3 FAM 5300
DEPARTMENT RELATIONSHIPS WITH NON-LABOR ORGANIZATIONS
3 FAM 5310
DEPARTMENT RELATIONSHIPS WITH ORGANIZATIONS
REPRESENTING FEDERAL EMPLOYEES AND OTHER ORGANIZATIONS
(CT:PER-911; 06-26-2018)
(Office of Origin: DGHR/PC and S/OCR)
3 FAM 5311 AUTHORITY
(CT:PER-662; 11-22-2011)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
These matters are addressed in 5 CFR 251, Agency
Relationships with Organizations Representing Federal Employees and Other
Organizations.
3 FAM 5312 GENERAL PROVISIONS
3 FAM 5312.1 Purpose
(CT:PER-909; 03-28-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
a. This provision sets forth Department policy regarding
the standards and procedures required to establish and maintain an employee
organization (EO) or employee affinity group (EAG) in compliance with 5 CFR
251.
b. 5 CFR 251 provides the framework for Federal
executive branch department consultation and communication with non-labor
organizations (NLOs) representing Federal employees on matters related to
agency operations and personnel management.
c. The purposes of Departmental consultation and
communication with NLOs are to improve agency operations, personnel management,
and employee effectiveness; facilitate the exchange of information (e.g.,
ideas, opinions, and proposals); and establish policies that best serve the
public interest in accomplishing the mission of the Department.
d. Department consultation and communication with NLOs
may not take on the character of negotiations or consultations regarding terms
and conditions of employment of bargaining unit employees, which is reserved
exclusively for labor organizations (LOs) as provided for in 5 U.S.C. 71 or
comparable provisions of other laws. Further, management officials may not
engage NLOs to the extent that this may constitute representation exclusively
assigned to a labor organization under 5 U.S.C. 7114(a)(2), or 22 U.S.C.
4113(b)(1), or otherwise attempt to bypass a union by soliciting information
directly from bargaining unit employees who are members of an NLO.
e. The Department may determine that it is in its
interest to consult, from time to time, with organizations other than labor organizations
and associations of management officials and/or supervisors to the extent
permitted by law.
3 FAM 5312.2 Definitions
(CT:PER-909; 03-28-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
Diversity Advisory Council (DAC)
is a chartered council chaired by the Under Secretary for Management (hereafter
referred to as the Under Secretary) and vice-chaired by the Chief Diversity
Officer. It consists of other senior Department officials called members,
who are appointed by the Under Secretary. The mission of the DAC, in
accordance with the Departments Diversity and Inclusion Strategic Plan (DISP),
is to apply a diversity and inclusion lens to leadership through advisement on
Department management policies and initiatives.
Employee affinity group (EAG)
is a type of NLO with the primary mission to promote diversity and inclusion in
support of the DISP. Members of the DAC, upon recommendation of the Chief
Diversity Officer, advise the Under Secretary on whether or not to certify and
approve a proposal for EAG status. The Chief Diversity Officer's role for
recommendation is to determine whether the organization meets the provisions to
become an EAG as provided by 3 FAM 5300, and any additional guidance derived
from it. The members of the DAC also recommend to the Under Secretary whether
or not to recertify or decertify an EAG. The Office of Civil Rights (S/OCR)
provides support to EAGs, as set forth herein.
Employee Organization (EO) is a
type of NLO that the Department has recognized as meeting the requirement of
being able to hold a productive dialogue with management regarding agency
operations and employee engagement. The Bureau of Human Resources Office of
Policy Coordination (HR/PC) authorizes recognition and provides support to EOs,
as set forth herein.
