U.S. NUCLEAR REGULATORY COMMISSION MANAGEMENT DIRECTIVE (MD)

MD 4.5 CONTINGENCY PLAN FOR PERIODS OF 

LAPSED APPROPRIATIONS

DT-15-20 

Volume 4: Financial Management

Approved By: Stephen G. Burns, Chairman

Date Approved: September 21, 2015 

Expiration Date: August 1, 2017

Issuing Office: Office of the Chief Financial Officer

Division of Planning and Budget

Contact Name: Joel Dorfman

301-415-6022

EXECUTIVE SUMMARY 

Management Directive 4.5, “Contingency Plan for Periods of Lapsed Appropriations,” is 

revised to apply lessons learned from the fiscal year (FY) 2014 Government shutdown due to 

a lapse in appropriations (SECY-14-0009), and to reflect Commission policy direction 

(COMSECY-14-0017). Significant revisions include—

• Referencing additional guidance on the scope of resident inspection functions 

excepted from furlough;

• Adding a new excepted function for region-based inspections and referencing 

additional guidance on this function; and 

• Incorporating components of the Concept of Operations used in the FY 2014 NRC 

shutdown.

TABLE OF CONTENTS

I. POLICY..............................................................................................................................2

II. OBJECTIVES ....................................................................................................................2

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY...........2

A. Chairman......................................................................................................................2

B. Commissioners.............................................................................................................3

C. General Counsel...........................................................................................................3

D. Chief Financial Officer (CFO)........................................................................................3

E. Inspector General (IG)..................................................................................................4
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

F. Executive Director for Operations (EDO) ......................................................................5

G. Director, Office of Administration (ADM) .......................................................................5

H. Chief Human Capital Officer (CHCO) ...........................................................................5

I. Director, Office of Information Services (OIS)...............................................................6

J. Office Directors and Regional Administrators ...............................................................6

K. Director, Acquisition Management Division (AMD), Office of 

Administration (ADM)....................................................................................................7

IV. APPLICABILITY ................................................................................................................7

V. HANDBOOK......................................................................................................................7

VI. REFERENCES...................................................................................................................8

I. POLICY

It is the policy of the U.S. Nuclear Regulatory Commission to establish and implement a 

contingency plan for periods of lapsed appropriations and provide guidance and instructions 

for suspending nonexcepted agency activities should Congress fail to appropriate funds for 

normal agency operations.

II. OBJECTIVES

— Implement the Office of Management and Budget (OMB) Bulletin 80-14, “Shutdown of 

Agency Operations Upon Failure by the Congress to Enact Appropriations,” 

August 28, 1980, as amended by Supplement No. 1, “Agency Operations in the Absence 

of Appropriations,” August 20, 1982, in accordance with the Antideficiency Act and the 

opinion of the Attorney General of the United States. 

— Provide guidance for the orderly suspension of nonexcepted activities when an 

exhaustion of funds is anticipated. 

— Identify excepted functions that will continue although all available NRC funds have 

been exhausted. 

III. ORGANIZATIONAL RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY

A. Chairman

1. Ensures execution of the contingency plan. 

2. Determines the excepted functions of the agency. 

3. Submits the list of excepted functions to OMB for transmittal to Congress, if necessary. 
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

4. Approves the lists of employees to be furloughed and those to be retained when all 

available funds are exhausted for all offices except those of individual 

Commissioners and those of the Office of the Inspector General (OIG). 

5. Authorizes dissemination of information about the status of the agency to the media, 

including those broadcast stations that carry emergency weather announcements.

B. Commissioners

Approve the lists of employees for their respective staffs to be furloughed and those to 

be retained when all available funds are exhausted.

C. General Counsel

1. Assists the Chairman or his or her designee in determining the agency’s excepted 

functions. 

2. Provides the Chairman or his or her designee with legal advice during the period of 

lapsed appropriations. 

3. Drafts the Commission’s orders on issues arising from an exhaustion of funds. 

4. Defends the Commission in judicial proceedings arising from lapsed appropriations 

or an exhaustion of funds. 

D. Chief Financial Officer (CFO)

1. Directs and ensures the implementation of this management directive (MD). 

2. Obtains policy guidance from the OMB regarding lapses in appropriations. 

3. Issues, in coordination with the Executive Director for Operations (EDO), a notice of 

general information on agency funding to all employees. 

4. Determines the amount of funds available to operate at the earliest indication of 

funding difficulty. 

5. Advises the Chairman and the EDO of the availability of funds. 

6. Advises the Inspector General (IG) on the availability of funds in the IG appropriation. 

7. Reallocates, to the extent permitted, all available funds to forestall the fund 

interruption date as long as possible before initiation of orderly shutdown activities. 

8. Determines the time period within which the agency can operate before all available 

funds are exhausted and advises the Chairman, the EDO, and the Inspector General

of this information. 

9. Notifies the Chairman and the EDO when all available funds are exhausted. 
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

10. Issues notice, in coordination with the EDO, to all employees indicating that all 

available funds have been exhausted. 

11. Notifies the IG when all available funds are exhausted in the OIG appropriation. 

12. Processes personnel payrolls for periods before fund interruption. 

13. Establishes records of deferred payment for personnel retained during shutdown. 

14. Takes necessary actions to adjust allotments and allowances, as appropriate, during 

periods of lapsed appropriations. 

15. Coordinates with the EDO, the Director, Office of Administration (ADM), office 

directors, and regional administrators to ensure that no contractual or other financial 

obligations are entered into, other than those deemed excepted, after funds have 

been exhausted. 

16. Ensures that funds are not disbursed once funds have been exhausted. 

E. Inspector General (IG)

1. Coordinates with the EDO and the CFO to implement the contingency plan for 

periods of lapsed appropriations within the OIG. 

