UNCLASSIFIED (U)

3 FAH-1 H-1000
GENERAL

3 FAH-1 H-1100
INTRODUCTION

3 FAH-1 H-1110

DEVELOPMENT OF NEW AND REVISED PERSONNEL ISSUANCES

(CT:POH-218; 05-17-2019)
(Office of Origin: HR/ER)

3 FAH-1 H-1111 PURPOSE

(CT:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. This subchapter defines the responsibilities of offices and individuals assigned to develop, draft, clear, coordinate, and prepare the new and revised material for inclusion in:

(1) Volume 3 of the Foreign Affairs Manual (3 FAM);

(2) Foreign Affairs Handbooks in the 3 FAH series;

(3) Other volumes of the FAM containing personnel related issuances; and

(4) Other personnel issuances such as 5 and/or 22 Code of Federal Regulations (CFR).

b. All documents must be in compliance with this handbook and 2 FAH-1 H-100.

3 FAH-1 H-1112 DEFINITIONS

3 FAH-1 H-1112.1 Foreign Affairs Manual (FAM) and Foreign Affairs Handbook (FAH)

(CT:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

For the purpose of this subchapter, the definitions set forth in 18 FAM 201.1-3 apply.

3 FAH-1 H-1112.2 Other Definitions

(CT:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

DirectiveA written communication that establishes and prescribes the organization, policies, regulations, or procedures that provides an official basis of operation. Most directives are commonly referred to as regulations, (see 18 FAM 201.1-3).

Directives Management (DIR)For purposes of this subchapter Directives Management or DIR means A/GIS/DIR. GIS is Global Information Services.

Personnel issuancesVolume 3 of the FAM, handbooks issued in the 3 FAH series of the FAH, related material in other volumes of the FAM and FAH (e.g., 1 FAM 230), and appropriate parts of title 22, Code of Federal Regulations.

Uniform issuancesAny chapter or subchapter of the FAM or FAH that applies to more than one foreign affairs agency.

3 FAH-1 H-1113 REGULATORY REQUIREMENTS

(CT:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. The issuance of all Department directives is governed by regulations published in 18 FAM. Should conflict arise, 18 FAM takes precedence over the procedures in this subchapter. In addition to other information the 18 FAM:

(1) Provides that all written communications that establish and prescribe the organization, policies, regulations, or procedures that provide an official basis of operations must, with certain exceptions approved by The Office of Directives Management (DIR), have their basis in applicable legal authorities and the Foreign Affairs Manual (FAM);

(2) Requires that all guidelines, internal or standard operating procedures, which in any way involve the function of other bureaus, offices, or staffs, be submitted to A/GIS/DIR for analysis, editing, and approval prior to publication, and that A/GIS/DIRs determination that a proposed issuance must be published in the FAM or FAH is final and binding. The Office of Inspector General(OIG) is exempt from the requirement to submit its OIG internal directives to A/GIS/DIR for approval, in accordance with (5 U.S.C. Appendix); and

(3) Prohibits the use of Department Notices, memoranda, or telegrams to establish or modify regulations unless the actual regulation has been submitted to A/GIS/DIR for publication. A/GIS/DIR approves such use on a case-by-case basis. Such use extends for 90 days only and is not subject to renewal. (See 18 FAM 201.1-5(B).)

b. As a general rule, A/GIS/DIR will not approve the issuance of internal or standard operating procedures or Department Notices that seek to regulate (either directly or indirectly) the functions of another office, bureau, or post (even with the affected units clearance). Department policy requires that such material be published in either the FAM or FAH in order to have regulatory force and effect.

3 FAH-1 H-1114 OBLIGATIONS TO DEAL WITH UNIONS

(TL:POH-58; 12-17-1999)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. Federal labor management relations policy requires that management representatives of the Department consult and bargain as appropriate with exclusively organized labor organizations (unions) of the Department with respect to conditions of employment of employees. This includes personnel policies, practices, and matters affecting working conditions. Regulations and practices pertaining to allowances, travel, per diem, tour of duty, leave, etc., are considered personnel policies or practices.

b. Regulations covering labor-management relations are published in 3 FAM 5000.

