U.S. Department of Homeland Security

Procedures Relating to a Federal Funding Hiatus

September 27, 20130

Procedures Relating to a Federal Funding Hiatus
Table of Contents
I.

Requirements and Limitations .................................................................................

2

II.

Definitions; Determining Exempt Functions and Employees ..................................

3

III.

Procedures for an Orderly Closure ..........................................................................

7

IV.

Procedures in the Event of an Incident Requiring Recall ......................................... 19

V.

Procedures Following Conclusion of a Hiatus ........................................................

VI.

Appendix: Closure Times and Exempt Functions by Component .......................... 23

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I.

Requirements and Limitations

During a federal funding hiatus, the Department of Homeland Security (DHS) must be able tocease its government operations in an orderly fashion. Certain functions and activities that will
be permitted to continue are “exempt” from work restrictions specified in the Anti-Deficiency
Act (ADA).
The ADA codifies the Constitutional requirement that “No Money shall be drawn from theTreasury, but in consequence of appropriations made by Law.” Federal officials are prohibitedfrom entering into contracts, incurring obligations, or performing activities without having acurrent appropriation. The Act further restricts acceptance of voluntary services or personal
services beyond authorized levels “except for emergencies involving the safety of human life or
the protection of property.” As a result, only activities that qualify as exempt may continue tooperate during a lapse in appropriations.
In accordance with Section 124 of Office of Management and Budget (OMB) Circular A-11,“Agency Operations in the Absence of Appropriations,” the Department has developed theprocedures outlined in this document as its contingency plan. Included, and as also specified by
the A-11 guidance, is the identification of the following information:
1. An estimate, to the nearest half-day, of the time necessary to accomplish an orderly
closure.
2. The total number of DHS employees on-board before implementation of the plan.
3. The total number of employees expected to be exempt during the hiatus.
Upon notification from OMB and subsequent direction from the DHS Under Secretary forManagement (USM), DHS Components must adhere to the guidelines as set forth in thefollowing pages. This includes the preparation of employee notices of furlough, the processingof personnel and pay records in connection with furlough actions, and the release of non-exempt
employees in accordance with applicable law and regulations of the Office of Personnel
Management (OPM).
Failure to maintain and adhere to these procedures may result in a violation of the ADA.

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II. Definitions; Determining Exempt Functions andEmployees
A. Definitions
The Department uses the term “exempt” to describe functions and employees who may berequired to continue to perform during a federal funding hiatus. Other agencies in the Federal
Government use different terminologies, including “excepted.” To avoid confusion from using
multiple terms, guidance in this document will use the single term of “exempt.”
Additionally, either an “emergency furlough” or a “federal funding hiatus” may be used to referto a lapse in appropriations during which employees may be exempt.

B. Exempt Functions
Guidelines for exempt activities follow. Proposals to continue activities that do not fit in theguidelines should be directed immediately to the DHS Office of General Counsel (OGC).
The following activities and/or functions may continue during a lapse of appropriations:
1. Funded by Sources Other than Annual Appropriated Funds.
Some functions are covered by fee revenues or by multi-year, no-year, or revolving
funds, or advance appropriations, and if those accounts have sufficient carry-overbalance, they would not be affected by an annual appropriation lapse. Revolving funds
that operate almost entirely on offsetting collections from other federal entities may also
be forced to close, unless sufficient retained earnings are available to forestall the closure.

EXAMPLES:• The Disaster Relief Fund is funded by a no-year appropriation and may havesufficient balances available to continue operations.
• Fee for service activities such as those performed by U.S. Citizenship andImmigration Services (USCIS).

2. Authorized to Continue Even Without Funding.
Congress provides express authority for some agencies to enter into contracts or toborrow funds to accomplish some of their functions despite a lapse in appropriations.
This category does not currently apply to DHS functions; however, Components should
notify OGC if it is believed a function may qualify.

33. Necessary for Safety of Human Life or Protection of Property.
To qualify under the exception of protection of human life or property, there must be
some reasonable likelihood that the safety of human life or protection of property would
be compromised in some significant degree by the delay in the performance of thefunction in question. Specifically, the risk should be real, not hypothetical or speculative,
and must be sufficiently imminent that delay is not permissible.
Any activity and/or function that qualifies for the protection of human life or property
exception must be limited only to the extent that the Component Head determines that
imminent danger to life or property would result from their termination or diminution.
Administrative, research, or other support functions related to an exempt activity should
also continue, but only to the extent that they are essential to maintain the effectiveness of
those activities and/or functions that are engaged in the protection of life or property, andat a minimum level.

EXAMPLES:• Maintaining criminal law enforcement operations, including drug and illegal
alien interdiction.
• Continuing passenger processing and cargo inspection functions at ports ofentry.
• Providing the protective functions of the U.S. Secret Service.
• Maintaining counter-terrorism watches or intelligence gathering or
dissemination in support of terrorist threat warnings.
• Retaining minimal personnel to maintain telecommunications as they relate toexempt activities.

4. Necessary for the Orderly Cessation of Functions.
Agencies may obligate funds during periods of lapsed appropriations to bring about theorderly cessation of non-exempt activities. Contingency plans which call for cessation of
agency operations after an appropriations lapse should be consistent with the ADA.
OMB has determined that the normal cessation of operations should take no more thanfour hours. During that time, employee activities during this period must be wholly
devoted to de-activating the function and upon completion, these employees would be
released.

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EXAMPLES:• Performing payroll functions for the period just before the appropriation lapse.
• Completing inventories of property and records to ensure protection of thegovernment’s interests and claims of affected private entities and individuals.
• For “partially exempt” activities, the transferring of any ongoing work
necessary to support an exempted function.
• Personnel functions to process furlough/reduction in force notices.

The Appendix identifies total estimated exempt employees within each DHS Component.

C. Non-Exempt Functions
Non-exempt activities are all other activities that do not fall into any other categories.
Employees in positions performing these functions should be furloughed during a federal
funding hiatus. This could include employees who may have to be recalled at a later date, if thefurlough continues for more than a week.

EXAMPLES:• Planning (strategic, business, budgetary, etc.).
• Research and development activities.
• Most policy functions, administrative, as well as programmatic, unless thosefunctions can be justified by the above exceptions.
• Auditing.
• Regulatory, legislative, public affairs, and intergovernmental affairs.
• Training and development.

