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FAAEmergency Shutdown Furlough Guidance

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TABLE OF CONTENTS

OVERVIEW 3 - 6

APPENDIX A WHAT TO DO BEFORE OCT 1 7

APPENDIX B TEMPORARY RECALL TO WORK CHECKLIST 8

APPENDIX C TEMPORARY RECALL TO WORK PROCEDURES 9

APPENDIX D TEMPORARY FURLOUGH RECALL FORM 10

APPENDIX E TEMPORARY FURLOUGH TRACKING LOG 11

APPENDIX F NON-EXCEPTED EMPLOYEES SCRIPT 12 - 13

APPENDIX G INSTRUCTIONS FOR INDIVIDUAL DELIVERY OF NOTICES 14

APPENDIX H FURLOUGH EMPLOYEE NOTIFICATION PROCESS 15

APPENDIX I TRACKING LOG FOR INDIVIDUAL DELIVERY OF NOTICES 16

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OVERVIEW

This guidance was designed for managers to address challenges you may encounter regarding the sequestration and a “shutdown” (emergency) furlough. A “shutdown” furlough occurs when there is a lapse in annual appropriations. In a shutdown furlough, the FAA is required to shut down any activities funded by annual appropriations that are not excepted by law.

Our effectiveness as leaders will be defined by how we guide our employees through this process while still focusing on the agency’s core mission. As you may know, the grapevine is active. Rumors, false assumptions, and perhaps even fear can easily spread. By listening to what employees are saying, you can play an active role in disseminating accurate information, ensuring that your staff receives timely updates on the logistics surrounding a shutdown furlough.

For additional information regarding other issues not specifically addressed in this guidance, please go to the shutdown furlough frequently asked questions (FAQs) on the FAA website: https://employees.faa.gov/go/furlough

Information for the Manager in a Shutdown Furlough A shutdown (emergency) furlough is the placing of an employee in a temporary non-duty, non-pay status because of lack of work or funds, or other non-disciplinary reasons. In the event that funds are not available through an appropriations law or continuing resolution, a “shutdown” furlough occurs.

Employees Furloughed (Non-Excepted vs. Excepted)

The LOB/SO heads, in consultation with the Office of Chief Counsel (AGC) where needed, determines which employees are designated to be handling “excepted” and “non-excepted” activities/functions. Positions that are funded through annual appropriations but are not designated as excepted are considered non-excepted positions. Those employees who are in non-excepted positions are barred from working during a shutdown.

In the context of shutdown furloughs, the term “excepted” is used to refer to employees who are funded through annual appropriations but nonetheless are excepted from the furlough because they are performing work that, by law, may continue to be performed during a lapse in appropriations. The term “excepted employees” refers to employees who are excepted from a furlough by law because they: (1) perform emergency work involving the safety of human life or the protection of property, (2) are involved in the orderly suspension of agency operations, or (3) perform other functions exempted from the furlough.

In addition, certain FAA employees may not be impacted by the lapse in appropriations because they are not funded by annual appropriations. These are generally designated as employees funded by AIP (Airport Improvement Plan), RE&D (Research, Engineering, and Development), Aviation Insurance, or the Franchise Fund. Working During a Furlough

Your first priority is to ensure that you have enough staff to complete your office’s excepted work prior to, and after, a potential or actual “shutdown” (emergency) furlough. Only excepted activities are performed during the shutdown.

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An agency may not accept the voluntary services of an employee. Employees who are neither excepted nor exempt and are scheduled for training during a shutdown furlough must be placed in a furlough status and ordered not to attend the scheduled training. Other training should be cleared by the Office of Finance and Management (AFN) and the Office of the Chief Counsel (AGC) to ensure the expenditure of the employee’s time and the cost of the course is supported by law.

While on furlough, an individual remains an employee of the Federal government. Therefore, standards of ethical conduct and rules regarding outside employment continue to apply when an individual is furloughed. In addition, there are specific statutes which prohibit certain outside activities, and agency-specific supplemental rules that require prior approval of, and sometimes prohibit, outside employment.

Therefore, before engaging in outside employment, employees should review these regulations and then consult their agency ethics official to learn if there are any agency-specific supplemental rules governing the employee.

