DESIGNATION OF ACTING PRINCIPAL OFFICER AND TRANSFER OF OFFICE
(CT:PER-1224; 05-02-2025)
(Office of Origin: GTM/CDA)
3 FAM 1421 LEGAL AUTHORITY
(CT:PER-1224; 05-02-2025)
(State Only)
(Applies to Foreign Service Employees Only)
Authorities include:
(1) Chapters 4 and 5 of the Foreign Service Act of 1980 ;
(2) Vienna Convention on Diplomatic Relations signed at Vienna April 18, 1961;
(3) Vienna Convention on Consular Relations signed at Vienna April 24, 1963;
(4) E.O 12293, section 1;
(5) Section 502(c) of the Foreign Service Act of 1980 (22 U.S.C. § 3982);
(6) Foreign Service Act of 1980, Section 102(3) [22 U.S.C. § 3902(3)]; and
(7) Foreign Service Act of 1980, Section 207 [22 U.S.C. § 3927]
3 FAM 1422 GENERAL POLICY
(CT:PER-1224; 05-02-2025)
(State Only)
(Applies to Foreign Service Employees Only)
a. This policy establishes the roles, responsibilities, and processes for ensuring relevant statutory and other requirements are met when designating career members of the Foreign Service to serve as Chargé d’Affaires ad interim (CdA a.i.). The requirements set forth in this policy apply regardless of the length of time the individual will be serving as CdA, a.i. This policy also addresses designation of acting head of a consular post and transfer of office of the principal officer at consular posts and interest sections.
b. This policy also covers the practice of designating principal officers at other consular posts.
c. The positions described in 3 FAM 1422(a) and 1422(b) above do not require appointment by the President or the advice and consent of the Senate and do not have the ambassador title.
d. 3 FAH-1 H-1420 describes the procedures for transfer of office. The term “transfer of office”, as used here, refers to the permanent or temporary transfer of the authorities and responsibilities vested in the COM or other principal officer at a post. A permanent transfer of office occurs whenever an officer relinquishes charge of a post and does not expect to resume charge of that post, or whenever directed by the Department. A temporary transfer occurs whenever an officer relinquishes charge of a post with the expectation of resuming charge of the post.
3 FAM 1423 DESIGNATION OF OFFICER IN CHARGE
(CT:PER-1224; 05-02-2025)
(State Only)
(Applies to Foreign Service Employees Only)
a. The deputy chief of mission (DCM) at a diplomatic post or the deputy principal officer at a consular establishment or U.S. interests section generally shall assume charge in the absence or incapacity of the principal officer.
b. In the absence of a DCM or deputy principal officer, the most senior Foreign Service officer (FSO) at a diplomatic mission, at a consular post, or at a U.S. interests section generally should assume charge of the post.
c. If there is no DCM or suitable senior FSO at a diplomatic mission, the COM or the regional bureau may nominate an individual from outside post (either from another post or from Washington) to serve as CdA, a.i., in accordance with the criteria outlined in 3 FAM 1425.
d. If there is no deputy principal officer or suitable senior FSO at a consular post or a U.S. interests section, the principal officer may designate any diplomatic or consular officer with appropriate commissioned title to act in charge of the post.
e. For temporary or permanent transfers of office (defined in 3 FAM 1422d) at diplomatic missions, post must follow the notification procedures outlined in 3 FAH-1 H-1424.5-4. Notification should also include confirmation that the CdA a.i. has received, read and understood the guidance in 3 FAM 1427. For transfer of the principal officer at consular posts, the notification provision at 3 FAH-1 H-1426 must be followed.
3 FAM 1424 NOTIFICATION TO the RECEIVING STATE
(CT:PER-1224; 05-02-2025)
a. There are two types of CdAs under the Vienna Convention on Diplomatic Relations (VCDR): Chargé d’Affaires or Chargé d’Affaires ad interim. The provisions of 3 FAM 1420 apply to both types of CdA; however, the processes for notifying the receiving state differ:
(1) In order to assign an individual as Chargé d’Affaires, the United States would have to seek agrément under Article 4 of the VCDR before the individual’s arrival and the individual’s credentials would be presented as specified under Article 13 of the VCDR. The Department does not currently have a practice of assigning individuals to posts as CdA; therefore, individuals generally will be assigned to serve as CdA, a.i; and
(2) In order to assign an individual as CdA ad interim to act provisionally as head of mission, Article 19 of the VCDR requires that, if the post of head of mission is vacant or if the head of mission is unable to perform his/her functions, the head of the mission - or, in cases when the head of the mission is unable to do so, the Department of State (not the Embassy) - notifies the receiving state’s Ministry of Foreign Affairs of the name of the CdA a.i. Notification is required regardless of the expected duration of the service. In instances where no principal officer or suitable senior officer at post is available to serve as CdA, a.i., and an individual from outside post is assigned, the note from the Department must be cleared by the Office of the Legal Adviser’s Diplomatic Law and Litigation Office (L/DL), and the Office of Presidential Appointments (GTM/PAS).
