9.1 Introduction
A U.S. government shutdown does not mean the entire state collapses. Instead, a complex system of continuity planning ensures that essential functions—national security, law enforcement, public safety, and critical infrastructure—continue even when funding lapses. These plans, commonly known as shutdown contingency plans or “playbooks,” are prepared under the supervision of the Office of Management and Budget (OMB) and implemented across all federal agencies.
Their purpose is twofold:
- Compliance with the Antideficiency Act (ADA)—ensuring no unauthorised spending occurs; and
- Maintenance of essential government functions—preventing threats to life, safety, or property.
9.2 The legal and procedural framework
The OMB, under Circular A-11, Section 124, requires all departments and agencies to maintain and regularly update their Contingency Plans for Agency Operations in the Absence of Appropriations. These plans must identify:
- The number of “excepted” employees who will continue working without pay;
- The number of furloughed employees;
- The specific legal authorities justifying continued operations; and
- Procedures for an orderly shutdown and restart once funding resumes.
Each agency must post its plan publicly on its website to ensure transparency and public accountability (OMB, 2023).
9.3 Core federal coordination bodies
| Entity | Primary Role | Key Shutdown Responsibilities |
|---|---|---|
| Office of Management and Budget (OMB) | Oversees implementation of the Antideficiency Act | Issues guidance (Circular A-11, § 124), approves contingency plans, coordinates with the White House |
| Office of Personnel Management (OPM) | Manages federal workforce | Issues furlough and pay guidance; tracks employee designations (excepted vs non-excepted) |
| Government Accountability Office (GAO) | Oversight and compliance | Reviews legal adherence to ADA and reports to Congress |
| Department of Justice (DoJ) | Legal counsel to the executive branch | Provides Attorney-General opinions and resolves legal ambiguities |
| Department of Homeland Security (DHS) | National security and emergency continuity | Ensures safety-related operations continue (e.g., FEMA, TSA, Border Patrol) |
9.4 The “excepted” functions principle
Federal agencies classify operations according to five major “excepted” categories, derived from the 1980–81 Civiletti opinions and subsequent GAO rulings:
- Protection of human life (e.g., emergency medical services, disaster response);
- Protection of property (e.g., border security, federal prisons, law enforcement);
- National security (e.g., active-duty military, intelligence);
- Orderly suspension of operations (essential to close down the government lawfully);
- Statutory authorisations (activities funded by permanent appropriations or multiyear budgets).
Anything not meeting these criteria must stop until funding resumes.
9.5 Examples of agency-specific playbooks
- Department of Defense (DoD):
Maintains readiness, national security operations, and ongoing combat missions; civilian employees not critical to immediate defence functions are furloughed. (DoD Contingency Guidance, 2024.) - Department of Health and Human Services (HHS):
Continues essential healthcare and disease control programmes (e.g., Centers for Disease Control emergency response, hospital care for inpatients) but halts grant processing and most research activity. - Department of Justice (DoJ):
Keeps criminal litigation, law enforcement, and prison operations active; civil cases may be postponed. - Federal Aviation Administration (FAA):
Air-traffic controllers continue working; training and maintenance are deferred. - National Park Service (NPS):
Often closes parks entirely, or keeps limited sites open without staff—one of the most visible symbols of a shutdown.
These examples show how the ADA compels agencies to separate their activities into “must continue” and “must stop” categories—a process requiring careful legal justification.
9.6 Continuity of government and emergency plans
Beyond departmental contingency measures, the U.S. maintains higher-level Continuity of Operations (COOP) and Continuity of Government (COG) frameworks, designed to preserve command and control during catastrophic events or severe disruptions. During shutdowns, COOP protocols ensure:
- Data and communications continuity for national security agencies;
- Emergency delegations of authority within each department;
- Secure facilities and IT systems remain operational.
Although COOP is primarily intended for crises such as natural disasters or attacks, it interacts with shutdown contingency planning to preserve federal stability.
9.7 Oversight and compliance reporting
The Government Accountability Office (GAO) and Inspectors General (IGs) monitor agency adherence to ADA rules during and after shutdowns. Any unauthorised expenditure must be reported to the President and Congress under 31 U.S.C. § 1351, and violations can, in theory, carry administrative or criminal penalties. However, enforcement is generally remedial rather than punitive, focusing on preventing repeat infractions (GAO 2023).
9.8 Challenges identified in 2025
The prolonged 2025 shutdown revealed several operational weaknesses:
- Aviation pressure: FAA warned of possible 10 % flight reductions owing to staffing fatigue and halted training (Reuters 2025).
- Statistical blackout: BEA, Census, and BLS ceased data releases, hindering economic analysis (Time 2019; Al Jazeera 2025).
- Delayed procurement: Federal IT and infrastructure contracts accumulated backlogs, risking cost overruns once funding resumes (CBO 2025).
These findings suggest the need for stronger cross-agency coordination tools to maintain essential operations during extended funding lapses.
9.9 Summary
Shutdown “playbooks” illustrate that the United States has procedural resilience but legal rigidity. Agencies can protect safety and security, yet cannot continue normal governance. This tension defines the modern shutdown paradox: the federal government can function just enough to survive—but not enough to serve effectively.
References
- Congressional Research Service (2025) Shutdown of the Federal Government: Causes, Processes, and Effects. Washington, DC: Library of Congress.
- Department of Defense (2024) Guidance for Continuation of Operations During a Lapse in Appropriations. Washington, DC: DoD.
- Government Accountability Office (2023) Antideficiency Act: A Primer on the Legal Framework. Washington, DC: GAO.
- Office of Management and Budget (2023) Circular A-11, Section 124 – Agency Operations in the Absence of Appropriations. Washington, DC: OMB.
- Office of Personnel Management (2024) Guidance for Shutdown Furloughs and Pay Status. Washington, DC: OPM.
- Time (2019) ‘‘We’re Flying Blind’: The Shutdown Is Making it Harder for Economists to Understand the Shutdown’, 29 January.
- Reuters (2025) ‘U.S. may cut air traffic 10 % by Friday without shutdown deal – sources’, 5 November.
- Al Jazeera (2025) ‘U.S. government shutdown enters 40th day: How is it affecting Americans?’, 9 November.