Source: https://www.gsa.gov/policy-regulations/regulations/federal-management-regulation-fmr?asset=89981
Timestamp: 2017-10-21 22:55:42
Document Index: 635811086

Matched Legal Cases: ['§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', 'art 304', '§102', '§102', '§102', '§102', '§102', 'art 304', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', '§102', 'arts 1220', '§102', '§102', '§102', '§102', '§102', '§102', 'arts 1220', '§102', '§102', '§102', '§102']

§102-3.5—What does this subpart cover and how does it apply?
§102-3.10—What is the purpose of the Federal Advisory Committee Act?
§102-3.15—Who are the intended users of this part?
§102-3.20—How does this part meet the needs of its audience?
§102-3.25—What definitions apply to this part?
“Act” means the Federal Advisory Committee Act, as amended, 5 U.S.C., App.
“Advisory committee” subject to the Act, except as specifically exempted by the Act or by other statutes, or as not covered by this part, means any committee, board, commission, council, conference, panel, task force, or other similar group, which is established by statute, or established or utilized by the President or by an agency official, for the purpose of obtaining advice or recommendations for the President or on issues or policies within the scope of an agency official’s responsibilities.
“Agency” has the same meaning as in 5 U.S.C. 551(1).
“Committee Management Officer (“CMO”)” , means the individual designated by the agency head to implement the provisions of section 8(b) of the Act and any delegated responsibilities of the agency head under the Act.
“Committee Management Secretariat (“Secretariat”)” , means the organization established pursuant to section 7(a) of the Act, which is responsible for all matters relating to advisory committees, and carries out the responsibilities of the Administrator under the Act and Executive Order 12024 (3 CFR, 1977 Comp., p. 158).
“Committee meeting” means any gathering of advisory committee members (whether in person or through electronic means) held with the approval of an agency for the purpose of deliberating on the substantive matters upon which the advisory committee provides advice or recommendations.
“Committee member” means an individual who serves by appointment or invitation on an advisory committee or subcommittee.
“Committee staff” means any Federal employee, private individual, or other party (whether under contract or not) who is not a committee member, and who serves in a support capacity to an advisory committee or subcommittee.
“Designated Federal Officer (“DFO”)” , means an individual designated by the agency head, for each advisory committee for which the agency head is responsible, to implement the provisions of section 10(e) and (f) of the Act and any advisory committee procedures of the agency under the control and supervision of the CMO.
“Discretionary advisory committee” means any advisory committee that is established under the authority of an agency head or authorized by statute. An advisory committee referenced in general (non-specific) authorizing language or Congressional committee report language is discretionary, and its establishment or termination is within the legal discretion of an agency head.
“Independent Presidential advisory committee” means any Presidential advisory committee not assigned by the Congress in law, or by President or the President’s delegate, to an agency for administrative and other support.
“Non-discretionary advisory committee” means any advisory committee either required by statute or by Presidential directive. A non-discretionary advisory committee required by statute generally is identified specifically in a statute by name, purpose, or functions, and its establishment or termination is beyond the legal discretion of an agency head.
“Presidential advisory committee” means any advisory committee authorized by the Congress or directed by the President to advise the President.
“Subcommittee” means a group, generally not subject to the Act, 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.
“Utilized” for the purposes of the Act, does not have its ordinary meaning. A committee that is not established by the Federal Government is utilized within the meaning of the Act when the President or a Federal office or agency exercises actual management or control over its operation.
§102-3.30—What policies govern the use of advisory committees?
(3) The advisory committee’s recommendations will provide an important additional perspective or viewpoint affecting agency operations.
(2) The subject matter or work of the committee has become obsolete by the passing of time or the assumption of the committee’s functions by another entity;
§102-3.35—What policies govern the use of subcommittees?
§102-3.40—What types of committees or groups are not covered by the Act and this part?
(g) Intergovernmental committees. Any committee composed wholly of full-time or permanent part-time officers or employees of the Federal Government and elected officers of State, local and tribal governments (or their designated employees with authority to act on their behalf), acting in their official capacities. However, the purpose of such a committee must be solely to exchange views, information, or advice relating to the management or implementation of Federal programs established pursuant to statute, that explicitly or inherently share intergovernmental responsibilities or administration (see guidelines issued by the Office of Management and Budget (OMB) on section 204(b) of the Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1534(b), OMB Memorandum M-95-20, dated September 21, 1995, available from the Committee Management Secretariat (MC), General Services Administration, 1800 F Street, NW., Washington, DC 20405–0002);
I. FACA applies to advisory committees that are either “established” or “utilized” by an agency.
§102-3.25,
§102-3.40(d),
§102-3.40(f)
(1) A local citizens group wants to meet with a Federal official(s) to help improve the condition of a forest’s trails and quality of concessions. May the Government meet with the group without chartering the group under the Act?
