Preparing for Casework in a Government Shutdown
Debt ceiling impasses, lapse in appropriations, shutdown, furloughs all have a few things in common: they’re one of the few high-volume casework “crisis” events that come with advance warning.
In recent years, lapses in government funding have happened with enough regularity that it is good practice for Congressional offices to have a plan in place for navigating the challenges of continuing their own operations and serving constituent needs. This guide is a quick starting point for offices to plan ahead.
What is going on?
The annual appropriations process is how Congress funds the federal government. Appropriations are divided into twelve separate spending bills, each of which provides funding for a discrete group of federal agencies.
A shutdown happens when Congress fails to enact these appropriations bills into law before money appropriated in the previous appropriations cycle runs out. A partial shutdown may occur when only some of these bills are passed; a full shutdown occurs when Congress passes no appropriations bills. (And as you know, these bills must pass in *exactly* the same form in the House and Senate and be signed by the President* — so just passing one chamber is not enough.)
However, some agencies, departments, and programs funded by lapsed appropriations bills can continue to operate (at least initially) without interruption because their specific funding is not contingent on the annual appropriation. These may include those that are exclusively or partially “fee-for-service” (e.g. USCIS, which is funded by visa fees), those with “advance appropriations” (e.g. the Veterans Health Administration, which is funded a year or more in advance of the current fiscal year), and those funded through any type of trust fund. Additionally, “mandatory spending” for programs like Social Security and Medicare is not subject to annual appropriations and is no immediately affected in the event of a shutdown triggered by lapse in appropriations—although the mechanics of disbursing payments may be complicated if some employees are furloughed in a partial shutdown (more on that below).
Another option to keep the government running is a continuing resolution: a continuing resolution (or CR) is an interim measure in which Congress passes a temporary fix to continue the previous year’s funding at current (or slightly modified) levels.
* Also, yes: the possibility of a veto, veto override, etc.
Sidebar: What about the debt ceiling?
A government shutdown is different from a debt limit impasse, which is when Congress fails to raise the cap on the amount of money the US can borrow to keep funding operations and revenue coming in through taxes is insufficient to meet spending needs.
The potential for a government shutdown arises annually, as new appropriations must be passed (or a CR adopted) by the end of every fiscal year.
Who is affected?
One of the most significant financial outlays of any agency is payroll: without money to pay people, the government must figure out what to do with its employees.
In general, an agency has two options: send people home, or “furlough” employees, and ask employees to continue to work without pay. OMB states that:
“In the context of shutdown furloughs, the term “excepted” is used broadly to refer to employees whose work is funded through annual appropriations but who are not furloughed because they are performing tasks that are allowed to continue during a lapse in appropriations. Those tasks are referred to as “excepted work.”
There is enough recent precedent about shutdowns created by a lapse in appropriations that OMB routinely compiles and maintains federal agency contingency plans and a page for employees dedicated to shutdown furloughs. Federal executive branch agencies may designate their “excepted service” employees based on their functions and according to OMB guidelines and/or their agency contingency plans. These roles will vary by agency, but will almost certainly include roles critical to national security, like TSA screeners, US Marshals, or Coast Guard personnel.
At the end of previous extended shutdowns caused by lapses in appropriations, federal employees (including Congressional staff) were, by practice, paid retroactively, whether or not they were furloughed. After the extended shutdown in 2019, Congress enacted the Government Employee Fair Treatment Act (P.L. 116-1), which statutorily requires retroactive pay for employees performing “excepted service” work AND for furloughed employees (31 U.S.C. §1341(c)).
Congressional offices may also be required to furlough staff in the event of a full or partial shutdown that includes funding for the Legislative Branch. Congressional offices will designate their “excepted service” employees based on their job responsibilities and House or Senate guidance. Lawmakers themselves are automatically considered “excepted” and will continue to work and receive pay, per the Constitution. In previous shutdowns, some Members have offered to forgo their salaries. This is another question that should be answered in close collaboration with the Member, office leadership, or comms team.
Making a plan
Shutdowns impact casework teams in three ways:
Legislative offices may be furloughed themselves
Federal employees furloughed or working in excepted positions may require assistance with emergency financial resources, questions on pay and benefits, and more.
Constituents will experience difficulties contacting or working with agencies with significant portions of furloughed staff. Some benefits or communications may be delayed.
Casework teams can start with the following steps to prepare for all three:
1. Assess the potential impact of a shutdown
Building on relationships with federal agencies, the casework team and outreach staff may consider compiling a list of all federal agencies based in the district/state and an assessment of how disruptions may impact constituents. This may include:
Name and contact number for local agency director
Number of federal employees
Services/benefits provided
Services/benefits that will be affected by a shutdown
Number of clients/beneficiaries served per day (e.g. number of appointments at Social Security Office)
Funding sources for the agency and its services/benefits: are they funded by appropriated funds or fee-for-service (depending on the nature of the shutdown, some fee-for-service agencies will, in whole or in part, continue to operate)?
The nature and amount of any contracts or grants the agency administers: will they be affected by a shutdown?
This information should be made available to office leadership, comms, casework, and outreach staff in case they want to follow up for examples of local impact during the shutdown.
Reviewing the impacts of any previous government shutdowns on the district or state may also be helpful to the Member and the comms team. Researching and preparing a briefing memo on this would be a great intern project.
