18 FAM 200
REGULATIONS AND RELATED PROGRAMS
18 FAM 201
Directives Management
18 FAM 201.1
DIRECTIVES
(CT:PPP-16; 03-06-2019)
(Office of Origin: A/GIS/DIR)
18 FAM 201.1-1 Policy and
objective
18 FAM 201.1-1(A) Policy
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Department of State articulates official
guidance, including procedures and policies, on matters relating to Department
management and personnel, known collectively as directives, in the Foreign
Affairs Manual and Handbook Series. Directives include Department
administrative organization policies and procedures. These directives derive
their authority from statutes, Executive orders, other legal authorities, and
Presidential directives, such as OMB circulars, and Department policies.
b. For the purposes of this subchapter, all references
to the Foreign Affairs Manual include the Foreign Affairs Handbook series.
c. The only authoritative text of the Foreign Affairs
Manual or its Foreign Affairs handbook series is the text that the Office of
Directives Management (A/GIS/DIR) posts and maintains on its Internet,
Intranet, and ClassNet websites. Personnel who administer Department websites
must not post copies of Foreign Affairs Manual or Foreign Affairs Handbook
material on such websites; instead, they must provide a hyperlink to the
authoritative text. See 18 FAM
201.1-6(D)(2).
18 FAM 201.1-1(B) Objective
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Departments directives program provides agency
managers with the means to convey written instructions to Department and other
relevant personnel and to document Department directives. The programs
purpose is to make necessary organization, policy, and procedural information available
to program management and operating offices so that they can carry out their
responsibilities in accordance with statutory and Executive mandates.
b. The Department achieves its objective by:
(1) Providing a single, comprehensive, and authoritative
source: The Foreign Affairs Manual (FAM) and the related Foreign Affairs
Handbooks (FAH) for organizational structures, policies, and procedures that
govern the operations of the Department, the Foreign Service, and, when
applicable, other Foreign Affairs agencies;
(2) Organizing and structuring policy and procedural
information and providing indices and references to facilitate effective use;
(3) Incorporating statutes, Executive orders, and
directives originally issued elsewhere into the FAM;
(4) Issuing changes and additions to Department
directives in a timely manner;
(5) Annually reviewing the FAM to ensure completeness
and accuracy (see 18 FAM
201.1-3(A), subparagraph (2)); and
(6) Supporting operational needs of offices by
providing updated FAM material on its websites and in other formats, as
requested.
18 FAM 201.1-1(C) Scope
(CT:PPP-2; 03-19-2018)
(State Only)
These directives apply to the Department of State and its
operations worldwide.
18 FAM 201.1-1(D) Applicability
(CT:PPP-2; 03-19-2018)
(State Only)
These directives apply to all Department of State and
other relevant personnel worldwide.
18 FAM 201.1-2 AUTHORITIES
(CT:PPP-2; 03-19-2018)
(State Only)
Authorities include:
(1) Section 1 (a)(4) of the State Department Basic Authorities
Act, as amended (22 U.S.C. 2651a(1)(a)(4)). This statute, authorizes the
Secretary to promulgate such rules and regulations as may be necessary to
carry out the functions of the Secretary of State and the Department of
State. Various other statutes and regulations authorize the Secretary to
prescribe rules and regulations on particular topics. (For example, see
Section 206 of the Foreign Service Act of 1980, as amended (22 U.S.C. 3926),
which authorizes the Secretary to prescribe such regulations as the Secretary
deems appropriate to carry out functions under the Foreign Service Act.)
Relevant legal authorities are cited in the portions of the FAM to which they
pertain;
(2) The Federal Records Act of 1950 (44 U.S.C. Chapter
31);
(3) The Government Paperwork Elimination Act (GPEA)
(Public Law 105-277, Title XVII (44 U.S.C. 3504, note); and
(4) The Electronic and Information Technology
Accessibility Standards, which implement Section 508 of the Rehabilitation Act
of 1973, as amended (29 U.S.C. 794d).
