11 FAM 800
administrative Law
11 FAM 810
ADVISORY COMMITTEES
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
11 FAM 811 General
(CT:POL-50; 10-28-2011)
11 FAM 811.1 Scope
(CT:POL-50; 10-28-2011)
This subchapter applies to any advisory committee as defined by, and subject to, the Federal Advisory Committee Act (FACA), which provides advice to the Department of State or any officer of the Department. If there is any inconsistency between a provision of this regulation and FACA or the GSA FACA Regulation, those other authorities, as appropriate, will apply.
11 FAM 811.2 General
(CT:POL-87; 12-19-2024)
a. Advisory committees are to be used for obtaining advice and recommendations on matters for which they were established.
b. Unless provided otherwise by statute or Presidential directive, advisory committees must be used solely for advisory functions and only Department officers will take action or make decisions based on the advice or recommendation of an advisory committee. For the purposes of this provision, "Presidential directive" includes an executive order or Presidential memorandum.
c. Meetings of advisory committees will be open to the public unless there is a compelling reason to close the meeting in accordance with 5 U.S.C. 552b(c).
d. A sub-group or subcommittee of a chartered advisory committee that independently possesses significant characteristics of an advisory committee, such as fixed membership, periodic meetings, reporting directly to Department officials, and other characteristics of advisory committees, will likely be subject to the requirements of FACA.
e. Subcommittees of chartered advisory committees that report to the chartered committee will generally not be subject to the requirements of FACA.
f. Subcommittee means a group that reports to an advisory committee, and not directly to a Federal officer or agency, whether or not its members are drawn in whole or in part from the parent advisory committee. However, if a subcommittee makes advice or recommendations directly to a Federal officer or agency, it is no longer functioning as a subcommittee, and must: file a charter following the requirements of § 102-3.70, that includes the information required in § 102-3.75; comply with all of the requirements of this part; and will be counted as a chartered advisory committee at an agency.
11 FAM 811.3 Implementation
(CT:POL-87; 12-19-2024)
The Committee Management Officer (CMO) in the Bureau of the Comptroller and Global Financial Services (CGFS) administers the Advisory Committee Management Program for the Under Secretary for Management.
11 FAM 811.4 Regulatory Authorities
(CT:POL-87; 12-19-2024)
Regulatory authorities:
(1) The Federal Advisory Committee Act (FACA), Public Law 92-463, 5 U.S.C. 1001 et seq;
(2) 41 CFR Part 102-3 (GSA FACA Regulation);
(3) Office of Management and Budget Circular No. A-135 of October 5, 1994;
(4) 22 U.S.C. 2651a;
(5) Department of State Delegation of Authority No. 125, dated November 7, 1972: Delegation of Functions Relating to Committee Management, from the Secretary to the Under Secretary for Management; and
(6) Department of State Delegation of Authority No. 343, dated August 3, 2012: Re-delegation from the Under Secretary for Management to the Comptroller of Authorities Related to the Administration of FACA.
11 FAM 812 CreatinG Committees
(CT:POL-50; 10-28-2011)
Creation of advisory committees will be slightly different, depending on whether the committee is discretionary or statutory. Note that, if an advisory committee charter expires, the advisory committee may not meet, give advice, or make recommendations until its new charter is filed. The details are below.
11 FAM 812.1 Creating a Discretionary Committee
(CT:POL-87; 12-19-2024)
a. A bureau or an office desiring to establish a discretionary advisory committee must, in consultation with L/M, prepare a draft charter and membership balance plan (see 11 FAM Exhibit 812.1(1)). The charter and balance plan will follow the format in the Exhibits. L/M will forward both documents to GSA for consultation. When that process is completed, the sponsoring bureau must publish a notice in the Federal Register, notifying the public of the Department’s intent to establish an advisory committee. A sample notice is at 11 FAM Exhibit 812.1(2). The proposing organization must consult with the CMO before publishing the notice in the Federal Register. The CMO will also provide guidance on drafting the action memo to request the Under Secretary for Management's approval for the establishment of the committee.
b. Fifteen days after the publication of the notice in the Federal Register, the sponsoring bureau will submit the action memo to the Under Secretary for Management setting forth the specific purpose, organization (including subgroups, if known), a statement of the need for the particular committee, and the estimated costs to operate the committee.
c. Once the Under Secretary for Management approves and signs the charter, then the Department must “file” the charter. The CMO will notify the Bureau of Legislative Affairs to transmit a copy of the signed charter to the Senate Foreign Relations Committee, the House Foreign Affairs Committee, and the Library of Congress. The filing date also serves as the charter's official renewal date.
d. The charter of a discretionary committee lasts for a maximum of 2 years. The charter can be renewed. However, once the charter expires, the committee terminates; to continue the committee after expiration, the Department must re-establish it, just as it would establish a new committee.
11 FAM 812.2 Creating a Statutory Committee
(CT:POL-87; 12-19-2024)
a. The process for creating a statutory committee is similar to the process in 11 FAM 812.1. The primary consideration when dealing with statutory committees is that the terms of the particular statute must control in drafting the charter, in choosing members, and in holding the meetings.
b. The Department need not prepare a membership balance plan for a statutory committee. See 41 CFR 102-3.60, which limits this requirement to discretionary committees.
c. The authorizing statute might provide for the duration of the committee itself. If it does not so provide, the committee will remain established until terminated by a subsequent statute. Charters for statutory committees have a maximum duration of 2 years. Unlike discretionary committees, the committee does not expire upon expiration of the charter; however, the committee cannot hold a meeting until the charter is properly renewed. A sample charter for a statutory committee is at 11 FAM Exhibit 812.2. Remember that the authority for each statutory committee will be different; the authorizing statute is what controls. When the authorizing statute is silent, then FACA controls.