2. Prepare casework roles
If a shutdown is imminent, a period of “orderly shutdown” will be authorized. During that time, if casework staff are not designated as excepted, the casework team should:
Prioritize and make every effort to resolve any urgent cases.
Communicate with constituents who have pending cases to explain what the shutdown means for their case and reassure them that the team will continue to work their cases once everything re-opens. A letter or email may be especially helpful here.
Draft an update for the Member’s website and signage for the district/state offices to post as soon as the shutdown begins.
While recognizing that most federal agencies may also be closed and unavailable to respond to casework inquiries, it will be helpful to provide all staff with a list of key agency contacts and basic information about open cases in the event that constituents call. Offices may also want to think creatively about how they designate their own Congressional staff. For example, if current House or Senate guidance allows, offices could designate staff on a rotating basis so that “excepted service” duties are shared among different staff. Ideally the office would designate at least one member of the casework team “excepted service” in order to respond to constituent emergencies.
3. Prepare resources ahead of time
Federal employees
As details about a particular shutdown emerge, the casework team can gather information to respond to questions from federal employees and others affected. Preparing answers to questions as form letters or one-pagers ahead of time will greatly increase the team’s ability to provide services.
Frequently asked questions may include:
I am a federal employee who was furloughed, will I get paid? And when?
I am a federal employee who was designated “excepted service”, will I get paid? And when?
I am an excepted service employee who is working: why is my colleague who is furloughed going to get paid for not working?
What happens to my health insurance during a government shutdown?
Am I eligible for unemployment during a furlough?
If I receive unemployment and am retroactively paid, will I need to repay it?
Most FAQs will be answered on the OPM “shutdown furlough” website, and in the GovExec guide to pay and benefits. Providing links to official OPM information will ensure that constituents have the most up-to-date information. However, it will be important that the Member be briefed on these questions, which will almost certainly come up if he returns home to the district/state.
Depending on the nature of a shutdown, the impacts of a looming shutdown may appear earlier in the execution of federal contracts or grants. Questions about grants and contracts may be directed to local or national federal agency Congressional liaisons, to OMB, or to the Treasury.
Especially for low-income federal workers, a period without pay can represent a significant hardship. Offices may find it helpful to prepare lists of local resources for:
Unemployment benefits (check your state for guidance, but a shutdown should definitely count)
Food banks
Federal credit union loans
Emergency child care
Some Congressional offices have also found it helpful to prepare general letters on the Member’s letterhead explaining the situation that affected federal employees can use to explain their situation to creditors, including landlords and mortgage lenders.
Other constituents
In previous shutdowns triggered by a lapse in appropriations, most mandatory spending entitlement programs were not affected and constituents continued to receive their benefits without interruption. However, casework teams should refer to the latest agency guidance in preparing to answer questions about:
Social Security
VA Benefits
Compensation or Pension?
Work on my compensation or pension claim?
Will the medical centers be open?
Home Loans?
Educational benefits?
SNAP benefits
TANF
Passports
Visa applications
During previous lapses in appropriations, closure of America’s national parks, monuments, and museums, including highly visible outdoor sites in Washington, DC were the most high profile evidence of government shutdown. Casework teams can prepare basic information about operating status but the legislative and comms team may want to weigh in with talking points to clarify the Member’s position on the underlying reason for the shutdown.
Additional Information and resources:
Congressional Research Service (CRS)
The CRS website for Congress includes a variety of updated publications on topics related to “shutdown scenarios” including: debt ceiling, lapses in appropriations, shutdowns, and furloughs. While many of these publications are available to the public via crsreports.congress.gov, teams should verify that the most recent versions are available to constituents if providing links as resources. CRS subject-matter experts are also available to answer questions from Members and staff about the impact of specific “shutdown scenarios” on specific federal agency operations.
See: Past Government Shutdowns: Key Resources (Updated June 14, 2021) - visit CRS.gov for latest update
Congressional Budget Office (CBO)
CBO produces independent analyses of budgetary and economic issues to support the Congressional budget process.
See: Report on Federal Debt and Statutory Limit (May 2023)
Department of the Treasury
The Treasury Department is the Executive Branch department that deals with revenue, spending, and debt.
See: Debt Limit Policy Resources
Government Accountability Office (GAO)
GAO provides Congress, the heads of executive agencies, and the public with timely, fact-based, non-partisan information that can be used to improve government and save taxpayers billions of dollars. GAO’s work is done at the request of congressional committees or subcommittees or is statutorily required by public laws or committee reports, per Congressional Protocols.
Office of Management and Budget (OMB)
The White House and OMB maintain a comprehensive list of federal agency contingency operations plans and FAQs on government operations.
See: Agency Contingency Plans (Shutdown) and Information and Guidance for Agencies
Office of Personnel Management (OPM)
OPM offers detailed guidance of furloughs, pay leave, and insurance issues.
See: Shutdown Furlough Guidance
Consumer Financial Protection Bureau (CFPB) and financial institutions
In previous government shutdowns, the CFPB and other financial system regulators urged lenders to work with federal employee customers who were experiencing financial hardship. Many of the credit unions and banks that cater to federal employees also offered favorable terms on short-term credit to help furloughed employees when their paychecks were delayed.