18 FAM 201.1-3 RESPONSIBILITIES
18 FAM 201.1-3(A) Program
Offices
(CT:PPP-7; 08-13-2018)
(State Only)
Program offices:
(1) Draft and coordinate appropriate directives to be
incorporated into the FAM that set forth Department organizational structures,
policies, and procedures and identify and verify related legal authorities;
(2) Ensure that the Departments directives are
current. Program offices review directives for which they have substantive and
coordinating responsibility annually and make changes to maintain the
completeness and accuracy of the FAM; and
(3) Ensure that organizational, policy, or procedural
changes issued by ALDACS or Department Notices (see 18 FAM
201.1-5(B)) are incorporated into the FAM within 60 days of the announcement
of such changes.
18 FAM 201.1-3(B) Operating
Offices
(CT:PPP-2; 03-19-2018)
(State Only)
Operating offices should notify the proper program office,
if known, or the Office of Directives Management of any discrepancies in the
FAM.
18 FAM 201.1-3(C) Office of
Directives Management
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Office of Directives Management (A/GIS/DIR):
(1) Analyzes, evaluates, organizes, and edits initial
FAM directives and changes;
(2) Coordinates with and ensures that responsible program
offices incorporate statutes, Executive orders, or other legally-required or
Presidentially-directed materials into the FAM;
(3) In conjunction with the Office of the Legal
Adviser, determines the validity of Department of State directives materials;
and
(4) Periodically reports to management the status of
the Directives Management Program.
b. A/GIS/DIR must approve and ensure the appropriate
clearance of all directives before publication or issuance. (This includes
changes issued as covered under section 18 FAM
201.1-5(B).)
c. A/GIS/DIR coordinates the annual review of all FAM
material (see 18 FAM
201.1-1(B) paragraph b(5)) and reports on the reviews status to the
Standing Committee on Directives.
d. A/GIS/DIR also maintains the official Department of
State organization chart. This chart reflects the structure of the Department
as given by the organizational and functional statements in 1 FAM (Organization
and Functions).
e. A/GIS/DIR provides up-to-date organizational
information to the Federal Register annually, or as otherwise requested, for
inclusion in the United States Government Manual (See 5 U.S.C. 552).
18 FAM 201.1-3(D) Office of
Inspector General
(CT:PPP-2; 03-19-2018)
(State Only)
The Office of Inspector General (OIG) has statutory responsibilities
under section 4(a) of the Inspector General Act of 1978, as amended (5 U.S.C.
Appendix). Accordingly, OIG reviews proposed legislation, regulations, and
policies relating to programs and operations of the Department and other
establishments for which OIG provides oversight. OIG provides written comments
on such proposals when appropriate. OIGs review ensures its awareness of all
changes relevant to its oversight responsibilities, and its comments typically
focus on text that is related to:
(1) OIG work or recommendations within the past 3
years; or
(2) OIG oversight authorities and internal operations.
18 FAM 201.1-3(E) Other Foreign
Affairs Agencies
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Department of State and other Foreign Affairs
agencies, i.e., the Agency for International Development (USAID) and the
Departments of Commerce and Agriculture, should strive to provide maximum
uniformity in their administrative policies and procedures. Directives,
therefore, should be joint efforts whenever the agencies have common
operations. In the Department of States Foreign Affairs Manual, these joint
directives are issued using the term uniform regulations. A/GIS/DIR
determines the presentation style of these policies and procedures.
b. A Joint Regulations Board, consisting of a
representative from State (A/GIS/DIR), who is the chair, and one representative
each from USAID and the Departments of Commerce and Agriculture, administers
the uniform directives program. The Department of State provides leadership,
but all agencies participating have equal voice in developing uniform
directives.
18 FAM 201.1-3(F) Volume
Coordinator
(CT:PPP-2; 03-19-2018)
(State Only)
Volume coordinators perform FAM oversight and liaison
functions in cooperation with the Office of Directives Management (A/GIS/DIR).