11 FAM 813 Membership
(CT:POL-50; 10-28-2011)
11 FAM 813.1 General
(CT:POL-87; 12-19-2024)
a. It is Department policy that members will be selected without regard to national origin, religion, race, sex, sexual orientation, color, or any other factor irrelevant to an individual’s performance on an advisory committee.
b. Members need not be U.S. citizens, unless the committee’s authorizing statute or charter requires it. All officers and members of a committee must have a security clearance appropriate for the subject matter to be considered by the advisory committee.
c. Members will be either representative members, special government employees (SGE), or regular government employees. A representative member must actively represent an organization, company, etc., and the organization or company must endorse the individual's participation in the advisory committee. A member cannot represent "themselves". If a member does not represent an organization or company, and is not a U.S. government employee, then they must be appointed as an SGE and complete all required ethics paperwork (see 11 FAM 619).
d. The substantive office sponsoring an advisory committee is responsible for access to and removal from official premises of classified material in accordance with the Department's security regulations. Questions regarding security procedures should be directed to Diplomatic Security.
11 FAM 813.2 Scientific Advisory Committees
(CT:POL-52; 05-02-2012)
Scientific and technological information sometimes contributes significantly to Department policies. Some of the Department’s advisory committees are scientific in nature. It is Department policy that all advisory committees will operate within a culture of scientific integrity; strengthen the actual and perceived credibility of Government research; facilitate the free flow of scientific and technological information, consistent with classification standards; and encourage ways of convening scientific and technological information to the public. The following principles govern membership on Department advisory committees:
(1) The recruitment process for new members will be as transparent as practicable. The Department will widely advertise openings on scientific advisory committees and will announce the names of members, including notification in the Federal Register, with an invitation for the public to comment or recommend other individuals for consideration;
(2) The Department will disseminate professional biographical information (including affiliations) for appointed scientific advisory committee members as widely as possible, subject to the Privacy Act and any other statutory or regulatory considerations;
(3) The selection of members to serve on a scientific advisory committee will be based on expertise, knowledge, and the individual’s contribution to the relevant subject area. Additional factors include, but are not limited to: the availability of the member to serve, diversity considerations, and the ability to work effectively on advisory committees. As with all advisory committees, membership on scientific advisory committees should be fairly balanced in terms of points of view represented with respect to the functions to be performed by the advisory committee;
(4) The Department will make conflict of interest waivers (“ethics waivers”) publicly available, to the extent authorized by law;
(5) As with all advisory committees, all reports, recommendations, and products produced by scientific advisory committees will be treated as the findings of such committees rather than of the U.S. Government, and will not be subject to intra- or interagency revision, unless otherwise provided by law or agreement between the Department and the advisory committee.
11 FAM 814 Chartering Committees
(CT:POL-50; 10-28-2011)
11 FAM 814.1 Requirements
(CT:POL-87; 12-19-2024)
a. Before holding a meeting, each Department advisory committee subject to FACA must have a charter approved by the Under Secretary for Management and filed with the CMO, the Senate Foreign Relations Committee, the House Committee on Foreign Affairs, and the Library of Congress. A charter is “filed,” when transmitted to those entities. Once the charter is filed, it must be uploaded by the CMO to GSA’s FACA database indicating the date the charter was filed with those agencies.
b. Subcommittees need not be chartered separately. However, if the subcommittee has the characteristics of an advisory committee, such as reporting directly to the Department instead of to its associated chartered committee, it may be considered to be subject to FACA and may be required to file a charter and comply with FACA.
11 FAM 814.2 Amendments
(CT:POL-50; 10-28-2011)
a. The charter of a committee may be amended, as necessary. The process is very similar to a charter renewal.
b. A proposed amendment must be approved prior to any committee activity to which the proposed amendment relates.
11 FAM 814.3 Termination of Discretionary Committees
(CT:POL-87; 12-19-2024)
a. Discretionary advisory committees terminate in one of two ways: expiration of its charter, or action by Department leadership.
(1) If the charter of a discretionary committee is not renewed (see 11 FAM 814.1a.) before its expiration date, the advisory committee is no longer established. There is no grace period.
(2) If Department leadership decides that an advisory committee is no longer necessary, they can decide to terminate it before it expires. If that occurs, the CMO will notify GSA of the Department's decision.
b. Department leadership will also review all information about a committee, including its activity (reports, etc.) and number of meetings, in determining whether the advisory committee is no longer required.
11 FAM 815 Advisory Committee Meetings
(CT:POL-50; 10-28-2011)
The term "meeting" covers any situation in which two or more members of an advisory committee formally convene, with a prescribed agenda, to transact committee business.
