compensation Benefits 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits FY 2015 Revised Enacted FY 2016 to FY 2017 Change FY 2017 Request - - - - $732,743 $1,892,303 $6,760 $250,248 $6,026 $2,888,080 $742,319 $1,938,094 $6,930 $255,877 $6,174 $2,949,394 $758,705 $1,949,088 $6,970 $257,439 $6,209 $2,978,411 $16,386 $10,994 $40 $1,562 $35 $29,017 - - - - $60,462 $65,403 $4,168 $10,223 $33,314 $50,049 $302,493 $6,943 $55,720 $503 $48,700 $52,028 $4,248 $9,282 $31,316 $51,305 $319,967 $5,676 $57,888 $532 $58,455 $62,935 $4,351 $10,360 $34,433 $53,485 $327,184 $6,751 $59,871 $544 $9,755 $10,907 $103 $1,078 $3,117 $2,180 $7,217 $1,075 $1,9,83 $12 Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.6 Medical Care 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 31.0 Equipment FY 2016 Enacted CG-OE-77 Object Classes 42.0 Insurance Claims and Indemnities Total, Other Object Classes FY 2015 Revised Enacted $539 $589,817 FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request $539 $581,481 $539 $618,908 $37,427 Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $3,477,897 38,724 $3,530,875 40,449 $3,597,319 40,699 $66,444 250 Total Requirements Full Time Equivalents CG-OE-78 Department of Homeland Security U.S. Coast Guard Operating Expenses II. Civilian Pay and Benefits Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel and Compensation Benefits FY 2015 Revised Enacted FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request - - - - $556,463 $3,610 $16,927 $191,681 $406 $769,087 $570,415 $3,701 $17,351 $196,487 $416 $788,370 $590,287 $3,830 $17,956 $204,536 $431 $817,038 $19,872 $129 $604 $8,049 $14 $28,668 - - - - $113 $173 $286 $113 $173 $286 $113 $173 $286 - Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $769,373 6,980 $788,656 7,478 $817,324 7,548 $28,668 70 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things Total, Other Object Classes Total Requirements Full Time Equivalents CG-OE-79 Department of Homeland Security U.S. Coast Guard Operating Expenses III. Training and Recruiting Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Other Object Classes FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request - - - - $46,245 $810 $3,933 $11,070 $623 $46,492 $49,668 $14,633 $416 $412 $30,654 $3,134 $208,090 $46,358 $769 $3,731 $10,501 $616 $51,716 $43,903 $7,942 $14,834 $92 $391 $30,999 $2,978 $214,830 $48,749 $772 $3,748 $10,548 $653 $45,724 $35,542 $4,528 $15,356 $502 $393 $29,324 $2,766 $198,605 $2,391 $3 $17 $47 $37 ($5,992) ($8,361) ($3,414) $522 $410 ($1,675) ($212) ($16,225) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - $208,090 - $214,830 - $198,605 - ($16,225) - 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents CG-OE-80 Department of Homeland Security U.S. Coast Guard Operating Expenses IV. Operating Funds and Unit Level Maintenance Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Other Object Classes FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request - - - - $76,129 $10,619 $21,058 $87,624 $3,245 $20,189 $266,926 $52,006 $49,012 $50,344 $277 $411,343 $41,451 $291 $1,090,514 $75,211 $9,893 $20,489 $88,261 $3,000 $14,327 $253,250 $48,135 $44,301 $65,362 $454 $405,574 $54,574 $361 $1,083,571 $71,467 $9,709 $20,417 $82,994 $3,000 $6,341 $227,073 $48,409 $41,236 $67,344 $454 $373,265 $44,039 $456 $996,204 ($3,744) ($184) ($72) ($5,267) ($7,986) ($26,177) $274 ($3,065) $1,982 ($32,309) ($10,914) $95 ($87,367) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Total, Adjustments ($2,661) $1,134 ($1,527) ($1,134) ($1,134) - $1,134 $1,134 Total Requirements Full Time Equivalents $1,088,987 - $1,082,437 - $996,204 - ($86,233) - 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures Total, Other Object Classes Adjustments CG-OE-81 Department of Homeland Security U.S. Coast Guard Operating Expenses V. Centrally Managed Accounts Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Other Object Classes FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request - - - - $53,382 $75,808 $19,576 $61,236 $96,691 $1,694 $3,813 $14,323 $20,105 $346,628 $49,535 $75,247 $19,237 $56,935 $93,610 $1,640 $1,958 $13,787 $19,152 $331,101 $46,658 $77,555 $18,784 $55,281 $93,182 $1,640 $3,310 $13,994 $18,695 $329,099 ($2,877) $2,308 ($453) ($1,654) ($428) $1,352 $207 ($457) ($2,002) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year - - - - $346,628 - $331,101 - $329,099 - ($2,002) - 23.1 Rental Payments to GSA 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total Requirements Full Time Equivalents CG-OE-82 Department of Homeland Security U.S. Coast Guard Operating Expenses VI. Intermediate and Depot Level Maintenance Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted Other Object Classes FY 2016 Enacted FY 2016 to FY 2017 Change FY 2017 Request - - - - $10,305 $5,336 $1,982 $6,531 $115 $84,965 $480,441 $17,940 $160,168 $68,138 $249,069 $43,588 $21,431 $1,150,009 $9,546 $4,852 $1,821 $7,484 $935 $82,003 $423,094 $16,455 $150,433 $96,673 $231,072 $58,881 $22,724 $1,105,973 $9,733 $4,852 $1,821 $8,391 $983 $83,239 $413,008 $16,780 $135,045 $82,704 $232,451 $38,713 $20,544 $1,048,264 $187 $907 $48 $1,236 ($10,086) $325 ($15,388) ($13,969) $1,379 ($20,168) ($2,180) ($57,709) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Total, Adjustments ($518) $1,036 $518 ($1,036) ($1,036) - $1,036 $1,036 Total Requirements Full Time Equivalents $1,150,527 - $1,104,937 - $1,048,264 - ($56,673) - 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures Total, Other Object Classes Adjustments CG-OE-83 L. Permanent Positions by Grade Department of Homeland Security U.S. Coast Guard Operating Expenses Military Permanent Positions by Grade FY 2015 Revised Enacted Pos. 1 5 25 7 346 769 1,258 2,194 1,360 285 1,639 1 336 687 3,321 6,185 7,599 7,462 4,444 1,001 296 825 40,046 40,046 Grades and Salary Range O-10 O-9 O-8 O-7 O-6 O-5 O-4 O-3 O-2 O-1 CWO E-10 E-9 E-8 E-7 E-6 E-5 E-4 E-3 E-2 E-1 Cadet/OC Total Permanent Positions Total Perm. Employment EOY CG-OE-84 FY 2016 FY 2017 Enacted Request Pos. 1 5 25 7 348 771 1,265 2,229 1,375 292 1,639 1 336 691 3,347 6,227 7,632 7,504 4,430 977 296 825 40,223 40,223 Pos. 1 5 25 7 348 771 1,277 2,254 1,379 309 1,635 1 336 694 3,376 6,261 7,690 7,559 4,451 947 296 825 40,447 40,447 FY 2016 to FY 2017 Change Total 12 25 4 17 (4) 3 29 34 58 55 21 (30) 224 224 FY 2015 Revised Enacted Pos. 909 38,796 341 40,046 FY 2016 FY 2017 Enacted Request Pos. 911 38,971 341 40,223 Pos. 922 39,184 341 40,447 FY 2016 to FY 2017 Change Total 11 213 224 FTE 38,724 40,449 40,699 250 Average Grade, Officer Positions Average Salary, Officer Positions Average Salary, Enlisted Positions Average Grade, Enlisted Positions 3 106,602 63,377 5 3 108,312 61,859 5 3 109,225 63,517 5 913 1,658 - Grades and Salary Range Headquarters Military Positions U.S. Field Military Foreign Field Military Total, Operating Expenses: CG-OE-85 Department of Homeland Security U.S. Coast Guard Operating Expenses Civilian Permanent Positions by Grade Grades and Salary Range Total, SES GS-15 GS-14 GS-13 GS-12 GS-11 GS-10 GS-9 GS-8 GS-7 GS-6 GS-5 GS-4 GS-3 Other Graded Positions Total Permanent Positions Unfilled Positions EOY Total Perm. Employment (Filled Positions) EOY Headquarters U.S. Field Foreign Field Total, Operating Expenses: FTE Average Personnel Costs, ES Positions CG-OE-86 FY 2015 Revised Enacted Pos. 18 184 605 1,375 1,678 958 25 595 152 701 210 136 20 5 1,206 7,868 857 7,011 1,055 6,806 7 7,868 FY 2016 FY 2017 Enacted Request Pos. 18 184 604 1,383 1,686 963 25 597 151 699 206 134 20 5 1,206 7,881 856 7,025 1,056 6,818 7 7,881 Pos. 18 185 608 1,422 1,726 978 25 611 150 692 204 132 20 5 1,206 7,982 867 7,115 1,056 6,919 7 7,982 FY 2016 to FY 2017 Change Total 1 4 39 40 15 14 (1) (7) (2) (2) 101 11 90 101 101 6,980 7,478 7,548 70 222,900 224,621 218,700 (5,921) FY 2015 Revised Enacted Pos. 111,141 11 Grades and Salary Range Average Personnel Costs, GS Positions Average Grade, GS Positions CG-OE-87 FY 2016 FY 2017 Enacted Request Pos. 111,518 11 Pos. 111,793 11 FY 2016 to FY 2017 Change Total 275 - M. Changes in Full Time Employment FY 2015 46,400 FY 2016 45,704 FY 2017 48,293 Increases 924 3,472 649 Decreases (1,620) (883) (695) Year End Actuals/Estimated FTEs Net Change from prior year base to Budget Year Estimate 45,704 (696) 48,293 2,589 48,247 (46) BASE: Year End Actual from Prior Year CG-OE-88 Department of Homeland Security United States Coast Guard Environmental Compliance and Restoration ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ..................................................................................................................................... 14 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language.................................................................................................................14 Summary of Fee Collections and Carryover .......................................................................................................................15 Summary of Reimbursable Resources ..................................................................................................................................16 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................17 Capital Investment and Construction Initiative Listing....................................................................................................18 Object Class Breakout by Appropriation .............................................................................................................................19 Object Class Breakout by PPA ...............................................................................................................................................20 Permanent Positions by Grade ................................................................................................................................................21 Changes in Full Time Employment ......................................................................................................................................23 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Environmental Compliance and Restoration 25 22 $13,197 25 24 $13,221 25 24 $13,315 - - $94 Total, Environmental Compliance and Restoration 25 22 $13,197 25 24 $13,221 25 24 $13,315 - - $94 Subtotal, Enacted Appropriations & Budget Estimates 25 22 $13,197 25 24 $13,221 25 24 $13,315 - - $94 - - - - - - - - - - - - 25 22 $13,197 25 24 $13,221 25 24 $13,315 - - $94 Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Environmental Compliance and Restoration: The Environmental Compliance and Restoration (EC&R) appropriation provides funding for environmental cleanup, sustainment, and restoration of current and former contaminated Coast Guard facilities, and engineering remedies on Coast Guard assets for the purpose of obtaining or restoring compliance with environmental laws and preventing contamination and environmental damage. EC&R funding ensures the Coast Guard maintains its responsibilities associated with environmental stewardship. The Coast Guard complies with the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), Superfund Amendments and Reauthorization Act, Resource Conservation and Recovery Act (RCRA), and other applicable Federal or State laws to clean up contamination at current and former Coast Guard properties. CG-EC&R-3 B. Budget Activities: EC&R activities include site investigation and remediation activities at shore facilities; to include Coast Guard property slated for divestiture or transfer, and engineering changes to Coast Guard buildings and structures for the purpose of complying with environmental laws and preventing contamination and environmental damage. C. Budget Request Summary: The FY 2017 President’s Budget request provides 25 positions, 24 FTE, and $13.315 million for EC&R activities. This request provides for environmental remediation and restoration of Coast Guard facilities, including site assessment, remediation, and long term monitoring and management at Coast Guard facilities. This request also continues long term monitoring at 30 sites, begins or continues investigation/remediation site work for four sites, and displays a commitment to ongoing identification, investigation, cleanup, and long-term management of contamination from hazardous substances and pollutants for Coast Guard systems, buildings, structures, and assets. CG-EC&R-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Annualization of 2016 Military and Civilian Pay Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances Total, Increases Decreases 2016 Compensable Work Day Total, Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-EC&R-5 Pos. 25 25 - FTE 22 24 - Amount $13,197 $13,221 $94 - - $58 $1 $42 $1 $4 $106 25 25 - 24 24 - ($12) ($12) $94 $13,315 $13,315 $94 C. FY 2017 Investment Summary - Appropriation Level Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Environmental Compliance and Restoration FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Environmental Compliance and Restoration Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Annualization of 2016 Military and Civilian Pay Current Services Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances 2016 Compensable Work Day Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions 25 25 FTE 22 24 Amount 13,197 13,221 25 - 24 - 58 1 42 1 4 (12) 13,315 94 PPA DESCRIPTION: The purpose of the EC&R Appropriation is to carry out a program of environmental compliance and restoration at current and former Coast Guard facilities. The program involves the identification, investigation, cleanup, and long-term management of contamination from hazardous substances and pollutants, as well as engineering changes (i.e., physical changes) to Coast Guard systems, buildings, structures, and assets in order to bring Coast Guard facilities into compliance with environmental laws, to prevent contamination, or to preclude an environmental liability. CG-EC&R-7 Funding requested is planned to be allocated by EC&R activity as follows: 1. Site Investigation/Remediation Activities (4 locations) 2. Long Term Management of Restoration Project Sites (30 locations) 3. Environmental Compliance Projects and Activities 4. Salaries $7.039 million $2.083 million $0.750 million $3.443 million Depending on project complexity and conditions identified during routine monitoring, detailed site surveys, or field work project, sites may undergo investigation and assessment, remediation, restoration, and/or long term management in a phased approach, requiring a funding distribution across multiple years. The table below provides a detailed listing of each planned FY 2017 EC&R project based on current information regarding prioritization of work. The list may be adjusted as new information is discovered based upon the completion of assessments and project risk priority. CG-EC&R-8 Project Title Site Investigations/Remediation Activities AIRSTA Annette Island - Site Remediation (Multiple Locations/Various Contamination Sources) Radar Station Point Higgins -Site Remediation - Soil Lighthouse - Farallon Island Light Station - Site Remediation (Excavate/Removal of Multiple Soil Contaminants) TRACEN Petaluma (Skeet Range) - Site Remediation (Soil Contamination) Subtotal Site Investigation/Remediation Activities Estimated Cost ($K) 2,000 870 2,455 1,714 $7,039 Long Term Management of Remediation Activities CG YARD / Site 9 - Long Term Management (Groundwater Monitoring/ Land Use Controls Oversight) BASE Kodiak / Site 3 (Former Dry Cleaning/Laundry Facility) - Long Term Management (Groundwater Monitoring) BASE Kodiak / Site 23 (Former Power Plant) - Long Term Management (Groundwater Monitoring) BASE Kodiak / Site 1 (Former CG Landfill) ­ Long Term Management (Post-Closure Maintenance & Monitoring) BASE Kodiak / Site 7A (Former Barrel Storage Area) - Long Term Management BASE Kodiak / Site 6A (Motor Gasoline) - Long Term Management (Post-Closure Maintenance & Annual Groundwater Monitoring of Underground Storage Tanks Leaks BASE Kodiak / Site 2 (Former Navy Landfill) - Long Term Management (Post-Closure Maintenance & Monitoring) BASE Elizabeth City / Solid Waste Management Units 28/56 - Long Term Management (Groundwater Monitoring) CG-EC&R-9 17 258 178 57 132 57 42 180 Project Title BASE Elizabeth City / Solid Waste Management Units 12/13/60 ­ Long Term Management (Monitoring of Ground Water Contamination @ Bldg 77 - Stripping Shop Release Site) Base Elizabeth City / Solid Waste Management Units 32/37/38 (Former Fuel Farm) - Site Remediation/Long Term Management (Phytoremediation System) Base Elizabeth / Solid Waste Management Unit 64 - Long Term Management (Groundwater Monitoring) BASE Elizabeth City / Bldg 79 - Long Term Management (Groundwater Monitoring Electroplating Shop Release) Air Station Traverse City - Site Cleanup of Asbestos Containing Materials (Annual Site Inspection and Cleanup of Transite Siding) Base Elizabeth City / Solid Waste Management Unit 33 (Former Waste Storage Area Bldg 87) - Site Remediation/Long Term Management Base Elizabeth City / Solid Waste Management Unit 15 (Former Burn Area and Landfill) ­ Long Term Monitoring (Phytoremediation System Operations and Management) STA Grand Haven - Long Term Management (Groundwater Monitoring) STA Fort Pierce - Long Term Management (Groundwater Monitoring) CG Yard / Site 7 - Long Term Management / Maintenance of Land Use Controls BASE Ketchikan - Long Term Management (Monitoring of Post-Remediation Activities) Station Manistee - Long Term Management (Groundwater Monitoring) Base Elizabeth City / Unit 62 - Long Term Management (Seaplane Pipeline Release Site) Base Elizabeth City / Unit 55 - Long Term Management (Groundwater Monitoring of Main Gate Release Site) Egmont Key Lighthouse - Long Term Management (Monitoring of Natural Attenuation of Groundwater Contamination) Station Sabine - Long Term Management (Monitoring of Natural Attenuation of Groundwater Contamination) Detachment Sandy Hook - Long Term Management (Groundwater Monitoring) CG-EC&R-10 Estimate Cost ($K) 40 115 65 35 25 45 35 315 30 36 14 65 25 15 8 80 75 Project Title Base Elizabeth City / Former Navy Dispensary and Barracks Site - Long Term Management (Monitoring of Natural Attenuation of Groundwater) Guard Island Lighthouse - Long Term Management (Inspection & Maintenance of Land Cap & Institutional Controls) LORAN Station Kure (former) - Long Term Management (Biennial Monitoring of PostRemediation Activities) Air Station Clearwater - Long Term Management (Monitoring of Natural Attenuation of Fuel Release Fuel Handling Hydrant #3) Coast Guard Academy - Long Term Management (Parcel 1 Fencing & Signage) Subtotal Long Term Management of Remediation Projects Environmental Compliance Projects and Activities Salaries Estimate Cost ($K) 20 5 80 30 4 $2,083 $750 $3,443 Total FY 2017 Request $ 13,315 CG-EC&R-11 Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 24 21 $3,068 $145 24 23 $3,227 $139 24 23 $3,320 $143 $93 $4 1 1 $121 $121 1 1 $122 $122 1 1 $123 $123 $1 $1 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 Actual FTE and FY2015 Revised Enacted Budgetary Resources in the Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: None. • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 military and civilian (1.3 percent) pay raise. Provides funding for the FY 2017 military and civilian (1.6 percent) pay raise. Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. • Average Cost Change FY 2016-2017: Average cost change is due to the increased personnel costs related to the pay raise and personnel benefits being allocated to the same number of FTE appropriated in FY 2016. • Bonuses and Performance: FY 2017 request estimates $19 thousand for bonuses and performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. CG-EC&R-12 Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Environmental Compliance and Restoration 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Site Investigation / Remediation Activities $8,165 Long Term Management of Restoration Project Sites $1,960 $10,125 Total $6,939 $2,183 $9,122 $7,039 $2,083 $9,122 FY 2016 to FY 2017 Change $100 ($100) - NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Site Investigation / Remediation Activities (4 locations): Provides funding to perform site remediation work at 4 locations to clean up hazardous substances and pollutants. Minor increases in this cost driver support new priorities: site remediation at former AIRSTA Annette Island, AK ($2M); former Radar Station Point Higgins, AK ($0.870M); Farallon Island Light Station, CA ($2.455M); TRACEN Petaluma, CA ($1.714M). • Long Term Management of Restoration Project Sites (30 locations): Provides funding to continue long-term management work at 30 locations where remediation activities work has previously been done. Minor changes in this cost driver support ongoing priorities: monitoring and management work spanning multiple years to include sampling, analysis, site inspections, post closure maintenance, validation of land use controls, groundwater monitoring, monitoring of natural attenuation of groundwater contamination, and validation of institutional controls. CG-EC&R-13 Schedule III – Other Exhibits E. Justification of Proposed Legislative Language Department of Homeland Security United States Coast Guard Environmental Compliance and Restoration For necessary expenses to carry out the environmental compliance and restoration functions of the Coast Guard under chapter 19 of title 14, United States Code, [$13,221,000,]$13,315,000,1 to remain available until September 30, [2020.]2021.2 1 2 Language Provision … [$13,221,000,]$13,315,000, … [2020.]2021. Explanation Dollar change only. No substantial change proposed. Fiscal year change only. No substantial change proposed. CG-EC&R-14 F. Summary of Fee Collections and Carryover G. Summary of Reimbursable Resources H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 1. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits Total, Personnel Compensation and Benefits $2,380 $20 $31 $83 $668 $7 $3,189 $2,502 $21 $31 $84 $704 $7 $3,349 $2,571 $22 $32 $84 $727 $7 $3,443 $69 $1 $1 $23 $94 $43 $2 $1 $9,010 $75 $7 $10 $1 $9,149 $121 $6 $3 $25,442 $212 $20 $28 $3 $25,835 $46 $2 $1 $9,722 $81 $8 $11 $1 $9,872 ($75) ($4) ($2) ($15,720) ($131) ($12) ($17) ($2) ($15,963) $12,338 $29,184 $13,315 ($15,869) ($14,629) $15,963 ($475) ($15,963) - - $15,963 - $13,197 $13,221 $13,315 $94 Other Object Classes 21.0 Travel and Transportation of Persons 23.1 Rental Payments to GSA 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements CG-EC&R-19 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits FY 2015 Revised Enacted - 11.1 Full-time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits Total, Personnel Compensation and Benefits FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $2,380 $20 $31 $83 $668 $7 $3,189 $2,502 $21 $31 $84 $704 $7 $3,349 $2,571 $22 $32 $84 $727 $7 $3,443 $69 $1 $1 $23 $94 - - - - $43 $2 $1 $9,010 $75 $7 $10 $1 $9,149 $121 $6 $3 $25,442 $212 $20 $28 $3 $25,835 $46 $2 $1 $9,722 $81 $8 $11 $1 $9,872 ($75) ($4) ($2) ($15,720) ($131) ($12) ($17) ($2) ($15,963) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($14,629) $15,963 ($475) $811 ($15,963) ($15,963) - $15,963 $15,963 Total Requirements $13,197 22 $13,221 24 $13,315 24 $94 - Other Object Classes 21.0 Travel and Transportation of Persons 23.1 Rental Payments to GSA 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.4 Operation and Maintenance of Facilities 25.7 Operation and Maintenance of Equipment 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Adjustments Full Time Equivalents CG-EC&R-20 L. Permanent Positions by Grade Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Military Permanent Positions by Grade Grades and Salary Range O-4 Total Permanent Positions Total Perm. Employment EOY Headquarters Military Positions Total, Environmental Compliance and Restoration: FY 2015 Revised Enacted Pos. 1 1 1 1 1 FY 2016 FY 2017 Enacted Request Pos. 1 1 1 1 1 Pos. 1 1 1 1 1 FY 2016 to FY 2017 Change Total - 1 1 1 - 4 131,657 4 129,573 4 134,349 4,776 FTE Average Grade, Officer Positions Average Salary, Officer Positions CG-EC&R-21 Department of Homeland Security U.S. Coast Guard Environmental Compliance and Restoration Civilian Permanent Positions by Grade Grades and Salary Range GS-15 GS-14 GS-13 GS-12 Total Permanent Positions Unfilled Positions EOY Total Perm. Employment (Filled Positions) EOY Headquarters U.S. Field Total, Environmental Compliance and Restoration: FY 2015 Revised Enacted Pos. 1 2 7 14 24 2 22 4 20 24 FY 2016 FY 2017 Enacted Request Pos. 1 2 7 14 24 2 22 4 20 24 Pos. 1 2 7 14 24 2 22 4 20 24 FY 2016 to FY 2017 Change Total - 21 23 23 - 128,229 13 128,754 13 128,608 13 (146) - FTE Average Personnel Costs, GS Positions Average Grade, GS Positions CG-EC&R-22 M. Changes in Full Time Employment FY 2015 Year End Actuals/Estimated FTEs: Net Change from prior year base to Budget Year Estimate: CG-EC&R-23 FY 2016 22 - FY 2017 24 - 24 - Department of Homeland Security United States Coast Guard Reserve Training ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ..................................................................................................................................... 11 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language.................................................................................................................11 Summary of Fee Collections and Carryover .......................................................................................................................12 Summary of Reimbursable Resources ..................................................................................................................................13 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................14 Capital Investment and Construction Initiative Listing....................................................................................................15 Object Class Breakout by Appropriation .............................................................................................................................16 Object Class Breakout by PPA ...............................................................................................................................................17 Permanent Positions by Grade ................................................................................................................................................19 Changes in Full Time Employment ......................................................................................................................................21 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Reserve Training Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Reserve Training 445 456 $114,572 416 416 $110,614 416 416 $112,302 - - $1,688 Total, Reserve Training 445 456 $114,572 416 416 $110,614 416 416 $112,302 - - $1,688 Subtotal, Enacted Appropriations & Budget Estimates 445 456 $114,572 416 416 $110,614 416 416 $112,302 - - $1,688 505 Rescission 445 456 ($209) $114,363 416 416 ($515) 416 416 $112,302 - - $515 $2,203 Net, Enacted Appropriations and Budget Estimates: 1 $110,099 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Reserve Training: As the principal Federal agency charged with maritime safety, security, and environmental stewardship, the Coast Guard protects vital economic and security interests of the United States from internal and external maritime risks and threats. The Coast Guard Reserve provides units and personnel to augment active duty Coast Guard forces during times of crisis, domestically or worldwide. B. Budget Activities: The Reserve Training appropriation facilitates training, operation, and administration of the Coast Guard Reserve Program. Coast Guard Reserve Forces provide qualified and trained personnel for active duty in the event of conflict, national emergency, or natural and man-made disasters. Reservists maintain their readiness through mobilization exercises and duty alongside regular Coast Guard CG-RT-3 members during routine and emergency operations. Reservists will continue to serve as a cost-effective surge force to enhance the Nation’s resilience to disasters. C. Budget Request Summary: The FY 2017 President’s Budget requests 416 positions, 416 FTE, and $112.302 million for Reserve Training. This request provides necessary resources for the training, operation, and administration of the Coast Guard Reserve Program, including training, equipping, and ensuring the readiness of a 7,000 member Coast Guard Reserve workforce. CG-RT-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Reserve Training FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Annualization of 2016 Military and Civilian Pay Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances Total, Increases Decreases 2016 Civilian Compensable Work Day Total, Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-RT-5 Pos. 445 416 - FTE 456 416 - Amount $114,572 $110,614 $1,688 - - $266 $954 $94 $386 $14 $1,714 416 416 - 416 416 - ($26) ($26) $1,688 $112,302 $112,302 $1,688 C. FY 2017 Investment Summary - Appropriation Level CG-RT-6 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Reserve Training FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Reserve Training Prior Year Base Current Services Budget Year FY 2015 Revised Enacted FY 2016 Enacted Annualization of 2016 Military and Civilian Pay Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances 2016 Civilian Compensable Work Day FY 2017 Request Total Change from FY 2016 to FY 2017 Positions 445 416 FTE 456 416 Amount 114,572 110,614 416 - 416 - 266 954 94 386 14 (26) 112,302 1,688 PPA DESCRIPTION: The Coast Guard Reserve is the Coast Guard’s surge military workforce and provides a cost-effective and versatile capacity to respond to major contingencies, such as natural and man-made disasters and maritime homeland security, national security and other significant events. Operational Commanders rely on reservists from across the Coast Guard during incidents and for short term operational support or special work. Reservists are trained locally, but mobilized world-wide. The Coast Guard Reserve is an integrated force, rather than a stand-alone component with reserve units, and the readiness of the Reserve is a responsibility that is shared across the organization. CG-RT-7 The Coast Guard Reserve is a cornerstone of service readiness for contingency response. Coast Guard reservists also augment active duty forces through their Inactive Duty Training and Active Duty Training periods. The requested funding ensures these reservists are fully trained and ready to perform vital missions when called upon to do so. The request sustains 416 Full Time Support (FTS) military and civilian positions comprising the staff that develops training policy and doctrine and manages all recruiting, formal training, personnel, and resource program oversight. The Reserve workforce is a critically important component of the Coast Guard and the request sustains the requisite workforce strength to surge in response to national disasters and contingencies (i.e., flooding, earthquakes, terrorist and pollution incidents, and hurricanes). CG-RT-8 Department of Homeland Security U.S. Coast Guard Reserve Training Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total2 FY 2016 Enacted FY 2017 Request FY 2016 to 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 93 85 $7,848 $91 89 89 $7,961 $101 89 89 $8,064 $102 $103 $1 352 371 $86,268 $232 327 327 $87,165 $257 327 327 $88,750 $262 - $1,585 $5 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 FTE Actuals and FY2015 Revised Enacted Budgetary Resources in the CAS Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. 2 Military total includes Reservist compensation but does not include Reservist FTP/FTE levels. Thus, Military average cost overstates the average cost of Full Time Support (FTS) personnel. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: None. • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 military and civilian (1.3 percent) pay raise. Provides funding for the FY 2017 military and civilian (1.6 percent) pay raise. Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. • Average Cost Change FY 2016-2017: Average cost change is due to the increased personnel costs related to the pay raise and personnel benefits being allocated to the same number of FTE appropriated in FY 2016. • Bonuses and Performance Awards: FY 2017 request estimates $52 thousand for bonuses and performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. CG-RT-9 Department of Homeland Security U.S. Coast Guard Reserve Training Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Reserve Training Readiness Support 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $20,456 Total $20,456 $15,488 $15,488 $15,488 $15,488 FY 2016 to FY 2017 Change - NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Readiness Support: No change. Funds training, travel, and non-pay related costs necessary to ensure reservists have the skills and readiness required to respond to all contingencies including natural and man-made disasters, maritime homeland security, national security, and other significant events. CG-RT-10 Schedule III – Other Exhibits E. Justification of Proposed Legislative Language Department of Homeland Security United States Coast Guard Reserve Training For necessary expenses of the Coast Guard Reserve, as authorized by law; operations and maintenance of the Coast Guard reserve program; personnel and training costs; and equipment and services; [$110,614,000.]$112,302,000.1 1 Language Provision … [$110,614,000.]