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last updated:9/2/03
Notification Requirements
Most laws governing security-assistance programs contain provisions requiring that Congress be notified of how the programs are being carried out. While reports must be submitted on an annual or quarterly basis, the notification requirements described here are triggered by a particular action, such as a decision to provide assistance, a request for a waiver, or a request for information. Some notification requirements contain provisions allowing Congress to freeze or prohibit transfers of assistance.

The most significant notification requirements affecting U.S. security assistance to Latin America and the Caribbean are listed below. This list is by no means inclusive; it merely encompasses what the authors of this study consider to be the most "essential" notification requirements.

  Report name: Furnishing information on request
Triggering event: Upon request
Due date: Within 35 days of the request.
Relevant law:
Section 633A of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2393a of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Whoever made the request (General Accounting Office (GAO), House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee)
Description: Through a written request to the head of the relevant agency, the GAO or any committee of Congress charged with considering legislation, appropriations or expenditures under the FAA may ask for "any document, paper, communication, audit, review, finding, recommendation, report or other material in its [the agency's] custody or control" related to a program authorized by the FAA.

If the agency does not respond within 35 days, funding for that program may be frozen, unless the President certifies that he has forbidden the provision of this information. The President’s certification must give a reason for the refusal.
  Report name: Changes in assistance
Triggering event: Presidential intention to use INC, IMET, or FMF funds for activities, programs, projects, types of materiel, countries, or other operations that were not justified in previous communications to Congress, such as yearly presentation documents.
Due date: Fifteen days in advance of the change in assistance.
Relevant law: Section 515 of the Foreign Operations, Export Financing, and Related Programs Appropriations Act for 2000
Who notified: House and Senate Appropriations Committees
  Report name: Notification of Foreign Military Sales (FMS)
Triggering event: A letter of offer to sell the following through the Foreign Military Sales (FMS) program:
  1. Defense articles or services valued at $50 million or more;
  2. Design and construction services valued at $200 million or more; or
  3. Major defense equipment valued at $14 million or more.

["Major defense equipment" means any item on the United States Munitions List with a research and development cost of at least $50 million or a total production cost of at least $200 million.]
Due date: For all Latin American and Caribbean countries, the letter of offer cannot be issued until 30 days after the President submits the certification discussed below. During these 30 days, the Congress may prohibit the sale by enacting a joint resolution.
Relevant law:
Section 36(b) of the Arms Export Control Act of 1968 (P.L. 90-269, or the "AECA"), as amended (also known as section 2776 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Speaker of the House, Chairman of the Senate Foreign Relations Committee
Description: The President must submit a numbered certification providing the following information:
  1. The foreign country or international organization to which the offer is being made;
  2. The dollar amount of the offer and the number of defense articles offered;
  3. A description of the defense article or service being offered;
  4. The U.S. agency (or branch of the armed forces) making the offer; and
  5. If construction and design services are being offered, a description of the facilities to be constructed.

The certification must also mention any contributions, gifts, commissions or fees paid to help secure the offer. In addition, it must contain a section (which may be classified) identifying sensitive technology contained in the articles to be offered. The President's certification must be published in the Federal Register. (Link to the Federal Register.)

The President can waive the thirty-day delay and void Congress's power to prohibit the sale by including in this certification a statement that "an emergency exists which requires the proposed sale in the national security interest of the United States." This statement must include a detailed description of these emergency circumstances and a discussion of the national security interests involved.