D. Exempt vs. Essential Functions
Exempt functions are those which are exempted from work restrictions in the ADA and may
continue to operate during a federal funding hiatus. Exempt functions and activities aredescribed in this guidance.
Essential functions are a limited set of mission-essential or mission-critical functions that mustbe performed to provide continuity of operations (COOP). Each DHS Component has identified
and defined its mission-essential functions separately.
Section IV provides additional guidance on the differences between exempt employees for the
purpose of a federal funding hiatus and essential employees for the purpose of a COOP event.

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E. Employees: Exempt vs. Non-Exempt
Exempt employees have been designated by their supervisors to perform functions or activities
that are exempt from work restrictions specified in the ADA and may continue to operate during
a lapse in appropriations. The term “exempt” employee only applies to emergency furloughs.
Reference to an “exempt employee” for the purpose of government shutdown is not to be
confused with an employee designated as an “exempt” employee under the Fair Labor Standards
Act.
Non-exempt employees perform functions that are not exempt from a government closure. Nonexempt employees are subject to an “emergency” furlough and are not permitted to work. A
non-exempt employee may be involved in the orderly closure of activities and functions.
However, once it is determined that non-exempt employees have completed all tasks related tothe orderly suspension of agency operations, the services of those employees can no longer be
accepted in the absence of appropriations. Non-exempt employees may not voluntarily perform
non-exempt services during an “emergency” furlough. Reference to a “non-exempt employee”
for the purpose of government shutdown should not be confused with an employee designated asa “non-exempt” employee under the Fair Labor Standards Act.

F. Designating Exempt Employees
Components must designate in advance (before any potential furlough) those employees who
must perform functions or activities that are exempt from work restrictions specified in the ADA
and may continue to operate during a lapse in appropriations. Both OPM and DHS maintainstandard notification templates, which may be used to notify employees that they are exempt
from an emergency furlough.
Exempt employees should only work on exempt activities during the furlough, including
providing support to exempt functions and activities. Exempt employees who work during alapse in appropriations will not be paid. However, exempt employees will be paid whenCongress passes and the President signs a new appropriation or Continuing Resolution.
Components should ensure that information on facilities, reporting officials, and systems
available to employees working during a furlough is available and distributed to all of theirexempt employees.

6III. Procedures for an Orderly Closure
A. Implementation of an Emergency Furlough
1. General Guidance. Upon receipt of a notice from OMB through either the Office of theSecretary or USM that there is a lapse in fiscal year appropriations, Component Heads
must notify their employees that an emergency shutdown furlough has been activated.
2. Notices to Exempt Employees. Components must notify their exempt employees thatthey must continue to work during an emergency furlough. The preferred notification
process is by email. Notification also may be by telephone, by letter, or in person, if
email is not feasible. Components may tailor this process to the degree needed to meet
Component-specific requirements. Email messages to exempt employees do not requiredelivery receipt, read receipt, and return email.
3. Report for Work. Exempt employees must report for work during an emergency
furlough. Any previously approved paid leave is canceled. An employee who refuses toreport for work after being ordered to do so will be considered to be in an absence
without leave status and may be subject to administrative or disciplinary action for notreporting for work. During a lapse in appropriations, all affected employees must beeither (1) at work performing exempt activities (exempt employees) or (2) in a furlough
status (non-exempt employees).
If an employee is unable to report for work during a furlough and the supervisor or othermanagement official approves the absence, the supervisor may change the status of the
exempt employee to non-exempt to allow the employee to be “absent” from work. Whenan employee is not working or performing exempt activities in compliance with the
ADA, he or she must be furloughed and the furlough must be documented by a furlough
notice. Employees should not be granted leave without pay for absences from work
during a furlough. If legislation is later enacted to compensate employees who were
furloughed, employees on leave without pay during the furlough would not becompensated.
Exempt employees who work during a lapse in appropriations will not be paid during thefunding hiatus. However, exempt employees will be paid when Congress passes and thePresident signs a new appropriation or Continuing Resolution.
4. Employee Leave. Employees who are exempt from furlough by reason of being fundedby other than annual appropriations may take paid leave (e.g., annual or sick leave)during a furlough. Supervisors must allow an exempt employee to continue to be absent
from work for active military duty, although the employee may not use military leave or
any other paid leave (e.g., annual or sick leave) during the furlough. Instead, theemployee’s status would be Absent-Uniformed Service (formerly Leave Without PayUniformed Service).

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5. “Use or Lose” Annual Leave. Many exempt (and non-exempt) employees may haveaccumulated annual leave that exceeds their applicable maximum annual leave ceiling.
(Most employees are subject to the 30-day maximum annual leave ceiling. Members of
the Senior Executive Service (SES) are subject to a 90-day maximum annual leaveceiling. Employees stationed overseas are subject to a 45-day annual leave ceiling.)
Since exempt and non-exempt employees may not use annual leave during a furlough,any unused annual leave in excess of the employee’s applicable leave ceiling at the endof the leave year (January 11, 2014 for Leave Year 2013) is subject to forfeiture.
Employees may request restoration of forfeited annual leave, if the annual leave wasscheduled and approved in advance (see Component’s internal procedures), latercancelled by the supervisor due to “exigencies of the public business,” and the annual
leave could not be rescheduled and used before the end of the leave year. A lapse inappropriations has previously been determined by OPM/OMB to be “an exigency of the
public business,” and employees’ forfeited annual leave was restored. (Also see theOPM fact sheet on “Annual Leave (General Information)” at
http://www.opm.gov/oca/leave/HTML/ANNUAL.asp.)
6. Weather-Related Leave. Exempt employees are required to report for work on time evenif, during a lapse in appropriations, OPM announces that “Federal agencies are operating
under an unscheduled leave” policy because of emergency weather conditions. Althoughnormally “essential employees” who are not designated as “exempt employees” should
not come to work during a weather emergency occurring in the middle of a furlough, theyshould be aware that their non-exempt designation may change to exempt based on
conditions and they would then be required to report for work. Should an exempt
employee be unable to report for work because of emergency conditions, he or she must
be placed in a furlough status until such time as the employee is able to report for work.

