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TREASURY DIRECTIVE 21-03

DATE:  July 30, 2007
 
REAFFIRMED:  August 18, 2011
 
SUBJECT:    Establishment and Management of Treasury Federal Advisory Committees
 
 
1.    PURPOSE.  This Directive establishes policy and provides guidance to the bureaus for the establishment and management of advisory committees to comply with the Federal Advisory Committee Act (FACA), as amended (the “Act”), (5 U.S.C., App.) and the regulations issued by the General Services Administration (GSA) at 41 Code of Federal Regulations (CFR) Part 102-3 “Federal Advisory Committee Management.”  FACA does not apply to committees comprised solely of federal members. The authority of the Inspector(s) General is set forth in Section 3 of the Inspector General Act and the Internal Revenue Service Restructuring and Reform Act, and defined in Treasury Order 114-01 (OIG) and Treasury Order 115-01 (TIGTA), or successor orders.  The provisions of this directive shall not be construed to interfere with that authority.
 
2.    POLICY.  In order to maintain control over the establishment and use of advisory committees within the Department of the Treasury:
 
      a.  bureaus should review and eliminate advisory committees that are obsolete, duplicative, low priority, or serve a special, rather than national, interest.  Establishment of new advisory committees should be proposed only when essential to the attainment of clearly defined Executive Branch priorities, as required by Executive Order (EO) 12838;
 
      b.  advisory committee meetings shall be open to public participants, except in those circumstances where a closed meeting is consistent with the provisions of the Government in the Sunshine Act (5 U.S.C. 552b) and the request for closure is reviewed and approved by the bureau legal counsel and approved by the bureau head;
 
      c.  bureaus should work with the Department’s Legislative Affairs office to reduce the number of existing committees required by statute;
 
      d.  an advisory committee may not operate, meet, or take any action until its charter has been filed in accordance with 41 CFR Part 102-3; and
 
      e.  unless otherwise provided by statute, Presidential Directive, or other established authority, committee members serve at the sole discretion of the Secretary or bureau head and may be removed by the Secretary, bureau head, or the Assistant Secretary for Management.
 
3.    DEFINITIONS.
 
      a.  Advisory committee.  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, except as specifically exempted by the Act or by other statutes.
 
      b.  Committee Management Officer (CMO).     The official designated by the Secretary to implement the provisions of section 8(b) of the Act and any delegated responsibilities of the Secretary under the Act.
 
      c.  Committee meeting.  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.
 
      d.  Committee member.  An individual who serves by appointment or invitation on an advisory committee or subcommittee.
 
      e.  Designated Federal Officer (DFO).  An individual designated by the Treasury Sponsoring Official, for each advisory committee for which the bureau head is responsible. 
 
      f.  Discretionary advisory committee.  Any advisory committee that is established under the authority of the Secretary 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.
 
      g.  Non-discretionary advisory committee.  Any advisory committee either required either 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 the Secretary.
 
        (1) Independent Presidential advisory committee.  Any Presidential advisory committee not assigned by the Congress in law, or by President or the President’s delegate, to Treasury for administrative and other support.
 
        (2) Presidential advisory committee.  Any advisory committee authorized by the Congress or directed by the President to advise the President.
 
      h.  Treasury Sponsoring Official.  A senior policy level official in the bureau who utilizes an advisory committee and who is responsible for designating a DFO to manage and operate each advisory committee.
 
4.    RESPONSIBILITIES.
 
      a.  The Assistant Secretary for Management is the designated CMO and is responsible for issuing administrative guidelines.
 
      b.  The Office of the Deputy Chief Financial Officer, Office of Accounting and Internal Control, is responsible for providing support services to the Assistant Secretary for Management to carry out the functions of the CMO, and shall assist Treasury officials in establishing and managing advisory committees.
 
      c.  The bureaus’ Office of Security shall conduct criminal and subversive name checks or fingerprint checks on proposed advisory committee members, except federal employees, with the Federal Bureau of Investigation (FBI) for their respective committees.
 
      d.  The bureaus’ Human Resources Division or Office of Security shall obtain preappointment tax checks on all new and reappointed members of Treasury advisory committees, except federal employees, for their respective committees. 
 
      e.  The bureau heads, as it relates to their respective bureaus and offices, shall:
 
        (1) comply with all policies and procedures required by the Act, 41 CFR Part 102-3, GSA Regulations, and this Directive; and
 
        (2) designate a Treasury Sponsoring Official for each advisory committee.
 
      f.  The DFO approves or calls meetings, approves meeting agendas (except with respect to Presidential advisory committees), attends meetings, and adjourns meetings when he or she determines it to be in the public interest.  The DFO also chairs meetings in place of Chairperson if so directed by the agency head, and may perform other functions, such as ensuring that meeting notices are timely published in the Federal Register, and ensuring that meeting minutes are recorded.
 
      g.  The committee Chairperson presides over committee meetings and should be familiar with the openness provisions of the Act.  The Chairperson is responsible for ensuring that the detailed minutes of each meeting are kept in accordance with 41 CFR Part 102-3.  The Chairperson may be elected by committee members or be selected by a bureau official.
 