$112,302,000. Explanation Dollar change only. No substantial change proposed. CG-RT-11 F. Summary of Fee Collections and Carryover CG-RT-12 G. Summary of Reimbursable Resources Department of Homeland Security U.S. Coast Guard Reserve Training Summary of Reimbursable Resources (Dollars in Thousands) Collections by Source: Selective Service System (SSS) Total Budgetary Resources FY 2015 Revised Enacted Pos FTE Amount $45 $45 Obligations by Program/Project Activity: Reserve Training Total Obligations FY 2015 Revised Enacted Pos FTE Amount $45 $45 Pos Pos FY 2016 Enacted FTE Amount $136 $136 FY 2016 Enacted FTE Amount $136 $136 CG-RT-13 Pos Pos FY 2017 Request FTE Amount $138 $138 Increase/Decrease Pos FTE Amount $2 $2 FY 2017 Request FTE Amount $138 $138 Increase/Decrease Pos FTE Amount $2 $2 H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity CG-RT-14 1. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Reserve Training Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits $6,183 $101 $9,881 $69,096 $192 $1,564 $6,919 $180 $94,116 $6,274 $101 $9,893 $69,894 $192 $1,586 $7,004 $182 $95,126 $6,355 $102 $10,279 $70,978 $195 $1,607 $7,113 $185 $96,814 $81 $1 $386 $1,084 $3 $21 $109 $3 $1,688 $6,470 $543 $470 $1 $211 $4,286 $7,020 $154 $271 $19,426 $5,158 $633 $625 $1 $168 $3,417 $5,147 $123 $216 $15,488 $5,158 $633 $625 $1 $168 $3,417 $5,147 $123 $216 $15,488 - $113,542 $110,614 $112,302 $1,688 Unobligated Balance, start of year Unobligated Balance, end of year (expired) $1,030 - - - Total Requirements $114,572 $110,614 $112,302 $1,688 Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations Adjustments CG-RT-16 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Reserve Training Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits FY 2015 Revised Enacted - 11.1 Full-time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes CG-RT-17 FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $6,183 $101 $9,881 $69,096 $192 $1,564 $6,919 $180 $94,116 $6,274 $101 $9,893 $69,894 $192 $1,586 $7,004 $182 $95,126 $6,355 $102 $10,279 $70,978 $195 $1,607 $7,113 $185 $96,814 $81 $1 $386 $1,084 $3 $21 $109 $3 $1,688 - - - - $6,470 $543 $470 $1 $211 $4,286 $7,020 $154 $271 $19,426 $5,158 $633 $625 $1 $168 $3,417 $5,147 $123 $216 $15,488 $5,158 $633 $625 $1 $168 $3,417 $5,147 $123 $216 $15,488 - Object Classes Adjustments FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - Unobligated Balance, start of year Unobligated Balance, end of year (expired) Recoveries of Prior Year Obligations Total, Adjustments $1,030 $1,030 - - - Total Requirements $114,572 456 $110,614 416 $112,302 416 $1,688 - Full Time Equivalents CG-RT-18 L. Permanent Positions by Grade Department of Homeland Security U.S. Coast Guard Reserve Training Military Permanent Positions by Grade Grades and Salary Range O-8 O-6 O-5 O-4 O-3 O-2 O-1 CWO E-9 E-8 E-7 E-6 E-5 E-4 E-3 Total Permanent Positions Total Perm. Employment EOY Headquarters Military Positions U.S. Field Military Total, Reserve Training: FTE Average Grade, Officer Positions Average Salary, Officer Positions Average Salary, Enlisted Positions Average Grade, Enlisted Positions CG-RT-19 FY 2015 Revised Enacted Pos. 1 7 16 28 48 5 5 10 7 7 28 101 46 39 4 352 352 28 324 352 FY 2016 FY 2017 Enacted Request Pos. 1 7 15 28 47 5 5 9 7 7 22 92 41 37 4 327 327 28 299 327 Pos. 1 7 15 28 47 5 5 9 7 7 22 92 41 37 4 327 327 28 299 327 FY 2016 to FY 2017 Change Total - 371 327 327 - 4 125,669 72,447 6 4 126,531 70,375 6 4 128,232 72,155 6 1,701 1,780 - Department of Homeland Security U.S. Coast Guard Reserve Training Civilian Permanent Positions by Grade Grades and Salary Range GS-14 GS-13 GS-12 GS-11 GS-9 GS-8 GS-7 GS-6 GS-5 Total Permanent Positions Unfilled Positions EOY Total Perm. Employment (Filled Positions) EOY Headquarters U.S. Field Total, Reserve Training: FTE Average Personnel Costs, GS Positions Average Grade, GS Positions CG-RT-20 FY 2015 Revised Enacted Pos. 4 4 16 11 13 5 23 12 5 93 12 81 11 82 93 FY 2016 FY 2017 Enacted Request Pos. 4 4 16 10 12 5 21 12 5 89 89 11 78 89 Pos. 4 4 16 10 12 5 21 12 5 89 89 11 78 89 FY 2016 to FY 2017 Change Total - 85 89 89 - 87,248 9 87,654 9 88,038 9 384 - M. Changes in Full Time Employment FY 2015 Year End Actuals/Estimated FTEs: Net Change from prior year base to Budget Year Estimate: FY 2016 456 - CG-RT-21 FY 2017 416 - 416 - Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. C. FY 2017 Investment Summary - Appropriation Level .................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ..................................................................................................................................... 23 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language.................................................................................................................23 Summary of Fee Collections and Carryover .......................................................................................................................25 Summary of Reimbursable Resources ..................................................................................................................................26 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................27 Capital Investment and Construction Initiative Listing....................................................................................................28 Object Class Breakout by Appropriation .............................................................................................................................84 Object Class Breakout by PPA ...............................................................................................................................................86 Permanent Positions by Grade ................................................................................................................................................91 Changes in Full Time Employment ......................................................................................................................................93 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity I. Vessels II. Aircraft FY 2015 Revised Enacted1 POS FTE Amount $824,347 $184,485 POS - FY 2016 Enacted FTE Amount - $1,264,400 - - $295,000 POS - Increase(+) or Decrease(-) for FY 2017 FY 2017 Request Total Changes FTE Amount POS FTE Amount $704,100 ($560,300) - - $201,300 - - III. Other - - $62,100 - - $65,100 - - $59,355 - - ($93,700) ($5,745) IV. Shore and ATON - - - - $202,600 - - $51,100 - - ($151,500) V. Personnel and Management 898 759 $46,580 $112,496 914 889 $118,069 914 897 $120,933 - 8 $2,864 Total, Acquisition, Construction and Improvements 898 759 $1,230,008 914 889 $1,945,169 914 897 $1,136,788 - 8 ($808,381) Subtotal, Enacted Appropriations & Budget Estimates 898 759 $1,230,008 914 889 $1,945,169 914 897 $1,136,788 - 8 ($808,381) Transfer from CBP - - [$4,785] - - - - - - - - - Rescission of unobligated balances pursuant to P.L. 114-4 - - ($61,695) - - - - - - - - - Rescission of unobligated balances pursuant to P.L. 114-113 - - - - - ($22,245) - - - - - $22,245 505 Rescission - - ($1,722) - - ($971) - - - - - $971 898 759 $1,166,591 914 889 $1,921,953 914 897 $1,136,788 - 8 ($785,165) Net, Enacted Appropriations and Budget Estimates: 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Salaries and expenses: Acquisition, Construction and Improvement (AC&I) provides for the acquisition, procurement, construction, rebuilding, and improvement of vessels, aircraft, shore facilities and military housing, aids to navigation (ATON) systems and facilities, and command, control, communications and computer systems and related equipment. Funds appropriated for AC&I are managed by CG-AC&I-3 Coast Guard acquisition project managers who oversee these projects and apply best practices, in accordance with the Coast Guard’s Major Systems Acquisition Manual (MSAM) and applicable Department of Homeland Security (DHS) management directives, to optimize the return on recapitalization investments. B. Budget Activities: The AC&I appropriation funds the acquisition of new capital assets, construction of new facilities, and physical improvements to existing facilities and assets. Through processes documented in the MSAM, acquisition managers follow a continuum of activities ranging from pre-acquisition concept development to deployment and sustainment. Activities and documentation produced throughout the acquisition lifecycle inform budget requests and budget-related project activities. C. Budget Request Summary: The FY 2017 President’s Budget requests 914 positions, 897 FTE, and $1.136 billion for AC&I. The following is the funding for each program, project or activity (PPA) within the AC&I appropriation: • • • • • Vessels - $704,100,000 Aircraft - $201,300,000 Other - $59,355,000 Shore and ATON - $51,100,000 Personnel and Management - $120,933,000 CG-AC&I-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base FY 2017 Current Services Program Changes Increases Personnel and Management Total, Increases Decreases Aircraft Other Equipment Shore and Aids to Navigation Vessels Total, Decreases Total Program Changes FY 2017 Request FY 2016 to FY 2017 Change CG-AC&I-5 Pos. 898 914 - FTE 759 889 8 Amount $1,230,008 $1,945,169 $847,200 ­ ($808,381) - 8 8 $2,864 $2,864 914 - 8 897 8 ($93,700) ($5,745) ($151,500) ($560,300) ($811,245) ($808,381) $1,136,788 ($808,381) C. FY 2017 Investment Summary - Appropriation Level Department of Homeland Security U.S. Coast Guard Operations and Support FY 2017 Investment Summary- Appropriation Level (Dollars in Thousands) Investment Name1 PPA(s) Fast Response Cutter (FRC) I. Vessels National Security Cutter (NSC) I. Vessels Offshore Patrol Cutter (OPC) I. Vessels Polar Icebreaker I. Vessels HC-130J II. Aircraft HC-144A II. Aircraft HC-27J II. Aircraft HH-65 II. Aircraft C4ISR III. Other CG-Logistics Information Management System (CG-LIMS) III. Other Total 1 Level 1 and 2 Major Acquisition Oversight List (MAOL) investments CG-AC&I-6 FY 2015 FY 2016 FY 2017 Revised Enacted Request Enacted $110,000 $340,000 $240,000 $632,847 $743,400 $127,000 $20,000 $89,000 $100,000 $6,000 $147,600 $107,485 $150,000 $20,800 $15,000 $3,000 $25,500 $20,000 $102,000 $130,000 $30,000 $40,000 $25,000 $36,300 $36,600 $24,300 $7,800 $8,500 $7,000 $979,432 $1,518,500 $847,200 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements I. Vessels FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) I. Vessels Prior Year Base Program Changes Budget Year FY 2015 Revised Enacted FY 2016 Enacted Vessels FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 824,347 1,264,400 (560,300) 704,100 (560,300) SUBAPPROPRIATION DESCRIPTION: The Vessels subappropriation provides funding to recapitalize and/or make capital improvements to the Coast Guard’s fleet of cutters and boats. With many of the Coast Guard’s surface assets operating beyond their planned service life, recapitalization and sustainment projects are critical to ensuring the continued mission effectiveness and readiness of the Coast Guard’s fleet. In FY 2017, funding will accelerate efforts towards the acquisition of a new heavy Polar Icebreaker; fund long lead time materials for the first Offshore Patrol Cutter (OPC); support Survey and Design of Vessels and Boats for future life-cycle event maintenance; and continue the National Security Cutter (NSC), Fast Response Cutter (FRC), Cutter Boats, and In-Service Vessel Sustainment (ISVS) programs. The Coast Guard fleet of cutters and boats supported within this program collectively perform all eleven statutory Coast Guard missions in the offshore, coastal and inland operational areas. CG-AC&I-7 The Coast Guard’s future fleet of NSCs, OPCs and FRCs are replacing the High and Medium Endurance Cutters, and Island-Class Patrol Boats. These modern assets will provide improved endurance, speed, sea-keeping, surveillance, and persistent presence in the offshore area of responsibility (AOR). CG-AC&I-8 Department of Homeland Security U.S. Coast Guard I. Vessels Justification of Program Changes (Dollars in Thousands) Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) Current Services: Vessels - I. Vessels Subtotal, Current Services Program Decrease: Vessels - I. Vessels Subtotal, Program Decreases Total Request FY 2016 Enacted FTP FTE Dollars ($000) FY 2017 Request FTP FTE Dollars ($000) - - $1,264,400 $1,264,400 ($560,300) ($560,300) $704,100 DESCRIPTION OF ITEM: The annual request for the Vessels program depends on the anticipated schedule of work for each PPA. Please see the following budget displays for detailed information: Summary of Requirements and Capital Investments and Construction Initiative Listing. CG-AC&I-9 Department of Homeland Security U.S. Coast Guard I. Vessels Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - I. Vessels Fast Response Cutter (FRC) Offshore Patrol Cutter (OPC) In-Service Vessel Sustainment Polar Icebreaker National Security Cutter (NSC) 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $110,000 $340,000 $20,000 $89,000 $49,000 $68,000 $6,000 $632,847 $743,400 Total $811,847 $1,246,400 $240,000 $100,000 $79,000 $147,600 $127,000 $693,600 FY 2016 to FY 2017 Change ($100,000) $11,000 $11,000 $141,600 ($616,400) ($552,800) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • In-Service Vessel Sustainment: Funds the FY 2017 need for life-cycle event vessel repair availabilities including Mid-Life Maintenance Availabilities (MMA) and Service Life Extension Projects (SLEP) on existing Coast Guard vessels. • National Security Cutter (NSC): Funds the FY 2017 need for the continuation of the NSC acquisition, including Post Delivery Activities (PDA) and procurement of shipboard small Unmanned Aerial Systems (sUAS). • Offshore Patrol Cutter (OPC): Funds the FY 2017 need for the continuation of the OPC acquisition, including technical review of Detail Design (DD) deliverables, and Long Lead Time Material (LLTM) for the first ship. • Fast Response Cutter (FRC): Funds the FY 2017 need for the continuation of the FRC acquisition, including production of four hulls. • Polar Icebreaker: Funds all design activities required to begin production activities by 2020 fora new heavy polar icebreaker . CG-AC&I-10 Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements II. Aircraft FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) II. Aircraft Prior Year Base Program Changes Budget Year FY 2015 Revised Enacted FY 2016 Enacted Aircraft FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 184,485 295,000 (93,700) 201,300 (93,700) SUBAPPROPRIATION DESCRIPTION: The Aircraft subappropriation provides funding for recapitalization and sustainment of the Coast Guard’s fleet of aging aircraft. It is comprised of fixed and rotary-wing aircraft sustainment projects. The Coast Guard’s fleet of fixed and rotary-wing aircraft supported within this program collectively performs all Coast Guard missions in the Offshore, Coastal and Inland AORs. The land-based fixed-wing aircraft include the HC-144A, HC-130H/J and HC­ 27J aircraft. The HC-144A is the Coast Guard’s primary medium-range fixed-wing aircraft. The Coast Guard’s fleet of existing HC­ 130Hs and HC-130Js provide long range surveillance fixed-wing capability. Each of these fixed-wing aircraft enables the Coast Guard to conduct airborne surveillance, detection, classification and identification of vessels and other aircraft. The Coast Guard’s fleet of rotary-wing aircraft includes the H-60 and H-65 helicopters. The H-60 is a medium-range recovery helicopter, and the H-65 is a short-range recovery helicopter. Both aircraft are deployed from land-based air stations; the H-65 is also deployed routinely aboard the Coast Guard’s fleet of NSCs, WHECs, and WMECs. CG-AC&I-11 Department of Homeland Security U.S. Coast Guard II. Aircraft Justification of Program Changes (Dollars in Thousands) Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) FY 2016 Enacted FTP FTE Dollars ($000) Current Services: Aircraft - II. Aircraft Subtotal, Current Services Program Decrease: Aircraft - II. Aircraft Subtotal, Program Decreases Total Request FY 2017 Request FTP FTE Dollars ($000) - - $295,000 $295,000 ($93,700) ($93,700) $201,300 DESCRIPTION OF ITEM: The annual request for the Aircraft program depends on the anticipated schedule of work for each PPA. Please see the following budget displays for detailed information: Summary of Requirements and Capital Investments and Construction Initiative Listing. CG-AC&I-12 Department of Homeland Security U.S. Coast Guard II. Aircraft Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - II. Aircraft HH-65 HC-130J HC-144A HC-27J 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $30,000 $40,000 $107,485 $150,000 $15,000 $3,000 $20,000 $102,000 Total $172,485 $295,000 $25,000 $20,800 $25,500 $130,000 $201,300 FY 2016 to FY 2017 Change ($15,000) ($129,200) $22,500 $28,000 ($93,700) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • HC-144A: Funds the FY 2017 need for the continuation of the HC-144A project, including retrofit of the legacy Mission System and associated sensors with the Coast Guard variant of the U.S. Navy Minotaur system. • HC-27J: Funds the FY 2017 need for the continuation of the HC-27J project, including the missionization of two C-27J aircraft. • HH-65: Funds the FY 2017 need for the continuation of the HH-65 project, including reliability and sustainability improvements of obsolete components. • HC-130J: Funds the FY 2017 need for the continuation of the HC-130J acquisition, including retrofit of the legacy Mission System and associated sensors with the Coast Guard variant of the U.S. Navy Minotaur system, and procurement of crucial spares and equipment to complete activation of the second operational HC-130J unit. CG-AC&I-13 Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements III. Other FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) III. Other Prior Year Base Program Changes Budget Year FY 2015 Revised Enacted FY 2016 Enacted Other Equipment FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 62,100 65,100 (5,745) 59,355 (5,745) SUBAPPROPRIATION DESCRIPTION: The Other subappropriation procures hardware and software, including initial acquisition, development or construction or improvement of any system, software or equipment costing over $250 thousand per end use item, or $10.0 million total project cost. In FY 2017, funding will support continued progress on build-out of Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR) systems, and CG-Logistics Information Management System (CG-LIMS). This subappropriation also provides funding for Program Oversight and Management (PO&M). The Coast Guard leverages its C4ISR capability to effectively execute a broad mission set in an immensely challenging operating environment. Assets are able to receive, evaluate and act upon information obtained through the capability provided by the systems supported in this program. The C4ISR project provides standardized capability to major cutters and aircraft, facilitating interoperability and information sharing. The CG-LIMS project is replacing redundant and obsolete logistics systems with a single integrated IT system capable of providing enhanced configuration management, supply support, and improved financial accountability. PO&M is critical for oversight and efficient execution of Coast Guard’s acquisition programs. CG-AC&I-14 Department of Homeland Security U.S. Coast Guard III. Other Justification of Program Changes (Dollars in Thousands) Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) FY 2016 Enacted FTP FTE Dollars ($000) Current Services: Other Equipment - III. Other Subtotal, Current Services Program Decrease: Other Equipment ­ III. Other Subtotal, Program Decreases Total Request FY 2017 Request FTP FTE Dollars ($000) - - $65,100 $65,100 - - ($5,745) ($5,745) $59,355 DESCRIPTION OF ITEM: The annual request for these PPAs depends in part on the anticipated schedule of work under the Vessels and Aircraft programs. Please see the following budget displays for detailed information: Summary of Requirements and Capital Investments and Construction Initiative Listing. CG-AC&I-15 Department of Homeland Security U.S. Coast Guard III. Other Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - III. Other 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Other Equipment and Systems Program Management and Oversight $18,000 CG-Logistics Information Management System (CG-LIMS) $7,800 C4ISR $36,300 Total $62,100 $20,000 $8,500 $36,600 $65,100 $8,055 $20,000 $7,000 $24,300 $59,355 FY 2016 to FY 2017 Change $8,055 ($1,500) ($12,300) ($5,745) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Program Management and Oversight: Funds the FY 2017 need for activities associated with the transition of the Coast Guard's assets from acquisition to operations, including delivery, provision of logistics, training, and other services necessary to ensure seamless integration into the operational fleet. • C4ISR: Funds the FY 2017 need for the design, development, and information assurance posture of Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR) integrated hardware and software systems on Coast Guard assets. • CG-Logistics Information Management System (CG-LIMS): Funds the FY 2017 need for the development and delivery of the CG-LIMS, including continued configuration and phased deployment to Coast Guard operational assets and support facilities. • Other Equipment and Systems: Funds the FY 2017 need for the procurement of end-use item equipment and systems to support a variety of Coast Guard missions. CG-AC&I-16 Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements IV. Shore and ATON FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) IV. Shore and ATON Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Program Changes Shore and Aids to Navigation Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 46,580 202,600 (151,500) 51,100 (151,500) SUBAPPROPRIATION DESCRIPTION: The AC&I Shore and ATON subappropriation provides for the recapitalization, construction, rebuilding, and improvement of the Coast Guard’s shore facilities, military housing, ATON and related equipment. Shore facilities support all Coast Guard operations and address the shore-side needs of the service’s operational communities. This funding also provides infrastructure upgrades to homeport new assets and ensure these facilities are fully functional and ready prior to arrival of new assets. CG-AC&I-17 Department of Homeland Security U.S. Coast Guard IV. Shore and ATON Justification of Program Changes (Dollars in Thousands) Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) FY 2016 Enacted FTP FTE Dollars ($000) Current Services: Shore and Aids to Navigation - IV. Shore and ATON Subtotal, Current Services Program Decrease: Shore and Aids to Navigation - IV. Shore and ATON Subtotal, Program Decreases Total Request FY 2017 Request FTP FTE Dollars ($000) - - $202,600 $202,600 - - ($151,500) ($151,500) $51,100 DESCRIPTION OF ITEM: The annual request for the Shore and ATON Program is based on evaluation of the facilities backlog and on the anticipated schedule for completion of individual projects in other programs. Please see the following budget displays for detailed information: Summary of Requirements and Capital Investments and Construction Initiative Listing. CG-AC&I-18 Department of Homeland Security U.S. Coast Guard IV. Shore and ATON Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - IV. Shore and ATON 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Major Shore, ATON, and Survey & Design $19,580 $124,600 Military Housing $6,000 $21,000 Minor Shore $5,000 $5,000 Major Acquisition Shore Infrastructure $16,000 $52,000 Total $46,580 $202,600 $18,100 $5,000 $28,000 $51,100 FY 2016 to FY 2017 Change ($106,500) ($21,000) ($24,000) ($151,500) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Major Shore, ATON, and Survey & Design: Funds the FY 2017 need for major AC&I shore facility construction projects, construction and improvements to buoys and structures assisting navigation on Federal waterways, and survey and design required for future year AC&I shore projects. • Major Acquisition Shore Infrastructure: Funds the FY 2017 need for shore facility infrastructure modifications, upgrades, and new construction associated with home-porting new or modified cutters, boats, and aircraft. • Minor Shore: Funds the FY 2017 need for minor shore facility construction projects. CG-AC&I-19 Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements V. Personnel and Management FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) V. Personnel and Management Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Program Changes Personnel and Management Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions 898 914 914 - FTE 759 889 8 897 8 Amount 112,496 118,069 2,864 120,933 2,864 SUBAPPROPRIATION DESCRIPTION: The Personnel and Management subappropriation funds personnel compensation, benefits and related costs for FTE who perform work on projects funded by the AC&I appropriation. The primary activities include project management, financial management, support services, training, and workforce certification. Coast Guard acquisition programs rely on an appropriate level of government acquisition professionals with the competencies and capacity to manage acquisitions in accordance with USCG and DHS policies, while meeting various requirements established in the Chief Financial Officer Act, Clinger-Cohen Act, DHS certification level requirements, and OMB Circular A-76. CG-AC&I-20 Department of Homeland Security U.S. Coast Guard V. Personnel and Management Justification of Program Changes (Dollars in Thousands) Funding Profile FY 2015 Revised Enacted FTP FTE Dollars ($000) FY 2016 Enacted FTP FTE Dollars ($000) Current Services: Personnel and Management - V. Personnel and Management Subtotal, Current Services Program Increase: Personnel and Management - V. Personnel and Management Subtotal, Program Increases Total Request FY 2017 Request FTP FTE Dollars ($000) 914 914 889 889 $118,069 $118,069 914 8 8 897 $2,864 $2,864 $120,933 DESCRIPTION OF ITEM: The annual request for the Personnel and Management Program reflects the anticipated personnel funding need for all projects conducted with AC&I funding. Please see the following budget displays for detailed information: Summary of Requirements and Capital Investments and Construction Initiative Listing. CG-AC&I-21 Department of Homeland Security Acquisition, Construction and Improvements V. Personnel and Management Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 477 392 $59,387 $150 490 466 $66,522 $142 490 473 $68,264 $143 7 $1,742 $1 421 367 $41,953 $113 424 423 $45,306 $106 424 424 $46,425 $108 1 $1,119 $2 1 Reflects reprogrammings/transfers, as applicable. The use of FY 2015 FTE Actuals and FY2015 Revised Enacted Budgetary Resources may generate a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request Average Cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: Changes resultant from increases and decreases included in the FY 2017 request. • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 military and civilian (1.3 percent) pay raise. Provides funding for the FY 2017 military and civilian (1.6 percent) pay raise. Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. • Average Cost Change FY 2016-2017: Average cost change is due to the increased personnel costs being allocated to the same number of FTE appropriated in FY 2016. • Bonuses and Performance Awards: FY 2017 request estimates $432 for bonuses and performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. CG-AC&I-22 Schedule III – Other Exhibits E. Justification of Proposed Legislative Language Department of Homeland Security United States Coast Guard Acquisition, Construction and Improvements Appropriation Language For necessary expenses of acquisition, construction, renovation, and improvement of aids to navigation, shore facilities, vessels, and aircraft, including equipment related thereto; and maintenance, rehabilitation, lease, and operation of facilities and equipment[;],1 as authorized by law; [$1,945,169,000]$1,136,788,0002; of which $20,000,000 shall be derived from the Oil Spill Liability Trust Fund to carry out the purposes of section 1012(a)(5) of the Oil Pollution Act of 1990 (33 U.S.C. 2712(a)(5)); and of which the fol1lowing amounts shall be available until September 30, [2020]20213 (except as subsequently specified): [$21,000,000 for military family housing;] [$1,264,400,000]$704,100,0004 to acquire, effect major repairs to, renovate, or improve vessels, small boats, and related equipment, of which $240,000,000 is for acquisition of four Fast Response Cutters and of which $98,367,000, to remain available until September 30, 2018, is for post-delivery activities associated with National Security Cutters5; [$295,000,000]$201,300,0006 to acquire, effect major repairs to, renovate, or improve aircraft or increase aviation capability; [$65,100,000]$59,355,0007 for other acquisition programs; [$181,600,000]$51,100,0008 for shore facilities and aids to navigation, including facilities at Department of Defense installations used by the Coast Guard; and [$118,069,000]$120,933,0009, to remain available until September 30, [2016]201710, for personnel compensation and benefits and related costs. Language Provision 1 … [;], … [$1,945,169,000]$1,136,788,000 3 … [2020]2021 4 … [$1,264,400,000]$704,100,000 2 Explanation Grammar change only. No substantial change proposed. Dollar change only. No substantial change proposed. Fiscal year change only. No substantial change proposed. Dollar change only. No substantial change proposed. CG-AC&I-23 5 … , of which $240,000,000 is for acquisition of four Fast Response Cutters and of which $98,367,000, to remain available until September 30, 2018, is for post-delivery activities associated with National Security Cutters 6 … [$295,000,000]$201,300,000 7 … [$65,100,000]$59,355,000 8 … [$181,600,000]$51,100,000 9 … [$118,069,000]$120,933,000 10 … [2016]2017 Change to address acquisition of Fast Response Cutters and post-delivery activities for National Security Cutters. Dollar change only. No substantial change proposed. Dollar change only. No substantial change proposed. Dollar change only. No substantial change proposed. Dollar change only. No substantial change proposed. Fiscal year change only. No substantial change proposed. CG-AC&I-24 F. Summary of Fee Collections and Carryover G. Summary of Reimbursable Resources Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements Summary of Reimbursable Resources (Dollars in Thousands) Collections by Source: Jordan - 45-foot Response Boat Medium Mexico - CASA Aircraft and Support Latvia - Zodiac Rigid Hull Inflatable Boat Group San Francisco Watch Berthing Relocation Vietnam - 45-foot Defiant Class Boat Netherlands - 38-foot Defiant Class Boats Republic of Tunisia - 65- foot Arch Angel Total Budgetary Resources FY 2015 Revised Enacted Pos FTE Amount $5,199 $215 $8,851 - $14,265 Obligations by Program/Project Activity: Foreign Military Sales Group San Francisco Watch Berthing Relocation Total Obligations FY 2015 Revised Enacted Pos FTE Amount - $22,364 $215 - $22,579 Pos Pos FY 2016 Enacted FTE Amount $8,000 $1,583 $4,242 - $17,832 $4,442 - $36,099 FY 2016 Enacted FTE Amount - $36,099 - $36,099 CG-AC&I-26 Pos Pos FY 2017 Request FTE Amount $1,606 - $10,619 $10 - $12,235 Increase/Decrease Pos FTE Amount - ($8,000) - ($1,583) - ($4,242) - ($16,226) - $10,619 - ($4,432) - ($23,864) FY 2017 Request FTE Amount - $12,235 - $12,235 Increase/Decrease Pos FTE Amount - ($23,864) - ($23,864) H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity I. Capital Investment and Construction Initiative Listing FY 2015 - FY 2017 Acquisition, Construction & Improvements FY 2015 Revised Enacted $824,347 $500 $49,000 $632,847 $20,000 $110,000 $4,000 $0 $8,000 $184,485 $15,000 $20,000 $30,000 $107,485 $12,000 $62,100 $18,000 $36,300 $7,800 $0 $46,580 $19,580 $16,000 $5,000 $6,000 $112,496 $112,496 $1,230,008 ($61,695) ($1,722) $1,166,591 (Thousands of dollars, budget year dollars) Vessels Survey and Design - Vessel and Boats In-Service Vessel Sustainment National Security Cutter (NSC) Offshore Patrol Cutter (OPC) Fast Response Cutter (FRC) Cutter Boats Polar Icebreaker Polar Icebreaker Preservation Aircraft HC-144A Conversion/Sustainment HC-27J Conversion/Sustainment HH-65 Conversion/Sustainment Projects HC-130J Acquisition/Conversion/Sustainment HH-60 Sundown Aircraft Other Program Oversight and Management C4ISR CG-LIMS Other Equipment and Systems Shore and ATON Major Shore, Housing, ATON and S&D Major Acquisition Systems Infrastructure Minor Shore Military Housing Personnel and Management Direct Personnel Costs Sub Total Rescission of Prior Year Balances Rescission TOTAL CG-AC&I-28 FY 2016 Enacted $1,264,400 $15,000 $68,000 $743,400 $89,000 $340,000 $3,000 $6,000 $0 $295,000 $3,000 $102,000 $40,000 $150,000 $0 $65,100 $20,000 $36,600 $8,500 $0 $202,600 $124,600 $52,000 $5,000 $21,000 $118,069 $118,069 $1,945,169 ($22,245) ($971) $1,921,953 FY 2017 Request $704,100 $6,500 $79,000 $127,000 $100,000 $240,000 $4,000 $147,600 $0 $201,300 $25,500 $130,000 $25,000 $20,800 $0 $59,355 $20,000 $24,300 $7,000 $8,055 $51,100 $18,100 $28,000 $5,000 $0 $120,933 $120,933 $1,136,788 $0 $0 $1,136,788 U.S. Coast Guard - FY 2017 Congressional Justification Survey and Design - Vessel and Boats Project Description, Justification and Scope Funds survey and design work in direct support of the InService Vessel Sustainment (ISVS) project. Preliminary survey and design work is essential to properly plan and scope sustainment availabilities, such as Midlife Maintenance Availabilities (MMA), Mission Effectiveness Projects, and Service Life Extension Projects. This request provides funding to support multi-year engineering survey and design efforts in support of projects including CGC HEALY (420-foot Icebreaker), the 175-foot Coastal Buoy Tender (WLM), the 270-foot Medium Endurance Cutter (WMEC), and the polarclass icebreakers. As in-service vessels continue to age, this program conducts detailed condition surveys, along with engineering design work useful in identifying and planning future projects. HEALY serves as a platform for supporting missions primarily in the Arctic region, including search and rescue, ship escort, environmental protection, enforcement of laws and treaties, and Arctic research. Funds requested will be used to continue assessment of certain systems, including surface search radar, motor generator sets, and the main propulsion control and monitoring system, and to develop a proper course of action. The 14 175-foot Coastal Buoy Tenders are tasked with maintaining aids to navigation, search and rescue, law enforcement, migrant interdiction, marine safety inspections, environmental protection and natural resources management, and light ice breaking operations. The 175-foot Coastal Buoy Tenders began entering service in 1996 and are approaching the need for MMA. Funds requested will be used to continue $6,500 assessment of weight handling equipment, refrigeration systems, main propulsion control and monitoring system, habitability outfitting, and similar systems to assess if sustainment and/or system recapitalization is required. The 13 270-foot Medium Endurance Cutters are tasked with missions including search and rescue, enforcement of laws and treaties, and migrant interdiction. The 270-foot Medium Endurance Cutters began entering service in 1983, went through a Mission Effectiveness Project from 2005-2014 to address systems that were degrading operational readiness. Funds requested will be used for assessment of the material condition of the hull, mechanical, and electrical systems and subsystems; study and analysis of engineering systems to evaluate suitability for use in sustainment projects; conducting market research for systems and subsystems and assessment of system alternatives. Heavy icebreakers are capable of performing icebreaking mission support in both Polar Regions. One of Coast Guard’s two polar-class icebreakers (POLAR STAR) is operational following a reactivation in 2013 that provided an estimated 7­ 10 years of useful life. The second (POLAR SEA) is out of service and undergoing a Material Condition Assessment and an Alternatives Analysis to evaluate the feasibility of reactivation. To ensure the Nation is able to maintain heavy icebreaking capability until replacement assets are delivered, the Coast Guard is evaluating extending the service life of one of these icebreakers. Results from the Materiel Condition Assessment and Alternatives Analysis, planned for 2016, will inform selection of the candidate icebreaker. Funds requested CG-AC&I-29 ($3 million) will support the specification development for the reactivation/sustainment of the selected icebreaker. Significant Changes No significant changes. Project Schedule Project Description FY 2016 Survey and Design FY 2017 Survey and Design Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY19: Q4 15,000 FY17: Q1 FY19: Q4 6,500 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Survey, Design & Engineering FY 2014 & Prior 16,827 13,735 10,550 10,550 Project Funds FY 2015 FY 2016 500 15,000 2,500 5,800 3,000 4,140 3,000 4,140 FY 2017 6,500 6,100 5,900 5,900 Total 38,827 28,135 23,590 23,590 Compliance with Public Laws, Regulations, Standards & Executive Orders This project will be conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-30 U.S. Coast Guard - FY 2017 Congressional Justification In-Service Vessel Sustainment (ISVS) Project Description, Justification and Scope The In-Service Vessel Sustainment (ISVS) program performs life-cycle event vessel repair availabilities including Mission Effectiveness Projects (MEP), Mid-Life Maintenance Availabilities (MMA), and Service Life Extension Projects (SLEP) on existing Coast Guard vessels. FY 2017 funding will complete the final phase of the SLEP on CGC EAGLE; continue SLEP efforts on the 140-foot ice breaking tugs (WTGB); continue MMA efforts on the 225-foot ocean going buoy tender (WLB) fleet; and continue sustainment project work on the 47-foot Motor Life Boat (MLB) fleet. This program ensures in-service vessels meet their design service life through the recapitalization of hull, mechanical, electrical (HM&E) and electronic systems that have been identified as the highest contributors to maintenance costs and operational availability degradation. CGC EAGLE (WIX-327): CGC EAGLE, which was built in 1936, last underwent a SLEP in 1983. Engineering surveys indicated EAGLE required a second SLEP to ensure safe and reliable operation. This SLEP is divided into four phases to allow the cutter to meet annual operational commitments. Primary work items identified for the SLEP include: ballast modification, habitability upgrades, and hazardous material remediation. 