B. Furlough of Non-Exempt Employees
1. General Guidance. The procedures outlined as follows apply to DHS operations that are
non-exempt from work restrictions because of a lapse in fiscal year appropriations. They
should be implemented by Component Heads upon receipt of a notice from OMB
through either the Office of the Secretary or the USM. If a funding lapse begins at
midnight on a Friday, furlough notices should be issued on Saturday to non-exempt
employees whose next scheduled workday is on Saturday, on Sunday to non-exempt
employees whose next scheduled workday is on Sunday, and on Monday for non-exempt
employees whose next scheduled workday is on Monday.
2. Employee Notices. Components must be sure to contact all employees who have been
designated as non-exempt including those on detail, on travel, in training/conferences,
overseas, on leave, etc. Two employee notices will be distributed – Notice to NonExempt Employees and Notice to Non-Exempt Employees Performing Orderly
Suspension of Functions. Employee notice templates are available through the
Department’s Office of the Chief Human Capital Officer. Servicing Human Resources8Offices shall immediately transmit the employee notices that supervisors and managers
must distribute to their employees.
The actual employee furlough notices must be delivered via email or in person. An
automated information-sharing site may be used to communicate useful and required
information that would normally be attached to the furlough notice. A read receipt ordelivery receipt is preferred where feasible.
3. Non-Exempt Employees on Travel. Even with approved travel orders, non-mission
critical travel should not commence within 3 business days of the date of a potential
funding lapse. Non-exempt employees planning temporary duty assignments away fromtheir normal duty stations at the time of a lapse in funding should change their travelplans and instead should report to their permanent duty station before the effective date of
the funding lapse. Such employees should work with the Department Travel
Management Service, SATO, to affect such changes and should be sure to terminate
other reservations such as lodging or rental car.
Non-exempt employees already serving on temporary duty assignments at the time of alapse in funding may hold in place until their employing agency makes a determinationthat they must return to their permanent duty stations. Components should determine thereasonableness and practicality of changes to temporary duty travel on the basis of thelength of the assignment and the time required for return travel, compared to theanticipated length of the lapse, and should in general minimize the burdens and costs
associated with a return to permanent duty stations.
4. Notice to Federal Employees About Unemployment Insurance, Standard Form 8. It is
possible that furloughed employees may become eligible for unemployment
compensation and Components should provide them an SF-8. State unemployment
compensation requirements differ; some states require a 1-week waiting period before an
individual qualifies for payments. Agencies or employees should submit questions to theappropriate state (or District of Columbia) office. (Also see the Department of Labor
website "Unemployment Compensation for Federal Employees" at
http://workforcesecurity.doleta.gov/unemploy/unemcomp.asp.) The SF-8 informs
employees of their right to file a claim for Unemployment Compensation, explains thebasic eligibility requirements, provides general information as to how, when, and whereto file a claim, and describes the documents which the individual should take when filinga claim (20 CFR Part 609.20). Components must annotate the address and Agency Codeof the separating federal agency where wage and separation information can be obtained.
5. Shutdown Activities. Non-exempt employees may be engaged in shutdown activities
during the first 4 hours of the first working day of a federal funding hiatus, such as:a. Supervisors notifying non-exempt employees that they are furloughed.
b. Consolidating and organizing employee notices, including email receipt/read
notices and employee return emails, for forwarding to the servicing humanresources office upon request.

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c.
d.
e.
f.
g.

Consolidating and storing files.
Safeguarding classified materials.
Protecting government property.
Notifying the public and other agencies of the shutdown of DHS operations.
Documenting the status of projects to facilitate resumption when regular
operations are resumed.
h. Processing appropriate personnel/payroll actions and filing documentation.
Non-exempt employees will be paid for performing shutdown activities, after anappropriations or a Continuing Resolution is signed by the President to allow them to be
paid.
6. End of Furlough. Furloughed employees will be instructed to monitor the media and to
regularly check OPM or DHS Web sites as well as their DHS-issued electronic devices,such as BlackBerry or TREO, for notice on when the furlough has ended and when to
return to work. (See Section G(b) for more information).
7. Other Considerations.
a. Component Employee Assistance Programs (EAP) are expected to continue tooperate during a furlough and non-exempt employees may benefit fromcounseling assistance from their Component EAPs during this stressful time. In
addition, employees may want to contact their financial institution, credit union orlearn about other options for financial assistance through the Thrift Savings Plan
(www.tsp.gov).
b. Any previously approved paid leave for non-exempt employees is cancelledduring a furlough. In addition, employees should not be granted leave without
pay during a furlough. If legislation is later enacted to compensate employees
who were furloughed, employees on leave without pay during the furlough would
not be compensated.
c. Regardless of whether an approved Travel Authorization has been obtained, nonexempt employees may not start new travel in the event of a federal funding
hiatus. Any non-exempt traveler in official government travel status, including
those attending training functions, is required to return to his/her permanent duty
station.
d. In light of the uncertainty of the budget situation during a lapse of appropriations,Components should delay the enter-on-duty date for new employees and transfer
employees (transferring from another government agency) who are scheduled toenter on duty on the first day or anytime during a furlough. Components should
notify these employees that DHS is under an emergency furlough and they should
NOT report for work until they receive further instructions. New and transfer
employees should be in-processed after the furlough ends.

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C. Management Controls
1. General Guidance. DHS internal control standards will continue for exempt operations
during a temporary funding hiatus. Components with continuing operations must (ifpossible), modify or develop procedures to ensure adequate controls in a streamlined
environment to achieve the same internal control results expected during normal
operations. This includes ensuring adequate reviewing, authorizing, and approving
functions are in place. Additionally, Components must maintain key separation of duties
for important business functions such as the following:a. Authorizations.
b. Records and documenting.
c. Custody of assets, whether directly or indirectly (e.g., receiving checks in mail).
2. Record Keeping and Reporting. Special care must be taken throughout the lapse inappropriations to maintain logs, formal records, and file copies of all transactions andexpenditures to provide adequate accountability and justification for exempt activities,
including the costs expended for exempt activities. At the conclusion of the hiatus,
Components must be able to achieve the same reporting outputs that occur in a normal
environment. For example, at the conclusion of the hiatus, Components will process any
backlog of accumulated transactions not entered into the financial system and reportcompliance with internal control standards. Examples of activities and documentation
includes, but is not limited to, tracking obligation data, exercising contract authority,
managing revenue collection activities, and processing exempted travel processing.
Component reporting procedures will include gathering performance metrics data during
the hiatus period to capture costs and savings data at the conclusion of the hiatus.
Components must have procedures in place such that when appropriations become
available to continue Federal Government functions, Components can report all costs
incurred due to the lapse in appropriations. See Section V, Reporting of Costs Incurred.

