12 FAM 030
ACCOUNTABILITY REVIEW BOARD (ARB)
(Office of Origin: M/SS)
12 FAM 031 GENERAL PROVISIONS
12 FAM 031.1 Objective
The Accountability Review Board process is a mechanism to foster more effective security of U.S. missions and personnel abroad by ensuring a thorough and independent review of security-related incidents. Through its investigations and recommendations, the Board seeks to determine accountability and promote and encourage improved security programs and practices. In addition, the ARB mechanism enhances the integrity of the visa issuing process by determining accountability in certain instances in which terrorist acts in the United States are committed by aliens.
12 FAM 031.2 Responsibilities
An ARB will be convened for the express purpose of investigating only that incident or those incidents specified by the Secretary. A Board will examine the facts and circumstances surrounding the incident or incidents, and make written findings in accordance with 12 FAM 035.
12 FAM 031.3 ARB Definitions
Act: The Omnibus Diplomatic Security and Antiterrorism Act of 1986, as amended.
ARB: Accountability Review Board.
Board: Accountability Review Board established under either Title III of the Act (22 U.S.C. 4831) or Section 140(c).
COM: Chief of a U.S. mission.
Committee: The ARB Permanent Coordinating Committee (ARB/PCC).
Consular officer: Any individual authorized to issue visas pursuant to Section 101(a)(9) of the Immigration and Nationality Act, 8 U.S.C. 1101(a)(9), and the Department’s regulations under 22 CFR 40.1(d).
Days: Calendar days.
DNI: The Director of National Intelligence.
Department: The Department of State.
Exclusive representative: A lawyer appearing at the witness’s expense, or a lawyer who represents solely the interests of the witness testifying before an ARB. U.S. Government lawyers who are obliged to represent the interests of their employer agencies are not “exclusive representatives” for purposes of these regulations.
Incident: A security-related incident or a visa incident.
Individual: As defined in Section 303(a)(1)(B) of the Act (22 U.S.C. 4833(a)(1)(B)).
Party: Any person invited, subpoenaed, or otherwise required to participate in any investigation, hearing, or other official activity of a Board.
Records of a Board: Documents and information, in any form, that are used or produced by a Board and which a Board believes should be included in its official records.
Secretary: The Secretary of State.
Section 140(c): Section 140(c) of the Foreign Relations Authorization Act, Fiscal Years 1994 and 1995, Public Law 103-236, as amended by Section 1(d) of Public Law 103-415 (October 25, 1994) (8 U.S.C. 1182 note).
Security-related incident: A case of serious injury, loss of life, or significant destruction of property at or related to a U.S. government mission abroad, or a case of a serious breach of security involving intelligence activities of a foreign government directed at a U.S. mission abroad (other than a facility or installation subject to the control of a U.S. area combatant commander), and the incident is not clearly unrelated to security.
Visa incident: A terrorist act causing serious injury, loss of life, or significant destruction of property in the United States when there is probable cause to believe that an alien participated in the incident, and when the alien was issued a visa contrary to applicable visa lookout procedures established by the Department.
12 FAM 032 ORGANIZATION
12 FAM 032.1 ARB Permanent Coordinating Committee (ARB/PCC)
a. Purpose: The ARB/PCC will, as quickly as possible after an incident occurs, review the available facts and recommend to the Secretary to convene or not convene a Board. (Due to the 1999 revision of the law requiring the Secretary to convene a Board not later than 60 days after the occurrence of an incident, except that such period may be extended for one additional 60-day period, the ARB/PCC will meet within 30 days of the incident if enough information is available.) In addition, the ARB/PCC will meet yearly to review the ARB process, existing policies and procedures, and all past ARB recommendations, and ensure that any necessary changes are effected.
b. Membership: The ARB/PCC will be composed of the following members:
(1) The director of the Office of Management Strategy and Solutions (M/SS), who will chair the ARB/PCC; or designee
(2) The Assistant Secretary for Diplomatic Security or designee;
(3) The Assistant Secretary for Intelligence and Research or designee;
(4) The coordinator for Counterterrorism or designee;
(5) The assistant secretary or designee of the relevant regional bureau(s)
(6) One representative designated by and representing the DNI; and
(7) The Assistant Secretary for Consular Affairs or designee.
