U.S. Department of Homeland Security Procedures Relating to a Federal Funding Hiatus
Transcript of U.S. Department of Homeland Security Procedures Relating to a Federal Funding Hiatus
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U.S. Department of Homeland Security
Procedures Relating to a Federal Funding Hiatus
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Procedures Relating to a Federal Funding Hiatus
Table of Contents
I. Requirements and Limitations ................................................................................. 2
II. Determining Exempt Functions and Employees ..................................................... 3
III. Procedures for an Orderly Closure .......................................................................... 7
IV. Procedures in the Event of an Incident .................................................................... 16
V. Procedures Following Conclusion of a Hiatus ........................................................ 17
VI. Appendix: Closure Times and Exempt Functions by Component .......................... 18
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I. Requirements and Limitations
During a federal funding hiatus, the Department of Homeland Security (DHS) must be able tocease its government operations in an orderly fashion. Certain functions and activities that will
be permitted to continue are exempt from work restrictions specified in the Anti-Deficiency
Act (ADA).
The ADA codifies the Constitutional requirement that No Money shall be drawn from the
Treasury, but in consequence of appropriations made by Law. Federal officials are prohibitedfrom entering into contracts, incurring obligations, or performing activities without having a
current appropriation. The Act further restricts acceptance of voluntary services or personal
services beyond authorized levels except for emergencies involving the safety of human life or
the protection of property. As a result, only activities which qualify as exempt may continue tooperate during a lapse in appropriations.
In accordance with Section 124 of Office of Management and Budget (OMB) Circular A-11,
Agency Operations in the Absence of Appropriations, the Department has developed theprocedures outlined in this document as its contingency plan. Included, and as also specified by
the A-11 guidance, is the identification of the following information:
An estimate, to the nearest half-day, of the time necessary to accomplish an orderlyclosure.
The total number of DHS employees on-board before implementation of the plan. The total number of employees expected to be exempt during the hiatus.
Upon notification from OMB and subsequent direction from the DHS Under Secretary forManagement (USM), DHS Components must adhere to the guidelines as set forth in the
following pages. This includes the preparation of employee notices of furlough, the processingof personnel and pay records in connection with furlough actions, and the release of non-exempt
employees in accordance with applicable law and regulations of the Office of Personnel
Management (OPM).
Failure to maintain and adhere to these procedures may result in a violation of the ADA.
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II. Determining Exempt Functions and Employees
Guidelines for exempt activities are set forth below. Proposals to continue activities that do notfit in the guidelines below should be directed immediately to the DHS Office of General Counsel
(OGC). The following pages also provide further information on non-exempt functions as well
as the distinction between exempt and essential functions.
A.Exempt FunctionsThe following activities and/or functions may continue during a lapse of appropriations:
1. Funded by Sources Other than Annual Appropriated Funds.Some functions are covered by multi-year, no-year, or revolving funds, or advance
appropriations, and if those accounts have sufficient carry-over balance, they would notbe affected by an annual appropriation lapse. Revolving funds that operate almost
entirely on offsetting collections from other federal entities may also be forced to close,unless sufficient retained earnings are available to forestall the closure.
EXAMPLES:
U.S. Visitor and Immigrant Status Indicator Technology (US-VISIT) isfunded by a no-year appropriation and may have sufficient balances available
to continue operations.
Fee for service activities such as those performed by U.S. Citizenship andImmigration Services (USCIS).
2. Authorized to Continue Even Without Funding.Congress provides express authority for some agencies to enter into contracts or to
borrow funds to accomplish some of their functions despite a lapse in appropriations.This category does not currently apply to DHS functions; however, Components should
notify OGC if it is believed a function may qualify.
3. Necessary for Safety of Human Life or Protection of Property.I d lif d h i f i f lif h b
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danger to life or property would result from their termination or diminution.Administrative, research or other support functions related to an exempt activity should
also continue, but only to the extent that they are essential to maintain the effectiveness ofthose activities and/or functions that are engaged in the protection of life or property, andat a minimum level.
EXAMPLES:
Maintaining criminal law enforcement operations, including drug and illegalalien interdiction.
Continuing passenger processing and cargo inspection functions at ports ofentry.
Providing the protective functions of the U.S. Secret Service. Maintaining counter-terrorism watches or intelligence gathering or
dissemination in support of terrorist threat warnings.
Retaining minimal personnel to maintain telecommunications as they relate toexempt activities.