140-foot Ice Breaking Tugs (WTGBs): The lead ship in this class was placed in service in 1978 and has been in continuous service for 37 years. This sustainment program is the first to be $79,000 performed on this fleet. Specific system upgrades and improvements include: propulsion plant; heating, ventilation, and air conditioning (HVAC) systems; installation of an engine room fire suppression system; boat launching davit replacement; and crew habitability improvements to meet current standards. Additionally, an upgraded oily water separator will support compliance with 21st Century environmental regulations. 225-foot Ocean Going Buoy Tenders (WLBs): This class was placed in service in 1996 and was designed to meet a 30-year service life. Achieving that service life is predicated upon a mid-life availability to address obsolescence of select engineering systems. The WLB MMA includes a stability assessment; electrical load analysis; upgrades to the machinery control system, controllable pitch propeller system, and HVAC systems; topside preservation; overhauls of deck equipment and weight handling gear; and crew habitability updates to meet current standards. 47-foot Motor Life Boat (MLB): The fleet of 47-foot MLBs, constructed from 1997 to 2003, was designed for a 25-year service life. Many of the MLB’s critical systems have become obsolete and difficult to support. Engineering evaluations identified the propulsion system (engines, reduction gears, and the integrated control system) and a variety of mission-specific equipment, including the tow reel and survivor compartment components, as requiring recapitalization. Repairs and updates to these systems and components will be performed to prevent loss of operational readiness and to stabilize maintenance costs. CG-AC&I-31 FY 2015 Key Events • Completed first 140-foot WTGB SLEP, began work on the second and third; • Completed Phase 1 of EAGLE SLEP, began production work on Phase 2; • Began production work on the first 225-foot WLB; • Continued engineering work on the 47-foot MLB sustainment project. FY 2016 Planned Key Events • Continue production work on the second and third 140-foot WTGB SLEP and begin the fourth; • Complete Phase 2 of EAGLE SLEP, begin production work on Phase 3; • Complete production work on the first 225-foot WLB and begin the second; • Continue engineering work, and begin pre-production efforts on the 47-foot MLB. FY 2017 Planned Key Events • Continue production work on the fourth and fifth 140-foot WTGB SLEP and begin the sixth; • Complete Phase 3 of EAGLE SLEP, begin production work on Phase 4; • Continue production work on the second and third 225-foot WLB and procure materials for the fourth; • Continue pre-production efforts on the 47-foot MLB. CG-AC&I-32 Funding History 1 FY 2012 2013 2014 2015 $K $15,400 $0 $21,000 $49,000 Major Activity Associated with Appropriated Funding 140’ WTGB SLEP 140’WTGB SLEP, 225’ WLB Mid-Life, EAGLE SLEP Phase 1 140’WTGB SLEP, EAGLE SLEP Phase 2, Continue 225’ WLB Mid-Life, begin engineering work for 47-foot MLB sustainment project 2016 $68,000 140’WTGB SLEP, EAGLE SLEP Phase 3, Continue 225’ WLB Mid-Life, continue engineering work for 47-foot MLB sustainment project Total $153,400 Funding received for FY 2012 through FY 2016 Contract Information: N/A. Work is done primarily at the Coast Guard Yard. Significant Changes No significant changes. 1 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-33 Project Schedule Project Description FY 2016 140' WTGB SLEP EAGLE SLEP 225' WLB Mid-Life 47' MLB Sustainment Project Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY14:Q4 FY14:Q4 FY15:Q4 FY15:Q4 FY19:Q3 FY17:Q4 FY26:Q4 FY26:Q4 28,000 7,000 29,000 4,000 FY14:Q4 FY14:Q4 FY15:Q4 FY15:Q4 FY19:Q3 FY17:Q4 FY26:Q4 FY26:Q4 32,000 7,000 36,000 4,000 Project Funds FY 2015 FY 2016 49,000 68,000 53,349 71,589 30,872 16,297 FY 2017 79,000 62,436 30,479 Total 232,400 213,912 84,190 30,479 84,190 FY 2017 140' WTGB SLEP EAGLE SLEP 225' WLB Mid-Life 47' MLB Sustainment Project Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 36,400 26,538 6,542 6,542 30,872 16,297 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-34 U.S. Coast Guard - FY 2017 Congressional Justification National Security Cutter (NSC) $127,000 Project Description, Justification and Scope This funding provides $127.0 million for Post Delivery Activities (PDA) for the fourth through eighth NSCs and for program-wide activities including Test and Evaluation, program execution and close-out support; and the development and installation of sUAS capability on one NSC. These Legend Class Cutters are replacing the legacy High Endurance Cutters (HEC), built between 1967 and 1972. Compared to HECs, the NSCs provide increased endurance, intelligence, and maritime domain awareness capability in the offshore environment. The NSC, along with the Offshore Patrol Cutter (OPC), will comprise the Coast Guard’s offshore response capability for the next 40 years, and is an essential element of DHS’s layered security posture. NSC missions are primarily focused on drug interdiction, fisheries enforcement and defense readiness. NSCs also perform search and rescue, ports, waterways and coastal security, migrant interdiction; and serve as mobile command and control platforms for surge operations. Completion of the NSC program will improve long-term capacity and capability in the execution of longrange and extended Coast Guard mission assignments offshore and integrate operations with the Department of Defense. Funding for NSC’s 4-8 Post Delivery Activities will support items necessary to make these cutters ready for operations. Funding for program wide activities to include: Follow-on Test and Evaluation; program close out to ensure an adequate and complete basis of technical and logistical material and information for full transition to sustainment; and program and technical support. Funding for Small Unmanned Aircraft Systems (sUAS) will be used to establish sUAS capability aboard one NSC, to include engineering analysis, non-recurring engineering, procurement and installation of sUAS components, and system testing and certification. FY 2015 Key Events • Keel laid on NSC-6. • Delivered NSC-5. • Christened & Launched NSC-6. • Started Fabrication (formal recognition of first 100 tons constructed) of NSC-7. • Awarded Segment 2 LLTM and Production contract for NSC-8. FY 2016 Planned Key Events • Keel laying for NSC-7. • Acceptance Trials for NSC-6. • Start Fabrication of NSC-8. • Award Structural Enhancement Drydock Availability (SEDA) contract for first NSC. • Complete installation and test of sUAS on the first NSC. • Award NSC-9 LLTM. FY 2017 Planned Key Events • Deliver NSC-6. • Christening & Launch of NSC-7. • Keel laying for NSC-8. • Award SEDA contract option for second NSC. • Installation of sUAS components on the second NSC. • Award NSC-9 Production. CG-AC&I-35 Funding History 2 FY 2012 & Prior 2013 2014 2015 2016 Total $K $3,100,792 $538,652 $17,838 $77,000 $535,562 $77,000 $545,547 $61,000 $20,000 $6,300 $725,400 $18,000 $5,723,091 Major Activity Associated with Appropriated Funding NSC 1-5 Production; NSC-6 Segment 1 LLTM NSC-6 Segment 2 LLTM & Production NSC-4 PDA NSC-7 Segment 1 LLTM NSC-7 Segment 2 LLTM & Production NSC-8 Segment 1 LLTM NSC-8 Segment 2 LLTM and Production NSCs 4-8 PDA SEDA sUAS A-Kit on first NSC NSCs 5-8 PDA, NSC-9 LLTM & Production SEDA Funding received for FY 2002 through FY 2016 Contract Information Contract Number Contractor Type Award Date (mo/yr) Start Date (mo/yr) End Date (mo/yr) EVM in Contract Total Value HSCG23-08-J-2DB031 (NSC-4 LLTM) Integrated Coast Guard Systems (ICGS) Firm Fixed Price (FFP) 3/26/2008 3/26/2008 9/15/2014 No 100,071 HSCG23-11-C-2DB043 (NSC-4 Production) Huntington Ingalls Industries (HII) Fixed Price Incentive Fee (FPIF) 11/29/2010 11/29/2010 9/14/2015 Yes 513,742 HSCG23-11-C-2DB043 (NSC-5 LLTM) Huntington Ingalls Industries (HII) FFP 1/14/2011 1/14/2011 6/5/2015 No 88,409 HSCG23-11-C-2DB043 (NSC-5 Production) Huntington Ingalls Industries (HII) FPIF 9/9/2011 9/9/2011 6/4/2016 Yes 524,267 HSCG23-11-C-2DB043 (NSC-6 LLTM) Huntington Ingalls Industries (HII) FFP 3/30/2012 3/30/2012 12/9/2016 No 87,280 2 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-36 Contract Number Contractor Type Award Date (mo/yr) Start Date (mo/yr) End Date (mo/yr) EVM in Contract Total Value HSCG23-13-C-ADB014 (NSC-6 Production) Huntington Ingalls Industries (HII) FPIF 4/30/2013 4/30/2013 12/8/2017 Yes 517,135 HSCG23-13-C-ADB014 (NSC-7 LLTM) Huntington Ingalls Industries (HII) FFP 6/14/2013 6/14/2013 10/31/2017 No 85,667 HSCG23-13-C-ADB014 (NSC-7 Production) Huntington Ingalls Industries (HII) FFIP 3/30/2014 3/30/2014 2/15/2019 Yes 532,113 HSCG23-13-C-ADB014 (NSC-8 LLTM) Huntington Ingalls Industries (HII) FFP 6/30/2014 6/30/2014 11/29/2018 No 88,493 HSCG23-13-C-ADB014 (NSC-8 Production) Huntington Ingalls Industries (HII) FFIP 3/31/2015 3/31/2015 2/21/2020 Yes 539,171 Subcontractors: Lockheed Martin Maritime System and Sensors (LMMS2), Moorestown, NJ Significant Changes The FY16 appropriation for the NSC program included funding for LLTM and Production of an additional NSC (NSC-9). Additional funding for Post-Delivery Activities, program support, and testing will be required in the future to deploy the additional NSC. Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA) CG-AC&I-37 Project Schedule Project Description FY 2016 Structural Enhancement Drydock Availability NSC Class Insurance Spares NSC 5 PDA NSC 6 PDA NSC 7 PDA NSC 8 PDA sUAS NSC 9 LLTM NSC 9 Production FY 2017 NSC 4 PDA NSC 5 PDA NSC 6 PDA NSC 7 PDA NSC 8 PDA Close-out/FOT&E/Prog. Support sUAS Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY07:Q1 FY02:Q4 FY02:Q4 FY02:Q4 FY02:Q4 FY02:Q4 FY15:Q3 FY02:Q4 FY02:Q4 FY13:Q1 FY04:Q1 FY04:Q1 FY04:Q1 FY04:Q1 FY04:Q1 FY16:Q4 FY04:Q1 FY04:Q1 FY15:Q2 FY16:Q1 FY11:Q4 FY13:Q2 FY14:Q2 FY15:Q2 FY16:Q2 FY16:Q1 FY16:Q1 FY18:Q2 FY17:Q4 FY17:Q3 FY19:Q1 FY21:Q4 FY21:Q4 FY18:Q2 FY20:Q4 FY21:Q1 18,000 10,000 13,335 41,010 6,643 2,412 12,000 94,000 546,000 FY02:Q4 FY02:Q4 FY02:Q4 FY02:Q4 FY02:Q4 FY02:Q4 FY15:Q3 FY04:Q1 FY04:Q1 FY04:Q1 FY04:Q1 FY04:Q1 FY04:Q1 FY16:Q4 FY16:Q1 FY11:Q4 FY13:Q2 FY14:Q2 FY15:Q2 FY17:Q1 FY17:Q3 FY17:Q4 FY17:Q3 FY19:Q1 FY21:Q4 FY21:Q4 FY21:Q4 FY18:Q2 2,096 4,490 19,057 58,520 14,204 22,633 6,000 Project Funds FY 2015 FY 2016 632,847 743,400 561,003 249,896 579,613 477,331 FY 2017 127,000 702,192 494,664 Total 5,850,091 5,737,748 4,467,303 579,613 494,664 4,467,303 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 4,346,844 4,224,657 2,915,695 2,915,695 477,331 . CG-AC&I-38 U.S. Coast Guard - FY 2017 Congressional Justification Offshore Patrol Cutter (OPC) $100,000 Project Description, Justification and Scope This funding will support technical review of Detail Design (DD) deliverables and subsequent procurement of Long Lead Time Materials (LLTM). Funding also provides technical support for the development of C4ISR and Combat System requirements, creation of Government Furnished Information that will inform and support production, detailed manpower analyses for crew and shore support, evaluation of DD contractor accounting and Earned Value Management systems, Test and Evaluation planning, required antecedent liability (A/L) and updates to acquisition documents. The OPC acquisition will bridge the capability gap between the National Security Cutter (NSC) and Fast Response Cutter (FRC), and will replace the Coast Guard’s fleet of Medium Endurance Cutters (WMECs) – one class (210 WMEC) has exceeded its design service life and the other (270 WMEC) is approaching its end of service life. The OPC program consists of a two-phase acquisition strategy. Phase I (Preliminary and Contract Design (P&CD)) was awarded to three contractors in FY14. Phase II is comprised of follow-on options for Detail Design and Construction for one of the three P&CD contractors down-selected from Phase I. FY 2015 Key Event • Evaluated P&CD contract deliverables. FY 2016 Planned Key Events • Complete Phase I P&CD contract; • Receive Technical, Management, and Price Proposals and conduct source selection; • Award Detail Design. FY 2017 Planned Key Events • Procure Long Lead Time Material for OPC-1; • Conduct Initial Critical Design Review; • Conduct Early Operational Assessment; • Commence Developmental Test and Evaluation. Funding History 1 FY 2012 & Prior $K $109,959 2013 2014 2015 2016 $28,535 $16,500 $20,000 $89,000 1 Major Activity Associated with Appropriated Funding Project Management Office (PMO) support/Ship Design Team (SDT) and RFP development, & supported award and evaluation of P&CD P&CD Award PMO/SDT/TA deliverables review during P&CD PMO/SDT/TA deliverables review during P&CD P&CD proposal evaluation, source selection and award of Detail Design. Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-39 FY Total $K $263,994 Major Activity Associated with Appropriated Funding Funding received for FY 2004 through FY 2016 Contract Information: Contractor Bollinger Shipyards Lockport, LLC Eastern Shipbuilding Group, Inc. General Dynamics Bath Iron Works Contract Number HSCG23-14-C-APC001 HSCG23-14-C-APC002 HSCG23-14-C-APC003 Amount Awarded $21.95M $21.975M $21.4M Date of Award 11 Feb 2014 11 Feb 2014 11 Feb 2014 Significant Changes No significant changes. Project Schedule Project Description FY 2016 Technical and Project Management Design/Development Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY16:Q1 FY16:Q4 4,685 84,315 FY17: Q1 FY17: Q1 FY17: Q4 FY17: Q4 28,500 71,500 FY 2017 100,000 114,021 35,502 Total 363,994 360,280 183,949 35,502 183,949 FY21:Q3 FY 2017 Technical and Project Management OPC-1 Long Lead Time Material Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 154,994 142,216 72,133 72,133 Project Funds FY 2015 FY 2016 20,000 89,000 12,649 91,394 55,568 20,746 55,568 20,746 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-40 Type of work Preliminary & Contract Design Preliminary & Contract Design Preliminary & Contract Design U.S. Coast Guard - FY 2017 Congressional Justification Fast Response Cutter (FRC) $240,000 Project Description, Justification and Scope Fully funds production of four Fast Response Cutters (FRC), associated contract line items, project management costs, Economic Price Adjustment (EPA), Antecedent Liabilities (A/L), Post Delivery Activities (PDA), Government Furnished Equipment (GFE), and Logistics and Technical Support. The funding supports the first option under the Phase II re-compete FRC production contract using Re-procurement Data Licensing Package (RDLP) deliverables. The Phase II contract is structured with annual options for procurement of four, five, or six cutters. The FRCs are replacing the 110-foot Island Class patrol boats and will similarly operate in the coastal zone. Examples of FRC missions include: Search and Rescue, Migrant Interdiction, Living Marine Resource Enforcement, Drug Interdiction and Ports, Waterways and Coastal Security. FRCs provide enhanced capabilities over the 110-foot patrol boats including improved C4ISR capability and interoperability; stern launch and recovery (up through sea state 4) of a 40-knot, Over-the-Horizon, 7-meter cutter boat; a remotely-operated, gyro-stabilized MK38 Mod 2 25mm main gun; improved sea keeping; and enhanced crew habitability. Other capabilities include: • The ability to conduct shipboard migrant interdiction evolutions, including detection, tracking, interdiction, embarkation and disembarkation, administrative processing, and retention onboard; • The ability to patrol areas where suspected illegal migrant, drug, or fisheries activities may occur, and dispatch boarding teams to suspect vessels and subsequently escort them to their final disposition; • The ability to search for, locate, and recover distressed mariners, provide medical assistance or evacuation, and provide safe transport. The FRC will also provide the ability to control damage to distressed vessels and other property, provide dewatering equipment and mechanical assistance, and tow disabled vessels. FY 2015 Key Events • Delivered FRCs #11-14; • Awarded Phase I Option Seven for FRCs #31-32; • Commenced Final Operational Test and Evaluation (FOT&E); • Released Request for Proposals (RFP) for Phase II recompete FRC production contract. FY 2016 Planned Key Events • Delivery of FRCs #15-19; • Award Phase II re-compete FRC production contract, including FRCs #33-38. FY 2017 Planned Key Events • Delivery of FRCs #20-25; • Award Option 1 under the Phase II contract, including FRCs #39-42. CG-AC&I-41 Funding History 1 FY 2012 & Prior 2013 2014 2015 2016 Total $K $1,059,590 $311,926 $302,295 $110,000 $340,000 $2,123,811 Major Activity Associated with Appropriated Funding Base contract option, option periods 2 - 4, plus associated CLINs, (includes DeKort Settlement) Option period 5 plus associated CLINs Option period 6 plus associated CLINs Option period 7 plus associated CLINs Phase II Base contract option plus associated CLINs Funding received for FY 2005 through FY 2016 Contract Information Contract Number Contractor Type HSCG23-08-C-2FR125 (Phase I) Bollinger Shipyards, Inc. Firm Fixed Price – Economic Price Adjustment (FFP-EPA) Award Date (mo/yr) 9/26/2008 Start Date (mo/yr) 9/26/2008 Significant Changes No significant changes. Project Schedule Project Description FY 2016 Construction FY 2017 Construction 1 Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q3 FY19:Q3 340,000 FY17:Q3 FY20:Q3 240,000 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-42 EVM in Contract No Total Value ($000s) $1,484,090 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 1,673,811 1,501,319 841,510 841,510 Project Funds FY 2015 FY 2016 110,000 340,000 106,373 345,478 231,023 256,097 FY 2017 240,000 247,491 301,826 Total 2,363,811 2,200,661 1,630,456 231,023 301,826 1,630,456 256,097 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being completed in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-43 U.S. Coast Guard - FY 2017 Congressional Justification Cutter Boats $4,000 Project Description, Justification and Scope This request continues funding for production of multi-mission cutter boats – LRI (Long Range Interceptor) and OTH (Over The Horizon) – that will be fielded on the National Security Cutter. This request funds production of one Cutter Boat Long Range Interceptor II (CB-LRI-II), and two CB-OTH-IVs, along with project and technical support. The CB-LRI-II is a 35-foot cutter boat. The CB-LRI-II provides enhanced capabilities compared to legacy cutter boats such as higher speeds, extended range, better sea-keeping, an enclosed cabin for crew protection, and greatly improved communications and connectivity to the parent cutter. The CB-OTH-IV is a 26-foot cutter boat. The CB-OTH-IV also provides enhanced capabilities compared to legacy cutter boats. The CB-OTH-IV operates beyond sight of the parent cutter (over the horizon) to deploy boarding parties to pursue and interdict targets of interest, and perform Search and Rescue (SAR) operations. FY 2015 Key Events • Ordered CB-OTH-IV #12-13 & CB-LRI-II #7 • Delivered CB-OTH-IV #10-11; CB-LRI-II #4-6 FY 2016 Planned Key Events • Order CB-OTH-IV #14-15 & CB-LRI-II #8 • Deliver CB-OTH-IV #12-13; CB-LRI-II #7 FY 2017 Planned Key Events • Order CB-OTH-IV # 16-17 & CB-LRI-II #9 • Deliver CB-OTH-IV #14-15; CB-LRI-II #8 Funding History 1 FY 2012 & Prior 2013 2014 2015 2016 Total 1 $K Major Activity Funded by Net Appropriation $24,680 Design/Construction of SRP #1-8, Design, Engineering, & Spec. Development of CB-OTH-IV & CB-LRI-II; Construction of CB-OTH-IV #1-2 $3,805 Construction CB-OTH-IV #8-9 and CB-LRI-II #4-5 $3,000 Construction CB-OTH-IV #10-11 and CB-LRI-II #6 $4,000 Construction CB-OTH-IV #12-13 and CB-LRI-II #7 $3,000 Construction CB-OTH-IV #14-15 and CB-LRI-II #8 $38,484 Funding received for FY 2002 through FY 2016 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-44 Contract Information Contract Number Contractor Type HSCG23-11-D­ ACB014 (OTH-IV) HSCG23-12-D­ ACB023 (LRI-II) SAFE Boat Int'l, Inc. Indefinite Delivery Indefinite Quantity/Firm Fixed Price(IDIQ/FFP) MetalCraft Marine, Inc. IDIQ/FFP Award (mm/yr) Jun-11 Start (mo/yr) Sep-11 End (mo/yr) Jun-18 EVM in Contract No Total Value 58,900 Jun-12 Jun-12 Jun-17 No 10,200 Significant Changes No significant changes. Project Schedule Project Description FY 2016 CB-OTH-IV #14-15 (Production boats #13-14) LRI-II #8 (Production boat #7) Logistics, Engineering, Tech, & PM Support FY 2017 CB-OTH-IV #16-17 (Production boats #15-16) LRI-II #9 (Production boat #8) Logistics, Engineering, Tech, & PM Support Engineering updates/changes Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q2 FY16:Q3 FY16:Q1 FY17:Q1 FY17:Q2 FY17:Q4 950 1,000 1,050 FY17:Q3 FY17:Q3 FY17:Q1 FY17:Q2 FY18:Q1 FY18:Q2 FY18:Q4 FY18:Q2 950 1,000 1,050 1,000 CG-AC&I-45 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 31,485 27,722 22,992 22,992 Project Funds FY 2015 FY 2016 4,000 3,000 1,702 5,470 5,001 2,179 5,001 2,179 FY 2017 4,000 4,980 2,621 2,621 Total 42,485 39,874 32,793 32,793 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-46 U.S. Coast Guard - FY 2017 Congressional Justification Polar Icebreaker $147,600 Project Description, Justification and Scope Funds completion of programmatic planning documents and award of a contract for Detail Design and all other design activities leading to commencement of production activities for a heavy polar-class icebreaker by 2020. To maintain an accelerated acquisition schedule, the 2017 request forward funds acquisition activities to occur through 2019. The availability of these funds will give Coast Guard maximum flexibility to implement an optimal acquisition approach. Polar Icebreakers support the Nation’s economic and national security interests in the Arctic, as expressed in the Administration’s National Strategy for the Arctic Region. Polar icebreakers also support the evolving strategic goals of the Department of Homeland Security (DHS) and Coast Guard, including securing and monitoring our borders, strengthening resilience, protecting natural resources in the Arctic and fulfilling international commitments for emergency response in the Arctic. Additionally, polar icebreakers support U.S. activities in Antarctica led by the National Science Foundation. The goals and objectives of this acquisition are to maintain the Nation’s heavy icebreaking capability to provide assured access to the Polar Regions. The program will accomplish this through an efficient, timely, and cost-effective acquisition that optimizes operational effectiveness and minimizes life-cycle costs. Activities in FY 2017 will focus on completion of programmatic planning documents and issue of the Request for Proposal (RFP) for Detail Design. In addition to this funding, $2.4 million requested under the AC&I Personnel and Management PPA will be used to supplement/support the Program Management Office for the polar icebreaker project. FY 2015 Key Events • Approved Preliminary Operational Requirements Document (P-ORD); • Developed Operational Requirements Document (ORD); • Drafted Alternatives Analysis; • Commenced development of initial Life-cycle Cost Estimate; • Conducted Feasibility Studies. FY 2016 Planned Key Events • Complete Operational Requirements Document and Acquisition Plan; • Commence development of RFP; • Continue Feasibility Studies; • Commence Indicative Design(s); • Finalize and complete the Alternatives Analysis; • Continue support for industry engagement and international collaboration; • Commence National Environmental Policy Act (NEPA) Activities. FY 2017 Planned Key Events • Complete Feasibility Studies and Specification for RFP; • Complete Indicative Design(s); • Complete acquisition documents for Acquisition Decision Event 2A/2B; CG-AC&I-47 • • Achieve Acquisition Decision Event 2A/2B; Complete Draft NEPA Study; • • Release RFP ; Preparations for award of Detail Design. Funding History 1 FY 2013 2014 2015 2016 Total $K $7,609 $2,000 $0 $6,000 $15,609 Major Activity Associated with Appropriated Funding Pre-acquisition development activities Pre-acquisition development activities Pre-acquisition development activities supported by carryover Pre-acquisition development activities Funding received for FY 2013 through FY 2016 Contract Information: N/A. Significant Changes On September 2, 2015 the President announced a proposal to accelerate the construction of a new heavy icebreaker and begin planning for additional icebreakers. Consistent with the President’s intent, the Coast Guard is requesting the maximum executable level of funding. This funding will facilitate unimpeded progress through completion of detail design activities, and will ensure commencement of production activities by 2020. 1 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-48 Project Schedule Project Description FY 2016 Project Management and Technical Survey Design and Engineering Acquisition Management Support FY 2017 Survey Design and Engineering Program Management and Technical Acquisition Management Support Preliminary and Detail Design Dates by Fiscal Year & Quarter Design Work Project Work Initiated Completed Initiated Completed FY14:Q1 FY15:Q1 FY16:Q2 FY18:Q3 FY16:Q4 FY16:Q4 FY16:Q4 Total Estimate Cost 500 3,500 2,000 FY17:Q1 FY17:Q1 FY17:Q1 FY21:Q4 FY21:Q4 FY21:Q4 20,000 17,600 20,000 90,000 Project Funds FY 2015 FY 2016 6,000 3,045 6,723 1,603 3,086 FY 2017 147,600 25,000 16,316 Total 163,209 37,569 21,714 16,316 21,714 FY23:Q2 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 9,609 2,801 709 709 1,603 3,086 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being completed in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-49 U.S. Coast Guard - FY 2017 Congressional Justification HC-144A Conversion, Sustainment $25,500 Project Description, Justification and Scope This request begins the retrofit of the legacy Mission System and associated sensors with the Coast Guard variant of U.S. Navy Minotaur mission system. The upgrade will improve system performance, address obsolescence issues, and increase compatibility with CBP mission systems through conversion to the DHS program of record mission system processor. The HC­ 144 aircraft are stationed at Mobile, Alabama; Miami, Florida; Cape Cod, Massachusetts; and Corpus Christi, Texas. The HC-144 Ocean Sentry is a medium-range surveillance (MRS) and transport fixed-wing air capability; complementing the long-range, heavy-lift four-engine HC-130 aircraft. The two-engine high-efficiency turboprop design allows extended surveillance and quick response capability at a relatively low cost per flight hour. The HC-144 is a multi-mission platform that performs Search and Rescue; Law Enforcement; Homeland Security; Marine Environmental Protection; and International Ice Patrol missions, as well as assistance with cargo and personnel transport. The aircraft can perform aerial delivery of Search and Rescue equipment, such as rafts, pumps, Funding History 1 FY 2012 & Prior 2013 2014 2015 2016 1 $K $989,913 $43,115 $9,200 $15,000 $3,000 and flares, and, can be used as an On-Scene Commander platform. FY 2015 Key Events • Procured initial spare parts and training devices; • Continued development and testing of Minotaur mission system processor; • Begin simulator operations at ATC Mobile; • Completed HC-144A Ocean Sentry Refresh installation and test flights to address obsolescence in the Flight Management System. FY 2016 Planned Key Events • Conduct Test and Evaluation of the Minotaur mission system processor; • Continue procurement of initial spare parts. FY 2017 Planned Key Events • Procure and begin retrofit of the HC-144A fleet with the Minotaur mission system. Major Activity Funded by Net Appropriation Procure MPA #16 - #17; Up to five MSPs; Initial Spares Procure MPA #18; Missionize MPA #18; Initial Spares Follow-on mission system development and missionize MPA #18 Initial Spares Initial Spares Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-50 FY Total $K $1,060,228 Major Activity Funded by Net Appropriation Funding received for FY 2002 through FY 2016 Contract Information Contract Number DTCG23-02-C-2DW001/ HSCG23-09-J-2DA005 HSCG23-10-C-2DA020 HSCG23-12-C-2DA019 HSCG23-14-R-2DA005 Contractor Type Award Date (mo/yr) Start Date (mo/yr) End Date (mo/yr) EVM in Contract Total Value ($M) Integrated Coast Guard Systems (ICGS) FFP 5/31/2003 5/31/2003 1/31/2008 No 167.253 EADS-NA Aircraft Lockheed Martin EADS-NA Spares FFP FFP FFP 7/29/2010 9/28/2012 4/30/2013 7/29/2010 9/28/2012 5/01/2013 5/31/2015 8/29/2016 5/01/2018 No No No 199.029 19.657 58.403 Contractors: USN (NAVAIR) is the system developer for the Coast Guard variant of the USN Minotaur mission system processor. Subcontractors: Airframe: Airbus Military CN235-300M CG-01 Configuration (Madrid, Spain) Avionics: Rockwell Collins (Cedar Rapids, IA) Power Plant: General Electric CT7-9C3 engine (Lynn, MA) Propulsion: Hamilton Sundstrand 14RF-37 (Windsor Locks, CT) Sensors: Telephonics APS-143V3 Multi-Mode RADAR (Farmingdale, NY) FLIR Systems Star Sapphire III (Portland, OR) Saab R4A Automatic Identification System (Stockholm, Sweden) Mission System: Lockheed Martin (Moorestown, NJ) Communications: Wulfsberg RT-5000 (Prescott, AZ) Significant Changes No significant changes. CG-AC&I-51 Project Schedule Project Description FY 2016 Spares Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY16:Q4 3,000 FY17:Q1 FY20:Q4 25,500 Project Funds FY 2015 FY 2016 15,000 3,000 18,792 5,774 41,029 8,547 FY 2017 25,500 25,717 9,261 Total 1,085,728 1,084,361 1,047,987 FY 2017 Minotaur Mission System Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 1,042,228 1,034,078 989,150 989,150 41,029 8,547 9,261 1,047,987 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-52 U.S. Coast Guard - FY 2017 Congressional Justification HC-27J Conversion, Sustainment $130,000 Project Description, Justification and Scope This request funds the requirements to induct, deploy and establish logistics for newly acquired C-27J aircraft. Activities include C-27J Asset Project Office (APO) activities and support, logistics (including initial spares and equipment), training and aircraft re-generation at Davis Monthan AFB. This request also funds missionization of two C-27J aircraft (prototype and validation/verification aircraft). Missionization activities include Non-Recurring Engineering (NRE), testing, mission system laboratory and trainer modifications, and mission systems logistics. The HC-27J is one of the Coast Guard’s medium-range surveillance (MRS) aircraft. The engines and propellers also share commonality with Coast Guard’s long-range HC-130J aircraft. The two-engine high-efficiency turboprop design allows extended surveillance and quick response capability at a relatively low cost per flight hour. Once missionized, the HC­ 27J will be a multi-mission asset that performs Search and Rescue; Alien Migrant Interdiction Operations; Counter-Drug; Ports, Waterways, and Coastal Security; Ice Operations; and Marine Environmental Protection missions, as well as cargo and personnel transport in support of DHS and Coast Guard missions. FY 2015 Key Events: • Continued APO operations; • Continued Contractor Logistics Support; • Continued airworthiness efforts coordinated with NAVAIR; • Continued aircraft regeneration and induction; • Continued procurement of logistics (initial issue spare parts, documentation, training, support equipment). FY 2016 Planned Key Events: • Continue APO operations; • Continue Contractor Logistics Support; • Continue airworthiness efforts coordinated with NAVAIR; • Continue aircraft regeneration and induction; • Continue procurement of logistics (initial issue spare parts, documentation, training); • Begin Non-Recurring Engineering (NRE) for aircraft missionization; • Stand-up at first operational air station. FY 2017 Planned Key Events: • Continue APO operations • Continue aircraft regeneration and induction • Continue procurement of logistics (including mission systems) • Continue NRE for aircraft missionization (including testing) • Commence missionization of two aircraft • Continue stand-up at first operational air station CG-AC&I-53 Funding History 1 FY 2014 2015 2016 Total Major Activity Funded by Net Appropriation 2 Stand-up of Asset Project Office Spares, aircraft regeneration; NAVAIR airworthiness efforts coordination Logistics, spares, missionization NRE Funding received for FY 2014 through FY 2016 $K $24,900 $20,000 $102,000 $146,900 Contract Information: Contract Number Contractor Type HSCG23-14-X-AMJ010 HSCG23-15-X-000001 HSCG23-15-P-N50013 HSCG23-15-C-AMJ002 HSCG23-15-P-AMJ001 HSCG23-15-C-AMJ015 Lockheed Martin Vector Rolls Royce Corporation Alenia North America Rolls Royce Corporation Alenia North America FFP FFP FFP FFP FFP FFP Award Date (mo/yr) 8/14 12/14 12/14 2/15 5/15 6/15 Start Date (mo/yr) 8/14 12/14 12/14 2/15 5/15 7/15 Contractors: Alenia is airframe OEM (Turin, Italy) Subcontractors: Power Plant: Contractor Logistics Support: Technical Publications: Rolls Royce Corporation (Indianapolis, IN) Lockheed Martin Vector Significant Changes No significant changes. 