(2) May an agency official attend meetings of external groups where advice may be offered to the Government during the course of discussions?
(3) May an agency official participate in meetings of groups or organizations as a member without chartering the group under the Act?
(4) Is the Act applicable to meetings between agency officials and their contractors, licensees, or other “private sector program partners?”
(A) The answer to questions 1, 2, and 3 is yes, if the agency does not either “establish” or “utilize” (exercise “actual management or control” over) the group.
(i) Although there is no precise legal definition of “actual management or control,” the following factors may be used by an agency to determine whether or not a group is “utilized” within the meaning of the Act:
(a) Does the agency manage or control the group’s membership or otherwise determine its composition?
(b) Does the agency manage or control the group’s agenda?
(c) Does the agency fund the group’s activities?
(ii) Answering “yes” to any or all of questions 1, 2, or 3 does not automatically mean the group is “utilized” within the meaning of the Act. However, an agency may need to reconsider the status of the group under the Act if the relationship in question essentially is indistinguishable from an advisory committee established by the agency.
(B) The answer to question 4 is no. Agencies often meet with contractors and licensees, individually and as a group, to discuss specific matters involving a contract’s solicitation, issuance, and implementation, or an agency’s efforts to ensure compliance with its regulations. Such interactions are not subject to the Act because these groups are not “established” or “utilized” for the purpose of obtaining advice or recommendations.
II. The development of consensus among all or some of the attendees at a public meeting or similar forum does not automatically invoke FACA.
(1) If, during a public meeting of the “town hall” type called by an agency, it appears that the audience is achieving consensus, or a common point of view, is this an indication that the meeting is subject to the Act and must be stopped?
(A) No, the public meeting need not be stopped.
(i) A group must either be “established” or “utilized” by the executive branch in order for the Act to apply.
(ii) Public meetings represent a chance for individuals to voice their opinions and/or share information. In that sense, agencies do not either “establish” the assemblage of individuals as an advisory committee or “utilize” the attendees as an advisory committee because there are no elements of either “management” or “control” present or intended.
III. Meetings between a Federal official(s) and a collection of individuals where advice is sought from the attendees on an individual basis are not subject to the Act.
§102-3.40(e)
(1) May an agency official meet with a number of persons collectively to obtain their individual views without violating the Act?
(2) Does the concept of an “individual” apply only to “natural persons?”
(A) The answer to questions 1 and 2 is yes. The Act applies only where a group is established or utilized to provide advice or recommendations “as a group.”
(i) A mere assemblage or collection of individuals where the attendees are providing individual advice is not acting “as a group” under the Act.
(ii) In this respect, “individual” is not limited to “natural persons.” Where the group consists of representatives of various existing organizations, each representative individually may provide advice on behalf of that person’s organization without violating the Act, if those organizations themselves are not “managed or controlled” by the agency.
IV. Meetings between Federal, State, local, and tribal elected officials are not subject to the Act.
§102-3.40(g)
(1) Is the exclusion from the Act covering elected officials of State, local, and tribal governments acting in their official capacities also applicable to associations of State officials?
(A) Yes. The scope of activities covered by the exclusion from the Act for intergovernmental activities should be construed broadly to facilitate Federal/State/local/tribal discussions on shared intergovernmental program responsibilities or administration. Pursuant to a Presidential delegation, the Office of Management and Budget (OMB) issued guidelines for this exemption, authorized by section 204(b) of the Unfunded Mandates Reform Act of 1995, 2 U.S.C. 1534(b). (See OMB Memorandum M-95-20, dated September 21, 1995, published at 60 FR 50651 (September 29, 1995), and which is available from the Committee Management Secretariat (MC), General Services Administration, 1800 F Street, NW, Washington, DC 20405–0002.)
V. Advisory committees established under the Act may perform advisory functions only, unless authorized to perform “operational” duties by the Congress or by Presidential directive.