Labor organization (LO) is an
organization as defined in 5 U.S.C. 7103(a)(4), which is in compliance with 5
U.S.C. 7120, or as defined in 22 U.S.C. 4102(11), which is in compliance with
22 U.S.C. 4117.
Leadership liaison (LL) is a
senior official who partners with an EAG to provide guidance and advice on
effective leadership in the context of Department culture. The Under Secretary
and the Chief Diversity Officer jointly nominate LLs, and the Deputy Secretary
of State appoints them. LLs serve a term of up to 4 years, subject to yearly
review by the Under Secretary and the Chief Diversity Officer. The following
senior officials are ineligible to serve as LLs, though there is no guarantee
any other seventh-floor principal will serve as an LL:
Secretary
Deputy Secretary
Under Secretaries
Director General
Executive Secretary
Director of the Office of Civil Rights/Chief Diversity Officer
The roles and responsibilities of LLs, to the
extent consistent with applicable regulations and policies, are:
(1) To serve as a resource to the EAG, providing
mentorship and guidance;
(2) To regularly attend EAG events, activities, or
meetings, as appropriate; and
(3) To share EAG agenda items with S/OCR and other
senior leadership at the DAC and at other senior-level, diversity-related
meetings.
When LLs are unavailable to attend events and
meetings, they should designate a senior member of their staff to attend in
their stead.
Non-labor organization (NLO) is
an organization other than an LO that, in accordance with 5 CFR 251,
contributes to employee general welfare and morale. An NLO provides
information, views, and services that will contribute to improved agency
operations, personnel management, and employee effectiveness.
3 FAM 5313 department support AND
ENGAGEMENT WITH Non-labor Organizations
(CT:PER-909; 03-28-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
a. The Department may support NLOs when the Department
determines that such action would benefit the Department's programs or would be
warranted as a service to employees who are members of the organization. HR/PC
makes such recommendations to the Director General with respect to EOs, and
S/OCR makes such recommendations to the DAC with respect to EAGs.
b. The mere provision of Department support does not
constitute Federal sponsorship, sanction, or endorsement of the NLO or its
views and/or activities. NLOs may not engage in any activities that adversely
reflect on the Department. The activities, programs, products, or services of
any NLO must not be represented, directly or indirectly, as being official
functions or activities of the Department.
c. The description of and/or criteria for Department
support are as follows:
(1) Compliance with law and
regulation. Department support must comply with applicable law and
Department policies;
(2) Use of "Department of
State" in NLO name. Use of "Department of State" or its
logo may not be used to imply Federal sponsorship, sanction, or endorsement of the
NLO or its views and/or activities;
(3) Use of Department resources.
Upon request, HR/PC or S/OCR may seek the use of Department resources such as
facilities or equipment, administrative support services, publications, and
bulletin boards in accordance with appropriate regulations, such as Bureau of
Administration regulations with respect to rooms and bulletin boards, as well
as General Services Administration regulations contained in title 41 of the
CFR, or any other applicable regulation. Any such Department facilities and
resources must be utilized during standard business hours unless otherwise
approved by HR/PC or S/OCR, as applicable;
(4) Attendance at outside events.
For purposes of funding, the Department may use authorities under 5 U.S.C. 4109
and 5 U.S.C. 4110 implemented by 5 CFR 410, to pay expenses of employees to
attend professional organizational meetings when attendance is for the purpose
of employee development or directly concerned with agency functions or
activities and the Department can benefit from such attendance. A request for
such funding must be submitted to the appropriate office, be it HR/PC or S/OCR,
which will coordinate as needed with the appropriate Department office with
authority to decide whether to grant the request. Decisions will be made on a
case-by-case basis and the determination is not appealable. All requests must
be submitted by an NLO no later than 4 weeks before the proposed event. This
provision is not a guarantee or requirement that the Department will provide
such funding, and the Department expects that such funding would not be routine;
(5) Attendance at NLO meetings.
