FAA Emergency Shutdown Furlough Guidance

Transcription

1 FAA Emergency Shutdown Furlough Guidance 1

2 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 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 2

3 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: 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. 3

4 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. 4

5 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 , employee website and the 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. 5

6 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. 6

7 APPENDIX A SHUTDOWN FURLOUGH What to do before Oct. 1 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 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 For guidance on part- 1me federal employees, including students and contractors, visit: h[ps:// employees.faa.gov/go/furlough 7

8 APPENDIX 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. 8

9 Start Manager determines that an employee should be recalled to conduct Excepted work Manager completes the FAA Emergency Furlough Recall Form and sumbits it to head of LOB/SO Manager notifies employee of need to report to work FAA Emergency Furlough Recall Process Head of LOB/SO signs recall form and submits with tracking log to FAA Furlough Recall Team The FAA Furlough Recall Team will meet each day of the Emergency Furlough at 8:30 a.m. and 1:30 p.m. The Recall Team will review each recall request. Manager informs employee that upon completion of work they will return to furlough status Manager ensures that furlough and work time are properly entered/coded in the Time and Attendance system End Immediately after its meeting the Recall Team will notify the LOB/SO of its advice Recall Team will provide copies of tracking logs to be transmitted to DOT daily Director of Policy and Compliance will transmit tracking logs to DOT daily

10 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: 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. Excepted Codes for Recall: 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

11 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: 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: Revised: October 2, 2013

12 EMERGENCY FURLOUGH RECALL TRACKING LOG NOTES/ COMMENTS LOB/SO: Manager: Furlough Recall Tracking Log FY 2014 EXCEPTED CODE EMPLOYEE/POSITION INFORMATION Employee Name Position, Title, Series, Band Level Duty Location FAA DOCUMENTATION OF EMPLOYEE FURLOUGH RECALL Manager Approval Head LOB/SO Approval Date Date FAA FURLOUGH RECALL TEAM REVIEW DATE Employee Recalled from Furlough Date/Time Revised: October 2, 2013

13 APPENDIX 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, your 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, 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 12

14 CONTINUED FROM PREVIOUS PAGE 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. 13

15 APPENDIX G 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 , 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 . However, there may be situations where notification will either be untimely or impossible. Those situations could include: An employee does not have regular access to FAA as part of their regular responsibilities; An employee would normally have access to , but is on leave and cannot be reached by work until after the notification period is over; or An employee will not be reporting to the office or accessing 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, the notice (return receipt); have the employee sign and return it to you, if possible; and print the s, 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 s or 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. 14

16 APPENDIX H I. Employee received notice via YES NO II. Manager identifies all employees where electronic delivery will either be untimely or impossible III. Can employee be given the notice in person? SHUTDOWN FURLOUGH EMPLOYEE NOTIFICATION PROCESS II. Delivery notice tracked electronically YES IV. Create furlough notice and print two (2) copies V. Have employee retain one copy of the notice, sign the second copy, and return signed copy to manager NO Manager completes Tracking Log III(b). Print and retain copies of e- mails and read receipts III (a). Send to employee by e- mail with return receipt requested. If possible, employee should sign, scan, and return the document via e- mail to manager 15

17 APPENDIX I Employee Name Position, Title, Series, Band Level Duty Location No access to FAA Completed Shutdown Work (>4 hours) Employee not performing Excepted Work Employee Unavailable for Work Other (specify) Date/Time of in-person delivery Date/Time ed EMPLOYEE/POSITION INFORMATION REASON THAT SEPARATE (INDIVIDUAL) NOTICE IS REQUIRED WHEN/HOW DELIVERED NOTES/ COMMENTS LOB/SO: Region: Manager: Written Furlough Notice Delivery Tracking Log FY 2014 Tracking Log for Individual Delivery of Notices 16

18 17