4. Necessary for the Orderly Cessation of Functions.Agencies may obligate funds during periods of lapsed appropriations to bring about the
orderly cessation of non-exempt activities. Contingency plans which call for cessation of
agency operations after an appropriations lapse should be consistent with the ADA.OMB has determined that the normal cessation of operations should take no more than
four hours. During that time, employee activities during this period must be whollydevoted to de-activating the function and upon completion, these employees would bereleased.
EXAMPLES:
Performing payroll functions for the period just prior to the appropriationlapse.
Completing inventories of property and records to assure protection of theGovernments interests and claims of affected private entities and individuals.
For partially exempt activities, the transferring of any ongoing worknecessary to support an exempted function.
Personnel functions to process furlough/reduction in force notices.
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B.Non-Exempt FunctionsNon-exempt activities are all other activities that do not fall into any other categories.Employees in positions performing these functions should be furloughed during a federal
funding hiatus. This could include employees who may have to be recalled at a later date, if the
furlough continues for more than a week.
EXAMPLES:
Planning (strategic, business, budgetary, etc.) Research and development activities Most policy functions, administrative, as well as programmatic, unless those
functions can be justified by the above exceptions
Auditing Regulatory, legislative and intergovernmental affairs Training and development
C. Exempt vs. Essential Functions
Exempt functions are those which are exempted from work restrictions in the ADA and may
continue to operate during a federal funding hiatus. Exempt functions and activities are
described in this guidance.
Essential functions are a limited set of mission-essential or mission-critical functions that mustbe performed to provide continuity of operations (COOP). Each DHS Component has identified
and defined its mission-essential functions.
Additional guidance is provided in Section IV on the differences between exempt employees for
the purpose of a federal funding hiatus and essential employees for the purpose of a COOPevent.
D. Employees: Exempt vs. Non-Exempt
Exempt employees have been designated by their supervisors to perform functions or activities
that are exempt from work restrictions specified in the Anti-Deficiency Act and may continue to
d i l i i i Th t t l l li t
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However, once it is determined that non-exempt employees have completed all tasks incident tothe orderly suspension of agency operations, the services of those employees can no longer be
accepted in the absence of appropriations. Non-exempt employees may not voluntarily performnon-exempt services during an emergency furlough. (NOTE: A non-exempt employee forthe purpose of government shutdown is not to be confused with an employee designated as a
non-exempt employee under the Fair Labor Standards Act.)
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III. Procedures for an Orderly Closure
A.Furlough of Employees1. General Guidance. The procedures outlined below apply to DHS operations that are non-
exempt from work restrictions due to a lapse in fiscal year appropriations. They should
be implemented by Component Heads upon receipt of orders from OMB through either
the Office of the Secretary or USM.
a. Servicing Human Resources Offices shall immediately distribute Furlough Noticesto supervisors/managers to issue to their non-exempt employees (those not engaged in
exempt activities). Supervisors may send the notice via e-mail with a read receipt.If hand delivery or e-mail is not an option, a telephone call or verbal notice will
suffice, however it must be followed by a written notice. Employees who are away
from their regular duty stations should be contacted and instructed to return or tomaintain contact with their supervisors pending resolution of their status.
b. Non-exempt employees shall be furloughed immediately, within four hours of thefirst working day of the period of a federal funding hiatus. During this period, non-
exempt employees may be engaged in activities relating to the orderly cessation of
operations. For example:
o Consolidating and storing files.o Safeguarding classified materials.o Protecting government property.o Notifying the public and other agencies of the shutdown of DHS operations.o Documenting the status of projects to facilitate resumption when regular
operations are resumed.
o Processing appropriate personnel/payroll actions and filing documentation.c. Furloughed employees shall be instructed to monitor the media and to regularly check
OPM or DHS web sites as well as their DHS-issued blackberries for notice on whento return to work. (See Section G(b) for more information).
d. Designated exempt managers and supervisors shall ensure the continuation of exemptactivities/functions and the termination of non-exempt activities, as appropriate, until
further direction is received from the Office of the Secretary or USM.
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b. Employee health insurance coverage will continue during a furlough even though the
employee may not receive pay and therefore may not deduct health insurancepremiums from pay. Generally, deductions for the unpaid health insurancepremiums will be taken from the employees pay when he or she returns to regular
duty.
c. Exempt employees, other than those who are exempt by reason of being funded byother than annual appropriations, may not take leave (e.g., annual or sick leave)
during a furlough; if they are approved to be absent from work, exempt employees
will be furloughed during their absence. Leave is available for employees funded byother than annual appropriations
d. Regardless of whether an approved Travel Authorization has been obtained, non-exempt employees may not start new travel in the event of a federal funding hiatus.
