prompt_front: You are given two reports by the government agency.



Question: Write a one-page summary of the report 1.



Report 2: With the passage of the NDAA in December 2016, PLCY is to be led by an Under Secretary for Strategy, Policy, and Plans, who is appointed by the President with advice and consent of the Senate  The Under Secretary is to report directly to the Secretary of Homeland Security  Prior to the NDAA, the office was headed by an assistant secretary  Since the passage of the act, the undersecretary position has been vacant, and as of June 5, 2018, the President had not nominated an individual to fill the position  According to PLCY officials, elevating the head of the office to an undersecretary was important because it equalizes PLCY with other DHS management offices and DHS headquarters components  The NDAA further authorizes, but does not require, the Secretary to establish a position of deputy undersecretary within PLCY  If the position is established, the NDAA provides that the Secretary may appoint a career employee to the position (i e , not a political appointee)  In March 2018, the Secretary named a Deputy Under Secretary, who has been performing the duties of the Deputy Under Secretary and the Under Secretary since then  As shown in figure 1, PLCY is divided into five sub- offices, each with a different focus area  As of June 5, 2018, the top position in these sub-offices was an assistant secretary and two of the five positions were vacant  As of June 5, 2018, 6 of PLCY’s 12 deputy assistant secretary positions were vacant or filled by acting staff temporarily performing the duties in the absence of permanent staff placement  The NDAA codified many of the functions and responsibilities that PLCY had been carrying out prior to the act’s enactment and, with a few exceptions as discussed later in this report, were largely consistent with the duties the office was already pursuing  According to the act and PLCY officials, one of the office’s fundamental responsibilities is to lead, conduct, and coordinate departmentwide policy development and implementation, and strategic planning  According to PLCY officials, there are four categories of policy and strategy efforts that PLCY leads, conducts, or coordinates: Statutory responsibilities: among others, the Homeland Security Act, as amended by the NDAA, includes such responsibilities as establishing standards of validity and reliability for statistical data collected by the department, conducting or overseeing analysis and reporting of such data, and maintaining all immigration statistical information of U S  Customs and Border Protection, U S  Immigration and Customs Enforcement, and U S  Citizenship and Immigration Services; the Immigration and Nationality Act includes such responsibilities as providing for a system for collection and dissemination to Congress and the public of information useful in evaluating the social, economic, environmental, and demographic impact of immigration laws, and reporting annually on trends in lawful immigration flows, naturalizations, and enforcement actions, Representing DHS in interagency efforts: coordinating or representing departmental policy and strategy positions for larger interagency efforts (e g , interagency policy committees convened by the White House), Secretary’s priorities: leading or coordinating efforts that correspond to the Secretary of Homeland Security’s priorities (e g , certain immigration or law-enforcement related issues), and Self-initiated activities: opportunities to better harmonize policy and strategy or create additional efficiencies given PLCY’s ability to see across the department  For example, PLCY officials said that DHS observed an increase in e-commerce and small businesses shipping items via carriers other than the U S  Postal Service, thus exploiting a gap in DHS monitoring, which covers the U S  Postal Service and other traditional shipping entities  PLCY officials noted that DHS’s interest in addressing e-commerce issues occurred just before opioids and other controlled substances were being mailed through small businesses and the U S  Postal Service  As a result, PLCY developed an e-commerce strategy for, among other things, the shipping of illegal items and how to provide information to U S  Customs and Border Protection before parcels are shipped to the United States from abroad  In accordance with the NDAA, as PLCY leads, conducts, and coordinates policy and strategy, it is to do so in a manner that promotes and ensures quality, consistency, and integration across DHS and applies risk-based analysis and planning to departmentwide strategic planning efforts  The NDAA further provides that all component heads are to coordinate with PLCY when establishing or modifying policies or strategic planning guidance to ensure consistency with DHS’s policy priorities  In addition to the roles PLCY plays that are directly related to leading, conducting, and coordinating policy and strategy, the office is responsible for select operational functions  For example, PLCY is charged with operating the REAL ID and Visa Waiver Programs  The NDAA also conferred responsibilities to PLCY that had not been responsibilities of the DHS Office of Policy prior to the NDAA’s enactment  Among other things, the NDAA charged PLCY with responsibility for establishing standards of reliability and validity for statistical data collected and analyzed by the department, and ensuring the accuracy of metrics and statistical data provided to Congress  In conferring this responsibility, the act also transferred to PLCY the maintenance of all immigration statistical information of the U S  Customs and Border Protection, U S  Immigration and Customs Enforcement, and U S  Citizenship and Immigration Services  PLCY has established five performance goals: build departmental policy-making capacity, coordination, and foster the Unity of Effort, mature the office as a mission-oriented, component-focused organization that is responsive to DHS leadership, effectively engage and leverage stakeholders, enhance productivity and effectiveness of policy personnel through appropriate alignment of knowledge, skills, and abilities, and accountability, transparency, and leadership  PLCY officials stated that the office established the performance goals in fiscal year 2015 and they were still in effect as of fiscal year 2018  As previously discussed, DHS has eight operational components  DHS also has six support components  Although each one has a distinct role to play in helping to secure the homeland, there are operational and support functions that cut across mission areas  For example, nearly every operational component has, as part of its security operations, a need for screening, vetting, and credentialing procedures and risk- targeting mechanisms  Likewise, nearly all operational components have some form of international engagement, deploying staff abroad to help secure the homeland before threats reach U S  borders  Finally, as shown in figure 2, different aspects of broad mission areas fall under the purview of more than one DHS operational component  PLCY is responsible for coordinating three key DHS strategic efforts: the QHSR, the DHS Strategic Plan, and the Resource Planning Guidance  The QHSR is a comprehensive examination of the homeland security strategy of the nation that is to occur every 4 years and include recommendations regarding the long-term strategy and priorities for homeland security of the nation and guidance on the programs, assets, capabilities, budget, policies, and authorities of DHS  The QHSR is to be conducted in consultation with the heads of other federal agencies, key DHS officials (including the Under Secretary, PLCY), and key officials from other relevant governmental and nongovernmental entities  The DHS Strategic Plan describes how DHS can accomplish the missions it identifies in the QHSR report, identifies high-priority mission areas within DHS, and lays the foundation for DHS to accomplish its Unity of Effort Initiative as well as various cross-agency priority goals in the strategic plan, such as cybersecurity  The Resource Planning Guidance describes DHS’s annual resource allocation process in order to execute the missions and goals of the QHSR and DHS Strategic Plan  The Resource Planning Guidance contains guidance over a 5-year period and informs several forward- looking reports to Congress, including the annual fiscal year Congressional Budget Justification as well as the Future Years Homeland Security Program Report  Although PLCY has effectively carried out key coordination functions at the senior level related to strategy, PLCY’s ability to lead and coordinate policy have been limited due to ambiguous roles and responsibilities and a lack of predictable, accountable, and repeatable procedures  According to our analysis and interviews with operational components, PLCY’s efforts to lead and coordinate departmentwide and crosscutting strategies—a key organizational objective—have been effective in providing opportunities for all relevant stakeholders to learn about and contribute to departmentwide or crosscutting strategy development  In this role, PLCY routinely serves as the executive agent for the Deputies Management Action Group and the Senior Leaders Council, which involve analytical and coordination support  PLCY also provides support for deputy- and principal-level decision making  For example, the Strategy and Policy Executive Steering Committee (S&P ESC) meetings have been used to discuss components’ implementation plans for crosscutting strategies, PLCY’s requests for information from components for an upcoming strategy, and updates on departmentwide strategic planning initiatives  According to PLCY and operational component officials, PLCY also provides leadership for the Resource Planning Guidance and Winter Studies, both of which help inform departmentwide resource decision- making  For example, officials from one operational component stated that PLCY’s leadership of the Resource Planning Guidance is a helpful practice for coordination and collaboration on departmentwide or crosscutting strategies  The officials stated that PLCY reaches out to ensure that the component is covering the Secretary’s priorities and this helps the component to ensure that its budget includes them  Furthermore, PLCY develops and coordinates policy options and opinions for the Secretary to present at the National Security Council and other White House-level meetings  For example, PLCY officials told us that, in light of allegations of Russian involvement in using poisonous nerve agents on two civilians in Great Britain, PLCY coordinated the collection of information to develop a policy recommendation for the Secretary to present at a National Security Council meeting  PLCY has encountered challenges leading and coordinating efforts to develop, update, or harmonize policy—also a key organizational objective—because it