§102-3.30(e),
§102-3.40(k)
(1) Are “operational committees” subject to the Act, even if they may engage in some advisory activities?
(A) No, so long as the operational functions performed by the committee constitute the “primary” mission of the committee. Only committees established or utilized by the executive branch in the interest of obtaining advice or recommendations are subject to the Act. However, without specific authorization by the Congress or direction by the President, Federal functions (decisionmaking or operations) cannot be delegated to, or assumed by, non-Federal individuals or entities.
VI. Committees authorized by the Congress in law or by Presidential directive to perform primarily “operational” functions are not subject to the Act.
(1) What characteristics are common to “operational committees?”
(2) A committee created by the Congress by statute is responsible, for example, for developing plans and events to commemorate the contributions of wildlife to the enjoyment of the Nation’s parks. Part of the committee’s role includes providing advice to certain Federal agencies as may be necessary to coordinate these events. Is this committee subject to FACA?
(A) In answer to question 1, non-advisory, or “operational” committees generally have the following characteristics:
(i) Specific functions and/or authorities provided by the Congress in law or by Presidential directive;
(ii) The ability to make and implement traditionally Governmental decisions; and
(iii) The authority to perform specific tasks to implement a Federal program.
(B) Agencies are responsible for determining whether or not a committee primarily provides advice or recommendations and is, therefore, subject to the Act, or is primarily “operational” and not covered by FACA.
(C) The answer to question 2 is no. The committee is not subject to the Act because:
(i) Its functions are to plan and implement specific tasks;
(ii) The committee has been granted the express authority by the Congress to perform its statutorily required functions; and
(iii) Its incidental role of providing advice to other Federal agencies is secondary to its primarily operational role of planning and implementing specific tasks and performing statutory functions.
§102-3.45—What does this subpart cover and how does it apply?
§102-3.50—What are the authorities for establishing advisory committees?
§102-3.55—What rules apply to the duration of an advisory committee?
§102-3.60—What procedures are required to establish, renew, or reestablish a discretionary advisory committee?
(2) Lack of duplication of resources. An explanation stating why the advisory committee’s functions cannot be performed by the agency, another existing committee, or other means such as a public hearing; and
(3) Fairly balanced membership. A description of the agency’s plan to attain fairly balanced membership. The plan will ensure that, in the selection of members for the advisory committee, the agency will consider a cross-section of those directly affected, interested, and qualified, as appropriate to the nature and functions of the advisory committee. Advisory committees requiring technical expertise should include persons with demonstrated professional or personal qualifications and experience relevant to the functions and tasks to be performed.
§102-3.65—What are the public notification requirements for discretionary advisory committees?
§102-3.70—What are the charter filing requirements?
(3) The Library of Congress, Anglo-American Acquisitions Division, Government Documents Section, Federal Advisory Committee Desk, 101 Independence Avenue, SE, Washington, DC 20540–4172; and
§102-3.75—What information must be included in the charter of an advisory committee?
(a) Purpose and contents of an advisory committee charter. An advisory committee charter is intended to provide a description of an advisory committee’s mission, goals, and objectives. It also provides a basis for evaluating an advisory committee’s progress and effectiveness. The charter must contain the following information:
(1) The advisory committee’s official designation;
(2) The objectives and the scope of the advisory committee’s activity;
(3) The period of time necessary to carry out the advisory committee’s purpose(s);
(8) The estimated number and frequency of the advisory committee’s meetings;
(10) The name of the President’s delegate, agency, or organization responsible for fulfilling the reporting requirements of section 6(b) of the Act, if appropriate; and
§102-3.80—How are minor charter amendments accomplished?
(2) Discretionary advisory committees. The charter of a discretionary advisory committee may be amended when an agency head determines that technical provisions of a filed charter are inaccurate, or specific provisions have changed or become obsolete with the passing of time, and that these amendments will not alter the advisory committee’s objectives and scope substantially. The agency must amend the charter language as necessary and file the amended charter as specified in §102-3.70.
§102-3.85—How are major charter amendments accomplished?
§102-3.60,
§102-3.115
(1) Can an agency head delegate to the Committee Management Officer (CMO) responsibility for consulting with the Secretariat regarding the establishment, renewal, or reestablishment of discretionary advisory committees?
(A) Yes. Many administrative functions performed to implement the Act may be delegated. However, those functions related to approving the final establishment, renewal, or reestablishment of discretionary advisory committees are reserved for the agency head. Each agency CMO should assure that their internal processes for managing advisory committees include appropriate certifications by the agency head.
