DEPARTMENT OF TRANSPORTATION
Operations During a Lapse in Annual Appropriations
Plans by Operating Administration

September 27, 2013

Office of the Assistant Secretary for Budget and Programs, and CFO

DEPARTMENT OF TRANSPORTATIONSUMMARY OF POSITIONS AFFECTED BY A LAPSE IN ANNUAL APPROPRIATIONS

Fur

24,855
0
4
0
0
404
158
0
20
0
0
15
0
2
25,458

2,678
2,914
259
1,102
24
3
0
675
351
125
0
57
229
0
8,417

15,514
0
333
0
501
467
274
25
451
0
140
382
0
394
18,481

3,023
0
1
0
4
12
9
2
8
0
3
47
0
3
3,112

30,556
2,914
264
1,102
28
419
167
677
379
125
3
119
229
5
36,987

lo
u

fe
t
Sa
fe
/

g
St hedaf
To f
Po tal
sit
io
ns

O
t
Fu her
nd
in
g
2/
Su
Po pposit rt
io
ns
3/
To
ta
lS
ta
W ff aor tkFederal Aviation Administration 1/
Federal Highway Administration
National Highway Traffic Safety Administration
Federal Motor Carrier Safety Administration
Federal Transit Administration
Federal Railroad Administration
Pipeline and Hazardous Materials Safety Administration
Research and Innovative Technology Administration
Maritime Administration
Saint Lawrence Seaway Development Corporation
Surface Transportation Board
Office of the Secretary (excludes Working Capital Fund)Working Capital Fund
Inspector General
Total 4/yOperating AdministrationLi

Excepted Positions

46,070
2,914
597
1,102
529
886
441
702
830
125
143
501
229
399
55,468

1/ "Furloughed Staff" includes 2,490 positions in the Office of Aviation Safety who will be recalled to work incrementally over a two week period.
2/ Positions funded by other sources, including multi-year appropriations, indefinite appropriations, or contract authority.
3/ Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions).
4/ These figures represent the Department's plan as of this date. Staff subject to furlough will be regularly reassessed during a period of lapsed appropriations.

Office of the CFO

September 27, 2013

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FEDERAL AVIATION ADMINISTRATION (FAA)

Personnel Summary
Staff at Work
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Life and Safety excepted positions:(Air Traffic Organization – 24,165; Office of Aviation Safety – 310; Office of Security and Hazardous
Materials – 335; Office of Regions and Centers – 7; and Other – 38)
Positions funded by multi-year appropriations, indefinite appropriations, or contract authority:(Airport Improvement Program (AIP) – 565; Research Engineering & Development – 249;
Aviation Insurance – 5)
Positions funded by franchise funds
Positions that are funded on reimbursable agreements
Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

Positions to be Furloughed: *Additional Positions to be Furloughed after orderly shutdown:

819

1,774
85
3,023
30,556
15,256258

Total Positions Furloughed
Total Positions:24,855

15,51446,070* 2,490 of this total includes staff of the Office of Aviation Safety, who would be initially furloughed but would be recalled incrementally over a
two-week period.

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September 27, 2013

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Summary of Continuing Operations
The following operations will continue as excepted activities during a lapse in annual appropriations:
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Air traffic control services;
Maintenance and operation of navigational aids and other facilities, including support to reimbursable Department of Defense
and Department of Homeland Security activities;
Flight Standards field inspections;
Airmen medical certifications;
Aircraft certification services (limited);
Hazardous materials safety inspections;
Security information communication services;
Continuity of Operations Planning;
Air Traffic Control Specialist (ATCS) medical clearances;
Air traffic safety oversight (limited);
On-call accident investigations;
Commercial space launch oversight; (At least one of a succession of launches will occur between the end of September andthe first week in October in support of the International Space Station.)
Command, control, and communications (i.e., Regions and HQ Operations Centers);
Foreign relations on aviation safety-related matters; andSafety and continuity of operations oversight for deployment of ERAM;

In addition, certain activities that will not be affected by a lapse in annual appropriations include:
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National aviation research, engineering, and development (RE&D) funded by multi-year appropriations;
Airport inspections;
Existing airport development grants;
Passenger facility charge approvals; andAirport planning and environmental services funded by Airport Improvement Plan (AIP) contract authority.

