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U.S. Department of Homeland Security: Procedures Relating to a Lapse in Appropriations Summary

Core Content Overview

This document outlines the procedures for the Department of Homeland Security (DHS) to manage operations during a lapse in appropriations, which occurs when there is a temporary suspension of federal funding. The goal is to ensure an orderly closure of non-exempt functions while maintaining essential and exempt/excepted activities. The procedures are based on the Anti-Deficiency Act (ADA) and OMB Circular A-11 (2018), which guide federal agencies in such scenarios.

Main Requirements and Limitations

• During a lapse in appropriations, only exempt or excepted functions can continue.
• Non-exempt functions must be furloughed, and no obligations (contracts, grants, etc.) may be incurred.
• Failure to follow procedures may result in violations of the ADA.

Definitions

Exempt Functions

• Funded by non-lapsed sources: Includes fee-funded activities, multi-year or revolving funds, and unobligated carryover balances.
• Examples: Disaster Relief Fund, Immigration Examinations Fee Account.
• Exempt employees may continue working and will be paid if their funding source remains active.

Excepted Functions

• Authorized by law: Activities that must continue despite a funding lapse, such as those involving national security, public safety, or orderly closure.
• Examples:
  • Law enforcement operations (e.g., drug interdiction, border protection)
  • Passenger processing and cargo inspection
  • Intelligence gathering and counter-terrorism activities
  • Maintaining telecommunications for excepted functions
• Excepted employees must report for work during a furlough and will be paid once funding resumes.

Non-Exempt Functions

• Not authorized to continue: These include most administrative, research, policy, and training functions.
• Non-exempt employees are subject to emergency furloughs and cannot work during a lapse.
• Examples:
  • Planning, research, and development
  • Most policy and administrative functions
  • Training and development activities

Key Procedures

I. Implementation of an Emergency Furlough

• Component Heads must notify employees of an emergency furlough upon receiving OMB notification.
• Exempt/excepted employees must be notified in advance, typically via email, and are allowed to continue working.
• Non-exempt employees are furloughed and must not work unless engaged in shutdown activities (e.g., safeguarding property, documenting projects).
• Pay during a lapse: Excepted employees do not receive pay; exempt employees may receive pay if their funding is not lapsed.
• Leave during a furlough:
  • Exempt employees may take paid leave (e.g., annual or sick leave).
  • Excepted employees may not take paid leave and are subject to absence without leave if they fail to report.

II. Furlough of Non-Exempt Employees

• Furlough notices must be issued three days before the next scheduled workday.
• Non-exempt employees on travel must return to their permanent duty stations.
• SF-8 (Standard Form 8) should be provided to furloughed employees to assist with unemployment insurance claims.
• New and transfer employees should be instructed not to report for work until the furlough ends.

III. Management Controls

• Internal controls must be maintained for exempt/excepted operations.
• Components must ensure adequate separation of duties and streamlined procedures to maintain operational integrity during the lapse.

IV. Special Considerations

• Weather-related absences: Excepted employees must still report for work unless unable to do so due to emergencies.
• Employee assistance programs (EAPs) should continue to support non-exempt employees.
• Travel authorization does not permit new travel during a furlough.

Appendix and Employee Designation

• The Appendix provides a breakdown of exempt/excepted employees by DHS Component.
• Exempt/excepted employees are pre-designated by supervisors.
• Detailees must be evaluated based on their function and funding availability.
• Components must coordinate with home agency supervisors to determine the status of detailees during a lapse.

Summary of Key Differences

Conclusion

The procedures ensure that DHS operations are managed responsibly during a funding lapse, with clear distinctions between exempt, excepted, and non-exempt functions and employees. Compliance with these guidelines is critical to avoid legal violations and to maintain operational integrity. Components are responsible for notifying employees, designating roles, and implementing shutdown activities to ensure minimal disruption and funding compliance.