With the exception of Volumes 1 and 2 of the FAM, the volume coordinator for a
specific volume or portion of a volume is designated by the Assistant Secretary
(or equivalent), whose 1 FAM responsibilities include managerial responsibility
for that particular volume or portion. Each volume coordinator also:
(1) Oversees the assigned volume (and attendant
handbooks); monitors status of pending items; and reviews issuance dates to
ensure that the material contained in the FAM is current;
(2) Coordinates FAM changes; participates in all
formal submissions to A/GIS/DIR (sometimes drafting the formal submission
memorandum); and may act as the conduit for all submissions and revisions
between the substantive office and A/GIS/DIR;
(3) Ensures proper clearances of all material before
formal submission to A/GIS/DIR;
(4) Coordinates clearances within the volume
coordinators bureau on related issues in other volumes;
(5) Keeps management informed of the status of changes
and alerts appropriate offices concerning portions of the FAM that warrant
revision. Secures managements cooperation to ensure that reviews and
revisions are carried out;
(6) Coordinates with the designated A/GIS/DIR FAM
analyst to ensure FAM revisions under the volume coordinators responsibility
are codified;
(7) Identifies material for inclusion in the FAM and
ensures such material is added; and
(8) Mediates differences between offices on FAM
issues.
18 FAM 201.1-3(G) Standing
Committee on Directives
(CT:PPP-2; 03-19-2018)
(State Only)
The Standing Committee on Directives is chaired by the
Assistant Secretary for Administration and is composed of designated
representatives from other Department bureaus. It meets as necessary to provide
guidance and direction on FAM issues and to resolve clearance issues between
offices concerning FAM material.
18 FAM 201.1-4 DEFINITIONS
(CT:PPP-2; 03-19-2018)
(State Only)
Change Transmittal (CT):
Formerly known as Transmittal Letter (TL), the official document that
implements formal directive changes to the FAM or FAH. It provides effective
dates and necessary instructions for incorporating changes into the FAM or FAH.
Directive: A written
communication establishing and prescribing the organizations, policies, or
procedures that provide an official basis of Department of State operation.
Foreign Affairs Handbook (FAH):
An extension of the Foreign Affairs Manual. This supplemental series provides
implementing guidelines and detailed procedures for directives contained in the
FAM. The term Handbook denotes a Foreign Affairs Handbook. (See also 18 FAM
201.1-5(E)(1).)
Foreign Affairs Manual (FAM):
The formal written document for recording, maintaining, and issuing Department
directives. The term manual denotes the Foreign Affairs Manual or one of its
volumes.
Operating offices: These
offices are responsible for carrying out the Departments mission. They
perform their functions in accordance with directives contained in the FAM.
Program offices: Department
organizations that develop, implement, and manage appropriate policies and
procedures regarding specified functions. Program offices also perform
oversight and periodic review of operating offices to ensure their compliance
with Department directives.
Uniform regulations: The term
used for joint directives agreed to by the Department and other Foreign Affairs
agencies and incorporated into agency directives materials (see 18 FAM
201.1-3(E)).
Valid (validity): The term
used to describe those directives placed in force through proper issuance as
prescribed in 18
FAM 201.1.
18 FAM 201.1-5 DIRECTIVES PROGRAM
(CT:PPP-10; 09-19-2018)
(State Only)
The directives program comprises the Foreign Affairs
Manual, the Foreign Affairs Handbooks, acquisition regulations (see 18 FAM
201.1-5(D)), Department Notices and cables (interim issuance only), and
collateral regulations (see 18 FAM
201.1-5(F)). DIR also manages delegations of authority (see 18 FAM 201.3)
and agency rulemaking (see 18 FAM 201.4).
18 FAM 201.1-5(A) The Foreign
Affairs Manual (FAM)
(CT:PPP-12; 02-22-2019)
(State Only)
a. The Foreign Affairs Manual is the official
articulation of directives that apply to the activities of the Department of
State and the Foreign Service (see 18 FAM 201.1-1(B)).
The Foreign Affairs Manual consists of multiple volumes, listed below, with
brief summaries of content. Abbreviations used for numbering change
transmittals follow in parentheses.
1 FAMORGANIZATION AND FUNCTIONS
(CT:ORG-): This volume consists of the organizational structure of the
Department of State, its functions, responsibilities, and authorities, and
contains the official Department organization chart.
2 FAMGENERAL (CT:GEN-):
This volume contains an extensive range of unrelated materials; refer to 2 FAM
Table of Contents for the list of subjects.
3 FAMPERSONNEL (CT:PER-):
This volume contains employment information, compensation, commissions,
allowances and differentials, attendance and leave, benefits, performance
evaluation, labor-management relations, conduct, grievance procedures,
separation/retirement, locally employed staff (LE staff), etc.