Pay

Agencies will incur obligations to pay for services performed by excepted employees during a lapse in appropriations, and those employees will be paid when Congress passes and the President signs a new appropriation or continuing resolution. Congress will determine whether furloughed employees receive retroactive pay for the furlough period.

Under Office of Management and Budget (OMB) guidance, employees will receive a paycheck for hours worked prior to a lapse in appropriations. Although payroll for the last pay period before the lapse will be processed potentially during a period of furlough, the minimum number of payroll staff necessary for this process will be excepted from furlough for the minimum time required to issue the paychecks, including paychecks for the last pay period before the lapse.

Excepted employees who meet the conditions for overtime pay, Sunday premium pay, night pay, availability pay, and other premium payments will be entitled to payment in accordance with applicable rules, subject to any relevant payment limitations and collective bargaining agreements and policies. Premium pay may be earned but cannot be paid until Congress passes and the President signs a new appropriation or continuing resolution.

Leave and Other Time Off

All paid time off during a shutdown furlough period must be canceled because the requirement to furlough supersedes leave and other paid time off rights. The Antideficiency Act (31 U.S.C. Section 1341 et seq.) does not allow authorization of any expenditure or obligation before an appropriation is made, unless authorized by law. Paid time off creates a debt to the Government that is not authorized by the Act. Therefore, during a shutdown furlough, all paid time off must be canceled.

When an excepted employee is not working or not performing excepted activities in compliance with the Antideficiency Act, he or she cannot be in a pay status. Excepted employees must be either performing excepted activities or furloughed during any absence from work.

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Benefits The employee’s health benefits (FEHB) coverage will continue even if an agency does not make the premium payments on time. Unlike other types of non-pay status, employees in a non-pay status due to a lapse of appropriations (shutdown furlough) will not have the opportunity to terminate or cancel FEHB coverage. Since the employee will be in a non-pay status, he or she will remain covered; the enrollee share of the FEHB premium will accumulate and be withheld from pay upon the employee’s return to pay status.

Life insurance (FEGLI) coverage continues for 12 consecutive months in a non-pay status without cost to the employee or the agency. Neither the employee nor the agency incurs a debt during this period of non-pay status.

Employee Assistance Program (EAP)

The sequestration and resulting furlough may be extremely hard on some employees, producing high levels of stress and anxiety. EAP services can be helpful in providing confidential counseling and coaching with experienced, licensed counselors, including legal and financial consultation. Employees are advised to contact their EAP office to determine whether services will be available in the event of a lapse in appropriations. A list of the EAP point of contacts and telephone numbers by region, as well as additional information can be found on the EAP website.

Employees on Military Duty As with other types of paid leave, paid military leave must be canceled for days covered by the furlough.

Reservist differential payments are intended to make up the difference between the employee’s customary civil service compensation and his or her military pay, and are made from the funds of the employing agency appropriated for payment of employees’ salaries. Since funds are not available for employees’ salaries during a furlough, no funds may be obligated towards any type of payment for reservist differential. However, if subsequent legislation is passed reimbursing employees their civilian pay for the furlough period, it will be necessary for the agency to calculate any reservist differential payments that may be owed. Shutdown Furlough Decision Notice

The advance written notice and opportunity to answer are not necessary for an emergency or Government shutdown due to a lapse in appropriations or authorization. While an employee must ultimately receive a written notice of decision to furlough, it is not required that such written notice be given prior to effecting the shutdown furlough. When prior written notice is not given, then any reasonable notice given via the telephone or verbally in person is permissible. Employees will receive a written notice documenting the decision to furlough as soon as practicable after the furlough ends.

Recall from Shutdown Furlough

Furloughed employees will be recalled to duty when an agency appropriation is enacted. Announcements will be made via email, employee website and the 1-800 Call number. Managers should also contact their employees in furlough status with an announcement of the date and time that furloughed employees should report back to work.

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Furloughed employee(s) may be recalled temporarily back to duty due to an emergency situation and/or to perform certain excepted activities. In such case, management will recall an employee to work status on the furlough day to perform the essential work. Managers must follow the furlough recall procedures in Appendix C for the employee’s temporary furlough recall to duty status. Guiding Your Staff through the Shutdown Furlough

Some employees may have great difficulty accepting a furlough and be disruptive to others. If a disruption occurs more than once, you need to have a difficult conversation with the individual. During face-to-face meetings with employees, you will probably discuss the furlough and issues surrounding it. Since each employee will experience this situation differently, you now have the opportunity to understand every person’s perspective.