§102-3.60(a),
§102-3.105
(1) Who retains final authority for establishing or renewing a discretionary advisory committee?
(A) Although agency heads retain final authority for establishing or renewing discretionary advisory committees, these decisions should be consistent with §102-3.105(e) and reflect consultation with the Secretariat under §102-3.60(a).
§102-3.30(c),
§102-3.60(b)(3)
(1) What factors should be considered in achieving a “balanced” advisory committee membership?
(A) The composition of an advisory committee’s membership will depend upon several factors, including:
(i) The advisory committee’s mission;
(ii) The geographic, ethnic, social, economic, or scientific impact of the advisory committee’s recommendations;
(iii) The types of specific perspectives required, for example, such as those of consumers, technical experts, the public at-large, academia, business, or other sectors;
(iv) The need to obtain divergent points of view on the issues before the advisory committee; and
(v) The relevance of State, local, or tribal governments to the development of the advisory committee’s recommendations.
§102-3.70(b)
(1) If an advisory committee’s duration exceeds two years, must a charter be filed with the Congress and GSA every two years?
(A) Yes. Section 14(b)(2) of the Act provides that any advisory committee established by an Act of Congress shall file a charter upon the expiration of each successive two-year period following the date of enactment of the Act establishing such advisory committee.
§102-3.90—What does this subpart cover and how does it apply?
§102-3.95—What principles apply to the management of advisory committees?
(b) Focus on mission. Advisory committee members and staff should be fully aware of the advisory committee’s mission, limitations, if any, on its duties, and the agency’s goals and objectives. In general, the more specific an advisory committee’s tasks and the more focused its activities are, the higher the likelihood will be that the advisory committee will fulfill its mission.
(c) Follow plans and procedures. Advisory committee members and their agency sponsors should work together to assure that a plan and necessary procedures covering implementation are in place to support an advisory committee’s mission. In particular, agencies should be clear regarding what functions an advisory committee can perform legally and those that it cannot perform.
(e) Seek feedback. Agencies continually should seek feedback from advisory committee members and the public regarding the effectiveness of the advisory committee’s activities. At regular intervals, agencies should communicate to the members how their advice has affected agency programs and decisionmaking.
§102-3.100—What are the responsibilities and functions of GSA?
§102-3.105—What are the responsibilities of an agency head?
(b) Issue administrative guidelines and management controls that apply to all of the agency’s advisory committees subject to the Act;
(g) Develop procedures to assure that the advice or recommendations of advisory committees will not be inappropriately influenced by the appointing authority or by any special interest, but will instead be the result of the advisory committee’s independent judgment;
(h) Assure that the interests and affiliations of advisory committee members are reviewed for conformance with applicable conflict of interest statutes, regulations issued by the U. S. Office of Government Ethics (OGE) including any supplemental agency requirements, and other Federal ethics rules;
(j) Provide the opportunity for reasonable participation by the public in advisory committee activities, subject to §102-3.140 and the agency’s guidelines.
§102-3.110—What are the responsibilities of a chairperson of an independent Presidential advisory committee?
§102-3.115—What are the responsibilities and functions of an agency Committee Management Officer (CMO)?
In addition to implementing the provisions of section 8(b) of the Act, the CMO will carry out all responsibilities delegated by the agency head. The CMO also should ensure that section 10(b), 12(a), and 13 of the Act are implemented by the agency to provide for appropriate recordkeeping. Records to be kept by the CMO include, but are not limited to:
(b) Annual comprehensive review. Copies of the information provided as the agency’s portion of the annual comprehensive review of Federal advisory committees, prepared according to §102-3.175(b);
§102-3.120—What are the responsibilities and functions of a Designated Federal Officer (DFO)?
§102-3.125—How should agencies consider the roles of advisory committee members and staff?
(c) Other applicable statutes. Other agency-specific statutes and regulations may affect the agency’s advisory committees directly or indirectly. Agencies should ensure that advisory committee members and staff understand these requirements.
§102-3.130—What policies apply to the appointment, and compensation or reimbursement of advisory committee members, staff, and experts and consultants?