1 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-54 End Date (mo/yr) 8/15 6/16 12/16 2/16 5/16 7/18 EVM in Contract No No No No No No Total Value ($M) $3.058 $2.305 $5.645 $.950 $.727 $2.231 Project Schedule Project Description FY 2016 Aircraft Regeneration and Induction Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY16:Q4 102,000 FY17:Q1 FY17:Q4 130,000 Project Funds FY 2015 FY 2016 20,000 102,000 22,182 119,715 13,428 16,550 FY 2017 130,000 130,000 37,488 Total 276,900 276,900 67,759 37,488 67,759 FY 2017 Re-generation, logistics and missionization Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 24,900 5,003 293 293 13,428 16,550 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being completed in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-55 U.S. Coast Guard - FY 2017 Congressional Justification H-65 Conversion and Sustainment Project Project Description, Justification and Scope Continues modernization and sustainment of the Coast Guard’s H-65 helicopter fleet. The modernization effort includes reliability and sustainability improvements where obsolete components are replaced with modernized sub-systems, including an integrated cockpit and sensor suite. The project is comprised of six Discrete Segments (DS). Each of the six discrete segments consists of upgrades and modernization of aging components and sub-systems necessary to sustain readiness, stabilize maintenance costs, and comply with Federal Aviation Administration safety requirements. DS1 (ReEngine), DS2 (National Capital Region Air Defense (NCRAD)), DS3 (Airborne Use of Force (AUF)) and DS4 (Obsolete Component Modernization) were fully funded through prior year appropriations. DS5 (Shipboard Handling, Securing and Traversing System (SHSTS)) was cancelled in FY 2012. DS6 (Automatic Flight Control System (AFCS) / Avionics) was started with prior year funding and will be continued with funds requested in FY 2017. Funding History 1 FY 2012 & Prior 2013 2014 2015 2016 1 $K $538,261 $29,962 $2,000 $30,000 $40,000 $25,000 FY 2015 Key Events: • Completed DS4 Full Rate Production and transitioned to sustainment; • Continued DS6 (AFCS/Avionics) cockpit modernization design and integration; • Began Developmental Test and Evaluation (DT&E) of MH-65E; • Began Validation and Verification (V&V) MH-65E build; • Awarded contract for Non-Recurring Engineering (NRE) for AFCS upgrade. FY 2016 Key Events: • Continue DS6 (AFCS/Avionics) cockpit modernization design and integration; • Complete DT&E and Validation & Verification of MH­ 65E build; • Complete Operational Assessment of the MH-65E. FY 2017 Planned Key Events: • Begin Low Rate Initial Production of MH-65E • Establish Initial Operational Capability Major Activity Funded by Net Appropriation H-65 Conversion and Sustainment Project H-65 Conversion and Sustainment Project H-65 Conversion and Sustainment Project H-65 Conversion and Sustainment Project H-65 Conversion and Sustainment Project Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-56 FY Total $K $640,223 Major Activity Funded by Net Appropriation Funding received for FY 2002 through FY 2016 Contract Information: N/A. Work is being done primarily at the Coast Guard Aviation Logistics Center. Subcontractors: Aircraft Components: Avionics: Power Plant: Airbus Helicopters Inc, Grand Prairie, TX. Rockwell Collins, Cedar Rapids, IA. Turbomeca, Grand Prairie, TX. Significant Changes No significant changes. Project Schedule Project Description FY 2016 Discrete Segment 6 (AFCS/Avionics) Obtain FY 2017 Discrete Segment 6 (AFCS/Avionics) Obtain Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY10:Q3 FY16:Q1 FY16:Q1 FY21:Q4 40,000 FY10:Q3 FY16:Q1 FY16:Q1 FY21:Q4 25,000 Project Funds FY 2015 FY 2016 30,000 40,000 18,424 48,275 11,660 23,294 FY 2017 25,000 54,688 22,855 Total 665,223 661,082 580,123 22,855 580,123 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 570,223 539,695 522,314 522,314 11,660 23,294 CG-AC&I-57 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-58 U.S. Coast Guard - FY 2017 Congressional Justification HC-130J Acquisition, Conversion, Sustainment Project Description, Justification and Scope This request funds procurement of critical spares and equipment to complete activation of the second operational HC-130J unit. Additionally, this request begins the retrofit of legacy Mission System Suite (MSS) HC-130J aircraft with the Coast Guard variant of U.S. Navy Minotaur Mission System Suite + (MSS+). The upgrade will improve system performance, address obsolescence issues, and increase compatibility with CBP mission systems through conversion to the DHS program of record mission system processor. The HC-130J project includes acquisition of HC-130J aircraft, development and installation of the mission system, and logistics. Logistics includes acquiring initial spares and support equipment to properly maintain the HC-130J aircraft at multiple locations. The HC-130J aircraft are replacing the aging Coast Guard HC-130H fleet. The HC-130J is a major contributor to performance of the Coast Guard's statutory missions with specific contributions to Department of Homeland Security and Coast Guard Programs of Maritime Law Enforcement, Maritime Response, Defense Operations, and Marine Transportation System Management. FY 2015 Key Events • Accepted baseline aircraft CGNR-2007, CGNR-2008 & CGNR-2009; $20,800 • Inducted CGNR-2007 & CGNR-2008 into legacy MSS install process; • Completed HC-130J Prototype Observer Station testing; • Awarded contract for baseline (FYOC/Multi-Year) CGNR­ 2010/2011; • SIPRnet Aviation Configuration Control Board #1 approved; • Commenced prototype Minotaur MSS+ installation on CGNR­ 2003; • Awarded Minotaur MSS+ contract for up to five new aircraft and retrofit of seven legacy aircraft. FY 2016 Planned Key Events • Complete CGNR-2007 & CGNR-2008 (MSS) install; • Complete SIPRnet design; • CGNR-2003 MSS+ on prototype test complete and deliver to fleet; • Induct CGNR-2009 into MSS+; • Accept baseline aircraft CGNR-2010; • Procure long lead spares to support stand up of a second HC-130J unit. FY 2017 Planned Key Events • Accept baseline aircraft CGNR-2011; • Commence MSS+ retrofit of legacy aircraft; • Complete CGNR-2009 MSS+ install; • Procure final spares and equipment to support stand up of a second HC-130J unit. CG-AC&I-59 Funding History 1 FY 2012 & Prior 2013 $K 2014 $129,210 2015 2016 Total $103,000 $150,000 $715,644 $247,828 $85,606 Major Activity Associated with Appropriated Funding HC-130H A1U and CWB, HC-130J #9 Missionization; Includes $63.5M USAF appropriation transferred to USCG for HC-130J #9 baseline aircraft. Procurement and missionization of HC-130J #10. Procurement of HC-130J #11 & Mission System (MS) Installation, Follow-on mission system development, Spares, Observer Station. Procurement and missionization of HC-130J #12; HC-130J Spares Procurement and Missionization of HC-130J #13, Initial spares and equipment for second HC-130J site activation. Funding received FY 2003 through FY 2016 Contract Information Contract Number HSCG23-14-X-2DA023 HSCG23-15-X-2DA007 HSCG23-14-X-2DA018 HSCG23-12-X-2DA048 HSCG23-15-X-2DA016 HSCG23-14-X-2DA008 HSCG23-15-C-2DA002 Subcontractors: Aircraft: Engines: Missionization: FLIR/EO: Surface Search Radar: Observer Station: 1 Contractor USAF USAF USAF USAF USAF NAWC-AD L-3 PID Type MIPR MIPR MIPR MIPR MIPR MIPR FFP Award Date (mo/yr) 3/2014 5/2015 3/2014 09/2012 6/2015 4/2014 9/2015 Start Date (mo/yr) 4/2014 5/2015 3/2014 9/2012 6/2015 4/2014 9/2015 End Date (mo/yr) 9/2018 9/2017 3/2018 9/2013 6/2017 9/2014 9/2020 EVM in Contract No No No No No No No Lockheed Martin Aero, Marietta, GA. Rolls Royce (Allison), Indianapolis, IN. Lockheed Martin MS2, Moorestown, NJ. USN (NAVAIR) L-3 Communications Integrated Systems, Waco, TX FLIR systems, Wilsonville, OR Exelis, Amityville, NY Airdyne, Brooksville, FL Table reflects net funding of combined HC-130J / LRS programs, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-60 Total Value ($K) $66,000 $65,000 $65,000 $60,538 $12,044 $8,621 $31,076 Significant Changes No significant changes. Project Schedule Project Description FY 2016 Aircraft #13 & MSS+ Spares Dates by Fiscal Year & Quarter Design Work Project Work Initiated Completed Initiated Completed Total Estimate Cost FY18:Q2 FY16:Q1 FY20:Q4 FY16:Q4 95,000 55,000 FY17:Q3 FY17:Q2 FY19:Q1 FY17:Q4 9,800 11,000 Project Funds FY 2015 FY 2016 103,000 150,000 129,838 122,018 21,288 108,815 FY 2017 20,800 52,559 111,407 Total 736,444 673,585 448,158 111,407 448,158 FY 2017 MSS+ Retrofit Spares Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 462,644 369,170 206,648 206,648 21,288 108,815 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-61 U.S. Coast Guard - FY 2017 Congressional Justification Program Oversight and Management $20,000 Project Description, Justification and Scope Provides funding for Program Oversight and Management (PO&M). PO&M funding supports activities associated with the transition of the Coast Guard’s assets from acquisition to operations, including delivery, provision of logistics, training and other services necessary to ensure seamless integration into the operational fleet. FY 2017 Activities Supported by Program Oversight and Management (PO&M) PROCUREMENT Senior Oversight Contract Operations Acquisition Workforce Management Acquisition Support Strategic Planning & Communication Testing and Evaluation Resource Management Acquisition Programs Oversight Acquisition Programs – Aviation Acquisition Programs – Surface Acquisition Programs – C4ISR Acquisition Programs Logistics JUSTIFICATION Computer support, project management site visits, management support priorities and supplies. Contracting Officer (KO) contract specialist support for Major System Acquisition projects, Defense Contract Management Agency (DCMA)/ Defense Contract Audit Agency (DCAA) support services. Program training, strategic & tactical human capital support, Sustainment/Acquisition-Composite Model (SACOM) support for staff levels, program management & acquisition support. Program management, systems engineering, and acquisition management support. Strategic planning support, as required by the CG and Department of Homeland Security (DHS), communication management support, external coordination support, required reports and responses. Execution of Surface, Aviation, Command, Control, Communications, Computers, Intelligence, Surveillance and Reconnaissance (C4ISR), and Logistics development and testing programs. Acquisition Performance Management System (APMS) support and software upgrade support, (SAS) renewal, capitalization & audit remediation support, internal controls support, and Life Cycle Cost Estimating (LCCE) support. Naval Sea Systems Command (NAVSEA) programmatic support, Naval Surface Warfare Center (NSWC) / NAVSEA direct-site support, program management support, and site visits. Program management support to include administrative, business finance, accounting, risk management, schedule analysis, costs analysis; and site visits. Program management support to include administrative, business finance, accounting, risk management, schedule analysis, costs analysis; logistics support, and site visits. Program management support for program status control reporting, emerging issue resolution, cross domain issues, technical expertise; Integrated Product Team (IPT) support; and Major System Acquisition project coordinator at Space and Naval Warfare Systems Command (SPAWAR); and site visits. Program management support for surface & air assets, technical documentation, and performance management, and site visits. CG-AC&I-62 Funding History 1 FY 2012 & Prior 2013 2014 2015 2016 Total $K $428,761 $14,268 $10,000 $18,000 $20,000 $491,029 Major Activity Funded by Net Appropriation Government Program Management Program Oversight and Management Program Oversight and Management Program Oversight and Management Program Oversight and Management Funding received for FY 2002 through FY 2016 Contract Information: N/A. Significant Changes: No significant changes. Project Schedule Project Description FY 2016 Program Oversight and Management Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY20:Q4 20,000 FY17:Q1 FY21:Q4 20,000 Project Funds FY 2015 FY 2016 18,000 20,000 15,813 22,254 18,971 8,957 FY 2017 20,000 22,930 12,791 Total 511,029 500,240 463,197 12,791 463,197 FY 2017 Program Oversight and Management Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Project Management FY 2014 & Prior 453,029 439,243 422,478 422,478 18,971 8,957 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). 1 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-63 U.S. Coast Guard - FY 2017 Congressional Justification C4ISR $24,300 Project Description, Justification and Scope Funds the design, development, and information assurance posture of Command, Control, Communications, Computers, Intelligence, Surveillance, and Reconnaissance (C4ISR) Integrated hardware and software systems on National Security Cutters (NSC), Offshore Patrol Cutters (OPC), Fast Response Cutters (FRC), Long Range Surveillance (LRS) aircraft, and Medium Range Surveillance (MRS) aircraft. These assets are using interoperable C4ISR system designs to optimize lifecycle costs and operational effectiveness. The requested funds in FY 2017 will be used for the following activities: • Tailoring SEAWATCH for OPC requirements. Provide technical assistance for the OPC program by leading the tailoring of C4ISR systems onboard the OPC. • Supporting the development, integration, and back-fit of a Segment 2 suite for the next in-service NSC (delivered with Segment 1). • Providing Information Assurance (IA) / TEMPEST / Certification and Accreditation (C&A) expertise and documentation to newly acquired surface and aviation assets. New USCG assets must be delivered with Authority to Operate (ATO) through the Designated Approval Agency (DAA). • The continued operation of C4ISR development labs and test & integration labs providing product suitability validation and proper network integration and readiness for platform acceptance and installation on surface assets. • Necessary Diminishing Manufacturing Source (DMS) solutions for the test and integration labs and for assets in production. • Logistics support providing analysis, development, and products to ensure operational capability and readiness of the C4ISR systems and interfaces, and their integration with USCG assets. This includes technical and training documentation, as well as the initial sparing analysis required to transition the C4ISR system baseline release to asset managers for platform installation, testing, and deployment. • Engineering Change Proposals (ECPs) development includes software and systems engineering oversight, to accommodate capability upgrades and design modifications related to C4ISR while the asset is in production. • Project execution support services for planning, development, engineering, configuration management, safety, and other required disciplines. FY 2015 Key Events: Aviation assets • Coordinated and planned for obtaining ATO and TEMPEST certification. Surface assets • Procured Segment 2 suite for future NSC back-fit and Training Center Petaluma; • Continued tailoring SEAWATCH for the OPC; CG-AC&I-64 • Assisted the NSC project with C4ISR testing and implementing engineering changes; • Assisted FRC and NSC projects with achievement of ATO and conducting TEMPEST inspections. Labs Labs FY 2017 Planned Key Events: • • Aviation assets Operated verification labs to facilitate fielding of Segment 2. Postured labs for transition to sustainment. • • • FY 2016 Planned Key Events: Coordinate and plan for obtaining ATO and TEMPEST certification. Surface assets Aviation assets • Operate verification labs to facilitate fielding of Segment 2. Posture labs for transition to sustainment. • • • Coordinate and plan for obtaining ATO and TEMPEST certification. Surface assets • • • Back-fit Segment 2 suite; Continue tailoring SEAWATCH for the OPC; Assist the NSC project with C4ISR testing and implementing engineering changes; • Assist FRC and NSC projects with achievement of ATO and conducting TEMPEST inspections. • Posture labs for transition to sustainment. Back-fit Segment 2 suite; Continue tailoring SEAWATCH for the OPC; Assist the NSC project with C4ISR testing and implementing engineering changes; • Assist FRC and NSC projects with achievement of ATO and conducting TEMPEST inspections. Labs • Operate verification labs to facilitate fielding of Segment 2. Funding History 1 FY 2012 & Prior 2013 2014 2015 2016 Total 1 $K $ 691,194 $ 38,523 $ 40,226 $36,300 $36,600 $842,843 Major Activity Funded by Appropriation NSC, MPA/MSP Segment 2; Cutter Segment 5; FRC, OPC IA support NSC, MPA/MSP Segment 2; Cutter Segment 5; FRC, OPC IA support NSC Segment 2 procurement; FRC, OPC IA support; OPC SEAWATCH tailoring NSC Segment 2 procurement, development, integration; FRC, OPC IA support; OPC SEAWATCH tailoring NSC Segment 2 development, integration, & back-fit; FRC, OPC IA support; OPC SEAWATCH tailoring Funding received for FY 2002 through FY 2016 Table reflects net funding, appropriations received (+/-) reprogrammings and less rescissions. CG-AC&I-65 Segment 1 developed a closed and complex C4ISR baseline for NSCs, HC-144As, and HC-130Js. Developed through the Integrated Coast Guard Systems (ICGS) contractor, this system is proprietary and does not allow the Coast Guard the ability to manage additional development outside of the prime contractor, nor does it provide an affordable means for software sustainment. Segment 1 is fully fielded. Segment 2 began the transition of the proprietary system developed in Segment 1 towards an open architecture owned and controlled by the Coast Guard. It separated the Segment 1 design into modular, scalable, functional components with clear interfaces allowing the Coast Guard to manage changes and sustain the system separate from the prime contractor. Segment 2 establishes a common baseline across the NSC, HC-144A, and HC­ 130J assets. Segment 5 (Upgrades to existing assets) - In-Service Cutters: 210ft and 270ft Medium Endurance Cutter (MEC); 378ft High Endurance Cutter (HEC); Shore Facilities: Communications Area Master Stations (CAMS); Training Center Petaluma; Communication Stations (COMMSTAs). Contract Information Contract Number HSCG23-12-C-ADC400 HSCG23-12-C-ADC405 HSCG23-14-C-AC4001 Contractor Lockheed Martin Lockheed Martin Lockheed Martin Type CPFF T&M CPFF Award Date (mo/yr) 1/31/2012 1/10/2012 8/21/2014 Start Date (mo/yr) 1/31/2012 1/10/2012 8/21/2014 Significant Changes No significant changes. CG-AC&I-66 End Date (mo/yr) 1/31/2016 12/31/2015 10/31/2016 EVM in Contract No No No Total Value ($K) 16,059 22,070 31,169 Project Schedule Project Description FY 2016 Aviation Information Assurance Segment 2 Block B: NSC New Asset Acquisition Support: OPC New Asset Acquisition Support: FRC Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY11:Q3 FY12:Q1 FY14:Q1 FY09:Q1 FY26:Q4 FY19:Q4 FY26:Q4 FY26:Q4 300 32,100 3,500 700 FY11:Q3 FY12:Q1 FY14:Q1 FY09:Q1 FY26:Q4 FY19:Q4 FY26:Q4 FY26:Q4 200 20,900 2,500 700 Project Funds FY 2015 FY 2016 36,300 36,600 41,372 39,222 32,646 22,775 FY 2017 24,300 27,031 26,628 Total 867,143 852,152 778,667 26,628 778,667 FY 2017 Aviation Information Assurance Segment 2 Block B: NSC New Asset Acquisition Support: OPC New Asset Acquisition Support: FRC Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 769,943 744,527 696,618 696,618 32,646 22,775 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-67 U.S. Coast Guard - FY 2017 Congressional Justification CG-LIMS $7,000 Project Description, Justification and Scope Funds the development and delivery of the Coast Guard Logistics Information Management System (CG-LIMS). This funding will continue CG-LIMS configuration and phased deployment to Coast Guard operational assets and support facilities. Specifically, the funding continues to support configuration and testing of the Segments 1 (Configuration Management and Maintenance Management), 2 (Supply Chain Management) and 3 (Technical Information Management) functionality. The funding will also support the implementation of CG-LIMS for fixed and rotary-wing aircraft, as well as boat product lines. CG-LIMS: • Directly supports the Coast Guard modernization goal of a unified logistics system that improves mission-readiness, operational effectiveness, and decision-making by enabling decision support at the enterprise and tactical level; • Enables product line management by providing total asset visibility throughout the enterprise; • Will be the tool through which all maintenance is managed and how the enterprise supply chain is driven; • Will organize and manage all technical information relating to Coast Guard assets, including technical publications and manuals, drawings, maintenance procedures, and maintenance data in the system; • Will tightly integrate and configure the components of configuration management, maintenance management, supply chain management, and technical information management to allow efficient execution of a standardized business process. CG-LIMS is planned for phased implementation by segments, as follows: Segment Functionality That Will Be Provided 1 ........... Configuration Management and Maintenance Management (CM and MM) 2 ........... Supply Chain Management (SCM) 3 ........... Technical Information Management (TIM) FY 2015 Key Events • Continued development of Segments 1 CM/MM, 2 SCM, and 3 TIM; • Planned interfaces and integration with Coast Guard Financial System; • Delivered Initial Operating Capability to HC-144A maritime patrol aircraft. • Inducted second aircraft type, HC-144B, into CG-LIMS. FY 2016 Planned Key Events • Continue development of Segments 1 CM/MM, 2 SCM, and 3 TIM; • Interface and integration with Coast Guard Financial Systems; • Continue CG-LIMS deployment to operational units. FY 2017 Planned Key Events: • Continue development of Segments 1 CM/MM, 2 SCM, and 3 TIM; • Complete interface and integration with Coast Guard Financial Systems; • Continue CG-LIMS deployment to operational units. CG-AC&I-68 Funding History 1 FY 2012 & Prior 2013 2014 $K $24,202 $2,613 $1,650 2015 $5,000 2016 $8,500 Total $41,965 Major Activity Funded by Net Appropriation CG-LIMS Configuration and testing of Segment 1 functionality CG-LIMS Configuration and testing of Segments 1-3 functionality CG-LIMS Configuration and testing of Segments 1-3 functionality; implementation of Segments 1-3 functionality to USCG operational units CG-LIMS Configuration and testing of Segments 1-3 functionality; implementation of Segments 1-3 functionality to USCG operational units; develop interface with financial management system. CG-LIMS Configuration and testing of Segments 1-3 functionality; implementation of Segments 1-3 functionality to USCG operational units. Initiate development of interfaces and integration with USCG Financial Systems. Funding received for FY 2008 through FY 2016 Contract Information Contract Number Contractor Type HSCG23-12-A-ADL001 HSCG23-15-F-ADL002 Mythics Mythics FFP FFP Award (mo/yr) 12/2011 02/2015 Start (mo/yr) 12/2011 03/2015 End (mo/yr) 12/2016 03/2016 Significant Changes No significant changes. Project Schedule Project Description FY 2016 CG-LIMS Development FY 2017 CG-LIMS Development 1 Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY08:Q2 FY18:Q2 8,500 FY08:Q2 FY18:Q2 7,000 Table reflects net funding, appropriations received (+/-) reprogrammings, transfers and less rescissions. CG-AC&I-69 EVM in Contract No No Total Value ($K) $5,480 $4,055 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 28,465 23,051 19,719 19,719 Project Funds FY 2015 FY 2016 5,000 8,500 7,183 7,373 7,785 2,575 7,785 2,575 FY 2017 7,000 7,014 3,604 3,604 Total 48,965 44,621 33,683 33,683 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-70 U.S. Coast Guard - FY 2017 Congressional Justification Other Equipment and Systems $8,055 each year to Coast Guard Academy cadets, Command & Operations School (Prospective Commanding Officer, Executive Officer and Operations Officer courses) students, Officer Candidate School, NOAA Basic Officer Training Course, and operational cutter crews. Bridge simulator training is the professional standard within the military and merchant fleet for all shipboard operators. SCANTS is certified for simulation training by the National Maritime Center. The funding will support improvements that will ensure continued viability of this critical training simulator. Project Description, Justification and Scope This request is for the procurement of end-use item equipment and systems expected to cost in excess of $250,000. These items support a variety of Coast Guard missions, including training simulators and equipment that is used to support the operation and maintenance of vessels, aircraft, and infrastructure. FY 2017 funding supports the following: • System hardware and software replacement to upgrade the Ship Control and Navigation Training System (SCANTS) located at the Coast Guard Academy. SCANTS was built in 1986 and received its last major upgrade in 1996. SCANTS is currently operating on antiquated hardware and software that requires recapitalization. SCANTS provides approximately 3,000 hours of critical simulation training • Replacement equipment used to support operations, including vessel travel lifts, specialized test equipment for depot maintenance, and specialized vehicles (hazmat and fire response, snow removal, road maintenance, and mobile cranes). Significant Changes This is a new PPA. Project Schedule Project Description FY 2017 SCANTS Replacement Other Equipment Acquisition Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY17: Q1 FY17: Q3 FY17: Q4 FY17: Q1 CG-AC&I-71 FY19: Q4 FY17: Q4 4,500 3,555 Schedule of Project Funding FY 2014 & Prior Project Funds FY 2015 FY 2016 Appropriation Obligation Expenditure FY 2017 8,055 7,605 4,905 Breakdown of Project Expenditures Construction / Acquisition Survey, Design & Engineering Project Management 4,446 398 61 Compliance with Public Laws, Regulations, Standards & Executive Orders This project will comply with the National Environmental Policy Act (NEPA). CG-AC&I-72 Total 8,055 7,605 4,905 4,446 398 61 U.S. Coast Guard - FY 2017 Congressional Justification Shore AC&I Waterways and ATON Infrastructure Project Description, Justification and Scope This request provides funding to establish, maintain and improve transportation safety on Federal waterways through survey, design, construction, and improvements to buoys and structures assisting navigation. Waterways infrastructure projects require an annual base funding level to respond to requirements from U.S. Army Corps of Engineers (ACOE) activity and to address aging/damaged aids to navigation (AtoN). This request continues sitework, construction for Phase 1, engineering planning, and studies to support the relocation of various Delaware River ranges resulting from the ACOE Delaware River Main Stem and Channel Deepening projects. The project complexity requires separating the USCG range projects into four distinct phases. Phase 1 of the project, at Baker Range, relocates and modernizes the main ship channel range to align with channel boundaries, replaces an unsafe rear range structure, and modernizes the range light optics. This range light is considered vital for navigation by the USCG Fifth District and waterway users, specifically the Pilots Association for the Bay and River Delaware. The four-phase USCG range projects are developed in conjunction with the ACOE project, which will provide more efficient transportation of containerized, dry bulk and liquid bulk cargo to and from the Delaware River ports. The ACOE project will include dredging and alterations to existing channels to ensure safer navigation. Collectively, the Ports of Philadelphia, South Jersey and Wilmington combine to be the largest general cargo port complex in the nation. Significant Changes No significant changes. Project Schedule Project Description FY 2017 Construction / Acquisition $4,600 Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY17:Q2 CG-AC&I-73 FY19:Q4 4,600 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition Survey, Design & Engineering Project Management FY 2014 & Prior 40,660 39,910 38,113 38,113 Project Funds FY 2015 FY 2016 500 175 300 750 500 750 FY 2017 4,600 3,000 3,000 500 Compliance with Public Laws, Regulations, Standards & Executive Orders This project will comply with the National Environmental Policy Act (NEPA). CG-AC&I-74 2,715 250 35 Total 45,760 43,385 42,363 42,078 250 35 U.S. Coast Guard - FY 2017 Congressional Justification Major Shore - Service Life Extension Elizabeth City, NC Airfield Apron and Taxiways $13,000 Project Description, Justification and Scope Funds the service life extension of the airfield apron and taxiways at Air Station Elizabeth City, North Carolina. Coast Guard Air Station Elizabeth City, Coast Guard Aviation Logistics Center, and Coast Guard Aviation Technical Training Center rely on the operational capability supported by Runway 10-28. This runway permits the Air Station to operate five HC-130Js and the Aviation Logistics Center that services all Coast Guard aircraft undergoing planned depot maintenance at this facility. The runway was constructed in 1966. Despite continued routine maintenance, the apron and taxiways are deteriorating and in need of recapitalization. This project ensures the future viability of the Elizabeth City facility. RUNWAY FACILITY OVERVIEW – with – EXAMPLE CONDITIONS Runway 10-28 CG-AC&I-75 Significant Changes This is a new request. Project Schedule Project Description FY 2017 Recapitalize Runway 10-28 Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY17: Q1 FY17: Q4 FY17: Q4 FY19: Q3 13,000 FY 2017 13,000 11,700 2,600 Total 13,000 11,700 2,600 Schedule of Project Funding FY 2014 & Prior Project Funds FY 2015 FY 2016 Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition Survey, Design & Engineering Project Management 1,716 780 104 Compliance with Public Laws, Regulations, Standards & Executive Orders This project will comply with the National Environmental Policy Act (NEPA). CG-AC&I-76 1,716 780 104 U.S. Coast Guard - FY 2017 Congressional Justification Shore Infrastructure Survey and Design development concepts including waterfront studies, design initiatives, and rough order of magnitude estimates for project completion are included. The projects supported by this request contribute to mission support and sustainment of front-line units. Project Description, Justification and Scope Includes survey and design funding required for future year Acquisition, Construction, and Improvement (AC&I) shore projects. Funding supports the shore infrastructure planning process by funding engineering studies and analyses, master plans, NEPA/Environmental