Employees are not granted administrative leave to attend NLO-sponsored events
and meetings. However, managers and supervisors are encouraged to allow
attendance at such events and meetings, consistent with applicable rules
governing leave and hours of work. Any concerns or issues related to such
attendance should be directed to HR/PC or S/OCR, as appropriate;
(6) Correspondence with Department
principals. NLOs that would like to submit correspondence to senior
Department leaders, other than their LL (if applicable), must prepare the
correspondence in accordance with the examples established by the Executive
Secretariat. NLOs should submit their correspondence to HR/PC or S/OCR for
processing. HR/PC or S/OCR will obtain clearance and submit as appropriate;
(7) Fundraising for NLO-related activities. While using or on Department property or
on duty, an NLO may (if first approved by HR/PC or S/OCR, as appropriate) raise
funds only among their own members for organizational support or for the
benefit of welfare funds for their members, so long as the fundraising adheres
to Federal laws and regulations and any other relevant Departmental rules or
policies, including the rules prohibiting gambling in the workplace (see, for
example, 6 FAM
527); and
(8) Funding for NLOs. No
funding will be provided to EOs except for the purpose of attendance at outside
events as described herein. S/OCR will consider funding requests from EAGs on
a case-by-case basis. Requests for domestic representation funds must adhere
to Office of Emergencies in the Diplomatic and Consular Service (M/EDCS)
policies and procedures.
3 FAM 5314 Establishment and
maintenAnce of consultative relationship with NON-LABOR ORGANIZATIONS
(CT:PER-911; 06-26-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
a. In order to establish and maintain a consultative
relationship with the Department as an EO or EAG, an NLO:
(1) Must be a lawful, nonprofit organization whose
governing documents (including charter and/or bylaws) indicate that it
subscribes to minimum standards of fiscal responsibility and employs democratic
principles in the nomination and election of officers. An NLO need not
formally incorporate under State law or seek tax-exempt status from applicable
tax authorities in order to comply with this requirement. Fiscal responsibility
entails the following:
(a) Regular updates on fiscal matters, if applicable,
including updates on the organization's finances; and
(b) An account established solely for the purposes of
the NLO if dues or funds are collected. Dues, if collected, may only be
collected from the organizations members and must be used solely for the
direct benefit of the organizations members and/or activities;
(2) Must not discriminate in terms of membership or
treatment because of race, color, national origin, age, religion, sex
(including pregnancy, sexual orientation, and gender identity), disability,
genetic information, military service, political affiliation, marital status,
or ones involvement with legally protected activity (such as the EEO process or
reporting prohibited personal practices or waste of public funds, violations of
the law, or abuse of authority). The organization must include such a policy
statement in its governing documents; and
(3) Must comply with all other applicable law and
Department policy.
b. The Department may recognize an NLO as an EO or an
EAG but not both.
c. Only full-time
State Department Civil Service or Foreign
Service employees or personal services contractors (PSCs) hired in the United
States may represent the group before State
Department management. In addition, the majority of the membership of
an NLO must be full-time, permanent State Department Civil Service or Foreign
Service employees.
d. While NLOs are not limited in membership to only
Department employees, the Department will not take into consideration
recommendations that primarily impact other government or private entities.
3 FAM 5314.1 Establishment and
Continued Recognition of Consultative Relationship with Employee Organization
(CT:PER-909; 03-28-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
a. The following procedures apply to organizations
seeking to establish a consultative relationship with the Department as an EO:
(1) A proposal to be recognized as an EO must be submitted
to HR/PC for consideration. HR/PC will consult with L/EMP in making a final
recommendation to the Director General; and
(2) A proposed EO must submit a written request that
must include at least the name of the EO; a statement regarding why the organization
believes an official consultative relationship should be established; an
indication that representation in the organization is substantial enough to
warrant the Departments consideration of such a relationship; a list of the
groups current leadership; and a copy of the organization's proposed governing
documents.
b. If necessary, HR/PC may request additional
documentation and/or clarity on provided material. Once the EO's proposal
meets the required criteria for submission, HR/PC will prepare a written
response addressed to the organization indicating whether the request was
approved or denied. If denied, the reason therefor will be included in the
response. HR/PC will also provide a copy of the approved response to the
Bureau of Administration, Office of Operations (A/OPR).
c. Organizations that have been denied recognition
may, at their discretion, restructure the documentation and submission to meet
established criteria and resubmit that application.
d. EO governing documents must indicate how elections
will be conducted and how often, including when elected positions are vacated.