(d) Compensation of advisory committee members. When an agency has authority to set pay administratively for advisory committee members, it may establish appropriate rates of pay (including any applicable locality pay authorized by the President’s Pay Agent under 5 U.S.C. 5304(h)), not to exceed the rate for level IV of the Executive Schedule under 5 U.S.C. 5315, unless a higher rate expressly is allowed by another statute. However, the agency head personally must authorize a rate of basic pay in excess of the maximum rate of basic pay established for the General Schedule under 5 U.S.C. 5332, or alternative similar agency compensation system. This maximum rate includes any applicable locality payment under 5 U.S.C. 5304. The agency may pay advisory committee members on either an hourly or a daily rate basis. The agency may not provide additional compensation in any form, such as bonuses or premium pay.
(e) Compensation of staff. When an agency has authority to set pay administratively for advisory committee staff, it may establish appropriate rates of pay (including any applicable locality pay authorized by the President’s Pay Agent under 5 U.S.C. 5304(h)), not to exceed the rate for level IV of the Executive Schedule under 5 U.S.C. 5315, unless a higher rate expressly is allowed by another statute. However, the agency head personally must authorize a rate of basic pay in excess of the maximum rate of basic pay established for the General Schedule under 5 U.S.C. 5332, or alternative similar agency compensation system. This maximum rate includes any applicable locality payment under 5 U.S.C. 5304. The agency must pay advisory committee staff on an hourly rate basis. The agency may provide additional compensation, such as bonuses or premium pay, so long as aggregate compensation paid in a calendar year does not exceed the rate for level IV of the Executive Schedule, with appropriate proration for a partial calendar year.
(g) Compensation of experts and consultants. Whether or not an agency has other authority to appoint and compensate advisory committee members or staff, it also may employ experts and consultants under 5 U.S.C. 3109 to perform work for an advisory committee. Compensation of experts and consultants may not exceed the maximum rate of basic pay established for the General Schedule under 5 U.S.C. 5332 (that is, the GS-15, step 10 rate, excluding locality pay or any other supplement), unless a higher rate expressly is allowed by another statute. The appointment and compensation of experts and consultants by an agency must be in conformance with applicable regulations issued by the U. S. Office of Personnel Management (OPM) (See 5 CFR part 304).
(h) Federal employees assigned to an advisory committee. Any advisory committee member or staff person who is a Federal employee when assigned duties to an advisory committee remains covered during the assignment by the compensation system that currently applies to that employee, unless that person’s current Federal appointment is terminated. Any staff person who is a Federal employee must serve with the knowledge of the Designated Federal Officer (DFO) for the advisory committee to which that person is assigned duties, and the approval of the employee’s direct supervisor.
I. FACA does not specify the manner in which advisory committee members and staff must be appointed.
§102-3.105,
§102-3.130(a)
(1) Does the appointment of an advisory committee member necessarily result in a lengthy process?
(A) No. Each agency head may specify those policies and procedures, consistent with the Act and this part, or other specific authorizing statute, governing the appointment of advisory committee members and staff.
(B) Some factors that affect how long the appointment process takes include:
(i) Solicitation of nominations;
(ii) Conflict of interest clearances;
(iii) Security or background evaluations;
(iv) Availability of candidates; and
(v) Other statutory or administrative requirements.
(C) In addition, the extent to which agency heads have delegated responsibility for selecting members varies from agency to agency and may become an important factor in the time it takes to finalize the advisory committee’s membership.
II. Agency heads retain the final authority for selecting advisory committee members, unless otherwise provided for by a specific statute or Presidential directive.
(1) Can an agency head select for membership on an advisory committee from among nominations submitted by an organization?
(2) If so, can different persons represent the organization at different meetings?
The answer to question 1 is yes. Organizations may propose for membership individuals to represent them on an advisory committee. However, the agency head establishing the advisory committee, or other appointing authority, retains the final authority for selecting all members.
The answer to question 2 also is yes. Alternates may represent an appointed member with the approval of the establishing agency, where the agency head is the appointing authority.
III. An agency may compensate advisory committee members and staff, and also employ experts and consultants.
§102-3.130(d),
§102-3.130(e),
§102-3.130(g)
(1) May members and staff be compensated for their service or duties on an advisory committee?
(2) Are the guidelines the same for compensating both members and staff?
(3) May experts and consultants be employed to perform other advisory committee work?
(A) The answer to question 1 is yes.
(i) However, FACA limits compensation for advisory committee members and staff to the rate for level IV of the Executive Schedule, unless higher rates expressly are allowed by other statutes.