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September 27, 2013

Page | 3

Further, certain personnel are required to provide support services to safety personnel and to provide for the orderly shutdown of FAA
activities. In general, it will take approximately four hours to shut down most of the agency’s non-excepted activities, with thepossible exception of activities necessary to issue stop work orders on contracts and employee furlough notices. FAA expects that theorderly shutdown work of contracting officers will be done within one day. Other activities may take two to three days to complete
and will involve human resources and budget/finance personnel. Individuals providing support services to safety positions will report
to work to provide employees excepted for the purpose directly protecting life and property with necessary legal, information
technology, labor relation, and contract support services.
Also, initially the safety workforce would be limited to safety critical staff whose job is to perform urgent continued operational
activity to protect life and property. If extended beyond a limited duration, FAA would bring back additional parts of the workforce tobetter manage safety risk. A total of 2,800 would be excepted based on the percentage of continued operational safety work.
Employees doing certification and operational support work would remain on furlough.
Summary of Suspended Activities
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Development of new air traffic control specialists not certified to work a position;
Aviation rulemaking;
Facility security inspections, evaluations, audits and inspections;
Routine personnel security background investigations;
Development, operational testing, and evaluation of NextGen technologies;
Development of NextGen safety standards;
Air traffic performance analysis;
Capital planning for FAA facilities and equipment;
Investment planning and financial analysis;
Dispute resolution;
Audit and evaluation;
Financial operations, controls, reporting and accountability;
Most budgeting functions (except those necessary to provide necessary services to offices funded with multi-year
appropriations and contract authority);
Employee drug testing program;Law enforcement assistance support;

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September 27, 2013

Page | 4

Most administrative support functions not required for support of life and safety “excepted” positions; andCongressional liaison services.

Assessment of Liquidating Cash (Trust Fund Agencies Only)

The unused liquidating cash for AIP as of September 20, 2013, was $1,826,760,017. AIP is the only FAA program that
operates on Contract Authority.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? This will be completed prior to September 30.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? This will be completed prior to September 30.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored?
Yes. FAA employees will be advised to listen to public broadcasts for information that a congressional action has been taken
to fund the government, and they will be expected to return to work on their next regular duty day. In addition, FAA will place
return to duty information on the FAA employee website, and FAA’s toll-free number. FAA managers can also call
employees to ensure staff members are aware they have been recalled to duty.

Office of the CFO

September 27, 2013

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FEDERAL HIGHWAY ADMINISTRATION

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work
Positions to be Furloughed:
Total Positions:

0
2,914
0
2,914
0
2,914

Summary of Continuing Operations
All operations continue as normal during a lapse in annual appropriations.
Summary of Suspended Activities
None. Activities funded with contract authority.
Assessment of Liquidating Cash (Trust Fund Agencies Only)
FHWA has sufficient liquidating cash to continue operations during a lapse in annual appropriations.

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September 27, 2013

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Special Circumstances

Not applicable.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes, the agency plans are up-to-date and approvedby the Administrator.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Not applicable.



Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Not applicable.

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September 27, 2013

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FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

0
1,102
0
1,102

Positions to be Furloughed:
Total Positions:

0
1,102

Summary of Continuing Operations
All operations continue as normal during a lapse in annual appropriations.
Summary of Suspended Activities
None. Activities funded with contract authority.
Assessment of Liquidating Cash (Trust Fund Agencies Only)
FMCSA has sufficient balances of liquidating cash to operate for a limited period during a lapse of annual appropriations.

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September 27, 2013

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Special CircumstancesOnce available liquidating cash is exhausted to support continuing operations, an agency shutdown may need to be
implemented. For a brief funding lapse, this is not anticipated.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes, the agency plans are up-to-date and approvedby the Administrator.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Not applicable.



Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Not applicable.

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September 27, 2013

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NATIONAL HIGHWAY TRAFFIC SAFETY ADMINISTRATION

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority 1/
 Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

4
259
1
264

Positions to be Furloughed:

333

Total Positions:597

1/ Highway Trust Fund operations would continue during a lapse in annual appropriations.
Summary of Continuing Operations
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NHTSA Highway Safety Research & Development activities would continue (e.g., occupant protection, alcohol, motorcycles).

Summary of Suspended Activities
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Vehicle Safety activities, including rulemaking, enforcement, research, data analysis, and consumer testing programs.
Important rulemakings, including those with Congressional deadlines, would be delayed.
New car assessment testing and related star ratings to consumers may be delayed.
Defects investigations would be suspended and incoming information on possible defects from manufacturers and consumers
would not be reviewed.
Compliance testing of vehicles and equipment would be delayed.