does not have clearly-defined roles, responsibilities, and mechanisms to implement these responsibilities in a predictable, repeatable, and accountable way  Standards for Internal Control in the Federal Government states that management should establish an organizational structure, assign responsibility, and delegate authority to achieve the entity’s objectives  As such, an organization’s management should develop an organizational structure with an understanding of the overall responsibilities and assign these responsibilities to discrete units to enable the organization to operate in an efficient and effective manner  An organization’s management should also implement control activities through policies  It is important that an organization’s management document and define policies and communicate those policies and procedures to personnel, so they can implement control activities for their assigned responsibilities  In addition, leading collaboration practices we have identified in our prior work include defining and articulating a common outcome, clarifying roles and responsibilities, and establishing mutually-reinforcing or joint strategies to enhance and sustain collaboration, such as the work that PLCY and the components need to do together to ensure that departmentwide and crosscutting policy is effective for all relevant parties  According to PLCY officials, in general, PLCY is responsible for leading the development of a policy when it crosses multiple components or if there is a national implication, including White House interest in the policy  However, PLCY officials acknowledged that this practice does not always make them the lead and there are no established criteria that define the circumstances under which PLCY (or another organizational unit) should lead development of policies that cut across organizational boundaries  PLCY officials said the lead entity for a policy is often announced in an email from the Secretary’s office, on a case-by-case basis  According to PLCY officials, once components have been assigned responsibility for a policy, they have generally tended to retain it, and PLCY may not have oversight for crosscutting policies that are maintained by operational components  Therefore, there is no established, coordinated system of oversight to periodically monitor the need for policy harmonization, revision, or rescission  In the absence of clear roles and responsibilities, and processes and procedures to support them, PLCY and officials in 5 of the 8 components have encountered challenges in coordinating with each other  Although PLCY and most component officials we interviewed described overall positive experiences in coordinating with each other, we identified multiple instances of (1) confusion about which parties should lead and engage in policy efforts, (2) not engaging components at the right times, (3) incompatible expectations around timelines, and (4) uncertainty about PLCY’s role and the extent to which it can and should identify and drive policy in support of a more cohesive DHS  Confusion about who should lead and engage  Officials from one operational component told us that they were tasked with leading a departmentwide policy development effort they believed was outside their area of responsibility and expertise  Officials in another operational component stated that components sometimes end up coordinating among themselves, but that policy development could be more effective and efficient if PLCY took the role of convener and facilitator to ensure the departmentwide perspective is present and all relevant stakeholders participate  Officials from a third component stated that they spent significant time and resources to develop a policy directly related to their component’s mission  As the component got ready to implement the policy, PLCY became aware of it and asked the component to stop working on the policy, so PLCY could develop a departmentwide policy  According to component officials, while they were supportive of a departmentwide policy, PLCY’s timing delayed implementation of the policy the component had developed and wasted the resources it had invested  Moreover, officials from four operational components told us that sometimes counselors from outside PLCY, such as the Secretary’s office, have led policy efforts that seem like they should be PLCY’s responsibility, which created more confusion about what PLCY’s ongoing role should be  PLCY officials agreed that, at times, it has been challenging to define PLCY’s role relative to counselors for the Secretary, and acknowledged that clear guidance to define who is leading which types of policy development and coordination would be helpful  Not engaging components at the right times  Officials from 5 of 8 operational components told us that they had not always been engaged at the right times by PLCY in departmentwide or crosscutting policies that affected their missions  For example, officials from an operational component described a crosscutting policy that had significant implications for some of its key operational resources, but the component was not made aware of the policy until it was about to be presented at the White House  Officials from another component stated that they learned of a new policy after it was in place and had to find significant training and software resources to implement it even though they viewed the policy as unnecessary for their mission  PLCY officials stated that, while they intend to identify all components that should be involved in a policy, there are times when PLCY is unaware a component is developing a policy that affects other components  PLCY officials said they will involve other components when PLCY becomes aware that a component is developing such a policy  PLCY officials stated that it would be helpful to have a process and procedures for cross-component coordination on policies to help guide engagement regardless of who is developing the policy  Incompatible expectations around timelines  Officials at 4 of 8 operational components stated that short timelines from PLCY to provide input and feedback can prevent PLCY from obtaining thoughtful and complete information from components  For example, officials from one component stated that PLCY asked them to perform an analysis that would inform major, departmental decision-making and quickly provide the analysis  Component officials told us that they did not understand why PLCY needed the analysis on such an accelerated timeline, which seemed inappropriate given the level of importance and purpose of the analysis  Officials from another component told us that PLCY had not always provided enough time to provide thoughtful feedback; therefore, component officials were not sure if PLCY really wanted their feedback  Officials from a third component stated that sometimes PLCY did not provide sufficient time for thoughtful input or feedback that had cleared the component’s legal review, so component officials elected to miss PLCY’s deadline and provide late feedback  PLCY officials told us that, frequently, timelines are not within their control, a situation that some component officials also noted during our interviews with them  However, PLCY officials agreed that a documented, predictable, and repeatable process and procedures for policies may help ensure PLCY provides sufficient comment time when in its control and may provide a basis to help negotiate timelines with DHS leadership in other situations  PLCY officials stated that, even with a documented process and procedures, there would still be circumstances when short timelines are unavoidable  Uncertainty about PLCY’s role in driving policy harmonization  Policy officials at 6 of 8 operational components told us that they were unsure or not aware of PLCY’s role in harmonizing policy across the department, and stated a desire for PLCY to be more involved in harmonizing or enhancing departmentwide and crosscutting policy or for greater clarity about PLCY’s responsibility to play this role  As previously discussed, PLCY’s policy and strategy efforts fall into four categories—statutory responsibilities, interagency efforts, Secretary’s priorities, and self- initiated activities; these activities include efforts to better harmonize policies and strategies  According to PLCY officials, the category with the lowest priority is self-initiated activities
Report 2: ccac gov   In tandem with recommendations received from the CCAC, the U S  Mint also seeks a recommendation from the U S  Commission of Fine Arts  Established in 1910, the CFA advises "upon the location of statues, fountains, and monuments in the public squares, streets, and parks in the District of Columbia; the selection of models for statues, fountains, and monuments erected under the authority of the Federal Government; the selection of artists; and questions of art generally when required to do so by the President or a committee of Congress " This includes review of commemorative coins when they are presented by the U S  Mint and the issuance of recommendations for a coin's design  For example, in March 2014, the U S  Mint presented several alternative designs for the First Special Service Force Congressional Gold Medal  In a letter to the U S  Mint, the CFA provided recommendations on the design for the gold medal  CFA's letter stated the following: After receiving advice from the CCAC and the CFA, the Secretary of the Treasury, through the U S  Mint, finalizes the coin's design and schedules it for production  Figure 1 shows the final design of two Congressional Gold Medals: the New Frontier Gold Medal for Neil Armstrong, Michael Collins, Buzz Aldrin, and John Glenn; and the Jack Nicklaus Gold Medal  As Members of Congress contemplate introducing legislation, and the House or the Senate potentially consider Congressional Gold Medal measures, there are several issues that could be considered  These can be divided into issues for individual Members of Congress with respect to individual Congressional Gold Medals, and issues for Congress as an institution  Individual issues include choices Members may make about which people or groups might be honored and whether specific design elements might be specified statutorily  Institutional issues might include committee or chamber rules on the consideration of Congressional Gold Medals and creating standards for the issuance of gold medals  Some Congressional Gold Medals have honored individuals (e g , Arnold Palmer, Muhammad Yunus), some discrete groups of individuals (e g , General of the Army George Catlett Marshall and Fleet Admiral Ernest Joseph King, Ruth and Billy Graham), and some larger groups (e g , military units such as Women Airforce Service Pilots ["WASP"], Monuments Men)  In choosing whom or what to recognize, Members of Congress generally evaluate whether they believe that the individual's or group's activities merit recognition by Congress  Congressional Gold Medals are "the highest civilian