GUIDANCE ON OPERATIONS
DURING A LAPSE IN
APPROPRIATIONS
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December 16, 2022
Memorandum From the Under Secretary For
Management
TO: All Assistant Secretaries and Executive Directors
SUBJECT: Guidance on Operations during a Lapse in Appropriations
The purpose of this memorandum is to provide an integrated reference guide concerning
Department of State operations before and during a lapse in appropriations. I strongly urge you
to review this document. This supersedes the previous guidance issued March 8, 2022. The
Department’s Lapse Plan Summary Overview, includes overall numbers of anticipated
furloughed and excepted employees if residual balances are insufficient, and a brief summary on
significant Department activities that will continue or will cease during a lapse, is available on
page 7.
During a lapse in appropriations, bureaus and offices operating with residual funding must
follow Chapter 1 of this guidance, which includes restrictions on obligations, hiring, travel, and
other operations. The impact of these restrictions may vary depending upon the availability of
residual balances. Subject to these constraints, personnel should continue carrying out their
normal duties when their bureau or program is operating under Chapter 1. Civil service part-
time employees, Personal Services Contractors (PSCs), and Reemployed Annuitants (REAs
should contact their supervisors and/or Executive Offices (as applicable) regarding whether they
should continue to work during the lapse, as their work status is subject to the availability of
funds.
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In Preparation for a Potential Lapse in
Appropriations [Section A at page 9]
The Executive Office (EX) of every bureau, regardless of source of funding, must take action in
advance of a potential lapse in appropriations. This includes: denoting excepted/non-excepted
status for every employee, providing an EX point of contact for lapse issues, and reviewing
upcoming, funded travel to determine whether it meets the criteria described in the guidance.
“Excepted” functions that may be continued in an absence of appropriations include those
necessary for emergencies involving “the safety of human life or the protection of property,” and
those necessary for activities essential to national security, including the conduct of foreign
affairs essential to national security, as well as activity in support of Operation Allies Welcome
and related efforts. Please see the full guidance for further explanation of excepted functions.
Bureaus must minimize the number of positions designated as excepted. Prior to a lapse in
appropriations, bureaus should check to see if there are payments that can be made in advance,
such as utility bills, apartment rent, and lease costs, etc.
Operating During a Lapse [Section B at page 13]
Once OMB has informed federal agencies that a lapse in appropriations has occurred and
directed the initiation of orderly shutdown activities, much of the Department will commence
shutdown procedures on the next business day. Those entities having available balances as
identified by the Bureau of Budget and Planning (BP) and the Office of Foreign Assistance (F)
will continue to operate until their respective balances are insufficient to continue, as notified by
BP. However, all Department entities and Department personnel are subject to certain rules and
restrictions, including with respect to allowances, contracts, travel, representation events, speech-
making and media engagement, communications within the Department, and building access.
Please review the guidance for further information.
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Operations Using Available Balances during a
Lapse in Appropriations [Section C, Chapter 1 at
page 23]
Those Department entities that have available balances in multi-year and no-year appropriations,
trust funds, other permanent appropriations, fees, or the Working Capital Fund may continue
operations subject to additional restrictions, until such balances are insufficient. All full-time,
scheduled employees employed by these entities will continue to work, carrying out their normal
duties. Work status of other personnel categories, such as part-time employees, PSCs, and third-
party contractors is subject to the availability of funds. While operating under Chapter 1,
ongoing work should not be separated into excepted and non-excepted functions, but those
determinations remain relevant should a bureau or program move into Chapter 2. Such entities
must follow the rules and restrictions in Section B, as well as additional rules and restrictions in
Chapter 1. Generally, for these entities, no new obligations should be made except for payroll, to
protect life and property, and for reasons essential to national security. BP will closely and
continuously monitor these available balances.
Commencing Shutdown Procedures [Section C,
Chapter 2 at page 28]
Most of the Department will immediately commence shutdown procedures on the first workday
following the lapse, which begins with non-excepted employees performing the functions
necessary for an orderly suspension of non-excepted operations, and then being furloughed. The
guidance provides details on the shutdown’s impact on different types of personnel, training,
allowances, contracts and grants, obligations and disbursements, and time and attendance
reporting.
If you have questions not answered in this document, refer to the Furloughed Employee
Handbook found on the Department of State’s website and the Lapse in Appropriations
Frequently Asked Questions in Diplopedia.
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Table of Contents
GUIDANCE ON OPERATIONS DURING A LAPSE IN APPROPRIATIONS ......................... 1
Memorandum From the Under Secretary For Management ....................................................... 2
In Preparation for a Potential Lapse in Appropriations [Section A at page 8] ........................ 3
Operating During a Lapse [Section B at page 12] ................................................................... 3
Operations Using Available Balances during a Lapse in Appropriations [Section C, Chapter
1 at page 21] ............................................................................................................................ 4
Commencing Shutdown Procedures [Section C, Chapter 2 at page 25] ................................. 4
Lapse Summary Overview ...................................................................................................... 7
Brief summary of significant agency activities that will continue during a lapse because they
are necessary to national security or because residual balances are available: ....................... 7
Brief summary of significant agency activities that will cease during a lapse: ....................... 8
Section A ..................................................................................................................................... 9
All Department Entities and Personnel: In Preparation for a Potential Lapse in
Appropriations ......................................................................................................................... 9
Section B ................................................................................................................................... 13
Instructions for All Department Entities and Personnel During a Lapse .............................. 13
Section C ................................................................................................................................... 23
Specific Guidance Based on Availability of Funds ............................................................... 23
Attachment A: Notice of Furlough for Civil Service employees .............................................. 49
Appeal Rights ........................................................................................................................ 50
Attachment B: Sample Notice of Furlough for Foreign Service employees ............................. 59
Attachment C: Sample Notice of Furlough During Intermittent Absences to Excepted
Employee ................................................................................................................................... 61
Attachment D: Sample Notice of Furlough During Holiday to Excepted Employee Due to a
Lapse of Appropriations ............................................................................................................ 65
Attachment E: Status of Accounts as of December 16, 2022 ................................................... 69
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Department of State Lapse Summary Overview
(As of December 2022)
Lapse Summary Overview
• Estimated time (to nearest half day) required for employees to complete shutdown
activities:
0.5 days
• Total number of agency direct-hire employees expected to be on board before
implementation of the plan: 29,107
• Total number of agency employees occupying “excepted” positions: 7,315
Brief summary of significant agency activities that
will continue during a lapse because they are
necessary to national security or because residual
balances are available:
• Worldwide Security Protection activities, including Diplomatic Security, Medical
Services, and cybersecurity activities will continue operations for at least two weeks from
residual balances, and then, subject to a determination, activities necessary for national
security or protection of life and property.
• Consular operations domestically and abroad will remain 100% operational as long as
there are sufficient fees to support operations. This includes passports, visas, and
assisting U.S. citizens abroad.
• All U.S. embassies and consulates abroad will be operational for national security
reasons.
• Other State Department direct-hire employees will continue activities as long as there are
sufficient residual balances to support operations.
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Brief summary of significant agency activities that
will cease during a lapse:
• Making new obligations for grants and contracts, except to protect life and property, and
for reasons essential to national security, including the conduct of foreign affairs essential
to national security.
• Commencing new, official travel, except for national security purposes and excepted
functions. Personal travel may continue.
• Holding speeches or representational events (unless approved as supporting excepted
functions)
• Participating in social media (except in support of excepted activities).
• Providing or participating in training (except for specific training of personnel deploying
to high risk, high threat posts, or for funded activities).
• Employing annuitant or seasonal employees.
• Making new Civil Service job offers.
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Section A
All Department Entities and Personnel: In
Preparation for a Potential Lapse in
Appropriations
Denote Excepted/Non-Excepted Status for Every
Employee
Prior to a lapse in appropriations, the Executive Directors of all bureaus are responsible for
determining which of their positions are excepted and non-excepted and entering that
information into the GEMS Furlough application. Even those Department entities that have
funds and will operate under Chapter 1 must complete these processes in preparation for the
possibility of a lapse in appropriations.
“Excepted” or “non-excepted” status depends exclusively on the duties of the position. In
Department entities that have funds (Chapter 1), both excepted and non-excepted employees will
continue working. In entities that do not have available balances (Chapter 2), only excepted
employees will continue working.
Employees designated as performing excepted functions should be the minimum number
necessary to execute those functions.
Definition of Excepted Functions: “Excepted" functions that may be continued during a lapse
in appropriations include those necessary for emergencies involving "the safety of human life or
the protection of property," and those necessary for activities essential to national security,
including the conduct of foreign affairs essential to national security, and actions in support of
Operation Allies Welcome and related activities. Activities beyond the scope of this definition
cannot be undertaken without the approval of the Under Secretary for Management. There may,
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under limited circumstances, be certain functions that must continue because they are
“necessarily implied” from the authorized continuation of other activities, such as activities to
ensure appropriate oversight over previously funded foreign assistance programs. A function
should not be treated as excepted simply because a delay or failure to complete a function will
incur additional costs (e.g., through cancellation of travel that must take place later).
Examples of excepted functions would typically include participation in peace negotiations,
multilateral conferences where the absence of a U.S. delegation could lead to a setback on
critical issues, and activities necessary to support the Secretary of State’s travel or participation
in meetings. Employees performing "excepted" functions will continue to report to work and
perform their excepted duties.
The Bureau of Global Talent Management (GTM) has developed an automated furlough
notification functionality in the Global Employment Management System (GEMS) to assist
bureaus with the administrative tasks associated with a lapse in appropriations. This
functionality eliminates the need for bureau Executive Offices to print out furlough letters for
Department employees who have an active account in Human Resources Online (HR Online).
Bureau Executive Directors must use “Lapse in Appropriations,” which is part of the furlough
functionality in GEMS, to denote which positions are excepted and non-excepted, as well as
identify positions that have residual funding and will continue to work (see Chapter 1, and page
69-70 for a list of bureaus that will initially have residual funding during a lapse in
appropriations).
Every executive bureau, regardless of source of funding, must take action in advance of a
potential lapse in appropriations.
The Maintain Excepted Positions page in GEMS allows Bureau Executive Directors and their
delegates to view and manage excepted position designations for Department of State employee
and non-employee positions in the case of a lapse of appropriation. A reason code is required for
positions marked as excepted. The Executive Director (or designated delegate) can identify
which positions and/or employees will remain in active employment status, as well as specify
non-employee (contractor) Excepted positions. The Continuing Appropriation checkbox
functionality has been added to identify non-excepted positions operating in bureaus with
available balances (see Chapter 1 and page 69-70). Additionally, the Executive Director (or
designated delegate) can generate the appropriate letters and reports within GEMS required for
the furlough of non-excepted positions. A Furlough Job Aid is available on the GTM Furlough
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page. Please ensure you review the definition of excepted functions in order to minimize the
number of positions designated as excepted.
Informing Employees of Status: The Office of the Under Secretary for Management will
inform GTM when to notify employees of the status of their positions. If a lapse in
appropriations occurs, the Deputy Under Secretary will then instruct GTM to notify personnel in
entities that will be in Chapter 2 at midnight on December 16, 2022. GTM will send out an email
with the appropriate furlough letter and unemployment compensation documents attached to all
affected Department of State employees at their state.gov email addresses on the first business
day immediately following the lapse and again every thirty days until the emergency furlough
ends. GTM will also send a copy of that notice to employees’ personal email accounts that are
on file at the time of the lapse. Employees can update their personal email address in GEMS on
the Employee Self Service screen. It is especially important that employees who work in
buildings or facilities that will close in the event of a lapse provide a personal email address to
receive their email notice as they may be unable to enter their office to do so. The email will
include a link that employees will use to verify receipt of the furlough letter. Affected
employees on leave at the time of a lapse who have not provided a personal email address should
access the electronic notice via GO or a State Department-issued mobile device on the date they
were originally scheduled to return from leave. Entities that initially will be in Chapter 1
(positions with the Continuing Appropriation box checked in GEMS) will NOT receive the
automated furlough notifications until their respective Executive Offices have consulted with BP
and determined when they will enter into Chapter 2 when residual balances are no longer
available. At that time, the Executive Offices should uncheck the Continuing Appropriation
checkbox in GEMS so that the affected employees can receive an automated furlough
notification. Executive Offices should remind employees to print out a copy of their latest SF-50
and W2 before the shutdown, as these documents are likely needed when applying for
unemployment insurance.