(ii) Although FACA provides for compensation guidelines, the Act does not require an agency to compensate its advisory committee members.
(B) The answer to question 2 is no. The guidelines for compensating members and staff are similar, but not identical. For example, the differences are that:
(i) An agency “may” pay members on either an hourly or a daily rate basis, and “may not” provide additional compensation in any form, such as bonuses or premium pay; while
(ii) An agency “must” pay staff on an hourly rate basis only, and “may” provide additional compensation, so long as aggregate compensation paid in a calendar year does not exceed the rate for level IV of the Executive Schedule, with appropriate proration for a partial calendar year.
(C) The answer to question 3 is yes. Other work not part of the duties of advisory committee members or staff may be performed by experts and consultants. For additional guidance on the employment of experts and consultants, agencies should consult the applicable regulations issued by the U. S. Office of Personnel Management (OPM). (See 5 CFR part 304.)
§102-3.105(h)
(1) Are all advisory committee members subject to conflict of interest statutes and other Federal ethics rules?
(2) Who should be consulted for guidance on the proper application of Federal ethics rules to advisory committee members?
The answer to question 1 is no. Whether an advisory committee member is subject to Federal ethics rules is dependent on the member’s status. The determination of a member’s status on an advisory committee is largely a personnel classification matter for the appointing agency. Most advisory committee members will serve either as a “representative” or a “special Government employee” (SGE), based on the role the member will play. In general, SGEs are covered by regulations issued by the U. S. Office of Government Ethics (OGE) and certain conflict of interest statutes, while representatives are not subject to these ethics requirements.
The answer to question 2 is the agency’s Designated Agency Ethics Official (DAEO), who should be consulted prior to appointing members to an advisory committee in order to apply Federal ethics rules properly.
§102-3.105(c),
§102-3.105(i)
(1) Must an agency’s CMO and each advisory committee DFO be appointed by the agency head?
(2) May an agency have more than one CMO?
(A) The answer to question 1 is no. The agency head may delegate responsibility for appointing the CMO and DFOs. However, these appointments, including alternate selections, should be documented consistent with the agency’s policies and procedures.
(B) The answer to question 2 also is no. The functions of the CMO are specified in the Act and include oversight responsibility for all advisory committees within the agency. Accordingly, only one CMO may be appointed to perform these functions. The agency may, however, create additional positions, including those in its subcomponents, which are subordinate to the CMO’s agencywide responsibilities and functions.
§102-3.125(c)
(1) Do other statutes or regulations affect the way an agency carries out its advisory committee management program?
(A) Yes. While the Act provides a general framework for managing advisory committees Governmentwide, other factors may affect how advisory committees are managed. These include:
(i) The statutory or Presidential authority used to establish an advisory committee;
(ii) A statutory limitation placed on an agency regarding its annual expenditures for advisory committees;
(iii) Presidential or agency management directives;
(iv) The applicability of conflict of interest statutes and other Federal ethics rules;
(v) Agency regulations affecting advisory committees; and
(vi) Other requirements imposed by statute or regulation on an agency or its programs, such as those governing the employment of experts and consultants or the management of Federal records.
§102-3.135—What does this subpart cover and how does it apply?
§102-3.140—What policies apply to advisory committee meetings?
(d) Any member of the public may speak to or otherwise address the advisory committee if the agency’s guidelines so permit; and
§102-3.145—What policies apply to subcommittee meetings?
If a subcommittee makes recommendations directly to a Federal officer or agency, or if its recommendations will be adopted by the parent advisory committee without further deliberations by the parent advisory committee, then the subcommittee’s meetings must be conducted in accordance with all openness requirements of this subpart.
§102-3.150—How are advisory committee meetings announced to the public?
§102-3.155—How are advisory committee meetings closed to the public?
§102-3.160—What activities of an advisory committee are not subject to the notice and open meeting requirements of the Act?
§102-3.165—How are advisory committee meetings documented?
§102-3.170—How does an interested party obtain access to advisory committee records?
§102-3.175—What are the reporting and recordkeeping requirements for an advisory committee?