2. Determines the excepted functions for the OIG. 

3. Prepares the lists of OIG employees to be retained and those to be furloughed to 

ensure that each employee’s name appears on either the retention list or the 

furlough list. 

4. Approves the lists of OIG employees to be furloughed and those to be retained when 

all available funds are exhausted. 

5. Prepares and directs issuance of furlough notices to all OIG nonexcepted 

employees. 

6. Authorizes the processing of personnel actions in connection with the issuance of 

furlough notices for the OIG. 

7. Authorizes issuance of furlough notices to OIG employees who have been retained 

to perform shutdown functions, in accordance with MD 10.99, “Discipline, Adverse 

Actions, and Separations,” if applicable, when shutdown functions are completed. 

8. Reviews and adjusts, if necessary, the lists of employees to be retained or 

furloughed when all available funds are exhausted. 

9. Authorizes issuance of extended furlough notices to appropriate OIG personnel 

when the shutdown exceeds 30 days. 

10. Authorizes issuance of stop-work orders to NRC OIG contractors, other than those 

deemed excepted, when all funds are exhausted. 
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

11. Authorizes issuance of termination notices to NRC OIG contractors for contracts, 

other than those deemed excepted, when shutdown exceeds 30 days. 

12. Directs all acquisition support agencies that have an interagency agreement with the 

NRC OIG to issue stop-work orders to NRC OIG commercial contractors, other than 

those deemed excepted, when all funds are exhausted.

F. Executive Director for Operations (EDO)

1. Informs, in coordination with the CFO, offices of staff needed to perform excepted 

functions. 

2. Obtains approval of the Chairman before authorizing issuance of furlough notices to 

employees of all offices except Commissioner offices and the OIG. 

3. With the Chairman’s approval, reviews and adjusts, if necessary, the lists of 

employees to be retained or furloughed when all available funds are exhausted and 

transmits the lists to the Chief Human Capital Officer (CHCO). 

4. Authorizes the Office of the Chief Human Capital Officer (OCHCO) to issue furlough 

notices to all employees. 

5. When applicable, authorizes furlough notices to any employees retained for 

excepted functions (if or when these functions are completed). 

6. Authorizes issuance of notices of extended furloughs if the shutdown exceeds 30 days. 

7. With the Chairman’s approval, issues internal communications to employees (such 

as the EDO Update) on information relating to the status of appropriations and any 

NRC actions. 

8. With the Chairman’s approval, issues communications to licensees, Government 

agencies, and other external stakeholders, as appropriate.

G. Director, Office of Administration (ADM)

1. Coordinates with the Director, Acquisition Management Division (AMD), Office of 

Administration (ADM), the notification to NRC vendors regarding working status 

during a furlough.

2. Ensures the inventory and transfer of all personal and real property, including 

information assets to the General Services Administration (GSA) or other designated 

agency, if agency operations have to be permanently suspended.

H. Chief Human Capital Officer (CHCO)

1. Obtains policy guidance from the Office of Personnel Management (OPM) regarding 

lapses in appropriations. 
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

2. Interacts, as appropriate, with the employees’ union regarding actions that will affect 

bargaining unit employees. 

3. Reviews lists of employees to be retained and those to be furloughed to ensure that 

each employee’s name appears on either the retention list or the furlough list. 

4. Reviews and directs issuance of furlough notices to all nonexcepted employees. 

5. Directs the processing of personnel actions in connection with the issuance of 

furlough notices per guidance from OPM and the agency’s payroll provider. 

6. Issues furlough notices to employees who have been retained to perform shutdown 

functions, in accordance with MD 10.99, if applicable, as shutdown functions are 

completed. 

7. Issues extended furlough notices to appropriate personnel when the shutdown 

exceeds 30 days. 

8. Ensures the transfer of agency official personnel records, including related payroll 

records, to the National Archives and Records Administration (NARA), National 

Personnel Records Center, if agency operations have to be permanently suspended.

9. Advises employees on the effects of a furlough on their rights and benefits including 

appeal rights, effects on pay, leave, insurance, and possible eligibility for 

unemployment compensation. Advises managers on human resources issues that 

may arise during the furlough period.

10. In consultation with the Chairman, issues standard e-mail and voicemail messages 

for use by furloughed and excepted employees.

I. Director, Office of Information Services (OIS)

1. Ensures the transfer of agency official programmatic records to a designated records 

repository of successor agency, GSA, OPM, or NARA, if agency operations have to 

be permanently suspended. 

2. Maintains the information technology infrastructure and support for continuing the 

agency’s excepted functions.

J. Office Directors and Regional Administrators

1. Prepare a list of employees to be furloughed by name, grade, job title, office, division, 

and branch. 

2. Transmit the list of employees to be furloughed to the EDO. 

3. Prepare a list of employees to be retained by name, grade, job title, function to be 

performed, office, division, and branch concomitant with the number of persons to be 

retained by each office for excepted functions. 
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

4. Transmit to the EDO the list of employees to be retained for the excepted functions 

listed in Section II of Handbook 4.5. 

5. Maintain excepted functions, consistent with EDO and CFO guidelines, as delineated 

in Section II of Handbook 4.5. 

6. Identify contracts, Department of Energy (DOE) laboratory orders, interagency 

agreements, and international agreements for nonexcepted goods and services for 

work that will be stopped as a result of an exhaustion of funds. 

K. Director, Acquisition Management Division (AMD), Office of Administration (ADM)

1. Coordinates with offices and regions to identify for the EDO, CFO, and Inspector 

General which active commercial contracts, DOE laboratory agreements, and other 

interagency agreements should be classified as: 

(a) Excepted work,

(b) Non-excepted work that should be allowed to continue without interruption 

because the contract is already sufficiently funded and the work does not require 

direct monitoring or technical direction by NRC staff during performance, and

(c) Non-excepted work that should cease on a specified date.