4 FAMFINANCIAL MANAGEMENT
(CT:FIN-): This volume contains information on auditing, budgeting,
accounting, disbursing, vouchers and claims, payroll operations, structure and
classification codes, etc.
5 FAMINFORMATION MANAGEMENT
(CT:IM-): This volume contains information management-related issues,
including correspondence and records management, audio-visual management,
telecommunications, software engineering, system management, equipment and
services acquisition, strategic planning, Freedom of Information, and program
management.
6 FAMGENERAL SERVICES (CT:GS-):
This volume contains personal services and benefits information; commissary,
mess, and recreational facilities; safety program; procurement of automated
data processing equipment; space allocation; and publication, library, and
language services.
7 FAMCONSULAR AFFAIRS (CT:CON-):
This volume contains responsibilities regarding the welfare of U.S. citizens
abroad; judicial, financial, and medical assistance; shipping and seamen;
acquisition and loss of U.S. citizenship; passport services; registration
abroad, including reports of birth and absentee voting; and protection of foreign
interests.
8 FAMPassports
and Consular Reports of Birth Abroad (CT:CITZ-)
9 FAMVISAS (CT:VISA-):
This volume contains information on the issuance or refusal of visas to aliens.
10 FAMPUBLIC, EDUCATIONAL, AND
CULTURAL AFFAIRS (CT:PEC-): This volume contains information on public
affairs; public diplomacy; education and cultural exchange programs; press
relations; U.S. Government information dissemination to and within foreign
countries; and educational and cultural conferences.
11 FAMLEGAL AND POLITICAL AFFAIRS
(CT:POL-): This volume contains political reporting, policies, and
programs the Office of the Legal Adviser administers; intelligence, treaties
and other international agreements; and international conferences. (Much of 11
FAM is CLASSIFIED.)
12 FAMDIPLOMATIC SECURITY
(CT:DS-): This volume governs security issues for personnel,
facilities, and systems; protection; investigations; courier service; and
counterterrorism.
13 FAMTRAINING AND PROFESSIONAL
DEVELOPMENT (CT:TPD-): This volume contains policies and procedures for
the training of employees of the Department of State, and others, as
appropriate.
14 FAMLOGISTICS MANAGEMENT
(CT:LM-): This volume contains logistics management, including
procurement and the Diplomatic Pouch.
15 FAMOVERSEAS BUILDINGS
OPERATIONS (CT:OBO-): This volume consists of management information of
the Department's facilities abroad including foreign aspects of the
Departments safety program.
16 FAMMedical and Health Program
(CT:MED-): This volume provides information regarding medical
clearances for personnel and acts as the Designated Agency Head for Safety
Operations.
17 FAMReserved.
18 FAMPrograms, Practices, and
Planning (CT:PPP-): Provides guidance strategic direction, policy
priorities, and program management.
b. A/GIS/DIR maintains the definitive master copy and
inventory of the Foreign Affairs Manual. This office also maintains the
historical record of prior FAM provisions no longer in effect.
18 FAM 201.1-5(B) Interim
Directive
(CT:PPP-16; 03-06-2019)
a. POLICY
An office may issue an interim directive that has
immediate effect.
(1) Interim directive refers to a new policy or a
change in policy that is announced in a cable (ALDAC) or Department Notice
prior to being codified in the Foreign Affairs Manual (FAM) or associated
Foreign Affairs Handbook (FAH). An interim directive is issued due to an
urgent or compelling need or an emergency situation. An interim directive might
result in conflicting guidance with the FAM/FAH. Due to the possible confusion
that may be caused by having more than one version of a policy in existence,
interim directives are valid and supersede the FAM/FAH for the time period
identified within the ALDAC or Department Notice. If an interim directive expires,
the effective policy will be the policy codified in the FAM/FAH.
(2) Emergency situation includes addressing national
security and public safety issues; litigation deadlines; Presidential Policy
Directive Executive Orders and new legislation that have short deadlines; or
other time sensitive situations.
b. PROCEDURES
(1) Drafting:
(a) The first sentence of an interim directive ALDAC or
Department Notice must include: this is a policy change and the expiration
of the interim directive, not to exceed one year from date of issuance.
(b) The reference line of an interim directive ALDAC or
Department Notice must refer to the relevant FAM or FAH section.
(c) A point of contact (POC) must be named within the
interim directive.