honor award program     [to] honor national achievement in patriotic, humanitarian, and artistic endeavors " There are no specific criteria to determine whether or not an individual or group meets those lofty goals  Instead, each individual or group is judged on their merits by Congress should the legislation be considered  Congressional Gold Medal authorizations generally do not specify design elements  Instead, they direct the Secretary of the Treasury to "strike a gold medal with suitable emblems, devices, and inscriptions to be determined by the Secretary " Should Congress want to specify particular design elements, they might be included in the authorizing legislation  This would provide the Secretary of the Treasury with congressional intent on what should be incorporated into the gold medal design  Similar statutory specificity is sometimes included in commemorative coin legislation  Such specification, however, could serve to limit design choices for the gold medal and might alter the cost structure of striking the award, if the required element diverges from standard practices  Congressional Gold Medal legislation for groups generally provides that only a single gold medal is struck and specifies where it will be located after it is formally awarded  In many cases, the gold medal is given to the Smithsonian for appropriate display and where it can be made available for research  In other cases, the gold medal is provided to an organization that represents the honored group  Since most gold medal legislation contains a provision on the medal's location, a Member of Congress can help determine where the medal will be located  As discussed above under " Authorizing Congressional Gold Medals ," neither the House nor Senate rules provide any restrictions specifically concerning consideration of Congressional Gold Medal legislation on the House or Senate floor  In the 116 th Congress, the Senate Committee on Banking, Housing, and Urban Affairs requires that at least 67 Senators must cosponsor any Senate Congressional Gold Medal bill before being considered by the committee  Currently, the House Financial Services Committee has not adopted any specific rules concerning committee consideration of Congressional Gold Medal legislation, although it has required a minimum number of cosponsors in past Congresses for committee consideration  As demonstrated by the discontinuation of the House Financial Services Committee rule requiring a minimum number of cosponsors for committee gold medal legislation, committee rules can be changed from Congress to Congress  Should the committee want to place requirements on its consideration of gold medal legislation, the Financial Services Committee could readopt its former rule, or something similar  Adopting committee rules to require a minimum number of cosponsors might encourage bill sponsors to build support among Representatives for gold medal bills  Such a minimum requirement, however, could potentially limit the number or type of gold medal bills the committee considers  Since only the Senate Committee on Banking, Housing, and Urban Affairs has a rule that imposes a formal qualification on the potential committee consideration of gold medal legislation, the possible path forward for a bill can be different within each chamber  Should the House, the Senate, or both want to adopt similar language for committee or chamber consideration of gold medal legislation, such language could be incorporated into future committee rules, into House and Senate Rules, or into law  Taking steps to formally codify the gold medal consideration process might provide sponsors with a single process for award consideration, which could make it easier for gold medal bills to meet minimum requirements for consideration across both the House and Senate  Such codification could also limit congressional flexibility and might result in fewer proposals or authorizations to comply with new standards  Currently, there is no statutory limit to the number of Congressional Gold Medals that can be authorized  Should Congress want to place a limit on the number of gold medals awarded, standards could be adopted to provide a maximum number of gold medals authorized in any year or Congress  Congress has previously adopted similar standards for commemorative coins—only two coins may be minted in any given calendar year  Legislation to place a limit on the number of gold medals authorized has previously been introduced and considered in the House  During the 109 th Congress (2005-2006), H R  54 passed the House and would have restricted the Secretary of the Treasury from striking "more than 2 congressional gold medals for presentation     in any calendar year " Introduced by Representative Michael Castle, the stated purpose of the legislation was to "maintain the prestige of the medal by limiting the number that may be awarded each year," and to "clarify that recipients are individuals and not groups " Passage of the measure, he argued, would "ensure the future integrity and true honor of the award " H R  54 did not receive further consideration in the Senate  While proponents of a limit on the number of gold medals issued might make arguments similar to those made by Representative Castle, opponents believe that Congress should reserve the right to authorize as many gold medals as it deems necessary, without consideration of the number struck in any calendar year  Representative Joseph Crowley in opposing the legislation told his House colleagues, "We are rushing to act on an issue that does not represent a problem " "Who that received this medal in the past," he asked, "was not worthy of it?" Further, Crowley argued that "there are occasions when more than one person is justified to receive the medal for their honorable actions in tandem with others " He continued by emphasizing that had this bill already been law, "Congress would not have been able to issue" a Congressional Gold Medal "to the Little Rock Nine," to "President and Mrs  Reagan," or to "Martin Luther King and Coretta Scott King " Congressional Gold Medals have long been an important way for Congress to express public gratitude for important historical events and achievements  Congressional Gold Medals, which have been issued since the American Revolution, are "the highest civilian honor award program     [to] honor national achievement in patriotic, humanitarian, and artistic endeavors " In recent years, the number of gold medals awarded has "soared from four or five per decade for most of its history to an average of almost twenty in the 1980s, 1990s, and 2000s " Each Congress, legislation to award Congressional Gold Medals is introduced  In the 113 th Congress (2013-2014), 52 bills were introduced, 34 in the House and 18 in the Senate, to award a gold medal  In the 114 th Congress (2015-2016), 52 bills were introduced, 38 in the House and 14 in the Senate  In the 115 th Congress (2017-2018), 55 bills were introduced, 33 in the House and 22 in the Senate  Based on the number of measures offered in both chambers, some Members of Congress clearly feel it is important to recognize individuals and groups for their patriotic, humanitarian, and artistic achievements  Several considerations appear important when Members decide to introduce gold medal legislation  These include who should be honored, how many medals should be awarded in a given Congress, and whether specific design elements should be prescribed for the medal design  As Congress continues to consider legislation to award future gold medals, these considerations and others will likely be important factors for issuing the award 

ground_truth: The Consolidated Appropriations Act, 2019 (P.L. 116-6), was signed into law on February 15, 2019. The act included a total of $647.0 million in funding for three trade-related agencies under the Commerce, Justice, Science and Related Agencies (CJS) account—the International Trade Administration (ITA), the U.S. International Trade Commission (USITC), and the office of the United States Trade Representative (USTR). This represents a 0.2% decrease from FY2018 appropriations. For FY2019, the Consolidated Appropriations Act, 2019, included $484.0 million in direct appropriations for ITA (a 0.4% increase from the FY2018 appropriation), $95.0 million in funding for USITC (a 1.4% increase), and a total of $68.0 million for USTR (a 0.2% decrease). The Administration's Request On February 12, 2018, the Trump Administration submitted its FY2019 budget request to Congress. The FY2019 proposal included a total of $590.8 million for the three CJS trade-related agencies, an 8.9% decrease from FY2018 total appropriated amounts for these agencies. The Administration requested reducing funding for all three trade-related agencies. For FY2019, the request included $440.1 million in direct funding for ITA (an 8.7% decrease from the FY2018 appropriation), $87.6 million for USITC (a 6.5% decrease), and $63.0 million for USTR (a 13.2% decrease). Congressional Actions In the spring of 2018, the House and Senate reported FY2019 CJS appropriations bills, which included proposed funding for ITA, USITC, and USTR. The reported bills did not adopt many of the Administration's budget reductions, and instead proposed funding levels that were more similar to the FY2018-enacted amounts. The House Committee on Appropriations reported H.R. 5952 on May 17, 2018. The House proposal recommended a total of $647.6 million for the three CJS trade-related agencies. This proposal was $56.8 million more (9.6%) than the Administration's request, and $0.7 million less (-0.1%) than the FY2018-enacted legislation. The House committee proposed $480.0 million in direct funding for ITA, $95.0 million for USTIC, and a total of $72.6 million for USTR, comprised of $57.6 million for salaries and expenses and an additional $15.0 million from the Trade Enforcement Trust Fund for trade enforcement activities as authorized by the Trade Facilitation and Trade Enforcement Act of 2015 (P.L. 114-125). The Senate Committee on Appropriations reported S. 3072 on June 14, 2018. The Senate committee-reported proposal recommended a total of $655.6 million for the three CJS trade-related agencies. This is $64.8 million (11.0%) more than the Administration's request and $7.3 million (1.1%) more than the FY2018-enacted appropriations. The Senate committee proposed $488.0 million in direct funding for ITA, $95 million for USITC, and a total of $72.6 million for USTR, comprised of $57.6 million for salaries and expenses and an additional $15.0 million from the Trade Enforcement Trust Fund for trade enforcement activities. After three continuing resolutions and a three-week lapse in funding, Congress passed the Consolidated Appropriations Act. 2019 (P.L. 116-6), which was signed into law on February 15, 2019. The act included a total of $647.0 million in funding for the three trade-related agencies, which represented a 0.2% decrease from FY2018 funding levels.