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September 27, 2013

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Vehicle safety research on important subjects (e.g., crash avoidance technologies, vehicle-to-vehicle communications,occupant protection, alcohol detection) would be delayed.
National Driver Register (NDR) program operations.
Delayed distribution of the FY 2014 Highway Safety Grant funds.
Routine defects and recall information from manufacturers and consumers would not be reviewed.

Assessment of Liquidating Cash (Trust Fund Agencies Only)

NHTSA has sufficient balances of liquidating cash on hand.

Special Circumstances


None.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

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September 27, 2013

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FEDERAL TRANSIT ADMINISTRATION

Personnel Summary
Staff at Work

Positions funded by multi-year appropriations, indefinite appropriations, or contract authority:
Hurricane Sandy Recovery
Lower Manhattan Recovery Office
Total



Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

21
3
24
4
28

Positions to be Furloughed:

501

Total Positions:

529

Summary of Continuing OperationsIn the absence of appropriations, limited functions funded from prior year appropriations would continue. These would
include Hurricane Sandy activities funded from the 2013 Disaster Relief Appropriations Act (21 positions) and activities inthe Lower Manhattan Recovery Office (3 positions) funded by emergency supplemental appropriations after 9/11.



FTA would also have 4 excepted positions to perform life and safety activities authorized in MAP-21 and oversee the lawful
continuation of other functions.

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September 27, 2013

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Summary of Suspended Activities

FTA would not continue any of its unfunded core agency functions. No grants, cooperative agreements, contracts, purchaseorders, travel authorizations, or other documents obligating funds would be executed.

FTA customarily reimburses transit agencies for ongoing operations and construction projects to enable them to provide transit
services and pay employees and contractors. October is typically a month where grantees request substantial reimbursements.
In October of FY 2013 payments averaged about $200 million per week.



FTA would not obligate grant funds for projects carried out by approximately 1,300 grantees throughout the country as FTA
staff that perform these functions are not considered excepted employees. FTA grants primarily fund operating expenses andcapital projects.

For projects under development, FTA staff would not carry out environmental, legal, civil rights, and other reviews essential
for advancing projects to the point of obligation, since these are not related to immediate issues of life and safety.



FTA would not make grant payments using FTA’s Financial Management Systems or vendor payments to contractors using
the DELPHI accounting systems regardless of the fiscal year cited since appropriations would not be available to pay thesalaries of the staff certifying and executing the payments.

Program oversight activities would continue but only with funds provided by prior year appropriations. Most oversightactivities are performed by contractors.



FTA would also not obligate or outlay funds for research and technical assistance activities because appropriations would not
be available to pay the salaries of the staff executing the payments.

Assessment of Liquidating Cash (Trust Fund Agencies Only)

FTA has sufficient liquidating cash. However, FTA would not outlay funds because appropriations would not be available to
pay the salaries of staff executing payments.

Office of the CFO

September 27, 2013

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Special Circumstances

Certain contract support functions funded with prior year appropriations would continue unless contracting officer
representatives (COR) are needed to supervise on-site contract staff. CORs are not considered excepted employees.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes

Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? YesAre logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes

Office of the CFO

September 27, 2013

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FEDERAL RAILROAD ADMINISTRATION

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

404
3
12
419

Positions to be Furloughed:467

Total Positions:886

Summary of Continuing Operations
Office of Railroad Safety:

FRA headquarters and field staff manage all rail accident/incident investigations across the country. These investigations
become the basis for the agency issuing Emergency Orders, Safety Advisories over the short-term and ultimately rail safety
regulations. Data that is transmitted from the Investigators to headquarters staff is used to develop reports documenting theevent.

The continuous inspector presence on railroad property allows for the proactive review and identification of unsafe operations.
Having FRA Inspectors on railroad property makes a difference in achieving industry compliance with Federal safety
regulations. Data shows that when Inspectors are not visible, less compliance is more likely to occur, which may lead tohigher accident/incident rate. When safety hazards are identified, headquarters staff assists Inspectors to ensure uniform andconsistent feedback to railroads on noncompliance violations of Federal safety regulations.

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September 27, 2013

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Office of the Administrator:


The Office of the Administrator provides executive direction over various headquarters and field organizations and is directly
accountable to the DOT Secretary and Deputy Secretary for accomplishing FRA’s mission, functions, and goals.