Review Known Priority Payments
All bureaus and posts should review known priority payments that can be made in advance of a
lapse, including for utilities, mobile-device contracts, apartment rent and lease costs,
condominium association fees, LE staff health insurance, educational travel and allowances,
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R&R, and high-priority travel. Please obligate funding for these purposes prior to a lapse.
Regional bureaus should allot funding to posts well in advance of a potential lapse so that posts
can make any needed obligations prior to a lapse in appropriations.
Chief of Mission (COM) Authority Regarding Other
U.S. Government Agency Employees Abroad
Each U.S. government executive branch agency that has employees at post must determine
which positions meet the criteria of "excepted" during a lapse in appropriations. It is the
responsibility of each agency to inform its employees of their status. If an agency has
determined that certain positions abroad do not meet those criteria, and that determination
conflicts with the views of the COM, then the COM should attempt to resolve the matter directly
with the parent agency concerned. If needed, the COM may request additional guidance and
assistance from the Office of the Under Secretary for Management.
The COM is responsible for ensuring that the most senior officials of other agencies at post are
informed when the post will begin to implement lapse in appropriations procedures.
EX Point of Contact Before and During Lapse
Executive Offices should also provide BP with the name of a primary point of contact on lapse in
appropriations matters to ensure an open and continuous line of communication before and
during a lapse in appropriations.
Review Upcoming Travel
Executive Offices should review upcoming travel for direct hire personnel and locally employed
staff that has been funded and determine whether it meets the criteria described under the
definitions of excepted functions. To the extent possible, Executive Offices should inform
travelers and/or posts of their determinations regarding planned travel in advance of the lap
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Section B
Instructions for All Department Entities and
Personnel During a Lapse
In order to minimize the expenditure of Federal resources during a lapse, all Department
personnel should adhere to the following instructions, regardless of whether a Department entity
has funds or whether personnel are excepted.
• The Metrocheck program will continue to support those personnel who were already
enrolled in the program prior to the lapse and required to work during the lapse. New
applications for the Metrocheck program cannot be processed during the lapse. Overtime
is generally not authorized, except in very limited circumstances, and upon approval from
the Under Secretary for Management and after consultation with L/EMP, to the extent
that it is consistent with collective bargaining agreements, the Fair Labor Standards Act,
and when applied to LE staff consistent with local law. Supervisors may seek volunteers
from among excepted employees to work in exchange for compensatory time;
• No new offers of employment may be made during the lapse period;
• Job announcements, issuing certificates, hiring selections, and tentative offers are
permitted; internal reassignments and promotions initiated prior to the lapse are
permitted, provided personnel are available to process them;
• For Department employees on details to other agencies affected by a lapse in
appropriations, employees should coordinate with their home bureau;
• Other agency employees on detail to the State Department should check with their home
agency for instructions;
• Accommodation exchange services and cashier replenishments will continue at overseas
posts;
• Bureaus may not exceed residual balances made available from prior year appropriations
or permanent authorities, as identified by BP or F;
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• No new obligations should be made except for payroll, to protect life and property, for
reasons essential to national security, and actions in support of Operation Allies Welcome
and related activities. including the conduct of foreign affairs essential to national
security. This includes no new obligations for purchases of equipment, services, or
supplies.
• Bureaus and entities that are managing multi-year foreign assistance programs can make
new obligations for activities from residual balances in coordination with F. For entities
operating under Chapter 2, such obligations can only be made for excepted activities,
including to avoid disruptions that will cause significant adverse effects on foreign
assistance programs. For entities operating under Chapter 1, such obligations may be
made in accordance with the general instructions for All Department Entities and
Personnel in this section (B). (See pages 23 and 28 for more information).
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This section provides instructions on the following additional topics:
i. Allowances
ii. Contracts
iii. Travel
iv. Representational Events
v. Speech-making and Media Engagement
vi. Communications within the Department
vii. Building Access
i. Allowances
The following allowances will continue for all employees ordinarily eligible to receive
such allowances, but depending on the availability of a bureau’s residual funding (based
on the overall funding account), allowances may not be paid until after the lapse is over:
• Housing and utilities abroad
• Living Quarters Allowance
• Post Allowance (COLA)
• Home Service Transfer Allowance
• Foreign Transfer Allowance
• Temporary Quarters Subsistence Allowance (TQSA)
• Separate Maintenance Allowance
• Subsistence Expense Allowance (paid in the event of an evacuation)
• Extraordinary Quarters Allowance
• Education Allowance
• Educational Travel
• Travel for children of separated families
See page 69-70 for a list of funding accounts that will initially have residual funding during a
lapse in appropriations, as well as a list of accounts without residual funding.
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ii. Contracts
Contractors/grantees shall continue to perform with Contracting Officer Representative
(COR)/Grants Officer’s Representative (GOR) oversight under the terms of their contracts/grants
until the obligation has been liquidated, unless the post/domestic/contracting/grant-making
activity cannot provide adequate oversight of contract/grant performance during a shutdown
period by excepted employees. All requisitions, including those for any new and continuing
services, should be submitted to your contracting/grants officer with the notation "subject to the
availability of funds" appearing clearly, as is the usual practice. However, under no
circumstances may a purchase order or contract/grant award be authorized or made without
sufficient funds being available at the time the obligation is incurred (unless otherwise permitted
under Chapter 1 and 2 guidance).
iii. Travel
This section applies to travel for U.S. direct hire personnel and locally employed staff. Travel
that is part of a program funded by a multi-year foreign assistance appropriation is not subject to
these guidelines. However, guidance related to new foreign assistance obligations continues to
apply. Further, prior to initiating travel, program managers should seek policy guidance from the
DCM or Assistant Secretary to confirm the program travel should continue as policy matter.
PCS: Reassignment of personnel already planned may be continued, such as Permanent Changes
of Station (PCS), if funds have been previously obligated. In very limited and exceptional
circumstances, GTM/EX may authorize new PCS orders.
Medevac: All medical evacuations (Medevac) will continue. For medical emergencies, medical
travel and services obligations can be incurred. Please coordinate with the Bureau of Medical
Services (MED), the Office of the Under Secretary for Management (M), and the Bureau of the
Comptroller and Global Financial Services (CGFS) in emergency situations where payment is
required immediately.
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All other travel: All other travel by U.S. direct hire personnel and locally employed staff
commencing on or after December 16, 2022, regardless of whether funds have been obligated,
requires approval from leadership. For management family bureaus, the Assistant Secretary is
the approving authority; in all other bureaus, it is the Principal Deputy Assistant Secretary
(PDAS). At posts, Deputy Chiefs of Mission (DCMs) are the approving authority for mission
personnel, and COMs may approve DCMs’ travel. COMs generally should not travel; anyone
seeking an exception must obtain the approval of the regional bureau Assistant Secretary.
Special Envoys reporting to the Secretary may obtain approval through S/ES. COVID-19 Critical
Mission Travel requirements remain in effect.
All travel other than PCS should be limited to that necessary for emergencies involving the
safety of human life or the protection of property, or that necessary for activities essential to
national security, including the conduct of foreign relations essential to national security (see
“definition of excepted functions” in Section A).
Emergency Visitation Travel (EVT): EVT is considered “All other travel.” During a lapse in
appropriations, EVT travel to assist in the care of a parent(s) may be approved on a case by case
basis where the excepted function standard is met. Please contact GTM Employee Relations at
EmergencyVisitationTravel@state.gov prior to traveling to confirm if the travel may be
approved during the lapse. Once the lapse in appropriations is over, EVT will be generally 28
In transit: Anyone who is in transit at the time of the lapse should continue to the planned
destination.
In travel status abroad: If personnel are in travel status abroad at the time of the lapse and work
for an entity that has funds (Chapter 1), they should continue working normally. Personnel who
work for entities in Chapter 2 and are in excepted positions may continue performing excepted
functions. (See Section A for a definition of excepted functions). Personnel who work for
entities in Chapter 2 and are not performing excepted activities should stop working and await
further instructions; they will be placed on furlough. Because funding for travel abroad is
obligated when the travel commences or when any cost was incurred for the travel (i.e., prior to
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the lapse) and because we are hopeful that any hiatus in funding will be temporary, personnel in
non-excepted travel status abroad should not return to their home duty stations until their
previously scheduled return trip or until they receive instructions to return earlier from their
Executive Directors, Management Counselors, or supervisors. Their lodging and per diem will
continue to be paid for the remainder of their trip.
In domestic travel status: Personnel in domestic travel status who are not performing excepted
functions should make arrangements to return or deploy to their duty city as soon as informed by
the bureau involved. Personnel in domestic travel status who are performing excepted functions
may continue to do so. Students in domestic training and on authorized travel orders should
follow the guidance in Chapter 2, iii. Assuming that a valid obligation has been established prior
to midnight on December 16, 2022, personnel in non-excepted positions should continue to
receive per diem domestically. See Chapter 2, vi for more information regarding obligations and
disbursements.
Home leave: Personnel on home leave will be considered non-excepted. They will be placed in
furlough status unless 1) the entity for which they work is in Chapter 1; or 2) they are notified by
post that their position is excepted and post asks them to return to post for the needs of the
service. Personnel who were supposed to be on home leave but are furloughed instead will
follow the guidance for furloughed employees. The employee should contact the losing post to
discuss what travel actions post would like them to take. The travel to/from the United States
will be considered as the home leave being taken and if the amount of home leave taken and
reported is below the minimum level, a waiver may be requested due to the needs of the service.
R&R: Employees who are on rest and recuperation travel (R&R) at the time a lapse occurs may
complete their R&R and return to post when scheduled. Employees who work for entities
operating in Chapter 1 will be paid as usual. Those who work for entities operating in Chapter 2
will be placed on furlough. If their positions are excepted, they should return to work upon
returning to post. Posts may also direct them to return sooner for the needs of the service if no
one else is available to perform the excepted function in their absence. If their positions are non-
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excepted, they should remain on furlough upon returning to post. Employees who return to post
earlier than scheduled to perform excepted work will not be eligible for an additional R&R to
replace the shortened trip. Recognizing the unique nature of our overseas workforce, employees
in furlough status who have approved R&R but have not yet left may travel if funding had
already been obligated prior to the lapse. They will remain on furlough status during the R&R.
Should the employee occupy an excepted position and Post leadership believes no other
employee could temporarily fill the excepted position, the R&R would be cancelled, but may be
rescheduled for a later date.
iv. Representational Events
Domestic Representation: As a general rule, no domestic representation events should be held
during a lapse in appropriations period. Events already scheduled should be cancelled and no
new events planned until the shutdown is over. If you believe there are truly exceptional
circumstances that merit a representation event being held during the shutdown period, you
should contact the Office of the Under Secretary for Management for approval.
Representation Abroad: As a general rule, no representation events should be held abroad
during a lapse in appropriations. COMs may authorize the use of representational funds
on an exceptional basis when necessary for activities essential to national security, including the
conduct of foreign affairs essential to national security, but should consult with the Office of the
Under Secretary for Management. COMs should consider the perception of a representational
event during a Department shutdown. While the Department cannot pay invoices for
representational events during a shutdown, personnel should seek reimbursement once
appropriations have been restored. See Chapter 2, VI.
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v. Speech-Making and Media Engagement
Definition of Excepted Functions with regard to Public Affairs:
Under the Department’s guidance on operations during a lapse in appropriations, “excepted"
functions that may be continued during a lapse in appropriations include those necessary for
emergencies involving the safety of human life or the protection of property, and those necessary
for activities essential to national security, including the conduct of foreign affairs essential to
national security.
Examples of excepted functions would typically include participation in peace negotiations,
multilateral conferences where the absence of a U.S. delegation could lead to a setback on
critical issues, and activities necessary to support the Secretary of State’s travel or participation
in meetings. There may under limited circumstances also be certain functions that must continue
because they are “necessarily implied” from the authorized continuation of other activities. A
function should not be treated as excepted simply because a delay or failure to complete a
function will incur additional costs (e.g., through cancellation of travel that must take place
later).
Examples of excepted public messaging activities include press interviews by the Secretary on
foreign policy priorities; public communication during periods of strife; and outreach promoting
the U.S. position on a priority foreign policy issue for a time-sensitive outcome. Non-urgent
public messaging – including that without a national security imperative – should be deferred
during the lapse in appropriations.