Any non-exempt traveler in official government travel status, including those
attending training functions, is required to immediately return to his/her permanentduty station.
B.Management Controls1. General Guidance. DHS internal control standards will continue for exempt operations
during a temporary funding hiatus. Components with continuing operations must (if
possible), modify or develop procedures to ensure adequate controls in a streamlined
environment to achieve the same internal control results expected during normaloperations. This includes ensuring adequate reviewing, authorizing, and approvingfunctions are in place. Additionally, Components must maintain key separation of duties
for important business functions such as the following:
a. Authorizationsb. Records and documentingc. Custody of assets, whether directly or indirectly (e.g. receiving checks in mail)
2. Record Keeping and Reporting. Special care must be taken throughout the lapse inappropriations to maintain logs, formal records, and file copies of all transactions andexpenditures to provide adequate accountability and justification for exempt activities,
including the costs expended for exempt activities. At the conclusion of the hiatus,
C t t b bl t hi th ti t t th t i l
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Component reporting procedures will include gathering performance metrics data duringthe hiatus period to capture cost and savings data at the conclusion of the hiatus.
Components must have procedures in place such that when appropriations becomeavailable to continue Federal Government functions, Components can report all costsincurred due to the lapse in appropriations. See Section V, Reporting of Costs Incurred.
C.Financial Operations1. General Guidance. In the event of a temporary funding hiatus, DHS and its Components
will stop all financial operations and financial system operations, including processingpayments, receipts or performing funds control, except for the following exempt
activities:
a. CBP revenue collectionsb. FEMA disaster paymentsc. Organizational Program Coordinators needed to support credit card programs for
exempt activities
d. Financial operations funded by USCIS feese. Electronic travel approvals and processing to support exempt activities
2.
Accounting Center Operations. Accounting centers will not run funds availability checksduring a hiatus. Therefore, Components must keep a clear accounting record so that theaccounting center may process complete transactions into the financial systems when
normal operations resume.
3. Documentation and Reporting. When conducting financial operations during a fundinghiatus, ensuring documention is mandatory. Components must maintain and control
documentation of all transactions initiated and processed during a temporary funding
hiatus. When the hiatus is over, Components must be able account for all activities andmeet reporting requirements just as under normal operations. In addition, Components
must collect performance and cost data so which can be analyzed for the purposes ofdetermining the impact of a hiatus. Components will provide specific instructions on
what data to collect.
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5. Bank Card Program. Purchase cards, travel cards, and fleet cards will still be available to
fund exempt activities. Component Organization Program Coordinators (OPCs) willconsider a reduction in spending limits for non-exempt cardholders to one dollar for theduration of the furlough. Each Component will provide support to cardholders for
exempt activities through designated OPCs. Each Component will provide guidance and
specific points of contact to its employees.
D.Procurement and Contracting1. General Guidance. The Department of Homeland Security Contracting Contingency Plan
is established in DHS Acquisition Alert 11-10, dated February 24, 2011, to be updated.Heads of the Contracting Activity must work with their Component Heads to proactively
survey and identify contracts that, in whole or in part, support activities that will continue
to support exempt functions. This will serve two major purposes for DHS contracting
activities:
a. To identify contracts for which Stop Work Orders or Partial Terminations for theConvenience of the Government should be issued to contractors, and to allowContracting Officers sufficient lead time to prepare modifications to de-scope
contracts and prepare any necessary justifications and other supporting
documentation for contracts that will be partially terminated.
b. To allow Heads of the Contracting Activity to determine an effective distributionof warranted Contracting Officers to support an orderly shutdown and themanagement of contracts supporting exempted functions.