Office of Chief Counsel:


The Deputy Chief Counsel and Deputy Assistant Chief Counsel for Safety Law are critical to the continuation of FRA’s safety
mission. Collectively these individuals provide continuing safety legal advice relative to FRA’s safety laws and regulations.

Office of Financial Management & Administration:Various individuals within FRA’s Office of Financial Management and Administration support FRA’s safety activities.

Summary of Suspended Activities:

Functions to be suspended during a lapse of appropriations include all activities assigned to the Office of Railroad Policy andDevelopment (RPD). This includes the high-speed rail initiative. RPD is also the primary grantor of operating, capital anddebt service grant payments to Amtrak. Furthermore, during this time (1) all grant and financial assistance activities are
suspended. This includes: technical assistance to grantees and partners, grant obligations and payments to states, Railroad
Rehabilitation and Improvement Financing (RRIF) loan payments and (2) all activities related to the intake, processing andevaluation of grant applications previously submitted to FRA.

Shutdown Checklist:Are shutdown plans up-to-date and approved by the modal administrator? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

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September 27, 2013

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PIPELINE AND HAZARDOUS MATERIALS SAFETY ADMINISTRATION (PHMSA)

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work:

158
0
9
167

Positions to be Furloughed:274

Total Positions:441

Summary of Continuing Operations
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Investigations of pipeline accidents to determine the causes and circumstances of failure, the need for corrective action, andany non-compliance that might have contributed to the accident.
Inspections of pipeline operators and systems to determine compliance with the pipeline safety regulations.
Enforcement of the pipeline safety regulations through corrective action orders, notices of probable violations and letters of
warning.
Investigations of hazardous materials accidents to determine the causes and circumstances of failure, the need for corrective
action, and any non-compliance that might have contributed to the accident.
Inspections of hazardous materials shippers, carriers, testing facilities and cylinder reconditioning facilities to determine
compliance with the hazardous materials safety regulations.
Enforcement of the hazardous materials safety regulations through the issuance of tickets or development of evidence for civil
and criminal penalty actions.
Hazardous Materials approvals and permits for emergencies affecting the safety of life and property only.

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Page | 17Administrative support for the agency’s shutdown plan and procedures, coordination with other DOT elements and OMB,
ensuring the physical security of nonexpendable property, and supporting ongoing Field operations necessary for the protectionof life and property.
The Office of Human Resources requires six people to conduct orderly shutdown procedures and to restart PHMSA personnel
activities, once funding is restored. All six are needed for the first two days of shutdown. Only one person is needed during
the entire shutdown period for processing emergency actions.

Summary of Suspended Activities
 Strategic Planning and Program Evaluation
 Public Affairs
 Civil Rights
 Pipeline Program Development Pipeline Standards and Rulemaking
 Pipeline Engineering and Research Pipeline State Programs (Grants)
 Pipeline Enforcement Policy, Procedures and Guidance Pipeline Training and Qualifications
 Emergency Response Planning and Drills
 Hazardous Materials Program Development Hazardous Materials Standards and Rulemaking
 Hazardous Materials Engineering and Research Hazardous Materials Approvals and Permits (except for emergency) Hazardous Materials Outreach, Training and Grants
 Hazardous Materials Special Investigations
 Hazardous Materials Training and Qualifications
 Legal Services and Representation
 Regulatory Analysis and Planning Freedom of Information Act and Privacy Act Processing
 Budget and Financial Planning and Operations (except those related to protection of life and property) Acquisition Services
 Human Resources (except for those related to executing the orderly shutdown)
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Page | 18Information Resources Management
Administrative Services

Assessment of Liquidating Cash (Trust Fund Agencies Only)

Not applicable.

Special Circumstances

PHMSA’s Safety Inspectors and Safety Investigators in the field will continue to protect the safety of life and property byidentifying and addressing pipeline and hazardous materials safety violations.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

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September 27, 2013

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RESEARCH AND INNOVATIVE TECHNOLOGY ADMINISTRATION

Personnel Summary
Staff at Work Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions): Other Personnel (reimbursable-funded staff at Volpe and Transportation Safety Institute (TSI)):
Total Positions at Work

66
2
609
677

Positions to be Furloughed:25

Total Positions:702

Summary of Continuing Operations
All program activities associated with the Bureau of Transportation Statistics (BTS) account and the administrative overhead
staff and functions supported from the BTS account would continue.

Within RITA, there are two fee-for-service organizations funded by reimbursable agreements: Transportation Safety Institute,
Oklahoma City, OK and the Volpe Center, Cambridge, MA. Both of these organizations have adequate resources to fund staff
for a limited period.