Studies, Soil Classification, real property and land acquisition. Project Significant Changes No significant changes. Project Schedule Project Description FY 2016 Survey and Design FY 2017 Survey and Design Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY17:Q4 500 FY17:Q1 FY18:Q4 500 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Survey, Design & Engineering FY 2014 & Prior 2,049 1,102 1,102 1,102 Project Funds FY 2015 FY 2016 500 500 900 800 900 800 900 $500 FY 2017 500 500 500 800 Compliance with Public Laws, Regulations, Standards & Executive Orders This project will comply with the National Environmental Policy Act (NEPA). CG-AC&I-77 500 Total 3,549 3,302 3,302 3,302 U.S. Coast Guard - FY 2017 Congressional Justification Minor AC&I Shore Construction Projects $5,000 Project Description, Justification and Scope Provides funds to complete minor AC&I shore facility construction projects. These projects are typically less complex and require less advance planning than major shore projects. Funds will be used to complete minor projects that have cost estimates which exceed the construction authority provided in the Operating Expense appropriation. For example, this may include: • Emergency repair projects which have cost estimates that are greater than 50% of the plant replacement value; • Minor facility improvements, which cost more than one million dollars, that are needed to adapt to changing/increased missions. Significant Changes No significant changes. Project Schedule Project Description FY 2016 Minor AC&I Shore Construction FY 2017 Minor AC&I Shore Construction Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY16:Q3 FY16:Q2 FY17:Q4 5,000 FY17:Q1 FY17:Q4 FY17:Q4 FY19:Q2 5,000 Project Funds FY 2015 FY 2016 5,000 5,000 6,500 7,750 6,500 7,750 FY 2017 5,000 6,000 6,000 Total 56,363 54,916 54,916 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition Survey, Design & Engineering Project Management FY 2014 & Prior 41,363 34,666 34,666 32,596 2,070 6,000 500 7,250 500 Compliance with Public Laws, Regulations, Standards & Executive Orders This project will comply with the National Environmental Policy Act (NEPA). CG-AC&I-78 5,400 500 100 51,246 3,570 100 U.S. Coast Guard - FY 2017 Congressional Justification Major Acquisition Systems Infrastructure (MASI) Project Description, Justification and Scope This request supports shore facility infrastructure modifications, upgrades, and new construction associated with homeporting new or modified cutters, boats, and aircraft. The project also supports infrastructure modifications, upgrades, and new construction to provide logistics, maintenance, and training support for new or modified cutters, boats, and aircraft. Facility and Infrastructure Upgrades – Funding in FY 2017 completes the following facility upgrades and infrastructure improvements: • Pier, support facility, shore power modifications, and associated base infrastructure improvements to support the FRC Homeport at Galveston, TX. This homeport will accommodate a total of three FRCs. The funding will support the design and construction of homeport facility additions, improvements, and renovations at Galveston, TX. The funding provides improvements such as electrical and other shore-tie upgrades; dredging to accommodate deeper drafts where necessary; structural improvements to the piers and wharfs to accommodate larger loads; relocation and/or incorporation of existing operational and support functions, both waterfront and shore side, for proximity and constructability; shore side facilities for storage, maintenance, and other in-port activities associated with the arrival of the new FRCs. This location is essential to the overall operational force lay-down and needs to be modified in order to accommodate the FRCs. The funding request provides for facilities to meet asset delivery schedules and threshold facilities requirements based on FRC dimensions, shore-tie requirements, operational needs, crewing status, and maintenance schedules. • Medium Range Surveillance (MRS) operational facility Air Station Clearwater, FL. This project provides funding for $28,000 facilities upgrades and modifications to accommodate the operations and maintenance of six new MRS aircraft (C-27) at Air Station Clearwater, FL. The funding provides for improvements such as electrical upgrades; reconfiguration of existing maintenance shops; installation of aircraft-specific tie downs; relocation and/or incorporation of existing operational and support functions for proximity and constructability; facilities for aircraft specific parts and supplies; work spaces for additional personnel assigned with the aircraft; facilities improvements necessary for safe and efficient maintenance of the aircraft, and other activities associated with the arrival of the new MRS aircraft. This location is essential to the overall operational force laydown and needs to be modified to accommodate the MRS aircraft. The funding request provides for facilities to meet asset delivery schedules and threshold facilities requirements based on the MRS dimensions, electrical requirements, operational needs, crewing status, and maintenance schedules. • Long Range Surveillance (LRS) operational facility Air Station Kodiak, AK. This project provides funding for facilities upgrades and modifications to accommodate the operations and maintenance of five new LRS aircraft (C-130J) at Air Station Kodiak, AK. The improvements will include electrical upgrades; reconfiguration of existing maintenance shops; relocation and/or incorporation of existing operational and support functions for proximity and constructability; facilities for aircraft specific parts and supplies; work spaces for additional personnel assigned with the aircraft; facilities improvements necessary for safe and efficient maintenance of the aircraft, and other activities associated with the arrival of the new LRS aircraft. This location is essential to the overall operational force laydown and needs to be modified in order to accommodate the LRS aircraft. The funding request provides for facilities to meet asset delivery schedules and threshold facilities requirements based on the LRS CG-AC&I-79 dimensions, electrical requirements, operational needs, crewing status, and maintenance schedules. • Provide program support and engineering, environmental, and feasibility studies and analyses for future-year facilities projects covered under this acquisition program. This funding is necessary to establish a 5-year window of planning documents in order to properly budget for force location decisions in association with future asset deliveries. This funding will also more effectively integrate siting decisions for different classes of cutters and aircraft over the long-term planning horizon. The funding also covers any support contracts necessary to maintain the day-to-day functions, oversight, support, and management of these projects. Contract Information: All Major Acquisition Systems Infrastructure (MASI) projects are executed by the Coast Guard with technical oversight provided by the Shore Infrastructure Logistics Center, the Facilities Design and Construction Center, and Civil Engineering Units located around the United States. Each project is contracted to a construction contractor for execution. Significant Changes: No significant changes. Project Schedule Project Description FY 2016 Facilities Engineering/Environmental Studies Dates by Fiscal Year & Quarter Design Work Project Work Initiated Completed Initiated Completed Total Estimate Cost FY16:Q1 FY16:Q1 FY18:Q4 FY18:Q4 50,500 1,500 FY17:Q1 FY17:Q1 FY19:Q4 FY19:Q4 26,500 1,500 Project Funds FY 2015 FY 2016 16,000 52,000 38,954 49,375 78,411 16,523 FY 2017 28,000 39,672 19,934 Total 549,678 534,546 470,600 19,934 470,600 FY 2017 Facilities Engineering/Environmental Studies Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Construction / Acquisition FY 2014 & Prior 453,678 406,545 355,732 355,732 78,411 16,523 CG-AC&I-80 Compliance with Public Laws, Regulations, Standards & Executive Orders This project is being conducted in compliance with the National Environmental Policy Act (NEPA). CG-AC&I-81 U.S. Coast Guard - FY 2017 Congressional Justification Direct Personnel Costs $120,933 Project Description, Justification and Scope Funds the salaries, compensation and support costs (including annual pay raise and COLA) for personnel who manage, execute and administer multi-year funded projects within the Acquisition, Construction and Improvements (AC&I) Program. The requested funding level will support a total of 897 FTE. These personnel will support projects requested in this budget submission, as well as prior year funded AC&I projects, by performing planning, design, engineering, contracting, project management, quality assurance and logistics support activities. This ensures the products and services acquired through the AC&I program are completed on time, on budget and in compliance with performance requirements. Additional FTE requested will support acceleration of activities to acquire the new polar icebreaker. Significant Changes No significant changes. Project Schedule Project Description FY 2016 Direct Personnel Costs FY 2017 Personnel Costs Dates by Fiscal Year & Quarter Total Design Work Project Work Estimated Initiated Completed Initiated Completed Cost FY16:Q1 FY16:Q4 118,069 FY16:Q1 FY17:Q3 120,933 CG-AC&I-82 Schedule of Project Funding Appropriation Obligation Expenditure Breakdown of Project Expenditures Direct Personnel Costs FY 2014 & Prior 817,781 817,781 817,781 817,781 Project Funds FY 2015 FY 2016 115,313 118,069 115,313 118,069 115,313 118,069 FY 2017 120,933 120,931 120,931 Total 1,172,096 1,172,094 1,172,094 115,313 120,931 1,172,094 118,069 CG-AC&I-83 J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits $46,063 $57 $542 $10,390 $28,876 $94 $12,725 $2,505 $88 $101,340 $51,597 $64 $607 $10,402 $31,933 $104 $14,254 $2,769 $98 $111,828 $52,948 $66 $623 $10,832 $32,564 $106 $14,627 $2,823 $100 $114,689 $1,351 $2 $16 $430 $631 $2 $373 $54 $2 $2,861 $5,113 $1,068 $100 $2,260 $26 $100,740 $186,787 $415 $3,454 $80,410 $717,779 $47,954 $385 $1,146,491 $6,152 $661 $51 $247,009 $234,334 $2,191 $30,420 $777,685 $127,608 $385 $1,426,496 $8,338 $662 $51 $31 $363,353 $174,795 $2,191 $9,998 $916,637 $112,029 $385 $1,588,470 $2,186 $1 $31 $116,344 ($59,539) ($20,422) $138,952 ($15,579) $161,974 $1,247,831 $1,538,324 $1,703,159 $164,835 Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.5 Research and Development Contracts 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment 32.0 Land and Structures 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations CG-AC&I-84 Object Classes 2015 Revised Enacted 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements ($768,792) $676,089 - ($676,089) $1,060,689 - ($1,060,689) $494,318 - ($384,600) $566,371 - $1,155,128 $1,922,924 $1,136,788 ($786,136) CG-AC&I-85 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements I. Vessels Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.5 Research and Development Contracts 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $2,459 $58 $23 $2,260 $23 $21,264 $27,879 $415 $152 $8,181 $702,450 $765,164 $3,996 $149,713 $94,498 $4,036 $566,336 $818,579 $3,142 $240,387 $70,285 $2,828 $853,567 $1,170,209 ($854) $90,674 ($24,213) ($1,208) $287,231 $351,630 - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($358,606) $346,858 $11,748 ($346,858) $770,434 $423,576 ($770,434) $304,325 ($466,109) ($423,576) ($466,109) ($911,930) Total Requirements $753,416 - $1,242,155 - $704,100 - ($560,300) - Adjustments Full Time Equivalents CG-AC&I-86 Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements II. Aircraft Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $1,384 $13 $3 $3,227 $132,180 $58,574 $9,663 $205,044 $969 $28,208 $111,155 $1,174 $209,009 $350,515 $150 $86,564 $78,220 $2,000 $51,190 $218,124 ($819) $58,356 ($32,935) $826 ($157,819) ($132,391) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($172,286) $151,460 ($20,826) ($151,460) $95,945 ($55,515) ($95,945) $79,121 ($16,824) $55,515 ($16,824) $38,691 Total Requirements $184,218 - $295,000 - $201,300 - ($93,700) - Adjustments Full Time Equivalents CG-AC&I-87 Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements III. Other Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Other Object Classes 21.0 Travel and Transportation of Persons 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $57 $71,083 $24,012 $5,666 $100,818 $435 $62,598 $27,770 $100 $2,340 $93,243 $4,293 $31 $34,902 $25,379 $154 $11,880 $76,639 $3,858 $31 ($27,696) ($2,391) $54 $9,540 ($16,604) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($93,718) $53,260 ($40,458) ($53,260) $25,117 ($28,143) ($25,117) $7,833 ($17,284) $28,143 ($17,284) $10,859 Total Requirements $60,360 - $65,100 - $59,355 - ($5,745) - Adjustments Full Time Equivalents CG-AC&I-88 Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements IV. Shore and ATON Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Other Object Classes FY 2015 Revised Enacted - 21.0 Travel and Transportation of Persons 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 26.0 Supplies and Materials 32.0 Land and Structures Total, Other Object Classes FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $139 $5,166 $2,375 $10,617 $47,954 $66,251 $40 $6,490 $685 $23,095 $127,608 $157,918 $40 $1,500 $685 $3,000 $112,029 $117,254 ($4,990) ($20,095) ($15,579) ($40,664) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($144,182) $124,511 ($19,671) ($124,511) $169,193 $44,682 ($169,193) $103,039 ($66,154) ($44,682) ($66,154) ($110,836) Total Requirements $46,580 - $202,600 - $51,100 - ($151,500) - Adjustments Full Time Equivalents CG-AC&I-89 Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements V. Personnel and Management Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel and Compensation Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel and Compensation Benefits FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $46,063 $57 $542 $10,390 $28,876 $94 $12,725 $2,505 $88 $101,340 $51,597 $64 $607 $10,402 $31,933 $104 $14,254 $2,769 $98 $111,828 $52,948 $66 $623 $10,832 $32,564 $106 $14,627 $2,823 $100 $114,689 $1,351 $2 $16 $430 $631 $2 $373 $54 $2 $2,861 - - - - $1,074 $997 $77 $341 $3,302 $3,038 $385 $9,214 $712 $661 $51 $226 $2,191 $2,015 $385 $6,241 $713 $662 $51 $226 $2,191 $2,016 $385 $6,244 $1 $1 $1 $3 Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year Total, Adjustments - - - - Total Requirements $110,554 759 $118,069 889 $120,933 897 $2,864 8 Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.2 Rental Payments to Others 25.2 Other Services from Non-Federal Sources 25.8 Subsistence & Support of Persons 26.0 Supplies and Materials 42.0 Insurance Claims and Indemnities Total, Other Object Classes Full Time Equivalents CG-AC&I-90 L. Permanent Positions by Grade Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements Military Permanent Positions by Grade Grades and Salary Range O-8 O-6 O-5 O-4 O-3 O-2 CWO E-9 E-8 E-7 E-6 E-5 E-4 Total Permanent Positions Total Perm. Employment EOY Headquarters Military Positions U.S. Field Military Total, Acquisition, Construction and Improvements: FTE Average Grade, Officer Positions Average Salary, Officer Positions Average Salary, Enlisted Positions Average Grade, Enlisted Positions CG-AC&I-91 FY 2015 Revised Enacted Pos. 2 18 43 85 83 3 49 4 12 43 37 27 15 421 421 138 283 421 FY 2016 FY 2017 Enacted Request Pos. 2 18 43 86 85 3 49 4 12 43 37 27 15 424 424 141 283 424 Pos. 2 18 43 86 85 3 49 4 12 43 37 27 15 424 424 141 283 424 FY 2016 to FY 2017 Change Total - 367 423 424 1 4 128,214 78,977 6 4 128,541 77,058 6 4 130,643 78,794 6 2,102 1,736 - Department of Homeland Security U.S. Coast Guard Acquisition, Construction and Improvements Civilian Permanent Positions by Grade Grades and Salary Range Total, SES GS-15 GS-14 GS-13 GS-12 GS-11 GS-10 GS-9 GS-8 GS-7 GS-6 Other Graded Positions Total Permanent Positions Unfilled Positions EOY Total Perm. Employment (Filled Positions) EOY Headquarters U.S. Field Total, Acquisition, Construction and Improvements: FTE Average Personnel Costs, ES Positions Average Personnel Costs, GS Positions Average Grade, GS Positions CG-AC&I-92 FY 2015 Revised Enacted Pos. 2 37 136 196 74 17 1 4 3 4 2 1 477 68 409 271 206 477 FY 2016 FY 2017 Enacted Request Pos. 2 39 138 204 75 17 1 4 3 4 2 1 490 75 415 284 206 490 Pos. 2 39 138 204 75 17 1 4 3 4 2 1 490 70 420 284 206 490 FY 2016 to FY 2017 Change Total (5) 5 - 392 466 473 7 222,900 141,886 13 224,621 142,778 13 218,700 142,534 13 (5,921) (244) - M. Changes in Full Time Employment BASE: Year End Actual from Prior Year Increases Year End Actuals/Estimated FTEs: Net Change from prior year base to Budget Year Estimate CG-AC&I-93 FY 2015 721 FY 2016 759 FY 2017 889 38 130 8 759 38 889 130 897 8 Department of Homeland Security United States Coast Guard Research, Development, Test and Evaluation ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ..................................................................................................................................... 21 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language.................................................................................................................21 Summary of Fee Collections and Carryover .......................................................................................................................22 Summary of Reimbursable Resources ..................................................................................................................................23 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................24 Capital Investment and Construction Initiative Listing....................................................................................................25 Object Class Breakout by Appropriation .............................................................................................................................26 Object Class Breakout by PPA ...............................................................................................................................................28 Permanent Positions by Grade ................................................................................................................................................30 Changes in Full Time Employment ......................................................................................................................................32 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Research, Development, Test and Evaluation 96 87 $17,892 96 96 $18,019 96 96 $18,319 - - $300 Total, Research, Development, Test and Evaluation 96 87 $17,892 96 96 $18,019 96 96 $18,319 - - $300 Subtotal, Enacted Appropriations & Budget Estimates 96 87 $17,892 96 96 $18,019 96 96 $18,319 - - $300 - - [$500] - - [$500] - - [$500] - - - 96 87 $17,892 96 96 $18,019 96 96 $18,319 - - $300 OSLTF Contribution Net, Enacted Appropriations and Budget Estimates: 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Research, Development, Test and Evaluation (RDT&E): Research, Development, Test, and Evaluation (RDT&E) funding sustains critical Coast Guard mission capabilities through applied research, testing, development, and evaluation programs. Several programs include partnerships with the Department of Homeland Security (DHS), the Department of Defense (DoD), or other Federal or private research organizations. B. Budget Activities: The RDT&E program is comprised of the Office of RDT&E at Coast Guard Headquarters in Washington, D.C., and the Research and Development Center (RDC) at New London, Conn. The RDC is the Coast Guard’s sole facility performing applied RDT&E experimentation and demonstrations. The RDT&E activities sustain program infrastructure and core capabilities, knowledge, skills, experience, and facilities to give the Coast Guard a strong evidence-based foundation for operational and capital investment decision­ CG-RDT&E-3 making. Activities include formulation and oversight of cooperative agreements with relevant professionals in the public and private sectors, such as University Affiliated Research Centers (UARC) and Federally Funded Research & Development Centers (FFRDC). These agreements promote collaboration and leverage expertise and the development of techniques, methods, hardware, and systems that directly contribute to increasing productivity and effectiveness of Coast Guard missions. C. Budget Request Summary: The FY 2017 request funds 96 positions, 96 FTE, and $18.319 million for RDT&E. This request provides necessary resources to develop technologies and systems that improve operational presence and response, as well as perform technology assessments to inform the early stages of the acquisition process. Of the funds requested, $0.5 million is derived from the Oil Spill Liability Trust Fund as authorized by the Oil Pollution Act of 1990 (33 USC § 2701-2761). CG-RDT&E-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Annualization of 2016 Military and Civilian Pay Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances Total, Increases Decreases 2016 Civilian Compensable Work Day Total, Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-RDT&E-5 Pos. 96 96 - FTE 87 96 - Amount $17,892 $18,019 $300 - - $155 $19 $135 $18 $12 $339 96 96 - 96 96 - ($39) ($39) $300 $18,319 $18,319 $300 C. FY 2017 Investment Summary - Appropriation Level Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Research, Development, Test and Evaluation FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Research, Development, Test and Evaluation Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Annualization of 2016 Military and Civilian Pay Current Services Raise 2017 Military Pay Raise 2017 Civilian Pay Raise 2017 Military Allowances 2017 Civilian Allowances 2016 Civilian Compensable Work Day Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions 96 96 FTE 87 96 Amount 17,892 18,019 96 - 96 - 155 19 135 18 12 (39) 18,319 300 PPA DESCRIPTION: The RDT&E Program identifies and examines existing or impending challenges in the Coast Guard’s operational, regulatory, and support programs. Leveraging partnerships with academia, other government agencies and private industry, the RDT&E Program develops scientific and technological-based solutions and executes technology transfer Cooperative Research and Development Agreements (CRADAs). The program also conducts risk analysis and provides services in the pre-acquisition process of major and non-major acquisition projects. . The FY 2017 request supports several Research Focus Areas: CG-RDT&E-7 Unmanned Systems Arctic Operations Sensor Optimization, Automation and Visualization Intelligence and Cyber Waterways Management and Environmental Response Operational Performance Improvements and Modeling Unmanned Systems Description: Assess and evaluate small Unmanned Aerial Systems (sUAS) and Unmanned Maritime (surface) Vehicles (UMVs), for surveillance, detection, classification, and identification missions; develop and test advanced sUAS and UMV payloads (direction finding, SIGINT, underwater acoustic classification) in partnership with both industry and DoD; initiate investigation into Unmanned System threats to maritime sector/first responders; and develop applications of the uses of Unmanned Systems beyond traditional surveillance operations. Prior Year Key Events: • Assessed state-of-the-market/technology for both sUAS AND UMVs; • Developed a matrix of potential Coast Guard uses of Unmanned Systems for other than surveillance purposes; • Conducted field evaluations of sUAS in realistic maritime security and first responder scenarios. Current Year Key Events: • Conduct technology demonstration and field evaluation of UMVs with various sensor payloads; • Identify, evaluate, and integrate small UAS and conduct tests on advanced UAS sensor systems; • Conduct field evaluations to address known technological gaps in the maritime environment sUAS field. Budget Year Key Events: • Conduct technology demonstration of tethered Aerial Surveillance Systems to extend surface vessel sensor range; • Analyze results of field evaluation of advanced sensors on sUAS to determine mission performance impact; • Conduct field evaluations of sUAS in various environmental conditions. CG-RDT&E-8 Funding History: (Thousands) FY14 FY15 FY16 $2,210 $1,246 $796 Project Schedule Including Milestones: FY 2016: • Expanded Use of Unmanned Systems to Non-Surveillance Activities Report • (UMV) for CG Missions Technology Demonstration • sUAS Site Evaluation Study Report • UMV for CG Missions Demonstration Test Report • Tethered Aerial Surveillance and Communication Systems (TASCS) Demonstrations FY 2017: • Evaluate NextGen Sensors on Target Set • Operational Utility of TASCS Technology Report • Conduct sUAS DF Payloads Demonstration • Submit Post-Demonstration Modeling Report • Advanced sUAS Sensors Investigations Final Report • sUAS DF Payloads Final Report Type of Research: • Unmanned Systems research consists of applied research through system development. Technical Readiness Level: • Unmanned Systems research includes concepts and technology spanning technology readiness levels 3 through 7. Arctic Operations Description: Evaluate and test solutions to Arctic maritime communication challenges; continue development and testing of the next generation arctic navigation safety information system with private and public partnerships; plan and lead the monthlong Arctic Shield 2017 multi-agency and academic technology demonstrations; and continue to develop cutter boat shore transfer capability in remote areas. CG-RDT&E-9 Prior Year Key Events: • Conducted field testing and evaluation of Navigation, Communications, and Detection (NC&D) Equipment for Ice Rescue Teams; • Conducted technology demonstrations for Oil in Ice spill response equipment; • Conducted test of Arctic Navigation Safety Information System (ANSIS) prototype; • Conducted evaluation of various communications technologies for reliable maritime communications in the Arctic. Current Year Key Events: • Conduct follow-on evaluation of various communications technologies for reliable maritime communications in the Arctic; • Conduct follow-on technology demonstrations for Oil in Ice spill response equipment. Budget Year Key Events: • Develop guide for Federal On Scene Coordinator (FOSC) with respect to technology use for response to Oil in Ice spills; • Assess mariner utilization of Arctic Navigation Safety Information System (ANSIS) prototype; • Complete evaluation of various communications technologies for reliable maritime communications in the Arctic. Funding History: (Thousands) FY14 FY15 FY16 $5,080 $5,018 $5,065 Project Schedule Including Milestones: FY 2016: • Develop and build ANSIS Technology Demonstration System (Next Gen NAVTEX Beta Test) FY2017: • Arctic Technology After Action Report 2016 • Final Report Oil in Ice Input for FOSC Guide • ANSIS Technology Demonstration Report CG-RDT&E-10 Type of Research: • Arctic research consists of applied research through system development. Technical Readiness Level: • Arctic research includes concepts and technology spanning technology readiness levels 3 through 7. Sensor Optimization, Automation and Visualization Description: Evaluate electro-optical and mid-wave infrared sensor systems impacts to search planning; pilot a Mobile Modular Maritime Domain Awareness (M3DA) capability in partnership with DHS S&T University Program; test the application and potential mission improvement of immersive sensors, handheld technologies, and personnel protective equipment; develop and evaluate alternative visual distress signals and contraband markers. Prior Year Key Events: • Developed and tested a unique, conspicuous visual distress signal to serve as a possible alternative to red hand-flares in the carriage requirements for domestic recreational boats; • Conducted field evaluations of various sensors for detection, mapping, and reporting oil spills; • Developed and tested a prototype abandoned object and vessel marker to support Over The Horizon (OTH) CG activities and boat marking systems for adrift and abandoned boats. Current Year Key Events: • Conduct Joint Task Force technology demonstration to determine applicability of interagency sensors (land-based, surface and airborne) and communications systems that meet defined mission needs; • Conduct field evaluation of the latest Night Vision Device technology. Budget Year Key Events: • Develop and evaluate new methods for planning multi-sensor and electro-optical searches; • Develop and conduct a technology demonstration for a Distributed Aperture System to improve the situational awareness of boat coxswains; • Conduct a technology assessment of ways to provide protection for Coast Guard aviators from the increasing incidents of laser strikes. CG-RDT&E-11 Funding History: (Thousands) FY14 FY15 FY16 $1,800 $2,574 $2,059 Project Schedule Including Milestones: FY2017: • Automatic Transport of SAR Patterns Fixed Wing Test • Distributed Aperture System Demonstration • Mobile Modular Maritime Domain Awareness (M3DA) Summary Report • Automatic Transport of SAR Patterns Rotary Wing Test • Joint Demonstration Report for Distributed Aperture System for Surface Asset Sensors • Automatic Transport of SAR Patterns Final Summary Report Type of Research: • Sensor Optimization, Automation and Visualization consists of applied research through system development. Technical Readiness Level: • Sensor Optimization Automation and Visualization includes concepts and technology spanning technology readiness levels 3 through 7. Intelligence and Cyber Description: Work with port partners and leverage DoD and National Protection and Programs Directorate (NPPD) technologies to evaluate existing cyber-security tools for port critical infrastructure protection and resilience. Investigate enhanced intelligence collection technologies and new analytic techniques to improve Intelligence, Surveillance, and Reconnaissance (ISR), Tasking, Collection, Processing, Exploitation, and Dissemination (TCPED) capability and opportunity for criminal prosecution. Prior Year Key Events: • Investigated cyber-based vulnerabilities of, and threats to, Wireless Application Protocol (WAP)-enabled Critical Infrastructure/Key Resources within our maritime port facilities; CG-RDT&E-12 • Conducted demonstrations to seamlessly and securely integrate Next Generation 9-1-1 Public Safety Answering Point (PSAP) distress calls with Coast Guard enterprise systems in support of the Search and Rescue mission; • Conducted a technical and operational comparative analysis of satellite-based imagery for potential use in North Atlantic Iceberg detection; • Conducted market research, identify, and assess state of the market Commercial/Government Off the Shelf geo­ locating system(s) to improve geo-positioning of maritime distress and distress hoax locations; • Conducted a demonstration of integrated tactical communications/data between NORTHCOM, Joint Task Force Operations Center and Coast Guard District and Sector assets. Current Year Key Events: • Evaluate risk assessment tools used to manage cyber security at port facilities; • Conduct evaluation of various alternatives to provide tactical communications for rapidly sharing data among Sectors and mobile assets; • Conduct technology demonstration of new technology geo-location systems; • Develop a prototype flexible communications/information system to enhance the ability to transfer information that will assist during field operations; • Partner with DHS S&T to conduct studies of voice and social media forensics. Budget Year Key Events: • Conduct evaluation of vulnerability/threat/consequence chain mitigations through technology implementations; • Develop an IT system modeling tool that allows engineers to accurately predict the impact a proposed application, a sub-system failure, or software/hardware obsolescence will have on Coast Guard IT systems; • Conduct field evaluations to enable regulation to safeguard critical information in the Marine Transportation System; • Select and test technology that will unambiguously mark fixed and moving security zones. Funding History (Thousands) FY14 FY15 FY16 $2,302 $2,317 $2,554 CG-RDT&E-13 Project Schedule Including Milestones: FY 2016: • Cyber Security Risk Assessment Tools Report • Long-Term Solution to Communicate Exclusion Zones Field Evaluation • Maritime Geo-Fence Tech Demonstration Report FY2017: • Demonstrate C4IT Enterprise Forecast Visualization Tool (C-EFVT) • MTS Vulnerabilities, Consequences and Mitigations Report • Report on Long-Term Solution Field Evaluation Type of Research: • Intelligence and Cyber research consists of applied research through technology demonstrations. Technical Readiness Level: • Intelligence and Cyber includes concepts and technologies spanning technology readiness levels 3 through 6. Waterways Management and Environmental Response Description: Provide technical expertise in the areas of pollution prevention and response, non-indigenous species, and fisheries management. Develop and test Insitu Burning (ISB) countermeasure technologies and continue investigation into viability of wellhead ignition ISB. Research and develop solutions for detection and mitigation of oil and oil products on the surface and in the water column. Develop and test technologies to replace traditional buoys and mooring systems with environmentally friendly systems or electronic navigation systems. Prior Year Key Events: • Conducted analysis of Oil Sands Products spill behavior and potential issues and technologies to respond; • Conducted technology demonstrations of a prototype flexible interoperable communication/information system to enhance the ability to transfer information for personnel responding to an Incident Of National Significance (e.g., oil spill); • Completed prototype development for a data recording system for record boat operations for use in engineering, safety, and training functions. CG-RDT&E-14 Current Year Key