An Executive ComparisonOF

FACA vs.COLLABORATIVE EFFORTS

FACA and Collaborative EffortsOverview

Both programs have a similar objective—to obtain input from others to submit advise to the Forest Service and OSEC. The difference? A committee under FACA is formal, structured,

mandated and funded by the establishing law Collaboration is not

Let’s begin by reviewing how both programs involve the general public, non-governmental organizations, representatives from Industry, etc.

ConsultGoal: obtain feedback

Tools:• Surveys•Open house• Public meeting• News release• Website

To Begin….

InformGoal: provide objective information

Tools: • Fact Sheets• Newsletter• Letters• News • Release• Website

InvolveGoal: ensure issues are understood& considered

Tools:• Workshops• Partnerships• Public meeting

CollaborateGoal: partner in each step of the process that leads to a Decision.

Tools:• Consensus bldg• Facilitate resolution• FACA groups• Mediation• Negotiation• Non-FACA team

Intent: To provide Information

Intent: To seek input & feedback Intent: To convene interests to reach zone of agreement

There are different ways in which the Forest Service engages its public.

Public Involvement with… Federal Advisory Committee Act (FACA): FACA applies to advisory committees that are

established or utilized by a federal agency Specific criteria must be met for FACA to apply to a

group or committee Must be a committee, board, panel, group (more than

one individual). The purpose of the committee must be to provide

advice or recommendations..

Public Involvement with…Collaborative Efforts: A process where people with diverse interests

share knowledge and resources to improve outcomes and/or enhance decisions.

Effective collaboration incorporates, meetings that are open to diverse groups

Collaboration often provides the ground through which more formal partnerships emerge.

FACA-Legal Framework FACA-Public Law 92-463, 1973. Establishes framework to

create, manage, operate, and terminate committees. Establishes the Committee Management Secretariat position.

Government in the Sunshine Act- Public Law 94-409, 1977. Serves as the basis to close all or part of the advisory committee meeting.

Unfunded Mandates Reforms Act-Public Law 104-4, 1995. Provides an exclusion from FACA for interactions between Federal Officials and their State, Local, or Tribal counterparts.

Department Regulation 1041-001, provides procedures under the jurisdiction of the Department of Agriculture.

FACA and CollaborationCollaborative Effort -Legal Framework

- National Fire Plan (2001). Long-term, national commitment to manage the impact of wildland fire on communities and natural resources. It involves the collaboration of all levels of government and nongovernmental entities to restore ecosystems and reduce wildfire risks.

- Healthy Forest Restoration Act of 2003 (HFRA). Reduces wildfire risk to communities, municipal water supplies, and at-risk federal land. HFRA emphasizes a collaborative process of planning, prioritizing, and implementing hazardous fuel reduction projects.

- Stewardship Contracting (16 USC 2104 NOTE). Provides the FS and the BLM ten-year authority to enter into stewardship contracts and agreements. Promotes collaborative working relationships with local communities, improve land conditions, and help develop sustainable rural economies.

- Tribal Forest Protection Act (PL 108–278). This act establishes a process for tribes to work collaboratively with federal agencies to perform hazardous fuel reduction and forest health projects on federal lands adjacent to tribal lands.

- Collaborative Forest Landscape Restoration Program (PL 111-11 , Sec. 4001). Encourages the collaborative, science-based ecosystem restoration of priority forest landscapes.

