1

CONTINGENCY PLANS FOR LAPSE IN APPROPRIATIONS

September 2023 

Lapse Plan Summary Overview

Estimated time (to nearest half day) required to complete shutdown activities: 1/2 day

Total number of agency employees expected to be on board before implementation 

of the plan: 3,950 FTEs

Total number of employees to be retained under the plan for each of the following categories:

Compensation is financed by a resource other than annual appropriations: 3,950 FTEs

Necessary to perform activities expressly authorized by law: 0 FTEs

Necessary to perform activities necessarily implied by law: 0 FTEs

Necessary to the discharge of the President's constitutional duties and powers: 0 FTEs

Necessary to protect life and property: 1,166 FTEs

Brief summary of significant agency activities that will continue during a lapse:

When the Institution’s available prior-year funding is exhausted, only federal activities 

designated as “excepted” will continue. The employees performing these activities are

protecting life or property (including the national collections, National Zoo animals, and 

the safety/security of facilities and staff) and engaging in the orderly shutdown and 

management of the operations.

Brief summary of significant agency activities that will cease during a lapse:

When the Institution’s available prior-year funding is exhausted, the Institution would 

shut down non-exempt and non-excepted federally-funded activities. Under a lapse of 

funding, it would be necessary to close museum buildings to the public.

Federal Policy

The Smithsonian Institution will comply with the restrictions on spending and obligating 

appropriated funds if there is a lapse in appropriations. 

The Smithsonian Institution operates its various museums and other activities, including 

the National Collections, using a combination of private trust funds and federal appropriations. 

The majority of security, cleaning, maintenance, and support staff are funded with federal 

funds. In the event that a federal funding bill or another continuing resolution (CR) is not 

passed, the Institution would use available prior-year appropriations to remain open to the 

Smithsonian Institution

Office of Planning, Management and Budget
2

public as long as funding permits. When the Institution’s available prior-year funding is 

exhausted, the Institution would shut down non-exempt and non-excepted federally-funded 

activities. This would include closing museum buildings to the public once funds are no longer 

available to provide the necessary operations, security, maintenance, or cleaning functions 

required for public visits.

Given the guidance provided by the Office of Management and Budget (OMB) regarding 

allowable activities under a lapse of appropriation, the only federal activities designated as 

“excepted” would be allowed to continue. The employees performing these activities are:

• protecting life or property 

• engaging in the orderly shutdown and management of the operations

• performing contractual obligations under no-year or multi-year funds remaining 

available for those purposes

Specifically, Federal employees performing the following Smithsonian activities will be 

“excepted” from the furlough: 

1. Employees responsible for the care, custody, and protection of the National Collections, 

including animals, archival materials, and libraries;

2. Employees responsible for the care, custody, and protection of the facilities and buildings 

that house the National Collections and other Smithsonian property;

3. Employees providing for the security and safety of the staff and other exempted or 

excepted individuals in the Institution’s buildings and on its property;

4. Employees responsible for the preservation and security of the physical plant and 

essential communications and information technology systems, including staff who

maintain building systems operations and major research-related equipment, and who 

support excepted activities;

5. Employees fulfilling obligations under existing contracts necessary to protect life or 

property;

6. Employees responsible for federal procurement activities necessary to process and 

monitor requisitions for emergency supplies and services, including food for animals, 

and to receive and process deliveries;

7. Employees directly involved with ongoing laboratory experiments that require ongoing 

monitoring to preserve research data and provide care and protection of research 

specimens, and research involving highly time-sensitive contract deliverables and 

activities;
3

8. Office of Human Resources staff performing activities related to the furlough, including 

preparation and issuance of furlough notices, service to non-furloughed staff, and 

dealing with union matters; 

9. Employees responsible for the continuation of financial services for the excepted 

activities; and

10. On the basis of communications with the State Department, including the U.S. Embassy 

in Panama, and based on past advice to the State Department by the Department of 

Justice, non-excepted local national employees of the Smithsonian’s Tropical Research 

Institute paid with federal appropriations need not be furloughed but can continue to 

work if they can be adequately supervised by excepted staff. These employees can be 

paid for their work when federal appropriations resume.

In accordance with Section 124 of OMB Circular No. A-11, the following information is 

provided:

• Estimated time to complete the shutdown: not to exceed 4 hours

• Total number of Federal employees before plan is implemented: 3,950

• Total number of Federal employees to be retained under the plan: 1,166

Note: the total “excepted” personnel includes security guard staffing (three 8-

hour shifts); personnel for utilities systems operators and emergency 

maintenance mechanics (three 8-hour shifts); personnel for minimal custodial 

staffing; personnel staffing for the care and feeding of the live collections at the 

National Zoo (three 8-hour shifts); and personnel support for the separate 

units/Museums. 

During a shutdown, the Institution cannot legally accept voluntary services from federal 

employees to continue their regular duties. While many staff may be willing to continue to 

carry out their research or other duties without pay, liability may result if we allow staff who 

are not identified as “excepted” to work either at their office, from another site, or from home 

during the shutdown.

Reporting to Duty 

All employees should report for duty in accordance with their normal work schedule. If there is 

no appropriation or CR extension to fund normal operations, federal employees who are not 

designated as “excepted” will be given four hours to undertake necessary work for an orderly 

shutdown. After shutdown activities are completed, non-excepted federal employees will be 

released from duty until normal business resumes. Supervisors are responsible for notifying 

employees of their status during a shutdown.
4

Public Notification

In the event of a shutdown, a notice will be posted at each public entrance to museum 

buildings and research centers to inform the visiting public of the closure. In addition, the 

Institution’s main website (www.si.edu) will be updated and the main telephone number (202-

633-1000) will have a recorded message about the Smithsonian’s status. The Office of 

Communications and External Affairs will provide standard language for signage. 

Returning to Duty

Employees will be asked to consult the Office of Personnel Management’s website 

(www.opm.gov) and the Smithsonian’s website (www.si.edu), and to monitor local television 

and radio stations for information about returning to duty.