5.    ESTABLISHING ADVISORY COMMITTEES.
 
      a.  After a determination has been reached in a bureau that a proposed committee is essential, the Treasury Sponsoring Official shall contact the Office of the Deputy Chief Financial Officer, Office of Accounting and Internal Control (AIC), to obtain assistance in establishing the committee.
 
      b.  The Treasury Sponsoring Official shall then submit to AIC a proposed charter, together with a transmittal letter addressing the information required by 41 CFR Part 102-3.  The transmittal letter shall be addressed to the Assistant Secretary for Management.
 
      c.  AIC will then:
 
        (1) consult with the GSA Committee Management Secretariat (CMS);
 
        (2) obtain appropriate Treasury reviews and signatures; and
 
        (3) file the charter with the appropriate congressional committees, the Library of Congress, and the GSA CMS.
 
      d.  The DFO shall publish a notice of establishment in the Federal Register at least 15 calendar days prior to filing of the charter.
 
6.    TERMINATION OR RENEWAL OF ADVISORY COMMITTEES.
 
      a.  Unless otherwise provided by statute, or Presidential Directive, each advisory committee will terminate upon expiration of its functions or a maximum of two years from its current charter filing date, unless it is renewed prior to the expiration of its charter.  Each renewal period shall be limited to two years.
 
      b.  Advisory committees shall be renewed only with the written approval of the Assistant Secretary for Management and with GSA CMS concurrence.  To initiate renewal action, the Treasury Sponsoring Official shall follow the steps as stated in 5b above and submit the package to AIC no less than 60 days prior to the charter expiration.  The DFO shall publish a renewal notice in the Federal Register.  The notice may be published concurrently with the filing of the charter.
 
7.    COMMITTEE MEMBERS.
 
      a.  Every effort must be made to attain fairly balanced membership in terms of viewpoints and functions to be performed.  Attention should be given to persons from diverse geographic locations and consumer representatives.  Periodic rotation of membership should be considered in order to bring new viewpoints to committee deliberations.
 
      b.  Concurrence must be obtained from the Assistant Secretary for Management to appoint committee members serving on Treasury discretionary committees.  Requests for concurrence must be submitted 45 days prior to member appointment.
 
      c.  The Department is not required to provide compensation, unless otherwise provided by law, to a member of an advisory committee.  Usually, committee members will serve without compensation.  Nothing prevents the acceptance of gratuitous services of an advisory committee member or consultant who agrees to serve without compensation.
 
      d.  Advisory committee members, while engaged in the performance of their duties away from their homes or regular places of business, may be allowed travel expenses, including per diem.
 
      e.  Non-Federal committee members, including members appointed as special government employees, may not be issued an individually-billed travel charge card. 
 
      f.  Treasury federal employees may not serve on Treasury discretionary advisory committees.
 
8.    REPORTING REQUIREMENTS.  Bureaus are required to complete an annual comprehensive review (ACR) of the activities and responsibilities of their respective advisory committees.  The required information must be submitted using the web-based system managed by GSA.  The information submitted for the ACR will also fulfill reporting requirements for the production of the Annual Report of the President on Federal Advisory Committees.  AIC will send data calls to the committee DFOs.
 
9.    AUTHORITIES.
 
      a.  Federal Advisory Committee Act, as amended (Pub L. 92-463, codified at 5 U.S.C. App.)
 
      b.  Executive Order 12024, “Relating to the Transfer of Certain Advisory Committee Functions,” dated December 1, 1977. 
 
      c.  Executive Order 12838, “Termination and Limitation of Federal Advisory Committees,” dated February 10, 1993.
 
      d.  41 CFR Part 102-3, Federal Advisory Committee Management.
 
      e.  OMB Circular No. A-135, “Management of Federal Advisory Committees,” dated October 5, 1994.
 
10.   OFFICE OF PRIMARY INTEREST. Office of Accounting and Internal Control, Office of the Deputy Chief Financial Officer, Office of the Assistant Secretary for Management and Chief Financial Officer.
 
 
                                    /S/
                                    Wesley T. Foster
                                    Acting Assistant Secretary for Management
 
Last Updated: 8/19/2011 4:30 PM

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