2. Notifies NRC vendors and servicing agencies, providing directions and instructions 

on how to proceed, pending a lapse in appropriations. 

3. Determines if NRC commercial contracts should be terminated when the shutdown 

exceeds 30 days, and notifies those vendors accordingly. 

IV. APPLICABILITY

The guidance in this directive and handbook applies to and must be followed by all NRC 

employees. Where provisions of the “Collective Bargaining Agreement Between 

U.S. Nuclear Regulatory Commission and National Treasury Employees Union” are in 

conflict with this directive and handbook, the provisions of the collective bargaining 

agreement shall govern.

V. HANDBOOK

Handbook 4.5 provides guidance for implementing the contingency plan for periods of 

lapsed appropriations and for continuation of minimum excepted activities and support of 

these activities when all available funds have been exhausted.
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

VI. REFERENCES

Department of Justice (DOJ)

Opinion of the Attorney General of the United States, “Applicability of the 

Antideficiency Act Upon a Lapse in an Agency’s Appropriation,” 4A Op. O.L.C. 16, 

43 Op. Att’y. Gen. 224, April 25, 1980. 

Opinion of the Attorney General of the United States, “Authority for the Continuance of 

Government Functions during a Temporary Lapse in Appropriations,” 5 Op. O.L.C. 1, 

43 Op. Att’y. Gen. 293, January 16, 1981. 

DOJ Office of Legal Counsel, “Government Operations in the Event of a Lapse in 

Appropriations,” August 16, 1995.

Executive Order

Executive Order 11953, “Assigning Emergency Preparedness Functions to the Energy 

Research and Development Administration and Nuclear Regulatory Commission,” 

January 7, 1977.

Nuclear Regulatory Commission Documents

Inspection Manual Chapters (IMC)—

IMC 2506, “Construction Reactor Oversight Process General Guidance and 

Basis Document.”

IMC 2515, “Light-Water Reactor Inspection Program–Operations Phase.”

IMC 2600, “Fuel Cycle Facility Operational Safety and Safeguards Inspection Program.”

IMC 2630, “Mixed Oxide Fuel Fabrication Facility Construction Inspection Program.”

Management Directives—

4.2, “Administrative Control of Funds.”

10.99, “Discipline, Adverse Actions, and Separations.”

10.100, “Appeals from Adverse Actions.”

Collective Bargaining Agreement Between U.S. Nuclear Regulatory Commission and 

National Treasury Employees Union. 

NRC Continuity of Operations (COOP) Plan. 

Reorganization Plan No. 1 of 1980 (5 U.S.C. App. 1). 

SECY 77-316, “NRC’s Essential Uninterruptible Functions During a National Emergency,” 

June 14, 1977.
MD 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 9

Office of Management and Budget (OMB) 

OMB Bulletin 80-14, as amended, “Shutdown of Agency Operations Upon Failure by the 

Congress to Enact Appropriations,” August 28, 1980, as amended by Supplement No. 1, 

“Agency Operations in the Absence of Appropriations,” August 20, 1982. 

OMB Circular A-11, “Preparation, Submission and Execution of the Budget,” June 30, 2015, 

Section 124, “Agency Operations in the Absence of Appropriations.” 

OMB Memorandum, “Agency Operations in the Absence of Appropriations,” 

September 30, 1980. 

OMB Memorandum, “Agency Operations in the Absence of Appropriations,” 

November 17, 1981. 

OMB Memorandum M-91-02, “Agency Operations in the Absence of Appropriations,” 

October 5, 1990. 

OMB Memorandum M-95-18, “Agency Plans for Operations During Funding Hiatus,” 

August 22, 1995. 

OMB Memorandum M-13-22, “Planning for Agency Operations during a Potential Lapse 

in Appropriations,” September 17, 2013.

Office of Personnel Management (OPM) 

OPM Guidance and Information on Furloughs:

http://www.opm.gov/policy-data-oversight/pay-leave/furlough-guidance/

United States Code

Antideficiency Act (31 U.S.C. 1341 et seq.). 

Inspector General Act of 1978, as amended (5 U.S.C. App. 3 et seq.). 

Impoundment Control Act of 1974 (2 U.S.C. 682 et seq.).
U.S. NUCLEAR REGULATORY COMMISSION DIRECTIVE HANDBOOK (DH)

DH 4.5 CONTINGENCY PLAN FOR PERIODS OF 

LAPSED APPROPRIATIONS

DT-15-20

Volume 4: Financial Management

Approved By: Stephen G. Burns, Chairman

Date Approved: September 21, 2015 

Expiration Date: August 1, 2017

Issuing Office: Office of the Chief Financial Officer

Division of Planning and Budget

Contact Name: Joel Dorfman

301-415-6022

EXECUTIVE SUMMARY 

Management Directive 4.5, “Contingency Plan for Periods of Lapsed Appropriations,” is 

revised to apply lessons learned from the fiscal year (FY) 2014 Government shutdown due to 

a lapse in appropriations (SECY-14-0009), and to reflect Commission policy direction 

(COMSECY-14-0017). Significant revisions include—

• Referencing additional guidance on the scope of resident inspection functions 

excepted from furlough;

• Adding a new excepted function for region-based inspections and referencing 

additional guidance on this function; and 

• Incorporating components of the Concept of Operations used in the FY 2014 NRC 

shutdown.