2. No New Obligations. DHS may not incur a new obligation by signing a new contract,by extending a contract, or by exercising a renewal option when the funding source forthat obligation is a lapsed appropriation.
a. The ADA prohibits agencies from incurring obligations that are in advance of, orthat exceed, an appropriation. Thus, except in certain limited circumstances, DHSmay not incur obligations when the funding source for the obligation would be an
appropriation that has lapsed unless the obligation is needed to support thosefunctions defined as exempt for DHS or is needed to address an emergency
circumstance that immediately threatens the safety of human life of the protection
of property. (See Acquisition Alert 11-10 regarding required use of subject to
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3. Federal Employees Supporting Contracting Operations. If there is a lapse in the
appropriation that funds the federal employees who supervise or support the performanceof the contract or grant, federal employees cannot continue these activities during thefunding lapse, unless these contracts support an exempted activity. Routine ongoing
activities, related to contract and grant administration, are not authorized to continue
when there has been a lapse in the appropriation that funds the contract and grantadministration activities. In other words, during a funding lapse, the performance by
contracting officers, contracting officer technical representatives, contract administration
personnel, and grants management specialists of routine oversight, inspection,
accounting, administration, payment processing, and other contracting or grantmanagement activity would generally not continue.
a. In the absence of federal supervision or support, the government may however,allow the contractor or grantee to continue performance during the lapse period, if
the continued supervision or support is not critical to the contractors or grantees
continued performance during that period. This is the case, for example, if fundswere obligated funds representing the entire price for a good or service under a
contract or task order before the funding lapse began. In that example, DHS doesnot have to issue an affirmative direction to the contractor to continue
performance, such as a notice to proceed. Instead, the contractor or grantee couldcontinue to engage in performance. (It is always prudent to be in communication
with the contractor or grantee to avoid a misunderstanding.)
b. However, depending on the duration of a funding lapse, the absence of availableFederal employee oversight may lead one to reconsider whether the contract orgrant activity should continue to be performed. In particular, if the continued
supervision or support, during the lapse period, is critical to the contractors or
grantees continued performance during that period, then - where consistent withlaw and the terms of the contract or grant DHS should instruct the contractor or
grantee to suspend performance.
c. Additionally, if continued performance is not statutorily required, then DHSshould consider whether having the contract move forward is a sensible use oftaxpayer funds in light of the lapse of appropriations. In this regard, there might
be situations in which the continued performance of a contract would be wasteful
due to the impact that the funding lapse is having on other agency activities. Forexample, if a Federal building is closed due to the funding lapse, it might be
wasteful to have a contractor perform its normal duties of emptying trash cans
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E. Use of DHS Facilities1. General Guidance. Procedures outlined below provide guidance on the management anddisposition of DHS facilities and assets during a federal funding hiatus. They should be
implemented by Component Heads upon receipt of orders from OMB through either the
Office of the Secretary or USM.
a. Component Heads shall notify senior real property personnel to oversee thetemporary closure of non-exempt facilities, coordinate and support staff
consolidation, and to supervise the establishment of designated facilities for use in
support of exempt functions.
b. A plan shall be implemented to provide notification and details for appropriate use offacilities. It should be distributed to the relevant workforces and should include the
identification and contact information of real property Points of Contacts (POCs) for
operations during and following a federal funding hiatus. The real property POCs
should be designated staff who have the lead responsibility for facility shutdown andstart-up operations.
2. Facilities Occupied with Exempt Functionsa. Consolidation Consolidate exempt functions in the absolute minimum space needed
to maintain exempt operations.
b. Building Operations Maintain minimum operations to support exempted functions.c. Security Maintain physical security for exempted facilities including monitoring
facilities as appropriate. The Headquarters (HQ) Office of the Chief Security Officer
(OCSO) will maintain essential security support and services to DHS HQs facilities
and personnel, as well as appropriate and required service to DHS Components.Collateral and SCI information security support to HQs and Components through the
Special Security Office (SSO) Program and Sensitive Compartmented Information
Facilities (SCIF) support will continue. This includes working closely with the
Federal Protective Service (FPS) to ensure HQ facilities and exempt personnel areprotected.
d. General Services Administration (GSA) Notice Provide notification to GSANational Account Representative of exempt activities that will continue normal
operations in GSA controlled space.
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b. Building Operations Reduce operating systems to minimal requirements needed to
ensure asset protection and safety measures maintained. For DHS-owned facilities,utilities should be set to weekend settings, and building systems should be placed insleep mode/weekend service levels-lowered to minimum levels needed to maintain
life, safety and security systems. Confirm emergency back-up systems are
operational.
c. Security Maintain physical security monitoring. The DHS OCSO will maintainessential security support and servicesto DHS HQs facilities and personnel as
needed. Exempt facilities will be secured and card readers deactivated as needed.
d. Notifications Provide notification to GSA National Account Representative ofvacated non-exempt facilities leased by GSA to DHS, and similarly to other lessors ifapplicable. For DHS-owned facilities, develop list of external notifications for use at
time of a federal funding hiatus, such as monitoring companies, local safety and
security offices, and mail operations.