prompt_front: You are given two reports by the government agency.



Question: Write a one-page summary of the report 2.

Report 1: This report provides an overview of the FY2019 budget request and appropriations for the International Trade Administration (ITA), the U S  International Trade Commission (USITC), and the Office of the United States Trade Representative (USTR)  These three trade-related agencies are funded through the annual Commerce, Justice, Science, and Related Agencies (CJS) appropriations  This report also provides a review of these trade agencies' programs  When comparing the Administration's FY2019 request with FY2018 funding, one may want to consider that the Administration formulated its FY2019 budget request before full-year appropriations for FY2018 were enacted  In this report, FY2018 funding levels reflect the amounts appropriated in the Consolidated Appropriations Act, 2018 ( P L  115-141 ), enacted on March 23, 2018  The Consolidated Appropriations Act, 2018, provided $482 0 million in direct funding for ITA, $93 7 million for USTIC, and a total of $72 6 million for USTR for FY2018  The FY2018 appropriation for the three CJS trade-related agencies totaled $648 3 million  The Consolidated Appropriations Act, 2019, provided $484 0 million in direct appropriations for ITA, $95 0 million in funding for USITC, and a total of $68 0 million for USTR  The FY2019 appropriations for three CJS trade-related agencies totaled $647 0 million, a 0 2% decrease from FY2018 appropriations  See the Appendix for enacted budget authority for the trade-related agencies for FY2009-FY2019  The President submitted his FY2019 budget request to Congress on February 12, 2018  In it, the Administration requested a total of $590 8 million for the three CJS trade-related agencies (see Table 1 )  This request represented an 8 9% decrease in funding from the FY2018 appropriated amount  The request included reduced funding for all three trade agencies: $440 1 million in direct funding for ITA (an 8 7% decrease from the FY2018 appropriation), $87 6 million for USITC (a 6 5% decrease), and $63 0 million for USTR (a 13 2% decrease)  Despite the proposed overall decrease in funding for CJS trade-related agencies, the Administration proposed increasing some trade enforcement activities within ITA and USTR  For ITA, the Administration proposed increasing trade enforcement activities while reducing funding for certain export promotion activities  For USTR, the Administration requested funds to increase staffing; however, the request did not include a request for funding to be drawn from the Trade Enforcement Trust Fund  (For a description of the " Trade Enforcement Trust Fund ," see section below ) The President's budget did not provide a rationale for requesting a decrease in funding for USITC  A more detailed overview of these agencies' FY2019 budget requests is provided below  The House and Senate Appropriations Committees reported their CJS appropriation bills in the spring of 2018  Both committees largely declined the budget cuts requested by the Administration for these three trade agencies  (See Table 1  ) The House Committee on Appropriations reported H R  5952 on May 17, 2018  The House committee bill included a total of $647 6 million for the three trade-related agencies, which was $56 8 million more (9 6%) than the Administration's request and $0 7 million less (-0 1%) than the FY2018-enacted amount  The House committee recommended $480 0 million in direct funding for ITA, $95 0 million for USTIC, and a total of $72 6 million for USTR  The Senate Committee on Appropriations reported S  3072 on June 14, 2018  The Senate bill included a total of $655 6 million for the three agencies, which was $64 8 million (11 0%) more than the Administration's request and $7 3 million (1 1%) more than the FY2018-enacted appropriation  The Senate committee recommended $488 0 million in direct funding for ITA, $95 0 million for USITC, and a total of $72 6 million for USTR  Through February 15, 2019, the CJS trade-related agencies operated under continuing resolutions (CR)—with the exception of a three-week lapse in funding when agencies halted most operations  Congress passed final FY2019 appropriations in the Consolidated Appropriations Act, 2019 ( P L  116-6 ), which was signed into law on February 15, 2019  The act included a total of $647 0 million in funding for the three trade-related agencies—a 0 2% decrease from FY2018 appropriations  For FY2019, the Consolidated Appropriations Act, 2019, included $484 0 million in direct appropriations for ITA (a 0 4% increase from the FY2018 appropriation), $95 0 million in funding for USITC (a 1 4% increase), and a total of $68 0 million for USTR (a 0 2% decrease)  Within the Department of Commerce, ITA's mission is to improve U S  prosperity by strengthening the competitiveness of U S  industry, promoting trade and investment, and ensuring compliance with trade laws and agreements  ITA provides export promotion services; works to enforce and ensure compliance with trade laws and agreements; administers trade remedies such as antidumping and countervailing duties; and provides analytical support for ongoing trade negotiations  ITA went through a major organizational change in October 2013 in which it consolidated four organizational units into three more functionally aligned units: (1) Global Markets; (2) Industry and Analysis; and (3) Enforcement and Compliance  ITA also has a fourth organizational unit, the Executive and Administrative Directorate, which is responsible for providing policy leadership, information technology support, and administration services for all of ITA  ( Table A-1 shows budget amounts for ITA by unit between FY2009 and FY2019 ) For FY2019, the Administration requested $440 1 million for ITA in direct funding, with an additional $11 0 million to be collected in user fees, for a total of $451 1 million in authorized spending  The request for direct funding represents a $41 9 million decrease (-8 7%) from the FY2018-enacted amount ($482 0 million)  According to ITA's budget justification, the Administration proposed increasing ITA's enforcement and compliance efforts in FY2019, while deemphasizing other initiatives, such as export promotion  The Administration specifically proposed closing some domestic and international offices of the United States and Foreign Commercial Service (US&FCS)  The House committee-reported H R  5952 proposed $480 0 million for ITA in direct funding, with an additional $11 0 million to be collected from user fees, for a total of $491 0 million in authorized spending  The amount in direct funding proposed by the House Committee on Appropriations was $39 9 million (9 1%) more than the Administration's request and $2 0 million less (-0 4%) than the FY2018-enacted amount  The Senate committee-reported S  3072 included $488 0 million in direct funding for ITA, with an additional $11 0 million in user fees, for a total of $499 0 million in authorized spending  The amount in direct funding proposed by the Senate Committee on Appropriations was $47 9 million (10 9%) more than the Administration's request and $6 0 million (1 2%) more than the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ) provided $484 0 million in direct appropriations for ITA, with an additional $11 0 million to be collected in user fees, for a total of $495 0 in authorized spending  The act provided $2 million more (0 4%) in direct appropriations for ITA than the FY2018-enacted amount and $43 9 million more (10 0%) than the Administration's request  ITA's Global Markets (GM) unit is a combination of the United States and Foreign Commercial Service (US&FCS) unit, a program that provides export promotion services to U S  businesses, and SelectUSA, a program that works to attract foreign investment into the United States  Through US&FCS, GM promotes U S  exports by helping U S  exporters research foreign markets and identify opportunities abroad  GM's country and regional experts―in domestic and overseas offices—help to advise U S  companies on market access, local standards, and regulations  The unit also helps to make connections through business-to-business trade shows, fairs, and missions  GM is designed to advance U S  commercial interests by engaging with foreign governments and U S  businesses, identifying and resolving market barriers, and leading efforts that advocate for U S  firms with foreign governments  Through its SelectUSA program, the GM unit also promotes the United States as a destination for foreign investment  (For more on SelectUSA, see section below, " SelectUSA Program  ") For FY2019, the Administration proposed reducing funding for the Global Markets unit  The Administration requested $276 5 million for Global Markets in direct funding, a 13 4% decrease from the FY2018-enacted appropriation  In its FY2019 budget submission, ITA proposed "rescaling export promotion" activities in the GM unit by reducing staff and its domestic and overseas offices, with a total reduction of 133 positions  The budget submission did not indicate how many or which domestic and overseas offices it was proposing to close  The House and Senate Appropriation Committees did not adopt the proposed cuts  The House Appropriations Committee recommended $319 0 million for the Global Markets unit for FY2019  This was $42 5 million (15 4%) more than the Administration's request  According to the committee report, "the recommendation does not adopt the proposal to reduce U S  and Foreign Commercial Service staff or close overseas offices or U S  Export Assistance Centers " The Senate Appropriations Committee report did not provide an exact funding amount, but recommended that ITA "fund US&FCS, and its core mission of export promotion, at the highest possible level in fiscal year 2019, and at no less than the amount provided in fiscal year 2018 " Like the House committee, the Senate committee did not adopt the Administration's proposal to close offices  The Senate committee report specifically noted, "No offices shall be closed in fiscal year 2019 unless the Committee approves a reprogramming request to close such office or offices  Additionally, the Committee will not approve requests to close any domestic offices, called U S  Export Assistance Centers, if such Center is the only one located in a given State " According to the conference report accompanying the Consolidated Appropriations Act, 2019 ( P L  116-6 ), the final agreement for FY2019 appropriations included "no less than $320 million" in funding for Global Markets and required ITA to report quarterly to the Committees