If the Speaker of the House, House International Relations Committee or Senate Foreign Relations Committee requests it, the President must "promptly" submit a statement with the following information:

  1. A detailed description of the articles or services being offered, including -- in the case of a defense article -- a brief description of its capabilities;
  2. An estimate of the number of U.S. government personnel and contractors who will be needed in the country to carry out the proposed sale;
  3. The name of each contractor expected to provide the article or service, and a description of any offset agreements associated with the proposed sale;
  4. An evaluation prepared by the director of the Arms Control and Disarmament Agency (ACDA), in consultation with the Secretaries of State and Defense. This evaluation must analyze whether the proposed sale would contribute to an arms race, support international terrorism, increase the possibility of an outbreak or escalation of conflict, prejudice arms control negotiations, or adversely affect U.S. arms control policy;
  5. The reasons why the prospective buyer needs the defense articles or services to be offered, and a description of how the country or international organization intends to use them;
  6. An analysis by the President of the impact of the proposed sale on U.S. military stocks and preparedness;
  7. The reasons why the proposed sale is in the U.S. national interest;
  8. An analysis by the President of the impact of the proposed sale on the prospective buyer's military capabilities;
  9. An analysis by the President of how the proposed sale would affect the relative military strengths of countries in the prospective buyer's region, and whether other countries in the region have comparable defense articles and services;
  10. An estimate of whether the prospective buyer has the trained personnel and maintenance facilities necessary to utilize the defense articles or services effectively;
  11. An analysis of the extent to which comparable defense articles and services are available from other countries;
  12. An analysis of the impact of the proposed sale on U.S. relations with other countries in the prospective buyer's region;
  13. A description of any agreement whereby the United States will purchase articles from the prospective buyer in connection with the proposed sale. This description must include an analysis of this purchase's impact on domestic economic concerns;
  14. The projected delivery dates of the articles or services proposed to be sold;
  15. A detailed description of the weapons and munitions that may be required as support for the proposed sale; and
  16. An analysis of the relationship of the proposed sale to projected procurements of the same item.
  Report name: Notification of Direct Commercial Sales (DCS) licenses
Triggering event: Intention to issue an export license under the Direct Commercial Sales (DCS) program for:
  • Defense articles or services valued at $50 million or more; or
  • Major defense equipment valued at $14 million or more.

["Major defense equipment" means any item on the United States Munitions List with a research and development cost of at least $50 million or a total production cost of at least $200 million.]
Due date: For all Latin American and Caribbean countries, the license cannot be issued until 30 days after the President submits the certification discussed below. During these 30 days, the Congress may prohibit the sale by enacting a joint resolution.
Relevant law:
Section 36(c) of the Arms Export Control Act of 1968 (P.L. 90-269, or the "AECA"), as amended (also known as section 2776 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Speaker of the House, Chairman of the Senate Foreign Relations Committee
Description: The President must submit an unclassified, numbered certification providing the following information:
  1. The foreign country or international organization to which the export will be made;
  2. The dollar amount of the items to be exported; and
  3. A description of the items to be exported.

The President's certification must be published in the Federal Register. (Link to the Federal Register.)

The President can waive the thirty-day delay and void Congress's power to prohibit the export by including in this certification a statement that "an emergency exists which requires the proposed export in the national security interest of the United States." This statement must include a detailed description of these emergency circumstances and a discussion of the national security interests involved.

If the Speaker of the House, House International Relations Committee or Senate Foreign Relations Committee requests it, the President must "promptly" submit a statement with the following information:

  1. A description of the capabilities of the items to be exported;
  2. An estimate of the number of U.S. government personnel who will be needed in the country in connection with the items to be exported; and
  3. An analysis, prepared in consultation with the Secretary of Defense, of the export's arms-control impact.
  Report name: Deployments to Haiti
Triggering event: Temporary deployments of troops to Haiti after May 31, 2000, for Humanitarian and Civic Assistance (HCA) or other purposes.
Due date: 96 hours after inception of deployment.
Relevant law:
Section 1232 of the 2000 National Defense Authorization Act (P.L. 106-65) Text of law:
Plain text | Adobe Acrobat (.pdf)
Who notified: Congress
Description: Section 1232 prohibits the Department of Defense from spending funds on any continuous presence of U.S. forces in Haiti as part of "Operation Uphold Democracy." When a temporary deployment to Haiti takes place after May 31, this section requires the President to report it to Congress within 96 hours of its inception. The report must specify the purpose of the deployment and the date it is expected to end.
  Report name: Notification of certain leases of defense equipment
Triggering event: Intention to enter into, or to renew, a lease or loan of a defense article for over one year.
Due date: For all Latin American and Caribbean countries, the lease cannot take place until 30 days after the President submits the certification discussed under the "Description" heading below.