4. Mail Operations Operational considerations for the Mail Surety exempt functions arebased on assumptions that the primary mail delivery vendors, United Parcel Service
(UPS), FedEx and FedX G, and the United States Postal Service (USPS) will continue toprocess some level of mail for DHS and its Components.
a. In the event of a federal funding hiatus, Components shall determine how toaccommodate existing mail surety services for operational functions. Service levels
and arrangements may vary from location to location but should utilize minimumstaffing levels. Designated points of contacts shall be responsible for receiving items
identified as registered, sensitive, medical-related, and items requiring refrigeration.
b. Mail delivery: The DHS Consolidated Remote Delivery Site (CRDS) will delivermail to the designated DHS exempt facility locations. The DHS Office of the Chief
Administrative Officer (OCAO) in coordination with the DHS Office of the ChiefHuman Capital Officer (OCHCO) and the DHS Office of Security will provide a list
of exempt personnel during a federal funding hiatus.
F. Use of Mobile Assets and Personal Property1. Exempt Functions. The guidance provided below regarding DHS Mobile Assets (Fleet,
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c. Ensure that only the minimum amount of recordkeeping necessary to document theexpenditure of funds and disposition of assets.
d.
Acquire only the minimum amount of parts and supplies necessary for continuedoperation of critical assets.e. Secure all property not used for critical activities in a manner that protects the asset
and ensures its immediate availability upon reactivation.
f. Discontinue all contractor support not directly associated with the maintenance ofcritical assets.
g. Discontinue the acquisition of new or replacement assets unless the new orreplacement asset is critical to the execution of an exempt activity and cannot be
sourced from idle assets within the immediate inventory or located within theorganizations or Departments regional inventory.
h. Utilize shared mobile assets and personal property resources within the Component,Department, and where possible through inter-agency means.
2. Non-Exempt Functions. Maintenance and support activities and personnel whoseabsence would not cause an unacceptable interruption in the execution of exemptedactivities outlined by DHS HQ include:
a. Air, marine, and fleet assets used for training or administrative functions.b. Operations and maintenance activities necessary to support training or administrative
functions.c. Home-to-Work Transportation not in direct support of exempted functions
(emergency response on a 24X7 basis).
d. Department and Component management activities which do not directly supportexempted activities.
e. Recurring inventory for the sole purpose of property accountability;f. Record keeping including reporting (field level, Component, Component HQ, or DHS
HQ).
g. Acquisition and procurement functions (excluding parts and supplies otherwisementioned in this guidance).
h. Planning.i. Work order management not associated with the continuance of maintenance
activities associated with critical assets.
j.
Oversight, audit, and assessment not essential to the mitigation of fraud, waste, andabuse during the federal funding hiatus.
G.Use of Information Technology (IT) Equipment1. Exempt Functions. DHS exempt personnel performing exempt functions may continue to
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3. Internet Services and DHS Network Access. The Departments public website willremain accessible, but will not be maintained or updated. The DHS network will remain
accessible to support exempt functions.
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IV. Procedures in the Event of an Incident Requiring Recall
During a furlough, an emergency situation may arise for which, in the determination of thePresident, federal assistance is needed to supplement state and local efforts and capabilities to
save lives and to protect property and public health and safety, or to lessen or avert the threat of a
catastrophe in any part of the United States. Such emergency situations may require certain DHS
essential employees to report for work. Essential employees generally are employees in jobs
that are vital to public health, safety, welfare, and national defense, front line law enforcement,
or the operation of essential facilities and functions.
Although some employees identified as essential will likely be determined to be exempt
employees, many will not since they do not perform functions or activities that are exempt
from work restrictions specified in the ADA e.g., functions/activities that are necessary for thesafety of human life or protection of property.
The categories of essential personnel within DHS are as follows:
Mission Critical Personnel: Employees whose work is critical to the ability of DHSto perform its national or homeland security mission.
Emergency Relocation Group (ERG): Employees identified to sustain the missionessential functions of an organization who report to duty at an alternate site (ERG
members and alternates and those in order of succession).
Contingency/Incident Personnel: Employees who are activated as needed dependingon the emergency, including those designated as three-deep backup to mission criticalor emergency personnel, Crisis Action Teams Members, Federal Emergency
Response Officials, and Reconstitution and Devolution Team Members.