NOTE: Designees must have the authority to vote at ARB/PCC meetings on behalf of their principal; they may not defer decisions until they have briefed the principal.
c. Other participants: As a result of the State-Justice Memorandum of Understanding (MOU) dated September 20, 2001, the Department of Justice has attended PCC meetings. The Department’s Deputy Legal Adviser, director of the Bureau of Medical Services, and Executive Secretary of the Executive Secretariat, or his/her designees, will attend PCC meetings. Also, as determined by the chairperson, representatives of other offices and agencies may be invited to work with the ARB/PCC. Participants listed in this section do not vote.
d. Security clearances: Members of the ARB/PCC and other ARB/PCC participants must have the appropriate and necessary security clearances from the Department of State and, as necessary, from other departments and agencies before being granted access to classified information.
e. Incident identification and vetting process: To identify incidents that warrant convening the ARB/PCC:
(1) The incumbents of the following positions are required to notify M/SS, the ARB staff office, when they learn of an incident that could involve loss of life, serious injury, destruction of property, or a case of a serious breach of security involving intelligence activities of foreign government – as described in the Act (22 U.S.C. 4831): members of the ARB/PCC; the relevant Deputy Legal Adviser; the director of the Bureau of Medical Services; assistant secretaries of regional bureaus; the Executive Secretary of the Executive Secretariat; the Under Secretary for Management; and the Under Secretary for Political Affairs. These individuals or their designees must notify M/SS of a potentially qualifying incident as soon as they become aware of it by sending an e-mail to MSSARBSupport@state.gov and to the director and deputy director of M/SS;
(2) Chiefs of Mission (COMs), Deputy Chiefs of Mission (DCMs), and principal officers (POs) also must notify M/SS when they learn of an incident that may meet the criteria for an ARB by sending an e-mail to MSSARBSupport@state.gov. The Under Secretary for Management will issue an ALDAC annually reminding post leadership of this responsibility and the method for notifying M/SS.
(3) Upon receiving notification of an incident abroad that could involve loss of life, serious injury, or destruction of property, or a case of a serious breach of security involving intelligence activities of foreign government, as described in the Act (22 U.S.C. 4831), the M/SS director, as Chair of the ARB/PCC, will consult with Bureau of Diplomatic Security (DS), the Office of the Legal Adviser (L), and other offices as appropriate, to evaluate whether the ARB statute criteria apply;
(4) If the incident appears to meet the statutory criteria for an ARB, M/SS will convene an ARB/PCC, allowing enough time for preliminary incident reports to be developed for consideration by the ARB/PCC;
(5) If the applicability of the ARB statute criteria is unclear, M/SS will convene an ARB/PCC to review the incident and make a recommendation;
(6) If the incident clearly does not meet the statutory criteria for an ARB, M/SS, in its capacity as staff office for the ARB process, will notify ARB/PCC members in writing. M/SS will provide a summary of the incident and an explanation as to why the criteria do not apply. Members who disagree with this decision will have three business days upon their receipt of notice to request that an ARB/PCC be convened. If such a request is made, M/SS will convene a meeting of the ARB/PCC; otherwise, no ARB/PCC will be called;
(7) M/SS will log all events involving loss of life, serious injury to personnel, or significant property damage, noting whether a PCC was convened and the reasons for doing so or not; and
(8) On a quarterly basis, the ARB/PCC will notify the Secretary of all incidents that do not warrant convening the ARB/PCC. Examples of such an incident are property damage resulting from a security-related incident that does not have a high-dollar value or a very minor injury resulting from a security-related incident.