Under Secretaries, Assistant Secretaries, and Chiefs of Mission have the authority to determine
which public messaging activities qualify as “excepted activities” for themselves or their staffs
and bureaus, under the relevant standards outlined above. For questions, guidance, or
clarification on whether an interview, speech, social/digital content or other public messaging
activity is considered “excepted,” please contact the Principal Deputy Assistant Secretary in the
Bureau of Global Public Affairs, cc: the GPA Special Assistants.
Public Messaging Guidance Under Chapter 1 During a Lapse in Appropriations:
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When operating under Chapter 1 of the guidance and/or in the time leading up to a lapse in
appropriations, Global Public Affairs activities will continue, keeping in mind the restrictions in
Section B of this guidance (see page 13). Drafting press guidance and responding to media
questions regarding both excepted and non-excepted functions may take place. Please keep in
mind that there may be instances in which Bureau of Global Public Affairs employees are
furloughed, while other bureaus may still be operational.
Public Messaging Guidance Under Chapter 2 During a Lapse in Appropriations:
Speeches: As a general rule, all non-excepted speeches should be cancelled and no invitations to
give non-excepted speeches should be accepted during the shutdown period. Approval for
excepted speeches should follow the normal approval process for public speeches as outlined in
3 FAM 4170. Even if a speech is excepted, ensure that you consider the optics of the speech and
its topic during the lapse in appropriations.
Media: The Bureau of Global Public Affairs may need to communicate with the media, via on-
camera or off-camera briefings and/or the release of statements via traditional or social media
means for excepted activities. All media interviews determined to be excepted should still
follow the standard interview approval process as outlined in 3 FAM 4170. Chiefs of Missions
may authorize engagement with local media at post, while any outreach to U.S. and international
media with U.S. circulation must be cleared by the Bureau of Global Public Affairs.
Social Media: During the lapse in appropriations, only social media content in support of
excepted activities may be posted by the Department and our missions overseas. Non-excepted
social media content and operations must cease, including removal of all pre-scheduled non-
emergency content.
During the lapse in appropriations, social media accounts may post this language and image as
needed:
• Due to the lapse in appropriations, this (identify whether Facebook, Twitter, Instagram,
etc.) account will not be updated regularly until full operations resume, with the
exception of urgent safety and security information.
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• At this time, scheduled passport and visas services in the United States and at U.S.
Embassies and Consulates overseas will continue during the lapse in appropriations as the
situation permits. We will not update this account until full operations resume, with the
exception of urgent safety and security information. For information on our services and
operating status, visit travel.state.gov.
vi. Communications within the Department
The Department will be minimally staffed if a shutdown occurs. Department managers and post
managers are asked to reduce message traffic to include only the most urgent need. Remote
access and mobile programs, to include fobs, secure laptop services, and centrally managed
mobile device support services will be minimally staffed. Additionally, due to reduced domestic
staff levels, all personnel should be cognizant that there are fewer personnel available to respond
to incoming messages. Personnel who are working should not expect responses from personnel
who are furloughed and should postpone routine business that requires their participation or
clearance until after they return to work. Furloughed personnel are instructed in the furlough
letter to report to work the following business day after an appropriation has been enacted.
vii. Building Access
If a Department office is located in a government building affected by a lapse in appropriations,
the facility may become unsupported. The continuance of operations in such instances will be
treated on a case-by-case basis by the Office of the Under Secretary for Management.
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Section C
Specific Guidance Based on Availability of Funds
Chapter 1: Accounts with Available Balances
Once there is a lapse in appropriations, Departmental entities will continue operating using
available balances in multi-year and no-year appropriations, trust funds, other permanent
appropriations, fees, and the Working Capital Fund (i.e., ICASS) until these funds are
insufficient to continue. During this time, operations will be restricted as noted in Section B
above and on the following pages. However, all personnel employed by these entities will
continue to work, carrying out their normal duties while keeping in mind the operating
restrictions in Section B (beginning on page 13). No overtime is authorized for employees in
Chapter 1, except in very limited circumstances and upon the written approval from the Under
Secretary for Management and after consultation with L/EMP, to the extent that it is determined
to be consistent with collective bargaining agreements, the Fair Labor Standards Act, and when
applied to LE staff, consistent with local law. Supervisors may seek volunteers from among
excepted employees to work in exchange for compensatory time only after consultation with
L/EMP.
Personnel encumbering positions in entities funded by multi-year and no-year appropriations will
not be furloughed and should not receive furlough letters. Availability of balances to continue
payroll is reviewed at the Department level, not at a post/bureau level.
If available balances in multi-year and no-year appropriations, trust funds, other permanent
appropriations, fees, and the Working Capital Fund become insufficient or are exhausted during
the lapse, then the shutdown plan detailed in Chapter 2 will become operative. BP and F will
coordinate with these entities to determine if and when they need to move to Chapter 2 status.
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Which entities operate under Chapter 1?
Consular operations domestically and abroad will remain operational as long as there are
sufficient fees to support operations. However, if a passport agency is located in a government
building affected by a lapse in appropriations, the facility may become unsupported. The
continuance of consular operations in such instances will be treated on a case-by-case basis by
the Office of the Under Secretary for Management.
Funding sources from which some entities will continue to draw funds, and therefore will begin
the lapse in appropriations in Chapter One, are listed at Attachment E. Entities that receive their
funding from other sources should communicate with BP to determine whether they will begin in
Chapter 1 or Chapter 2. Operating status and available funding will need to be monitored
continuously and closely, and appropriate planning must be continued. Please note that, due to
reduced funding or revised authorities, the availability of residual balances may be different than
what was in place for the previous lapse in appropriations.
Funding will be subject to apportionment and allotment requirements. Those balances may be
reprioritized and reallocated for use during a lapse in appropriations through the financial plan
process or the reprogramming process for foreign assistance funds. Such resources remain
subject to any spending plans or notifications previously submitted to Congress on their
functions as well as statutory requirements regarding the reprogramming or transfer of funds,
guidance from OMB, and any other relevant guidance.
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Additional Rules and Restrictions
Note: unless otherwise noted, any exceptions must be approved by the Office of the Under
Secretary for Management in writing:
Hiring and Promotions
• Prospective employees with a final offer letter and a firm start date may report to work if
service provider and onboarding staff are available to process personnel actions and
complete onboarding activities during a lapse;
• Civil Service career ladder promotions will be processed following normal procedures,
provided personnel are available to process the HR action;
• Promotions for current LE staff that resulted from a vacancy announcement and that were
scheduled to become effective after December 16, 2022 are subject to Human Resources
Officer determination after consideration of local law.
• LE staff in training or developmental level positions will receive their promotions
following normal procedures;
• Foreign Service administrative promotions (similar to GS career ladder) will be
processed following normal procedures, provided personnel are available to process the
HR action;
• All within-grade increases, including Merit-Based Compensation performance awards,
and promotions initiated before the lapse, will continue to be processed following normal
procedures, provided personnel are available to process the HR action;
• Lateral transfers within the Department initiated prior to the lapse are permitted, provided
personnel are available to process the HR action. Personnel should note that employees
who laterally transfer may be subject to furlough depending on the bureau’s funding
status (see Attachment E);
• No new job offers (EODs) may be established, but tentative offers can be made, provided
personnel are available to process the HR action. Personnel should note that employees
who laterally transfer may be subject to furlough depending on the funding bureau’s
status (see Attachment E).
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Training
• Some training at the Foreign Service Institute (FSI) may be cancelled. Please check
FSI’s website for information on specific courses. Training at other locations previously
scheduled, funded, and implemented by other Department entities operating under
Chapter 1 may continue as planned. However, new training should not be scheduled.
Time, Attendance and Leave
• All employees, including locally employed staff, may continue to take sick, annual, and
home leave;
• Time and attendance procedures will continue as normal;
Bureau-funded personnel
• Bureaus should prioritize residual balances to enable continuation of the following
personnel categories. Should bureau balances be insufficient, they should consult with BP
or F on funding availability, subject to applicable reprogramming requirements.
o LE staff
o EFMs/EPAPs
o Pathway Interns
• PITs, REAs and other non-scheduled employment categories are subject to the employing
bureaus availability of funds.
• Unpaid interns may work, as long as they have appropriate supervision.
Financial Management
• Petty cash reimbursements may be filed, but no money can be disbursed until
appropriations or a continuing resolution have been enacted unless against an available
multi-year or a no-year appropriation, trust funds, other permanent appropriations, or the
Working Capital Fund;
• New obligations of multi-year foreign assistance funds are allowed in coordination with
F. Entities making such obligations must consider whether the obligation is appropriate
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from a policy perspective in conjunction with any relevant stakeholders. Normal F
procedures remain in place for securing F approval of unreleased multi-year funds.
• For guidance on repatriation loans, see Chapter 2, Section VI, paragraph 12.
If Balances Become Insufficient
If and when residual balances in multi-year and no-year appropriations, trust funds, other
permanent appropriations, fees, or the Working Capital Fund become insufficient, then the
shutdown and furlough guidance detailed in Chapter 2 will become applicable to positions and
operations covered in Chapter 1.
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Chapter 2: Accounts without Available Balances
Chapter 2 applies to a scenario in which a single-year appropriation has lapsed or the respective
residual balances in multi-year and no-year appropriations, trust funds, other permanent
appropriations, or the Working Capital Fund are insufficient to continue. Only excepted
functions will be continued until appropriations are restored.
Entities without available balances will immediately commence procedures detailed in this
chapter on the first business day following notification that the Department is implementing
shutdown procedures. Posts that do not operate on the day of a shutdown will immediately
commence these procedures on the next business day in their host countries.
Chapter 2 contains a detailed plan on the following topics for operating during a lapse in
appropriations:
i. Orderly Shutdown of Non-Excepted Functions
ii. Personnel
iii. Training
iv. Contracts and Grants
v. Obligations and Disbursements
vi. Time and Attendance Reporting
vii. Reopening After a Lapse in Appropriations
i. Orderly Shutdown of Non-Excepted Functions
First workday following lapse: All non-excepted employees scheduled to work on the first
business day following a lapse in appropriations who have access to GO or a State Department-
issued mobile device must check with their supervisors to determine whether they must report to
work to complete orderly shutdown procedures. With their supervisors’ concurrence, they may
sign their furlough letters electronically and are not required to report to work if all other orderly
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shutdown activities are completed. Non-excepted employees who are unable to communicate
with their supervisors or do not receive an Employee Furlough Notification letter electronically
must report to their duty stations. They must sign their letters and complete the orderly
shutdown activities: those tasks necessary to safeguard property, records, and information and to
complete administrative actions. Orderly shutdown activities include measures to secure files,
notify parties of the cessation of normal business, and cancel non-essential meetings. We
anticipate that these activities will take approximately four hours for most employees. After
performing the functions necessary for an orderly suspension of non-excepted operations,
employees performing "non-excepted" functions will be furloughed.
While furloughed: Managers are reminded that the Government cannot accept voluntary
services – therefore, no employee may work if he or she is in a non-excepted status. These
employees should monitor the OPM operating status website and the news for information on an
additional continuing resolution and, unless told otherwise, should report back to work on their
next scheduled workday once another continuing resolution or an appropriation bill is enacted
(passed by the House and the Senate and signed by the President), unless told to do so earlier
(e.g., for rotation or other purposes).
Employees are advised that “work” includes reporting to work as well as using Department-
issued mobile devices, and teleworking. Non-excepted employees should only use Department-
provided mobile devices to check for new information about the furlough, and excepted
personnel should not communicate with non-excepted employees except to convey new
information about the furlough.
In the rare event that any employee who is working communicates about anything other than
work status with other employees, those may qualify as federal records and must be captured in a
State Department system. This can be accomplished by adding their State.gov account to the CC
line of an email or exporting the text messages and sending it to their State.gov email account.
Furlough letters: As noted in Section A, if a shutdown occurs, GTM will send out an email with
the appropriate furlough letter and unemployment compensation documents attached to all
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affected Department of State employees at their state.gov email addresses on the first business
day immediately following the lapse. Management Officers should also advise their bureaus’
executive offices by cable of the names of non-excepted employees on leave or travel in the
United States who are not expected back at post within two weeks of the furlough. Management
Officers should confirm with each of these employees as they return to post that they have
received notification. If any employees are visiting other posts, and contact names or email
addresses are available, please contact that post for assistance in delivering the notice and getting
an acknowledgement of receipt, citing this guidance in support of the request.