The most important strategy is to exercise discipline. Listen to each employee’s concerns and let them do most of the talking, despite your own need to offer words of comfort. There is nothing you can say to improve the individual’s situation. If an employee is angry, understand their anger. If sad, understand their sadness. Validating or recognizing an employee’s feelings is an effective way to deal with this situation.

As a leader, you set the tone for your organization and staff. You set the stage for how employees will respond to the sequestration or furlough today and in the near future.

You have your own feelings about sequestration, furlough, and the way it is being handled and that is normal since you too are affected by this situation. However, it is not appropriate to express any negative feelings to staff. If you can frame an activity, event, or information in a positive light without creating false expectations, do so and share it with staff.

Make sure you are delivering accurate and updated information when addressing employee questions. Also feel free to express your own concerns to staff, but remember it is not appropriate at any time to be unsupportive of the process or the agency.

Helping employees understand the organization’s priorities is important. Contact your servicing Human Resources Office for additional guidance or advice, if needed.

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APPENDIX A

Manager  Instruc-ons:

Please  take  the  following  ac1ons  in  the  days  before  a  “Shutdown”  Furlough  to  efficiently  cease  opera1ons  and  discon1nue  work  in  an  orderly  manner:

1. No1fy  employees  of  excepted  vs.  non-­‐excepted  status:    Have  direct  conversa1ons  whenever  possible.  Use  the  script/template  (Appendix  F)  for  guidance  when  speaking  with  “non-­‐excepted”  employees  about  their  status.  When  no1fying  “excepted”  employees  of  their  status,  request  that  they  report  to  work  at  their  regularly  scheduled  work  hours,  if  applicable.

2. Log  in  to  GovTrip  and  verify  that  none  of  your  non-­‐excepted  employees  are  on  travel  status  during/aRer  the  “Shutdown”  Furlough  date  (Oct.  1).

3. Log  in  to  CASTLE  and  verify  that  none  of  your  non-­‐excepted  employees  have  pre-­‐populated  a  1mecard  or  LDR  with  paid  status,  which  includes  leave,  comp  1me  or  training  during/aRer  the  “Shutdown”  Furlough  date  (Oct.  1).  

4. Tell  employees  to  check  the  FAA  employee  web  site  @  h[ps://employees.faa.gov/go/furlough  for  status  updates  about  the  shutdown.  Employees  will  need  a  Webmail  ID  and  Password  to  access  the  FAA  employee  webpage  from  a  non-­‐FAA  networked  worksta1on.  Employees  can  obtain  a  Webmail  ID  and  Password  via  h[ps://ecenter.faa.gov/  or  contac1ng  the  Na1onal  Help  Desk  at  1-­‐866-­‐954-­‐4002.

5. For  guidance  on  part-­‐1me  federal  employees,  including  students  and  contractors,  visit:  h[ps://employees.faa.gov/go/furlough

“SHUTDOWN”  FURLOUGH  What  to  do  before  Oct.  1

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APPENDIX BAppendix B

“SHUTDOWN” FURLOUGH Temporary Recall to Work Checklist

Manager Instructions: Furloughed employee(s) may be recalled temporarily back to duty due to an emergency situation. In such case, management will recall an employee to work status on the furlough day to perform the essential work. Managers must follow the procedures below for the employee’s temporary furlough recall to duty status:

REQUIRED RECALL ACTION DATE COMPLETED

1. Complete the “Temporary Furlough Recall Form” (see Appendix D), to include: a. justification on the essential, critical, emergency work which must be

performed, b. impact if employee is not recalled, and c. barriers to deferring work and/or redistributing to other staff on the

specified day.

2. Manager must approve the temporary recall of the employee from the furlough day/hours.

3. Head of the Lines of Business or Staff Office (LOB/SO) or designee must approve the temporary recall of the employee from the furlough day/hours.