12 FAM 032.2 The Board
a. Membership: See Section 302(a) of the Act, 22 U.S.C. 4832.
b. Background of members: Members must possess expertise that will contribute to the work of the Board (e.g., knowledge, experience or training in areas such as foreign affairs, law, security, embassy construction, intelligence, and other areas appropriate to the Board’s work). In most cases, at least one member of the Board should have had substantial experience in personnel and overseas security. In the case of a Board convened pursuant to a visa incident, at least one Board member should have had extensive experience as a consular officer and consular manager. Only in exceptional circumstances should Board members be current employees of the U.S. Government, unless the individual in question is a re-employed annuitant (REA). In such latter case, exceptional circumstances are not necessary in order for the individuals to serve as Board members.
c. Term of appointment: A member’s term will begin upon the convening of the Board by the Secretary and will coincide with the duration of the Board’s mandate.
d. Security clearances: Members and staff must have the appropriate and necessary security clearance before being granted access to classified information.
e. Inability to serve: Should a member be unable to continue serving after appointment, the Secretary may relieve that person from duty on the Board and appoint a replacement member or, in the case of the member appointed by the DNI, the DNI may relieve that member and appoint a replacement.
12 FAM 032.3 ARB Staff
a. ARB staff officer: The director of the Office of Management Strategy and Solutions (M/SS) shall appoint a member of the M/SS staff to be the ARB staff officer. The ARB staff officer will:
(1) Oversee the ARB process and ensure that all policies and procedures relating to the ARB are adequate and up-to-date;
(2) Serve as the institutional memory and primary point of contact within the Department for ARB matters;
(3) Maintain all permanent files, rules, procedures, rosters, libraries, etc., for the ARB process, to include documenting all incidents involving loss of life, injury to personnel, or property damage regardless of whether the incidents meet the criteria under ARB statute, noting whether a PCC was convened and the reasons for doing so or not;
(4) Coordinate the implementation process for ARB recommendations;
(5) Manage the annual ARB/PCC review of all past ARB recommendations; and
(6) Carry out ARB related staff work for the ARB/PCC.
b. ARB Executive Secretary: When a Board is convened, M/SS will name an Executive Secretary to coordinate and facilitate the work of that Board. The Executive Secretary will normally be a Senior Foreign Service officer, a retired Senior Foreign Service officer, a Foreign Service officer with the rank of FS-01, or a civil service employee at the GS-15 level who is recommended by DGHR. The tenure of the Executive Secretary will coincide with the tenure of the Board. Typically, the Executive Secretary should begin work prior to the Board’s first meeting in order to prepare documents for the Board’s review and remain active until meeting records are closed out.
c. Experts, consultants and support staff: As determined by the Board, the Department will provide the necessary experts, consultants and support staff to enable the Board to carry out its duties effectively and efficiently. S/ES-EX will provide a full-time dedicated administrative support coordinator (detailee or REA) to assist the Executive Secretary of the ARB, as formalized in Administrative Notice No. 05-02, dated February 22, 2005.
12 FAM 032.4 Assignment, Hiring, and Contracting Mechanisms
The full-time Administrative Support Coordinator appointed by S/ES-EX will work with the appropriate offices in the Department such as S/ES-EX, DGHR, A/OPR, etc., and is responsible for overseeing and coordinating the mechanisms to assign, hire and/or contract for the personnel and services required by a Board. The Coordinator will also ensure that all such personnel receive the necessary security clearance prior to assuming their duties.
12 FAM 032.5 ARB Facilities, Services, and Supplies
a. As set forth in S/ES-EX Administrative Notice No. 05-02 dated February 22, 2005, S/ES-EX is responsible for providing a Board with necessary and appropriate office space, equipment, service, passes and permits, supplies and such other logistical support as a Board may require. In accordance with 12 FAM 034, this includes the ability to record interviews the Board conducts in the course of its official duties and for the Board members to be provided transcripts of recorded interviews upon request.
b. S/ES-EX budgets and provides funding for ARB expenses.
c. The ARB staff officer, as appropriate, coordinates the needs of a Board with the Administrative Support Coordinator in S/ES-EX and with the ARB Executive Secretary.