Employees assigned to training at FSI will be issued letters by FSI. Foreign Service employees
in training between assignments should be marked “non-excepted” and issued their furlough
letters by their losing posts. Employees who are on temporary training (e.g. they are not
assigned to FSI and are in a short-term course) will receive their letters from the executive office
of their home bureau. Other agencies at posts are responsible for providing furlough letters to
their personnel.
The text of the Notice of Furlough for Civil Service employees is located in Attachment A. The
text of the Notice of Furlough for Foreign Service employees is located in Attachment B.
ii. Personnel
An immediate hiring freeze will apply during a lapse in appropriations. Entry-on-board dates for
prospective employees with employment offers are suspended until the funding lapse is over.
No new job offers may be made.
U.S. Direct Hire Excepted Employees
Excepted employees generally are only permitted to work on those activities described in the
“definition of excepted functions” in Section A. There may be cases in which an employee is
required to perform this "excepted" support function intermittently throughout the course of the
day, and the intervals in between are too short to enable the employee to be furloughed and then
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recalled in time to perform the function. In such cases, the employee may remain at work, and
may perform non-"excepted" functions during these intervals. Subject to the availability of
appropriations, U.S. direct hire employees in excepted positions shall be paid for their work, at
the standard rate of pay, at the earliest date possible after the lapse in appropriations ends
(assuming we have missed a pay period), regardless of scheduled pay dates. Excepted employees
who are absent from work will be furloughed during the relevant period of absence.
U.S. Direct Hire Furloughed Employees
Subject to the availability of appropriations, U.S. direct hire employees furloughed as a result of
the lapse in appropriations, and who was not scheduled prior to the lapse in appropriations to be
in non-pay status, e.g., LWOP or suspension, will be paid at the standard rate of pay for the
period of the lapse in appropriations at the earliest date possible after the lapse in appropriations
ends (assuming we have missed a pay period), regardless of scheduled pay dates. Standard rate
of pay includes basic pay, overtime and other premium pay for regularly scheduled work, regular
premium payments, and allowances and differentials payable on a regular basis. REAs,
Expert/Consultants, and Seasonal Employees are not covered under this provision, as their status
allows them to be paid only when working. They would not, therefore, have been furloughed,
and are not entitled to be paid, as they do not have a standard rate of pay. Other part-time
employees with a standard rate of pay are entitled to pay for periods of furlough. Standard rate
of pay refers to the rate of pay the employee would have normally received had the lapse in
appropriations not occurred and the employee had performed work.
All non-excepted personnel support activities, such as unfunded security investigations, should
be suspended.
U.S. Direct Hire Leave and Other Paid Time Off Use and Charge
In general, Furloughed employees may not use paid leave (e.g., annual, sick, home, military
leave) may not be used during a lapse in appropriations and all previously scheduled paid time
off (e.g., compensatory time off earned in lieu of overtime pay, compensatory time off for travel,
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religious compensatory time off, credit hours under a flexible work schedule, or time off awards)
is cancelled. Furloughed employees will not be charged any form of paid leave or other type of
paid time off during a lapse in appropriations. Excepted employees who are required to perform
work shall be entitled to use leave under chapter 63 of title 5, or any other applicable law
governing the use of leave by the excepted employee, for which compensation shall be paid at
the earliest date possible after the lapse in appropriations ends, regardless of scheduled pay dates.
Advanced leave: An employee previously approved to be on advanced annual and/or advanced
sick leave during the lapse in appropriations will also have this leave cancelled. Since
employees would have been considered to be in a pay status during the advance leave period,
they will be considered in a pay status during the lapse period and covered by the relevant
retroactive pay provisions.
Leave accruals: Both furloughed and excepted employees will receive credit for any paid leave
they would have otherwise (but for the lapse in appropriations) accrued during the period of the
lapse once funding is provided.
LWOP: A furloughed employee is not entitled to retroactive pay for furlough periods if the
employee had been previously (before the lapse) scheduled to be in non-pay status during those
periods. This includes any period of regular leave without pay (LWOP) and LWOP under the
Family and Medical Leave Act (FMLA).
AWOL: Employees who were directed to perform excepted work during a lapse in
appropriations but failed to report to duty and who were subsequently placed in absent-without-
leave (AWOL) status for missed work hours are not entitled to receive retroactive pay for the
relevant AWOL period. To be clear, an excepted employee who does not report to work will not
automatically be charged AWOL. What this section is saying is that, if such an employee is
determined to be in an AWOL status, that employee will not receive retroactive pay for the
relevant AWOL period.
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Family Members and Locally Employed (LE) Staff at Post
Eligible Family Members employed at post follow the furlough procedures of other direct-hire
U.S. government employees unless paid on the local pay plan. Application of the furlough to
LE staff (including foreign nationals and locally resident U.S. citizens, whether on personal
services agreements (PSA) or direct-hire appointments) depends on local labor laws in each
country. In general, Department LE staff will be required either: a) to report to work as directed
by their supervisor (i.e., if “excepted,” or if treated as “excepted” because these LE staff legally
must be paid, provided that in no event may LE staff report to work if adequate supervision is
unavailable); b) to be on excused absence leave per 3 FAM 7451, if LE staff must be paid under
local labor law but may not actually work because, for example, adequate supervision is not
available; or c) to be placed on ordinary furlough status.
HROs at each post in conjunction with post management will make appropriate, post-specific
determinations consistent with local labor law. Before furloughing any LE staff, post must have
documentation that such furloughing is consistent with local law and, as necessary, must consult
with local counsel. The Management Officer should inform other U.S. government agencies at
post that, as in the past, the Department plans generally to treat those LE staff members as
excepted whom the Department believes must be paid under host state labor laws regardless of
attendance.
LE staff encumbering excepted positions shall be paid for their work, at the standard rate of pay,
at the earliest date possible after the lapse in appropriations (assuming we have missed a pay
period), regardless of scheduled pay dates. LE staff designated as excepted or in excepted
positions may use leave during the lapse.
LE staff furloughed as a result of the lapse in appropriations shall be paid, at the standard rate of
pay, for the period of the lapse in appropriations at the earliest date possible after the lapse in
appropriations (assuming we have missed a pay period), regardless of scheduled pay dates.
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Presidential Appointees
According to OPM, individuals appointed by the President, with or without Senate confirmation,
who otherwise are not subject to 5 U.S.C. 6301 and attendant regulations governing leave in the
Federal service, are not subject to furlough. The salary of such a Presidential appointee is an
obligation incurred by the year, without consideration of hours of duty required. Thus, the
Presidential appointee cannot be placed in a nonduty, nonpay status. If a Presidential appointee,
however, chooses to be in a nonpay status, the appointee may return part of his salary to the
employing agency, provided that the agency has authority to accept gifts, or to the Treasury.
Regardless of the Presidential appointee's choice, the appointee’s entire salary is recorded for tax
purposes. The following exceptions must be noted: former career Senior Executive Service
(SES) appointees who took appointments at level V of the Executive Schedule or higher and
elected to retain SES leave benefits under 5 U.S.C. 3392(c), are subject to furlough at the
discretion of the agency. Also, Presidential appointees to positions requiring Senate
confirmation, for example ambassadors, who choose to retain SFS/SES pay and benefits are
subject to furlough at the discretion of the responsible Assistant Secretary (e.g., when absent on
leave).
Note re: Presidential Appointees and GEMS: The GEMS Furlough module was not designed
to capture this category of employee (e.g., not subject to furlough) and no exact solution is
available in the system. As an expedient fix, GTM recommends marking positions for
Presidential Appointees as “Excepted” for the duration of any shutdown, regardless of whether
they are on leave or at work.
Part-Time Employees
Part-time employees should follow the same guidance as full-time employees.
REA Employees, Expert Consultants, and Seasonal Employees
Employees with a Reemployed Annuitant (REA) work schedule, including expert consultants,
and seasonal employees are called to duty at identified periods of the year in accordance with
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pre-established conditions. REA employees and expert consultants are non-full-time employees
without a regularly scheduled tour of duty. A seasonal employee is an employee hired into a
position for which the customary annual employment is six months or less. Whether either
group is called for work during the period in which furloughs are scheduled is discretionary with
agencies, but those personnel must be performing excepted functions.
Rotation of Personnel
The decision to rotate personnel to perform excepted functions may be made at bureau and post
discretion in unique and compelling circumstances. However, the following should be taken into
consideration when making a decision on rotations:
Managers should take into account the potential impact on unemployment compensation
eligibility for the employee, based on local jurisdictions’ unemployment insurance policies.
Decisions on rotations for specific positions should balance the Department's need for continuity
and equity to the employees.
Posts may determine on what basis rotations may take place (based on increments of at least one
week), but due consideration should be given to continuity and fairness.
Personnel rotated into and out of an excepted function must have the requisite qualifications to
perform the function.
All decisions to rotate employees must be documented by the bureau or post.
Rotation Employee Details
Detailees follow the furlough policies and procedures of their home agencies because they
remain officially employed by their home agencies. If you are detailed from the State
Department to another federal agency, the State Department will determine if and how you are
affected. For more information and for details involving non-Federal agencies, refer to OPM
guidance.
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Interns
Paid interns are treated the same as other employees. They must report to work if they perform
exempted duties or be furloughed if they perform non-exempted duties. Unpaid interns may
work regardless of excepted or non-excepted status, as long as they are working under the
supervision of an excepted employee.
iii. Training
In accordance with the shutdown plan, some training at the Foreign Service Institute (FSI) and
FSI field offices will be cancelled. Select excepted training will continue, related to national
security and mandatory training – both in-person and online – and will be posted on the FSI
website.
Domestically, the following mandatory courses will continue as scheduled since they pertain to
national security and/or the safety and security of personnel going to posts of heightened danger:
Foreign Service Orientation (OR101, PG101, PN106); Basic Consular Course (PC530); the
Ambassadorial Seminar (PT120 and PT14); Iraq Familiarization (FT610); for those deploying to
posts where it is mandatory, the Diplomatic Security Training Foreign Affairs Counter Threat
Course (CT650); and Green Team Training and In-Service Training for Mobile Security and the
High Threat Operations Course for Agents going to High Threat Environments. Crisis
Management Training at posts abroad may continue if posts are open, subject to the approval of
the Chief of Mission since this pertains to the safety and security of personnel.
Department of State employees (faculty and students) on detail to the National Defense
University, the War Colleges, and other funded academic institutions who are conducting or
participating in training at those institutions only conduct or participate in those trainings during
a lapse in appropriations if their activities at those trainings meet the Department’s definition of
‘excepted’ functions. If they do not, then during a lapse in appropriations, these employees must
be furloughed. The Under Secretary for Management will determine whether conducting or
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participating in specific trainings constitutes an excepted function, coordinating as appropriate
with the Department of Defense to align interagency operations.
All other class attendance funded or executed by Department entities in Chapter 2, domestically
and abroad, will be suspended. This applies to all training, except as noted above, whether
conducted by Department employees or contractors. Other security-related training may be
continued subject to the specific written approval of the Office of the Under Secretary for
Management. All distance learning delivery through FSiLearn will cease, but the mandatory
courses dashboard, hosted on FSI website, will remain available to prevent user accounts being
locked out.
Those domestic personnel in training whose positions are excepted should return to their
positions; those whose positions are not so designated will be furloughed. Personnel normally
working abroad who are in training in the United States will be furloughed. Personnel in
domestic travel status who are not performing excepted functions should make arrangements to
return or deploy to their duty site as soon as told to do so by their bureau senior leadership. For
FSI students funded from an account with available balances, students may conduct self-study
off FSI campus during the lapse. Personnel in domestic travel status who are performing
excepted functions may continue to do so. Similarly, employees enrolled in training conducted
by entities outside the Department should not attend class and should be treated as stated above.
See Section B, Travel, for questions regarding per diem funding for personnel in long-term
training.
Program Training for Non-U.S. Direct Hire Audiences
Training being undertaken by non-U.S. government direct-hire program partners or
implementers funded with multi-year foreign assistance and diplomatic engagement
appropriations may continue if funds are available.
iv. Contracts and Grants
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As the Government Accountability Office has long recognized, funding gaps due to lapses in
appropriations raise particularly thorny issues in the area of contractual commitments, where
generally applicable Anti-Deficiency Act requirements may be in apparent conflict with orderly
shutdown activities and with continuation of excepted functions. The following guidance is
directed toward providing a framework for consistent treatment of contractual commitments by
Department contracting activities and posts abroad that is consistent with the overall Department
shutdown plan and that will minimize ultimate costs and disruptions.