Summary of Suspended ActivitiesAll program activities funded from the Research and Development (R&D) General Fund would be suspended, including
RD&T Coordination, Alternative Fuels, Positioning, Navigation and Timing and the Nationwide Differential Global
Positioning System. All administrative overhead staff and functions supported from the R&D account would be furloughed.

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September 27, 2013

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Assessment of Liquidating Cash

Not applicable.

Special Circumstances


None.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

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September 27, 2013

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MARITIME ADMINISTRATION (MARAD)

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

20
351
8
379

Positions to be Furloughed:451

Total Positions:830

Summary of Continuing Operations
MARAD functions that would continue during a lapse in appropriations extend to maritime life safety and securing vessels of
the U.S. Government. All other functions will not be continued, including: Environment and Compliance; Intermodal System
Development; Business and Finance development programs; USMMA operations; and administrative support programs, otherthan those sustaining continuing operations.



Positions required for the safety and welfare of U.S. Merchant Marine Academy (USMMA) midshipmen on campus will be
required for the initial period of the lapse of appropriation until the midshipman can be sent home. Under a short-term
shutdown, midshipmen would remain at the USMMA, but they would not attend classes. If a shutdown persisted over one
week, then midshipmen would be sent home. Midshipmen at sea would remain at sea under a shutdown.

Emergency and disaster assistance involving the safety of human life or protection of property would continue.

 The no-year funded Ship Disposal Program could continue operations utilizing carry-over balances.
Office of the CFO September 27, 2013

Page | 22The no-year funded Maritime Security Program could continue program operations using carry-over balances.



The reimbursable National Defense Reserve Fleet (no-year DOD-funded), including the Ready Reserve Fleet, could continue
program and administrative operations using carry-over balances.



Under Title XI, MARAD employs private contractors or the Reserve Fleet facility in husbanding some defaulted Title XI
assets. These services would continue, as a failure to maintain these services could jeopardize life and safety.

Summary of Suspended Activities


Administrative support functions would cease, other than those related to Life and Safety support and those associated with theno-year and reimbursable programs mentioned above.

Program support for Environment and Compliance (MAR-400), Intermodal System Development (MAR-500), and Businessand Finance Development (MAR-700) would cease.



USMMA operations would cease, except midshipman Life and Safety support.

Assessment of Liquidating Cash (Trust Fund Agencies Only)

Not applicable.

Special Circumstances

The USMMA is in session year-round, with only limited breaks between terms. An extended lapse in appropriations could
significantly disrupt the school’s academic schedule, making adjustments difficult to accommodate.

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September 27, 2013

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Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the modal administrator? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

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September 27, 2013

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SAINT LAWRENCE SEAWAY DEVELOPMENT CORPORATION (SLSDC)

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Funded by other sources, including multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work
Staff to be Furloughed:
Total Positions:

0
125
0
125
0
125

Summary of Continuing Operations
The SLSDC will utilize its statutory authority to use reserve funding from its no-year revolving fund during any lapse infederal appropriations to operate and maintain the U.S. portion of the St. Lawrence Seaway without any adverse impact on
staff levels or agency programs.

Summary of Suspended Activities

No activities will be suspended.

Special Circumstances

As was the case during the 1995-96 federal shutdowns, Seaway operations during any possible lapse in appropriations,
including compensation and benefits for personnel, would be funded through the SLSDC’s no-year revolving account, whichcurrently includes $12.8 million in reserve funding.

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September 27, 2013

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Shutdown Checklist (for each item still in progress, give an expected completion date)Are shutdown plans up-to-date and approved by the modal administrator? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

Office of the CFO

September 27, 2013

Page | 26

SURFACE TRANSPORTATION BOARD

Personnel Summary
Staff at Work

Presidential appointees (Senate Confirmed):3

Total Positions at Work

3

Positions to be Furloughed:

140

Total Positions:143

Summary of Continuing Operations


Brief orderly termination of agency functions and human resource/payroll activities to prepare for furlough period.

Summary of Suspended Activities










Receipt of filings and pleadings.
Case processing.
Suspension of procedural schedules and decisional activities.
Oral arguments and voting conferences.
Data collection and analysis.
Tariff filings.
Recordation filings and access by public.
Site visits, meetings with local/State Government parties, and public hearings.
Litigation and court appearances.