(2) Clearance:
(a) The drafting bureaus Assistant Secretary or
designee must approve and certify the interim directive as a new or change in
policy that must be codified into the FAM in a timely manner.
(b) The drafting office must secure all bureau
clearances before the interim directive can be issued in an ALDAC or Department
Notice.
(c) The drafting office must secure clearance from all
stakeholders within the Department, within two business days, before the
interim directive can be issued in an ALDAC or Department Notice. Except for
the requirements identified in paragraphs (d) and (e) below, if no response is
received within two business days, the document will advance to the next step.
If a stakeholder indicates a Do Not Clear they must concurrently provide the justification
and alternate content verbiage that will allow them to clear.
(d) The Volume Coordinator (VC) is a mandatory clearer
for each interim directive.
(e) An attorney assigned to the Office of the Legal
Adviser (L) must clear before the interim directive can be issued in an ALDAC
or Department Notice.
(f) The Office of the Inspector General (OIG) will
review, within two business days, the text before the interim directive can be
issued in an ALDAC or Department Notice. OIG may provide comments on Department
directives, ALDACs and Notices, but does not provide clearance. If no
response is received within two business days, the document will advance to the
next step.
(g) A clearance sheet must be maintained that indicates
the bureau and name of the clearer.
(h) Upon request from L or OIG, A/GIS/DIR will provide a
crosswalk of modifications regarding the interim guidance and current FAM/FAH
text.
(i) For interim personnel directives that require a
revision or modification of 3 FAM/FAH, see 3 FAH-1 H-1116.1 for clearance guidance.
(3) Emergency Interim Directive:
(a) In an emergency situation, an interim directive may
be issued.
(i) In an emergency, normal clearance may be
dispensed with, but the action bureau assumes responsibility for departure from
the prescribed process.
(ii) The action office must inform the units and
stakeholders within the Department omitted from the clearance process of the
action that has been taken at opening of business the next business day.
(b) An attorney assigned to the Office of the Legal
Adviser (L) must clear all emergency interim directives before the interim
directive can be issued in an ALDAC or Department Notice.
(c) Emergency interim directives issued after hours may
be cleared by the drafting bureau with relevant bureau duty officers.
(d) The drafting bureau must notify the OIG of the
emergency issuance of an interim directive at opening of business the next
business day. Subsequently the OIG will conduct a review of the interim
directive within five business days. OIG may provide comments on Department
directives, ALDACs and Notices, but does not provide clearance. If no response
is received within five business days, the document will advance to the next
step.
(4) Issuance:
(a) Once approval and clearances are secured:
(i) The ALDAC draft is transmitted by the drafting
bureau in the SMART system. The Operations Center (S/ES-O) will review each
outgoing ALDAC electronically within SMART and authorize final issuance. The
ALDACs that do not meet the standard requirements for issuance will be returned
to the drafter for re-submission.
Detailed guidance, step-by-step instructions for entering ALDACs
into SMART, and clearance guidance are available on the Executive Secretariat
InfoLink page at under Paper Guidance.
Additional resources on drafting and sending cables through SMART
are available at the SMART apps page.
(ii) The Department Notice is transmitted by the
drafting bureau to A/GIS for final issuance.
(b) Upon issuance of the interim directive, on the day
of or opening of business the next business day, the drafting office must
provide the following to A/GIS/DIR, at efam@state.gov, for publishing in the
FAM/FAH:
(i) Approved ALDAC or Department Notice;
(ii) Clearance sheet;
(iii) Hyperlink URL to the specific interim directive:
on the SMART Search site for ALDACS;
on the Department Intranet site for Department Notices.
(c) A/GIS/DIR will notify the appropriate VC upon
receipt of information regarding the interim directive.
(5) FAM/FAH Publication:
(a) Within two working days after the issuance of the
ALDAC or Department Notice, A/GIS/DIR will publish the hyperlink in the
appropriate FAM/FAH section linking directly to the interim directive.
(b) Within 60 days of issuance, the interim directive will
be placed in the FAM Clearance application by the VC, in the standard FAM/FAH
format, in order to secure clearance from all stakeholders within the
Department.
(c) In the event required modifications or revisions are
identified within the FAM clearance process:
(i) The final cleared policy will be published in the
FAM and will supersede the issued interim directive and prior policy.