on staffing levels within the US&FCS  ITA's Industry and Analysis unit brings together ITA's industry, trade, and economic experts to advance the competitiveness of U S  industries through the development and execution of international trade and investment policies, export promotion strategies, and investment promotion  It develops economic and international policy analysis to improve market access for U S  businesses, and designs and implements trade and investment promotion programs  The unit serves as the primary liaison between U S  industries and the federal government on trade and investment promotion  It administers programs that support small and medium-sized enterprises, such as the Market Development Cooperator Program  For FY2019, the Administration requested $52 3 million for Industry and Analysis  The request is $3 4 million less than the FY2018 funding level  The Administration proposed refocusing some of the unit's priorities away from export promotion and toward trade enforcement  Specifically, the Administration proposed reducing activities related to trade missions, the International Buyer Program, and certified trade fairs, and eliminating Market Development Cooperator Program grants  The House committee proposed $52 0 million for Industry and Analysis  This represented $0 3 million less (-0 5%) than the Administration's request  The Senate committee-reported bill did not include a specific recommendation for Industry and Analysis  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), did not provide an exact funding guidance for Industry and Analysis  The mission of ITA's Enforcement and Compliance unit is to enforce U S  trade laws and ensure compliance with negotiated international trade agreements  It is responsible for enforcing U S  antidumping and countervailing duty (AD/CVD) laws; overseeing a variety of programs and policies regarding the enforcement and administration of U S  trade remedy laws; assisting U S  industry and businesses with unfair trade matters; and administering the Foreign Trade Zone program and other U S  import programs  For FY2019, the Administration requested $90 6 million for the Enforcement and Compliance unit, an increase of $3 1 million (3 6%) from the FY2018-enacted amount  For the requested increase in funding, ITA cited the unit's increasing number of AD/CVD investigations, its new focus on self-initiating AD/CVD cases, and the increased workload due to the tariffs and investigations initiated through Section 232 of the Trade Expansion Act of 1962  The House Appropriations Committee proposed $85 5 million for Enforcement and Compliance  The House committee proposal represented $2 1 million less (-2 3%) than the Administration's request, and $1 0 million (1 1%) more than the FY2018-enacted amount   The Senate Committee on Appropriations recommended $91 5 million for Enforcement and Compliance  The Senate recommendation represented $0 9 million more than the Administration's request and $4 0 million more than the 2018-enacted amount  The Senate committee report noted that the committee was supportive of the Administration's request to self-initiate AD/CVD cases  For FY2019 appropriations, the conference report accompanying the Consolidated Appropriations Act, 2019 ( P L  116-6 ), included $88 5 million for Enforcement and Compliance  This amount was $1 0 million more (1 1%) than the FY2018 funding, and $2 1 million less (-2 1%) than the Administration's request  USITC is an independent, quasi-judicial agency responsible for conducting trade-related investigations and providing independent technical advice related to U S  international trade policy to Congress, the President, and the USTR  The commission (1) investigates and determines whether imports injure a domestic industry or violate U S  intellectual property rights; (2) provides independent tariff, trade, and competitiveness-related analysis to the President and Congress; and (3) maintains the U S  tariff schedule  USITC also serves as a federal resource for trade data and other trade policy information  It makes most of its information and analyses available to the public to promote understanding of competitiveness, international trade issues, and the role that international trade plays in the U S  economy  In addition to the President's budget request for the commission, USITC also has bypass authority to submit its budget directly to Congress without revision by the President, pursuant to Section 175 of the Trade Act of 1975  For FY2019, the President requested $87 6 million for USITC, which represented a $6 1 million decrease (-6 5%) from the FY2018-enacted amount ($93 7 million)  While the President requested a decrease in funding for USITC, the commission's independent budget submission—sent directly to Congress without revision by the President—requested $97 5 million for FY2019, an increase of $3 8 million (4 0%) from the FY2018-enacted amount  USITC cited the increasing number of import injury cases in the previous five years and projected that the caseload would increase further in FY2019  Both the House and Senate committee-reported bills recommended $95 0 million for USITC  This amount was $7 4 million (8 4%) more than the President's request and $1 3 million (1 4%) more than the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided $95 0 million for USITC, which was $7 4 million (8 4%) more than the President's request and $1 3 million (1 4%) more than the FY2018-enacted amount  USTR, located in the Executive Office of the President, is responsible for developing and coordinating U S  international trade and direct investment policies  USTR is the President's chief negotiator for international trade agreements, including commodity and direct investment negotiations  It negotiates directly with foreign governments to create trade agreements, resolve disputes, and participate in global trade policy organizations such as the World Trade Organization  It also meets with business groups, policymakers, and public interest groups on trade policy issues  In 2018, USTR led the negotiations for the modernization of the North American Free Trade Agreement (NAFTA) and the investigations into Chinese intellectual property practices  In addition to direct appropriations for USTR, supplementary funding for the agency is available through the congressionally established Trade Enforcement Trust Fund  For more detail on the trust fund, see section " Trade Enforcement Trust Fund ," below  For FY2019, the Administration requested $63 0 million for USTR's salaries and expenses, and no additional funding from the Trade Enforcement Trust Fund  The request represents a $9 6 million decrease (-13 2%) from the FY2018-enacted amounts ($72 6 million)  In the Administration's budget request, USTR outlined the Trump Administration's "aggressive trade agenda," and its goals of "(1) defending U S  national sovereignty over trade policy; (2) strictly enforcing U S  trade laws; (3) using all possible sources of leverage to encourage other countries to open their markets to U S  exports of goods and services, and protecting U S  intellectual property rights; and (4) negotiating better trade deals with countries in key markets around the world " Both the House and Senate committee-reported bills recommended a total of $72 6 million for USTR for FY2019  These proposals included $57 6 million for USTR's salaries and expenses and $15 0 million from the Trade Enforcement Trust Fund for enforcement activities authorized in Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015 ( P L  114-125 )  The total proposals were $9 6 million (15 2%) more than the Administration's request, and were equal to the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided a total of $63 0 million for USTR, which included $53 0 million in salaries and expenses for USTR and an additional $15 0 million to be derived from the Trade Enforcement Trust Fund  The total funding was $4 6 million less (-6 3%) than the FY2018 appropriated amount  Over the past decade, Congress has provided funding for specific trade-related programs, including (1) China trade enforcement and compliance activities; (2) trade promotion and attracting foreign direct investment to the United States through ITA's SelectUSA program; and (3) trade enforcement activities through the Trade Enforcement Trust Fund and the Interagency Center on Trade Implementation, Monitoring, and Enforcement (ICTIME, formerly the Interagency Trade Enforcement Center (ITEC))  Since 2004, Congress has dedicated some of ITA's funding to AD/CVD enforcement and compliance activities with respect to China and other nonmarket economies  ITA's Office of China Compliance was established by the Consolidated Appropriations Act of 2004 ( P L  108-199 )  Its primary role has been to enforce U S  AD/CVD laws and to develop and implement other policies and programs aimed at countering unfair foreign trade practices in China  ITA's China Countervailing Duty Group was established in FY2009 to accommodate the workload that resulted from the application of countervailing duty law to imports from nonmarket economy countries  The Office of China Compliance is within the Enforcement and Compliance unit at ITA  ITA's FY2019 budget justification did not provide a breakdown of funding for its China AD/CVD activities  Both the House and Senate committee-reported bills included $16 4 million from ITA's funding for China AD/CVD enforcement and compliance activities for FY2019  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided $16 4 million from ITA's funding for China AD/CVD enforcement and compliance activities for FY2019  This amount was equal to the FY2018-enacted amount  SelectUSA was created in 2011 and is now part of ITA's Global Markets unit  It coordinates investment-related resources across more than 20 federal agencies to (1) promote the United States as an investment market and (2) address investor climate concerns that may impede investment in the United States  The program serves as an information resource for international investors and advocates for U S  cities, states, and regions as investment destinations  ITA's budget justification did not provide a breakdown for requested funding for SelectUSA  The House committee-reported bill did not propose a specific funding amount for SelectUSA  The Senate committee report recommended $10 0 million in funding for SelectUSA, an amount equal to the FY2018-enacted amount  The Senate Committee on Appropriation proposed making funding contingent on (1) SelectUSA updating its protocol to ensure that its programs did not encourage foreign investments by