TABLE OF CONTENTS

I. INTRODUCTION................................................................................................................2

A. Background ..................................................................................................................2

B. NRC Funding................................................................................................................4

C. NRC Employees’ Rights, Obligations, and Benefits ......................................................4

II. EXCEPTED FUNCTIONS ..................................................................................................5

A. Introduction...................................................................................................................5

B. Continuation of Excepted Functions .............................................................................7
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 2

III. CHECKLIST AND TIMETABLE FOR IMPLEMENTING A SHUTDOWN .........................10

IV. GLOSSARY.....................................................................................................................10

EXHIBIT

Exhibit 1 Checklist and Timeline for Implementing a Shutdown ........................................11

I. INTRODUCTION

A. Background 

1. On April 25, 1980, the Attorney General issued an opinion, “Applicability of the 

Antideficiency Act Upon a Lapse in an Agency’s Appropriation,” that the language and 

legislative history of the Antideficiency Act (31 U.S.C. 1341 et seq.) unambiguously 

prohibits agency officials from incurring obligations in the absence of appropriations. 

The opinion also states that under the authority of the Antideficiency Act, Federal 

officers may incur minimal obligations necessary for the orderly termination of their 

agency’s functions. See Management Directive (MD) 4.2, “Administrative Control of 

Funds,” for further guidance regarding the Antideficiency Act. 

2. On September 30, 1980, the Director of the Office of Management and Budget 

(OMB) circulated a memorandum, “Agency Operations in the Absence of 

Appropriations,” to the heads of all departments and agencies delineating activities 

that by law could continue during a period of exhaustion of funds. Essentially, the 

memorandum and subsequent guidance stipulated that agencies may continue to—

(a) Provide for national security, including the conduct of foreign relations essential 

to the national security and safety of life and property;

(b) Provide for the performance of existing contract obligations under no-year 

appropriations or multi-year appropriations that have not expired;

(c) Conduct essential activities to the extent that they protect life and property, including—

(i) Activities essential to ensure continued public health and safety, including 

safe use of food and drugs and safe use of hazardous materials;

(ii) Protection of Federal lands, buildings, equipment, and other property owned 

by the United States;

(iii) Law enforcement and criminal investigations;
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 3

(iv) Emergency and disaster assistance; and

(v) Activities that ensure production of power and maintenance of power distribution.

(d) Provide support services necessary to continue the above essential functions.

3. On January 16, 1981, the Attorney General issued another opinion, “Authority for the 

Continuance of Government Functions during a Temporary Lapse in Appropriations,”

regarding agency shutdown that clarified and broadened the scope of the April 

opinion. This opinion states that the Attorney General approved the activities listed in 

OMB’s memorandum of September 30, 1980, that could continue during a period of 

exhaustion of funds. 

(a) The Attorney General’s 1981 opinion expanded the functions permissible as part 

of an orderly shutdown to include—

(i) Providing for the emergency protection of an agency’s property by its own 

employees until such protection can be arranged by another agency with 

appropriations;

(ii) Complying with statutes providing for the rights of employees and the 

protection of Government information;

(iii) Transferring any matters within the agency’s jurisdiction that are also under 

the jurisdiction of another agency that Congress has funded; and

(iv) Incurring obligations for the above functions only to the minimum extent 

necessary to fulfill an agency’s legal duties.

(b) The opinion also states that the level of obligations incurred for shutdown 

functions should be justified based upon the length of time that the 

shutdown is expected to last.

4. OMB Bulletin 80-14, as amended, “Shutdown of Agency Operations Upon Failure by 

the Congress to Enact Appropriations,” August 28, 1980, as amended by Supplement 

No. 1, “Agency Operations in the Absence of Appropriations,” August 20, 1982, 

requires that agencies—

(a) Develop plans for an orderly shutdown.

(b) Reallocate, to the extent legally permissible, all available funds to forestall the 

fund interruption date as long as possible;

(c) Begin shutdown activities when all available funds are exhausted;

(d) Limit obligations incurred once funds have been exhausted to those needed to 

maintain the minimum level of activities necessary to—

(i) Protect life and property;
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 4

(ii) Process the necessary personnel actions;

(iii) Process the payroll for the periods before fund interruption; and

(iv) Provide for orderly transfer of custody of property and records to designated 

successor agency, or General Services Administration (GSA), the National 

Archives and Records Administration (NARA) or Office of Personnel 

Management (OPM) for disposition.

B. NRC Funding

1. Since its inception, NRC’s annual Salaries and Expenses appropriation has provided 

“no-year” funds. “No-year” funds are funds that can be used by the agency until they 

are completely exhausted. These prior-year funds can be used to fund the agency’s 

necessary activities in periods of lapsed appropriations. Further, NRC has received 

some appropriations with 2-year limitations, resulting in a limited availability of 

prior-year funds during periods of lapsed appropriations.

2. Specific funding sources available to the NRC have different balances of prior-year 

funds. Activities funded by specific sources will exhaust available prior-year funds at 

different points in time and will be subject to shutdown at different points in time. 

Activities funded by reimbursable agreements with other Federal agencies or authorized 

reimbursements from non-Federal sources may continue during periods of lapsed 

appropriations, as long as adequate prior-year funding remains. For example, the 

processing of fingerprints for criminal background checks for licensee employees is 

funded from a reimbursable account from fees collected under the authority of 

42 U.S.C. 2169, and which the NRC is authorized by 42 U.S.C. 5852(c) to retain and 

use until expended. Therefore, the fingerprint processing could continue during a 

shutdown to the extent that funds remain available in the account to support this activity.

C. NRC Employees’ Rights, Obligations, and Benefits 

NRC employees’ rights, obligations, and benefits will be affected when NRC exhausts all 

of its available funds. In the event of a furlough, OCHCO will notify employees of the 

effect on their rights and benefits including effects on pay, leave, insurance, appeal 

rights, and possible eligibility for unemployment compensation. NRC personnel will be 

divided into two categories: (1) employees in a nonpay, nonwork, or furlough status; and 

(2) those in a delayed-pay work status performing excepted functions. Employees in the 

nonpay, nonwork category will be furloughed at the time that the agency is required by 

law to maintain only minimum excepted functions.