Emergency Personnel: Employees who are required to sustain a facility or functionin the event of a localized situation that prevents a significant number of employeesfrom reporting to or remaining at work, such as inclement weather or interruption of
power or public transportation which results in dismissal or closure of DHS
operations or services.
Exempt Employees: Employees who have been designated by their supervisors toperform functions or activities that are exempt from work restrictions specified in theAnti-Deficiency Act and may continue to operate during a lapse in appropriations.
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V. Procedures Following Conclusion of a Hiatus
A.Notification ProceduresUpon appropriate notification from OMB, the Secretary will notify DHS officials that thefederal funding hiatus has concluded and order them to direct employees to return to work.
The DHS Office of Public Affairs will ensure that appropriate employee communications are
delivered promptly and efficiently.
B.Workforce CompensationWithout further specific direction or enactment by Congress, all excepted employees are
entitled to receive payment for obligations incurred by their agencies for their performance ofexcepted work during the period of the appropriations lapse. After appropriations are
enacted, payroll centers will pay all excepted employees for time worked. NFC will issue
additional guidance on payroll processing.
Depending on whether Congress enacts legislation to provide furloughed non-exempt
employees with compensation during the entire period of the lapse in appropriations, OMB
and OPM will issue additional guidance on employee compensation, benefits, and personnelprocessing.
C.Reporting of Costs IncurredAs soon as appropriations become available to continue Federal Government functions,
Components must report all costs incurred due to the lapse in appropriations including, butnot limited to the following:
Interest incurred for late payments; Amount of discounts lost due to late payments; Unplanned travel expenses to send staff home and to return them to the field; and Other costs of stopping then restarting operations, such as shutting down information
technology systems.
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VI. Appendix
U.S. Department of Homeland Security
Procedures Relating to a Federal Funding Hiatus
Closure Times and Exempt Employees by Component
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Table of Contents
Office of the Secretary and Executive Management . 20
Office of the Under Secretary for Management 21
Analysis and Operations . 22
Office of Inspector General 23
U.S. Customs and Border Protection . 24
U.S. Immigration and Customs Enforcement 26
Transportation Security Administration 27
U.S. Coast Guard 28
U.S. Secret Service .... 29
National Protection and Programs Directorate .. 30
Office of Health Affairs . 31
Federal Emergency Management Agency . 32
U.S. Citizenship and Immigration Services 33
Federal Law Enforcement Training Center 34
Science and Technology Directorate . 35
Domestic Nuclear Detection Office 36
Total, Department of Homeland Security .. 37
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Office of the Secretary and Executive Management
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of the Secretary and Executive Management (OSEM) expects to complete an
orderly cessation of all other activities not identified as exempt functions within fourbusiness hours following notification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, OSEM had 739 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
OSEM estimates 46 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are eitherPresidentially appointed, funded by other than annual appropriations, or necessary for the
protection of life and property.
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Office of the Under Secretary for Management
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of the Under Secretary for Management (USM) expects to complete an orderly
cessation of all other activities not identified as exempt functions within four business hoursfollowing notification of a federal funding hiatus, with the following exception:
The Office of the Chief Administrative Officer expects that it may be necessary to retain two
employees for a period of an additional four business hours (totaling one business day) toaccomplish the orderly closure of facilities and the government fleet of vehicle functions.
These two employees will be necessary for closing down the functions of the government
vehicle fleet and non-exempt government facilities. The additional time is required becauseof the necessity to close out the DHS vehicle fleet, which will involve the protection of
government-owned property, and because the Department is geographically-dispersed with
its facilities and assets spread over 40 locations across the National Capital Region. Theintent is to close as many DHS facilities as possible and have exempt personnel consolidated
at designated exempt facilities in the National Capital Region.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, USM had 2,202 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USM estimates 162 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus.
These employees are exempt since they are either Presidentially appointed or necessary forthe protection of life and property.
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Analysis and Operations
I. Estimated Time to Complete an Orderly Cessation of Activities
Analysis and Operations (A&O) expects to complete an orderly cessation of all other
activities not identified as exempt functions within 4 business hours following notification ofa federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, the Department had a total of 709 on-board employees under theAnalysis and Operations account.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
A&O estimates 370 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are either
Presidentially appointed or necessary for the protection of life and property.
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Office of Inspector General
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of Inspector General (OIG) expects to complete an orderly cessation of all other
activities not identified as exempt functions within four business hours following notificationof a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, OIG had 741 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
OIG estimates 233 employees as the total number exempt and estimated to be retained duringa federal funding hiatus. These employees are exempt since they are either Presidentiallyappointed, Law Enforcement, or necessary for the protection of life and property.