11 FAM 815.1 Designated Federal Officer (DFO)
(CT:POL-87; 12-19-2024)
a. No advisory committee or subcommittee may hold a meeting in the absence of the DFO or Alternate DFO. FACA and its regulations require that the DFO be a full-time or permanent part-time employee. Full-time or permanent part-time employees of other Federal agencies are eligible to be appointed as a DFO.
b. The DFO’s responsibilities include:
(1) Approving agendas for meetings;
(2) Calling or approving meetings;
(3) Adjourning any meeting whenever they determine it to be in the public interest;
(4) Maintaining committee files; and
(5) Completing and submitting the Annual Comprehensive Review.
11 FAM 815.2 Timing of Meeting Notice
(CT:POL-87; 12-19-2024)
a. FACA requires that advisory committees publish a notice of each meeting in the Federal Register at least 15 calendar days prior to the meeting date (but see para b., below) except in exceptional circumstances, in which case the DFO must consult with L/M and must include, in the Federal Register notice, the specific reason for holding the meeting with less than 15 days' notice (see subparagraph b(3) of this section). A sample notice is at 11 FAM Exhibit 815.2(1).
b. The office supporting the advisory committee:
(1) Prepares the Federal Register notice, along with any media note;
(2) Obtains appropriate bureau, CMO, and L clearances; and
(3) Submits the notice to the Federal Register Liaison (copying the CMO). The Federal Register notice must be submitted not later than 30 calendar days prior to the meeting date to ensure timely publication; otherwise, the CMO and L/M have the discretion to not approve the meeting notice for publication. If it appears that the Federal Register notice will be published with less than 15 calendar days' notice, the meeting must be rescheduled unless there are exceptional circumstances. Convenience of the committee members, including purchase of tickets or other expenses, will not normally be considered an exceptional circumstance. The public has a right to sufficient notice of advisory committee meetings; and
(4) A sample media note is at 11 FAM Exhibit 815.2(2).
c. The DFO is responsible for meeting publishing deadlines. Due to workload issues, there may be delays in the Department’s clearance process, as well as delays in Federal Register publication.
11 FAM 815.3 Contents of Meeting Notice
(CT:POL-87; 12-19-2024)
a. A notice announcing an open meeting must state:
(1) The name of the committee;
(2) The date, time, and place of the meeting;
(3) The agenda or summary thereof;
(4) That the meeting will be open to the public;
(5) The extent to which the public may participate in the meeting, either orally or in writing; and
(6) The name and telephone number of an individual to whom inquiries may be directed, including arrangements for those attending if the meeting is in a secure building or if there are individuals in need of reasonable accommodations.
b. A notice announcing a closed meeting must state:
(1) The name of the committee;
(2) The date of the meeting; and
(3) The reason or reasons which justify the closing of the meeting is in the public interest, citing the specific exemption(s) of the Government in the Sunshine Act (5 U.S.C. 552b(c)).
c. Best practice is for meeting notices to also request an email RSVP from members of the public who plan to attend the meeting. That makes it easier for the DFO to provide notice in the event the meeting is cancelled, items are added or removed from the Agenda, etc.
11 FAM 815.4 Closed Meetings
(CT:POL-87; 12-19-2024)
a. An advisory committee meeting may be closed only in accordance with FACA and 5 U.S.C. 552b.
b. Any determination to close all or a part of a meeting must be based upon specific reasons. If a meeting is to cover separable matters, only the portion of the meeting dealing with matters subject to 5 U.S.C. 552b may be closed.
c. When a meeting or portion of a meeting is to be closed to the public, the Federal Register notice must state the reasons for the closing. See 11 FAM Exhibit 815.4, and 18 FAM 201.6 for instructions on publishing in the Federal Register.
d. An action memo to the Comptroller or the Under Secretary for Management (when appropriate) requesting approval of the determination to close a meeting must be submitted no later than 45 calendar days before the scheduled date of the meeting. The agenda for the closed meeting of any discretionary committee must also be provided to L/M and the CMO in advance of submitting the action memo so they can verify the need for a closed meeting.
11 FAM 815.5 Use of Social Media/Internet Technology
(CT:POL-87; 12-19-2024)
a. To provide greater public participation in its public meetings, all advisory committees should work with PA to create and regularly update their web pages on www.state.gov. The web page should include a copy of the charter, membership, meeting notices, agendas and supporting documents, minutes or transcripts of meetings, committee reports, and DFO contact information.
b. An advisory committee may use any technology that allows simultaneous, real-time participation by members of the public, such as conference calls, streaming media and the like, provided that such tools are used in addition to meetings, properly noticed in the Federal Register, which members of the public are able to attend.
c. The use of asynchronous media (such as blogs or microblogs) by members of an advisory committee must not substitute for a public meeting, even if the public is allowed to submit comments. Public meetings should not be viewed as a “rubber stamp” for advice or recommendations generated in a blog.
d. Each DFO should consult with the Office of the Legal Adviser on questions regarding the use of social media by their advisory committee.
11 FAM 815.6 Canceled Meetings
(CT:POL-87; 12-19-2024)
a. The DFO should publicly announce the cancellation of a scheduled advisory committee as soon as possible.
b. The office supporting the advisory committee will prepare the Federal Register notice and will submit it to the Federal Register Liaison (copying the CMO) as soon as the decision to cancel the meeting is made.
c. The notice must state:
(1) The name of the advisory committee;
(2) Identify the meeting that is canceled, why it is canceled; and
(3) Cite the Federal Register data concerning the previous meeting notice.
d. The DFO should also prepare a media note, announcing the cancellation.