12 FAM 033 CONVENING, SELECTING, AND TERMINATING A BOARD
12 FAM 033.1 Convening a Board
a. Written decision: The Secretary, in writing, makes the decision to convene a Board and sets forth the names of the Board’s Chairperson and members, the purposes and jurisdiction of the Board (as established in Section 304 of the Act (22 U.S.C. 4831) or, as appropriate, Section 140(c)), and its duration. The decision will be published in the Federal Register, or other similar document, if deemed appropriate by the Secretary.
b. Deadlines for convening a Board: The Secretary must convene a Board no later than 60 days after the occurrence of an incident, except that such 60-day period may be extended for one additional 60-day period if the Secretary determines that the additional period is necessary for the convening of the Board.
c. Delays: With respect to breaches of security involving intelligence activities, the Secretary may delay the convening of a Board, if, after consultation with the chair of the Select Committee on Intelligence of the Senate and the chair of the Permanent Select Committee on Intelligence of the House of Representatives, the Secretary determines that the establishment of a Board would compromise intelligence sources or methods. The Secretary must promptly advise the chairs of such committees of each determination to delay the establishment of a Board.
d. Security-related incidents:
(1) Unless the Secretary determines the causes of the incident were clearly unrelated to security, a Board convenes if the following two determinations are made:
(a) That the incident involved serious injury, loss of life, or significant destruction of property or a serious breach of security involving intelligence activities of a foreign government; and
(b) That the incident occurred at or related to a U.S. government mission abroad (other than a facility or installation subject to the control of a U.S. area combatant commander);
(2) The Secretary of State is not required to convene a Board in the case of an incident that involves any facility, installation, or personnel of the Department of Defense (DoD) with respect to which the Secretary has delegated operational control of security functions abroad to the Secretary of Defense pursuant to section 106 of the Act (22 U.S.C. 4831). In any such case, the Secretary of Defense will conduct an appropriate inquiry and report the findings and recommendations of such inquiry, and the action taken with respect to such recommendations, to the Secretary of State and Congress.
e. Visa incidents: A Board will be convened with respect to a visa incident only if the following three determinations are made:
(1) That the incident involved a terrorist act causing serious injury, loss of life, or significant destruction of property in the United States;
(2) That there is probable cause to believe that a specifically identified alien was a participant in the terrorist act; and
(3) That the alien was issued a visa on or after May 1, 1996; at the time of visa issuance, the alien’s name was included in the Department’s Consular Lookout and Support System (CLASS) and that the visa was issued as a result of a failure by the consular officer to adhere to the procedures required to be followed by the inclusion of the name in such visa lookout system.
f. Notification to Congress: Whenever the Secretary convenes a Board, the Secretary will promptly inform the chairman of the Committee on Foreign Relations of the Senate and the Speaker of the House of Representatives:
(1) That a Board has been convened;
(2) The membership of the Board; and
(3) Other appropriate information about the Board.
12 FAM 033.2 Selection, Appointment, and Compensation of Members
a. Selection: The ARB staff officer maintains a list of potential members. During the ARB/PCC's yearly meeting the list will be reviewed and updated. If the ARB/PCC recommends that the Secretary convene a Board, it will forward a list of potential Board members to the Secretary for approval. The ARB/PCC coordinates its activities in this area with the DNI’s representative.
b. Appointment: Members selected by the Secretary and the DNI for appointment to a Board will, as necessary, be processed for employment purposes by S/ES-EX.
c. Compensation: Members who are not Federal officers or employees, unless they waive compensation, will be paid (per the statute) at a rate not to exceed the maximum rate of basic pay payable for level GS 15, Step 10 of the General Schedule (5 U.S.C. 5332) for each day (including travel time) during which they are engaged in the actual performance of Board duties. Members who are Federal officers or employees shall receive no additional pay for service on a Board. Civil Service annuitants serving as ARB members will require the approval of a Dual Compensation Waiver in order to receive compensation for their services. The ARB staff officer and S/ES-EX will coordinate with HR/Civil Service Human Resource Management (CSHRM) to request such a waiver prior to the individual beginning work on the ARB.
12 FAM 033.3 Timeframe of a Board
a. Initiating activities: A Board must begin its work within a reasonable period of time following the Secretary’s decision to convene the Board.
b. Ample time: A Board must be given ample time to conduct its investigations and write its report.
c. Extension of time: Should a Board decide that the time allotted for its work is insufficient, it must apply, in writing, to the Secretary for an extension of time.
d. Termination: A Board’s authority terminates on the date set forth in the Secretary’s order convening the Board, or on a date as is subsequently set by the Secretary.
