UNCLASSIFIED (U)

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

UNCLASSIFIED (U)