11 FAM 815.7 Rescheduled Meetings
(CT:POL-87; 12-19-2024)
When it is not feasible to hold an advisory committee meeting on the date that has been announced, such meeting may rescheduled for a later date by publishing a notice in the Federal Register. The notice must be submitted to the Federal Register Liaison (copying the CMO) no later than 30 calendar days before the new date for the meeting.
11 FAM 815.8 Minutes
(CT:POL-87; 12-19-2024)
a. The DFO of the advisory committee keeps detailed minutes of each advisory committee meeting.
b. The minutes for an open meeting must at a minimum cover the following items:
(1) The time, date, and place of the meeting;
(2) A listing of advisory committee members and staff and agency employees present at the meeting;
(3) A complete summary of matters discussed and conclusions reached;
(4) Copies of all reports received, issued, or approved by the advisory committee;
(5) A description of the extent to which the meeting was open to the public;
(6) An explanation of the extent of public participation, including a list of members of the public who presented oral or written statements; and
(7) An estimate of the number of members of the public who attended the meeting.
c. The minutes for a closed meeting must include the information required for an open meeting, except those items relating to the presence of the public.
d. The Chair of the advisory committee must certify the accuracy of the committee minutes within 90 calendar days of the meeting to which the minutes relate.
e. The DFO is responsible for ensuring that the committee minutes be available for public inspection (except for portions of a meeting which was closed).
11 FAM 816 Reports
(CT:POL-87; 12-19-2024)
a. There are two categories of reports on advisory committees. One category is concerned with management and the other with advisory activities.
b. Management reports include:
(1) Annual Comprehensive Review (ACR):
(a) The ACR is an online FACA database of advisory committee information maintained by the Committee Management Secretariat of the GSA. The online database contains committee activity reported by Federal agencies on an annual basis. All reported data is available to the public for review, research, analysis, downloading and printing of committee activities. Results of the ACR encompass information compiled as an Annual Advisory Committee Report; and
(b) The DFO is responsible for the annual comprehensive review of their committee. The data being reported must be entered as the advisory committee activity occurs during the fiscal year, including fully documenting committee costs in all cost's fields. The DFO should verify the accuracy of these costs with their bureau's budget office and must ensure the data entered in the FACA database is an exact match with committee records. The purpose of the ACR is to assist GSA in determining the continuing need for the advisory committee. The DFO files the ACR in the FACA database and the CMO verifies it. The due date is October 1 of each year;
(2) Report of closed meeting(s): The committee must prepare a summary of the activities and related matters discussed by a committee during a closed meeting. It is to be as informative as possible for the public, consistent with 5 U.S.C. 552(b). Report closed meetings in the Annual Comprehensive Review (without their content); and
(3) Other reports: The advisory committee’s DFO will submit other management reports that may be required, including requests from the Committee Management Secretariat or congressional committees, by the requested due date.
c. The advisory committee also issues advice to the Department. These are advisory activities reports, prepared by the advisory committee, not a Department official (unless acting as a member of the advisory committee). In addition to being presented to the Department, the DFO must upload them to the GSA’s FACA database, when the reports are prepared as a committee document.
d. Submit copies of all committee reports to the CMO.
11 FAM 817 Records
(CT:POL-87; 12-19-2024)
a. The records of an advisory committee consist of all papers and documents that are prepared for or by the committee, or made available to the committee. The records are maintained by the office responsible for the committee. The DFO must preserve records containing adequate and proper documentation of the organization, function, policies, decisions, procedures, and essential transactions of the committee. Such records include agendas, drafts of documents, minutes, notices, press releases (media notes), reports, studies, transcripts, working papers, or other documents made available to or prepared by the chartered committee. The sponsoring bureau is responsible for the retirement of committee records. Unless there is an applicable Department schedule, advisory committee records are handled pursuant to General Records Schedule 26, Item 2.
b. The CMO maintains the Department's official records relating to the overall management of Department committees.
11 FAM 817.1 Financial Records
(CT:POL-87; 12-19-2024)
The DFO is responsible for all fiduciary duties associated with managing their committee and must keep accurate records of all committee operating and salary cost. Further, the Comptroller General shall have access to agency financial records for the purpose of auditing advisory committee cost records.
11 FAM 817.2 Records Availability
(CT:POL-77; 06-04-2020)
Timely access to advisory committee records is an important element of the public access requirements of the Act. Section 10(b) of FACA provides for the contemporaneous availability of advisory committee records that, when taken in conjunction with the ability to attend committee meetings, provide a meaningful opportunity to comprehend fully the work undertaken by the advisory committee. Advisory committee records may be withheld if there is a reasonable expectation that the records sought fall within the exemptions contained in 5 U.S.C. 552(b). However, agencies may not require members of the public or other interested parties to file a FOIA request for advisory committee records that are not subject to an exemption.
11 FAM 818 Public Inquiries
(CT:POL-87; 12-19-2024)
Public inquiries concerning the implementation of the Federal Advisory Committee Act and the management or the advisory committees of the Department should be addressed in writing to the Committee Management Officer, CGFS/GAO, Department of State, Washington, DC 20520.