D. Financial Operations
1. General Guidance. In the event of a temporary funding hiatus, DHS and its Components
will stop all financial operations and financial system operations, including processing
payments, receipts or performing funds control, except for the following exempt
activities:
a. CBP revenue collections
b. FEMA disaster paymentsc. Organizational Program Coordinators needed to support credit card programs for
exempt activities
d. Financial operations funded by USCIS feese. Electronic travel approvals and processing to support exempt activities

112. Accounting Center Operations. Accounting centers will not run funds availability checks
during a hiatus. Therefore, Components must keep a clear accounting record so that theaccounting center may process complete transactions into the financial systems whennormal operations resume.
3. Documentation and Reporting. Ensuring proper documentation and internal controls
when conducting financial operations during a funding hiatus is mandatory. Components
must maintain and control documentation of all transactions initiated and processed
during a temporary funding hiatus. When the hiatus is over, Components must be ableaccount for all activities and meet reporting requirements just as under normal operations.
In addition, Components must collect performance and cost data which can be analyzed
for the purposes of determining the impact of a hiatus. Components will provide specificinstructions on what data to collect.
4. Travel Management. Minimum travel management support will be available to support
exempt functions. Travel expense reports will not be processed during a lapse in funding,and reimbursements for travel costs will not be made until the lapse has ended. Each
traveler with an individually billed account is still responsible for the timely payment of
their travel card balance.
5. Bank Card Program. Purchase cards, travel cards, and fleet cards will still be available tofund exempt activities. Component Organization Program Coordinators (OPCs) willconsider a reduction in spending limits for non-exempt cardholders to one dollar for theduration of the furlough. Each Component will provide support to cardholders for
exempt activities through designated OPCs. Each Component will provide guidance andspecific points of contact to its employees.

E. Procurement and Contracting
1. General Guidance. The Department of Homeland Security Contracting Contingency Planis established in DHS Acquisition Alert 11-10, dated February 24, 2011. Heads of theContracting Activity must work with their Component Heads to proactively survey andidentify contracts that, in whole or in part, support activities that will continue to support
exempt functions. This will serve two major purposes for DHS contracting activities:
a. To identify and maintain a list of contracts for which Stop Work Orders or Partial
Terminations for the Convenience of the Government should be issued tocontractors, and to allow Contracting Officers sufficient lead time to prepare
modifications to de-scope contracts and prepare any necessary justifications andother supporting documentation for contracts that will be partially terminated.
b. To allow Heads of the Contracting Activity to determine an effective distributionof warranted Contracting Officers to support an orderly shutdown and the
management of contracts supporting exempted functions.

122. No New Obligations. DHS may not incur a new obligation – by signing a new contract,by extending a contract, or by exercising a renewal option – when the funding source forthat obligation is a lapsed appropriation.
a. The ADA prohibits agencies from incurring obligations that are in advance of, orthat exceed, an appropriation. Thus, except in certain limited circumstances, DHS
may not incur obligations when the funding source for the obligation would be an
appropriation that has lapsed unless the obligation is needed to support thosefunctions defined as exempt for DHS or is needed to address an emergency
circumstance that immediately threatens the safety of human life of the protectionof property. (See Acquisition Alert 11-10 regarding required use of subject toavailability of funding clause in such as case.) However, DHS cannot pay thecontractor until appropriations are enacted.
b. In addition to those contracts not directly supporting exempt functions, cases may
exist where a contract is fully funded and the contractor is in the midst of
performance. Work may continue given government supervision is not critical tothe contractor’s continued performance during that period.
3. Federal Employees Supporting Contracting Operations. If there is a lapse in theappropriation that funds the federal employees who supervise or support the performanceof the contract or grant, federal employees cannot continue these activities during thefunding lapse, unless these contracts support an exempted activity. Routine ongoing
activities, related to contract and grant administration, are not authorized to continue
when there has been a lapse in the appropriation that funds the contract and grant
administration activities. In other words, during a funding lapse, the performance – bycontracting officers, contracting officer technical representatives, contract administration
personnel, and grants management specialists – of routine oversight, inspection,accounting, administration, payment processing, and other contracting or grantmanagement activity would generally not continue.
a. In the absence of federal supervision or support, the government may however
allow the contractor or grantee to continue performance during the lapse period if
the continued supervision or support is not critical to the contractor’s or grantee’s
continued performance during that period. This is the case, for example, if funds
were obligated representing the entire price for a good or service under a contract
or task order before the funding lapse began. In that example, DHS does not haveto issue an affirmative direction to the contractor to continue performance, such asa notice to proceed. Instead, the contractor or grantee could continue to engage inperformance. It is always prudent to be in communication with the contractor or
grantee to avoid a misunderstanding.
b. However, depending on the duration of a funding lapse, the absence of available
federal employee oversight may lead one to reconsider whether the contract or
grant activity should continue to be performed. In particular, if the continued
supervision or support, during the lapse period, is critical to the contractor’s or13

grantee’s continued performance during that period, then – where consistent withlaw and the terms of the contract or grant – DHS should instruct the contractor or
grantee to suspend performance.
c. Additionally, if continued performance is not statutorily required, then DHS
should consider whether having the contract move forward is a sensible use of
taxpayer funds in light of the lapse of appropriations. In this regard, there might
be situations in which the continued performance of a contract would be wastefuldue to the impact that the funding lapse is having on other agency activities. For
example, if a federal building is closed due to the funding lapse, it might bewasteful to have a contractor perform its normal duties of emptying trash cansevery day in the building’s offices. In that situation, the agency should consider
whether to have the contractor suspend performance. If an agency decides that
continued performance would be wasteful and thus should be suspended during
the funding lapse, the agency should take appropriate contractual action (which
would be part of the agency’s orderly-shutdown activities). Contracting staff willneed to work closely with agency counsel in making and implementing thesedecisions to minimize costs to the government.

F. Use of DHS Facilities
1. General Guidance. Procedures outlined below provide guidance on the management anddisposition of DHS facilities and assets during a federal funding hiatus. They should be
implemented by Component Heads upon receipt of orders from OMB through either the
Office of the Secretary or USM.
a. Component Heads shall notify the senior real property official to direct real
property management personnel to oversee the temporary closure of non-exempt
facilities, coordinate and support staff consolidation, and to supervise theestablishment of designated facilities for use in support of exempt functions.
b. A funding hiatus plan shall be implemented to provide notification and details forappropriate use of facilities. It should be distributed to the relevant workforces
and should include the identification and contact information of real property
Points of Contacts (POCs) for operations during and following a federal funding
hiatus. The real property POCs should be designated staff who have the lead
responsibility for facility shutdown and start-up operations.
2. Facilities Occupied with Exempt Functions
a. Consolidation – Consolidate exempt functions in the absolute minimum spaceneeded to maintain exempt operations.
b. Building Operations – Maintain minimum operations to support exemptedfunctions.

