18 FAM 301.2
DEPARTMENT OF STATE STRATEGIC PLANNING
(CT:PPP-18; 05-29-2019)
(Office of Origin: F)
18 FAM 301.2-1 PURPOSE
(CT:PPP-18; 05-29-2019)
a. The Department of State is committed to using
strategic planning to achieve the most effective U.S. foreign policy outcomes,
and provide greater accountability to its primary stakeholders and the American
people. Robust, coordinated strategic planning processes are essential to make
informed decisions; develop innovative ways to cope with tight budgets;
prioritize resources; ensure alignment with key policies and improve the way we
do business. It is also creates a framework for monitoring progress and measuring
results; shaping resource decisions; and ensuring accountability.
b. The Department's strategic planning takes place at
several levels. At the agency level the State Department and USAID Joint
Strategic Plan (JSP) outlines overarching goals and objectives, and guides
bureau and mission planning. Joint Regional and Functional Bureau Strategies (JRS,
FBS) guide priority setting and resource allocation at the regional and
functional bureau level. Country-specific strategies, known as Integrated Country
Strategies (ICS), guide whole-of-government priorities within a given country
with input from all members of a mission's country team. The objectives from
these strategies are used for a range of purposes, including Congressional
Budget Justifications, Annual Performance Plans and Reports, Foreign Assistance
Operational Plans, to ensure alignment with other relevant strategies, to link
bureaus/missions objectives to U.S. foreign policy priorities, and to inform
internal Bureau and Mission Resource Requests.
18 FAM 301.2-2 DEFINITIONS
(CT:PPP-18; 05-29-2019)
Joint Strategic Plan (JSP):
Four-year strategic plan that outlines Department of State and USAID
overarching goals and objectives, and guides bureau and mission planning.
Joint Regional Strategy (JRS): Four-year
strategic plan for each region that sets joint State and USAID priorities and
guides key partner bureau and mission-level planning.
Functional Bureau Strategy (FBS):
Four-year strategic plan that sets priorities for each State functional bureau
and guides key partner bureau and mission-level planning.
Integrated Country Strategy (ICS):
Four-year strategic plan that articulates whole-of-government priorities in a
given country and incorporates higher level planning priorities.
18 FAM 301.2-3 AUTHORITIES and
POLICIES
(CT:PPP-18; 05-29-2019)
The authorities and policies related to Strategic Planning
include:
Government Performance and Results Act (GPRA) Modernization Act
of 2010
OMB Circular A-11
1
FAM 622.3, Office of Performance and Planning
Foreign Aid Transparency and Accountability Act of 2016 (FATAA)
Quadrennial Security Sector Assistance (SSA) Review
18 FAM 301.2-4 STRATEGIC PLANNING
REQUIREMENTS
(CT:PPP-18; 05-29-2019)
a. In accordance with the GPRA Modernization Act of
2010, the JSP is developed every four years following each presidential
election, and must be submitted no later than one year after the new
administration is in office. USAID and the Department of State leadership
collaborate and define a joint strategic framework of priorities as the
foundation from which the JSP is developed. The JSP directly supports U.S.
foreign policy priorities and is written to ensure alignment with top level
strategic documents (e.g., National Security Strategy and Presidential policy
statements). The JSP is developed in accordance with OMB Circular A-11
guidance and goes through an extensive review and coordination process with
interagency partners.
b. Once the JSP is published, bureaus and missions
support JSP and/or other higher level strategic priorities by developing their
supporting strategies in accordance with the "Bureau Strategy Guidance and
Instructions, " "Integrated Country Strategy Guidance and
Instructions," and a schedule managed by the Office of U.S. Foreign
Assistance Resources (F) and the Bureau of Budget and Planning (BP) on behalf
of the Secretary.
c. USAID and State regional bureaus are required to jointly
develop their JRS. As bureau and mission leaders are ultimately responsible
for the strategies, clearance by partner bureaus and interagency stakeholders
is not required, but collaboration and input from partners is expected and
should be carefully considered and incorporated as appropriate. Whether
incorporated or not, bureaus should maintain a record of substantive feedback
and stakeholder participation.
d. Bureaus and missions must address the content and
follow the timeline as established in the "Integrated Country Strategy
Guidance and Instructions" and the "Bureau Strategy Guidance and
Instructions," as strategic plans are foundational documents for the
Department's resource-planning and performance-management efforts. BP and F
will review submitted plans for consistency with this guidance. Elements of
the draft plans not in compliance with the guidance and identified by F and BP
during the feedback process as critical must be addressed before the final
document is submitted. Plans that are consistent with the guidance will be
accepted as the final document for the planning period.