11 FAM 819 Unassigned
11 FAM Exhibit 812.1(1)
Sample Charter and Membership Balance Plan (Discretionary Committee)
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
CHARTER
DEFENSE TRADE ADVISORY GROUP
1. Committee’s Official Designation.
Defense Trade Advisory Group (DTAG)
2. Authority.
The DTAG is established under the general authority of the Secretary and Department of State as set forth in 22 U.S.C §§ 2651a and 2656. The DTAG is governed by the provisions of the Federal Advisory Committee Act (“FACA”), 5 U.S.C. § 1001 et seq. The approval of this Charter by Assistant Secretary Alaina Teplitz, exercising the authorities of the Under Secretary of State for Management, constitutes a determination by the Secretary that the continuation of the Committee is in the public interest in connection with the performance of duties imposed by law on the Department of State.
3. Objectives and Scope of Activities.
The purpose of the DTAG is to provide advice and recommendations on issues involving U.S. laws, policies, and regulations for exports of defense articles, services, and related technical data. The DTAG serves the Department in a solely advisory capacity.
4. Description of Duties.
The DTAG will provide the Assistant Secretary for Political Military Affairs (the Assistant Secretary) with advice on the regulation of defense trade to minimize unnecessary impediments to legitimate exports.
5. Agency or Official to Whom the Committee Reports.
The DTAG reports to the Assistant Secretary.
6. Support.
Support functions for the operation of the DTAG shall be supplied by funds available to the Assistant Secretary.
7. Estimated Annual Operating Costs and Staff Years.
Estimated annual total costs are $230,700 for staging biannual plenaries and for related supplies. Staffing resource requirements are approximately 0.50 FTE.
8. Designated Federal Officer.
The Assistant Secretary shall appoint a federal employee to serve as DTAG’s Designated Federal Officer (DFO). An alternate DFO may also be appointed. The DFO will be responsible for the tasks required by the FACA Final Rule (41 CFR Part 102-3). They will approve all the meetings of the DTAG or its subcommittees, prepare and approve all meeting agendas, attend all committee and subcommittee meetings, adjourn any meeting when the DFO determines adjournment to be in the public interest, and chair meetings when directed to do so by the Assistant Secretary.
9. Estimated Number and Frequency of Meetings.
It is anticipated that there will be at least one DTAG meeting per fiscal year and meetings will be open to the public unless a determination is made in accordance with Section 10(d) of the Federal Advisory Committee Act, as amended, that a meeting or portion of a meeting should be closed to the public. Timely notice of the meeting shall be published in the Federal Register and shall contain all the information required by the Federal Advisory Committee Act. Except in exceptional circumstances, such notice shall be given at least 15 calendar days in advance of the meeting date.
10. Duration.
There is a continuing need for the advice offered by the DTAG. The Department will periodically review this need.
11. Termination.
The DTAG shall terminate automatically in two years from the date this charter is filed unless it is renewed or extended by appropriate action prior to that date.
12. Membership and Designation.
Members of the DTAG shall be appointed by the Assistant Secretary. The DTAG will consist of up to 50 members, consisting of private sector defense exporters and defense trade specialists who shall be designated as representatives for the purpose of Federal ethics rules, or regular government employees. Members of the DTAG must be U.S. citizens.
The Assistant Secretary shall appoint a Chair, Vice-Chair, and all other DTAG officers.
The Assistant Secretary may appoint Department of State employees as Ex Officio Members of DTAG.
13. Subcommittees.
The Assistant Secretary may create subcommittees deemed appropriate for assisting the DTAG to carry out its work. Any subcommittees must report back to the Board and will not provide advice or work products directly to the Department of State.
14. Recordkeeping.
The records of the DTAG and any subcommittees shall consist of all papers and documents pertinent to its establishment and activities, including its Charter, agenda, determinations for closed meetings, minutes, reports, and all documents related to its proceedings, including those of any study groups. The records shall be handled in accordance with General Records Schedule 6.2. These records shall be available for public inspection and copying to the extent required by the Freedom of Information Act, 5 U.S.C. § 552 from the Bureau of Political-Military Affairs.
15. Filing date (see date stamp below the approval block).
Now, thereby, this Charter shall be considered approved by the Department of State as of this Approved date, and shall be considered filed as of the Filing date, which is the date when copies have been provided to the Senate Foreign Relations Committee and the House Foreign Affairs Committee, the Secretariat, and to the Library of Congress pursuant to the provisions of FACA and the FACA Final Rule.
APPROVED: ________________________________
XXXXX
Under Secretary of State for Management
DATE: _______________________
Date Filed:
MEMBERSHIP BALANCE PLAN
FOR THE
DEFENSE TRADE ADVISORY GROUP
1. Name. The Defense Trade Advisory Group (DTAG).
2. Authority. This Federal advisory committee is established under agency authority. The DTAG is established under the general authority of the Secretary of State and the Department of State as set forth in 22 U.S.C. §§ 2651 and 2656 and the Federal Advisory Committee Act (5 U.S.C. § 1001 et seq.). The operation of the DTAG are in the public interest in connection with performance of duties of the Department of State.
3. Mission/Function.
(a) The purpose of the DTAG is to provide advice and recommendations on issues involving U.S. laws, policies, and regulations for exports of defense articles, services, and related technical data.