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c. Security – Maintain physical security for exempted facilities including monitoring
facilities as appropriate. The Headquarters (HQ) Office of the Chief Security
Officer (OCSO) will maintain essential security support and services to DHS
HQ’s facilities and personnel, as well as appropriate and required service to DHS
Components. Collateral and Sensitive Compartmented Information security
support to HQs and Components through the Special Security Office Program andSensitive Compartmented Information Facilities support will continue. This
includes working closely with the Federal Protective Service to ensure HQ
facilities and exempt personnel are protected.
d. General Services Administration (GSA) Notice – Provide notification to GSA
Building Management Representative of exempt activities that will continue
normal operations in GSA controlled space.
3. Facilities Occupied with Non-Exempt Functions
a. Discontinue use – Ensure facilities are vacated. For DHS-owned facilities, ensure
essential shutdown and start-up procedures have been defined for the impacted
assets, and notifications given to service providers for major systems such as
elevators, electrical, mechanical, water and sewer supply, and security.
b. Building Operations – Reduce operating systems to minimal requirements needed
to ensure asset protection and safety measures maintained. For DHS-owned
facilities, utilities should be set to weekend settings, and building systems shouldbe placed in sleep mode/weekend service levels-lowered to minimum levels
needed to maintain life, safety and security systems. Confirm emergency back-up
systems are operational.
c. Security – Maintain physical security monitoring. The DHS OCSO will maintainessential security support and services to DHS HQ’s facilities and personnel as
needed. Exempt facilities will be secured and card readers deactivated as needed.
d. Notifications – Provide notification to GSA Building Management Representativeof vacated non-exempt facilities leased by GSA to DHS, and similarly to otherlessors if applicable. For DHS-owned facilities, develop list of external
notifications for use at time of a federal funding hiatus, such as monitoring
companies, local safety and security offices, and mail operations.
4. Mail Operations – Operational considerations for the Mail Surety exempt functions are
based on assumptions that the primary mail delivery vendors, United Parcel Service(UPS), FedEx and FedX G, and the United States Postal Service (USPS) will continue toprocess some level of mail for DHS and its Components.
a. In the event of a federal funding hiatus, Components shall determine how toaccommodate existing mail surety services for operational functions. Service

15levels and arrangements may vary from location to location but should utilize
minimum staffing levels. Designated points of contacts shall be responsible forreceiving items identified as registered, sensitive, medical-related, and items
requiring refrigeration.
b. Mail delivery: The DHS Consolidated Remote Delivery Site will deliver mail tothe designated DHS exempt facility locations. The DHS Office of the Chief
Readiness Support Officer (OCRSO) in coordination with the DHS Office of the
Chief Human Capital Officer and the DHS Office of Security will provide a list of
exempt personnel during a federal funding hiatus.
5. Transportation Shuttle Service Operations for Exempt Employees
a. The DHS Shuttle service will continue operations and is available to DHS exempt
employees utilizing the CAO HQ shuttle service activity.
b. Shuttle Service support to U.S. Coast Guard, the Federal Emergency Management
Agency and the Transportation Security Administration will operate at normalschedules due to limited access to public transportation.
c. Limited shuttle services will be available for the DHS HQ components within the
National Capital region (NCR) and the OCRSO will distribute guidance based on
exempt functions at specific locations in the NCR.

G. Use of Mobile Assets and Personal Property
1. Exempt Functions. The guidance provided below regarding DHS Mobile Assets (Fleet,Air, and Marine) and Personal Property functions is intended to reaffirm the continuanceof only those functions which are required for exempt activities. Component managers
responsible for the control, maintenance, and operational readiness of critical assets
necessary for the continuance of exempted activities must take the following actions:a. Determine the bare minimum number of support personnel necessary.
b. Consolidate equipment, operations, and supporting facilities.
c. Ensure that only the minimum amount of recordkeeping necessary to document
the expenditure of funds and disposition of assets.
d. Acquire only the minimum amount of parts and supplies necessary for continued
operation of critical assets.
e. Secure all property not used for critical activities in a manner that protects theasset and ensures its immediate availability upon reactivation.
f. Discontinue all contractor support not directly associated with the maintenance of
critical assets.
g. Discontinue the acquisition of new or replacement assets unless the new or
replacement asset is critical to the execution of an “exempt” activity and cannot
be sourced from idle assets within the immediate inventory or located within theorganization’s or Department’s regional inventory.

16

h. Utilize shared mobile assets and personal property resources within the
Component, Department, and where possible through inter-agency means.
2. Non-Exempt Functions. Maintenance and support activities and personnel whose
absence would not cause an unacceptable interruption in the execution of exempted
activities outlined by DHS HQ include:a. Air, marine, and fleet assets used for training or administrative functions.
b. Operations and maintenance activities necessary to support training or
administrative functions.
c. Home-to-Work Transportation not in direct support of exempted functions(emergency response on a 24×7 basis).
d. Department and Component management activities which do not directly support
exempted activities.
e. Recurring inventory for the sole purpose of property accountability;
f. Record keeping including reporting (field level, Component, Component HQ, or
DHS HQ).
g. Acquisition and procurement functions (excluding parts and supplies otherwise
mentioned in this guidance).
h. Planning.
i. Work order management not associated with the continuance of maintenanceactivities associated with critical assets.
j. Oversight, audit, and assessment not essential to the mitigation of fraud, waste,
and abuse during the federal funding hiatus.

H. Use of Information Technology (IT) Equipment
1. Exempt Functions. DHS exempt personnel performing exempt functions may continue to
use their DHS-issued information technology resources including BlackBerry and otherportable communication devices, computer software and hardware equipment without
restrictions, except that some personnel may need to utilize temporary equipment at
consolidated locations.
2. Non-Exempt Functions. Once OMB notifies DHS that a federal funding hiatus hascommenced, non-exempt employees may use their DHS-issued electronic devices, suchas BlackBerry, TREO, or mobi-key to receive furlough notices, acknowledge delivery
receipt and read receipt of furlough notices, and acknowledge receipt of notices via returnemail. During a hiatus, non-exempt personnel may continue to retain and monitor their
DHS-issued electronic devices for status updates and emergency notifications from theirsupervisors or other management officials; however, employees are prohibited fromusing this equipment for any other purposes (e.g., employees may only use their DHS
electronic devices for one-way communication to monitor the status of the furlough,which is strictly an option (employees are not on standby duty). Failure to follow thispolicy may result in a violation of law, specifically the ADA, which has a criminal
component, and may result in severe penalties.