18 FAM 301.2-4(A) Strategic
Planning Standards
(CT:PPP-18; 05-29-2019)
Specific standards for the content of bureau and mission
level strategic plans are described in the "Integrated Country Strategy
Guidance and Instructions" and the "Bureau Strategy Guidance and
Instructions." In general the content of strategic plans is grounded in
evidence and analysis, developed collaboratively with relevant stakeholders,
sufficiently focused and realistic to facilitate decision-making and align with
higher level strategy (i.e., National Security Strategy, Joint Strategic Plan,
etc.).
(1) Bureau and Mission Goals. Goals represent the
long-term, ambitious vision of the bureau or mission and should be linked to
priorities in higher-level strategies. Goals likely will not be accomplished
within the four-year life of the strategy and will be used as tools for
communicating and framing priorities to stakeholders. Goal statements must be
Unclassified and accompanied by all required narratives according to the
guidance documents.
(2) Bureau and Mission Objectives. Objectives are the
realistic, specific, and measurable end-states that bureaus/missions seek to
achieve, or make significant progress on, in the life of the strategy.
Objectives should be change-oriented statements that highlight only the top
strategic priorities and not every activity the bureau or mission performs.
Objective statements must be Unclassified and accompanied by all required
narratives, to include discussions of risks associated with each objective,
according to the guidance documents.
Management Objectives must follow the same
standards and requirements as outlined in the guidance documents for Bureau and
Mission Objectives.
(3) Sub-objectives. Sub-objectives operationalize
objectives by directly connecting them to the day-to-day work of the bureau or
mission. Sub-objectives must be specific, measurable, and shorter-term
(ideally 12-24 months) than the Objectives they are nested under.
Sub-objectives and any associated action plans or performance measures must be
marked Sensitive but Unclassified (SBU) as they are the living portion of the
strategy that can, and should, be regularly reviewed and updated.
(4) Strategy Implementation. Strategic plans are, by
nature, broad and general. Sub-objectives provide a starting point for
connecting the strategy to concrete work activities but an additional level of
detail is often necessary to provide effective guidance for strategy
implementation. In such cases, bureau and missions are encouraged, and may at
times be required, to develop supplementary annexes or appendices to their
strategies. These should build on existing bureau/mission objectives or
sub-objectives. Best practices for design, monitoring, evaluation, and data
analysis, as well as specific bureau level requirements, can be found in 18 FAM 301.4.
(5) Sector-Specific Focus Areas: Security Sector
Assistance. Posts are encouraged to incorporate strategic sector guidance into
their ICS. One common example is the need for additional planning details to
support a coordinated approach to Security Sector Assistance (SSA). State
works diligently to ensure that all SSA including programs managed by other
U.S. government departments and agencies and likeminded international partners
strategically advances our foreign policy objectives in a coherent and
balanced fashion. Department cables from 2018, 18 STATE 38294 and 18 STATE
39780, provide SSA-specific strategic planning guidance.
(a) The Quadrennial SSA Review found that the
overarching goals for SSA in line with the U.S. National Security Strategy, the
State-USAID Joint Strategic Plan, and the National Defense Strategy, are:
Facilitating U.S. Operational Access and Influence
Building Partner Capacity to Counter Shared Threats
Promoting Stable and Secure Sovereign Partners
Fostering Support for Americas Political, Economic, and Security
Interests
(b) The Quadrennial SSA Review further identified eight
principles for positive SSA outcomes:
Strategic clarity;
Selective engagement;
Reinforcement of host nation ownership and shared interests;
Factor in conflict and stability dynamics;
Multi-year, persistent engagement;
Focus on security sector governance and institutions;
Mutually-reinforcing programs; and
Evaluation, learning, and iterative adaptation.
(c) In line with the approved guidelines and established
best practices outlined in the Quadrennial SSA Review, Posts with significant
SSA programming should within their ICS:
Ensure the Country Context includes analysis of risks and
opportunities based on security governance and institutions, partner nation
interests and political will, and efforts undertaken by other international
donors. Prior-year resource levels, limitations, and lessons learned should
also be considered.
Determine if SSA should be highlighted with a Mission Goal or
incorporated as Mission Objectives and/or Sub-objectives.
Use the ICS Action Plans, to coordinate and incorporated all SSA
stakeholder efforts.
Nest country-specific SSA initiatives within broader regional
efforts when appropriate.
(6) Foreign Assistance Strategic Planning. In addition
to the guidance above, all Foreign Assistance strategies should take into
account the key elements related to Interagency Coordination, Strategic
Integration, and Assessment of Progress Toward Strategic Goals outlined in the
U.S. Government Accountability Offices GAO-18-499 report published July 12,
2018. Bureaus are expected to comply with additional, more specific guidance
for Foreign Assistance Strategies as published by F on behalf of the Secretary.