3 FAH-1 H-1115 RESPONSIBILITIES

3 FAH-1 H-1115.1 Chief Labor Management Negotiator

(TL:POH-087; 09-26-2002)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

The responsibilities of the Office of the Chief Labor Management Negotiator (DGHR/PC/LM) are described in 3 FAM 5000, Labor-Management Relations.

3 FAH-1 H-1115.2 Regulations and Volume Coordinator-HR/ER

3 FAH-1 H-1115.2-1 Responsibilities

(CT:POH-218; 05-17-2019)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

The Regulations and Volume Coordinator is responsible for the following:

(1) Periodic review of the structure of 3 FAM and 3 FAH-1, related subchapters of the FAM and FAH, and 22 CFR, to determine if modifications are necessary or appropriate. If so, the regulations coordinator will work with the Directives Management Staff and bureau management to develop, obtain approval for, and implement those changes.

(2) Periodic review of the text of 3 FAM and 3 FAH-1, and other personnel issuances, to identify material that appears to be outdated or that otherwise requires review or modification.

(3) Informing the appropriate responsible offices about personnel issuances that have been identified as requiring review or revision.

(4) Consultation with office directors or other HR staff (when appropriate) to develop a timetable for the revision of current personnel issuances and the preparation of new material for publication in the FAM or FAH.

(5) Obtaining (or maintaining) the current text of existing 3 FAM and 3 FAH issuances in electronic format where possible and providing text to the responsible office for review and revision.

(6) Obtaining a revised draft or new text from the responsible office or preparing such a draft from material provided by that office and submitting it for review by the director of that office.

(7) Review of draft issuances to accomplish the following:

(a) To identify and remove conflicting, incorrect, or irrelevant information;

(b) To assure clarity of presentation, adequacy of detail, and conformity with appropriate format and style;

(c) To assure that the draft has received all appropriate clearances within the bureau; and

(d) To assure that citations of law, regulations, and other publications are correct and that the proposed text does not conflict with them.

(8) Obtaining the following required clearances from:

(a) Director General of the Foreign Service and Director of Human Resources, Policy Coordination Staff (DGHR/PC);

(b) The Office of Legal Adviser (L/EMP);

(c) The Office of Inspector General (OIG) as required by 18 FAM 201.1-2;

(d) Office of Human Resources, Grievance Staff (HR/G);

(e) Bureau of the Comptroller and Global Financial Services (CGFS);

(f) Office of Human Resources, Office of Resource Management and Analysis (HR/RMA); and

(g) Other responsible offices/bureaus that who may have interest in the revised or new regulation.

(9) Sending a copy to E FAM, via email.

(10) Compiling and consolidating all comments received.

(11) Obtaining clearances for uniform issuances from the appropriate office (designated by the agency) of participating foreign affairs agencies and actively assisting those agencies and their designated responsible offices to resolve substantive differences.

(12) Submitting final electronic drafts of cleared regulations, via email w/ standard memorandum, to the Office of the Chief Labor Management Negotiator (DGHR/PC/LM) for any appropriate union consultations, negotiations, and maintaining the approved text of that draft, together with any revisions resulting from those consultations or negotiations.

(13) Preparing the final draft copy of the text (e.g. by using the appropriate format, specifically FAM template) and the publication memorandum for the signature of the Director, Office of Employee Relations, and the appropriate Deputy Assistant Secretary of Human Resources.

(14) Transmitting the approved text in electronic format (by electronic mail) to A/GIS/DIR for review, clearance, and publication. The email package must include clearances received (e.g. OIG, L/EMP, HR/RMA, CGFS/EX, HR/G, DGHR/PC, AFSA/AFGE, HR DAS, and HR/ER); Foreign Affairs Agencies (e.g. USAID, USDA, Commerce, USAGM); and/or any other clearances that were received from subject matter experts/stakeholders.

(15) Reviewing the printed text to assure that it accurately reflects the text submitted for publication as well as providing the appropriate office with the final opportunity to review the text to ensure that new/revised material is reflected in the text.

(16) Serving as the agency Regulations and Volume Coordinator for 3 FAM and its related handbooks.

(17) Serving as liaison between the HR bureau and A/GIS/DIR for all FAM or FAH personnel directives.

(18) Serving as drafter of 3 FAM 3640, Unemployment Compensation for Federal Employees and 3 FAM 3210 - 3280, Allowances.

