How DHS copes with shutdown requirements

Continuing activities and functions
The following DHS activities and functions may continue during a lapse of appropriations:

1. Funded by sources other than annual appropriated funds
Some functions are covered by fee revenues or by multi-year, no-year, or revolving funds, or advance appropriations, and if those accounts have sufficient carry-over balance, they would not be 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:

  • The Disaster Relief Fund is funded 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 and Immigration 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
To qualify under the exception of protection of human life or property, there must be some reasonable likelihood that the safety of human life or protection of property would be compromised in some significant degree by the delay in the performance of the function in question. Specifically, the risk should be real, not hypothetical or speculative, and must be sufficiently imminent that delay is not permissible.

Any activity and/or function that qualifies for the protection of human life or property exception must be limited only to the extent that the Component Head determines that imminent 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 of those activities and/or functions that are engaged in the protection of life or property, and at a minimum level.

Examples:

  • Maintaining criminal law enforcement operations, including drug and illegal alien interdiction.
  • Continuing passenger processing and cargo inspection functions at ports of entry.
  • 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 to exempt 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 wholly devoted to de-activating the function and upon completion, these employees would be released.

Examples

  • Performing payroll functions for the period just before the appropriation lapse.
  • Completing inventories of property and records to ensure protection of the government’s interests and claims of affected private entities and individuals.
  • For “partially exempt” activities, the transferring of any ongoing work necessary to support an exempted function.
  • Personnel functions to process furlough/reduction in force notices.

Number of DHS employees exempt from shutdown-mandated furloughs

  • Office of the Secretary and Executive Management
    • On-board employees as of 31 July 2013: 633
    • Estimated number of exempt employees: 61
  • Office of the Under Secretary for Management
    • On-board employees as of 31 July 2013: 2,187
    • Estimated number of exempt employees: 189
  • Analysis and Operations
    • On-board employees as of 31 July 2013: 812
    • Estimated number of exempt employees: 411
  • Office of Inspector General
    • On-board employees as of 31 July 2013: 728
    • Estimated number of exempt employees: 328
  • U.S. Customs and Border Protection
    • On-board employees as of 31 July 2013: 59,561
    • Estimated number of exempt employees: 52,673
  • U.S. Immigration and Customs Enforcement
    • On-board employees as of 31 July 2013: 19,810
    • Estimated number of exempt employees: 15,794
  • Transportation Security Administration
    • On-board employees as of 31 July 2013: 59,282
    • Estimated number of exempt employees: 55,211
  • U.S. Coast Guard
    • On-board employees as of 31 July 2013: 49,698
    • Estimated number of exempt employees: 47,736
  • U.S. Secret Service
    • On-board employees as of 31 July 2013: 6,537
    • Estimated number of exempt employees: 6,003
  • National Protection and Programs Directorate
    • On-board employees as of 31 July 2013: 2,835
    • Estimated number of exempt employees: 1,617
  • Office of Health Affairs
    • On-board employees as of 31 July 2013: 89
    • Estimated number of exempt employees: 39
  • Federal Emergency Management Agency
    • On-board employees as of 31 July 2013: 14,729
    • Estimated number of exempt employees: 11,468
  • U.S. Citizenship and Immigration Services
    • On-board employees as of 31 July 2013: 12,558
    • Estimated number of exempt employees: 12,205
  • Federal Law Enforcement Training Center
    • On-board employees as of 31 July 2013: 1,074
    • Estimated number of exempt employees: 61
  • Science and Technology Directorate
    • On-board employees as of 31 July 2013: 469
    • Estimated number of exempt employees: 20
  • Domestic Nuclear Detection Office
    • On-board employees as of 31 July 2013: 115
    • Estimated number of exempt employees: 6