Adequate Funding Previously Obligated: Previously awarded contracts that continue in
performance during a lapse in appropriations and have adequate funding previously obligated
to permit continued performance during a shutdown period should generally be permitted to
continue unless the post/contracting activity cannot provide adequate oversight of contract
performance from an excepted Contracting Officer Representative (COR)/Grants Officer’s
Representative (GOR) during a shutdown period by excepted employees. If adequate monitoring
of contractor performance cannot be provided, suspension or reduction in performance of non-
excepted services should be considered if authorized by the terms of the contract or if the
contractor will negotiate such a suspension or reduction. Care should be taken not to incur
unnecessary costs or jeopardize the Government's future contractual rights by unilateral stop
work orders or directions to reduce the scope of work that are not authorized by the terms of the
contract or that will cause the contractor to incur costs that could subsequently be charged to the
government. If circumstances require further guidance, consult L/BA per paragraph G below.
Renewal or Modification Required: For domestic offices, previously awarded contracts and
leases that would, in the absence of funding, require renewal or modification during a lapse in
appropriations to obligate additional funds for continued performance may be authorized to
continue only if necessary to support excepted activities authorized for continuance under the
Department's shutdown plan or if genuinely needed to protect Government property or human
safety. The necessity for such renewals or modifications must be certified to the contracting
officer by the Deputy Chief of Mission at post, the PDAS (in the regional and functional
bureaus), or the Assistant Secretary (in the management bureaus) with a written statement of the
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basis for such necessity. Post Financial Management Officers and bureau Executive Directors
must certify that funds are available within the annual financial plan targets provided by BP and
F. Incurring unfunded obligations for such services during a funding gap does not violate the
Anti-Deficiency Act, but payment of such unfunded obligations must be deferred until
appropriations are provided by the Congress.
New Contractual Commitments: New contractual commitments during a lapse in
appropriations may be made only if necessary to support excepted activities authorized for
continuance under the Department's shutdown plan or if genuinely needed to protect
Government property or human safety. The necessity for such unfunded commitments must be
certified to the contracting officer by the Deputy Chief of Mission, the PDAS, or Assistant
Secretary (as previously described) with a written statement on the basis for such
necessity. Additionally, Financial Management Officers and Executive Directors must certify
that funds are available within the annual financial plan targets provided by BP and F (refer to
Section 6, Obligations and Disbursements for further details). Additionally, Financial
Management Officers and Executive Directors must certify that funds are available within the
annual financial plan targets provided by BP and F. Unfunded contractual commitments should
be kept to the minimum in cost and duration that will meet the essential need.
Grants or Federal Assistance Agreements: You should not enter into any new grants or
Federal Assistance agreements during the period of a lapse in appropriations. Previously
awarded grants or Federal Assistance agreements that continue in performance during a lapse in
appropriations, and have adequate funding previously obligated to permit continued performance
during a shutdown period, should generally be permitted to continue and the responsible entity
should continue to provide adequate oversight of award performance during a shutdown period.
If adequate monitoring of recipient performance cannot be provided, suspension or reduction in
performance services should be considered by the Grants Officer if authorized by the terms of
the award or if the recipient will negotiate such a suspension or reduction. Care should be taken
not to incur unnecessary costs or jeopardize the government's future rights by unilateral stop-
work orders or directions to reduce the scope of work that will cause the recipient to incur costs
that could subsequently be charged to the government. If a grant for foreign assistance activities
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is expected to require additional funds during a lapse in appropriations to avoid a disruption that
will cause significant adverse effects, please consult F as far in advance as possible to identify
potential options. If circumstances require further guidance, consult L/LFA per paragraph H
below.
Unfunded Leases: You should suspend unfunded non-real estate leases during the period of a
funding lapse, unless necessary to support excepted activities.
OBO funded: You may continue previously awarded construction and renovation projects for
which adequate funds were obligated unless adequate supervision cannot be provided, in which
case consider suspension of work if contractually permitted and practically feasible. Bureau of
Overseas Buildings Operations (OBO) funded leases and real estate purchases may continue
under regular rules and procedures.
Personal Services Contractors (PSC): If a PSC contract is funded, the PSC should not be
furloughed, as long as there are excepted or funded employees available to supervise the PSC’s
work. PSCs whose contracts are funded may perform their duties, including non-excepted
functions. Should a PSC contract exhaust their funding, bureaus should then determine whether
they are performing excepted functions that may be authorized to continue despite a lack of
funding.
Unobligated But Available Multi-Year Foreign Assistance Funding: To the extent multi-year
foreign assistance funds are available but have not been obligated by Bureaus and Posts
operating under Chapter 2, Bureaus and Posts should determine if the obligation of funds meets
the excepted criteria. Regular approval processes remain in effect through the Office of Foreign
Assistance (F). Should a bureau or Post anticipate a requirement for available multi-year foreign
assistance funding, Bureaus and Posts should contact F as soon as possible to ensure funds can
be approved expeditiously to minimize any programmatic impacts for excepted needs.
Contracting Questions: You should consult L/BA, preferably by e-mail, with contracting
questions arising in connection with guidance in this section.
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Federal Assistance Questions: You should contact L/LFA, preferably by email, with Federal
Assistance questions arising in connection with guidance in this section.
v. Obligations and Disbursements
Obligations
During any absence of FY 2023 appropriations, obligations against lapsed appropriations may
continue to be incurred for excepted activities and as outlined in Chapter 2.
During a lapse in appropriations, the Department has legal authority to incur obligations to
continue excepted activities. However, the incurred obligations should not be formally recorded
(posted) in our accounting systems as there are no appropriations against which to record the
obligations. Bureaus and posts must ensure that such obligations are not recorded in either
RFMS or GFMS or sent to CGFS to be recorded in official accounts. Please note that obligations
may be formally recorded for funding that falls under Chapter 1 guidance only.
Per OMB guidance, payments cannot be disbursed against lapsed appropriations for obligations
incurred after the lapse begins. Disbursements can be made for obligations incurred before the
lapse period.
All obligations and obligating documents issued during the lapse period must be approved by the
Deputy Chief of Mission, a Principal Deputy Assistant Secretary in the regional and functional
bureaus, or an Assistant Secretary in the Management bureaus, and have the following statement
affixed and signed by the DCM, Assistant Secretary, or PDAS, as applicable: "This obligation is
necessary to carry out excepted activities in the absence of an appropriation or to perform
activities for which funds are otherwise available."
Bureaus and posts should maintain detailed records of all obligations incurred that cannot be
recorded at this time. As soon as obligation authority is obtained, all obligations should be
recorded immediately.
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Disbursements
Bureaus and posts can certify and CGFS can make payments against valid obligations
established against prior year annual appropriations (including last Fiscal Year), and for current
Fiscal Year obligations established through the end of any applicable Continuing Resolution.
Employees may be excepted from furlough to make timely payments to contractors, grantees, or
other vendors in accordance with the contract or grant. Bureaus and posts also can certify and
authorize payments against valid obligations in no-year or multi-year appropriations, trust funds,
other permanent appropriations, or the Working Capital Fund for which funding remains
available. These payments should be routinely sent to CGFS for processing or entered by posts
into RFMS.
Bureaus and posts cannot certify and authorize payments against Department of State obligations
incurred after a lapse in appropriations against any current Fiscal Year lapsed single year
appropriations. Again, obligations can be incurred for excepted activities but cannot be posted
(formally recorded) in the Department's financial systems.
Specific Situations
The following are typical bureau/post obligation/payment categories and how they should be
handled:
1. LE Staff Pay/Allowances:Standard procedures to process LE staff payroll must
be followed. Under no circumstances should alternate means be used to pay LE staff
salaries, such as using petty cash. As per the above general guidance for obligations
after a lapse in appropriations, no obligations for payroll after that date should be
recorded on official accounts or in RFMS and GFMS, even for excepted activities. More
detailed guidance on submitting time and attendance during the period of the lapse will
be provided prior to the deadline for the next submission of time and attendance.
2. American Salaries, Benefits, and Allowances:
Page 43 of 70
While obligations may continue to be established for employees on US-based
salary schedules performing "excepted" and shutdown activities, payments for
salaries and allowances may only be made for services rendered prior to the lapse
in appropriations.
3. Travel:
Only travel in fulfillment of excepted activities can be initiated after a lapse of
appropriations. Per guidance above, even in cases of travel in this category,
obligations made after any lapse of appropriations should not be recorded on
official bureau or post accounts even though obligations have been
incurred. Blanket travel orders issued prior to the lapse in appropriations are not
valid during the lapse period, unless in the case of travel abroad, travel
commenced or any cost was incurred for that travel prior to the shutdown. No
travel advances can be issued unless the obligation for travel abroad was incurred
prior to the lapse in appropriations. Travel voucher reimbursements can be
processed only if against obligations incurred and recorded for prior years, or
for the current Fiscal Year (if obligated prior to the lapse in appropriations) multi-
year or no-year appropriations for which funds remain available. Travelers who
hold Citibank Travel Cards may charge advances against these cards for any
approved trips as travel card advance charges do not create advances to official
accounts. As part of GSA SmartPay, Travel Cards will continue to function
normally, and banks will continue to provide service. Cardholders, as usual,
should contact the bank customer service organization should they experience
problems with their cards. This does not apply to foreign assistance funded grant
or contract travel.
4. Utilities:
As with other categories of payments, utility payments for obligations established
prior to the lapse in appropriations can be processed and sent to CGFS for
payment or entered in RFMS. Obligations for utility costs after the lapse in
appropriations should not be recorded even though incurred, and utility payments
Page 44 of 70
for periods after that cannot be made from lapsed appropriations. Posts
confronted with any emergencies in this regard should contact the Department as
soon as possible (see paragraph 13 below).
5. OBO Allotment Activities:
Since OBO activities abroad (e.g., rents, maintenance and repair, fire/safety and
capital projects) are paid from the no-year OBO appropriation, these activities can
be obligated and paid if the post has sufficient funds in its OBO
allotment. Salaries for facility managers and OBO direct-hire project staff at post
are funded domestically from the no-year OBO appropriation; therefore, those
personnel will continue to report to work and perform their duties as long as
residual funding remains. Salaries for locally-hired OBO project staff are funded
from post-held OBO allotments and can therefore be obligated and paid as long as
post has sufficient funds in its allotment.
6. Representation:
Reimbursements for representational events held prior to the lapse in
appropriations may be certified and payments processed if funds are available
within bureau or post representation allotment. Representational events taking
place after the lapse of appropriations can only be reimbursed: 1) if they have
been certified by the COM as required for activities essential to national security,
including the conduct of foreign affairs essential to national security; and, 2) once
the obligation has been legally posted in the Department’s financial system after
the lapse in appropriations has ended.
7. Purchase Order Payments:
Generally, purchase order obligations and payments are to be governed by
Chapter 2, v. Obligations for purchase orders prior to the lapse in
appropriations that were recorded can have payments against these obligations
processed. Obligations incurred for purchase orders after the lapse in
appropriations, for excepted activities against lapsed current Fiscal
Page 45 of 70
Year appropriations cannot be recorded and payments against these obligations
cannot be made.
8. Petty Cash Payments:
Similar guidance applies to all categories of miscellaneous petty cash
payments. A voucher can be paid if the obligation supporting it was incurred
prior to the lapse in appropriations. For example, a petty cash reimbursement for
taxi fares incurred prior to the lapse in appropriations can be paid. No petty cash
reimbursement can be made for taxi fares or other purposes incurred after the
lapse in appropriations unless against an available multi-year or a no-year
appropriation, trust funds, other permanent appropriations, and the Working
Capital Fund. Please follow guidance in paragraph 11 for cash payments deemed
absolutely necessary.
9. Collections:
Embassy cashiers can continue to process all collections normally.
10. Certifying Officer Responsibility:
Post financial management and certifying officers have the responsibility to
ensure that only authorized obligations are recorded, and only payments against
authorized obligations are certified for payment and disbursement. Edits in our
financial systems abroad should ensure that payments are not processed unless a
valid obligation has been recorded. Posts should not de-obligate funds previously
obligated prior to the lapse in appropriations and re-obligate to new obligations
after the lapse in appropriations minus one.