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U.S. Customs and Border Protection
I. Estimated Time to Complete an Orderly Cessation of Activities
U.S. Customs and Border Protection (CBP) expects to complete an orderly cessation of allother activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus, with the following exceptions:
Facility: National Finance Center (NFC)o Explanation: This facility will downsize from 270 to 27 employees within the
first four business hours of a federal funding hiatus. CBP must maintain the
minimum number of personnel necessary to manage payroll for employees paidby other than annual appropriations, travel for law enforcement personnel, and
accounts payable functions in support of approximately 50,000 exempt CBP
personnel. CBPs COSS System is used to schedule shift work for frontlinepersonnel and must therefore be kept operational because CBP frontline personnel
will continue to work as exempt employees. Because of furloughs at the NFC, it
will be necessary to manually transition designated approvers to individuals whowill continue as exempt employees at the NFC. The minimum workforce
necessary to accomplish this while also continuing core NFC functions includes
eleven employees for payroll/COSS functions, six employees for travel functions
for law enforcement personnel, eightemployees for accounts payable functions,and two management/oversight personnel. After two weeks, the number of
necessary employees will be reduced to five employees for payroll/COSS
functions, one employee for travel functions, one for accounts payable functions,and two management/oversight personnel.
Function: Advanced Training Center (ATC) Site Securityo Explanation: An estimated 1 1/2 days (to the nearest half-day) are required for
ATC to facilitate the orderly relocation of law enforcement students who are
geographically dispersed at one of four domestic training sites, three of which are
residential facilities, that have a combined locally-housed student population of an
estimated 400-500 students at any given time. The winding down of the ATCoperations involves complexities requiring coordination with local hotels and
Partner Organizations (many of whom are not within DHS), contract employeesand the aforementioned students. ATCs training site is located in Harpers Ferry,
WV. The students are not employees of the ATC, but of CBPs Component
organizations that train at ATC Because of the local residential feature of ATC
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II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, CBP had 58,837 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
CBP estimates 50,799 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are either
Presidentially appointed, Law Enforcement, funded by other than annual appropriations, or
necessary for the protection of life and property.
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U.S. Immigration and Customs Enforcement
I. Estimated Time to Complete an Orderly Cessation of Activities
U.S. Immigration and Customs Enforcement (ICE) expects to complete an orderly cessationof all other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, ICE had 20,215 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
ICE estimates 16,247 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are either
Presidentially appointed, Law Enforcement, funded by other than annual appropriations, or
necessary for the protection of life and property.
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Transportation Security Administration
I. Estimated Time to Complete an Orderly Cessation of Activities
The Transportation Security Administration (TSA) expects to complete an orderly cessation
of all other activities not identified as exempt functions within four business hours followingnotification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, TSA had 58,978 on-board employees. This number does notinclude Law Enforcement Officers serving in the Federal Air Marshal Service (FAMS), the
total number of which is Sensitive Security Information.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
TSA estimates 53,361 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. This number does not include Law Enforcement Officers
serving in the Federal Air Marshal Service (FAMS), who are exempt; the total employeenumber of FAMS law enforcement officers is Sensitive Security Information not included in
this document.
These employees are exempt since they are either Presidentially appointed, funded by otherthan annual appropriations, or necessary for the protection of life and property.
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U.S. Coast Guard
I. Estimated Time to Complete an Orderly Cessation of Activities
The U.S. Coast Guard (USCG) expects to complete an orderly cessation of all other activities
not identified as exempt functions within four business hours following notification of afederal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, USCG had 50,174 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USCG estimates 44,052 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. Military members are exempt from furlough. Civilianemployees are exempt since they are either funded by other than annual appropriations or
necessary for the protection of life and property.
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U.S. Secret Service
I. Estimated Time to Complete an Orderly Cessation of Activities
The U.S. Secret Service (USSS or Secret Service) expects to complete an orderly cessation ofall other activities not identified as exempt functions within four business hours following
notification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, USSS had 6,966 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USSS estimates 6,143 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are either
Presidentially appointed, Law Enforcement, or necessary for the protection of life and
property.
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National Protection and Programs Directorate
I. Estimated Time to Complete an Orderly Cessation of Activities
The National Protection and Programs Directorate (NPPD) expects to complete an orderly
cessation of all other activities not identified as exempt functions within four business hoursfollowing notification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, NPPD had 2,557 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
NPPD estimates 1,484 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are eitherPresidentially appointed, Law Enforcement, funded by other than annual appropriations, or
necessary for the protection of life and property.