(b) Major topics addressed by the DTAG include: (a) policy issues on commercial defense trade and technology transfer; (b) regulatory and licensing procedures applicable to defense articles, services, and technical data; (c) technical issues involving the U.S. Munitions List (USML); and (d) questions relating to actions designed to carry out the Arms Export Control Act (AECA) and International Traffic in Arms Regulations (ITAR).
The DTAG will provide the Assistant Secretary for Political Military Affairs (the Assistant Secretary) with advice on the regulation of defense trade to minimize unnecessary impediments to legitimate exports.
4. Points of View.
(a) Members are appointed by the Assistant Secretary based on individual substantive and technical expertise and qualifications, and must be representatives of United States defense industry, relevant trade and labor associations, academic, and foundation personnel.
(b) In accordance with the DTAG Charter, all DTAG members must be U.S. citizens. DTAG members will represent the views of their organizations.
(c) All DTAG members must be aware of the Department’s mandate that arms transfers must further U.S. national security and foreign policy interests. DTAG members also shall be versed in the complexity of commercial defense trade and industrial competitiveness, and all members must be able to advise the Bureau of Political-Military Affairs (the Bureau) on these matters. While members are expected to use their expertise gained through representing their organizations and provide candid advice, national security and foreign policy interests of the United States will be the basis for all policy and technical recommendations.
(d) Individuals will be appointed as Representative members or regular government members. Representatives are stakeholders who are selected for membership for the purpose of obtaining the point of view or perspective of an outside interest group or stakeholder interest. Representatives will be selected to represent diverse points of view. Representative members may represent groups or organizations, such as industry, exporters, academics, or any other recognizable interest related to the Defense trade or export sector.
5. Other Balance Factors. The State Department will strive to maintain balance among the Defense trade, export and technology sectors.
6. Candidate Identification Process.
(a) The DTAG will have a maximum of 50 private sector members. The process to identify potential candidates for the DTAG begins with a notice in the Federal Register. The Department will review the information from each applicant, which includes: (1) name of applicant; (2) affirmation of U.S. citizenship; (3) organizational affiliation and title, as appropriate; (4) mailing address; (5) work telephone number; (6) e-mail address; (7) résumé; (8) summary of qualifications for DTAG membership, and (9) confirmation that the applicant is not registered as a Federal lobbyist.
(b) The Bureau, with the advice of Department of State attorneys, will determine strive to maintain and keep balance on the DTAG.
(c) Vacancies will be filled during the biannual membership renewal period.
(d) DTAG members are invited to serve for a period of two years.
7. Subcommittee Balance. Subcommittees will be formed following the same process used for the parent Federal Advisory Committee which is to ensure continued diversity within DTAG membership.
8. Other. The DTAG Charter allows for up to 50 private sector members, however, having fewer members increases manageability and functionality of the group. Therefore, DTAG may consist of less than 50 members.
9. Date Prepared. This Membership Balance Plan was prepared on March 27, 2024.
11 FAM Exhibit 812.1(2)
Sample Federal Register Notice of Intent to Establish a Committee
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
NOTE: See 18 FAM 201.6 for instructions on publishing in the Federal Register.
Billing Code: XXXXX
DEPARTMENT OF STATE
Public Notice: XXXXXX
The Advisory Committee on Responsible Business Conduct
AGENCY: Department of State
ACTION: Notice of intent to establish an advisory committee
The Department of State announces an intent to establish the Advisory Committee on Responsible Business Conduct (“the Committee”), pursuant to the Federal Advisory Committee Act and the Department of State Basic Authorities Act, codified in 22 U.S.C. 2651.
Nature and Purpose: The Committee will provide advice on opportunities and challenges in business and human rights as well as responsible business conduct issues more broadly, including performance of the following functions:
(a) advice and recommendations on implementing the National Action Plan on Responsible Business Conduct.
(b) advice and recommendations on timely business and human rights and responsible business conduct issues more broadly, which could include subcommittees focused on a wide range of issues, e.g. the National Contact Point.
(c) advice and recommendations on the Department of State's role in advancing business and human rights and responsible business conduct more broadly.
Other information: It is anticipated that the Committee will meet at least once a year, and such other times and places are required to fulfill the objectives of the Committee. The Department of State affirms that the advisory committee is necessary and in the public interest.
For further information, please contact: XXXXX
(Authority: 5 U.S.C. 1009 and 22 U.S.C. 2651a.)
11 FAM Exhibit 812.2
Sample Charter for a Statutory Advisory Committee
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
CHARTER OF THE
CULTURAL PROPERTY ADVISORY COMMITTEE
1. Committee’s Official Designation.
The official designation of the Committee is the Cultural Property Advisory Committee, hereinafter referred to as “the Committee.”
2. Authority.
The Committee is established by Section 306 of the 1983 Convention on Cultural Property Implementation Act, as amended (Title III, Public Law 97-446) (“the Act”), codified at 19 U.S.C. § 2605. The Committee is also established in accordance with the provisions of the Federal Advisory Committee Act (FACA), as amended, 5 U.S.C. § 1001 et seq.