11. Absolutely Necessary Payments:
To reiterate, and consistent with OMB guidance, we have authority to incur
obligations for excepted activities but cannot expend funds or make payments for
excepted activities after the lapse in appropriations. Because our accounting
system pays for incurred obligations, we cannot post (record) obligations due to
Page 46 of 70
the lapse of appropriations even though obligations have been incurred, nor can
we make payments against the incurred but not recorded obligations for current
Fiscal Year lapsed appropriations. If it is necessary to make payments in
emergency situations (e.g., to safeguard life and property), the bureau or embassy
should send a memo or cable, respectively, on a case-specific basis to request use
of funds that BP determines may be available for such purposes. Each request
should provide details of the date the funds are needed, the amount, the
justification, and any other relevant information. Requests of this type should be
limited to extreme cases.
12. Repatriation Loans:
Post authority to expend up to $2,000 per applicant without Department approval
is temporarily rescinded after a lapse in appropriations. If a post determines that a
repatriation loan is necessary during the period of a lapse in appropriations, the
post should cable CA/OCS and CA’s Comptroller to request funding as
mentioned in paragraph 11 above.
13. Emergency Medical Services
If the concurrence of MED is received, emergency medical travel and services
obligations can be incurred but not recorded. Accordingly, payments against such
obligations cannot be made. Please coordinate with MED and follow guidance in
paragraph 11 in emergency situations where payment is required immediately.
For medical services funding requests the post should cable MED and CGFS –
USOFFICE Global Financial Services (not the regional bureaus).
14. Other Agencies:
For other agencies for which the embassy makes disbursements or processes
payments only, Department of State officials must rely on other agency approvals
to ensure compliance with the above-described procedures and funds
availability. For other agencies for which the embassy provides accounting as
Page 47 of 70
well as payment services, the obligation and payment guidance in this cable
applies.
vi. Time and Attendance Reporting
During the lapse in appropriations, employees employed by entities in Chapter 2 status must be
either (1) performing excepted activities (or otherwise authorized to work), or (2) furloughed.
They therefore cannot be in a paid leave status (e.g., annual leave, sick leave, other paid leave or
compensatory time off) during that period. Normal hours worked during the furlough period by
excepted employees should be reported as regular duty hours.
If excepted employees have emergencies that preclude them from working during this period,
their time should be reported as a furloughed employee for that time period. In the case of
employees on approved leave without pay during the lapse of appropriations, these absences
must continue to be charged to leave without pay.
Reporting time for the first workday of a lapse and subsequent days with a lapse in
appropriations: A determination should be made on the amount of time each employee worked
on the first furlough day – defined as your first scheduled workday after the lapse in
appropriations. The remaining period of time in a furloughed employee's duty day would then be
considered furlough time. Specific directions for T&A coding will be provided directly to
timekeepers by CGFS. Once a lapse in appropriations is over, CGFS will provide additional time
and attendance guidance.
vii. Reopening After a Lapse in Appropriations
Once an appropriations action is signed into law, OMB will notify the Department that the lapse
in appropriations has ended and State can begin implementing the plan to orderly resume
activity.
Page 48 of 70
All entities should reopen at the opening of their business day on the first business day after an
appropriation has been enacted or same day if the core works hours can be supported. Overseas
posts may use judgment, taking into account time differences, when deciding to reopen.
Attachment A Page 49 of 70
Attachment A: Notice of Furlough for Civil Service
employees
[Ensure that an SF-8 is attached to this notice]
In the absence of either a current Fiscal Year appropriation or a continuing resolution for the
Department of State, no further financial obligations may be incurred by the Department, except
for those related to the orderly suspension of the Department's operations or performance of
excepted activities as defined in the Office of Management and Budget Memorandum for Heads
of Executive Departments and Agencies dated November 17, 1981 and subsequent
guidance. You are being placed in a furlough status effective as of the date of this letter because
your position is not engaged in one of the identified excepted functions as defined by the Office
of Management and Budget. We would hope that the furlough (i.e., non-pay, non-duty status)
will not exceed 30 days. You should monitor public broadcasts, and when you hear that a
continuing resolution or a current Fiscal Year appropriation for the Department has been
approved, you will be expected to return to work, either in person or remotely as applicable on
your next regular duty day. This action is being taken because of a sudden emergency requiring
curtailment of the Department's activities; therefore, no advance notification is possible. The
customary 30-day advance notice period and opportunity to answer are suspended under the
provisions of 5 CFR 752.404(d)(2). The 30-day advance notice otherwise required by 5 CFR
359.806(a) for Senior Executive Service (SES) career appointees (other than reemployed
annuitants) may be shortened or waived.
If other employees are being retained in your competitive level or competitive area, they are
required for orderly suspension of our operations or they are performing one of the excepted
activities defined in the OMB memorandum.
During the furlough period, you will be in a non-pay, non-duty status. Also, during the furlough,
you will not be permitted to serve as an unpaid volunteer, and therefore you must remain away
from your workplace unless and until recalled. In addition, a furloughed employee may not
work remotely by, for example, using a fob, mobile phone or other Department-issued mobile
Attachment A Page 50 of 70
device. You should turn off all Department-provided mobile devices. You may, however, be
permitted into the building for personal business at the credit union or to obtain forgotten items
from your office. Any paid leave (annual, sick, court, etc.) approved for use during the furlough
period is cancelled. Your position status may change during the furlough period, and you may be
recalled to work. If your position status changes, you will be notified by your office regarding
when you must report for duty.
Employees who have completed a probationary or trial period or 1 year of current continuous
employment in the competitive service under other than a temporary appointment may appeal
this action to the Merit Systems Protection Board (MSPB). Employees in the excepted service
who have veterans preference may appeal to MSPB if they have completed 1 year of current
continuous service in the same or similar positions as the one they now hold. Employees in the
excepted service who do not have veterans preference and who are not serving a probationary or
trial period under an initial appointment pending conversion to the competitive service may
appeal to MSPB if they have completed 2 years of current continuous service in the same or
similar positions in an Executive agency under other than a temporary appointment limited to 2
years or less.
Appeal Rights
If you are not sure which of the following appeal rights apply to you, please review your SF-50
and/or contact your Executive Director or Management Office.
I. If you are a probationary employee, the following
appeal rights apply:
1. Merit Systems Protection Board
You have limited rights to file an appeal of this action with the Merit Systems Protection Board
(MSPB). You may appeal this action only if you believe that it is (a) motivated by partisan
political reasons or marital status; or (b) based on a pre-appointment reason, whether the agency
failed to take required procedures. You must file your appeal within 30 calendar days after the
effective date of the action or receipt of this notice, whichever is later. If you do not file an
Attachment A Page 51 of 70
appeal within the 30-day period, it will be dismissed as untimely filed unless good reason for the
delay is shown. If you wish to file an appeal, you may obtain information about the appeals
process and a copy of the appeals form from the MSPB website. The MSPB requires an appeal to
be filed with the MSPB regional or field office serving the area where your duty station was
located when the action was taken. The MSPB also offers the option of electronic filing. If you
wish to file an appeal and you do not have access to the internet, contact your Executive Office
to obtain a copy of the MSPB regulations and appeal form and the address of the MSPB regional
office having jurisdiction. For employees in the Washington, D.C. area, appeals to the MSPB
should be addressed to:
Merit Systems Protection Board
Washington, DC Regional Office
1800 Diagonal Road, Suite 205
Alexandria, VA 22314-2840
For employees outside of the Washington, D.C. area, please contact your Executive Office for
information about the address of the appropriate MSPB field office. If you choose to appeal to
the MSPB, the MSPB should send the Acknowledgment Order and appeal to the following
Department point of contact:
Office of the Legal Adviser (L/EMP)
U.S. Department of State
2201 C Street, NW, Room 5425
Washington, D.C. 20520
Fax: 202-647-6794
Telephone No.: 202-647-4646
2. Office of Special Counsel
If you feel this action is being taken as a result of reprisal for making a protected whistleblowing
disclosure or for engaging in any of the protected activities outlined in 5 U.S.C. § 2302(b)(9),
you may raise the matter by0 either filing a MSPB appeal (if the action is otherwise appealable
Attachment A Page 52 of 70
to the MSPB, as outlined above) or by filing a complaint with the Office of Special Counsel
(OSC), followed by (for claims of whistleblower reprisal or claims relating to protected activities
under 5 U.S.C. § 2302(b)(9)(A)(i), (B), (C), or (D)) an Individual Right of Action (IRA) appeal
to the MSPB. If you elect to file a complaint with OSC prior to filing an appeal with the MSPB,
you will be deemed to have elected corrective action under subchapters II and III of 5 U.S.C.
Chapter 12, which can be followed by an IRA appeal to the MSPB; your IRA appeal in such a
case is solely limited to resolving the claim(s) of reprisal for whistleblowing or other protected
activity. For further information regarding your rights to seek corrective action, please refer to 5
U.S.C. § 1221 and 5 C.F.R. §§ 1209.2 & 1209.5.
3. Unlawful Discrimination
If you believe this action was motivated by unlawful discrimination based on race, color,
religion, sex, national origin, age, disability, or genetic information and the action is otherwise
appealable to the MSPB, as outlined above, you may raise such allegations either in a mixed case
appeal with the MSPB or in a mixed case complaint with the Department’s Office of Civil
Rights. You may not file both.
A mixed case appeal is filed with the MSPB and must be made within the timeframe explained
above. A mixed case EEO complaint is initiated by contacting an EEO counselor within 45 days
of the effective date of this action and filing a formal complaint of discrimination after EEO
counseling is completed. For further information on filing a mixed case appeal or a mixed case
EEO complaint, please refer to the MSPB’s regulations at 5 C.F.R. § 1201.151 et seq. and the
EEOC’s regulations at 29 C.F.R. § 1614.302.II.
II. If you are not a probationary employee and are not
covered by a Negotiated Grievance Procedure, the
following appeal rights apply:
1. Merit Systems Protection Board
You have a right to appeal this action to the Merit Systems Protection Board (MSPB) within 30
calendar days after the effective date of the action or receipt of this decision, whichever is later.
If you do not file an appeal within the 30-day period, it will be dismissed as untimely filed unless
Attachment A Page 53 of 70
good reason for the delay is shown. If you wish to file an appeal, you may obtain information
about the appeals process and a copy of the appeals form from the MSPB website. The MSPB
requires an appeal to be filed with the MSPB regional or field office serving the area where your
duty station was located when the action was taken. The MSPB also offers the option of
electronic filing. If you wish to file an appeal and you do not have access to the internet, contact
your Executive Office to obtain a copy of the MSPB regulations and appeal form and the address
of the MSPB regional office having jurisdiction. For employees in the Washington, D.C. area,
appeals to the MSPB should be addressed to:
Merit Systems Protection Board
Washington, DC Regional Office
1800 Diagonal Road, Suite 205
Alexandria, VA 22314-2840
For employees outside of the Washington, D.C. area please contact your Executive Office for
information about the address of the appropriate MSPB field office. If you choose to appeal to
the MSPB, the MSPB should send the Acknowledgment Order and appeal to the following
Department point of contact:
Office of the Legal Adviser (L/EMP)
U.S. Department of State
2201 C Street, NW, Room 5425
Washington, D.C. 20520
Fax: 202-647-6794
Telephone No.: 202-647-4646
2. Office of Special Counsel
If you feel this action is being taken as a result of reprisal for making a protected whistleblowing
disclosure or for engaging in any of the protected activities outlined in 5 U.S.C. § 2302(b)(9),
you may raise the matter by either filing a MSPB appeal as outlined above or by filing a
complaint with the Office of Special Counsel (OSC), followed by (for claims of whistleblower
Attachment A Page 54 of 70
reprisal or claims relating to protected activities under 5 U.S.C. § 2302(b)(9)(A)(i), (B), (C), or
(D)) an Individual Right of Action (IRA) appeal to the MSPB. If you elect to file a complaint
with OSC prior to filing an appeal with the MSPB, you will be deemed to have elected corrective
action under subchapters II and III of 5 U.S.C. Chapter 12, which can be followed by an IRA
appeal to the MSPB; your IRA appeal in such a case is solely limited to resolving the claim(s) of
reprisal for whistleblowing or other protected activity. For further information regarding your
rights to seek corrective action, please refer to 5 U.S.C. § 1221 and 5 C.F.R. §§ 1209.2 & 1209.5.