1. The latter group will be retained to carry on those minimum activities that are necessary 

to protect the health and safety of the public. NRC employees engaged in shutdown 

activities are required to report for work to perform shutdown activities as necessary. 
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 5

2. The following paragraphs summarize actions that could occur and employees’ rights 

relating to these actions if all available NRC funds are exhausted. 

(a) Pay 

(i) All employees will be paid for the period worked before the beginning of 

shutdown activities. 

(ii) Employees who are furloughed will receive no pay because no work was 

performed unless pay is subsequently authorized by law.

(iii) Employees who are retained after all NRC funds are exhausted will be paid 

for those hours worked when funds are appropriated. However, no funds can 

be disbursed during the period when all NRC funds are exhausted and 

additional funds have not been appropriated. Therefore, NRC employees will 

be working for delayed pay.

(b) Furloughs 

(i) Notice and Appeal Rights 

• Employees who are furloughed for 30 days or less will generally be 

furloughed in accordance with MD 10.99, “Discipline, Adverse Actions, and 

Separations,” and the “Collective Bargaining Agreement Between U.S. 

Nuclear Regulatory Commission and National Treasury Employees Union.” 

All employees who are furloughed will be provided notice of the furlough. 

When feasible, employees will receive advance written notice. If the 

furlough exceeds 30 days, employees in furlough status will have the

furlough continue through issuance of a second written furlough notice.

• Employees who are furloughed may appeal the action to the Merit Systems 

Protection Board (MSPB) or grieve through the provisions of the negotiated 

collective bargaining agreement, but not both. 

(ii) Service Computation 

A furlough does not constitute a break in service. However, an extended 

furlough may affect the calculation of creditable service for certain purposes.

(c) Paid Time Off

All paid time off is canceled during the furlough period. Employees not at work 

performing excepted or shutdown activities will be in a furlough status.

II. EXCEPTED FUNCTIONS

A. Introduction

1. Furloughed employees may not perform voluntary services. 
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 6

2. The Attorney General's opinion of January 16, 1981, and the OMB’s memorandum of 

September 30, 1980, provide for the continuation of certain excepted activities and 

support of these activities when all available funds have been exhausted. 

3. As a general matter, the Antideficiency Act prohibits, among other things, the 

acceptance of voluntary services, except for emergencies involving the safety of 

human life or the protection of property. The 1990 amendment to the Antideficiency 

Act clarifies that the “the term ‘emergencies involving the safety of human life or the 

protection of property’ does not include the ongoing, regular functions of government 

the suspension of which would not imminently threaten the safety of human life or 

the protection of property.” As explained in the conference report on the bill, this 

action was taken to “guard against what the conferees believe might be an overly 

broad interpretation of an opinion of the Attorney General issued on January 16, 

1981, regarding the authority for the continuance of Government functions during the 

temporary lapse of appropriations, and affirm that the constitutional power of the 

purse resides with Congress.” 

4. On August 16, 1995, the Department of Justice, Office of Legal Counsel, issued an 

opinion, “Government Operations in the Event of a Lapse in Appropriations,” that 

updates the opinion of the Attorney General dated January 16, 1981. The 1995 

opinion modifies the rules suggested for identifying those functions for which 

Government officers may employ personal services for compensation in excess of 

legal authority to read as follows: 

(a) First, there must be some reasonable and articulable connection between the 

function to be performed and the safety of human life or the protection of property. 

(b) Second, there must be some reasonable likelihood that the safety of human life 

or the protection of property would be compromised, in some significant degree, 

by delay in performance of the function in question.

5. In addition, the opinion of August 16, 1995, concludes that the section of the 

Antideficiency Act that permits the acceptance of voluntary services for emergencies 

“applies only to cases of threat to human life or property where the threat can be 

reasonably said to be near at hand and demanding of immediate response.” 

6. Therefore, to ensure that NRC carries out its responsibility to protect the health and 

safety of the public, the list of functions in Section II.B of this handbook may be 

maintained subsequent to an exhaustion of funds. These functions will continue 

indefinitely unless or until the NRC is specifically directed by Congress to terminate 

all agency activities. Offices will retain only those employees necessary to perform 

these functions. This list of functions should be implemented consistent with the 

guidance regarding agency mission essential functions described in the NRC 

Continuity of Operations Plan (COOP). This list is meant to be as comprehensive as 
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 7

possible, but other legally authorized functions may be performed as circumstances 

dictate to protect life and property. 

B. Continuation of Excepted Functions 

1. The functions described below represent excepted activities during an initial shutdown. 

Depending upon the circumstances of any events that may occur during restricted 

NRC operations, exceptions to perform additional activities may be made. Additionally, 

given the highly specialized nature of much of the NRC work, if an emergent issue 

arises where the excepted staff on duty does not have the expertise to address the 

situation, the NRC will call back relevant staff on an “as-needed” basis. In this case, 

the staff person would become excepted until the problem is resolved. 

2. In the event of a lapse of appropriations, the Office of the Executive Director for 

Operations (OEDO) will develop a Concept of Operations shutdown plan to provide 

more detailed guidance on executing the excepted functions.

(a) Event Notification 

Maintain readiness to accept notification calls regarding emergencies related to 

nuclear reactors or materials licensees.

(b) Emergency Response 

Perform early actions to activate Emergency Operations Centers and provide 

prompt analysis and advice to licensees and State decision makers. The 

excepted function includes incident response teams when called in for an event.