During these 30 days, Congress may prohibit the sale by enacting a joint resolution, if:

  • The value of major defense equipment (replacement cost not including depreciation) is $14,000,000 or more; or
  • The value of the defense articles to be leased is $50,000,000 or more.

["Major defense equipment" means any item on the United States Munitions List with a research and development cost of at least $50 million or a total production cost of at least $200 million.]
Relevant law:
Sections 62 and 63 of the Arms Export Control Act of 1968 (P.L. 90-269, or the "AECA"), as amended (also known as sections 2796a and 2796b of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Speaker of the House, chairman of the Senate Foreign Relations Committee, chairman of the Senate Armed Services Committee
Description: The President must submit a written certification specifying:
  1. The country or international organization to which the defense article is to be leased or loaned;
  2. The type, quantity and value (in terms of replacement cost) of the defense article to be leased or loaned;
  3. The terms and duration of the lease or loan; and
  4. A justification for the lease or loan, including an explanation of why the defense article is being leased or loaned rather than sold.

The President can waive the thirty-day delay and void Congress's power to prohibit large leases by including in this certification a statement that "an emergency exists which requires the lease or loan be entered into immediately in the national security interest of the United States." This statement must include a detailed description of these emergency circumstances and a discussion of the national security interests involved.
  Report name: Change in allocation of foreign assistance
Triggering event: Enactment of a law appropriating funds to carry out any provision of the FAA or AECA. Continuing resolutions are excepted.
Due date: 30 days after the law's enactment.
Relevant law:
Section 653 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2413 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Congress
Description: The President shall list each foreign country or international organization to which the U.S. government plans to provide funds under the appropriation law. For each country or international organization, the President shall state how much the U.S. government plans to provide.
  Report name: Report on country human-rights practices
Triggering event: Request from the House or Senate (by resolution), the House International Relations Committee, or the Senate Foreign Relations Committee
Due date: 30 days after request.
Relevant law:
Section 502B(c) of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2304 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House International Relations Committee, Senate Foreign Relations Committee
Description: The Secretary of State must transmit a statement, prepared with the Assistant Secretary of State for Democracy, Human Rights and Labor, providing the following information about a specific country:
  1. All available information about the observance of and respect for human rights and fundamental freedoms in that country. This must include a detailed description of that government’s human-rights practices;
  2. The steps the United States has taken to promote human rights and to discourage abuses in that country;
  3. The steps the United States has taken to call attention, publicly or privately, to practices that violate human rights, and steps taken to disassociate the United States and its security assistance from these practices; and
  4. The Secretary of State’s opinion whether, despite these practices, "extraordinary circumstances" warrant the continuation of security assistance. This must be accompanied by a description of these circumstances and the extent to which assistance must be continued.

This notification is distinct from the annual reports on country human-rights practices required by section 502B of the FAA.
  Report name: Waiver of human rights prohibition
Triggering event: Presidential finding that a country's human-rights situation has improved sufficiently to warrant a resumption of aid.
Due date: Immediately
Relevant law:
Section 502B(g) of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2304 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Congress
Description: The President must "specify the country involved, the amount and kinds of assistance to be provided, and the justification for providing the assistance, including a description of the significant improvements which have occurred in the country's human rights record."
  Report name: Prior notification of drawdowns
Triggering event: Drawdown of defense (or other agencies') articles and services for counternarcotics, migration, refugee or disaster assistance.
Due date: Drawdown cannot take place until 15 days after notification.
Relevant law:
Section 506 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2318 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee
Description: When a drawdown is performed for international narcotics control assistance or migration and refugee assistance, the President must submit a notification specifying the nature and purpose of the drawdown and the country or countries involved.
  Report name: Transfer of certain excess defense articles
Triggering event: The transfer of Excess Defense Articles (EDA) that are "significant military equipment" (articles normally subject to export controls) or whose current value exceeds $7,000,000.
Due date: Transfer cannot take place until 30 days after notification is received.
Relevant law:
Section 516 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2321j of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee
Description: The President's notification of the EDA transfer must include:
  1. A statement outlining the purposes for which the article is being provided to the country, including whether the article has been provided to the country before;
  2. An assessment of the impact of the article's transfer on U.S. military readiness;
  3. An assessment of the transfer's impact on the national technology and industrial base; and
  4. A statement describing the article's current value, and its value when it was originally acquired.
  Report name: Invocation of the President's special waiver authority
Triggering event: Use of a waiver (known as the "614 waiver") which allows the President to override prohibitions on assistance contained in the Foreign Assistance Act or Arms Export Control Act.
Due date: Immediately
Relevant law:
Section 614 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2364 of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee
Description: The President must consult with, and provide a written policy justification to, the congressional committees.