17

3. Internet Services and DHS Network Access. The Department’s public Website willremain accessible, but will not be maintained or updated. The DHS network will remain
accessible to support exempt functions.

I. Training Functions
1. New Hire Training. Under the guidelines of Section 124 of OMB Circular A-11, thetraining of newly hired employees, including those in law enforcement, is not an exempt
function unless such training and related support activities are funded by other thanannual appropriations. Upon a funding lapse, such training functions and associatedfacilities should proceed with an orderly closure.
2. Skills Training.
a. Training necessary to maintain specific perishable skills associated with law
enforcement functions is exempt. Such activities may include training of canine
units, Federal Air Marshals marksmanship training, and Secret Service
presidential protection exercises.
b. General skills training, including such activities provided by the Federal Law
Enforcement Training Center, is not exempt unless funded by other than annual
appropriations. Trainees who are on temporary duty assignment and receiving
training at a DHS Component training facility may hold in place if a funding
hiatus occurs and only extends for a short period of time (1 to 2 days). Should thedetermination be made that a funding hiatus will continue for an extended periodof time, the trainees should return to their permanent duty station, the planned
training should be rescheduled, and the training facility should proceed with anorderly closure.

18

IV. Procedures in the Event of an Incident Requiring
RecallA. Essential Employees.
An emergency situation may arise for which federal assistance is needed to supplement state andlocal efforts and capabilities to save human lives and to protect property and public health andsafety, or to lessen or avert the threat of a catastrophe in any part of the United States. Suchemergency situations may require certain DHS essential employees to report for work. Essential
employees generally are employees in jobs that are vital to public health, safety, welfare, andnational defense, front line law enforcement, or the operation of essential facilities and functions.
Although some employees identified as “essential” will likely be determined to be “exempt
employees,” many will not since they do not perform functions or activities that are “exempt”
from work restrictions specified in the ADA – e.g., functions/activities that are necessary for thesafety of human life or protection of property.
The categories of “essential personnel” within DHS are as follows:
1. Mission Critical Personnel. Those employees occupying positions and performing
functions that must be maintained under all circumstances to ensure the safety andsecurity of the Nation and its citizens. The critical nature of these positions is inherent in
the position description (e.g., securing the Nation’s borders, protecting the Nation’stransportation system, etc.). These employees must report for duty regardless of theemergency or operating status. Employees whose work is critical to the ability of DHS
to perform its national or homeland security mission.
2. COOP Personnel. Personnel occupying positions identified to sustain an organization’s
primary mission essential functions (PMEFs) and mission essential functions (MEFs).
These personnel:
a. May conduct these activities at an alternate site, virtually or through theobservance of an alternate work schedule.
b. Are expected to initiate and remain in contact with their Component during an
emergency to maintain continuity of operations (COOP).
c. Are Emergency Relocation Group (ERG) members and alternate ERG members.
3. Contingency/Incident Personnel. Employees who are in positions identified for possible
activation, as needed, depending on the emergency, including:a. Personnel designated in positions that ensure three-deep backup to mission criticalor emergency personnel.

19

b. Subject Matter Experts (SMEs).
c. Personnel in positions pre-identified as part of a Crisis Action Team, and otheroperational teams established in response to a specific incident or situation.
d. Federal Emergency Response Officials.
e. Reconstitution Personnel in positions identified as Reconstitution Staff.
f. Personnel in positions identified as Devolution Staff.
g. Persons in positions identified in an order of succession.
4. Emergency Personnel. Employees who are assigned to positions required to sustain afacility or function in the event of a localized situation, such as inclement weather or adismissal or closure of DHS operations or services. These employees will be expected towork even when DHS applies dismissal or closure procedures. Because of the diversity
in Component missions, employee occupations/skills, nature of the emergency,
geographic location, and other factors, the designation of emergency personnel will be
the responsibility of the Component Heads. It is advised that Component Heads
designate, in advance of an emergency, those personnel that provide operational support
or perform support functions (including security and maintaining infrastructure) whichmust continue following the release/non-reporting requirements of other personnel.
5. Exempt Employees: Employees who have been designated by their supervisors to
perform functions or activities that are exempt from work restrictions specified in the
ADA and may continue to operate during a lapse in appropriations. See Section II of thisPlan (Procedures Relating to a Federal Funding Hiatus) for definitions of DHS exempt
functions and employees.
Management Directive 250-05, Designation of Essential and Exempt Personnel, and its
associated instructions provide further guidance.

B. Recall of Non-Exempt Employee
During a furlough, a situation may arise under which an office or Component may need to recall
a non-exempt employee to carry out an exempt function. Such situations could include (1) an
unplanned or unexpected project or activity that qualifies as an exempt function; (2) adetermination that existing exempt functions require additional personnel; or (3) a need toreplace an exempt employee who is unable to work.
In such a situation, DHS may recall from furlough the minimum number of non-exempt
employees required to effectively respond to a specific project. If recalled to work on a specificexempt project, such an employee may work only on that project.

20

Each office or Component must designate a Senior Executive Service Level employee, who isalready designated as an exempt employee, to serve as its Recall Approval Official, and who
will, in consultation with USM and OGC, approve all requests for temporary or permanent
recall. The servicing human resources office should be informed. The procedures are as
follows:
1. The office or component must complete a Return to Work Notice (see Tab 5), and have it
signed by the “Recall Approval Official.” In particular, the form must include (1) the
purpose for which the employee is to be recalled; and (2) how that function qualifies as
an exempt function (e.g., how it is necessary to protect life or property from imminent
threat). A copy is available from your servicing human resources office.
2. Submit the form to designated USM and OGC contacts.
3. Complete and send the Return to Work Notice by email to the employee. If the employee
does not have a DHS electronic device (e.g., BlackBerry, TREO, or mobi-key access),
the employee may be notified verbally by telephone and provided with the recall noticeupon reporting to duty.
4. Once the project/function that the employee was recalled to support is completed, that
employee must be re-furloughed for the duration of the lapse in appropriations. The
employee must be issued a new furlough notice, with a new effective date.
5. The servicing human resources office will be provided a copy of the new furlough notice(along with all furlough notices).