(c) Site Operations

Maintain capability to send a team of experts to an emergency operations facility in 

the vicinity of an accident during the first hours following a major reactor incident.

(d) Resident Inspectors

Maintain resident inspection function. Additional guidance on the scope of resident 

inspector functions during periods of lapsed appropriations can be found in—

(i) Inspection Manual Chapter (IMC) 2515, “Light-Water Reactor Inspection 

Program–Operations Phase”;

(ii) IMC 2506, “Construction Reactor Oversight Process General Guidance and 

Basis Document”;

(iii) IMC 2600, “Fuel Cycle Facility Operational Safety and Safeguards Inspection 

Program”; and

(iv) IMC 2630, “Mixed Oxide Fuel Fabrication Facility Construction Inspection 

Program.”
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 8

(e) Region-Based Inspection Function

Maintain region-based inspection function as described in IMC 2515, IMC 2506, 

IMC 2600, and IMC 2630.

(f) Enforcement 

Maintain the capability to issue Enforcement Orders to modify, suspend, or 

revoke licenses, or require specific actions by licensees or other persons.

(g) Allegations and Investigations

Maintain the capability to receive and respond to stakeholders and public concerns 

and the ability to investigate possible wrongdoing matters as necessary.

(h) Facility and Nuclear Reactor Security and Safeguards

Maintain capability to process pressurized-water reactor and boiling-water 

reactor emergency licensing actions.

(i) Facility and Nuclear Materials Security and Safeguards 

Assure the continued maintenance by licensees of security and safeguards 

programs at licensed facilities and for nuclear materials, including safeguards 

threat assessments and emergency licensing actions.

(j) Commissioners

NRC’s Commissioners are not subject to furlough because they are appointed by 

the President. Therefore, NRC Commissioners are excepted on a basis other 

than the Antideficiency Act’s exception for imminent threats to the safety of 

human life or the protection of property.

(k) Policy Direction

Maintain Commission policy direction, including limited staff support for the 

Commission and the Executive Director for Operations (EDO), to facilitate the 

orderly shutdown of agency operations and to perform excepted functions.

(l) Legal Advice 

Continue to provide legal assistance necessary for the Commission to perform 

excepted functions.

(m)State Liaison

Maintain liaison with States concerning the Agreement States materials licensing 

program and the radiological incident emergency planning program to perform 

excepted functions.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 9

(n) International Liaison

Maintain liaison with the U.S. Government and foreign nations with respect to 

export/import licensing, international safeguards and intelligence activities, and 

health, safety, and environmental issues to perform excepted functions.

(o) Public Affairs

Maintain capability to inform the public quickly in the case of emergencies related 

to nuclear reactors or materials licensees.

(p) Congressional Liaison

Maintain capability to monitor progress of appropriations legislation and to 

provide support to Congress, as required.

(q) Inspector General

Maintain Office of the Inspector General (OIG) policy direction, the OIG Hotline, 

limited administrative functions, and legal assistance to support excepted 

functions. As necessary, provide support for ongoing trials, undercover 

operations, or other law enforcement and criminal investigative activity relating 

to the preservation of life or property. The Inspector General (IG) is a 

Presidential appointee and is excepted from furlough.

(r) Financial Management

Maintain Office of the Chief Financial Officer (OCFO) financial policy direction 

and limited financial support services to support excepted functions. Examples of 

this support include travel services, payroll services, and funds certification.

(s) Administrative and Information Technology Support 

Maintain limited administrative and information technology support services to 

facilitate the orderly shutdown of agency operations and to support excepted 

functions. Examples of this support include limited activities in the areas of 

building operations, security, mail, contracts, computer network control, 

records storage and retrieval, and automated data processing hardware and 

software maintenance.

(t) Human Resources 

Maintain limited human resources services to facilitate the orderly shutdown of 

agency operations and to support excepted functions to include processing of the 

furlough; providing guidance to employees on pay, leave, insurance, appeal 

rights, and possible unemployment compensation; serving as management 

liaison with NTEU; handling employee appeals; and providing employee 

assistance services.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 10

III. CHECKLIST AND TIMETABLE FOR IMPLEMENTING A SHUTDOWN

Actions are required before, during, and immediately following an exhaustion of all available 

NRC funds. These actions and the general timeframes in which they are to be performed 

are described in Exhibit 1. The timeframes are predicated on the assumption that 

unobligated carryover funding is available to forestall furloughs for at least 10 working days 

after a lapse in funds. If unobligated carryover funding supports agency operations for less 

than 10 working days after a lapse in funds, then the actions described in Exhibit 1 will be 

condensed into the available timeframe.

IV. GLOSSARY

Antideficiency Act

Federal law prohibiting Government agencies from obligating the Government, by 

contract or otherwise, in excess of or in advance of appropriations, unless authorized by 

a specific statute. The Act provides limited exceptions to incur obligations after funds are 

exhausted for emergencies involving the safety of human life or the protection of 

Government property.

Excepted Activities

Agency activities that are authorized to continue after funds have been exhausted.

Exhaustion of Funds

The point at which all available NRC funds have been obligated.

Funds

Amounts available to enter into obligations for specified purposes in a given fiscal year.

Lapse in Appropriation

The date on which NRC has no new funding authority as a result of a lack of action 

by Congress.

Senior Leadership Team

NRC office directors and regional administrators.

Shutdown Activities

Those activities necessary to be accomplished to limit operations to excepted functions.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 11

EXHIBITS

Exhibit 1 Checklist and Timeline for Implementing a Shutdown

Date of a Lapse in NRC Appropriations

At the beginning of a new fiscal year, NRC’s appropriations are considered to be lapsed if 

neither of the following has been enacted:

1) New fiscal year appropriation, or

2) Continuing resolution.