12 FAM 034 BOARD POWERS AND PROCEDURES
12 FAM 034.1 Powers of a Board and Chairperson
a. Board powers: The Board has the authority to:
(1) In accordance with section 303 of the Act, with respect to any individual:
(a) Administer oaths and affirmations;
(b) Require that depositions be given and interrogatories be answered; and
(c) Require the attendance and presentation of testimony and evidence by such individual;
(2) In accordance with section 303 of the Act, with respect to persons not included under the Act’s definition of individual:
(a) Administer oaths and affirmations; and
(b) Require that depositions be given and interrogatories be answered;
(3) Determine Board procedures for hearings, investigations and other such activities of the Board;
(4) Issue subpoenas, where necessary and in accordance with section 303(a)(3) of the Act (22 U.S.C. 4831); and
(5) Make findings and recommendations as provided in section 304 of the Act (22 U.S.C. 4831), or, as appropriate, section 140(c).
b. Powers of the Chairperson: The Board Chairperson has the authority to:
(1) Regulate the course and conduct of ARB activities, including but not limited to holding hearings and controlling their course and conduct; and
(2) Designate, in writing, another member to act in his or her stead in case of temporary absence.
12 FAM 034.2 Board Procedures
12 FAM 034.2-1 Investigations
a. Venue: The Board may conduct its investigations, including hearings, within the United States or abroad. When appropriate and cost effective, the Board will make every reasonable effort to take sworn testimony within the continental United States.
b. Use of investigative personnel: The Board may use, subject to the concurrence of the sending office and/or agency, personnel from such entities as the DS or the Office of the Inspector General to assist its investigative activities.
c. Noninterference with other authorities: The Department will notify the Department of Justice, Office of Counterterrorism of any decision by the Secretary to convene an ARB shortly after such a decision is made. The Board will carry out its activities in a manner that does not interfere with or compromise the work of duly authorized authorities, such as law enforcement, security, intelligence or diplomatic activities, either U.S. or foreign.
d. Clearance requirement abroad: Prior to undertaking any Board activities outside the United States, the Board must obtain the concurrence of the COM and, if deemed appropriate by the COM, of the host government to such activities.
e. Conduct of activities abroad: Any ARB activities undertaken abroad must be conducted in a manner consistent with local law and custom, as determined by the COM or the Department. Activities abroad will be closed to the public unless the Board desires they be open and the COM and the Department concurs.
12 FAM 034.2-2 Evidence
The ARB may accept any evidence determined by the Chairperson to be relevant and material to the investigation. The Federal Rules of Evidence are not applicable to the Board.
12 FAM 034.2-3 Witness Rights
(1) Any person appearing before or meeting with the Board or a member(s) of the Board or responding to written questions issued by the Board, whether acting voluntarily or by subpoena and whether sworn or unsworn, is entitled to be accompanied and advised by an exclusive representative at the person’s expense consistent with 12 FAM 031.3. Foreign and Civil Service employee witnesses may be represented by the appropriate representation (e.g., the American Foreign Service Association—AFSA). Except to the extent that their presence is required by the DNI for the purpose of protecting sources and methods, the Board may bar from ARB proceedings government lawyers who are not the exclusive representatives of persons appearing before or meeting with the Board;
(2) An employee assigned domestically who is notified to appear as a witness by the Board will, if the employee so requests, be granted 72 hours in order to obtain representation. Should the employee desire additional time, a written request for such time may be made to the Chairperson; and
(3) An employee assigned abroad who is notified to appear as a witness by the Board, and who wishes to be represented by someone other than an exclusive representative, may submit a written request to the Chairperson, requesting a reasonable amount of time to obtain such representation. The amount of time granted by the Chairperson will depend on such factors as the scope of the ARB process, the limits of the employee’s expected testimony, and the feasibility of obtaining counsel at that location.
(1) Witnesses responding to or appearing before the Board or a member(s) of the Board must be given reasonable written notice of the proceeding’s time, place and nature. They must also be advised, in writing, of the authority under which the proceeding is being conducted and the purpose(s) to which the information they give may be used. Finally, the witnesses are to be advised of their legal right to refuse to answer self-incriminating questions and of their right to have counsel present; and
(2) The Department must notify post employees concerning their rights in connection with ARB investigations prior to the arrival of the ARB investigative team at post.
c. Travel expenses:
Subpoenaed witnesses will be paid the same fee and mileage allowances paid to subpoenaed witnesses in the courts of the United States.
d. Presentations: Subject to 12 FAM 034.2-2, a witness has the opportunity to bring to the ARB's attention areas of inquiry, material, and the names of additional potential witnesses.