3. Objectives and Scope of Activities.
The objectives and the scope of the activities of the Committee are generally to advise the President on appropriate U.S. action in response to requests from States Parties to the 1970 UNESCO Convention on the Means of Prohibiting and Preventing the Illicit Import, Export, and Transfer of Ownership of Cultural Property, adopted November 14, 1970 by the 16th General Conference of the United Nations Educational, Scientific and Cultural Organization. Such requests are for assistance in protecting a State Party's cultural patrimony under the Act. Through delegations of authority, the Secretary of State, the Under Secretary for Public Diplomacy and Public Affairs, and the Assistant Secretary for Educational and Cultural Affairs (collectively, “the President’s designee”) may exercise authority under the Act.
4. Description of Duties.
The Committee reviews and investigates requests of States Parties to the Convention, to advise whether the requests of the States Parties meet the requirements of the Act for the purposes of entering into bilateral or multilateral agreements authorized under the Act or unilaterally applying import restrictions on an emergency basis. Further, the Committee carries out continuing review of the effectiveness of agreements and emergency import limitations. The Committee, as specified in the Act, also makes recommendations concerning extensions and suspensions of agreements and emergency restrictions.
The duties of the Committee are advisory in nature.
5. Agency or Official to Whom the Committee Reports.
The Committee reports to the President’s designee, and in accordance with the Act, the Committee’s reports are provided to both the President’s designee and Congress.
6. Support.
The Department of State is responsible for providing to the Committee such administrative and technical support services and assistance as it may reasonably require to carry out its activities. At the request of the Committee, the head of any other Federal agency may detail to the Committee, on a reimbursable basis, any of the personnel of their agency to assist the Committee in carrying out its functions and provide any information and assistance to the Committee that it may reasonably require to carry out its activities.
7. Estimated Annual Operating Costs and Staff Years.
The Committee's estimated annual operating costs are $980,000, and it is supported by 2.0 FTE.
8. Designated Federal Officer.
The Designated Federal Officer (DFO) will be a full-time or permanent part-time U.S. government employee, appointed by the Assistant Secretary for Educational and Cultural Affairs, or designee. An alternate DFO may also be appointed. The DFO prepares and approves all meeting agendas, attends all Committee (and any subcommittee) meetings, adjourns any meeting when they determine adjournment to be in the public interest, and chairs meetings when directed to do so by the Assistant Secretary for Educational and Cultural Affairs. According to the Act, the Committee shall meet at the call of the Secretary of State, or when a majority of its members request a meeting in writing.
9. Estimated Number and Frequency of Meetings.
It is anticipated that the Committee will meet a maximum of four times a year.
10. Duration.
The Committee is statutory and may only be terminated by law.
11. Termination.
The Charter will terminate two years from the date of renewal, unless the Committee is terminated by law.
12. Membership and Designation.
The Act provides that the Committee is composed of eleven experts and professionals appointed by the President. The President shall designate a Chairman of the Committee from the members of the Committee. Representation on the Committee is stipulated by Section 306(b) of the Act: (1) two members who represent the interests of museums; (2) three members who are expert in archaeology, anthropology, ethnology, or related fields; (3) three members who are expert in the international sale of archaeological, ethnological, and other cultural property; and (4) three members who represent the interest of the general public. Terms are staggered and are for three years. A member continues to serve until replaced, and a member may be reappointed. Committee members are Special Government Employees (SGEs).
13. Subcommittees.
The Assistant Secretary for Educational and Cultural Affairs may create subcommittees. Any subcommittees must report back to the Committee and do not provide advice or work products directly to the Department of State.
14. Recordkeeping.
The records of the Committee and any subcommittees are handled in accordance with General Records Schedule 6.2. In accordance with the Act, the provisions of FACA apply to the Committee except that the requirements of subsections (a) and (b) of section 10 and section 11 of FACA (relating to open meetings, public notice, public participation, and public availability of documents) do not apply to the Committee whenever and to the extent it is determined by the President’s designee that the disclosure of matters involved in the Committee’s proceedings would compromise the Government’s negotiating objectives or bargaining positions on the negotiations of any agreement authorized by this chapter.
15. Filing date (see date stamp below the approval block).
Now, thereby, this Charter will be considered approved by the Department of State as of this date and will be considered filed as of the Filing Date, when copies have been provided to the Senate Armed Services Committee, the House Foreign Affairs Committee, the Library of Congress, and the Secretariat, pursuant to the provisions of the Federal Advisory Committee Act and the FACA Final Rule.
APPROVED: ________________________________
XXXXX
Under Secretary of State for Management
DATE: _______________________
Date Filed:
11 FAM Exhibit 815.2(1)
Sample Federal Register Notice for an Open Meeting
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
NOTE: See 18 FAM 201.6 for instructions on publishing in the Federal Register.
Billing Code xxxxxxx
DEPARTMENT OF STATE
Public Notice (leave blank)
TITLE: Defense Trade Advisory Group; Notice of Open Meeting
SUMMARY: The Defense Trade Advisory Group (DTAG) will meet in open session from 10 a.m. to 1:30 p.m. on Tuesday, May 3, 2011, in the Dean Acheson Auditorium at the U.S. Department of State, Harry S. Truman Building, Washington, DC. Entry and registration will begin at 9:00 a.m. Please use the building entrance located at 23rd Street, NW, Washington, DC between C and D Streets. The membership of this advisory committee consists of private sector defense trade representatives, appointed by the Assistant Secretary of State for Political-Military Affairs, who advise the Department on policies, regulations, and technical issues affecting defense trade. The purpose of the meeting will be to discuss current defense trade issues and topics for further study. Agenda topics will be posted on the Directorate of Defense Trade Controls’ website, at www.pmddtc.state.gov approximately 2 weeks prior to the meeting.