(ii) The office of origin will re-issue an ALDAC or
Department Notice citing the previous issuance, identifying the modifications
or revisions made along with the appropriate hyperlink, and notifying the
Department that the final policy is available in the FAM/FAH on the A/GIS/DIR
website.
(d) A/GIS/DIR will notify the office of origin VC 30
days prior to expiration of an interim directive.
(e) Altogether, bureaus should codify an interim
directive it has announced within 90 days of the announcement.
c. RESOURCES
(1) 5 FAH-1 H-232 guidance regarding drafting ALDACs;
(2) 5 FAH-1 H-240 guidance regarding release of ALDACs; see also
5 FAH-1 H-211 and 5 FAH-1
H-212.1 guidance regarding archive
messages that convey official Department policy;
(3) 5 FAH-1 H-710 guidance regarding use of Department Notices;
(4) 5 FAH-1 H-720 guidance regarding preparation and clearance of
Department Notices;
(5) 2 FAM 1210 provides general guidance on action and
clearance procedures and processes;
(6) Repository:
(i) ALDACs are retrievable in SMART Search.
(ii) Department Notices are retrievable in the
Department Intranet.
(iii) Consular policy ALDACs and Department Notices
are also retrievable in the CAWeb Intranet.
18 FAM 201.1-5(C) Delegations
of Authority
(CT:PPP-2; 03-19-2018)
(State Only)
Delegations of authority, when assigned numbers by
A/GIS/DIR, become part of the Departments body of authorities, to be cited as
appropriate in the FAM. As necessary, DIR may also include delegations of
authority in the FAM. (See 18 FAM 201.3).
18 FAM 201.1-5(D) Acquisition
Regulations
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Federal Acquisition Regulations System codifies
under Title 48 of the Code of Federal Regulations uniform policies and
procedures for acquisition by all executive agencies.
b. The Federal Acquisition Regulations System consists
of the Federal Acquisition Regulation (FAR), which is the primary document, and
agency acquisition regulations that implement or supplement the FAR.
c. The Department of State Acquisition Regulation
(DOSAR) implements, supplements, and in some cases, deviates from the FAR. The
FAR and DOSAR cover Department of State acquisitions both domestically and
abroad. The Office of the Procurement Executive (A/OPE) is responsible for the
DOSAR and represents the Department on the council that revises the FAR.
18 FAM 201.1-5(E) Handbooks and
Guidelines
18 FAM 201.1-5(E)(1) Foreign
Affairs Handbook Series
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Foreign Affairs Handbook (FAH) series is a
supplemental series providing guidelines and procedures for implementing
policies and directives contained in the FAM. Material published in a FAH has
the same force and effect as material published in the FAM. Each handbook in
the FAH series starts with the same FAM volume number to which it relates. For
example, 5 FAH-1 refers to the Correspondence Handbook. The 5 prefix refers
to Volume 5, Information Management. The 1 shows that this is the first
handbook in that FAH series.
b. A/GIS/DIR maintains a complete inventory and listing
of all extant handbooks. DIR also maintains the historical record of prior FAH
provisions no longer in effect.
18 FAM 201.1-5(E)(2) Other
Guidebooks and Booklets
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Office of Directives Management does not always
link the FAM to other Department guidebooks (also termed guidelines, internal
procedures, etc.) relating to isolated operations. A/GIS/DIR must clear all
proposed guidebooks or other similar materials prior to publication to
determine whether they must be incorporated in a FAM volume or FAH handbook
series. Guidebooks are not enforceable.
b. Booklets contain general information for
distribution to individual employees or the public (such as health conditions
or social customs in certain areas of the world). Booklets are not enforceable.
18 FAM 201.1-5(F) Collateral
Regulations
(CT:PPP-10; 09-19-2018)
(State Only)
Collateral regulations comprise an organized collection of
the regulatory or directives publications of Federal agencies other than the
Department of State that affect the work of the Department and the Foreign
Service. They have legal effect without reissuance by the Department. Such
material is not ordinarily written into the Foreign Affairs Manual. It is
forwarded to posts in the form in which originally issued or as extracts under
cover of explanatory cables or change transmittals. Maintain these materials
as individual manuals or sets of issuances.