Up to $50 million may be transferred under this provision without specifying its destination, upon determination that "it is inadvisable to specify the nature of the use of such funds."  Before doing so, however, the President must inform the chairmen and ranking minority members of the committees.
  Report name: Introduction of additional military personnel to manage security assistance in-country
Triggering event: The introduction of additional military personnel to a foreign country to manage security assistance programs
Due date: 30 days
Relevant law:
Section 515 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2321i of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House International Relations Committee, Senate Foreign Relations Committee
Description: Members of the Armed Forces (known as Security Assistance Officers, or SAOs) are routinely assigned to a foreign country to manage security assistance programs. If the President wishes to change the number of SAOs in a country so that (a) there are more than six or (b) it exceeds the number justified in the congressional presentation materials for that fiscal year, the congressional committees must be notified at least 30 days before the new personnel are introduced.
  Report name: Designation of major non-NATO allies
Triggering event: Designation of a country as a major non-NATO ally.
Due date: Designation cannot take place until 30 days after notification.
Relevant law:
Section 517 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2321k of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: Congress
Description: The President must notify Congress in writing before designating a country as a major non-NATO ally (MNNA), or before terminating a country's MNNA status.
  Report name: Purchases of weapons or ammunition through the International Narcotics Control (INC) program
Triggering event: Upon transfer of weapons or ammunition through the INC program
Due date: Transfers cannot take place until 15 days after notification.
Relevant law:
Section 482 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2291a of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee
Description: Section 482(b) allows the State Department's INL program to supply weapons or ammunition only if they are to be used:
  • For the defensive arming of aircraft that are used for counternarcotics purposes; or
  • For defensive purposes by State Department employees or contract personnel engaged in counternarcotics activities.

Arms cannot be transferred for either of these reasons until fifteen days after the President notifies the congressional committees.
  Report name: Supply of aircraft through the International Narcotics Control (INC) program
Triggering event: Grants of aircraft through the INC program.
Due date: Transfers cannot take place until 15 days after notification.
Relevant law:
Section 484 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2291c of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee
Description: Section 484(a) specifies that aircraft provided to foreign countries through the INL program must be either leased or loaned. The President may grant aircraft through INL, however, by determining that a lease or loan would be "contrary to the national interest of the United States."

The aircraft cannot be transferred until fifteen days after the President notifies the congressional committees.
  Report name: Construction of facilities through the International Narcotics and Law Enforcement Affairs (INL) program
Triggering event: Obligation of INL funds for "construction of facilities for use by foreign military, paramilitary, or law enforcement forces."
Due date: Funds cannot be obligated until 15 days after notification.
Relevant law:
Section 488 of the Foreign Assistance Act of 1961 (P.L. 87-195, or the "FAA"), as amended (also known as section 2291g of Title 22, U.S. Code).


(Link to House of Representatives Internet Law Library)
Who notified: House and Senate Appropriations Committees, House International Relations Committee, Senate Foreign Relations Committee
Description: Funds cannot be obligated for the construction until fifteen days after the President notifies the congressional committees.

Source: Applicable laws. All items in quotation marks are direct citations of the law.

Notification Requirements

 

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