HR/PC encourages EOs to resubmit updated and/or revised governing documents if
there are significant and substantive changes made, and HR/PC may, as
appropriate, require EOs to submit any updates to governing documents. HR/PC
will reach out to recognized EOs on at least a biannual basis to ensure that
the EO still exists and is in compliance with existing governing documents.
e. EOs may be decertified either through self-determination
or if it is determined by the Department that the organization no longer
adheres to democratic principles, fiscal responsibility, and/or if the group no
longer warrants a consultative relationship with the Department.
3 FAM 5314.2 Establishment and
Continued Recognition of Consultative Relationship with Employee Affinity Group
(CT:PER-909; 03-28-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)
a. The following procedures pertain to organizations
seeking to establish or maintain a consultative relationship with the
Department as an EAG:
(1) The organization wishing to be recognized as an
EAG must submit a proposal to Diversity@state.gov for consideration. Following
the Chief Diversity Officers recommendation, members of the DAC will advise
the Under Secretary within 90 calendar days whether to recognize the
organization as an EAG; and
(2) The proposal must include:
(a) The name of the organization;
(b) An indication that a substantial number of employees
have expressed interest in maintaining engagement with the organization if it
were recognized;
(c) Demonstration that the organization is aligned with
the Departments goals to achieve greater diversity and inclusion as outlined
in the DISP and other Federal diversity and inclusion efforts;
(d) The name of an individual to serve as acting
president or equivalent (hereafter included in any reference to president)
pending an election;
(e) Demonstration that the organization can
significantly and substantially differentiate itself from existing EAGs and
Department efforts; and
(f) A copy of the organizations proposed governing
documents, which must indicate that the organization holds fair and open
elections at least once every 3 years, keeping S/OCR informed whenever
elections or vacancies occur.
b. All EAGs must undergo recertification every 5 years
after the EAG was last certified. All EAGs recognized before January 1, 2018
must undergo recertification by December 31, 2018. The Department will cease
recognizing any group that fails to undergo recertification as required by this
paragraph, in which case the group must then submit a new proposal for
recognition if desired. Recertification under this paragraph follows the
process for certification outlined in paragraph a. of this section.
c. All EAG presidents primary duty stations must be
within commuting distance of the DC Metropolitan area.
d. The Under Secretary will determine, with the
recommendation of the Chief Diversity Officer and the advice of the DAC,
whether or not the organization warrants recognition as an EAG under applicable
law and policy, including 3 FAM 5300. The Under Secretary will notify the
organization, in writing, of the decision of approval or the decision of
disapproval along with the reason(s) for disapproval. S/OCR will provide a
copy of any approved response to the Bureau of Administration, Office of
Operations (A/OPR). Once an EAG is recognized, S/OCR will collaborate with the
EAG to select an LL. If denied recognition, organizations may resubmit an
amended proposal no sooner than 180 calendar days after receiving the written
notification of disapproval from the Under Secretary.
e. Organization governing documents must indicate how
often, and the method in which, elections will be conducted, including when
elected members vacate their positions. An EAG must hold an election within 90
calendar days following initial certification. EAGs should also submit to
S/OCR updated and/or revised governing documents following any substantive
changes.
f. EAGs may be decertified either by
self-determination, by writing to diversity@state.gov, or by the Department if
the Under Secretary, with the advice of the DAC and recommendation of the Chief
Diversity Officer, determines that the organization no longer meets the
definition of an EAG in 3 FAM 5312.2;
no longer meets the relevant criteria set forth in 3 FAM 5314; or
with sufficient justification if a consultative relationship with the group is
no longer warranted.
3 FAM 5315 THROUGH 5319 UNASSIGNED