Members of the public may attend this open session and will be permitted to participate in the discussion in accordance with the Chair’s instructions. Members of the public may, if they wish, submit a brief statement to the committee in writing.
As access to the Department of State facilities is controlled, persons wishing to attend the meeting must notify the DTAG Alternate Designated Federal Officer (DFO) by close of business Friday, April 22, 2011. If notified after this date, the Department’s Bureau of Diplomatic Security may not be able to complete the necessary processing required to attend the plenary session. A person requesting reasonable accommodation should notify the Alternate DFO by the same date.
Each nonmember observer or DTAG member that wishes to attend this plenary session should provide: their name; company or organizational affiliation; phone number; date of birth; and identifying data such as driver’s license number, U.S. Government ID, or U.S. Military ID, to the DTAG Alternate DFO, [name] via e-mail at [name]@state.gov. A RSVP list will be provided to Diplomatic Security. One of the following forms of valid photo identification will be required for admission to the Department of State building: U.S. driver’s license, passport, U.S. Government ID or other valid photo ID. Personal data is requested pursuant to Public Law 99-399 (Omnibus Diplomatic Security and Antiterrorism Act of 1986), as amended; Public Law 107-56 (USA PATRIOT Act); and Executive Order 13356. The purpose of the collection is to validate the identity of individuals who enter Department facilities. The data will be entered into the Visitor Access Control System (VACS-D) database. Please see the Privacy Impact Assessment for VACS-D at http://www.state.gov/documents/organization/100305.pdf for additional information.
For additional information, contact [name], DDTC, SA-1, 12th Floor, Directorate of Defense Trade Controls, Bureau of Political-Military Affairs, U.S. Department of State, Washington, DC 20522-0112; telephone [number and fax number]; or e-mail [name]@state.gov.
11 FAM Exhibit 815.2(2)
Sample Media Note for Open Meeting
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
U.S. DEPARTMENT OF STATE
Office of the Spokesman
For Immediate Release June 23, 2011
2011/
Media Note
Meeting of the Advisory Committee on
International Communications and Information Policy
The Advisory Committee on International Communications and Information Policy (ACICIP) will meet on Tuesday, June 28 at 9:00 a.m. in The Loy Henderson Auditorium of the Harry S. Truman Building. The ACICIP serves the U.S. Government in a solely advisory capacity regarding current issues and concerns in international communications and information policy. The public and members of the press may attend this meeting as seating capacity allows.
The June 28 meeting will cover:
Discussions pertaining to various international telecommunications meetings and conferences, as well as bilateral meetings that have taken place recently.
Committee discussion of key issues of importance to U.S. communications policy interests including:
A presentation by the ACICIP International Disaster Response Sub-Committee of its initial recommendations to the Committee of actions the U.S. Government could consider to help facilitate enhanced public and private-sector/Non Government organization (NGO) information and communications technology (ICT) responses to international disasters.
“ICT and Development: Scaling the International Digital Divide—The Search for Sustainable Solutions and Mutual Value Propositions.”
Admittance to the State Department building will be by means of a pre-arranged clearance list. In order to be placed on this list, please provide your name, title, company or other affiliation if appropriate, government-issued identification number (such as Driver's License number and State), date of birth, and citizenship to the office of International Communications and Information Policy by fax [number] or email [name]@state.gov) by close of business on June 26. Authority for collecting the personal data was included in the Federal Register notice announcing this meeting. See 76 FR 33399.
For further information, please contact [name], Executive Secretary to the Advisory Committee on International Communications and Information Policy, at [telephone number] or [name]@state.gov.
# # #
11 FAM Exhibit 815.4
Sample Federal Register Notice for Closed Meeting
(CT:POL-87; 12-19-2024)
(Office of Origin: L/M)
For use after the formal determination to close the meeting
NOTE: See 18 FAM 201.6 for instructions on publishing in the Federal Register.
Billing No. xxxxxx
U.S. DEPARTMENT OF State
Public Notice # xxxxx
INTERNATIONAL SECURITY ADVISORY BOARD (ISAB) MEETING Notice
Closed Meeting
In accordance with section 10(a)(2) of the Federal Advisory Committee Act, 5 U.S.C. 1009(a)(2), the Department of State announces a meeting of the International Security Advisory Board (ISAB) to take place on June 25, 2024, at the Department of State, Washington, D.C.
Pursuant to section 10(d) of the Federal Advisory Committee Act, 5 U.S.C. 1009(d), and 5 U.S.C. § 552b(c)(1), it has been determined that this Board meeting will be closed to the public because the Board will be reviewing and discussing matters properly classified in accordance with Executive Order 13526. The purpose of the ISAB is to provide the Department with a continuing source of independent advice on all aspects of arms control, disarmament, nonproliferation, outer space, critical infrastructure, cybersecurity, the national security aspects of associated technologies, international security, and related aspects of public diplomacy. The agenda for this meeting will include classified discussions related to the Board’s ongoing studies on current U.S. policy and issues regarding biotechnology and military-civil fusion strategy, multilateral disarmament structures, and security cooperation and arms transfers.
For more information, contact XXX.