The following are suggested actions to occur on the date of a lapse in appropriations:

• The Chief Financial Officer (CFO) estimates the amount of unobligated carryover funds 

remaining and the number of days the agency can possibly operate before funds are 

exhausted and shutdown will be required. 

• The CFO notifies the Chairman, the Executive Director for Operations (EDO), and the 

Inspector General (IG) of availability of funds on a daily basis.

• The CFO advises and updates the Senior Leadership Team of the ongoing status of 

funds and any likelihood of an exhaustion of funding. 

• The CFO communicates to all employees the status of agency funding.

• The Chief Human Capital Officer (CHCO) provides notice to NTEU that there has been a 

lapse in appropriations and presents the possibility of a furlough of bargaining unit 

employees (BUEs) should there be an exhaustion of funding.

• The EDO communicates the following information to all NRC employees: 

- A lapse in appropriations has occurred;

- The estimated number of days before funds are exhausted;

- Which activities will continue;

- The rights of furloughed employees; and

- How employees will be notified to return to work.

• The IG communicates the following information to all OIG employees:

- A lapse in appropriations has occurred;

- The estimated number of days before funds are exhausted;

- Which activities will continue;

- The rights of furloughed employees; and

- How employees will be notified to return to work.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 12

Timetable for Implementing a Shutdown

The following timetable summarizes suggested actions after a lapse in appropriations. The 

actions and timeframes delineated below are meant to serve as guidelines and create no 

employee rights or management obligations.

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

10 days before 

funds are 

exhausted

The CFO, in conjunction with the EDO and the CHCO, issues notice to all 

employees of a possible lapse in funding. 

The IG issues notices to all OIG employees of a possible lapse in funding. 

OCHCO notifies NTEU that furlough of employees is imminent and begins 

appropriate discussions.

The Office of Administration (ADM), Acquisition Management Division (AMD), 

generates and distributes a list of active contracts, orders, and agreements for 

offices to review to determine which contracts, orders and agreements should 

receive stop-work orders and which contracts should continue performance.

OCHCO prepares and distributes a list of all employees for each agency office 

and region, providing information such as: name, grade, job title, office, 

division, and branch. 

The Senior Leadership Team reviews and updates the plan for communicating 

with furloughed and excepted employees prior to and during the shutdown 

after funds are exhausted.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 13

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

7 days before 

funds are 

exhausted

The EDO provides guidance for each office and office leadership begins to 

prepare a list of employees by name, grade, job title, bargaining unit status, 

division, and branch, and transmits the lists to the EDO, indicating each 

employee’s furlough/retention status. For those employees being retained, 

their function during the furlough period will be identified. These lists are to be 

developed using the criteria established in Section II of this handbook and 

guidance from the EDO, CFO, and CHCO. 

Each OIG supervisor prepares a list of employees by name and transmits 

the list to the IG indicating each employee’s furlough/retention status. For 

those employees being retained, their function during the furlough period will 

be identified. 

AMD receives and organizes information from offices identifying those 

contracts, orders, and interagency agreements, including DOE laboratory 

agreements, that are (a) excepted, (b) that are non-excepted but can be 

allowed to continue without interruption because the acquisition is already 

sufficiently funded and the work does not require direct monitoring or technical 

direction by NRC staff during performance, and (c) that are non-excepted and 

the work must cease on a specified date. 

The IG directs OIG staff to identify those contracts and interagency 

agreements that are excepted, non-excepted but work needs to continue, and 

non-excepted and work should cease.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 14

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

5 days before 

funds are 

exhausted

AMD—

• Notifies vendors on commercial contracts of the potential

shutdown, providing instructions regarding how to proceed.

• Issues stop-work orders to Department of Energy (DOE) 

laboratories for agreements that are deemed to be non-excepted 

and cannot continue after funds have been exhausted. 

• Issues stop-work orders to servicing agencies for interagency 

agreements that are deemed to be non-excepted and cannot 

continue after funds have been exhausted. 

The IG—

• Requests that work be stopped on interagency agreements with 

the NRC OIG that are deemed to be non-excepted and cannot 

continue after funds have been exhausted. 

• Directs all acquisition support agencies that have an interagency 

agreement with the NRC OIG to issue stop-work orders for 

commercial contracts that are deemed to be non-excepted and 

cannot continue after funds have been exhausted. 

4 days before 

funds are 

exhausted

The EDO provides guidance on travel and training during period of lapsed 

appropriations.

3 days before 

funds are 

exhausted

Each office and region provides to the EDO a list of employees to be 

furloughed/retained.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 15

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

2 days before 

funds are 

exhausted

The EDO obtains the Chairman’s approval of each submitted list of employees 

to be furloughed for all offices except for the OIG and individual Commissioner 

offices, and submits it to the CHCO for review and preparation for processing. 

OCHCO prepares a list of furloughed bargaining unit employees (BUEs) and a 

list of retained BUEs. 

Commissioners approve the lists of employees to be furloughed for their 

respective staffs and provide these lists to the EDO for processing. 

The IG approves each submitted list of OIG employees to be furloughed and 

directs the OIG Director, Resource Management and Operations Support to 

review and prepare for processing. 

OCHCO distributes a shutdown checklist to employees, including standard out 

of office messages for voicemail and e-mail.

OCHCO provides employees with an advance copy of information from the 

furlough notices.

Before shutting down, the Senior Leadership Team establishes a plan for 

resuming normal operations.

1 day before 

funds are 

exhausted

The CFO, in coordination with the CHCO, communicates to all employees the 

exhaustion of all available funds and the probability that employees will have 

to be furloughed. 

The IG communicates to all OIG staff the exhaustion of all available funds and 

the probability that employees will have to be furloughed. 