b. In order to assign an individual as acting head of a consular post, Article 15 of the Vienna Convention on Consular Relations requires that:
(1) If the head of the consular post is unable to carry out his/her functions or if the position is vacant, the diplomatic mission shall notify the receiving state's Ministry of Foreign Affairs of the name of the acting head of the consular post; and
(2) If there is no diplomatic mission, the head of the consular post - or, if he/she is unable to so do, the Department of State - shall notify the Ministry of Foreign Affairs of the name of the acting head of the consular post
NOTE: Notification is required regardless of the expected duration of the service. In instances where there is no other suitable senior officer at post available, and an individual from outside post is assigned, the diplomatic note must be cleared by the Office of Presidential Appointments (GTM/PAS).
3 FAM 1425 CRITERIA FOR INDIVIDUALS SERVING AS chargé d'affaires AD INTERIM
(CT:PER-1224; 05-02-2025)
a. Any individual serving as CdA, a.i. pursuant to Section 502(c) of the Foreign Service Act must be a career FSO. Retired career FSOs recalled for service under section 308(a) of the Foreign Service Act are eligible to serve as CdA, a.i. Recall appointments are approved by the director general of the Foreign Service and the individual recalled must also be approved by the Under Secretary for Management (M) in order to serve as CdA, a.i. Individuals on a Foreign Service limited non-career appointment or a reemployed annuitant REA) appointment, which is an appointment into the Civil Service, do not qualify as career FSOs and therefore may not serve as CdA, a.i.
b. When nominating individuals to serve as CdA, a.i., regional bureaus should consider:
(1) Past experience as CdA, a.i. or DCM.
(2) Experience managing multi-dimensional and complex teams.
(3) Experience working with the interagency community.
(4) Relevant country and regional experience
(5) Number of years of service; and
(6) Demonstrated ability to mentor and lead staff.
c. M approval is required for an individual other than a DCM or suitable senior officer at post to serve as CdA, a.i. The regional bureau’s assistant secretary must send an action memo to M identifying the individual identified to serve as CdA, a.i. and outlining the individual’s qualifications and the rationale for designating the individual as CdA, a.i.
d. Individuals who serve or are expected to serve as CdA, a.i. for more than 30 consecutive days, including those covered by 3 FAM 1426 below, must also have authorization to access to Sensitive Compartmented Information. Additionally, he/she must receive a briefing on his/her intelligence oversight responsibilities from the Bureau of Intelligence and Research (INR). If already at post, he/she should contact INR/OPS to receive a secure virtual briefing.
e. Regional bureaus must ensure that the individual does not travel to post or assume charge until required briefings have been completed.
f. Prior to departing for post, any individual who will be serving as CdA, a.i. must confirm in writing that he or she has read and that he/she understands the Secretary’s guidance to individuals exercising the authorities of a COM (3 FAM 1427). If already at post, this written confirmation should be part of the notification process outlined in 3 FAH-1 H-1424.
g. This section applies as well to any individual nominated or appointed as CdA pursuant to Section 502(c) of the Foreign Service Act.
3 FAM 1426 "DESIGNATED COM" positions and assignments
CT:PER-1224; 05-02-2025)
a. In some cases, it is necessary to establish a Foreign Service position for the purpose of assigning a member of the Foreign Service as a head of a United States office abroad which is designated under section 102(a)(3) of the Foreign Service Act by the Secretary of State as diplomatic in nature. Such positions are also informally called "Designated COM" positions. Such positions are established and approved by the Under Secretary for Management. They can be established for several reasons, including that the other country does not have an ambassador-level representative to the United States or for other foreign policy reasons. Assignments to such positions are considered by the D Committee and the D Committee recommendations are approved by either the secretary or deputy secretary. The list of "Designated COM" positions is available from the Senior-Level Division of the Office of Career Development and Assignments (GTM/CDA/SL).