(a) Presidential advisory committee follow-up report. Within one year after a Presidential advisory committee has submitted a public report to the President, a follow-up report required by section 6(b) of the Act must be prepared and transmitted to the Congress detailing the disposition of the advisory committee’s recommendations. The Secretariat shall assure that these reports are prepared and transmitted to the Congress as directed by the President, either by the President’s delegate, by the agency responsible for providing support to a Presidential advisory committee, or by the responsible agency or organization designated in the charter of the Presidential advisory committee pursuant to §102-3.75(a)(10). In performing this function, GSA may solicit the assistance of the President’s delegate, the Office of Management and Budget (OMB), or the responsible agency Committee Management Officer (CMO), as appropriate. Reports shall be consistent with specific guidance provided periodically by the Secretariat.
(e) Advisory committee records. Official records generated by or for an advisory committee must be retained for the duration of the advisory committee. Upon termination of the advisory committee, the records must be processed in accordance with the Federal Records Act (FRA), 44 U.S.C. Chapters 21, 29–33, and regulations issued by the National Archives and Records Administration (NARA) (see 36 CFR parts 1220, 1222, 1228, and 1234), or in accordance with the Presidential Records Act (PRA), 44 U.S.C. Chapter 22.
I. With some exceptions, advisory committee meetings are open to the public.
§102-3.140,
§102-3.150(a)
§102-3.155
(1) Must all advisory committee and subcommittee meetings be open to the public?
(A) No. Advisory committee meetings may be closed when appropriate, in accordance with the exemption(s) for closure contained in the Government in the Sunshine Act, 5 U.S.C. 552b(c).
(i) Subcommittees that report to a parent advisory committee, and not directly to a Federal officer or agency, are not required to open their meetings to the public or comply with the procedures in the Act for announcing meetings.
(ii) However, agencies are cautioned to avoid excluding the public from attending any meeting where a subcommittee develops advice or recommendations that are not expected to be reviewed and considered by the parent advisory committee before being submitted to a Federal officer or agency. These exclusions may run counter to the provisions of the Act requiring contemporaneous access to the advisory committee deliberative process.
II. Notices must be published in the Federal Register announcing advisory committee meetings.
§102-3.150
(1) Can agencies publish a single Federal Register notice announcing multiple advisory committee meetings?
(A) Yes, agencies may publish a single notice announcing multiple meetings so long as these notices contain all of the information required by §102-3.150.
(i) Blanket notices” should not announce meetings so far in advance as to prevent the public from adequately being informed of an advisory committee’s schedule.
(ii) An agency’s Office of General Counsel should be consulted where these notices include meetings that are either closed or partially closed to the public.
III. Although certain advisory committee records may be withheld under the Freedom of Information Act (FOIA), as amended, 5 U.S.C. 552, agencies may not require the use of FOIA procedures for records available under section 10(b) of FACA.
§102-3.170
(1) May an agency require the use of its internal FOIA procedures for access to advisory committee records that are not exempt from release under FOIA?
(A) No. Section 10(b) of FACA provides that subject to section 552 of title 5, United States Code, the records, reports, transcripts, minutes, appendixes, working papers, drafts, studies, agenda, or other documents which were made available to or prepared for or by each advisory committee shall be available for public inspection and copying at a single location in the offices of the advisory committee or the agency to which the advisory committee reports until the advisory committee ceases to exist.
(i) The purpose of section 10(b) of the Act is to provide for the contemporaneous availability of advisory committee records that, when taken in conjunction with the ability to attend advisory committee meetings, provide a meaningful opportunity to comprehend fully the work undertaken by the advisory committee.
(ii) Although advisory committee records may be withheld under the provisions of FOIA if there is a reasonable expectation that the records sought fall within the exemptions contained in section 552(b) of FOIA, agencies may not require members of the public or other interested parties to file requests for non-exempt advisory committee records under the request and review process established by section 552(a)(3) of FOIA.
(iii) Records covered by the exemptions set forth in section 552(b) of FOIA may be withheld. An opinion of the Office of Legal Counsel (OLC), U. S. Department of Justice concludes that FACA requires disclosure of written advisory committee documents, including predecisional materials such as drafts, working papers, and studies. The disclosure exemption available to agencies under exemption 5 of FOIA for predecisional documents and other privileged materials is narrowly limited in the context of FACA to privileged “inter-agency or intra-agency” documents prepared by an agency and transmitted to an advisory committee. The language of the FACA statute and its legislative history support this restrictive application of exemption 5 to requests for public access to advisory committee documents. Moreover, since an advisory committee is not itself an agency, this construction is supported by the express language of exemption 5 which applies only to inter-agency or intra-agency materials.