OCHCO notifies NTEU Local 208 of the probability that BUEs will have to be 

furloughed, and that a list of furloughed BUEs will be provided if the furlough 

must be implemented. 

The EDO, in consultation with the Chairman’s office, approves issuance of 

external communications to licensees, Government agencies, and other 

external stakeholders.

The EDO, in consultation with the Chairman’s office, approves issuance of 

guidance to resident inspectors on expectations during a period where NRC 

funds are exhausted and non-excepted employees are furloughed.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 16

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

Date funds are 

exhausted

The Senior Leadership Team instructs their retained employees to continue 

identified excepted activities. 

OIG managers instruct their retained employees to continue identified 

excepted activities. 

Upon reporting to work, nonexcepted employees are instructed to perform 

only those functions associated with the orderly suspension of agency 

activities, to include the following: 

• Notify outside parties of the agency's status. 

• Cancel meetings. 

• Secure all files. 

• Document the status of individual cases and projects. 

• Date stamp and secure all mail received but without processing 

further. 

• Answer telephones, but only to inform callers of agency status, 

without responding to new business matters unless of an 

emergency nature. 

• Change/set-up out-of-office e-mail and voicemail messages in 

accordance with the standard language provided by OCHCO.

These functions should require no more than one half-day to carry out. 

The EDO authorizes OCHCO to issue furlough notices to employees not 

being retained. 
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 17

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

Date funds are 

exhausted

(continued)

OCHCO issues notices of furlough to all affected employees. OCHCO

provides a list of furloughed and retained bargaining unit employees to NTEU. 

The IG issues furlough notices to OIG employees not being retained to 

perform excepted functions in OIG. 

The Senior Leadership Team requires any employees in a travel status to 

return to their duty station as soon as practical unless travel is for the 

protection of public health and safety or for purposes of shutdown activities. 

OIG managers require employees in a travel status to return to duty station as 

soon as practical unless travel is for the protection of public health and safety 

or for purposes of shutdown activities. 

The Office of the General Counsel (OGC) suspends adjudicatory proceedings 

and litigation as is legally permissible. 

The Senior Leadership Team instructs employees to monitor the furlough 

status of the agency on NRC’s external Web site. 

The Senior Leadership Team dismisses employees that have received 

furlough notices. 

OIG managers dismiss employees who have received furlough notices. 

CFO informs all offices that no obligations can be incurred without the prior 

approval of the CFO. 

ADM notifies any remaining vendors with instructions on whether or not to 

stop work.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 18

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

1 day after funds 

are exhausted

The EDO authorizes OCHCO to furlough any additional employees who have 

completed shutdown activities. 

The IG furloughs any additional OIG employees who have completed 

shutdown activities. 

The EDO and the CFO consult with the Office of Management and Budget and 

the Office of Personnel Management (OPM) regarding shutdown activities. 

OCHCO reviews employee listings to insure that all employees have been 

notified of their status, begins processing of furlough actions, and continues to 

provide guidance to employees on pay, benefit, and other appropriate issues.

The Senior Leadership Team takes any remaining administrative actions that are 

necessary to ensure protection and security of NRC property and personnel. 

2 through 20 days 

after funds are 

exhausted

Continue excepted activities, as outlined in the Concept of Operations.

As necessary, the Senior Leadership Team, in coordination with OCHCO, 

reviews staffing of excepted activities to determine whether additional 

employees should report to perform excepted activities, or be furloughed if no 

longer required to perform excepted activities. 

ADM issues automated notifications to NRC employees’ personal e-mail 

accounts and alerts the Office of Information Services (OIS) for posting on 

NRC’s external Web site to announce the status of the agency, if necessary. 
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 19

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

21 days after funds 

are exhausted

(29 calendar days)

The EDO, in consultation with OCHCO, authorizes OCHCO to issue second 

furlough notices. 

The IG issues second furlough notices for OIG employees. 

ADM determines if NRC contracts should be terminated, and if so, issues 

direction accordingly. 

ADM determines if DOE laboratory agreements and other interagency 

agreements should be terminated, and if so, issues direction accordingly. 

The IG directs, as necessary, acquisition support agencies that have an 

interagency agreement with the NRC OIG to issue termination notices to NRC 

OIG contractors to whom stop-work orders were previously issued. 

OCHCO ensures the proper transfer of the related official personnel records, 

including related payroll records, as appropriate, in accordance with OPM 

guidance. 

OIS ensures the transfer of agency official programmatic records to 

designated agencies such as the General Services Administration (GSA), 

OPM, or National Archives and Records Administration (NARA). 

ADM ensures the inventory and transfer of all personal and real property to 

the GSA. 

Continue excepted activities, as outlined in the Concept of Operations.

22 days after 

funds are 

exhausted and 

forward

Continue excepted activities, as outlined in the Concept of Operations.
DH 4.5 CONTINGENCY PLAN FOR 

PERIODS OF LAPSED APPROPRIATIONS

Date Approved: 09/21/2015

For the latest version of any NRC directive or handbook, see the online MD Catalog. 20

Approximate 

Number of Work 

Days Before/ 

After Funds are 

Exhausted

Actions

Date new funding 

is appropriated The CFO notifies the Chairman, the EDO, and the IG that an appropriation bill 

has been enacted that funds the NRC.

The EDO, in consultation with the Chairman’s office, authorizes the 

reestablishment of all operations/functions that were curtailed after funds were 

exhausted.

As outlined in the Concept of Operations, NRC’s external Web site is updated 

to reflect that the agency has been authorized to restart and resume 

operations.

Upon receipt of notification or news coverage that the NRC has received new 

funding, furloughed employees are expected to return to work at the start of

their next regular duty day.