b. A career member of the Service assigned to a "Designated COM" position is not a Presidential appointment but may elect Presidential pay.
c. Officers appointed to a position that requires him or her to exercise COM authority must also receive a briefing on intelligence oversight responsibilities from the Bureau of Intelligence and Research (INR) and must confirm in writing that they have read and understood the Secretary’s guidance to individuals exercising COM authority (3 FAM 1427).
d. The policy in 3 FAM 1425(d), 1425(e), and 1425(f) also applies to individuals serving in a "Designated COM" position.
3 FAM 1427 GUIDANCE FOR INDIVIDUALS Serving as chargé d'affaires AD INTERIM
(CT:PER-1224; 05-02-2025)
a. This guidance outlines responsibilities for individuals serving as Chargé d'Affaires, ad interim (CdA, a.i.). All CdA, a.i.s must carefully review these FAM instructions to ensure full understanding of the authority vested in COMs and key responsibilities, including security responsibility for U.S. government personnel and dependents, as well as separate responsibilities for U.S. citizens. Prior to assuming COM responsibilities, CdAs, a.i. must confirm receipt of this guidance and that they fully understand their responsibilities as a COM, as defined by U.S. law and presidential directive. COMs must carry out these instructions in compliance with all applicable laws and presidential directives. All individuals performing functions of a COM, whether in permanent or temporary capacity, are empowered to exercise the full extent of COM authority.
b. In accordance with U.S. law and Presidential directive, the COM has responsibility for the direction, coordination, and supervision of all USG executive branch activities, operations, and employees in their country or area of assignment, regardless of employment category or location. Unless U.S. law or presidentially approved guidance directs otherwise, the only exceptions are activities, operations, and employees under the command of a U.S. combatant commander; Voice of America (VOA) correspondents on official assignment; and employees officially on the staff of an international organization and performing the functions of that organization. This authority extends to U.S. Direct Hire executive branch employees and Personal Service Contractors, whether assigned permanently or on temporary duty or an official visit, and all Locally Employed (LE) Staff when carrying out official business regardless of hiring mechanism. Additionally, narrowly focused laws or directives may provide other limited exceptions. All executive branch agencies with employees in country under COM authority must keep the COM fully informed of all current and planned activities, unless exempted by U.S. law or presidential directive.
c. Unless an interagency agreement provides otherwise, COMs must also take direct and full responsibility for the security of all U.S. government personnel on official duty abroad (other than those elements and personnel under the command of a U.S. combatant commander designated with a physical area of responsibility, VOA correspondents on official assignment, or employees on the staff of an international organization and performing the functions of that organization) and their authorized accompanying dependents. Additionally, the COM and combatant commanders must keep each other fully informed and coordinate on any matters that affect one another's interests in the country or area of assignment, including initiatives regional in scope and impact.
d. U.S. law also stipulates that the Secretary of State, and by extension, any individual exercising COM authorities, shall develop and implement policies and programs to provide for the safe and efficient evacuation of U.S. government personnel, dependents, and private U.S. citizens when their lives are endangered.
e. COMs should review programs, personnel, and funding levels regularly and ensure all agencies attached to the Mission do likewise. In order to effectively account for personnel and resources, agencies should submit requests to the COM to abolish positions that have remained vacant for at least two years. Every executive branch agency with employees under COM authority must obtain COM approval before adding or removing any position subject to COM authority, whether permanent or limited duration, or changing the mandate of any such position (e.g., supervision, portfolio) (see 2 FAH-2 H-113.1). All United States Government personnel, including personnel under the command of a combatant commander, must obtain the COM’s approval before entering the country on official business. COMs have the authority to grant, withhold, or limit country clearance.
f. The overarching purpose of COM authority is to direct, supervise, and coordinate all U.S. executive branch operations, activities, and employees that have programs or activities in the assigned country, with limited exceptions. If any personnel charged with exercising COM authority have questions or concerns about COM authority, please contact the Office of Management Strategy and Solutions (M/SS) at M_COMAuthority@groups.state.gov for further guidance.
g. Additional information on COM authority can be found in 1 FAM 013.2, 2 FAH-2 H-100, and 2 FAM 113.
3 FAM 1428 THROUGH 1429 UNASSIGNED