state-owned entities into the United States and (2) SelectUSA reporting its updated protocol to the committee within 30 days of enactment of the bill  According to the conference report accompanying the Consolidated Appropriations Act, 2019 ( P L  116-6 ), the final agreement adopted the Senate committee report language regarding SelectUSA  ITA's Survey of International Air Travelers (SIAT) gathers statistics about air passenger travelers in the United States  These statistics are used across federal agencies, for a variety of purposes, such as to estimate the contribution of international travel to the economy, develop public policy on the travel industry, and forecast staffing needs at consulates and ports of entry  The Administration requested $5 0 million for FY2019 for SIAT to expand the survey and data collection  The Administration proposed that "$5 million in fee revenues collected from the surcharge on international travelers utilizing the Electronic System for Travel Authorization (ESTA) be redirected to fully fund the SIAT " The House committee-reported bill did not include a specific recommendation for SIAT  According to the Senate committee report, the Senate Committee on Appropriations did not adopt the Administration's proposal to seek alternative funding sources for SIAT and "direct[ed] ITA to continue funding SIAT out of its base budget  Within funds provided, ITA [was] encouraged to increase the sample size for SIAT " The Consolidated Appropriations Act, 2019 ( P L  116-6 ), and the accompanying conference report did not provide specific language regarding SIAT  In order to provide additional funding for USTR's trade enforcement activities, Congress established the Trade Enforcement Trust Fund (TETF) in 2016  In Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015 ( P L  114-125 ), Congress set up the trust fund and outlined authorized uses of the funds  According to Section 611(d), USTR can use funds from the TETF to monitor and enforce trade agreements and WTO commitments and to support trade capacity-building assistance to help partner countries meet their free-trade agreement obligations and commitments  USTR can also transfer funds to select federal agencies for trade enforcement activities authorized in Section 611(d) of the Trade Facilitation and Trade Enforcement Act of 2015  For FY2019, the Administration requested no funding to be derived from the TETF; the FY2018-enacted amount was $15 0 million  Both the House and Senate committee bills proposed $15 0 million from the TETF for enforcement activities authorized in Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015  These proposals were equal to the FY2018-enacted amount  The Consolidated Appropriations Act, 2019 ( P L  116-6 ), provided $15 0 million to be derived from the TETF for USTR, for enforcement activities authorized in Section 611 of the Trade Facilitation and Trade Enforcement Act of 2015  This amount is equal to the FY2018-enacted amount  ITEC was established by executive order in 2012 to take a "whole-of-government" approach to monitoring and enforcing U S  trade rights by using expertise from across the federal government  In 2016, the ITEC was succeeded by ICTIME, which Congress established through the Trade Facilitation and Trade Enforcement Act of 2015 ( P L  114-125 )  The executive-established ITEC received its funding through ITA; funding for ICTIME is now appropriated through USTR  ICTIME's purpose is to advance U S  trade policy through strengthened and coordinated enforcement of U S  trade rights  ICTIME investigates potential disputes under the auspices of the World Trade Organization; inspects potential disputes pursuant to bilateral and regional trade agreements to which the United States is a party; and carries out the functions of USTR with respect to the monitoring and enforcement of trade agreements to which the United States is a party  USTR and ITA work closely within the ICTIME to identify issues and develop information in areas of economic importance to U S  industries  The USTR's budget justification did not provide a breakdown for requested funding for ICTIME  The House and Senate committee-reported bills did not include a specific funding amount for ICTIME  The Senate committee report did note that the Senate committee supports ICTIME within the funds provided for USTR  The Consolidated Appropriations Act, 2019 ( P L  116-6 ) and the accompanying conference report also did not provide specific language regarding ICTIME 


Report 2:  PLCY officials stated that PLCY makes tradeoffs and rarely chooses to work on self-initiated projects over its other three categories of effort  According to the officials, PLCY’s work on the other three higher-priority categories is sufficient to ensure that the office is effectively leading, conducting, and coordinating strategy and policy across the department  Given its organizational position and strategic priorities, PLCY is uniquely situated to identify opportunities to better harmonize or enhance departmentwide and crosscutting policy, a role that is in line with its strategic priority to build departmental policymaking capacity and foster Unity of Effort  In the absence of clear articulation of the department’s expectations for PLCY in this role, it is difficult for PLCY and DHS leadership to make completely informed and deliberate decisions about the tradeoffs they make across any available resources  In addition to statutory authority that PLCY received in the NDAA, PLCY officials stated that a separate, clear delegation of authority—a mechanism by which the Secretary delegates responsibilities to other organizational units within DHS—is needed to help confront the ambiguous roles it has experienced in the past  PLCY officials stated that past efforts to finalize a delegation of authority have stalled during leadership changes and that the initiative has been a lower priority, in part, due to where PLCY is in its maturation process and DHS is in its evolution into a more cohesive department under the Unity of Effort  As of May 2018, the effort had been revived, but it is not clear whether and when DHS will finalize it  According to a senior official in the Office of the Under Secretary for Management, a delegation of authority is important for PLCY  He described the creation of a delegation of authority as a process that does more than simply delegate the Secretary’s authority  He noted that defining PLCY’s roles and responsibilities in relation to other organizational units presents an opportunity to engage all relevant components and agree on appropriate roles  He said that, earlier in the organizational life of the Office of the Under Secretary for Management, it went through a process like this, which has been vital in it being able to carry out its mission  He said now that PLCY has a deputy undersecretary in place, this is a good time to restart the process to develop the delegation of authority  Until the delegation or a similar process clearly and fully articulates PLCY’s roles and responsibilities, PLCY and the operational components are likely to continue to experience limitations in collaboration on crosscutting and departmentwide policy  PLCY determines its workforce needs through the annual budget process, but systematic identification of workforce demand, capacity gaps, and strategies to address them could help ensure that PLCY’s workforce aligns with its and DHS’s priorities and goals  To determine its workforce needs each year, PLCY officials told us that, as part of the annual budget cycle, they work with PLCY staff and operational components to determine the scope of activities required for each PLCY area of responsibility and the associated staffing needs  PLCY officials said there are three skill sets needed to carry out the office’s responsibilities: policy analysis, social science analysis, and regional affairs analysis  PLCY officials explained that the office’s priorities can change rapidly as events occur and the Secretary’s and administration’s priorities shift  Therefore, according to PLCY officials, their staffing model must be flexible  They said that, rather than a defined system of full-time equivalents with set position types and levels, PLCY officials start with their budget allotment and consider current and potential emerging needs to set position types and levels, which may fluctuate significantly from year to year  In addition, PLCY officials stated that PLCY staff are primarily generalists and, given the versatility in skill sets of their workforce, PLCY has a lot of flexibility to move staff around if there is an emerging need  For example, if there is an emerging law enforcement issue that affects all law enforcement agencies, PLCY may be tasked with developing a policy to ensure the issue is addressed quickly and that the resulting policy is harmonized across the department and with other law enforcement agencies, such as the Department of Justice  While PLCY completes some workforce planning activities as part of its annual budgeting process, PLCY does not systematically address several aspects of the DHS Workforce Planning Guide that may create more efficient operations and greater alignment with DHS priorities  According to the DHS Workforce Planning Guide, workforce planning is a process that ensures the right number of people with the right skills are in the right jobs at the right time for DHS to achieve the mission  This process provides a framework to: align workforce planning to the department’s mission and goals, predict, then assess how evolving missions, new processes, or environmental conditions may impact the way that work will be performed at DHS in the future, identify gaps in capacity, develop and implement strategies and action plans to address capacity and capability gaps, and continuously monitor the effectiveness of action plans and modify, as necessary  The DHS Workforce Planning Guide stipulates that an organization’s management should not only lead and show support during the workforce planning process, but ensure alignment with the strategic direction of the agency  Moreover, Standards for Internal Control in the Federal Government states that management should use quality information to achieve the entity’s objectives  For example, management uses an entity’s operational processes to make informed decisions and evaluate the entity’s performance in achieving key agency objectives  According to PLCY officials, the current staffing paradigm involves shifting the office’s staff when new and urgent issues arise from the Secretary or White House, and adding these unexpected tasks to