3 FAH-1 H-1115.2-2 Drafting or Revising Regulations

(TL:POH-087; 09-26-2002)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

When it is deemed appropriate due to the necessity for quick action, volume of work, or for the sake of uniformity, the regulations and volume coordinator may write or draft a revision of the FAM or FAH based on material furnished by the appropriate responsible office. In such cases, the regulations coordinator will:

(1) Consult the designated contact person within the responsible office when any material is unclear; and

(2) Submit the draft to the appropriate responsible office for any necessary revision and clearance within the bureau before submission for other clearances, review, and publication.

3 FAH-1 H-1115.3 Responsible Offices

3 FAH-1 H-1115.3-1 List of Responsible Offices

(CT:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

The 3 FAH-1 Exhibit H-1115.3-1 provides a list of offices or bureaus with primary responsibility for each chapter or subchapter (as appropriate) of 3 FAM and 3 FAH-1.

3 FAH-1 H-1115.3-2 Primary Responsibilities for Accuracy of Issuance

(TL:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

Offices and bureaus listed in 3 FAH-1 Exhibit H-1115.3-1 are responsible for ensuring that personnel directives for which they are responsible are accurate and up-to-date, and for drafting new or revised personnel directives when necessary.

3 FAH-1 H-1115.3-3 Steps To Be Followed by Responsible Offices in Preparing New or Revised Issuances

(CT:POH-137; 06-09-2009)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

To eliminate inconsistencies, redundancies, or gaps in the 3 FAM/3 FAH-1, responsible offices must conduct appropriate internal reviews and see appropriate clearances. Responsible offices, when preparing new or revised issuances, should:

(1) Discuss the proposed new or revised directive with the regulations and volume coordinator.

(2) Obtain an electronic copy of the existing text (if any). Texts of existing FAM and FAH provisions are available from the HR or A/GIS/DIR websites;

(3) Obtain the assistance of other HR offices, which are responsible for one or more sections of the proposed new or revised directive;

(4) Refer to 2 FAH-1 H-110, Revising or Drafting New Material, and 2 FAH-1 H 112.1, Use of Plain Language for guidance in writing clear and concise directives, grammar and formatting guidelines;

(5) Draft proposed text and integrate any material furnished by other offices or bureaus following the specifications provided by the regulations coordinator (or review and revise the text furnished by the volume and regulations coordinator);

(6) Discuss the draft with those offices or individuals whose comments or contributions will assist in the formulation of the proposed issuance or whose responsibilities will be affected by it;

(7) Highlight the changes, additions, or deletions in the new or revised text, either with the track changes function or some other means of highlighting electronic text, and return it to the regulation and volume coordinator by electronic mail. The highlighted text will be used in the review and clearance process and in preparing the transmittal letter;

(8) Prepare and include with the draft provision any appropriate background and justification (such as action memorandums, ALDACs and/or Department Notices) for the proposed directive, if necessary;

(9) Obtain working level clearances from appropriate offices and bureaus in the Department for inclusion in the package that is forwarded to volume and regulations coordinator;

(10) (For Uniform Issuances Only) Obtain working level clearances from appropriate working level offices, via email, in participating foreign affairs agencies;

(11) Obtain final written clearance from the office director and the appropriate Deputy Assistant Secretary for Human Resources (or officers of equivalent rank when the draft is prepared outside the Bureau of Human Resources); and

(12) Discuss the draft with and obtain assistance from the Office of the Legal Adviser, Employment Law (L/EMP) during the drafting stages of the FAM and/or FAH material.

3 FAH-1 H-1115.3-4 Material that must be submitted to the Regulations and Volume Coordinator

(CT:POH-109; 04-20-2005)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

When requesting publication of a new or revised personnel directive, the responsible office must furnish the following information and materials to the regulations and volume coordinator:

(1) An electronic copy of the cleared draft, which complies with the format specification supplied by the regulations and volume coordinator. Refer to 2 FAH-1 H 100, Foreign Affairs Manual Standards, specifically 2 FAH-1 H 110, Revising or Drafting New Material. The cleared draft should include documentation and/or verification that the draft regulation was cleared and approved within the substantive office;

(2) An electronic copy of the text of the new or revised draft with changes identified by track change or yellow highlight;

(3) A statement specifying the agencies and employees (i.e., Foreign Service only, Civil Service only, Foreign Service and Civil Service, etc.) to which each of the numbered paragraphs will apply;

(4) A list of all clearances received, including the substantive office;

(5) Any appropriate background information; and

(6) The name, office address, and telephone number of the individual responsible for drafting the text.