3. Unlawful Discrimination
If you believe this action was motivated by unlawful discrimination based on race, color,
religion, sex, national origin, age, disability, or genetic information, you may raise such
allegations either in a mixed case appeal with the MSPB or in a mixed case complaint with the
Department’s Office of Civil Rights. You may not file both.
A mixed case appeal is filed with the MSPB and must be made within the timeframe explained
above. A mixed case EEO complaint is initiated by contacting an EEO counselor within 45 days
of the effective date of this action and filing a formal complaint of discrimination after EEO
counseling is completed. For further information on filing a mixed case appeal or a mixed case
EEO complaint, please refer to the MSPB’s regulations at 5 C.F.R. § 1201.151 et seq. and the
EEOC’s regulations at 29 C.F.R. § 1614.302.
III. If you are not a probationary employee and are
covered by a Negotiated Grievance Procedure, the
following appeal rights apply:
1. Merit Systems Protection Board
You have a right to appeal this action to the Merit Systems Protection Board (MSPB) within 30
calendar days after the effective date of the action or receipt of this decision, whichever is later.
If you do not file an appeal within the 30-day period, it will be dismissed as untimely filed unless
good reason for the delay is shown. If you wish to file an appeal, you may obtain information
about the appeals process and a copy of the appeals form from the MSPB website. The MSPB
requires an appeal to be filed with the MSPB regional or field office serving the area where your
Attachment A Page 55 of 70
duty station was located when the action was taken. The MSPB also offers the option of
electronic filing. If you wish to file an appeal and you do not have access to the internet, contact
your Executive Office to obtain a copy of the MSPB regulations and appeal form and the address
of the MSPB regional office having jurisdiction. For employees in the Washington, D.C. area,
appeals to the MSPB should be addressed to:
Merit Systems Protection Board
Washington, DC Regional Office
1800 Diagonal Road, Suite 205
Alexandria, VA 22314-2840
For employees outside of the Washington, D.C. area, please contact your Executive Office for
information about the address of the appropriate MSPB field office. If you choose to appeal to
the MSPB, the MSPB should send the Acknowledgment Order and appeal to the following
Department point of contact:
Office of the Legal Adviser (L/EMP)
U.S. Department of State
2201 C Street, NW, Room 5425
Washington, D.C. 20520
Fax: 202-647-6794
Telephone No.: 202-647-4646
2. Office of Special Counsel
If you feel this action is being taken as a result of reprisal for making a protected whistleblowing
disclosure or for engaging in any of the protected activities outlined in 5 U.S.C. § 2302(b)(9),
you may raise the matter by either filing a MSPB appeal as outlined above or by filing a
complaint with the Office of Special Counsel (OSC), followed by (for claims of whistleblower
reprisal or claims relating to protected activities under 5 U.S.C. § 2302(b)(9)(A)(i), (B), (C), or
(D)) an Individual Right of Action (IRA) appeal to the MSPB. If you elect to file a complaint
with OSC prior to filing an appeal with the MSPB, you will be deemed to have elected corrective
Attachment A Page 56 of 70
action under subchapters II and III of 5 U.S.C. Chapter 12, which can be followed by an IRA
appeal to the MSPB; your IRA appeal in such a case is solely limited to resolving the claim(s) of
reprisal for whistleblowing or other protected activity. For further information regarding your
rights to seek corrective action, please refer to 5 U.S.C. § 1221 and 5 C.F.R. §§ 1209.2 & 1209.5.
3. Unlawful Discrimination
If you believe this action was motivated by unlawful discrimination based on race, color,
religion, sex, national origin, age, disability, or genetic information, you may raise such
allegations either in a mixed case appeal with the MSPB or in a mixed case complaint with the
Department’s Office of Civil Rights. You may not file both.
A mixed case appeal is filed with the MSPB and must be made within the timeframe explained
above. A mixed case EEO complaint is initiated by contacting an EEO counselor within 45 days
of the effective date of this action and filing a formal complaint of discrimination after EEO
counseling is completed. For further information on filing a mixed case appeal or a mixed case
EEO complaint, please refer to the MSPB’s regulations at 5 C.F.R. § 1201.151 et seq. and the
EEOC’s regulations at 29 C.F.R. § 1614.302.
4. Negotiated Grievance Procedure
A. For employees covered by NFFE:
Since you occupy a position in the bargaining unit for which the National Federation of
Government Employees (NFFE), Local 1998, holds exclusive recognition, you are also entitled
to grieve this decision under the provisions of Articles 20 and 24 of the Negotiated Labor-
Management Agreement between the Department of State and NFFE. If you decide to submit a
grievance, you must do so within 30 calendar days from the effective date of the action. The
name of the union president is Lee Wentz; he can be reached at (267) 921-0560. Your
grievance must be submitted to the Deputy Assistant Secretary for Passport Services (CA/PPT).
NOTE REGARDING ELECTION OF REMEDIES:
Pursuant to statute and the terms of the Negotiated Labor Management Agreement, you may
select only one of the following avenues for redress: (1) file an appeal to the MSPB; (2) file a
formal EEO complaint with OCR (3) file a complaint with OSC, which can be followed by an
Attachment A Page 57 of 70
IRA appeal filed with the MPSB; or (4) file a grievance under Articles 20 and 24 of the
Negotiated Labor-Management Agreement. An election is deemed to have been made based on
which of these four (4) actions you file first.
Please note that if you file a formal EEO complaint with OCR, you have not waived your right to
file a complaint with OSC, which can be followed by an IRA appeal filed with the MPSB.
The sole exception to this election of remedies is if you believe that this action was motivated, in
whole or in part, by unlawful discrimination based on race, color, religion, sex, national origin,
age, disability, marital status, or political affiliation and you choose to file a grievance under the
Negotiated Labor Management Agreement, you have the right to request review of a final
decision on the grievance by the MSPB or the EEOC. Your request for review by the MPSB
must be filed within 30 calendar days of the date you received the final decision (or within 35
calendar days of the date the final decision is issued, if you received it more than 5 days after the
date of issuance). A full description of your right to pursue a grievance and request Board
review of a final decision on the grievance is found at 5 U.S.C. § 7121 and § 7702.
B. For employees covered by AFGE
Since you occupy a position in the bargaining unit for which the American Federation of
Government Employees (AFGE), Local 1534, holds exclusive recognition, you are also entitled
to grieve this decision under the provisions of Articles 20 and 21 of the Negotiated Labor-
Management Agreement between the Department of State and AFGE. If you decide to submit a
grievance, you must do so within 30 calendar days from the effective date of the action.
NOTE REGARDING ELECTION OF REMEDIES:
Pursuant to statute and the terms of the Negotiated Labor Management Agreement, you may
select only one of the following avenues for redress: (1) file an appeal to the MSPB; (2) file a
complaint with OSC, which can be followed by an IRA appeal filed with the MPSB; or (3) file a
grievance under Articles 20 and 21 of the Negotiated Labor-Management Agreement. An
election is deemed to have been made based on which of these three (3) actions you file first.
Attachment A Page 58 of 70
IV. Career SES
Career SES appointees (except reemployed annuitants) who believe requirements of 5 CFR part
359, subpart H, or the agency’s procedures have not been correctly applied may also appeal to
MSPB as described under parts I or II above. Career SES appointees may inspect the regulations
and records pertinent to this action. Please contact your Executive Director or Management
Office to schedule a time and location for such inspection.
We recognize the difficult financial implications of any furlough, no matter how limited its
length. We will make every effort to keep you informed as additional information regarding the
agency funding level becomes available. If you have questions, contact your bureau Executive
Director or Management Officer.
Deciding Official Date
Attachment B Page 59 of 70
Attachment B: Sample Notice of Furlough for Foreign
Service employees
[Ensure that an SF-8 is attached to this notice]
In the absence of either a current Fiscal Year appropriation or a continuing resolution for the
Department of State, no further financial obligations may be incurred by the Department, except
for those related to the orderly suspension of the Department's operations or performance of
excepted activities as defined in the Office of Management and Budget Memorandum for Heads
of Executive Departments and Agencies dated November 17, 1981 and subsequent
guidance. You are being placed in a furlough status effective as of the date of this letter because
your position is not engaged in one of the identified excepted functions as defined by the Office
of Management and Budget. We would hope that the furlough (i.e., non-pay, non-duty status)
will not exceed 30 days. You should monitor public broadcasts and when you hear that a
continuing resolution or a current Fiscal Year appropriation for the Department has been
approved by Congress and signed by the President, you will be expected to return to work on
your next regular work day.
This action is being taken because of a sudden emergency requiring curtailment of the
Department's activities.
If other employees are being retained, they are required for orderly suspension of our operations
or they are performing one of the excepted activities defined in the OMB memorandum.
When you are on furlough, you will be in a non-pay, non-duty status. Also, during the furlough,
you will not be permitted to serve as an unpaid volunteer, and therefore you must remain away
from your workplace unless and until recalled. In addition, a furloughed employee may not
work remotely by, for example, using a fob, mobile phone, or other Department-issued mobile
device. You should turn off all Department-provided mobile devices. You may, however, be
permitted into the building for personal business at the credit union or to obtain forgotten items
Attachment B Page 60 of 70
from your office. Any paid leave (annual, sick, court, etc.) approved for use during the furlough
period is cancelled. Your position status may change during the furlough period, and you may be
recalled to work. If your position status changes, you will be notified by your office regarding
when you must report for duty.
If you wish to file a grievance regarding this action under the Foreign Service grievance system,
you may do so pursuant to the procedures set out in 3 FAM 4400. If you require information
concerning the Department’s grievance procedures, you may contact the Grievance Staff,
GTM/G, (202) 261-8110 or [email protected].
If you feel this action is being taken as a result of reprisal for making a protected whistleblowing
disclosure or for engaging in any of the protected activities outlined in 5 U.S.C. § 2302(b)(9),
you may file a complaint with the Office of Special Counsel (OSC), followed by (for claims of
whistleblower reprisal or claims relating to protected activities under 5 U.S.C. §
2302(b)(9)(A)(i), (B), (C), or (D)) an Individual Right of Action (IRA) appeal to the MSPB. For
further information regarding your rights to seek corrective action, please refer to 5 U.S.C. §
1221 and 5 C.F.R. §§ 1209.2 & 1209.5.
If you believe this action was motivated by unlawful discrimination based on race, color,
religion, sex, national origin, age, disability, or genetic information, you may raise such
allegations in a complaint with the Department’s Office of Civil Rights. An EEO complaint is
initiated by contacting an EEO counselor within 45 days of the effective date of this action and
filing a formal complaint of discrimination after EEO counseling is completed. For further
information on filing an EEO complaint, please refer to the EEOC’s regulations at 29 C.F.R. §
1614.105.
You may have additional appeal rights to the Merit Systems Protection Board (MSPB) in the
event that any furlough extends more than 30 days. 5 C.F.R. § 351.901.
We recognize the difficult financial implications of any furlough, no matter how limited its
length. We will make every effort to keep you informed as additional information regarding the
agency funding level becomes available. If you have questions, contact your bureau Executive
Director or Post Management Officer.
Deciding Official Date
Attachment C Page 61 of 70
Attachment C: Sample Notice of Furlough During
Intermittent Absences to Excepted Employee
[Ensure that an SF-8 is attached to this notice]
In the absence of either a Fiscal Year (FY) appropriation, or a continuing resolution for the
Department of State, no new financial obligations may be incurred by the Department for
functions funded through annual appropriations, except with respect to certain personnel who are
otherwise authorized to continue to work.
As you are aware, as an employee who has been excepted from furlough and continue to work
during the shutdown, you are required to work on those days you would normally be scheduled
to work. Because of the operation of the shutdown furlough rules, however, we must place you
in a furlough status for the following dates: [state applicable date(s)]. As an excepted employee,
you are expected to return to work on your next regularly scheduled workday following the lapse
in appropriations.
This action is being taken because of a sudden emergency requiring curtailment of the
Department’s activities; therefore, no advance notification is possible. The customary 30-day
advance notice period and opportunity to answer are suspended under the provisions of 5 CFR
752.404(d)(2). The 30 day-advance notice otherwise required by 5 CFR 359.806(a) for Senior
Executive Service (SES) career appointees (other than reemployed annuitants) may be shortened
or waived.