18 FAM 201.1-6 ISSUING DIRECTIVES
(CT:PPP-2; 03-19-2018)
(State Only)
Procedures for drafting, clearing, formatting, and issuing
FAM material are given in 2 FAH-1, Foreign Affairs Manual Standards.
18 FAM 201.1-6(A) Drafting
Directives
(CT:PPP-10; 09-19-2018)
(State Only)
a. Originating offices should coordinate with the
Office of Directives Management (A/GIS/DIR) before drafting a directive for
publication in the FAM (or emergency issuance by Department Notice or cable).
b. The originating office is responsible for the
substance, proper format, and necessary clearances of each directive proposed
for publication as a change to the Foreign Affairs Manual or a Foreign Affairs
Handbook. A/GIS/DIR may return to the originating office for correction any
directives submitted for publication that are not properly formatted or contain
substantive errors, such as incorrect authority citations.
c. While any office of the Department may propose the
initiation of a new or revised directive, the office having primary program
responsibility or interest in the subject matter involved prepares the
material. When two or more offices share in preparing a single directive, this
responsibility may be assumed under mutual agreement by either office, by the
volume coordinator, or the Office of Directives Management.
d. When drafting new or revised directives, drafting
officers should collaborate with their counterparts in other foreign affairs
agencies to obtain uniformity. A uniform regulation may not be revised without
interagency consultation.
e. The originating office also prepares a suggested
summary to be included in the change transmittal. The summary contains the
specific major changes in the directive.
18 FAM 201.1-6(B) Clearance and
Submission Procedure
(CT:PPP-2; 03-19-2018)
(State Only)
Specifics procedures regarding the FAM clearance process
are covered in 2 FAH-1, Chapter H-100.
18 FAM 201.1-6(B)(1) Policy
(CT:PPP-2; 03-19-2018)
(State Only)
a. A/GIS/DIR is responsible for ensuring that materials
have proper clearance before issuance, printing, or other dissemination.
b. A/GIS/DIR may specify and require clearance points
and may decline issuance without those clearances.
c. FAM material needing clearances from within the
Department must be submitted to the FAM Clearance website. Procedures for
using the FAM Clearance website are contained in 2 FAH-1 H-116.
18 FAM 201.1-6(B)(2) Internal
Clearances
(CT:PPP-2; 03-19-2018)
(State Only)
Originating/program offices are responsible for obtaining
their own bureau's internal clearances; they work with the relevant volume
coordinator as needed. Drafters should be in contact with A/GIS/DIR to obtain
an informal review before getting the internal clearances.
18 FAM 201.1-6(B)(3) Department
Review and Clearance Points
(CT:PPP-16; 03-06-2019)
(State Only)
a. The originating office is responsible for
identifying which bureaus/offices should review, comment, and/or clear the
material.
b. Each clearance point indicates approval or
disapproval in writing, including the use of email, through the FAM Clearance
website (see 2
FAH-1 H-116). In the case of disapproval, the clearance point gives its
reasons.
c. Required clearance points are:
(1) Lmandatory for substantive issues;
(2) Mmandatory for all
revisions proposed by an M family bureau;
(3) CGFSfor
financial issues;
(4) HRfor
personnel issues; and
(5) A/GIS/DIRfor
all Department administrative issues, policies, and procedures.
d. OIG is always a review point for new policies. OIG
will comment as appropriate, but does not clear.
18 FAM 201.1-6(B)(4) Formal
Submission
(CT:PPP-2; 03-19-2018)
(State Only)
a. After all clearances are obtained, the originating
office reconciles comments on proposed directives into the draft directive. It
sends the request for publication and final draft in approved format (see 2 FAH-1 H-100) to the
volume coordinator. The volume coordinator reviews the submission and forwards
the final draft to the Office of Directives Management for review and
codification.
b. If needed or requested by A/GIS/DIR, the originating
office must explain in writing reasons for nonacceptance of substantive comment
from other offices identified in the clearance process. L clearance is
mandatory for substantive issues.