staff’s existing responsibilities  However, this means that tradeoffs are made, resulting in some priority items taking longer to address or not getting attention at all  PLCY officials stated that they have been caught off-guard at times by changes in demands placed on PLCY and had to scramble to address the new needs  Additionally, PLCY officials said they have a number of vacancies, which hamper the office’s ability to meet certain aspects of its mission  For example, PLCY’s Office of Cyber, Infrastructure, and Resilience was created in 2015  According to PLCY officials, PLCY has had some resources to address cyber issues, however, there has not been funding to staff this office and an assistant secretary has not been appointed to lead it  Therefore, PLCY officials stated that PLCY has not been able to address its responsibilities for infrastructure resilience  Similarly, PLCY has limited capacity for risk analysis  A provision of the NDAA provides that PLCY is to: develop and coordinate strategic plans and long-term goals of the department with risk-based analysis and planning to improve operational mission effectiveness, including consultation with the Secretary regarding the quadrennial homeland security review under section 707 [6 U S C  § 347]  However, PLCY officials acknowledged that their focus on identifying needs for risk analyses and conducting them has been limited, in part, because DHS disbanded the risk management office  Officials from one component told us that they contribute to a report that PLCY coordinates, called Homeland Security National Risk Characteristics, which is prepared as a precursor to the DHS Strategic Plan  PLCY officials stated that, outside of these foundational documents and some risk-based analyses completed as part of specific policy development efforts, PLCY does not have the capacity to complete any additional risk analysis activities  Although PLCY officials said they conduct some analysis of potential demands as a starting point for how to allocate PLCY’s annual staffing budget, these efforts are largely informal and internal and have not resulted in a systematic analysis that provides PLCY and DHS management with the information they need to understand the effects of resource tradeoffs  Also, PLCY officials said they track accomplishments toward PLCY’s strategic priorities as part of a weekly meeting and report, however, officials acknowledged they do not analyze what role workforce decisions have played in achieving or not achieving strategic priorities  Moreover, although PLCY officials stated that they have intermittent, in- person, informal communication about resource use, they have not used the principles outlined in the DHS Workforce Planning Guide to systematically identify and communicate workforce demands, capacity gaps, and strategies to address workforce issues  According to PLCY officials, they have not conducted such analysis, in part, because the Secretary’s office has not requested it of them or the other DHS offices that are funded in the same part of the DHS budget  Regardless of whether the Secretary expects workforce analysis as part of the budgeting process, the DHS Workforce Planning Guide could be used within and outside of the budgeting process to help inform resource decision making throughout the year  PLCY officials stated that at the PLCY Deputy Under Secretary’s initiative, they recently began a review of all relevant statutory authorities, which they will map against the current organizational structure and day- to-day operations  The Deputy Under Secretary plans to use the results of the review to enhance PLCY’s efficiency and effectiveness, and the results could serve as a foundation for a more holistic and systematic analysis of workforce demand, any capacity gaps, and strategies to address them  Employing workforce planning principles—in particular, systematic identification of workforce demand, capacity gaps, and strategies to address them—consistent with the DHS Workforce Planning Guide could better position PLCY to use its workforce as effectively as possible under uncertain conditions  Moreover, using the DHS guide would help PLCY to systematically communicate information about any workforce gaps to DHS leadership, so there is transparency about how workforce tradeoffs affect PLCY’s ability to support DHS goals  As discussed earlier, officials from PLCY and DHS operational components praised existing mechanisms to coordinate and communicate at the senior level, especially about strategy  However, component officials identified opportunities for PLCY to better connect at the staff level to identify and respond to emerging policy and strategy needs  Leading practices for collaboration that we have identified in our prior work state that it is important to ensure that all relevant participants have been included in a collaborative effort, and positive working relationships among participants from different agencies or offices can bridge organizational cultures  These relationships build trust and foster communication, which facilitate collaboration  Also, as previously stated, PLCY has mechanisms like the S&P ESC to communicate and coordinate with operational components and other DHS stakeholders at the senior level (e g , Senior Executive Service officials)  However, PLCY does not have a mechanism to effectively engage in routine communication and collaboration at the staff level (e g , program and policy specialists working at operational components to oversee or implement policy and strategy functions)  Specifically, officials with responsibility for policy and strategy at 6 of 8 operational components told us that they did not have regular contact with or know who to contact at PLCY for questions about policies or strategies, or that the reason they knew who to contact was because of existing working relationships, not because of efforts PLCY had undertaken to facilitate such contacts  In addition, some component officials noted that, when they tried to use the PLCY website to coordinate, they found it to be out of date and lacking sufficient information  PLCY officials acknowledged that the website needs improvement  They stated that the office has developed improved content for the website, but does not have the necessary staff to update the website  According to the officials, the needed staff should be hired soon and improved content should be on the website by the end of summer 2018  Although officials at 5 of the 8 operational components we interviewed stated that the quality of PLCY’s coordination and collaboration has improved in the past 2 years or so, component officials offered several suggestions to enhance PLCY’s coordination and collaboration, especially at the staff level  Among these were: conduct routine information sharing meetings with staff-level officials who have policy and strategy responsibilities at each operational component, clearly articulate points of contact, their contact information, and their portfolios at PLCY as well as at other policy and strategy stakeholders, ensure the PLCY website is up-to-date with contact information for PLCY and components that work in strategy and policy areas, and with relevant information about crosscutting strategy and policy initiatives underway, host a forum—such as an annual conference—to bring together policy and strategy officials from PLCY and DHS components to share ideas and make contacts, and prepare a standard briefing for component officials with strategy and policy responsibilities to help ensure that staff at all levels understand what PLCY does, how it works, and opportunities for engagement on emerging policy and strategy needs or identified harmonization opportunities  For example, officials from one component told us that they would like PLCY officials to have in-person meetings with component staff to discuss what PLCY does, who to contact in PLCY, where to find information about policies and strategies, and other relevant information to ensure a smooth working relationship between the component and PLCY  According to PLCY officials, the office recognizes the value of creating mechanisms to connect staff, who work on policy and strategy at all levels in DHS  PLCY officials said they have historically done a better job in coordinating at the senior level, but are interested in expanding opportunities to connect other staff with policy and strategy responsibilities  PLCY officials stated that they are considering creating a working group structure that mirrors existing organizational mechanisms to coordinate at the senior level, but have not taken steps to do so  Routine collaboration among PLCY, operational components, and other DHS offices at the staff level is important to ensure that PLCY is able to carry out its functions under the NDAA, including the effective coordination of policies and strategies  A positive working relationship among these stakeholders can build trust, foster communication, and facilitate collaboration  Such enhanced communication and collaboration across PLCY and among component officials with policy and strategy responsibility could help the department more quickly and completely identify emerging, crosscutting strategy and policy needs and opportunities to enhance policy harmonization  PLCY’s efforts to lead, conduct, and coordinate departmentwide and crosscutting policies have sometimes been hampered by the lack of clearly-defined roles and responsibilities  In addition, PLCY does not have a consistent process and procedures for its strategy development and policymaking efforts  Without a delegation of authority or similar documentation from DHS leadership clearly articulating PLCY’s missions, roles, and responsibilities—along with defined processes and procedures to carry them out in a predictable and repeatable manner—there is continuing risk that confusion and uncertainty about PLCY’s authority, missions, roles, and responsibilities will limit its effectiveness  PLCY employs some workforce planning, but does not systematically apply key principles of the DHS Workforce Planning Guide to help predict workforce demand, and identify any workforce gaps and design strategies to address them  Without this analysis, PLCY faces limitations in ensuring that its workforce is aligned with its and DHS’s priorities and goals  Moreover, the results of this analysis would better position PLCY to communicate to DHS leadership any potential tradeoffs in workforce allocation that would affect PLCY’s ability to meet priorities and goals  PLCY could enhance its use of mechanisms for collaboration and communication with DHS stakeholders