Office of the CFO

September 27, 2013

Page | 27Consumer hotline and responses to public inquiries.
Congressional support and responses to Congressional inquiries.
All administrative support activities.

Assessment of Liquidating Cash (Trust Fund Agencies Only)

Not applicable.

Special Circumstances

Litigation, court appearances, and assistance to Attorney General involving Court deadlines in cases brought before the U.S. asa result of agency decisions.
Suspension of procedural schedule, and decisional activities involving cases with statutory deadlines.
Directed Rail Service in certain emergency situations.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the Board? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

Office of the CFO

September 27, 2013

Page | 28

OFFICE OF THE SECRETARY (OST)OST Office

Li
fe
/S
af
et
y
O
th
Fu er
nd
in
g
Su 1/
p
Po por
sit t
io
To ns
2
ta
lS /
at taff
W
or
k
Fu
rlo
ug
h
St ed
af
To f
t
Po al
sit
io
ns

Excepted Positions

Offices of the Secretary and Deputy Secretary
Under Secretary for Transportation Policy
Office of General Counsel
Assistant Secretary for Budget and Programs, and CFO
Assistant Secretary for Administration (excludes WCF positions)Chief Information Officer (excludes WCF positions)
Working Capital Fund (CIO and Administration Support)
Executive Secretariat
Office of Governmental Affairs
Office of Public Affairs
Office of Civil Rights
Office of Small and Disadvantaged Business Utilization
Office of Drug and Alcohol Policy and Compliance
Office of Intelligence, Security, and Emergency Response
OST Total (without Working Capital Fund)OST Total (including Working Capital Fund)

0
0
1
0
0
2
0
0
0
0
0
0
2
10
15
15

2
51
0
0
0
0
229
0
1
0
0
3
0
0
57
286

6
3
4
9
5
1
0
1
1
1
0
0
0
16
47
47

8
54
5
9
5
3
229
1
2
1
0
3
2
26
119
348

9
54
98
36
43
27
0
10
11
11
40
8
9
26
382
382

17
108
103
45
48
30
229
11
13
12
40
11
11
52
501
730

1/ Positions funded by multi-year appropriations, indefinite appropriations, contract authority, or otherwise authorized.
2/ Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions).

Office of the CFO

September 27, 2013

Page | 29

Summary of Continuing Operations
Most continuing operations of the Office of the Secretary principally will be associated with the following activities:Life and safety and security functions of OST, including security of the headquarters buildings;
Activities funded through the Working Capital Fund for which resources remain available;
Staff support required for other lawful functions of the Department that will continue during a lapse in annual appropriations,
including support activities required for the Secretary, Deputy Secretary and other Presidential appointees within OST todischarge their responsibilities; andActivities funded by multi-year or no-year appropriations.

Summary of Suspended Activities


Suspended activities during a lapse in annual appropriations will mainly be support from staff offices that are not associatedwith excepted continuing activities.

Assessment of Liquidating Cash (Trust Fund Agencies Only)

Not applicable.

Special Circumstances


None.

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the Deputy Secretary? Yes.



Has the Office of Human Resources identified each employee subject to a furlough and made necessary preparations to notify
these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.
Office of the CFO September 27, 2013

Page | 30

OFFICE OF INSPECTOR GENERAL (OIG)

Personnel Summary
Staff at Work
 Life and Safety excepted positions: Positions funded by multi-year appropriations, indefinite appropriations, or contract authority: Positions supporting lawful continuation of other functions (e.g., support for Life and Safety positions):
Total Positions at Work

2
0
3
5

Positions to be Furloughed:394

Total Positions:

399

Summary of Continuing Operations
Hotline and Crisis Management Center point of contact.

Summary of Suspended Activities

AuditsInvestigations
Legal, Legislative, and External Affairs
Administrative Functions (Procurement & Administrative Services, Human Resources, Budget & Financial Management, andInformation Technology).

Office of the CFO

September 27, 2013

Page | 31

Assessment of Liquidating Cash (Trust Fund Agencies Only)

Not applicable.

Special Circumstances

None

Shutdown Checklist (For each item still in progress, give an expected completion date.)Are shutdown plans up-to-date and approved by the Inspector General? Yes.



Has the OA’s Office of Human Resources identified each employee subject to a furlough and made necessary preparations to
notify these staff? Yes.

Are logistics in place to provide for an orderly recall of employees and a return to normal operations, once annual
appropriations are restored? Yes.

Office of the CFO

September 27, 2013

Page | 32