C. Emergency Relocation GroupAn employee may be designated both as an essential employee and as a member of the ERG.
Essential employees must be ready, willing, and able to serve during emergency furloughs andcontinuity events without regard to declarations of unscheduled leave or government closuresdue to weather, protests, and acts of terrorism or lack of funding. Essential employees may bedesignated as exempt employees in such events. Designation as an essential employee requiresthat the Department Emergency Notification System, the COOP point of contact, and/or thesupervisor is able to contact the employee for notification of emergency conditions applicable tothe employee’s designation.
An employee’s manager or supervisor will advise him or her regarding what the employee must
do should a continuity event occur during an emergency furlough. The employee should
immediately provide all personal contact information to his or her supervisor, and provide anychanges or updates in contact information as soon as known.
If an employee is on the ERG and his or her position is designated as non-exempt during an
emergency furlough, the employee would not remain “on call” and would not be compensated21

for remaining “on call.” However, in the event COOP is activated and ERG personnel are
notified to report to duty, they would be compensated for the hours worked based on appropriate
statutes and laws.

22

V. Procedures Following Conclusion of a Hiatus
A. Notification ProceduresUpon appropriate notification from OMB, the Secretary will notify DHS officials that thefederal funding hiatus has concluded and order them to direct employees to return to work.
The DHS Office of Public Affairs will ensure that appropriate employee communications aredelivered promptly and efficiently.
Although employees likely will receive an email notifying them when Congress has reacheda funding agreement, they will be encouraged to watch the news and regularly check the
Office of Personnel Management Website for additional information on when to return towork. Typically, employees will be required to return to work at the beginning of their next
regular workday following the President signing a continuing resolution or appropriations
providing funding for federal agencies.

B. Workforce Compensation
Without further specific direction or enactment by Congress, all exempt employees areentitled to receive payment for obligations incurred by their agencies for their performance of
exempt work during the period of the appropriations lapse. After appropriations are enacted,
payroll centers will pay all exempt employees for time worked. NFC will issue additional
guidance on payroll processing.
Depending on whether Congress enacts legislation to provide furloughed non-exempt
employees with compensation during the entire period of the lapse in appropriations, OMB
and OPM will issue additional guidance on employee compensation, benefits, and personnel
processing.

C. Reporting of Costs Incurred
As soon as appropriations become available to continue Federal Government functions,Components must report all costs incurred due to the lapse in appropriations including, but
not limited to the following:
1.
2.
3.
4.

Interest incurred for late payments.
Amount of discounts lost due to late payments.
Unplanned travel expenses to send staff home and to return them to the field.
Other costs of stopping then restarting operations, such as shutting down information
technology systems.

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VI. Appendix

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

Closure Times and Exempt Employees by Component

24

Table of Contents
Office of the Secretary and Executive Management ……………………….

26

Office of the Under Secretary for Management ……………………………

27

Analysis and Operations …………………………………………………….

28

Office of Inspector General …………………………………………………

29

U.S. Customs and Border Protection ……………………………………….

30

U.S. Immigration and Customs Enforcement ………………………………

32

Transportation Security Administration ……………………………………

33

U.S. Coast Guard ……………………………………………………………

34

U.S. Secret Service ………………………………………………………....

35

National Protection and Programs Directorate ……………………………..

36

Office of Health Affairs …………………………………………………….

37

Federal Emergency Management Agency ………………………………….

38

U.S. Citizenship and Immigration Services …………………………………

39

Federal Law Enforcement Training Center …………………………………

40

Science and Technology Directorate ……………………………………….

41

Domestic Nuclear Detection Office …………………………………………

42

25

Office of the Secretary and Executive Management
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of the Secretary and Executive Management (OSEM) expects to complete anorderly cessation of all other activities not identified as exempt functions within 4 businesshours following notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, OSEM had 633 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
OSEM estimates 61 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are Presidential
appointees, funded by other than annual appropriations, or necessary for the protection of lifeand property.

26

Office of the Under Secretary for Management
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of the Under Secretary for Management (USM) expects to complete an orderly
cessation of all other activities not identified as exempt functions within four business hours
following notification of a federal funding hiatus, with the following exception:
The Office of the Chief Readiness Support Officer expects that it may be necessary to retain
two employees for a period of an additional four business hours (totaling one business day)to accomplish the orderly closure of facilities and the government fleet of vehicle functions.
These two employees will be necessary for closing down the functions of the government
vehicle fleet and non-exempt government facilities. The additional time is required becauseof the necessity to close out the DHS vehicle fleet, which will involve the protection of
government-owned property, and because the Department is geographically-dispersed with
its facilities and assets spread over 40 locations across the National Capital Region. The
intent is to close as many DHS facilities as possible and have exempt personnel consolidated
at designated exempt facilities in the National Capital Region.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, USM had 2,187 on-board employees. This total includes the
Department’s Management Directorate and Working Capital Fund employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USM estimates 189 employees as the total number exempt and estimated to be retained
during a federal funding hiatus.
These employees are exempt since they are either Presidential appointees or necessary for theprotection of life and property.

27Analysis and Operations
I. Estimated Time to Complete an Orderly Cessation of Activities
Analysis and Operations (A&O) expects to complete an orderly cessation of all otheractivities not identified as exempt functions within 4 business hours following notification ofa federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, the Department had a total of 812 on-board employees under the
Analysis and Operations account.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
A&O estimates 411 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are either
Presidential appointees or necessary for the protection of life and property.

28

Office of Inspector General
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of Inspector General (OIG) expects to complete an orderly cessation of all otheractivities not identified as exempt functions within four business hours following notificationof a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, OIG had 728 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
OIG estimates 328 employees as the total number exempt and estimated to be retained during
a federal funding hiatus. These employees are exempt since they are Presidential appointees,
law enforcement officers, or necessary for the protection of life and property.

29

U.S. Customs and Border Protection
I. Estimated Time to Complete an Orderly Cessation of Activities
U.S. Customs and Border Protection (CBP) expects to complete an orderly cessation of allother activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus, with the following exceptions:••

