Procedures Relating to a Lapse in Appropriations

Publisher Marketing: During a federal funding hiatus, or lapse in appropriations, the Department of Homeland Security (DHS) must be able to cease its government operations in an orderly fashion. Only those functions and activities that are exempt from the work restrictions specified in the Anti-Deficiency Act (ADA) may continue during a lapse in appropriations. 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 prohibited from entering into contracts, incurring obligations, or performing activities without having a current appropriation, unless authorized by law. 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 that qualify as exempt may continue to operate during a lapse in appropriations. In accordance with Section 124 of Office of Management and Budget (OMB)'s 2014 Circular A- 11, "Agency Operations in the Absence of Appropriations," the Department has developed the procedures 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 orderly closure. The total number of DHS employees on-board before implementation of the plan. The total number of employees expected to be exempt from a lapse in appropriations. Upon notification from OMB and subsequent direction from the DHS Under Secretary for Management (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 processing of personnel and pay records in connection with furlough actions, and the release of employees subject to a furlough 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.