4. Notify the employee of the requirement to report to work, and change the designated furlough day/hours.

5. Inform the employee that upon completion of the emergency work, he/she will return to furlough status.

6. Ensure that the furlough and work time are properly entered/coded in the Time and Attendance system.

7. Complete the “Temporary Furlough Recall Log” (see Appendix E). 8. Provide copy of the “Temporary Furlough Recall Form and Temporary

Furlough Recall Log” to the Head of the LOB/SO.

9. Provide copy of the “Temporary Furlough Recall Form and Temporary Furlough Recall Log” to the AHR Service Area Manager.

Manager com

pletes the FAA Em

ergency Furlough Recall

Form and sum

bits it to head of LO

B/SO

Head of LOB/SO

signs recall form

and submits

with tracking log to FAA

Furlough Recall Team

Imm

ediately after its m

eeting the Recall Team

will notify the

LOB/SO

of its advice

StartM

anager determines that an

employee should be recalled

to conduct “Excepted” work

The FAA Furlough Recall Team

will m

eet each day of the

Emergency Furlough at

8:30 a.m. and 1:30 p.m

.

The Recall Team w

ill review

each recall request .

Manager notifies

employee of need to report to w

ork

Manager inform

s em

ployee that upon com

pletion of work

they will return to

furlough status

Manager ensures that furlough and w

ork time are properly

entered/coded in the Time and

Attendance system

End

Recall Team w

ill provide copies of tracking logs to

be transmitted to DO

T daily

Director of Policy and Com

pliance will

transmit tracking

logs to DOT daily

FAA Emergency Furlough Recall Process

Revised: October 2, 2013

FAA Emergency Furlough Recall Form Furloughed employee(s) may be recalled temporarily back to duty due to an emergency situation. Use this form, if management must recall an employee to work status on the furlough day to perform the essential work.

Instructions: Excepted Codes for Recall: 1) Manager completes form and approves the recall of

employee; 2) Manager and the Head of the Lines of Business or Staff

Office (LOB/SO) or designee must approve the temporary recall of the employee from the furlough day/hours;

3) LOB/SO submits a signed copy of this form and its LOB/SO recall log to FAA Furlough Recall Team. (The Recall Team will meet at 8:30 and 1:30 each day of the emergency furlough.) Deliver forms and logs to 10A, room 500 East;

4) The Recall Team will notify LOB/SO of its decisions immediately following its meetings;

5) Manager must notify the employee of the requirement to report to work, and change the designated furlough day/hours;

6) Manager must inform the employee that upon completion of the emergency work, he/she will return to furlough status; and

7) Manager must ensure that the furlough and work time are properly entered/coded in the Time and Attendance system.

2 = Excepted because employee's services are required to provide for national security, including the conduct of foreign relations essential to the national security or for the safety of life and property. 3 = Excepted because employee's services are required to provide benefits payments and the performance of contract obligations under no-year or multi-year or other funds remaining available for those purposes 4 = Excepted because employee's services are required to protect life and property, including, but not limited to: the continuance of air traffic control and other transportation safety functions and the protection of transport property; protection of property owned by the United States; aircraft accident investigations; or emergency and disaster assistance. 5 = Excepted because employee's services are required for orderly shutdown of agency activities. 6 = Excepted because employee's services are essential to support continuing the services of the other excepted agency activities. Other = Excepted because employee’s position is not funded using affected appropriated funds. (Please explain funding source below.)

LOB/SO: LOB/SO Contact Name & Phone #:

Employee Information

Employee Name:

Position Number: Position Title, Series, Band/Grade Level:

Office/Organization: Duty Location:

Temporary Furlough Recall Justification

If employee is expected to return to furlough status,

when do you expect that to occur?

Day: Time:

Revised: October 2, 2013

Head of Line of Business/Staff Office or Designee

Signature: Date:

FAA Furlough Recall Team Use Only

HR Representative Signature

Signature: Date:

AFN Representative Signature

Signature: Date:

AGC Representative Signature

Signature: Date:

Please identify the essential, critical, emergency work that must be performed. (Please include the appropriate excepted code for

recall) Is this/these the only employee(s) qualified to perform the identified excepted duties?