3 FAH-1 H-1116 USE OF OTHER MEDIA TO ISSUE REGULATIONS

3 FAH-1 H-1116.1 Telegrams and Department Notices

(CT:POH-205; 06-18-2018)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. Telegrams and Department Notices may be used to issue a personnel directive only:

(1) In an emergency; and

(2) With the prior approval to issue such a Notice or telegram of DGHR/PC/LM, Office of Legal Advisor, the regulations coordinator, and A/GIS/DIR. (See 18 FAM 201.1-5(B).)

b. The responsible office must provide the telegram or Department Notice to DGHR/PC/LM, Office of Legal Advisor, HR regulations and volume coordinator, and A/GIS/DIR with a completed, cleared draft of the text in proper FAM format at the same time as the draft Department Notice or telegram is presented for approval.

3 FAH-1 H-1116.2 State Magazine

(CT:POH-125; 03-02-2007)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

Articles in the State Magazine may not be used to issue new or revised personnel policies or regulations. However, such articles may be used to publicize such policies, regulations, or procedures once they have been submitted to A/GIS/DIR for publication in the appropriate FAM or FAH.

3 FAH-1 H-1116.3 Publication of Negotiated Agreements

(CT:POH-109; 04-20-2005)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

Department Notices and telegrams may be used to issue copies of signed agreements between the Department and unions.

3 FAH-1 H-1117 GUIDELINES AND ASSISTANCE

3 FAH-1 H-1117.1 FAM and Related FAH Issuances

(TL:POH-087; 09-26-2002)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. Issuances in 3 FAH-1, Personnel Operations Handbook, will bear the same subchapter numbers as the 3 FAM subchapters to which they are related.

b. When practicable, any related draft FAH issuance must be forwarded for clearance and publication at the same time as the 3 FAM to ensure uniformity and consistency.

3 FAH-1 H-1117.2 Guidelines and Specifications for Preparation of Draft Regulations

(CT:POH-109; 04-20-2005)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. The regulations and volume coordinator will provide guidance and assistance to the drafting office in preparing and obtaining working level clearances of drafts when requested.

b. At the time offices first consult with the regulations and volume coordinator concerning the preparation of a new or revised draft regulation, he or she will provide guidance on format and other specifications.

3 FAH-1 H-1118 DELETION OF SUBCHAPTERS

(CT:POH-158; 06-28-2013)
(State Only)
(Applies to Civil Service and Foreign Service Employees)

a. If the responsible office elects to delete a regulation from the 3 FAM or 3 FAH-1, they must do the following:

(1) Seek and obtain the appropriate clearances/approvals from within the responsible office and/or Bureau; and

(2) Send document(s) along with verification of clearances to the Regulations and Volume Coordinator.

b. The Regulation and Volume Coordinator will:

(1) Obtain State Department clearances (e.g. OIG, L/EMP, HR/RMA, HR/G, CGFS/EX, DGHR/PC, DGHR/PC/LM;

(2) Seek the approval of the Deputy Assistant Secretary for Director General and Director for Human Resources (DGHR);

(3) Notify A/GIS/DIR, via E FAM, to officially delete the regulation from the Intranet; and

(4) Distribute the published regulations and change transmittal (CT) via established mailing lists.

c. A/GIS/DIR will:

(1) Review and clear on the request to delete specified regulation; and

(2) Publish a CT to notify the Department that the subchapter no longer exists.

 

3 FAH-1 Exhibit H-1115.3-1
List of Offices or Bureaus with Primary Responsibility for Volume 3 FAM of the FAM and FAH

(CT:POH-205; 06-18-2018)

Unless otherwise noted, the office responsible for a chapter or subchapter of Volume 3 of the FAM is also responsible for the corresponding chapter or subchapter of the 3 FAH-1, Personnel Operations Handbook.

The 3 FAH-2, Foreign Service National Handbook, is the responsibility of the Office of Overseas Employment (HR/OE).

 

 

 

UNCLASSIFIED (U)