(iv) Agencies first should determine, however, whether or not records being sought by the public fall within the scope of FACA in general, and section 10(b) of the Act in particular, prior to applying the available exemptions under FOIA. (See OLC Opinion 12 Op. O.L.C. 73, dated April 29, 1988, which is available from the Committee Management Secretariat (MC), General Services Administration, 1800 F Street, NW., Washington, DC 20405–0002.)
IV. Advisory committee records must be managed in accordance with the Federal Records Act (FRA), 44 U.S.C. Chapters 21, 29–33, and regulations issued by the National Archives and Records Administration (NARA) (36 CFR parts 1220, 1222, 1228, and 1234), or the Presidential Records Act (PRA), 44 U.S.C. Chapter 22.
(1) How must advisory committee records be treated and preserved?
(A) In order to ensure proper records management, the Committee Management Officer (CMO), Designated Federal Officer (DFO), or other representative of the advisory committee, in coordination with the agency’s Records Management Officer, should clarify upon the establishment of the advisory committee whether its records will be managed in accordance with the FRA or the PRA.
(B) Official records generated by or for an advisory committee must be retained for the duration of the advisory committee. Responsible agency officials are encouraged to contact their agency’s Records Management Officer or NARA as soon as possible after the establishment of the advisory committee to receive guidance on how to establish effective records management practices. Upon termination of the advisory committee, the records must be processed in accordance with the FRA and regulations issued by NARA, or in accordance with the PRA.
(C) The CMO, DFO, or other representative of an advisory committee governed by the FRA, in coordination with the agency’s Records Management Officer, must contact NARA in sufficient time to review the process for submitting any necessary disposition schedules of the advisory committee’s records upon termination. In order to ensure the proper disposition of the advisory committee’s records, disposition schedules need to be submitted to NARA no later than 6 months before the termination of the advisory committee.
(D) For Presidential advisory committees governed by the PRA, the CMO, DFO, or other representative of the advisory committee should consult with the White House Counsel on the preservation of any records subject to the PRA, and may also confer with NARA officials.
§102-3.180—What does this subpart cover and how does it apply?
This subpart provides guidance to agencies on compliance with section 15 of the Act. Section 15 establishes requirements that apply only in connection with a funding or other written agreement involving an agency’s use of advice or recommendations provided to the agency by the National Academy of Sciences (NAS) or the National Academy of Public Administration (NAPA), if such advice or recommendations were developed by use of a committee created by either academy. For purposes of this subpart, NAS also includes the National Academy of Engineering, the Institute of Medicine, and the National Research Council. Except with respect to NAS committees that were the subject of judicial actions filed before December 17, 1997, no part of the Act other than section 15 applies to any committee created by NAS or NAPA.
§102-3.185—What does this subpart require agencies to do?
(3) In the case of NAPA, the academy certifies that it has complied substantially with the requirements of section 15(b)(1), (2), and (5) of the Act.
(2) To the best of the authorized representative’s knowledge and belief, these policies and procedures substantially have been complied with in performing the work required under the agreement.
I. Section 15 of the Act allows the National Academy of Sciences (NAS) and the National Academy of Public Administration (NAPA) to adopt separate procedures for complying with FACA.
§102-3.185(a)
(1) May agencies rely upon an academy certification regarding compliance with section 15 of the Act if different policies and procedures are adopted by NAS and NAPA?
(A) Yes. NAS and NAPA are completely separate organizations. Each is independently chartered by the Congress for different purposes, and Congress has recognized that the two organizations are structured and operate differently. Agencies should defer to the discretion of each academy to adopt policies and procedures that will enable it to comply substantially with the provisions of section 15 of the Act that apply to that academy.
II. Section 15 of the Act allows agencies to enter into funding agreements with NAS and NAPA without the academies’ committees being “managed” or “controlled.”
§102-3.185(c)
(1) Can an agency enter into a funding agreement with an academy which provides for the preparation of one or more academy reports containing advice or recommendations to the agency, to be developed by the academy by use of a committee created by the academy, without subjecting an academy to “actual management or control” by the agency?
(A) Yes, if the members of the committee are selected by the academy and if the committee’s meetings, deliberations, and the preparation of reports are all controlled by the academy. Under these circumstances, neither the existence of the funding agreement nor the fact that it contemplates use by the academy of an academy committee would constitute actual management or control of the committee by the agency.