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U.S. Department of Homeland Security: Procedures Relating to a Federal Funding Hiatus

Core Content Overview

This document outlines the procedures for the Department of Homeland Security (DHS) to manage operations during a federal funding hiatus, ensuring compliance with the Anti-Deficiency Act (ADA) and maintaining an orderly shutdown. It provides detailed guidance on identifying exempt and non-exempt functions and employees, implementing furloughs, and managing financial and administrative operations during the hiatus.

Main Requirements and Limitations

• Orderly Closure: During a funding hiatus, DHS must cease operations in an orderly manner.
• Exempt Functions: Only certain functions are permitted to continue, as they are exempt from ADA work restrictions.
• ADA Compliance: Federal officials are prohibited from entering into contracts, incurring obligations, or performing activities without current appropriations.
• Consequences: Failure to follow procedures may result in ADA violations.

Definitions and Exempt Function Categories

A. Definitions

• Exempt: Functions and employees that may continue during a funding hiatus.
• Emergency Furlough: A term used to refer to a lapse in appropriations during which employees may be exempt.

B. Exempt Functions

1. Funded by Other Sources: Activities funded by fee revenues, multi-year, no-year, or revolving funds.
2. Authorized by Congress: Functions authorized to continue even without funding (not applicable to DHS).
3. Safety of Human Life or Property: Functions that are necessary to prevent significant harm to life or property.
4. Orderly Cessation of Functions: Activities needed to ensure an orderly shutdown of non-exempt operations.

C. Non-Exempt Functions

• All functions not falling into the above categories are non-exempt.
• Employees performing these functions are subject to furlough.
• Some non-exempt employees may be recalled if the furlough lasts more than a week.

D. Exempt vs. Essential Functions

• Exempt: Functions exempt from ADA work restrictions.
• Essential: Mission-critical functions required for continuity of operations (COOP), defined separately by each Component.

E. Exempt vs. Non-Exempt Employees

• Exempt Employees: Designated to perform exempt functions and may continue working during a furlough.
• Non-Exempt Employees: Subject to furlough and cannot work unless engaged in shutdown activities.
• Exempt employees are not paid during the hiatus but will be paid once new funding is approved.

Procedures for an Orderly Closure

A. Implementation of an Emergency Furlough

• Notification: Component Heads must notify employees of an emergency furlough upon OMB notice.
• Exempt Employees: Must report for work; otherwise, they are furloughed and subject to disciplinary action.
• Leave Without Pay: Not allowed for absences during a furlough.
• Use or Lose Annual Leave: Annual leave exceeding the maximum may be forfeited unless approved in advance.

B. Furlough of Non-Exempt Employees

• Notice Timing: Notices should be issued 3 days before the next scheduled workday.
• Employee Notices: Two types of notices are distributed: one for furlough, one for shutdown activities.
• Travel Restrictions: Non-exempt employees should return to permanent duty stations before the funding lapse.
• Unemployment Insurance: Furloughed employees may be eligible for unemployment compensation and must be provided with SF-8 forms.

C. Shutdown Activities

• Non-exempt employees may work on shutdown activities during the first 4 hours of the first working day of the hiatus.
• Activities include: notifying employees, consolidating files, safeguarding classified materials, and documenting project status.
• These employees will be paid once funding is restored.

D. Management Controls

• Internal Controls: Continue to apply to exempt operations.
• Record Keeping: Maintain logs and formal records of all transactions and expenditures.
• Separation of Duties: Ensure key functions such as authorizations, records, and asset custody are maintained.

E. Financial Operations

• Stop All Financial Activities: Except for exempt functions such as:
  • CBP revenue collections
  • FEMA disaster payments
  • USCIS fee-based financial operations
  • Travel approvals for exempt functions
• Accounting Centers: Do not perform funds availability checks during the hiatus.
• Travel Management: Travel expense reports and reimbursements are not processed during the hiatus.
• Card Programs: Purchase, travel, and fleet cards are available for exempt activities, with spending limits possibly reduced.

Procurement and Contracting

• Contracting Contingency Plan: Established in DHS Acquisition Alert 11-10.
• Stop Work Orders: May be issued for contracts not supporting exempt functions.
• No New Obligations: Contracts, extensions, or renewals cannot be initiated if funded by lapsed appropriations.
• Contractor Performance: Contractors may continue performance if government supervision is not critical to their work.

Appendix: Closure Times and Exempt Functions by Component

• The Appendix provides an overview of estimated closure times and exempt functions for each DHS Component.
• It identifies the number of exempt employees within each Component to support planning and execution of the furlough.