at the staff level  Implementation of additional mechanisms at the staff level for regular communication and coordination, including providing up-to-date information to stakeholders about the office, could help PLCY and operational components to better connect in order to identify and address emerging policy and strategy needs  We are making the following four recommendations to DHS: The Secretary of Homeland Security should finalize a delegation of authority or similar document that clearly defines PLCY’s mission, roles, and responsibilities relative to DHS’s operational and support components  (Recommendation 1) The Secretary of Homeland Security should create corresponding processes and procedures to help implement the mission, roles, and responsibilities defined in the delegation of authority or similar document to help ensure predictability, repeatability, and accountability in departmentwide and crosscutting strategy and policy efforts  (Recommendation 2) The Under Secretary for Strategy, Policy, and Plans should use the DHS Workforce Planning Guide to help identify and analyze any gaps in PLCY’s workforce, design strategies to address any gaps, and communicate this information to DHS leadership  (Recommendation 3) The Under Secretary for Strategy, Policy, and Plans should enhance the use of collaboration and communication mechanisms to connect with staff in the components with responsibilities for policy and strategy to better identify and address emerging needs  (Recommendation 4) We provided a draft of this report for review and comment to DHS  DHS provided written comments, which are reproduced in appendix I  DHS also provided technical comments, which we incorporated, as appropriate  DHS concurred with three of our recommendations and described actions planned to address them  DHS did not concur with one recommendation  Specifically, DHS did not concur with our recommendation that PLCY should use the DHS Workforce Planning Guide to help identify and analyze any gaps in PLCY’s workforce, design strategies to address any gaps, and communicate this information to DHS leadership  The letter described a number of actions, including actions that are also described in the report, which PLCY takes to help ensure alignment of its staff with organizational needs  In the letter, PLCY officials pointed to the workforce activities PLCY undertakes as part of the annual budgeting cycle  We acknowledge that the actions described to predict upcoming priorities and resource needs as part of the annual budgeting cycle are in line with the DHS workforce planning principles  However, as we noted, there are opportunities to apply the workforce planning principles outside the annual budgeting cycle to provide greater visibility and awareness of resource tradeoffs to management inside PLCY and in the Secretary’s office  In the letter, PLCY officials made note of the dynamic and changing nature of its operational environment, stating that it often required them to shift resources and priorities on a more frequent or ad hoc basis than many organizations  We acknowledged in the report that PLCY’s operating environment requires it to maintain flexibility in its staffing approach  However, PLCY has a number of important duties, including helping foster Unity of Effort throughout the department and helping to ensure the availability of risk information for departmental decision making, that require longer-term, sustained attention and strategic management  During interviews, PLCY officials acknowledged that striking a balance between these needs has been difficult and at times they have faced significant struggles  The report describes some areas where, during the time we were conducting our work, it was clear that some tasks and functions, such as risk analyses, lacked the resources or focus necessary to ensure they received sustained institutional attention  It is because of PLCY’s dynamic operating environment, coupled with the need for sustained institutional attention to other key responsibilities, that we recommended PLCY undertake workforce planning activities that would help generate better information for PLCY and DHS management to have full visibility and awareness of gaps and resource tradeoffs  Finally, the letter stated that because PLCY is a very small and flat organization, it is able to identify capacity gaps and develop action plans without obtaining all of the data collected through each recommended element, worksheet, form, and template of the model proposed in the DHS Workforce Planning Guide  We acknowledge that it would be counterproductive for PLCY to engage in data collection and analysis that are significantly more elaborate than its planning needs  Nevertheless, we continue to believe that PLCY could use the principles more robustly, outside the annual budgeting process, to help ensure that it identifies and communicates the effect that resource tradeoffs have on its ability to accomplish its multifaceted mission  We are sending copies of this report to the appropriate congressional committees and the Secretary of Homeland Security  In addition, the report is available at no charge on the GAO website at http://www gao gov  If you or your staff have any questions concerning this report, please contact me at (404) 679-1875 or CurrieC@gao gov  Contact points for our Offices of Congressional Relations and Public Affairs may be found on the last page of this report  GAO staff who made significant contributions to this report are listed in Appendix II  In addition to the contact named above, Kathryn Godfrey (Assistant Director), Joseph E  Dewechter (Analyst-in-Charge), Michelle Loutoo Wilson, Ricki Gaber, Dominick Dale, Thomas Lombardi, Ned Malone, David Alexander, Sarah Veale, and Michael Hansen made key contributions to this report 

ground_truth: GAO has designated DHS management as high risk because of challenges in building a cohesive department. PLCY supports cohesiveness by, among other things, coordinating departmentwide policy and strategy. In the past, however, questions have been raised about PLCY's efficacy. In December 2016, the NDAA codified PLCY's organizational structure, roles, and responsibilities. GAO was asked to evaluate PLCY's effectiveness. This report addresses the extent to which (1) DHS established an organizational structure and processes and procedures that position PLCY to be effective, (2) DHS and PLCY have ensured alignment of workforce with priorities, and (3) PLCY has engaged relevant component staff to help identify and respond to emerging needs. GAO analyzed the NDAA, documents describing specific responsibilities, and departmentwide policies and strategies. GAO also interviewed officials in PLCY and all eight operational components. According to our analysis and interviews with operational components, the Department of Homeland Security's (DHS) Office of Strategy, Policy, and Plans' (PLCY) organizational structure and efforts to lead and coordinate departmentwide and crosscutting strategies—a key organizational objective–have been effective. For example, PLCY's coordination efforts for a strategy and policy executive steering committee have been successful, particularly for strategies. However, PLCY has encountered challenges leading and coordinating efforts to develop, update, or harmonize policies that affect multiple DHS components. In large part, these challenges are because DHS does not have clearly-defined roles and responsibilities with accompanying processes and procedures to help PLCY lead and coordinate policy in a predictable, repeatable, and accountable manner. Until PLCY's roles and responsibilities for policy are more clearly defined and corresponding processes and procedures are in place, situations where the lack of clarity hampers PLCY's effectiveness in driving policy are likely to continue. Development of a delegation of authority, which involves reaching agreement about PLCY's roles and responsibilities and clearly documenting them, had been underway. However, it stalled due to changes in department leadership. As of May 2018, the effort had been revived, but it is not clear whether and when DHS will finalize it. PLCY does some workforce planning as part of its annual budgeting process, but does not systematically apply key principles of the DHS Workforce Planning Guide to help ensure that PLCY's workforce aligns with its and DHS's priorities and goals. According to PLCY officials, the nature of its mission requires a flexible staffing approach. As such, a portion of the staff functions as generalists who can be assigned to meet the needs of different situations, including unexpected changing priorities due to an emerging need. However, shifting short-term priorities requires tradeoffs, which may divert attention and resources from longer-term priorities. As of June 5, 2018, PLCY also had a number of vacancies in key leadership positions, which further limited attention to certain priorities. According to PLCY officials, PLCY recently began a review to identify the office's authorities in the National Defense Authorization Act for Fiscal Year 2017 (NDAA) and other statutes, compare these authorities to the current organization and operations, and address any workforce capacity gaps. Employing workforce planning principles—in particular, systematic identification of workforce demand, capacity gaps, and strategies to address them—consistent with the DHS Workforce Planning Guide could better position PLCY to use its workforce as effectively as possible under uncertain conditions and to communicate effectively with DHS leadership about tradeoffs. Officials from PLCY and DHS operational components praised existing mechanisms to coordinate and communicate at the senior level, especially about strategy, but component officials identified opportunities to better connect PLCY and component staff to improve communication flow about emerging policy and strategy needs. Among the ideas offered by component officials to enhance communication and collaboration were holding routine small-group meetings, creating forums for periodic knowledge sharing, and maintaining accurate and up-to-date contact information for all staff-level stakeholders. GAO is making four recommendations. DHS concurred with three recommendations, including that DHS finalize a delegation of authority defining PLCY's roles and responsibilities and develop corresponding processes and procedures. DHS did not concur with a recommendation to apply the DHS Workforce Planning Guide to identify and communicate workforce needs. GAO believes this recommendation is valid as discussed in the report.