Impact if employee is not recalled and barriers to deferring work and/or redistributing to other staff on the specified day:

Approving Official: Manager’s Signature (required):

Date:

EMERG

ENCY FU

RLOU

GH RECALL TRACKIN

G LO

G

Revised: October 2, 2013

LO

B/SO:

Manager:

Furlough Recall Tracking Log – FY 2014

EXCEPTED CO

DE EM

PLOYEE/PO

SITION

INFO

RMATIO

N

FAA DOCU

MEN

TATION

OF EM

PLOYEE

FURLO

UGH RECALL

FAA FURLO

UG

H RECALL TEAM REVIEW

N

OTES/ CO

MM

ENTS

Em

ployee Nam

e Position, Title, Series, Band

Level

Duty Location

Manager Approval

Date

Head LOB/SO

Approval

Date

DATE Em

ployee Recalled from

Furlough Date/Tim

e

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APPENDIX FAppendix  F    

“SHUTDOWN”  FURLOUGH    

Script  for  Managers  to  Inform  Non-­‐Excepted  Employees     NOTE:  This  script  is  not  intended  to  be  read  verbatim  or  used  as  a  speech.  Please  review  the  following  guidance  and  provide  the  information  in  your  own  voice.  If  possible,  give  your  local  union  representatives  advance  notice  that  you  will  be  holding  a  meeting  with  your  team.    The  purpose  of  this  meeting  is  to  inform  you  of  an  impending  emergency  furlough.      Many  of  you  have  seen  the  communications  from  the  Administrator  or  the  Secretary  about  the  pending  lapse  of  appropriations  for  FY14.    If  Congress  has  not  passed  a  continuing  resolution  or  other  funding  measure,  the  Agency  would  not  be  able  to  pay  for  ongoing  operations  at  the  beginning  of  FY14.    That  message  also  warned  that  if  funding  is  not  ultimately  approved,  the  Agency  would  be  required  to  engage  in  an  “emergency  shutdown  furlough.”      In  laymen’s  terms,  the  Agency  does  not  have  money  to  pay  its  employees  or  run  the  operation.  Thus,  all  employees  that  are  not  specifically  “excepted”  will  be  furloughed.    Excepted  employees  are  generally  those  employees  that  perform  “emergency  work  involving  the  safety  of  human  life  and  national  security,”  are  temporarily  required  to  assist  with  the  orderly  shutdown,  or  are  paid  from  a  funding  source  not  affected  by  a  lapse  in  Congressional  appropriations.    Because  you  are  not  performing  an  excepted  activity,  you  position  has  been  determined  to  be  “non-­‐excepted.”  If  furloughed,  the  effective  start  would  be  no  later  than  4  hours  after  the  regular  start  of  your  first  assigned  tour  of  duty  on  October  1,  2013.    We  will  be  providing  you  formal  notice  of  furlough  separately.        This  action  will  remain  in  effect  until  Congress  passes  legislation  authorizing  funding.    During  this  time,  you  must  stay  away  from  your  workplace  unless  and  until  recalled.    Any  paid  leave  approved  for  use  during  this  period  is  cancelled.        You  are  expected  to  stay  abreast  of  the  agency’s  shutdown  status  via  the  FAA  employee  web  page  so  that  you  can  report  to  duty  promptly  when  authorization  to  use  funds  is  approved.    If  there  are  specific  exigent  circumstances  requiring  your  immediate  recall  to  duty  to  address  a  safety  related  issue,  you  are  required  to  report  regardless  of  the  status  of  the  furlough.  You  may  check  the  OPM  website  to  obtain  current  information.            

CONTINUED ON NEXT PAGE

your position has been determined

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Appendix  F    

“SHUTDOWN”  FURLOUGH    

Script  for  Managers  to  Inform  Non-­‐Excepted  Employees     Let  me  briefly  cover  some  information  regarding  your  benefits.    Health  Insurance:        FEHB  coverage  will  continue  even  if  an  agency  does  not  make  the  premium  payments  on  time.  Since  the  employee  will  be  in  a  non-­‐pay  status,  the  enrollee  share  of  the  FEHB  premium  will  accumulate  and  be  withheld  from  pay  upon  return  to  pay  status.    Life  Insurance:        You  will  continue  to  be  covered  by  life  insurance  during  this  period  without  cost  to  you.        Please  refer  to  the  Q  &  A’s  on  the  Emergency  furlough  webpage  for  specific  information  about  all  of  your  FAA  employee  benefits.                                                                                                                                                                          Each  State’s  law  varies  on  filing  for  unemployment  compensation,  so  you  must  contact  the  appropriate  unemployment  compensation  authority  in  the  locality  where  you  work  to  gain  further  information  about  this  program.    We  regret  the  short  notice  and  the  necessity  to  bypass  the  customary  30  day  notice  period;  however,  the  agency  has  had  very  little  lead  time  for  planning.  Therefore,  this  is  considered  an  emergency  furlough  and  as  such,  reduced  notice  is  permitted.          We  regret  that  this  action  is  necessary  and  hope  that  this  matter  will  be  resolved  as  soon  as  possible.    