Events: • Assess the capabilities and limitations of offshore wellhead ignition as a spill response tool; • Conduct field testing of alternative robotic technologies for performing remote area assessments in unsafe environments; • Conduct field evaluations of the operational performance of diesel outboard engines for Coast Guard boats. Budget Year Key Events: • Develop a prototype Equipment Surge Risk Assessment Tool to support FOSC decision making; • Demonstrate benefits and demands posed by e-Nav technology to inform maritime security, safety, and mobility requirements in the Western Rivers; • Develop new spill response technologies that detect and mitigate oil within the water column down to 10,000 feet; • Develop navigational safety risk assessment tool for coastal wind farms sighting. Funding History: (Thousands) FY14 FY15 FY16 $3,647 $3,576 $2,932 Project Schedule Including Milestones: FY 2016: • Environmentally Friendly Buoy Mooring System Prototype Design Report FY2017: • Mobile Asset Tracking and Reporting During an IONS Technology Demonstrations • System Integration with COTS IAP Software Test Results and Recommendations (Report) • Environmentally Friendly Buoy Mooring System Prototype Testing • Environmentally Friendly Buoy Mooring System Prototype Development Report • Western Rivers Electronic Aids to Navigation (e-AtoN) Demonstration • Develop Equipment Surge Risk Assessment Tool (ESRAT) Conceptual Model • Validate ESRAT Conceptual Model with Stakeholders CG-RDT&E-15 Type of Research: • Waterways Management and Environmental Response research consists of applied research through systems development. Technical Readiness Level: • Waterways Management and Environmental Response includes concepts and technologies spanning technology readiness levels 3 through 7. Operational Performance Improvements and Modeling Description: Develop enhancements to campaign-level modeling capability for Coast Guard-wide asset allocation and force structure decision support. Continue development and roll-out support of innovative interdiction patrol tactics using probabilistic-based search and game theory techniques. Investigate applications of modeling and simulation to evaluate and improve Coast Guard analytic competencies (mission analysis, crew efficiency, manpower requirements, C4IT obsolescence). Investigate technologies for improving overall mission performance such as automatic transport of SAR patterns, mobile technology for data entry, and boarding team equipment for Coast Guard fleet implementation. Prior Year Key Events: • Completed concept development and evaluation of innovative interdiction patrol tactics; • Initiated limited field evaluation of Non-Lethal Impact Munitions; • Developed a Game Theoretic Fish Patrol Schedule model to improve effectiveness and efficiency of the Living Marine Resources mission; • Completed hardware and software build of next generation CGMOES; • Developed a Port Resilience Operational/Tactical Enforcement to Counter Terrorism (PROTECT) Force Distribution Model that schedules multiple Coast Guard patrolling assets. Current Year Key Events: • Develop Port Resiliency Decision Toolkit prototype; • Conduct testing of next generation CGMOES; • Conduct simulator testing of aviation Tactile Situational Awareness System; • Develop an adaptive, multi-stage campaign-modeling approach to analyze alternative adversary tactical strategies. CG-RDT&E-16 Budget Year Key Events: • Conduct a field technology demonstration of a prototype flexible communications/information system; • Develop and test a prototype Radio Frequency Vessel Stopping system; • Develop a simulation framework for development of mass migration planning tool. Funding History: (Thousands) FY14 FY15 FY16 $4,691 $2,683 $3,630 Project Schedule Including Milestones: FY 2016: • Less-than-Lethal Radio Frequency Vessel Stopping Technologies (RFVS) Report • Conduct Three-Dimensional (3D) Printing Trial • Innovative Interdiction Patrol Tactics Proof of Concept Analysis Report • Tactical Communications to Enhance Coast Guard Operations Technical Demonstration • Innovative Interdiction Patrol Tactics Multi-stage Campaign Modeling Evaluation FY2017: • Interdiction Tactical Patrol Scheduling Evaluation Report • Conduct Field Test/Demonstration of Over the Horizon Cutter Boat (OTH-CB) Vectoring Alternative Solution • Build RFVS Demonstrator • Non-Lethal Impact Munitions (NLIM)Limited User Evaluation Summary Letter Report • RFVS FY16 Report • Tactical Communications Report & Transition Assessment • Results of OTH-CB Vectoring Alternative Evaluation & Recommendations • Developmental Test and Evaluation of RFVS Prototype • Investigation of 3D Printing Technology for Coast Guard Applications Report • Mobile Technology for Operational Efficiency Demonstration • Mobile Technology for Operational Efficiency: System Test Results and Recommendations CG-RDT&E-17 Type of Research: • Operational Performance Improvements and Modeling research consists of applied research through system development. Technical Readiness Level: • Operational Performance Improvements and Modeling includes concepts and technologies spanning technology readiness levels 3 through 7. CG-RDT&E-18 Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted1 Civilian Total Military Total FY 2016 Enacted FY 2017 Request FY 2016 to 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 76 72 $10,479 $145 79 79 $10,994 $139 79 79 $11,236 $142 $242 $3 20 15 $1,739 $115 17 17 $1,842 $108 17 17 $1,900 $112 $58 $4 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. The use of FY 2015 FTE Actuals and FY2015 Revised Enacted Budgetary Resources in the Pay Cost Drivers Exhibit may reflect a higher average FTE Cost than represented in the FY 2016 Enacted or FY 2017 Request average cost columns. NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: None • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 military and civilian (1.3 percent) pay raise. Provides funding for the FY 2017 military and civilian (1.6 percent) pay raise. Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. • Average Cost Change FY 2016-2017: Average cost change is due to the increased personnel costs related to the pay raise and personnel benefits being allocated to the same number of FTE appropriated in FY 2016. • Bonuses and Performance Awards: FY 2017 request estimates $71 thousand for bonuses and performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. CG-RDT&E-19 Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Research, Development, Test and Evaluation 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Research, Development, Test, and Evaluation Activities $4,028 Management and Administration $1,646 Total $5,674 $3,411 $1,773 $5,184 $3,304 $1,880 $5,184 FY 2016 to FY 2017 Change ($107) $107 ($0) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • FY 2017 Research, Development, Test and Evaluation Activities: These costs are based on planned expenditures for research initiatives. Main cost drivers include technical and research contracts, as well as procurement of equipment and supplies. Minor decreases to this cost driver reflect the anticipated research portfolio and associated funding requirements. • FY 2017 Management and Administration: Costs increase is due to increased rental payments to the General Services Administration (GSA). This increase is driven by rent requirements of the Research and Development Center located in New London, Connecticut. CG-RDT&E-20 Schedule III – Other Exhibits E. Justification of Proposed Legislative Language Department of Homeland Security United States Coast Guard Research, Development, Test and Evaluation For necessary expenses for applied scientific research, development, test, and evaluation; and for maintenance, rehabilitation, lease, and operation of facilities and equipment[;],1 as authorized by law; [$18,019,000]$18,319,0002, to remain available until September 30, [2018]20193, of which $500,000 shall be derived from the Oil Spill Liability Trust Fund to carry out the purposes of section 1012(a)(5) of the Oil Pollution Act of 1990 (33 U.S.C. 2712(a)(5)): Provided, That there may be credited to and used for the purposes of this appropriation funds received from State and local governments, other public authorities, private sources, and foreign countries for expenses incurred for research, development, testing, and evaluation. Language Provision 1 … [;], 2 … [$18,019,000]$18,319,000 3 … [2018]2019 Explanation Grammar change only. No substantial change proposed. Dollar change only. No substantial change proposed. Fiscal year change only. No substantial change proposed. CG-RDT&E-21 F. Summary of Fee Collections and Carryover G. Summary of Reimbursable Resources Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Summary of Reimbursable Resources (Dollars in Thousands) Collections by Source: Bureau of Safety and Environmental Enforcement U.S. Environmental Protection Agency Other Federal Agencies Department of Army Department of Navy Department of Homeland Security Total Budgetary Resources FY 2015 Revised Enacted Pos FTE Amount $260 $1,565 $1,684 $3,509 Obligations by Program/Project Activity: Oil in Water Column Other Project Activity Financial Acquisition Asset Management System Ballast Water Management Systems (BWMS) Robotic Aircraft for Marine Public Safety (RAMPS) Improved In-Situ Burn for Offshore Use Airborne Sensing Innovation Testing and Deployment (DHS) Invasive Species Port Resiliency Technology Transfer Homeport Internet Portal (HIP) Transition Analysis Cyber (DHS) Joint Requirements Council GLRI BW Other - Practicability Response to Oil in Ice JMTD/NAVY Joint Project and Support Total Obligations FY 2015 Revised Enacted Pos FTE Amount $423 $461 $260 $865 $800 $700 $3,509 Pos Pos FY 2016 Enacted FTE Amount $750 $1,900 $1,000 $200 $200 $6,500 - $10,550 FY 2016 Enacted FTE Amount $250 $1,000 $500 $300 $150 $200 $4,000 $750 $1,000 $1,000 $900 $450 $50 - $10,550 CG-RDT&E-23 Pos Pos FY 2017 Request FTE Amount $750 $1,500 $400 $200 $50 $3,750 $6,650 Increase/Decrease Pos FTE Amount ($400) ($600) ($150) - ($2,750) - ($3,900) FY 2017 Request FTE Amount $400 $200 $1,000 $750 $2,000 $1,000 $750 $500 $50 $6,650 Increase/Decrease Pos FTE Amount ($250) ($600) ($500) ($300) ($150) - ($4,000) $1,000 $2,000 ($250) ($900) $50 - ($3,900) H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 1. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits $7,985 $147 $86 $397 $1,230 $4 $2,261 $104 $4 $12,218 $8,500 $147 $86 $500 $1,230 $4 $2,261 $104 $4 $12,836 $8,675 $150 $88 $518 $1,267 $4 $2,323 $107 $4 $13,136 $175 $3 $2 $18 $37 $62 $3 $300 $478 $55 $1,268 $56 $381 $1,520 $26 $8 $2,548 $123 $607 $266 $17 $7,353 $729 $84 $1,277 $85 $581 $2,317 $40 $12 $3,884 $188 $925 $405 $17 $10,544 $306 $35 $1,286 $36 $244 $858 $17 $5 $1,630 $79 $501 $169 $17 $5,183 ($423) ($49) $9 ($49) ($337) ($1,459) ($23) ($7) ($2,254) ($109) ($424) ($236) ($5,361) $19,571 $23,380 $18,319 ($6,413) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 26.0 Supplies and Materials 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes Total, Direct Obligations CG-RDT&E-26 Object Classes 2015 Revised Enacted 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements1 1 ($6,205) $5,361 ($6,528) ($5,361) - - $5,361 - $12,199 $18,019 $18,319 $300 Excludes reimbursable requirements. CG-RDT&E-27 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits 11.1 Full-time Permanent 11.3 Other than Full-Time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 11.8 Special Personal Services Payments 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits FY 2015 Revised Enacted - FY 2017 Request - FY 2016 to FY 2017 Change - $7,985 $147 $86 $397 $1,230 $4 $2,261 $104 $4 $12,218 $8,500 $147 $86 $500 $1,230 $4 $2,261 $104 $4 $12,836 $8,675 $150 $88 $518 $1,267 $4 $2,323 $107 $4 $13,136 $175 $3 $2 $18 $37 $62 $3 $300 - - - - $478 $55 $1,268 $56 $381 $1,520 $26 $8 $2,548 $123 $607 $266 $17 $7,353 $729 $84 $1,277 $85 $581 $2,317 $40 $12 $3,884 $188 $925 $405 $17 $10,544 $306 $35 $1,286 $36 $244 $858 $17 $5 $1,630 $79 $501 $169 $17 $5,183 ($423) ($49) $9 ($49) ($337) ($1,459) ($23) ($7) ($2,254) ($109) ($424) ($236) ($5,361) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.1 Rental Payments to GSA 23.2 Rental Payments to Others 23.3 Communications, Utilities, and Misc. Charges 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 25.6 Medical Care 26.0 Supplies and Materials 31.0 Equipment 42.0 Insurance Claims and Indemnities Total, Other Object Classes FY 2016 Enacted CG-RDT&E-28 Object Classes FY 2015 Revised Enacted Adjustments FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($6,205) $5,361 ($6,528) ($7,372) ($5,361) ($5,361) - $5,361 $5,361 Total Requirements $12,199 87 $18,019 96 $18,319 96 $300 - Full Time Equivalents CG-RDT&E-29 L. Permanent Positions by Grade Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Military Permanent Positions by Grade Grades and Salary Range O-6 O-5 O-4 O-3 CWO E-7 E-6 E-4 E-3 Total Permanent Positions Total Perm. Employment EOY Headquarters Military Positions U.S. Field Military Total, Research, Development, Test and Evaluation: FY 2015 Revised Enacted Pos. 2 1 3 7 1 1 3 1 1 20 15 2 18 20 FY 2016 FY 2017 Enacted Request Pos. 2 1 3 7 2 1 1 17 17 2 15 17 Pos. 2 1 3 7 2 1 1 17 17 2 15 17 FY 2016 to FY 2017 Change Total - 15 17 17 - 127,434 4 68,601 5 131,438 4 59,952 5 131,318 4 61,649 5 (120) 1,697 - FTE Average Salary, Officer Positions Average Grade, Officer Positions Average Salary, Enlisted Positions Average Grade, Enlisted Positions CG-RDT&E-30 Department of Homeland Security U.S. Coast Guard Research, Development, Test and Evaluation Civilian Permanent Positions by Grade Grades and Salary Range GS-15 GS-14 GS-13 GS-12 GS-11 GS-9 GS-8 GS-7 GS-6 GS-5 Other Graded Positions Total Permanent Positions Total Perm. Employment (Filled Positions) EOY Headquarters U.S. Field Total, Research, Development, Test and Evaluation: FY 2015 Revised Enacted Pos. 4 14 32 20 1 1 2 1 1 76 72 5 71 96 FY 2016 FY 2017 Enacted Request Pos. 3 16 31 22 1 1 1 2 1 1 79 76 5 74 96 Pos. 3 16 31 22 1 1 1 2 1 1 79 79 5 74 96 FY 2016 to FY 2017 Change Total 3 - 72 79 79 - 132,863 13 133,477 13 132,144 13 (1,333) - FTE Average Personnel Costs, GS Positions Average Grade, GS Positions CG-RDT&E-31 M. Changes in Full Time Employment Department of Homeland Security United States Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ....................................................................................................................................... 9 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language...................................................................................................................9 Summary of Fee Collections and Carryover .......................................................................................................................10 Summary of Reimbursable Resources ..................................................................................................................................11 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................12 Capital Investment and Construction Initiative Listing....................................................................................................13 Object Class Breakout by Appropriation .............................................................................................................................14 Object Class Breakout by PPA ...............................................................................................................................................15 Permanent Positions by Grade ................................................................................................................................................16 Changes in Full Time Employment ......................................................................................................................................17 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 20151 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Medicare-Eligible Retiree Health Care Fund Contribution - - $176,970 - - $168,847 - - $160,899 - - ($7,948) Total, Medicare-Eligible Retiree Health Care Fund Contribution - - $176,970 - - $168,847 - - $160,899 - - ($7,948) Subtotal, Enacted Appropriations & Budget Estimates - - $176,970 - - $168,847 - - $160,899 - - ($7,948) Less: Adjustments for Other Funding Sources - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $176,970 - - $168,847 - - $160,899 - - ($7,948) Overview A. Mission Statement for Medicare-Eligible Retiree Health Care Fund Contribution: The Medicare-Eligible Retiree Health Care Fund Contribution (MERHCF) funds accrual of the Coast Guard’s military Medicareeligible health benefit contribution to the Department of Defense (DoD) Medicare-Eligible Retiree Health Care Fund. Contributions are for future Medicare-eligible retirees, as well as retiree dependents and their potential survivors. The authority for the Coast Guard to make this payment on an annual basis is provided in P.L. 108-375, the 2005 Defense Appropriations Act. While this expenditure requires no annual action by Congress, it is scored as discretionary spending. B. Budget Request Summary: The FY 2017 President's Budget estimates that the Coast Guard's contributions will be $160.899 million for Medicare-Eligible Retiree Health Care Fund Contribution. The total adjustment-to-base is a decrease $7,948,000. In the FY 2017 Budget, DoD proposes a multi-year plan to replace the three current TRICARE plans with a consolidated TRICARE Health Plan. The 2017 proposals would CG-HCF-3 increase co-pays for pharmaceuticals and implement an enrollment fee for new TRICARE-for-Life (TFL) beneficiaries (similar to the reforms proposed in the FY 2016 Budget). This request will be paid to the DoD Medicare-Eligible Retiree Health Care Fund to support the benefits outlined above. The Coast Guard’s annual budget estimate for MERHCF is calculated by multiplying the projected average force strength (FTE) by DoD actuary projected normal cost rates for active duty and reserve personnel. CG-HCF-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Base Adjustments Total, Increases Decreases 2017 Pharmacy Copay Accrual Saving 2017 TFL Enrollment Fee Accrual Saving Total, Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-HCF-5 Pos. - FTE - Amount $176,970 $168,847 ($7,948) - - $6,659 $6,659 - - ($7,629) ($6,978) ($14,607) ($7,948) $160,899 $160,899 ($7,948) C. FY 2017 Investment Summary - Appropriation Level CG-HCF-6 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Medicare-Eligible Retiree Health Care Fund Contribution Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Current Services Base Adjustments 2017 Pharmacy Copay Accrual Saving 2017 TFL Enrollment Fee Accrual Saving Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 176,970 168,847 6,659 (7,629) (6,978) 160,899 (7,948) PPA DESCRIPTION: The FY 2017 President's Budget estimates that the Coast Guard's contributions will be $160.899 million for Medicare-Eligible Retiree Health Care Fund Contribution. The total adjustment-to-base is a decrease of $7,948,000. In the FY 2017 Budget, DoD proposes a multi-year plan to replace the three current TRICARE plans with a consolidated TRICARE Health Plan. CG-HCF-7 Department of Homeland Security U.S. Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Medicare-Eligible Retiree Health Care Fund Contribution 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) Medicare-Eligible Retiree Health Care Fund Contribution $176,970 $168,847 Total $176,970 $168,847 $160,899 $160,899 FY 2016 to FY 2017 Change ($7,948) ($7,948) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Medicare-Eligible Retiree Health Care Fund Contribution: Funds accrual of the Coast Guard's military Medicare-eligible health benefit contribution to the DoD Medicare-Eligible Retiree Health Care Fund based. Contributions are for future Medicare-eligible retirees, as well as retiree dependents and their potential survivors. The 2017 proposals would increase co­ pays for pharmaceuticals and implement an enrollment fee for new TRICARE-for-Life (TFL) beneficiaries (similar to the reforms proposed in the FY 2016 Budget). CG-HCF-8 I Schedule Other Exhibits E. Justi?cation of Proposed Legislative Language CG-HCF-9 F. Summary of Fee Collections and Carryover CG-HCF-IO G. Summary of Reimbursable Resources H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity CG-HCF-12 1. Capital Investment and Construction Initiative Listing CG-HCF-13 J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 12.2 Military Personnel Benefits Total, Personnel Compensation and Benefits Total, Direct Obligations $176,970 $176,970 $168,847 $168,847 $160,899 $160,899 ($7,948) ($7,948) $176,970 $168,847 $160,899 ($7,948) - - - - $176,970 $168,847 $160,899 ($7,948) Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements CG-HCF-14 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Medicare-Eligible Retiree Health Care Fund Contribution Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits 12.2 Military Personnel Benefits Total, Personnel Compensation and Benefits FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $176,970 $176,970 $168,847 $168,847 $160,899 $160,899 ($7,948) ($7,948) Other Object Classes - - - - Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations - - - - $176,970 - $168,847 - $160,899 - ($7,948) - Total Requirements Full Time Equivalents CG-HCF-15 L. Permanent Positions by Grade CG-HCF-16 M. Changes in Full Time Employment CG-HCF-17 Department of Homeland Security United States Coast Guard Retired Pay ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ....................................................................................................................................... 9 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language...................................................................................................................9 Summary of Fee Collections and Carryover .......................................................................................................................10 Summary of Reimbursable Resources ..................................................................................................................................11 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................12 Capital Investment and Construction Initiative Listing....................................................................................................13 Object Class Breakout by Appropriation .............................................................................................................................14 Object Class Breakout by PPA ...............................................................................................................................................15 Permanent Positions by Grade ................................................................................................................................................16 Changes in Full Time Employment ......................................................................................................................................17 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Retired Pay Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Retired Pay - - $1,450,626 - - $1,604,000 - - $1,666,940 - - $62,940 Total, Retired Pay - - $1,450,626 - - $1,604,000 - - $1,666,940 - - $62,940 Subtotal, Enacted Appropriations & Budget Estimates - - $1,450,626 - - $1,604,000 - - $1,666,940 - - $62,940 Less: Adjustments for Other Funding Sources - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $1,450,626 - - $1,604,000 - - $1,666,940 - - $62,940 Overview A. Mission Statement for Retired Pay: The Retired Pay (RP) appropriation provides payments as identified under the Retired Serviceman's Family Protection and Survivor Benefits Plans, and other retired personnel entitlements identified under prior-year National Defense Authorization Acts. This appropriation includes payment for medical care of retired personnel and their dependents. B. Budget Request Summary: The FY 2017 President's Budget estimates that the Coast Guard’s contributions will be $1.667 billion for Retired Pay. The total adjustment-to-base is an increase of $62,940,000 for FY 2017 Actuarial Adjustments. In the FY 2017 Budget, DoD proposes a multiyear plan to replace the three current TRICARE plans with a consolidated TRICARE Health Plan. The 2017 proposals would increase co-pays for pharmaceuticals and implement an enrollment fee for new TRICARE-for-Life (TFL) beneficiaries (similar to the reforms CG-RP-3 proposed in the FY 2016 Budget). This request supports the benefits outlined above and remains available until expended. The Retired Pay appropriation is scored as a mandatory appropriation. CG-RP-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Retired Pay FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Retired Pay Contribution Increases Total, Increases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-RP-5 Pos. - FTE - Amount $1,450,626 $1,604,000 $62,940 - - $62,940 $62,940 $62,940 $1,666,940 $1,666,940 $62,940 C. FY 2017 Investment Summary - Appropriation Level CG-RP-6 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Retired Pay FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Retired Pay Prior Year Base Current Services Budget Year FY 2015 Revised Enacted FY 2016 Enacted Retired Pay Contribution Increases FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 1,450,626 1,604,000 62,940 1,666,940 62,940 PPA DESCRIPTION: The Retired Pay (RP) appropriation provides payments as identified under the Retired Serviceman’s Family Protection and Survivor Benefits Plans and other retired personnel entitlements identified under the National Defense Authorization Act. It also provides payment for medical care of retired personnel and their dependents. In the FY 2017 Budget, DoD proposes a multi-year plan to replace the three current TRICARE plans with a consolidated TRICARE Health Plan. The 2017 proposals would increase co-pays for pharmaceuticals and implement an enrollment fee for new TRICARE-for-Life beneficiaries (similar to the reforms proposed in the FY 2016 Budget). CG-RP-7 Department of Homeland Security U.S. Coast Guard Retired Pay Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Retired Pay Retired Pay 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $1,450,626 $1,604,000 Total $1,450,626 $1,604,000 $1,666,940 $1,666,940 FY 2016 to FY 2017 Change $62,940 $62,940 NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Retired Pay: Funds payments to retirees, beneficiaries, and survivors including medical care for retired personnel and their beneficiaries. Increases are due to updated actuarial projections and adjustments in the National Defense Authorization Act. CG-RP-8 Schedule III – Other Exhibits E. Justification of Proposed Legislative Language Department of Homeland Security United States Coast Guard Retired Pay For retired pay, including the payment of obligations otherwise chargeable to lapsed appropriations for this purpose, payments under the Retired Serviceman’s Family Protection and Survivor Benefits Plans, payment for career status bonuses, concurrent receipts, and combat-related special compensation [under the National Defense Authorization Act,]as authorized by law,1 and payments for medical care of retired personnel and their dependents under chapter 55 of title 10, United States Code, [$1,604,000,000]$1,666,940,0002, to remain available until expended. Language Provision … [under the National Defense Authorization Act,]as authorized by law, 1 2 … [$1,604,000,000]$1,666,940,000 Explanation NDAA is not an actual short title and this change will also take into account any changes included in the CG Authorization Act. Dollar change only. No substantial change proposed. CG-RP-9 F. Summary of Fee Collections and Carryover G. Summary of Reimbursable Resources H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity CG-RP-12 1. Capital Investment and Construction Initiative Listing CG-RP-13 J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Retired Pay Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits $1,322,578 $1,322,578 $1,386,499 $1,386,499 $1,426,000 $1,426,000 $39,500 $39,500 $230,132 $230,132 $271,671 $271,671 $240,940 $240,940 ($30,730) ($30,730) $1,552,710 $1,658,170 $1,666,940 $8,770 ($156,254) $54,170 - ($54,170) - - $54,170 - $1,450,626 $1,604,000 $1,666,940 $62,940 Other Object Classes 25.6 Medical Care Total, Other Object Classes Total, Direct Obligations Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements CG-RP-14 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Retired Pay Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits FY 2015 Revised Enacted - FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $1,322,578 $1,322,578 $1,386,499 $1,386,499 $1,426,000 $1,426,000 $39,500 $39,500 - - - - $230,132 $230,132 $271,671 $271,671 $240,940 $240,940 ($30,730) ($30,730) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($156,254) $54,170 ($102,084) ($54,170) ($54,170) - $54,170 $54,170 Total Requirements $1,450,626 - $1,604,000 - $1,666,940 - $62,940 - Other Object Classes 25.6 Medical Care Total, Other Object Classes Adjustments Full Time Equivalents CG-RP-15 L. Permanent Positions by Grade CG-RP-16 M. Changes in Full Time Employment CG-RP-17 Department of Homeland Security United States Coast Guard Boat Safety ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ..................................................................................................................................... 11 E. Justification of Proposed Legislative Language .................................................................................................................11 F. Summary of Fee Collections and Carryover .......................................................................................................................12 G. Summary of Reimbursable Resources ..................................................................................................................................13 H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................14 I. Capital Investment and Construction Initiative Listing....................................................................................................15 J. Object Class Breakout by Appropriation .............................................................................................................................16 K. Object Class Breakout by PPA ...............................................................................................................................................17 L. Permanent Positions by Grade ................................................................................................................................................18 M. Changes in Full Time Employment ......................................................................................................................................19 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Boat Safety Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Boat Safety 14 13 $112,830 14 14 $114,326 14 14 $116,088 - - $1,762 Total, Boat Safety 14 13 $112,830 14 14 $114,326 14 14 $116,088 - - $1,762 Subtotal, Enacted Appropriations & Budget Estimates 14 13 $112,830 14 14 $114,326 14 14 $116,088 - - $1,762 - - - - - - - - - - - - 14 13 $112,830 14 14 $114,326 14 14 $116,088 - - $1,762 Less: Adjustments for Other Funding Sources Net, Enacted Appropriations and Budget Estimates: 1 Reflects reprogrammings/transfers, as applicable and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Boat Safety: The Boat Safety (BS) program applies preventive means and strategies to minimize loss of life, personal injury, property damage, and environmental impact associated with the use of recreational boats. The program directly supports the Coast Guard’s Maritime Prevention Program by promoting safe and enjoyable use of public U.S. waterways. B. Budget Activities: Boat Safety activities include: overseeing manufacturer compliance with Coast Guard regulations; grant making to States and national non-profit boating safety organizations; conducting surveys to measure recreational boating activity; continuing the Boat Responsibly national outreach and awareness initiative; promulgating safety regulations; and measuring life jacket wear rates, including the effectiveness of voluntary and mandatory efforts to increase life jacket usage. CG-BS-3 C. Budget Request Summary: The FY 2017 President's Budget requests 14 positions, 14 FTE and $116.088 million for Boat Safety. The total adjustments-to-base include a 1.6 percent pay raise for civilians and an increase in civilian allowances due to an increase in government contributions for various Federal Employee benefits. In its role as the designated National Recreational Boating Safety (RBS) Program Coordinator, the Coast Guard is charged with managing dedicated user fee funding to support the National Recreational Boating Safety Program provided from the Sport Fish Restoration and Boating Trust Fund. Under the provisions of the Sportfishing and Recreational Boating Safety Act of 2005 (Subtitle A, Title X, P.L. 109-59), the Coast Guard receives a percentage distribution of total trust fund receipts from the preceding fiscal year (i.e., FY 2017 funding will be a percentage of FY 2016 trust fund receipts). Funds are available until expended, but are limited in purpose and amount in accordance with existing statute. CG-BS-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Boat Safety FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Annualization of 2016 Civilian Pay Raise 2017 Civilian Pay Raise 2017 Civilian Allowances Trust Fund Receipt Adjustment Total, Increases Decreases 2016 Civilian Compensable Work Day Total, Decreases Total Other Adjustments Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-BS-5 Pos. 14 14 - FTE 13 14 - Amount $112,830 $114,326 $1,762 - - $19 $23 $2 $1,725 $1,769 14 14 - 14 14 - ($7) ($7) $1,762 $1,762 $116,088 $116,088 $1,762 C. FY 2017 Investment Summary - Appropriation Level CG-BS-6 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Boat Safety FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Boat Safety Prior Year Base Current Services Budget Year FY 2015 Revised Enacted FY 2016 Enacted Annualization of 2016 Civilian Pay Raise 2017 Civilian Pay Raise 2017 Civilian Allowances Trust Fund Receipt Adjustment 2016 Civilian Compensable Work Day FY 2017 Request Total Change from FY 2016 to FY 2017 Positions 14 14 14 - FTE 13 14 14 - Amount 112,830 114,326 19 23 2 1,725 (7) 116,088 1,762 PPA DESCRIPTION: This account provides grants for the development and implementation of a coordinated national recreational boating safety program. Boating safety statistics reflect the success in meeting the program's objectives. Pursuant to the Safe, Accountable, Flexible, Efficient Transportation Equity Act-A Legacy for Users (SAFETEA-LU, P.L. 109-59), the Boat Safety program receives 18.5 percent of the funds collected in the Sport Fish Restoration and Boating Trust Fund. The FY 2017 budget reflects the anticipated level of funding that would be available from the trust fund for boating safety. This funding level is based on current estimates of trust fund receipts from the Office of Tax Analysis at the Department of the Treasury (adjusted to reflect amendments of current law enacted in P.L. 109-59). The estimated total distribution from the trust fund for CG-BS-7 boating safety in FY 2017 is $116.088 million. Of that amount, $5.500 million is available for use by the Coast Guard to coordinate and execute new and enhanced National Recreational Boating Safety Program activities. The balance is authorized for the State RBS Federal Financial Assistance Program established by 46 U.S.C. 13101, et seq., minus not more than five percent for national boating safety activities of national non-profit public service organizations, and not more than two percent for Coast Guard expenses to administer State RBS programs. CG-BS-8 Department of Homeland Security U.S. Coast Guard Boat Safety Cost Drivers (Pay & Benefits) - PPA Level (Excludes Reimbursables) ($000s) FY 2015 Revised Enacted Civilian Total FY 2016 Enacted FY 2017 Request FY 2016 to 2017 Change FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost FTP FTE Amount Avg. Cost 14 13 $2,058 $157 14 14 $2,071 $147 14 14 $2,108 $150 $37 $3 NARRATIVE EXPLANATION OF CHANGES – PAY COST DRIVERS: • FTE Change FY 2016-2017: None • PCB Change FY 2016-2017: Provides funding to annualize the FY 2016 military and civilian (1.3 percent) pay raise. Provides funding for the FY 2017 military and civilian (1.6 percent) pay raise. Provides funding for required contributions to Federal Employee Government Life Insurance (FEGLI), Federal Employee Health Benefits (FEHB), and TSP Government Contributions. • Average Cost Change FY 2016-2017: Average cost change is due to the increased personnel costs related to the pay raise and personnel benefits being allocated to the same number of FTE appropriated in FY 2016. • Bonuses and performance awards: FY 2017 request estimates $15 thousand for bonuses and performance awards. This request remains in line with OPM Awards Guidance on Spending Limitation. CG-BS-9 Department of Homeland Security U.S. Coast Guard Boat Safety Cost Drivers (Non-Pay) - PPA Level ($000s) Appropriation - Boat Safety Boat Safety Grants & Administration 2015 Revised 2016 Enacted 2017 Request Enacted FY 2017 Non- Pay Cost Drivers (greatest-least) $110,772 $112,255 Total $110,772 $112,255 $106,108 $106,108 FY 2016 to FY 2017 Change ($6,147) ($6,147) NARRATIVE EXPLANATION OF CHANGES – NON-PAY COST DRIVERS: • Boat Safety Grants & Administration: Provides grants for the development and implementation of a coordinated national recreational boating safety program. This funding level is based on current estimates of trust fund receipts from the Office of Tax Analysis at the Department of Treasury (adjusted to reflect amendments to current law enacted in P.L. 109-59). CG-BS-10 I Schedule Other Exhibits E. Justi?cation of Proposed Legislative Language F. Summary of Fee Collections and Carryover CG-BS-12 G. Summary of Reimbursable Resources CG-BS-13 H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity CG-BS-14 1. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Boat Safety Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel Compensation and Benefits $1,614 $13 $431 $2,058 $1,624 $13 $434 $2,071 $1,652 $13 $443 $2,108 $28 $9 $37 $109 $2 $5 $2,830 $107,268 $110,214 $120 $2 $5 $3,109 $117,847 $121,083 $113 $2 $5 $2,927 $110,933 $113,980 ($7) ($182) ($6,914) ($7,103) $112,272 $123,154 $116,088 ($7,066) ($6,605) $9,328 ($2,165) ($9,500) $672 - ($672) $672 - $8,828 - $112,830 $114,326 $116,088 $1,762 Other Object Classes 21.0 Travel and Transportation of Persons 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 41.0 Grants, Subsidies, and Contributions Total, Other Object Classes Total, Direct Obligations Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements CG-BS-16 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Boat Safety Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits FY 2015 Revised Enacted - 11.1 Full-time Permanent 11.5 Other Personnel Compensation 12.1 Civilian Personnel Benefits Total, Personnel Compensation and Benefits FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $1,614 $13 $431 $2,058 $1,624 $13 $434 $2,071 $1,652 $13 $443 $2,108 $28 $9 $37 - - - - $109 $2 $5 $2,830 $107,268 $110,214 $120 $2 $5 $3,109 $117,847 $121,083 $113 $2 $5 $2,927 $110,933 $113,980 ($7) ($182) ($6,914) ($7,103) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($6,605) $9,328 ($2,165) $558 ($9,500) $672 ($8,828) ($672) $672 - $8,828 $8,828 Total Requirements $112,830 13 $114,326 14 $116,088 14 $1,762 - Other Object Classes 21.0 Travel and Transportation of Persons 24.0 Printing and Reproduction 25.1 Advisory and Assistance Services 25.2 Other Services from Non-Federal Sources 41.0 Grants, Subsidies, and Contributions Total, Other Object Classes Adjustments Full Time Equivalents CG-BS-17 L. Permanent Positions by Grade Department of Homeland Security U.S. Coast Guard Boat Safety Permanent Positions by Grade Grades and Salary Range GS-15 GS-14 GS-13 GS-7 Total Permanent Positions Unfilled Positions EOY Total Permanent Employment EOY Headquarters U.S. Field Total, Boat Safety: Full Time Equivalents Average ES Salary Average GS Salary Average Grade CG-BS-18 FY 2015 Revised Enacted Pos. 1 3 9 1 14 13 12 2 14 FY 2016 FY 2017 Enacted Request Pos. 1 3 9 1 14 14 12 2 14 Pos. 1 3 9 1 14 14 12 2 14 FY 2016 to FY 2017 Change Total - 13 14 14 - 141,771 13 142,492 13 142,136 13 (356) - M. Changes in Full Time Employment CG-BS-19 Department of Homeland Security United States Coast Guard Maritime Oil Spill Program ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................5 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................6 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 7 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................7 Schedule III – Other Exhibits ....................................................................................................................................... 8 E. Justification of Proposed Legislative Language...................................................................................................................8 F. Summary of Fee Collections and Carryover .........................................................................................................................9 G. Summary of Reimbursable Resources ..................................................................................................................................10 H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................11 I. Capital Investment and Construction Initiative Listing....................................................................................................12 J. Object Class Breakout by Appropriation .............................................................................................................................13 K. Object Class Breakout by PPA ...............................................................................................................................................14 L. Permanent Positions by Grade ................................................................................................................................................15 M. Changes in Full Time Employment ........................................................................................................................................16 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Maritime Oil Spill Program Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Maritime Oil Spill Program - - $182,266 - - $107,329 - - $107,868 - - $539 Total, Maritime Oil Spill Program - - $182,266 - - $107,329 - - $107,868 - - $539 Subtotal, Enacted Appropriations & Budget Estimates - - $182,266 - - $107,329 - - $107,868 - - $539 Less: Adjustments for Other Funding Sources - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $182,266 - - $107,329 - - $107,868 - - $539 - 1 Reflects reprogrammings/transfers, as applicable, and actual FTE. This footnote applies to all FY 2015 Revised Enacted tables throughout the CJ Submission Overview A. Mission Statement for Maritime Oil Spill Program: The Maritime Oil Spill Program operates under the authority of Title I of the Oil Pollution Act of 1990 (OPA), as amended, which provides for the use of the Oil Spill Liability Trust Fund (OSLTF) to pay for federal response to oil spills and claims for uncompensated removal costs and damages resulting from such spills. The Maritime Oil Spill Program directly supports the Coast Guard’s Marine Environment Protection mission and Maritime Response Program. B. Budget Activities: In Section Seven of Executive Order 12777, the President delegated management responsibility of the OSLTF to the Secretary of the Department in which the Coast Guard is operating. Upon re-delegation by the Secretary, the Commandant of the Coast Guard delegated responsibility to the National Pollution Funds Center (NPFC), which oversees the OSLTF. CG-MOSP-3 The NPFC: • Provides funding for federal removal actions in response to a discharge or a substantial threat of discharge of oil to navigable waters of the United States; • Compensates claimants for OPA removal costs or damages; • Provides funding to natural resource trustees for Natural Resource Damage Assessments (NRDA); • Administers the OSLTF. C. Budget Request Summary: The FY 2017 President’s Budget estimates that expenditures from this account will total $107.868 million for the Maritime Oil Spill Program. These estimated expenditures consist of a $56,868,000 transfer for immediate federal oil spill response, an estimated $1,000,000 payment to the Prince William Sound Oil Spill Recovery Institute, and an estimated $50,000,000 to compensate claimants for uncompensated OPA removal costs and damages, including natural resource damages. CG-MOSP-4 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Maritime Oil Spill Program FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases FY 2016 Sequestered Resources Total Increases Decreases Base Adjustment Total Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY2016 to FY2017 Change CG-MOSP-5 Pos. - FTE - Amount $182,266 $107,329 - - $6,868 $6,868 - - ($6,329) ($6,329) $539 $107,868 $107,868 $539 C. FY 2017 Investment Summary - Appropriation Level CG-MOSP-6 Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change - PPA Level Department of Homeland Security United States Coast Guard Maritime Oil Spill Program FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Maritime Oil Spill Program Prior Year FY 2015 Revised Enacted Base FY 2016 Enacted Budget Year FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 182,266 107,329 107,868 539 PPA DESCRIPTION: The Maritime Oil Spill Program uses the OSLTF to pay response costs incurred by the Coast Guard and other Federal agencies, adjudicate claims, and provide funding to support the Oil Spill Recovery Institute located in Prince William Sound, Alaska. NPFC's administrative costs are funded within the Coast Guard's Operating Expenses appropriation. OPA section 5006(b) directs the NPFC to make annual payments to the Prince William Sound Oil Spill Recovery Institute for the interest on a portion of the OSLTF balance. CG-MOSP-7 I Schedule Other Exhibits E. Justi?cation of Proposed Legislative Language CG-MOSP-S F. Summary of Fee Collections and Carryover CG-MOSP-9 G. Summary of Reimbursable Resources CG-MOSP-IO H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 1. Capital Investment and Construction Initiative Listing CG-MOSP-12 J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Maritime Oil Spill Program Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 Revised Enacted 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Other Object Classes 25.2 Other Services from Non-Federal Sources Total, Other Object Classes Total, Direct Obligations $162,913 $162,913 $198,917 $198,917 $107,868 $107,868 ($91,049) ($91,049) $182,266 $198,917 $107,868 ($91,049) ($49,105) $91,588 ($23,130) ($91,588) - - $91,588 - $182,266 $107,329 $107,868 $539 Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements CG-MOSP-13 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Maritime Oil Spill Program Summary of Requirements by Object Class (Dollars in Thousands) - FY 2016 to FY 2017 Change - - - - - $162,913 $162,913 $198,917 $198,917 $107,868 $107,868 ($91,049) ($91,049) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($49,105) $91,588 ($23,130) $19,353 ($91,588) ($91,588) - $91,588 $91,588 Total Requirements $182,266 - $107,329 - $107,868 - $539 - Object Classes Personnel Compensation and Benefits FY 2015 Revised Enacted - Other Object Classes 25.2 Other Services from Non-Federal Sources Total, Other Object Classes Adjustments Full Time Equivalents CG-MOSP-14 FY 2016 Enacted FY 2017 Request L. Permanent Positions by Grade CG-MOSP-IS M. Changes in Full Time Employment CG-MOSP-16 Department of Homeland Security United States Coast Guard General Gift Fund ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................4 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................5 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 6 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................6 Schedule III – Other Exhibits ....................................................................................................................................... 7 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language...................................................................................................................7 Summary of Fee Collections and Carryover .........................................................................................................................8 Summary of Reimbursable Resources ....................................................................................................................................9 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................10 Capital Investment and Construction Initiative Listing....................................................................................................11 Object Class Breakout by Appropriation .............................................................................................................................12 Object Class Breakout by PPA ...............................................................................................................................................13 Permanent Positions by Grade ................................................................................................................................................14 Changes in Full Time Employment ......................................................................................................................................15 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard General Gift Funds Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount General Gift Funds - - $1,703 - - $1,621 - - $2,214 - - $593 Total, General Gift Funds - - $1,703 - - $1,621 - - $2,214 - - $593 Subtotal, Enacted Appropriations & Budget Estimates - - $1,703 - - $1,621 - - $2,214 - - $593 Less: Adjustments for Other Funding Sources - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $1,703 - - $1,621 - - $2,214 - - $593 Overview A. Mission Statement for General Gift Funds: The Coast Guard General Gift Fund is authorized under 10 U.S.C. § 2601, which provisions for such funds within the Department of Defense and the Coast Guard. The General Gift Fund is a vehicle that authorizes the Commandant of the Coast Guard to accept gifts and donations for the benefit of museums, chapels, and other organizations under the jurisdiction of the Coast Guard. The Coast Guard is also authorized to accept gifts to be used for the benefit of service members who are wounded, injured or taken ill while in the line of duty, as well as for those members’ dependents and survivors. B. Budget Request Summary: The FY 2017 President's Budget estimates $2.214 million in bequests from various sources to the General Gift Fund. CG-GF-3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard General Gift Funds FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Increases Gift Fund Bequest Estimate Total, Increases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-GF-4 Pos. - FTE - Amount $1,703 $1,621 $593 - - $593 $593 $593 $2,214 $2,214 $593 C. FY 2017 Investment Summary - Appropriation Level CG-GF-S Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard General Gift Fund FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) General Gift Funds Prior Year Base Current Services Budget Year FY 2015 Revised Enacted FY 2016 Enacted Gift Fund Bequest Estimate FY 2017 Request Total Change from FY 2016 to FY 2017 Positions - FTE - Amount 1,703 1,621 593 2,214 593 PPA DESCRIPTION: The FY2017 President’s Budget estimates $2.214 million in bequests from various sources to the General Gift Fund. CG-GF-6 I Schedule Other Exhibits E. Justi?cation of Proposed Legislative Language CG-GF-7 F. Summary of Fee Collections and Carryover CG-GF-8 G. Summary of Reimbursable Resources CG-GF-9 H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity CG-GF-IO G. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard General Gift Funds Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 Revised Enacted 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Other Object Classes 25.2 Other Services from Non-Federal Sources 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials Total, Other Object Classes Total, Direct Obligations $125 $46 $1,676 $1,847 $100 $80 $1,710 $1,890 $150 $55 $2,009 $2,214 $50 ($25) $299 - $1,847 $1,890 $2,214 $324 ($1,913) $1,769 ($1,769) $1,500 ($1,500) $1,500 ($269) - $1,703 $1,621 $2,214 $593 Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Total Requirements CG-GF-12 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard General Gift Funds Summary of Requirements by Object Class (Dollars in Thousands) Object Classes FY 2015 Revised Enacted FY 2016 Enacted FY 2017 Request FY 2016 to FY 2017 Change Other Object Classes 25.2 Other Services from Non-Federal Sources 25.7 Operation and Maintenance of Equipment 26.0 Supplies and Materials Total, Other Object Classes $125 $46 $1,676 $1,847 $100 $80 $1,710 $1,890 $150 $55 $2,009 $2,214 $50 ($25) $299 $324 - - - - Unobligated Balance, start of year Unobligated Balance, end of year Total, Adjustments ($1,913) $1,769 ($144) ($1,769) $1,500 ($269) ($1,500) $1,500 - ($269) $269 Total Requirements $1,703 - $1,621 - $2,214 - $593 - Adjustments Full Time Equivalents CG-GF-13 L. Permanent Positions by Grade CG-GF-14 M. Changes in Full Time Employment Department of Homeland Security United States Coast Guard Yard Fund ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................4 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................5 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 6 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................6 Schedule III – Other Exhibits ....................................................................................................................................... 7 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language...................................................................................................................7 Summary of Fee Collections and Carryover .........................................................................................................................8 Summary of Reimbursable Resources ....................................................................................................................................9 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................10 Capital Investment and Construction Initiative Listing....................................................................................................11 Object Class Breakout by Appropriation .............................................................................................................................12 Object Class Breakout by PPA ...............................................................................................................................................14 Permanent Positions by Grade ................................................................................................................................................16 Changes in Full Time Employment ......................................................................................................................................17 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Yard Fund Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted1 Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for FY Total Changes Amount POS FTE Amount Yard Fund - - $126,059 - - $152,012 - - $150,012 - - ($2,000) Total, Yard Fund - - $126,059 - - $152,012 - - $150,012 - - ($2,000) Subtotal, Enacted Appropriations & Budget Estimates - - $126,059 - - $152,012 - - $150,012 - - ($2,000) Less: Adjustments for Other Funding Sources - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $126,059 - - $152,012 - - $150,012 - - ($2,000) Overview A. Mission Statement for Yard Fund: The Coast Guard Yard, located in Curtis Bay, MD, provides engineering support and industrial services for maintenance and repair of Coast Guard cutters, aids to navigation and other equipment. The Yard also manages facilities that homeport two major cutters and house several Coast Guard commands including the Surface Forces Logistics Center, Sector Baltimore and Curtis Bay Station. B. Budget Activities: The Yard Fund is a revolving account supported by the Coast Guard’s Operating Expenses and Acquisition, Construction & Improvements appropriations. It pays for personnel and materials required for Coast Guard projects and work orders completed by the Coast Guard Yard. These activities indirectly support Coast Guard missions. CG-YF-3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Yard Fund FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Decreases Projects Adjustments Total, Decreases Total Other Adjustments Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-YF-4 Pos. - FTE - Amount $126,059 $152,012 ($2,000) - - ($2,000) ($2,000) ($2,000) ($2,000) $150,012 $150,012 ($2,000) C. FY 2017 Investment Summary - Appropriation Level CG-YF-S Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Yard Fund FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Yard Fund Prior Year Base Current Services Budget Year FY 2015 Revised Enacted FY 2016 Enacted Projects Adjustments FY 2017 Request Total Change from FY 2016 to FY 2017 CG-YF-6 Positions - FTE - Amount 126,059 152,012 (2,000) 150,012 (2,000) I Schedule Other Exhibits E. Justi?cation of Proposed Legislative Language CG-YF-7 F. Summary of Fee Collections and Carryover CG-YF-S G. Summary of Reimbursable Resources Department of Homeland Security U.S. Coast Guard Yard Fund Summary of Reimbursable Resources (Dollars in Thousands) FY 2015 Revised Enacted Collections by Source: Pos U.S. Coast Guard National Oceanic and Atmospheric Administration Total Budgetary Resources FTE 585 585 502 502 FY 2016 Enacted Amount $126,059 $126,059 Pos 606 606 FY 2015 Revised Enacted Obligations by Program/Project Activity: Coast Guard Yard Projects Total Obligations Pos FTE 585 585 502 502 FTE 517 517 FY 2017 Request Amount $150,000 $2,012 $152,012 Pos Amount $152,012 $152,012 Pos 606 606 FY 2016 Enacted Amount $126,059 $126,059 Pos FTE 606 606 CG-YF-9 517 517 FTE 517 517 Increase/Decrease Amount $150,000 $12 $150,012 Pos Amount $150,012 $150,012 Pos FY 2017 Request FTE 606 606 517 517 FTE - Amount - ($2,000) ($2,000) Increase/Decrease FTE - - Amount ($2,000) ($2,000) H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity 1. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Yard Fund Summary of Requirements by Object Class (Dollars in Thousands) 2015 Revised Enacted Object Classes 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Personnel Compensation and Benefits 11.1 Full-time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits $31,470 $7,412 $338 $860 $11,335 $67 $3 $51,485 $30,406 $7,161 $338 $860 $10,952 $67 $3 $49,787 $30,406 $7,161 $338 $860 $10,952 $67 $3 $49,787 - $794 $233 $3,646 $2 $82 $94 $3,385 $2,279 $30,292 $5,588 $46,395 $2,903 $852 $13,328 $7 $300 $344 $12,374 $8,331 $112,747 $20,428 $171,614 $1,715 $503 $7,875 $4 $177 $203 $7,312 $4,923 $65,443 $12,070 $100,225 ($1,188) ($349) ($5,453) ($3) ($123) ($141) ($5,062) ($3,408) ($47,304) ($8,358) ($71,389) $97,880 $221,401 $150,012 ($71,389) Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes Total, Direct Obligations CG-YF-12 Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Total Requirements ($41,210) $69,389 ($69,389) - - $69,389 - $126,059 $152,012 $150,012 ($2,000) CG-YF-13 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Yard Fund Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Personnel Compensation and Benefits FY 2015 Revised Enacted - 11.1 Full-time Permanent 11.5 Other Personnel Compensation 11.6 Military Personnel-Basic Allowance for Housing 11.7 Military Personnel 12.1 Civilian Personnel Benefits 12.2 Military Personnel Benefits 13.0 Benefits for Former Personnel Total, Personnel Compensation and Benefits Other Object Classes 21.0 Travel and Transportation of Persons 22.0 Transportation of Things 23.3 Communications, Utilities, and Misc. Charges 24.0 Printing and Reproduction 25.2 Other Services from Non-Federal Sources 25.3 Other Goods and Services from Federal Sources 25.4 Operation and Maintenance of Facilities 25.5 Research and Development Contracts 26.0 Supplies and Materials 31.0 Equipment Total, Other Object Classes CG-YF-14 FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $31,470 $7,412 $338 $860 $11,335 $67 $3 $51,485 $30,406 $7,161 $338 $860 $10,952 $67 $3 $49,787 $30,406 $7,161 $338 $860 $10,952 $67 $3 $49,787 - - - - - $794 $233 $3,646 $2 $82 $94 $3,385 $2,279 $30,292 $5,588 $46,395 $2,903 $852 $13,328 $7 $300 $344 $12,374 $8,331 $112,747 $20,428 $171,614 $1,715 $503 $7,875 $4 $177 $203 $7,312 $4,923 $65,443 $12,070 $100,225 ($1,188) ($349) ($5,453) ($3) ($123) ($141) ($5,062) ($3,408) ($47,304) ($8,358) ($71,389) Adjustments - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($41,210) $69,389 $28,179 ($69,389) ($69,389) - $69,389 $69,389 Total Requirements $126,059 - $152,012 - $150,012 - ($2,000) - Full Time Equivalents CG-YF-15 L. Permanent Positions by Grade CG-YF-16 M. Changes in Full Time Employment CG-YF-17 Department of Homeland Security United States Coast Guard Supply Fund ____________________________________________________ Fiscal Year 2017 Congressional Justification Table of Contents Schedule I – Executive Summary of Appropriation Exhibits ...................................................................................... 3 A. Summary of Budget Estimates by Program Project Activity- Appropriation Level ..................................................3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level ...........................................................................................4 C. FY 2017 Investment Summary - Appropriation Level .......................................................................................................5 Schedule II – Program, Project, Activity (PPA) Exhibits ............................................................................................ 6 D. FY 2016 to FY 2017 Budget Change- PPA Level ..............................................................................................................6 Schedule III – Other Exhibits ....................................................................................................................................... 7 E. F. G. H. I. J. K. L. M. Justification of Proposed Legislative Language...................................................................................................................7 Summary of Fee Collections and Carryover .........................................................................................................................8 Summary of Reimbursable Resources ....................................................................................................................................9 FY 2017 Schedule of Working Capital Fund by Program/Project Activity ...............................................................10 Capital Investment and Construction Initiative Listing....................................................................................................11 Object Class Breakout by Appropriation .............................................................................................................................12 Object Class Breakout by PPA ...............................................................................................................................................13 Permanent Positions by Grade ................................................................................................................................................14 Changes in Full Time Employment ......................................................................................................................................15 Schedule I – Executive Summary of Appropriation Exhibits A. Summary of Budget Estimates by Program Project Activity- Appropriation Level Department of Homeland Security U.S. Coast Guard Supply Fund Summary of FY 2017 Budget Estimates by Program Project Activity (Dollars in Thousands) Program Project Activity FY 2015 FY 2016 FY 2017 Revised Enacted Enacted Request POS FTE Amount POS FTE Amount POS FTE Increase(+) or Decrease(-) for Total Changes Amount POS FTE Amount Supply Fund - - $131,625 - - $156,156 - - $150,000 - - ($6,156) Total, Supply Fund - - $131,625 - - $156,156 - - $150,000 - - ($6,156) Subtotal, Enacted Appropriations & Budget Estimates - - $131,625 - - $156,156 - - $150,000 - - ($6,156) Less: Adjustments for Other Funding Sources - - - - - - - - - - - - Net, Enacted Appropriations and Budget Estimates: - - $131,625 - - $156,156 - - $150,000 - - ($6,156) Overview A. Mission Statement for Supply Funds: The Supply Fund, in accordance with 14 U.S.C. § 650, finances the procurement of uniform clothing, commissary provisions, general stores, technical material, and fuel for vessels over 180 feet in length. B. Budget Activities: The fund is financed by reimbursements from the sale of goods, including the procurement of uniforms, commissioning provisions, stores, materials, and fuel. These activities indirectly support Coast Guard missions. CG-SF-3 B. FY 2016 to FY 2017 Budget Change - Appropriation Level Department of Homeland Security U.S. Coast Guard Supply Fund FY 2016 to FY 2017 Budget Change (Dollars in Thousands) FY 2015 Revised Enacted FY 2016 Enacted Adjustments-to-Base Decreases Base Adjustment Total, Decreases Total Adjustments-to-Base FY 2017 Current Services FY 2017 Request FY 2016 to FY 2017 Change CG-SF-4 Pos. - FTE - Amount $131,625 $156,156 ($5,656) - - ($6,156) ($6,156) ($6,156) $150,000 $150,000 ($6,156) C. FY 2017 Investment Summary - Appropriation Level CG-SF-S Schedule II – Program, Project, Activity (PPA) Exhibits D. FY 2016 to FY 2017 Budget Change- PPA Level Department of Homeland Security United States Coast Guard Supply Fund FY 2016 to FY 2017 Budget Change- PPA Level (Dollars in Thousands) Supply Fund Prior Year Base Current Services Budget Year FY 2015 Revised Enacted FY 2016 Enacted Base Adjustment FY 2017 Request Total Change from FY 2016 to FY 2017 CG-SF-6 Positions - FTE - Amount 131,625 156,156 (6,156) 150,000 (6,156) I Schedule Other Exhibits E. Justi?cation of Proposed Legislative Language CG-SF-7 F. Summary of Fee Collections and Carryover CG-SF-8 G. Summary of Reimbursable Resources Department of Homeland Security U.S. Coast Guard Supply Fund Summary of Reimbursable Resources (Dollars in Thousands) Collections by Source: U.S. Coast Guard Total Budgetary Resources FY 2015 Revised Enacted Pos FTE Amount - $140,204 - $140,204 Obligations by Program/Project Activity: Supply Projects Total Obligations FY 2015 Revised Enacted Pos FTE Amount - $140,204 - $140,204 Pos Pos FY 2016 Enacted FTE Amount - $150,000 - $150,000 FY 2016 Enacted FTE Amount - $150,000 - $150,000 CG-SF-9 Pos Pos FY 2017 Request FTE Amount - $150,000 - $150,000 Increase/Decrease Pos FTE Amount - FY 2017 Request FTE Amount - $150,000 - $150,000 Increase/Decrease Pos FTE Amount - H. FY 2017 Schedule of Working Capital Fund by Program/Project Activity CG-SF-IO 1. Capital Investment and Construction Initiative Listing J. Object Class Breakout by Appropriation Department of Homeland Security U.S. Coast Guard Supply Fund Summary of Requirements by Object Class (Dollars in Thousands) Object Classes 2015 Revised Enacted 2016 Enacted 2017 Request FY 2016 to FY 2017 Change Other Object Classes 26.0 Supplies and Materials Total, Other Object Classes Total, Direct Obligations $140,204 $140,204 $161,312 $161,312 $150,000 $150,000 ($11,312) ($11,312) $140,204 $161,312 $150,000 ($11,312) ($14,096) $5,656 ($139) ($5,656) $500 - ($500) $500 - $5,156 - $131,625 $156,156 $150,000 ($6,156) Adjustments Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total Requirements CG-SF-12 K. Object Class Breakout by PPA Department of Homeland Security U.S. Coast Guard Supply Fund Summary of Requirements by Object Class (Dollars in Thousands) Object Classes Other Object Classes FY 2015 Revised Enacted - 26.0 Supplies and Materials Total, Other Object Classes FY 2016 Enacted FY 2017 Request - FY 2016 to FY 2017 Change - $140,204 $140,204 $161,312 $161,312 $150,000 $150,000 ($11,312) ($11,312) - - - - Unobligated Balance, start of year Unobligated Balance, end of year Recoveries of Prior Year Obligations Total, Adjustments ($14,096) $5,656 ($139) ($8,579) ($5,656) $500 ($6,156) ($500) $500 - $5,156 $6,156 Total Requirements $131,625 - $156,156 - $150,000 - ($6,156) - Adjustments Full Time Equivalents CG-SF-13 L. Permanent Positions by Grade CG-SF-14 M. Changes in Full Time Employment Department of Homeland Security United States Coast Guard _____________________________________________________ Fiscal Year 2017 Strategic Context Congressional Submission United States Coast Guard - Strategic Context Table of Contents A. Component Overview .................................................................................................................... 