12 FAM 034.2-4 Confidentiality and Safeguarding of Classified Information
a. Adopting procedures: (See 22 U.S.C. 4833.) Such procedures must ensure the protection of classified information and administrative confidentiality of testimony affecting personal privacy or ongoing criminal investigations. In addition, the Board will take care to protect Sensitive But Unclassified (SBU) information, such as security policies and procedures.
b. DNI role: DNI will establish the level of protection(s) and standards required for intelligence information, including appointing a representative, as necessary, to attend Board activities where classified intelligence information might be used.
12 FAM 034.2-5 Classification Authority
Members of the Board do not have original classification authority. The director of M/SS will exercise original classification authority for materials originating from Board activities.
12 FAM 034.2-6 Records
Records pertaining to ARB activities and proceedings will be kept by the ARB staff officer and the DNI in accordance with 22 U.S.C. 4833(c).
12 FAM 035 FINDINGS AND RECOMMENDATIONS
12 FAM 035.1 Findings
a. Examination: A Board will examine the facts and circumstances surrounding the security-related incident or a visa incident.
b. Written submission: In its report to the Secretary, a Board makes written findings, which may be classified, as necessary.
c. Dissemination of findings: The board submits its written findings directly to the Secretary through the M/SS director, whose role is only to classify the document as appropriate (the Board members do not have original classification authority), and L, whose role is to offer legal advice about the report, including ensuring that the report meets the legal requirements laid out in 22 U.S.C. 4834. The report will initially be provided solely to the Secretary, who will determine its subsequent distribution. The Board’s written findings are distributed as directed by the Secretary following the Secretary’s receipt of the Board’s written findings.
12 FAM 035.2 Recommendations
12 FAM 035.2-1 Program Recommendations
a. See 22 U.S.C. 4834(b).
b. Confidentiality: In its program recommendations, the Board takes care to safeguard classified information and afford such information the required measure of protection. In addition, any sections of such recommendations affecting personal privacy or ongoing law enforcement investigations will receive appropriate confidentiality and other applicable protections necessary under law.
c. Signatures and dissent: Each program recommendation must be signed by all ARB members who agree, thus signifying their support for and agreement with the recommendation. In cases where a member dissents from part or all of such a recommendation, that member may submit written dissenting views. Any such dissenting views must be attached to the recommendation and signed by the dissenting member.
12 FAM 035.2-2 Personnel Recommendations
a. Requirement: See 22 U.S.C. 4834(c) as amended by FY2017 State Authorities Act sec. 104.
c. Confidentiality: In its personnel recommendations, the Board will take care to safeguard classified information and afford such information the required measure of protection. In addition, any sections of such recommendations affecting personal privacy or ongoing law enforcement investigations will receive appropriate confidentiality and other applicable protections necessary as provided by law.
d. Signatures and dissent: Each personnel recommendation must be signed by all ARB members who agree, thus signifying their support for and agreement with the recommendation. In cases where a member dissents from part or all of such a recommendation, that member may submit written dissenting views. Any such dissenting views must be attached to the recommendation and signed by the dissenting member.
e. Notification of the head of agency or instrumentality: The Board must send a separate notification on each individual who is the subject of a personnel recommendation to the head of agency or instrumentality concerned. Such notification must contain, at a minimum:
(1) The Board’s findings of reasonable cause, together with all relevant evidence supporting such findings;
(2) The Board’s recommendations concerning investigatory or disciplinary action; and
(3) Any dissenting views.
f. Notification of the individual: The Board must send notification to each individual who is the subject of a personnel recommendation. Such notification must contain, at a minimum, a covering statement informing the individual that:
(1) The Board is acting pursuant to Section 304(c) of the Act (22 U.S.C. 4831) or as the case may be, Section 140(c);
(2) The report does not represent the initiation of disciplinary or other adverse action against the individual; and
(3) The decision to initiate disciplinary or other adverse action against the individual rests with the individual’s employing agency, or other competent authority.