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Instructions for Individual Delivery of Furlough Notices

Most employees who will be affected by the shutdown furlough (non-excepted employees) will receive their official furlough notices through email, and delivery notices will be tracked electronically. No action is needed by the manager if the employee was at work and had access to their work email. However, there may be situations where email notification will either be untimely or impossible. Those situations could include:

An employee does not have regular access to FAA email as part of their regular responsibilities;

An employee would normally have access to email, but is on leave and cannot be reached by work email until after the notification period is over; or

An employee will not be reporting to the office or accessing email as part of the orderly suspension (shutdown) of non-accepted activities.

Upon completion of duties required to effect the orderly suspension of non-excepted activities when it was estimated in advance than more than the customary time (up to 4 hours) that is typically necessary to accomplish these activities.

The employee does not have excepted work to perform or was incorrectly listed as “excepted”, so they must be furloughed by law.

It is vitally important that you identify all employees under your supervision who fall under one of these situations, or any other which will make electronic delivery of furlough notices impossible. For those employees, you will need to take the following actions:

1. Create a furlough notice using the template provided in the handbook (fill in the employee’s name, date and time that furlough began for the employee, and any other necessary information);

2. Print two copies of the notice; 3. If the employee is still physically present in the office, have the employee keep one copy

and sign the second copy and return it to you (if employee refuses to sign, annotate with “refused to sign” and the date);

4. For any employee who is not physically present in the office, email the notice (return receipt); have the employee sign and return it to you, if possible; and print the emails, notification form, and return receipt.

5. Complete the attached Tracking Log for the Individual Delivery of Notices to annotate the delivery of the shutdown information for each employee;

6. Retain the tracking log, signed notice delivery copies, and copies of any emails or email receipts. Provide the originals to your LOB/SO POC or AHR POC when requested. Note: The manager should retain a copy of the signed/completed documents for 60 days after the furlough ends in case there are questions or a form gets misplaced in transit.

APPENDIX G

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APPENDIX H

I. Employee received notice via e-m

ail II. Delivery notice

tracked electronically

II. Manager identifies all

employees w

here electronic delivery w

ill either be untim

ely or im

possible

IV. Create furlough notice and print tw

o (2) copies

V. Have employee retain

one copy of the notice, sign the second copy, and

return signed copy to m

anager

III (a). Send to em

ployee by e-m

ail with return

receipt requested. If possible,

employee should

sign, scan, and return the

document via e-

mail to m

anager

“SHUTDO

WN

” FURLO

UGH EM

PLOYEE N

OTIFICATIO

N

PROCESS

Created: September 30, 2013

YES

NO

III. Can em

ployee be given the notice in

person?

YES

III(b). Print and retain copies of e-m

ails and e-mail

read receipts

Manager com

pletes Tracking Log

NO

16

APPENDIX I

Tracking Log for Individual Delivery of Notices

Created: September 27, 2013

LO

B/SO:

Region: M

anager: W

ritten Furlough Notice Delivery Tracking Log – FY 2014

EM

PLOYEE/PO

SITION

INFO

RMATIO

N

REASON

THAT SEPARATE (INDIVIDU

AL) NO

TICE IS REQU

IRED W

HEN/HO

W DELIVERED

NO

TES/ COM

MEN

TS Em

ployee N

ame

Position, Title, Series, Band

Level

Duty Location

No access to FAA em

ail

Completed

Shutdown W

ork (>4 hours)

Employee not

performing

Excepted Work

Employee

Unavailable for W

ork

Other (specify)

Date/Time

of in-person delivery

Date/Time

emailed

17