2 FY 2017 Budget Request ....................................................................................................... 4 B. Component Contributions to Achieving Departmental Missions .................................................. 4 Mission 1: Prevent Terrorism and Enhance Security ....................................................... 5 Resources Requested................................................................................................... 5 Performance Measures ............................................................................................... 6 Mission 2: Secure and Manage Our Borders ..................................................................... 8 Resources Requested................................................................................................... 8 Mission 3: Enforce and Administer Our Immigration Laws.......................................... 12 Resources Requested................................................................................................. 12 Mission 5: Strengthen National Preparedness and Resilience........................................ 12 Resources Requested................................................................................................. 12 Performance Measures ............................................................................................. 13 Mature and Strengthen Homeland Security ..................................................................... 16 Resources Requested................................................................................................. 16 Performance Measures ............................................................................................. 16 USCG - i United States Coast Guard - Strategic Context A. Component Overview The United States Coast Guard (USCG) is comprised of the following mission-oriented programs that support achievement of the DHS strategic missions, goals, and objectives. Maritime Security Operations: The Maritime Security Operations program encompasses activities required by legislative, executive, and policy mandates to detect, deter, prevent, disrupt, and recover from terrorist attacks and other criminal acts in the maritime domain. It includes the execution of antiterrorism, response, and select recovery operations. This program conducts the operational element of the Coast Guard’s Ports, Waterways, and Coastal Security mission and complements the other two elements: the establishment and oversight of maritime security regimes, and maritime domain awareness. Maritime Law Enforcement: The Maritime Law Enforcement program preserves America’s jurisdictional rights within our maritime borders and suppresses violations of U.S. Federal law on, under, and over the seas. The Coast Guard is the lead Federal maritime law enforcement agency for enforcing national and international law on the high seas, outer continental shelf, and inward from the U.S. Exclusive Economic Zone (EEZ) to inland navigable waters, including the Great Lakes. The following statutory missions contribute to the Coast Guard’s Maritime Law Enforcement program: Drug Interdiction; Migrant Interdiction; Living Marine Resources; and Other Law Enforcement. Maritime Prevention: The Maritime Prevention program mitigates the risk of human casualties and property losses, minimizes security risks, and protects the marine environment. The Coast Guard does so by providing the maritime governance that ensures the safe, secure, and environmentally sound maritime approaches to the Nation. The following statutory missions contribute to the Coast Guard’s Maritime Prevention program: Ports, Waterways, and Coastal Security (PWCS); Marine Safety; and Marine Environmental Protection. Maritime Response: The Maritime Response program mitigates the consequences of marine casualties and disastrous events. The Coast Guard minimizes loss of life and property by searching for and rescuing persons in distress in the maritime environment. Coast Guard preparedness efforts ensure incident response and recovery resources are fully ready and capable to minimize impact of disasters to people, the environment and the economy. The following statutory missions contribute to the Coast Guard’s Maritime Response program: Search and Rescue and Marine Environmental Protection. Defense Operations: The Defense Operations program provides unique authorities and capabilities to support the National Military Strategy. The program portfolio comprises eight USCG - 2 United States Coast Guard - Strategic Context activities including: Maritime Interdiction Operations; Combating Maritime Terrorism; Port Operations Security and Defense; Military Environmental Response Operations; Coastal Sea Control Operations; Maritime Operational Threat Response (MOTR); Rotary Wing Air Intercept Operations; and Support for Theater Security Cooperation Initiatives. The statutory mission Defense Readiness contributes to the Coast Guard’s Defense Operations program. Marine Transportation System Management: The Maritime Transportation System Management program ensures a safe, secure, efficient and environmentally sound waterways system. The Coast Guard minimizes disruptions to maritime commerce by assessing and mitigating risks to safe navigation by providing waterways restoration capabilities after extreme weather events, marine accidents or intentional incidents. The Coast Guard works in concert with other Federal agencies, state and local governments, marine industries, maritime associations, and the international community to optimize balanced use of the Nation’s Maritime Transportation System. The following statutory missions contribute to the Coast Guard’s Marine Transportation System Management program: Aids to Navigation and Ice Operations. Cross-Cutting Capital Investments and Maintenance: The Cross-Cutting Capital Investments and Maintenance program is derived from the Acquisition Construction and Improvements (AC&I) and Operating Expenses (OE) sections of the CJ. AC&I funds the acquisition of new capital assets, construction of required facilities, and physical improvements to existing facilities and assets. This program aligns with the resource levels contained in the DHS Future Years Homeland Security Program (FYHSP) that capture total AC&I budget authority and the portion of OE investment funding not captured as Mission Support or M&A. Mission Support: The Mission Support program is a portfolio of output-oriented mission support programs. These programs support the needs of the operational forces of the Coast Guard and the maritime community and address crosscutting areas such as research and development, policy and regulatory guidance, asset management, and capabilities. This program includes several information technology (IT) transformational initiatives (excluding acquisition projects) that are designed to improve information sharing within the Coast Guard, strengthen information availability, improve vessel tracking, provide a fully secure IT environment, and enhance financial management and audit practices. Management and Administration: This program captures activities that provide enterprise leadership, management and/or business administration services and describes the capabilities and activities that support the day-to-day management and back office functions enabling the Department to operate efficiently and effectively. Key capabilities include conducting agency planning and performance management, managing finances, managing agency workforce, providing physical and personnel security, acquiring goods and services, managing information USCG - 3 United States Coast Guard - Strategic Context technology, managing agency property and assets, managing agency communications, managing legal affairs, and providing general management and administration. FY 2017 Budget Request The table below shows USCG’s FY 2017 Budget request by its mission-oriented programs. FY 2017 Request Program FTE Dollars (in thousands) Maritime Security Operations 2,800 311,343 Maritime Law Enforcement 15,394 1,621,880 Maritime Prevention 9,521 1,132,740 Maritime Response 5,961 701,605 Defense Operations 3,042 338,064 Maritime Transportation System Management 9,847 855,891 897 1,140,672 2,232 3,906,851 Cross-Cutting Capital Investments and Maintenance Mission Support Management and Administration 312,502 Total Budget Request 49,694 10,321,548 B. Component Contributions to Achieving Departmental Missions The table below shows the alignment of the USCG programs to the DHS Missions and Mature and Strengthen Homeland Security. Programs Maritime Security Operations Maritime Law Enforcement Prevent Terrorism and Enhance Security DHS Missions Mature Enforce and and Strengthen Secure and Administer Safeguard and Strengthen National Manage Our Our Secure Preparedness Homeland Borders Immigration Cyberspace and Resilience Security Laws 100% 98% 2% USCG - 4 United States Coast Guard - Strategic Context Programs Prevent Terrorism and Enhance Security Maritime 7%* Prevention Maritime Response Defense 38% Operations Maritime Transportation System Management Cross-Cutting 13%* Capital Investments and Maintenance Mission Support 1% Management and Administration *Totals account for rounding. DHS Missions Mature Enforce and and Strengthen Secure and Administer Safeguard and Strengthen National Our Secure Manage Our Preparedness Homeland Cyberspace Borders Immigration and Resilience Security Laws 62%* 32%* 100% 62% 95% 5% 57%* 13%* 16%* 3% 1% 8% 87% 100% Mission 1: Prevent Terrorism and Enhance Security Resources Requested USCG resources supporting Prevent Terrorism and Enhance Security are provided in the table below. $ in thousands Program Maritime Security Operations Maritime Prevention Defense Operations Cross-Cutting Capital Investments and Maintenance FY 2015 Revised Enacted $ FTE* 435,909 2,620 FY 2016 Enacted $ FTE 516,821 2,780 FY 2017 Request $ FTE 311,343 2,800 73,705 113,980 280,635 83,485 134,019 241,923 74,037 127,014 153,198 693 1,069 106 USCG - 5 737 1,135 124 742 1,143 126 United States Coast Guard - Strategic Context Mission Support 28,725 64 29,980 59 31,309 59 4,552 1,006,228 4,836 696,901 4,870 Total 932,955 *Strategic Contexts reflect reprogrammings/transfers, as applicable, and revised enacted FTE. Tables throughout the CJ submission will use FY 2015 actual FTEs. Performance Measures For Prevent Terrorism and Enhance Security, two types of performance measures are presented. Strategic Measures represent USCG’s measures that gauge achievement for this mission area, and are considered to be our Government Performance and Results Act Modernization Act (GPRAMA) performance measures. Additional Management Measures are displayed, as appropriate, to provide a more thorough context of expected performance results. Strategic Measures Measure: Security compliance rate for high risk maritime facilities Description: This measure is a leading indicator of maritime facility security and resiliency in our nation’s ports. Compliance of high risk (Maritime Transportation Security Act (MTSA)) facilities is determined based upon finding a major problem during an inspection, requiring a notice of violation or civil penalty. MTSA facilities are a higher risk subset of the national waterfront facility population given the nature of their activities and/or the products they handle. An attack at these facilities would pose a greater risk for significant loss of life, environmental damage, or economic disruption. There are approximately 3,100 MTSA facilities. The Coast Guard completes one scheduled and one unscheduled inspection on each facility annually. This measure provides insight into resiliency by verifying MTSA facilities maintain proper access safeguards and exercise approved plans/procedures to prevent and react to security emergencies to make them better suited to resist, adapt, and recover from adversity or disruption. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 98.7% 99.3% 99.3% 99.6% N/A N/A Result: Management Measures Measure: Percent reduction of all maritime security risk subject to U.S. Coast Guard influence Description: This is a risk-based outcome measure that begins with an assessment (by maritime security subject matter experts) of sixteen high-consequence maritime terrorist attack scenarios. Threat, vulnerability, and consequence levels are estimated for each scenario, which generates a proxy (index) value of "raw risk" that exists in the maritime domain. Next, U.S. Coast Guard interventions (security and response operations, regime and awareness activities) for the fiscal year are scored against the scenarios with regard to the decreases in threat, vulnerability and consequence that each has been estimated to have afforded. (The analysis then focuses on those USCG - 6 United States Coast Guard - Strategic Context areas within the U.S. Coast Guard's roles and strategic mandates.) The resulting measure is a proxy measure of performance. Targets for FY11-FY16 have increased relative to FY 2010 due to a revised methodology that took effect in FY11. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 44% 36% 37% 37% 56% 56% Target: 36% 36% 55% 58% N/A N/A Result: Measure: Percent reduction of maritime security risk resulting from U.S. Coast Guard consequence management Description: This measure indicates the estimated % of terrorist-related maritime risk reduction due to consequence mgmt, as a % of the risk that USCG has the ability to impact. This is a riskbased measure that involves the scoring (by maritime security subject matter experts) of sixteen high-consequence maritime terrorist attack scenarios with respect to threat, vulnerability, & consequence. Aggregation of maritime security risk scenarios generates an index of "raw risk" that exists in the maritime domain. USCG layered interventions (both operational & regulatorybased) employed throughout the FY are scored against the attack scenarios with regard to the % consequence after a modeled attack has occurred. The resultant measure shows the reduction in "raw risk" from USCG consequence mitigation efforts alone. Targets for FY11-16 have increased relative to FY 2010 due to a revised methodology that took effect in FY11. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 3% 4% 4% 5% 4% 4% Target: 2% 4% 3% 4% N/A N/A Result: Measure: Percent reduction of maritime security risk resulting from U.S. Coast Guard efforts to prevent a terrorist entering the U.S. via maritime means Description: This measure is an estimate of the percent of terrorist-related maritime risk reduction of the illegal entry of a terrorist(s) through the maritime domain (as a percent of the risk that the USCG has the ability to impact). This is a risk-based measure that involves the scoring (by maritime security subject matter experts) with respect to threat, vulnerability and consequence of the illegal entry of a terrorist(s) into the U.S. with intent and capability to carry out terror attacks within the United States where vessels en route from foreign countries are used as a means of conveyance. Such scoring generates an index of "raw risk" that exists in the maritime domain. Next, USCG incremental interventions (awareness, operational and regulatory-based) that have taken place throughout the fiscal year are scored with regard to the effectiveness each has been estimated to have afforded. Targets for FY11-16 have increased due to a revised methodology that takes effect in FY11. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 52% 34% 35% 35% 58% 58% Target: 34% 34% 42% 59% N/A N/A Result: USCG - 7 United States Coast Guard - Strategic Context Measure: Percent reduction of maritime security risk resulting from U.S. Coast Guard efforts to prevent a weapon of mass destruction from entering the United States via maritime means Description: This measure is an estimate of the percent of terrorist-related maritime risk reduction of the illegal entry of a Weapon of Mass Destruction (WMD)/materials into the U.S. through the maritime domain (as a percent of the risk that the USCG has the ability to impact). This is a risk-based measure that involves the scoring (by maritime security subject matter experts) with respect to threat, vulnerability and consequence of the illegal entry of a WMD/materials into the United States to support ongoing terrorist operations where vessels enroute from foreign countries are used as a means of conveyance. Scoring generates an index of "raw risk" that exists in the maritime domain. USCG incremental interventions (awareness, operational and regulatory-based) that have taken place throughout the fiscal year are scored with regard to the effectiveness that each has been estimated to have afforded. Targets for FY11-16 have increased relative to FY 2010 due to a revised methodology. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 29% 24% 25% 25% 39% 39% Target: 24% 24% 56% 39% N/A N/A Result: Mission 2: Secure and Manage Our Borders Resources Requested USCG resources supporting Secure and Manage Our Borders are provided in the table below. $ in thousands Program FY 2015 Revised Enacted $ FTE* 951,808 14,130 FY 2016 Enacted $ FTE 1,344,875 14,970 FY 2017 Request $ FTE 1,586,152 15,073 Maritime Law Enforcement Maritime Prevention 501,951 5,890 637,215 6,253 700,770 6,297 Defense Operations 225,823 1,776 263,525 1,887 211,050 1,899 Maritime 567,245 8,718 698,098 9,254 812,897 9,318 Transportation System Management Cross-Cutting Capital 1,374,597 288 1,234,918 338 651,236 341 Investments and Maintenance Mission Support 124,272 173 128,639 161 136,191 161 30,976 4,307,270 32,863 4,098,296 33,089 Total 3,745,696 *Strategic Contexts reflect reprogrammings/transfers, as applicable, and revised enacted FTE. Tables throughout the CJ submission will use FY 2015 actual FTEs. USCG - 8 United States Coast Guard - Strategic Context Performance Measures For Secure and Manage Our Borders, two types of performance measures are presented. Strategic Measures represent USCG’s measures that gauge achievement for this mission area, and are considered to be our Government Performance and Results Act Modernization Act (GPRAMA) performance measures. Additional Management Measures are displayed, as appropriate, to provide a more thorough context of expected performance results. Strategic Measures Measure: Availability of maritime navigation aids Description: This measure indicates the hours that short-range federal Aids to Navigation are available. The aid availability rate is based on an international measurement standard established by the International Association of Marine Aids to Navigation and Lighthouse Authorities (IALA) (Recommendation O-130) in December 2004. A short-range Aid to Navigation is counted as not available from the initial time a discrepancy is reported until the time the discrepancy is corrected. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 97.5% 97.5% 97.5% 97.5% 97.5% 97.5% Target: 98.3% 98.2% 98.2% 97.7% N/A N/A Result: Measure: Fishing regulation compliance rate Description: The U.S. Coast Guard uses the percentage of fishing vessels observed at sea complying with domestic regulations as a measure of the Coast Guard's activities and their impact on the health and well-being of U.S. fisheries and marine protected species. This specific measure reflects the percent of boardings at sea by the U.S. Coast Guard during which no significant violations of domestic fisheries regulations are detected. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 96.0% 96.0% 96.5% 96.5% 96.5% 97.0% Target: 98.3% 98.1% 97.5% 97.1% N/A N/A Result: Measure: Migrant Interdiction Effectiveness in the Maritime Environment Description: This measure reports the percent of detected undocumented migrants of all nationalities who were interdicted by the U.S. Coast Guard and partners via maritime routes. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A 73.0% 74.0% 74.5% Target: N/A N/A N/A 74.8% N/A N/A Result: USCG - 9 United States Coast Guard - Strategic Context Measure: Number of detected incursions of foreign fishing vessels violating U.S. waters Description: This measure is the number of detected illegal fishing incursions into the U.S. Exclusive Economic Zone (EEZ). Incursions detected by both the U.S. Coast Guard and other sources are included when the reports are judged by operational commanders as being of sufficient validity to order resources to respond. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <140 <140 <148 <215 <220 <224 Target: 160 189 198 224 N/A N/A Result: Management Measures Measure: Annual Maritime Transportation Security Act (MTSA) Facility compliance rate with Transportation Worker Identification Credential (TWIC) regulations Description: This measure reports the percent of Maritime Transportation Security Act (MTSA) regulated facilities that are found to be in compliance with the Transportation Worker Identification Card (TWIC) regulations during CG inspections. The Security and Accountability for Every (SAFE) Port Act of 2006 requires the Coast Guard to conduct at least two MTSA security inspections on regulated facilities each year; one announced and one unannounced. CG Inspectors randomly sample different areas of a facility (admin staff, security staff, dock workers, etc.) to check for TWIC compliance by ensuring workers have a valid and current TWIC card. Some infractions can be corrected on the spot, e.g., a trucker forgot his TWIC in his truck cab. Depending on the number and severity of TWIC infractions, the inspector/Capt of the Port may find the facility not in compliance. Statistical guidelines have been developed based on the size of the facility to aid inspectors, and to ensure random sampling. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 99% 99% 99% 99% 99% 99% Target: 99% 99% 99% 99% N/A N/A Result: Measure: Average number of navigational accidents Description: This measure evaluates the long-term trend of U.S. Coast Guard Waterways Management Program in preventing collisions, allisions (vessels striking fixed objects), and groundings. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <=1,890 <=1,939 <=2,012 <=2,043 <=2,038 <=1,900 Target: Result: 1,932 1,869 1,846 1,788 N/A N/A Measure: Number of undocumented migrants who attempt to enter the U.S. via maritime routes that are interdicted USCG - 10 United States Coast Guard - Strategic Context Description: This measure is the total number of all undocumented migrants who are attempting to enter the U.S. by maritime means and who are interdicted by the U.S. Coast Guard and other law enforcement agencies. The other agencies include Customs and Border Protection, and foreign entities partnering with the U.S. Coast Guard for migrant interdiction operations. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <8,609 <6,100 <6,300 <6,300 <6,300 <6,426 Target: 4,086 5,262 7,747 6,028 N/A N/A Result: Measure: Percent of time high priority waterways in the Great Lakes and along the eastern seaboard are open during ice season Description: This measure is the percent of time Tier One Waterways, in the Great Lakes and along the eastern seaboard, are open to vessel transits during the icebreaking season as a percentage of the total. Tier One waterways are those connecting waterways of the Marine Transportation System that waterways managers at Coast Guard District commands determine are highest-priority due to geographical location or importance of cargo to public health and safety. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A 95.0% 95.0% 95.0% 95.0% Target: N/A N/A 85.5% 81.9% N/A N/A Result: Measure: Removal rate for cocaine from non-commercial vessels in maritime transit zone Description: Percent of Cocaine removed (seized by the U.S. Coast Guard or disrupted (jettisoned, scuttled or destroyed) as a result of U.S. Coast Guard law enforcement action) in relationship to the estimated Non-Commercial Maritime Movement of cocaine. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 11.5% 16.5% 14.1% 13.9% 13.8% 11.5% Target: Result: 13.4% 15.3% 9.5% USCG - 11 11.5% N/A N/A United States Coast Guard - Strategic Context Mission 3: Enforce and Administer Our Immigration Laws Resources Requested USCG resources supporting Enforce and Administer Our Immigration Laws are provided in the table below. $ in thousands Program FY 2015 Revised Enacted $ FTE* 39,294 301 FY 2016 Enacted $ FTE 46,528 319 FY 2017 Request $ FTE 35,728 321 Maritime Law Enforcement Cross-Cutting Capital 181,066 76 180,925 89 151,485 90 Investments and Maintenance Mission Support 19,096 46 19,992 42 20,941 42 423 247,445 450 208,154 453 Total 239,456 *Strategic Contexts reflect reprogrammings/transfers, as applicable, and revised enacted FTE. Tables throughout the CJ submission will use FY 2015 actual FTEs. Performance Measures USCG contributes to this mission, but does not have performance measures in this area. Mission 5: Strengthen National Preparedness and Resilience Resources Requested USCG resources supporting Strengthen National Preparedness and Resilience are provided in the table below. $ in thousands Program Maritime Prevention Maritime Response Maritime Transportation System Management Cross-Cutting Capital Investments and Maintenance Mission Support FY 2015 Revised Enacted $ FTE* 301,742 2,323 702,226 5,576 33,261 495 FY 2016 Enacted $ 370,247 728,327 38,799 FTE 2,465 5,919 526 $ 357,933 701,605 42,994 FTE 2,482 5,961 529 406,122 288 291,286 338 184,752 341 303,137 936 307,856 932 321,967 932 USCG - 12 FY 2017 Request United States Coast Guard - Strategic Context 9,619 1,736,515 10,180 1,609,251 10,245 Total 1,746,488 * Strategic Contexts reflect reprogrammings/transfers, as applicable, and revised enacted FTE. Tables throughout the CJ submission will use FY 2015 actual FTEs. Performance Measures For Strengthen National Preparedness and Resilience, two types of performance measures are presented. Strategic Measures represent USCG’s measures that gauge achievement for this mission area, and are considered to be our Government Performance and Results Act Modernization Act (GPRAMA) performance measures. Additional Management Measures are displayed, as appropriate, to provide a more thorough context of expected performance results. Strategic Measures Measure: Percent of people in imminent danger saved in the maritime environment Description: This is a measure of the percent of people who were in imminent danger on the oceans and other waterways and whose lives were saved by U.S Coast Guard. The number of lives lost before and after the U.S Coast Guard is notified and the number of persons missing at the end of search operations are factored into this percentage. Several factors hinder successful response including untimely distress notification to the U.S Coast Guard, incorrect distress site location reporting, severe weather conditions at the distress site, and distance to the scene. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 77.3% 79.0% 79.0% 80.0% N/A N/A Result: Measure: Three-year average number of serious marine incidents Description: This measure reports the three-year average number of Serious Marine Incidents as defined by 46 CFR 4.03-2, which include: death or injury requiring professional treatment beyond first aid, reportable property damage greater than $100,000, actual or constructive loss of certain vessels, discharge of oil of 10,000 gallons or more; or a discharge of a reportable quantity of a hazardous substance. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A ≤693 ≤701 ≤698 Target: N/A N/A N/A 696 N/A N/A Result: Management Measures Measure: Average number of chemical discharge incidents in the maritime environment Description: This measure is an indicator of the U.S. Coast Guard Program's impact on chemical discharge incidents. It is a moving average of U.S. Coast Guard investigated chemical USCG - 13 United States Coast Guard - Strategic Context discharge incidents into navigable waters of the United States for the past 36 months, divided by the 3-year average annual foreign and domestic short tons (100 million) of Chemical and Chemical Products shipped in U.S. waters. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <=18.4 <=16 <=15.9 <=15.8 <=15.8 <=15.5 Target: 14.2 14.6 15.4 14.2 N/A N/A Result: Measure: Average number of oil spills in the maritime environment Description: This measure is an indicator of the U.S. Coast Guard Prevention Program's impact on significant oil spills. It is a moving average of U.S. Coast Guard investigated oil spills greater than 100 gallons discharged into navigable waters of the United States for the past 36 months, divided by the 3-year average annual foreign and domestic short tons (100 million) of Oil and Oil Products shipped in U.S. waters. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <=11.4 <=11.4 <=11.3 <=11.1 <=11.0 <=10.9 Target: 10.5 10.0 10.3 7.8 N/A N/A Result: Measure: Five-year average number of recreational boating deaths and injuries Description: This measure reports the number of recreational boating fatalities and injuries for the past 60 months and is an indicator of the long-term performance trend of the Coast Guard's Prevention Program impact on recreational boating fatalities and injuries. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: <=3,972 <=3,880 <=3,797 <=3,716 <=3,656 <=3,583 Target: 3,791 3,541 3,462 3,437 N/A N/A Result: USCG - 14 United States Coast Guard - Strategic Context Measure: Percent of time rescue assets are on-scene within 2 hours Description: Time on scene is calculated from the earliest time a Search and Rescue Unit (SRU) is requested to proceed until the earliest time of arrival on scene of an SRU. This includes readiness time, the 30 minutes of preparation time, that provides for underway preps (i.e. engine warm-ups, underway checklist, risk management evaluation, and mission planning) and the transit time, the 90 minutes from underway to on scene based on moderate environmental conditions which allow for operation of the SRUs at their top cruise speeds. To calculate the response times used in the measure, the Coast Guard uses the following equation: Time On Scene = First Sortie On Scene Time minus First Resource Requested Time. The Coast Guard established the 2-hour On Scene Standard in the 1970's and conducted a full review of the standard in 1992. The standard is based on survival expectations in the average weighted water temperatures. The weighting factors into the varying number of incidents occurring regionally. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: 100% 100% 100% 100% 100% 100% Target: 93.5% 92.0% 95.0% 96.0% N/A N/A Result: Measure: Three-year average number of commercial mariner deaths and significant injuries Description: This is a measure of the average annual number of reportable commercial mariner deaths and significant injuries over the past 12 quarters. It is an indicator of the long-term performance impact of the Coast Guard's Maritime Prevention Program on commercial mariner fatalities and injuries. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A <=153 <=148 <=142 Target: N/A N/A N/A 135 N/A N/A Result: Measure: Three-year average number of commercial passenger deaths and significant injuries Description: This is a measure of the average annual number of reportable commercial passenger deaths and significant injuries over the past 12 quarters. It is an indicator of the long­ term performance impact of the Coast Guard's Maritime Prevention Program on commercial passenger fatalities and injuries. Fiscal FY 2012 FY 2013 FY 2014 FY 2015 FY 2016 FY 2017 Year: N/A N/A N/A <=173 <=173 <=172 Target: N/A N/A N/A 135 N/A N/A Result: USCG - 15 United States Coast Guard - Strategic Context Mature and Strengthen Homeland Security Resources Requested USCG resources supporting Mature and Strengthen Homeland Security are provided in the table below. $ in thousands Program FY 2015 Revised Enacted $ FTE* 640 FY 2016 Enacted $ FTE FY 2017 Request $ FTE Cross-Cutting Capital Investments and Maintenance Mission Support 3,127,293 1,015 3,385,512 1,038 3,396,443 1,038 Management and 351,943 301,663 312,502 Administration 1,015 3,687,175 1,038 3,708,945 1,038 Total 3,479,876 * Strategic Contexts reflect reprogrammings/transfers, as applicable, and revised enacted FTE. Tables throughout the CJ submission will use FY 2015 actual FTEs. Performance Measures USCG contributes to this mission, but does not have performance measures in this area. USCG - 16