12 FAM 036 REPORTS
12 FAM 036.1 Types of Reports
Section 304 of the Act envisages three types of reports that generally will also be appropriate under Section 140(c):
(1) An ARB report to the Secretary on its findings and any program recommendations;
(2) The Secretary’s report to the Congress on any program recommendations and the actions taken on them; and
(3) Report(s) to the Congress by the head(s) of the concerned agency(ies) or instrumentality(ies) on any personnel recommendations.
12 FAM 036.2 The Board’s Report to the Secretary
a. Content: The ARB's Report to the Secretary includes the Board’s findings, any program recommendations and, regardless of agency or instrumentality concerned, any personnel recommendations. The report must be based upon a consideration of the entire record of information obtained by the Board.
b. Confidentiality: In its Report to the Secretary, the Board takes care to safeguard classified information and afford it the measure of protection required. In addition, sections of the Report affecting personal privacy or ongoing law enforcement investigations will receive appropriate confidentiality and other applicable protections required under law.
c. Signatures and dissent: All ARB members who agree must sign the Board’s report and thereby signify their support for and agreement with the report. In cases where a member dissents from any of the findings or recommendations, that member must submit written dissenting views. Any such dissenting views must be attached to the Board’s report and signed by the dissenting members.
12 FAM 036.3 Managing ARB Recommendations
a. Acceptance of recommendations: The Secretary of State, or his/her designee, will determine what actions should be taken with respect to the recommendations. The Deputy Secretary of State for Management and Resources (D-MR), or, in the absence of D-MR, the Deputy Secretary of State, will oversee the Department’s progress on ARB implementation.
b. Implementation: The Under Secretary for Management, in coordination with the Under Secretary for Political Affairs, is responsible for implementation of ARB recommendations. On behalf of the Secretary and other Department principals, M/SS will coordinate and track recommendations and manage the overall implementation process. M/SS will report progress on ARB implementation to the Deputy Secretary for Management and Resources (D-MR), or, in the absence of D-MR, the Deputy Secretary of State. The report will also be provided to the Under Secretary for Political Affairs and the Under Secretary for Management
c. Annual Implementation Status Review: The ARB/PCC will review all past recommendations on an annual basis and provide a report to the Under Secretaries for Political Affairs and Management, providing the implementation status of all past recommendations, and noting any trends. The report will also be provided to the Deputy Secretary and Deputy Secretary of State for Management and Resources.
d. Status of recommendations: The Under Secretary for Management will determine the implementation status of a recommendation (i.e. whether it should be categorized as closed or open, including whether to reopen a closed recommendation). The ARB/PCC, upon a majority vote, may reopen a closed recommendation based upon new information. The ARB/PCC may not close a recommendation.
12 FAM 036.4 Reports to Congress
a. Program recommendations: Per the ARB statute, the Secretary will, not later than 90 days after the receipt of an ARB's program recommendations, submit a report to the Congress on each such recommendation and the action taken with respect to that recommendation. The report shall be sent to the Speaker of the House and the President Pro Tempore of the Senate; the Chairperson and Ranking Member of the Senate and House Appropriations Committees, the Subcommittee on State and Foreign Operations; and the Chairperson and Ranking Member of the Senate Foreign Relations Committee and House Foreign Affairs Committee.
b. Personnel recommendations: The head of the Federal agency or instrumentality receiving a report from a Board that contains a finding of reasonable cause under Section 304(c) of the Act (22 U.S.C. 4831) or Section 140(c) will, not later than 30 days after receiving that finding, transmit to the Congress a report specifying:
(1) The nature of the case and a summary of the evidence transmitted by the Board; and
(2) The decision by the Federal agency or instrumentality to take disciplinary or other appropriate action against that individual or the reasons for deciding not to take disciplinary action or other action with respect to that individual.
c. Distribution of copies of reports on personnel recommendations: A copy of each personnel recommendation report to the Congress will be sent to the Secretary of State and, if applicable, the head of the agency of said personnel. In addition, a copy of such a report will be sent to the individual concerned, provided that doing so does not violate the employing agency’s own procedures or regulations.
12 FAM 037 THROUGH 039 UNASSIGNED