Establishing a FACA Committee Committees must have a Charter approved by the

Secretary Charters must be renewed every two years Membership must be “vetted” by the White House

liaison Membership must be fairly balanced in terms of

points of view represented and functions to be performed

High expectation for diversity of culture and gender

Setting up a Collaborative Effort Enhance communication through constructive dialogue,

debate and deliberation Utilize positive, enforceable ground rules that reflect

collective values and principles Promote joint problem-solving and creative solutions Promote continuous improvements in process and

direction Advance social and civic responsibility

Appointments—FACA Nominations come from the field to the WO FACA

Officer White House liaison conducts background checks on all

nominees Vetted nominees are recommended by the Chief and

approved by the Secretary Letters of Appointment and Certificates are mailed to

the Committee’s DFO at a later time (Committees can meet without these letters & certificates)

Appointments—Collaborative Effort

No hard and fast rules but in general: Welcome diversity Build relationships among stakeholders Establishment of networks

Funding—FACA Normally included within the legislation which

establishes the committee If Agency-created committee, the funding comes

from OSEC or FS Day-to-Day Management of funds is performed by

ASC Budget and Finance

Funding—Collaborative Effort

Normal agency funding

Meetings—FACA Required to be open to the public. Meetings

notices and agendas must be published in the Federal Register

Designated Federal Officials (DFOs) must approve all meetings and agendas, and attend meetings

Detailed minutes of each meeting must be kept and posted on the web

Meetings—Collaborative Effort Requirements are based on local needs and social climate. Process and structure can differ by location, but should be

agreed upon by the group, as part of established ground-rules.

Require focus in three areas: awareness of social dynamics, opportunity for knowledge sharing and careful facilitation.

Meetings must be transparent and open to all Line Officers need to retain decision authority when

involving NFS

Lifecycle of FACA CommitteesFACA Committees can be terminated as soon as:

Their stated objectives have been accomplished The committee’s work has become obsolete The cost of the committee’s operation is excessive in

relation to the benefits accruing to the Federal Government.

Lifecycle of Collaborative EffortsThe goal of collaboration is to build sustained relationships over-time. Some pitfalls do exist:

A lack of skills within the community. A lack of willingness (Agency or partner) to come to

the table. Potential difficult personalities and a lack of trust. Limited input by engaging the “Same Old Crowd.” A lack of resources. Extended or unknown time frames—resulting in

burn-out or dragged out deliberations.

When could a Collaborative Effort violate FACA?

When the team is Established and Utilized by the Agency Established –Actually formed by the Federal Agency Utilized —subject to strict management and control

by the federal government, i.e., selection of members, setting of agendas, or providing direct funding.

Criteria for not being subject to FACA

When composed of wholly of full-time or permanent part-time officers or employees of the Federal Government

When participants provide individual advice: there is no collective advice When there is only information exchange/gathering When the meeting is initiated by a group to express its view When the group is established, managed, and/or controlled by a non-

federal entity When exempt by statute When groups are operational committees

Operational as opposed to advisory functions When making or implementing government decisions or policy

Criteria for not being subject to FACA

Created by the National Academy of Science or the National Academy of Public Administration

Created by the CIA or Federal Reserve System Created locally, i.e., civic groups whose primary function is rendering a

public service with respect to a federal program State and Local groups established to advise state or local officials or

agencies Created to meet exclusively between Federal officials and elected officers

of State, local, and Tribal governments (or their designated employees with authority to act on their behalf) acting in their official capacity; and

Such meetings are solely for the purpose of exchanging views, information, or advice relating to the management or implementation of Federal programs established pursuant to federal law that explicitly or inherently, share intergovernmental responsibilities or administration.

In Contrast…A collaboration effort is voluntary. Based on local

needs and objectives. Collaborative efforts do not have formal or legal paths for exemption.

Questions or Needing Examples?

For answers related to FACA, please visit: www.access.gpo.gov/nara/cfr/

waisidx_07/41cfr102-3_07.html For answers related to collaboration,

please visit: www.partnershipresourcecenter.org www.westcanhelp.org

SummaryFACA applies if…..

the FS creates or organizes the group the group’s agenda is tightly controlled or managed by the FS the FS sponsors or funds the group, in whole or in part the FS requests that the group undertakes specific tasks the group has an organized structure, fixed membership,

and/or a specific purpose identified by the Forest Service

To be sure or for more information, contact: WO-FACA Office (ph) 202.205-0444 or

WO-Partnership Office (ph) 202.205.8336