18 FAM 301.2-4(B) Strategic
Plan Revisions
(CT:PPP-18; 05-29-2019)
a. Strategic Plans are living documents. Bureaus and
missions should make adjustments to their Sub-objectives as necessary to
account for the accomplishment of a sub-objective, strategic reviews and/or
external factors that may impact the operating environment. Goal and objective
statements provide critical long- and medium-term guiding principles within the
planning period. Given the time required to develop and implement goals and
objectives, they should not be changed within the 4-year life of the strategy
except in extraordinary circumstances. Specific to the ICS, changes to Mission
Objectives will require a full Department and interagency review and feedback
process similar to the initial ICS process. Changes to Sub-objectives do not
require Department and interagency review; however, missions are encouraged to
coordinate changes with relevant stakeholders.
b. Specific guidance for strategy revisions are
described in the "Integrated Country Strategy Guidance and Instructions"
and the "Bureau Strategy Guidance and Instructions." Bureaus and
missions should coordinate with the appropriate strategy support teams and must
provide an updated version of any changed strategy (JRS, FBS, or ICS) to the
appropriate support team for review and publication prior to the updates taking
effect.
18 FAM 301.2-4(C) Strategy
Implementation and Progress Reviews
(CT:PPP-18; 05-29-2019)
a. Circular A-11 outlines strategic review and
performance reporting requirements for the JSP.
b. Bureaus and missions must develop an implementation
plan for their strategy within the first quarter of its final approval and
submission to the Department. This is an internal tool to communicate
priorities from the strategy, coordinate with relevant stakeholders, and
develop a process for regularly reviewing the strategy. At Posts, and for
bureaus with significant interagency partnerships, communicating how the
strategy will be implement is critical as many interagency actors look to these
strategies to provide a framework for aligning their efforts, policies,
resources, and programs.
c. Senior Department bureau leaders and chiefs of
mission must institute regular reviews to assess progress against bureau and
mission-level strategic objectives, and ensure alignment of policy, planning,
resources, and program decision-making. Reviews are an annual requirement;
however, bureaus and missions should conduct them more frequently and
incorporate regular discussions about the objectives, progress and challenges,
into their regular work routines. Reviews should incorporate information from
monitoring and evaluation processes, and inform bureau and mission strategic
plans and budgets. At overseas posts the full country team should participate
in these reviews of policies and plans to ensure that all U.S. government
efforts are aligned with U.S. foreign policy.
d. 18 FAM 301.4
outlines best practices for design, monitoring, evaluation, and data analysis
as well as describing specific bureau level requirements. F and BP provide
additional guidance on strategy review best practices, and how associated
results and findings should be incorporated into part of the continuum of
planning, budgeting, monitoring and evaluation. Current guidance, best
practices, tools and other resources are available on the Departments Managing
for Results page on Communities@State.
18 FAM 301.2-4(D) Strategic
Plan Dissemination
(CT:PPP-18; 05-29-2019)
a. The GPRA Modernization Act of 2010 requires agencies
to make their JSP available on the external State Department website, and the
FATAA requires ForeignAssistance.gov to include links to all regional, country,
and sector assistance strategies. The Department of State's JSP is also
referenced in annual budget submission documents, the Annual Performance
Plan/Annual Performance Report and the Annual Financial Report.
b. Integrated Country Strategies are inherently
interagency documents that are made available to other Executive Branch
Departments and Agencies. Regional and Functional Bureau Strategies are
internal State/USAID documents and can only be shared with other Executive
Branch Departments and Agencies but only at the discretion of the authoring
bureau(s). However, bureaus are encouraged to share their finished strategies
with interagency stakeholders. Requests to disseminate strategic plans beyond
the confines of this guidance must be submitted by the bureau or mission
leadership for clearance through F and BP.
c. Publicly-releasable versions of all bureau and
mission strategies are posted to the Departments website consistent with
legislative requirements and the Departments transparency initiatives. The
objectives from these strategies are used in Congressional Budget
Justifications, Annual Performance Plans and Reports, Foreign Assistance
Operational Plans, to ensure alignment with other relevant strategies, to link
bureaus/missions objectives to U.S. foreign policy priorities, and to inform
internal Bureau and Mission Resource Requests, to name just a few uses.
Specific portions of the strategies must be written at the Unclassified or SBU
level as specified in the relevant (bureau or mission) strategic planning
guidance documents in order to clearly differentiate between settled strategic
priorities and living portions of the strategies that are part of its ongoing
implementation and internal deliberative processes.