Facility: National Finance Center (NFC)o Explanation: This facility will downsize from 134 to 27 employees within thefirst four business hours of a federal funding hiatus. CBP must maintain theminimum number of personnel necessary to manage payroll for employees paidby other than annual appropriations, travel for law enforcement personnel, andaccounts payable functions in support of approximately 50,000 exempt CBP
personnel. CBP’s COSS System is used to schedule shift work for frontline
personnel and must therefore be kept operational because CBP frontline personnel
will continue to work as exempt employees. Because of furloughs at the NFC, it
will be necessary to manually transition designated approvers to individuals whowill continue as exempt employees at the NFC. The minimum workforce
necessary to accomplish this while also continuing core NFC functions includes
eleven employees for payroll/COSS functions, six employees for travel functions
for law enforcement personnel, eight employees for accounts payable functions,and two management/oversight personnel. After 2 weeks, the number ofnecessary employees will be reduced to five employees for payroll/COSS
functions, one employee for travel functions, one for accounts payable functions,and two management/oversight personnel.
Function: Advanced Training Center Site Security
Explanation: An estimated 1 1/2 days (to the nearest half-day) is required for
ATC to facilitate the orderly relocation of approximately 150-300 law
enforcement students that are locally-housed. The winding down of the ATCoperations involves complexities requiring coordination with local hotels andPartner Organizations (many of whom are not within DHS), contract employees
and the aforementioned students. The ATC is located in Harper’s Ferry, West
Virginia. These students are not employees of the ATC, but of CBP’s component
organizations that train at the ATC. Because of the local residential feature of theATC, the facility requires additional time beyond the traditional four hours to
execute an orderly shutdown of its training operations. In a shutdown event for a
training site, those operations for the student population include: (1) coordination
with the students’ employing components to facilitate outgoing airline tickets; (2)assign, account for, and organize students’ ground transportation to regional
airports that are located as far as 50 miles away; (3) receive sensitive inventory
belonging to the ATC and signed out to the students; (4) provide food and lodging
until the students depart the training facility; and, (5) provide transportation toregional airports, in order to depart.

o

30

•

Function: Legal Counsel and Support
o Explanation: One employee is needed for no longer than 3 days to assist in
expediting the adequate transfer, resolution and/or disposition of pending
procurement, contracting, budgetary, and personnel actions for the Office of ChiefCounsel. Specific tasks would include: coordinating shutdown financial
procedures with the Office of Administration and Office of Human Resources
Management, resolving year end procurement issues, establishing new fiscal year
financial plans for 28 OCC offices, creating purchase card documents andinteragency agreements, setting-up legal research accounts, processing necessary
PARTS actions, and handing over her ongoing workload to exempted employees.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, CBP had 59,561 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
CBP estimates 52,673 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are Presidential
appointees, law enforcement officers, funded by other than annual appropriations, ornecessary for the protection of life and property.

31

U.S. Immigration and Customs Enforcement
I. Estimated Time to Complete an Orderly Cessation of Activities
U.S. Immigration and Customs Enforcement (ICE) expects to complete an orderly cessationof all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, ICE had 19,810 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
ICE estimates 15,794 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are Presidential
appointees, law enforcement officers, funded by other than annual appropriations, ornecessary for the protection of life and property.

32

Transportation Security Administration
I. Estimated Time to Complete an Orderly Cessation of Activities
The Transportation Security Administration (TSA) expects to complete an orderly cessationof all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, TSA had 59,282 on-board employees. This number does not include
Law Enforcement Officers serving in the Federal Air Marshal Service (FAMS), the total
number of which is Sensitive Security Information.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
TSA estimates 55,211 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. This number does not include law enforcement officers
serving in the Federal Air Marshal Service (FAMS), who are exempt; the total employee
number of FAMS law enforcement officers is Sensitive Security Information not included inthis document.
These employees are exempt since they are Presidential appointees, funded by other thanannual appropriations, or necessary for the protection of life and property.

33

U.S. Coast Guard
I. Estimated Time to Complete an Orderly Cessation of Activities
The U.S. Coast Guard (USCG) expects to complete an orderly cessation of all other activities
not identified as exempt functions within four business hours following notification of afederal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, USCG had 49,698 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USCG estimates 43,736 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. Military members are exempt from furlough. Civilian
employees are exempt since they are either funded by other than annual appropriations ornecessary for the protection of life and property.

34

U.S. Secret Service
I. Estimated Time to Complete an Orderly Cessation of Activities
The U.S. Secret Service (USSS or Secret Service) expects to complete an orderly cessation of
all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, USSS had 6,537 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USSS estimates 6,003 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are Presidential
appointees, law enforcement officers, or necessary for the protection of life and property.

35

National Protection and Programs Directorate
I. Estimated Time to Complete an Orderly Cessation of Activities
The National Protection and Programs Directorate (NPPD) expects to complete an orderly
cessation of all other activities not identified as exempt functions within four business hours
following notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, NPPD had 2,835 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
NPPD estimates 1,617 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are Presidential
appointees, law enforcement officers, funded by other than annual appropriations, ornecessary for the protection of life and property.

36Office of Health Affairs
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of Health Affairs (OHA) expects to complete an orderly cessation of all otheractivities not identified as exempt functions within four business hours following notificationof a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, OHA had 89 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
OHA estimates 39 employees as the total number exempt and estimated to be retained during
a federal funding hiatus. These employees are exempt since they are either Presidential
appointees or necessary for the protection of life and property.

37Federal Emergency Management Agency
I. Estimated Time to Complete an Orderly Cessation of Activities
The Federal Emergency Management Agency (FEMA) expects to complete an orderly
cessation of all other activities not identified as exempt functions within four business hours
following notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, FEMA had 14,729 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
FEMA estimates 11,468 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are Presidential
appointees, funded by other than annual appropriations, or necessary for the protection of lifeand property.

38

U.S. Citizenship and Immigration Services
I. Estimated Time to Complete an Orderly Cessation of Activities
U.S. Citizenship and Immigration Services (USCIS) expects to complete an orderly cessationof all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, USCIS had 12,558 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USCIS estimates 12,205 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are either
Presidential appointees or funded by other than annual appropriations.

39Federal Law Enforcement Training Center
I. Estimated Time to Complete an Orderly Cessation of Activities
Consistent with Federal Government-wide contingency plans, basic training of new
employees in occupations that are generally designated as emergency will initially besuspended. Students and instructors will remain at the training site during the temporary
suspension; if a determination is made after several days that the federal funding hiatus will
be prolonged, the students and instructors may be given direction to return to their permanent
duty stations.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, FLETC had 1,074 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
FLETC estimates 61 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are exempt since they are either funded byother than annual appropriations or necessary for the protection of life and property.

40Science and Technology Directorate
I. Estimated Time to Complete an Orderly Cessation of Activities
The Science and Technology Directorate (S&T) expects to complete an orderly cessation of
all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, S&T had 469 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
S&T estimates 20 employees as the total number exempt and estimated to be retained during
a federal funding hiatus. These employees are either Presidential appointees or necessary forthe protection of life and property.

41

Domestic Nuclear Detection Office
I. Estimated Time to Complete an Orderly Cessation of Activities
The Domestic Nuclear Detection Office (DNDO) expects to complete an orderly cessation of
all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.

II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of July 31, 2013, DNDO had 115 on-board employees.

III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
DNDO estimates 6 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are either Presidential appointees ornecessary for the protection of life and property.

42