18 FAM 201.1-6(C) Review and
Issuance
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Office of Directives Management determines and
applies directives standards. It makes such editorial changes it deems
necessary (without reclearance, unless substantive intent of the proposed
material is affected), and it arranges for publication.
b. A/GIS/DIR reviews and issues all directives,
ensuring that:
(1) No conflicting and duplicating policies are
published;
(2) Proper clearances and approvals have been
obtained; and
(3) Directives are easy to understand.
c. The A/GIS/DIR obtains or directs the originating
office to obtain any additional clearances it deems necessary, especially if
uniformity among agencies is involved. It also approves for publication new or
revised directives after all offices concerned have reviewed and concurred.
d. When the originating office or the Office of
Directives Management cannot reconcile dissenting views, A/GIS/DIR must report
the matter to the Standing Committee on Directives.
e. On a uniform directive, agency dissenting views are
resolved by the Joint Regulations Board or by referral by the Board to senior
officials of the agencies concerned.
18 FAM 201.1-6(D) Issuance and
Distribution
18 FAM 201.1-6(D)(1) General
Policy
(CT:PPP-2; 03-19-2018)
(State Only)
a. A/GIS/DIR is solely responsible for managing this
program. Address all questions concerning this program, including validity of
materials in either format, to A/GIS/DIR.
b. A/GIS/DIR prepares its master copies for electronic
use. Offices may purchase paper revisions from A/GIS/GPS and use them as
backup copies and for reference as needed.
c. A/GIS/DIR issues change transmittals (CTs) to make
changes and replacements by subchapter. DIR maintains a master copy for
validity and continuity purposes.
d. Use the TAGS AINF and KFAM on all official
communications concerning any FAM or FAH issuances.
18 FAM 201.1-6(D)(2) Intranet
(CT:PPP-2; 03-19-2018)
(State Only)
A/GIS/DIR posts all issued Departments directives on its
websites. These electronic Web versions are the official versions of the
Departments directives.
18 FAM 201.1-6(D)(3) Compact
Disk Format
(CT:PPP-2; 03-19-2018)
(State Only)
Upon requests from posts where the Internet may not be
available or reliable, A/GIS/DIR can supply the FAM in CD-ROM (Compact
Disk-Read Only Memory) format.
18 FAM 201.1-6(E) Volume
Maintenance
(CT:PPP-2; 03-19-2018)
(State Only)
a. The FAM is a vital part of the Departments
day-to-day operations. Posts/offices relying on nonelectronic FAM materials
must maintain them and keep them current. Responsibilities for FAM maintenance
include:
(1) Providing means to access the FAM over the
Departments Intranet or ClassNet, as well as the Internet, OSIS, and SIPRNET
whenever possible, or making the most recent FAM CD-ROMs or paper copies
readily available;
(2) Distributing new material promptly; and
(3) Ensuring that FAM materials remain at the
post/office, and not in the possession of individual officers or staff.
b. Posts and offices that rely primarily on CD-ROM or
paper versions of the FAM should include FAM maintenance as part of the job
descriptions of designated employees and should include a FAM/FAH review as
part of check-in and check-out procedures.
18 FAM 201.1-7 DIRECTIVES RECORDS
(CT:PPP-2; 03-19-2018)
(State Only)
The Office of Directives Management maintains complete
records showing clearances and approvals on all materials published in the FAMs
and FAHs. These records are available to officers of the Department who seek
information on the history of directives.
18 FAM 201.1-8 DIRECTIVES
VALIDITY AND INTERPRETATION
18 FAM 201.1-8(A) Validity
(CT:PPP-2; 03-19-2018)
(State Only)
a. The Office of Directives Management (A/GIS/DIR), in
coordination with L, determines the validity of Department of State
directives. As the managing office, DIR maintains an official copy of all
valid directives. In the case of legal deficiency, L may request DIR to
rescind the identified material and at the same time notify the program office
of the determination and the need to revise the affected material.
b. A/GIS/DIR will respond to questions of apparent
discrepancy or divergence between the official electronic version and other
DIR-issued versions. (For example, due to older processing requirements, FAM
citations have differed slightly between the two formats, but both are equally
valid as long as their substance is the same.)
c. Direct requests concerning the validity of
directives or other similar materials to A/GIS/DIR.
18 FAM 201.1-8(B) Interpretation
(CT:PPP-2; 03-19-2018)
(State Only)
The originating office is responsible for interpreting its
directives, subject to L review. The Office of Directives Management will
forward inquiries it receives to the originating office. Interpretation of
uniform directives is made after interagency consultation.