If employees are being retained in your competitive level or competitive area, they are required
for orderly suspension of our operations or they are performing one of the excepted activities
defined in the OMB memorandum.
During the furlough period, you will be in a non-duty, non-pay status. Also, during the furlough,
you will not be permitted to serve as an unpaid volunteer, and therefore you must remain away
from your workplace unless and until recalled. In addition, a furloughed employee may not
Attachment C Page 62 of 70
work remotely by, for example, using any Department-issued mobile device. You should turn
off all Department-provided mobile devices. You may, however, be permitted into the building
for personal business at the Credit Union or to obtain forgotten items from your office. Any paid
leave (annual, sick, court, etc.) approved for use during the furlough period is cancelled. Your
position status may change during the furlough period, and you may be recalled to work. If your
position status changes, you will be notified by your office regarding when you must report for
duty.
Employees who have completed a probationary or trial period or 1 year of current continuous
employment in the competitive service under other than a temporary appointment may appeal
this action to the Merit Systems Protection Board (MSPB). Employees in the excepted service
who have veterans preference may appeal to MSPB if they have completed 1 year of current
continuous service in the same or similar positions as the one they now hold. Employees in the
excepted service who do not have veterans preference and who are not serving a probationary or
trial period under an initial appointment pending conversion to the competitive service may
appeal to MSPB if they have completed 2 years of current continuous service in the same or
similar positions in an Executive agency under other than a temporary appointment limited to 2
years or less.
Career SES appointees (except reemployed annuitants) who believe requirements of 5 CFR part
359, subpart H, or the agency’s procedures have not been correctly applied may also appeal to
MSPB. Career SES appointees may inspect the regulations and records pertinent to this action.
Please contact your Executive Director or Management Office to schedule a time and location
for such inspection.
If you have the right of appeal to MSPB and wish to appeal this action to the MSPB, you must
file the appeal within 30 calendar days after the effective date of your furlough, or 30 days after
the date of your receipt of this decision notice whichever is later. If you wish to file an appeal,
you may obtain information about the appeals process and a copy of the appeals form from the
MSPB website. You may wish to check MSPB’s website for its operating status during this
time. MSPB requires an appeal to be filed with the MSPB regional or field office serving the
Attachment C Page 63 of 70
area where your duty station was located when the action was taken. Based upon your duty
station, the appropriate field office is [identify appropriate regional office]. MSPB also offers the
option of electronic filing. Employees have a right to representation in this matter and may be
represented by an attorney or other person of their choosing.
Bargaining unit employees may grieve this action in accordance with the applicable negotiated
agreement [provide citation to negotiated agreement] or may appeal to MSPB in accordance with
the procedures outlined above, but not both. To obtain information on filing a grievance under
the negotiated grievance procedure, contact [name of exclusive union representative].
If you feel this action is being taken as a result of reprisal for making a protected whistleblowing
disclosure or for engaging in any of the protected activities outlined in 5 U.S.C. § 2302(b)(9),
you may file a complaint with the Office of Special Counsel (OSC), followed by (for claims of
whistleblower reprisal or claims relating to protected activities under 5 U.S.C. §
2302(b)(9)(A)(i), (B), (C), or (D)) an Individual Right of Action (IRA) appeal to the MSPB. For
further information regarding your rights to seek corrective action, please refer to 5 U.S.C. §
1221 and 5 C.F.R. §§ 1209.2 & 1209.5.
If you believe this action was motivated by unlawful discrimination based on race, color,
religion, sex, national origin, age, disability, or genetic information, you may raise such
allegations in a complaint with the Department’s Office of Civil Rights. An EEO complaint is
initiated by contacting an EEO counselor within 45 days of the effective date of this action and
filing a formal complaint of discrimination after EEO counseling is completed. For further
information on filing an EEO complaint, please refer to the EEOC’s regulations at 29 C.F.R. §
1614.105
Attached is the SF-8, Notice to Federal Employee about Unemployment Insurance. Additional
information about unemployment insurance on the Service Locator website.
We recognize the difficult financial implications of any furlough, no matter how limited its
length. We will make every effort to keep you informed as additional information regarding the
agency funding level becomes available. If you have questions, contact your bureau Executive
Director or Post Management Officer.
Attachment C Page 64 of 70
Deciding Official Date
Attachment D Page 65 of 70
Attachment D: Sample Notice of Furlough During
Holiday to Excepted Employee Due to a Lapse of
Appropriations
[Ensure that an SF-8 is attached to this notice]
In the absence of either a Fiscal Year (FY) appropriation, or a continuing resolution for the
Department of State, no new financial obligations may be incurred by the Agency for functions
funded through annual appropriations, except with respect to certain personnel who are
otherwise authorized to continue to work.
As you are aware, as an employee who has been excepted from furlough and continue to work
during the shutdown, you are required to work on those days you would normally be scheduled
to work. The upcoming [state holiday] on [state date], is not a day you would normally be
scheduled to work, and we are not requiring you to work on that day. Because of the operation of
the shutdown furlough rules, we must place you in a furlough status for the [state holiday]
holiday. As an excepted employee, you are expected to return to work on your next regularly
scheduled workday following the [state holiday] holiday. For the vast majority of you, this
means you would return to work on [state date].
If you have a work schedule that does not include [state date], as a workday, you will follow the
normal holiday rules for an “in lieu of” holiday. All full-time employees, including those on
flexible or compressed work schedules, are entitled to an “in lieu of” holiday when a holiday
falls on a non-workday. For example, if you have a Monday through Friday alternative work
schedule (AWS), and [state holiday] is your regularly scheduled AWS day off, you will do as
you have generally done for previous holidays and take your “in lieu of” holiday the work day
immediately preceding Monday. For example, if the holiday is Monday, [insert date], your “in
lieu of” holiday would be Friday, [insert date]. You would be in furlough status on Friday instead
of Monday in this example. You would return to work on Tuesday, [insert date], because your
regular day off is on Monday, [insert date].
Attachment D Page 66 of 70
This can be a bit confusing, so if you do not fall in the category above of working a Monday
through Friday schedule and/or are unclear of when your “in-lieu of” holiday is to occur, please
consult with your supervisor. In the event your supervisor is unavailable, please call or email
your executive office.
This action is being taken because of a sudden emergency requiring curtailment of the agency’s
activities; therefore, no advance notification is possible. The customary 30-day advance notice
period and opportunity to answer are suspended under the provisions of 5 CFR 752.404(d)(2).
The 30 day-advance notice otherwise required by 5 CFR 359.806(a) for Senior Executive
Service (SES) career appointees (other than reemployed annuitants) may be shortened or waived.
If employees are being retained in your competitive level or competitive area, they are required
for orderly suspension of agency operations or they are performing one of the excepted activities
defined in the OMB memorandum.
During the furlough period, you will be in a non-duty, non-pay status. Also, during the furlough,
you will not be permitted to serve as an unpaid volunteer, and therefore you must remain away
from your workplace unless and until recalled. In addition, a furloughed employee may not
work remotely by, for example, using any Department-issued mobile device. You may,
however, be permitted into the building for personal business at the credit union or to obtain
forgotten items from your office. Any paid leave (annual, sick, court, etc.) approved for use
during the furlough period is cancelled.
Employees who have completed a probationary or trial period or 1 year of current continuous
employment in the competitive service under other than a temporary appointment may appeal
this action to the Merit Systems Protection Board (MSPB). Employees in the excepted service
who have veterans preference may appeal to MSPB if they have completed 1 year of current
continuous service in the same or similar positions as the one they now hold. Employees in the
excepted service who do not have veterans preference and who are not serving a probationary or
trial period under an initial appointment pending conversion to the competitive service may
Attachment D Page 67 of 70
appeal to MSPB if they have completed 2 years of current continuous service in the same or
similar positions in an Executive agency under other than a temporary appointment limited to 2
years or less.
Career SES appointees (except reemployed annuitants) who believe requirements of 5 CFR part
359, subpart H, or the agency’s procedures have not been correctly applied may also appeal to
MSPB. Career SES appointees may inspect the regulations and records pertinent to this action at
the following location: [identify location and times, as appropriate].
If you have the right of appeal to MSPB and wish to appeal this action to the MSPB, you must
file the appeal within 30 calendar days after the effective date of your furlough, or 30 days after
the date of your receipt of this decision notice whichever is later. If you wish to file an appeal,
you may obtain information about the appeals process and a copy of the appeals form from the
MSPB website. MSPB requires an appeal to be filed with the MSPB regional or field office
serving the area where your duty station was located when the action was taken. Based upon
your duty station, the appropriate field office is [identify appropriate regional office]. MSPB also
offers the option of electronic filing. You may wish to check MSPB’s website for its operating
status during this time. Employees have a right to representation in this matter and may be
represented by an attorney or other person of their choosing.
Bargaining unit employees may grieve this action in accordance with the applicable negotiated
agreement [provide citation to negotiated agreement] or may appeal to MSPB in accordance with
the procedures outlined above, but not both. To obtain information on filing a grievance under
the negotiated grievance procedure, contact [name of exclusive union representative].
If you feel this action is being taken as a result of reprisal for making a protected whistleblowing
disclosure or for engaging in any of the protected activities outlined in 5 U.S.C. § 2302(b)(9),
you may file a complaint with the Office of Special Counsel (OSC), followed by (for claims of
whistleblower reprisal or claims relating to protected activities under 5 U.S.C. §
2302(b)(9)(A)(i), (B), (C), or (D)) an Individual Right of Action (IRA) appeal to the MSPB. For
further information regarding your rights to seek corrective action, please refer to 5 U.S.C. §
1221 and 5 C.F.R. §§ 1209.2 & 1209.5.
Attachment D Page 68 of 70
If you believe this action was motivated by unlawful discrimination based on race, color,
religion, sex, national origin, age, disability, or genetic information, you may raise such
allegations in a complaint with the Department’s Office of Civil Rights. An EEO complaint is
initiated by contacting an EEO counselor within 45 days of the effective date of this action and
filing a formal complaint of discrimination after EEO counseling is completed. For further
information on filing an EEO complaint, please refer to the EEOC’s regulations at 29 C.F.R. §
1614.105
Attached is the SF-8, Notice to Federal Employee about Unemployment Insurance. Additional
information about unemployment insurance is available at on the Service Locator website.
We recognize the difficult financial implications of any furlough, no matter how limited its
length. We will make every effort to keep you informed as additional information regarding the
agency funding level becomes available. If you have questions, contact your bureau Executive
Director or Post Management Officer.
Deciding Official Date
Attachment E Page 69 of 70
Attachment E: Status of Accounts as of
December 16, 2022
(This page will be updated frequently as residual balances are assessed ahead of and following a
lapse in appropriations.)
o Subject to lapse in appropriation:
o American Sections
o International Fisheries Commissions(IFC)
1
o Representation Expenses
o May not be subject to lapse in appropriation at this time:
o Diplomatic Programs
o Worldwide Security Protection (Covers all DS and 90+ security positions in other
bureaus)
o Consular and Border Security Program (Covers all of CA and other consular
support personnel)
o International Cooperative Administrative Support Services (ICASS)
o Working Capital Fund
o Embassy, Security, Construction, and Maintenance (Covers all of OBO)
o Educational and Cultural Exchange Programs
o Defense Trade Control Fees
o Payment to the American Institute in Taiwan (AIT)
2
o National Endowment for Democracy (NED)
3
o The Asia Foundation(TAF)
4
o East West Center(EWC)
5
1
Non-governmental funding will sustain IFC operations during a lapse period.
2
Grant funding previously provided will sustain AIT operations during a lapse period.
3
Grant funding previously provided will sustain NED operations during a lapse period.
4
Grant funding previously provided will sustain TAF operations during a lapse period.
5
Grant funding previously provided will sustain EWC operations during a lapse period.
Attachment D Page 70 of 70
o International Boundary and Water Commission Construction
o International Boundary and Water Commission Salary and Expenses
o Office of the Inspector General
o Global Health Programs
o International Narcotics and Law Enforcement (INCLE)
o Emergency Refugee and Migration Assistance (ERMA)
o Migration and Refugee Assistance (MRA)
o Nonproliferation, Anti-terrorism, Demining and Related Programs
o Democracy Fund