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Office of Health Affairs
I. Estimated Time to Complete an Orderly Cessation of Activities
The Office of Health Affairs (OHA) expects to complete an orderly cessation of all other
activities not identified as exempt functions within four business hours following notificationof a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, OHA had 78 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
OHA estimates 25 employees as the total number exempt and estimated to be retained duringa federal funding hiatus. These employees are exempt since they are either Presidentiallyappointed or necessary for the protection of life and property.
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Federal Emergency Management Agency
I. Estimated Time to Complete an Orderly Cessation of Activities
The Federal Emergency Management Agency (FEMA) expects to complete an orderlycessation of all other activities not identified as exempt functions within four business hours
following notification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, FEMA had 8,747 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
FEMA estimates 6,276 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are either
Presidentially appointed, funded by other than annual appropriations, or necessary for the
protection of life and property.
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U.S. Citizenship and Immigration Services
I. Estimated Time to Complete an Orderly Cessation of Activities
U.S. Citizenship and Immigration Services (USCIS) expects to complete an orderly cessation
of all other activities not identified as exempt functions within four business hours followingnotification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, USCIS had 10,345 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
USCIS estimates 10,086 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are eitherPresidentially appointed or funded by other than annual appropriations.
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Federal Law Enforcement Training Center
I. Estimated Time to Complete an Orderly Cessation of Activities
Consistent with Federal Government-wide contingency plans, basic training of newemployees in occupations that are generally designated as emergency will initially be
suspended. Students and instructors will remain at the training site during the temporary
suspension; if a determination is made after several days that the federal funding hiatus will
be prolonged, the students and instructors may be given direction to return to their permanentduty stations.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, FLETC had 1,079 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
FLETC estimates 58 employees as the total number exempt and estimated to be retainedduring a federal funding hiatus. These employees are exempt since they are either funded by
other than annual appropriations or necessary for the protection of life and property.
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Domestic Nuclear Detection Office
I. Estimated Time to Complete an Orderly Cessation of Activities
The Domestic Nuclear Detection Office (DNDO) expects to complete an orderly cessation of
all other activities not identified as exempt functions within four business hours followingnotification of a federal funding hiatus.
II. Number of Employees On-Board Prior to a Federal Funding Hiatus
As of February 28, 2011, DNDO had 110 on-board employees.
III. Exempt Functions and Employees Retained During a Federal Funding Hiatus
DNDO estimates 6 employees as the total number exempt and estimated to be retained
during a federal funding hiatus. These employees are either Presidentially appointed ornecessary for the protection of life and property.
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Total Employees: On-Board vs. Exempt
Exempt Employees
DHS
Component
Total
Employees
On-Board,
2/28/2011
Presidentially
AppointedMilitary
Law
Enforcement
Medical Care
Provider
Funded by
Other than
Annual
Appropriation
Necessary to
Protect Life
and Property
Total
OSEM 738 6 0 0 0 2 38 46
USM 2,206 2 0 0 0 0 160 162
A&O 709 1 0 0 0 0 369 370
OIG 741 0 0 212 0 0 21 233
CBP 58,837 1 0 42,956 0 256 7,586 50,799ICE 20,215 1 0 15,499 0 95 652 16,247
TSA 58,978* 1 0 126* 0 52 53,182 53,361*
USCG 50,174 0 41,844 0 0 692 1,516 44,052USSS 6,966 0 0 3,969 0 0 2,174 6,143
NPPD 2,557 2 0 960^ 0 415^ 107 1,484
OHA 78 1 0 0 0 0 24 25
FEMA 8,747 4 0 0 0 5,696 576 6,276
USCIS 10,345 1 0 0 0 10,085 0 10,086FLETC 1,079 0 0 0 0 7 51 58
S&T 470 1 0 0 0 0 13 14
DNDO 110 1 0 0 0 0 5 6
TOTALS 222,950 22 41,844 63,722* 0 17,300 66,474 189,362*NOTE: On-Board employees includes permanent and temporary employees who were employed as of 2/28/2011; the number of temporary employees changes
on a frequent basis.
* The total number of employed Federal Air Marshals is Sensitive Security Information and consequently is not included in this table.
^ Law enforcement officers of the Federal Protective Service are counted in the Law Enforcement category although they are also funded by other than annual
appropriations; they are not counted in the latter category in this table
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