5 FAM 1000
INFORMATION TECHNOLOGY (IT) PLANNING
5 FAM 1010
INFORMATION TECHNOLOGY (IT) PLANNING
(CT:IM-232; 11-13-2018)
(Office of Origin: IRM/BMP/GRP/GP)
5 FAM 1011 PURPOSE
(CT:IM-30; 01-23-2001)
The purpose of this chapter is to implement, in the
Department of State, information technology (IT) planning policies and
procedures.
5 FAM 1012 SCOPE
(CT:IM-30; 01-23-2001)
This chapter provides policy and procedural guidance for
the Departments information technology (IT) strategic, tactical, and capital
investment planning processes, which support the foreign policy goals in the
U.S. Department of State Strategic Plan.
5 FAM 1013 DEFINITIONS
(CT:IM-232; 11-13-2018)
Bureau Performance Plan (BPP)Internal
planning documents prepared by the Departments regional, functional, and
management bureaus, which set out long-term goals and short-term objectives in
their areas of responsibility for achieving the overall strategic goals. As
part of the Departments Performance Planning process, the BPP provides a
principle vehicle for revising goals and evaluating performance.
Capital AssetLand, structures,
equipment, and intellectual property (including software) that are used by the
Federal Government and have an estimated useful life of two years or more.
Capital assets exclude items acquired for resale in the ordinary course of
operations or held for the purpose of physical consumption such as operating
materials and supplies. The cost of a capital asset includes its purchase
price and all other life cycle costs incurred to bring it to a form and
location suitable for its intended use through asset disposal. (Capital
Programming Guide, Supplement to OMB Circular A-11, Part 3: Planning,
Budgeting, and Acquisition of Capital Assets).
Information Technology Architecture
(ITA)An integrated framework for evolving or maintaining existing
information technology and for guiding the acquisition of new information
technology in accordance with the agencys strategic goals and information
technology strategic goals (Clinger-Cohen Act 1996 - SEC. 5125 (d)).
A complete ITA is the documentation of the
relationships between the business and management processes and the supporting
information technology that ensures:
(1) Alignment of the requirements for information
systems (as defined in OMB Circular A-130 Appendix
I: a discrete set of information resources organized for the collection,
processing, maintenance, transmission, and dissemination of information, in
accordance with defined procedures, whether automated or manual) with the
processes that support the agencys missions;
(2) Adequate interoperability, system redundancy, and
information systems security; and
(3) The application and maintenance of technical,
security and business standards by which the agency evaluates and acquires new
systems. (OMB Memorandum M-17-26).
Information Technology Capital
Investment Fund (CIF)A State Department fund appropriated by Congress,
allotted exclusively for IT capital development projects. It is a part of the
Departments IT Central Fund.
Information Technology Central Fund
(CF)A State Department fund that is comprised of the IT Capital
Investment Fund (CIF) and Expedited Passport Fee (EPF) collections.
Information technology capital
planningA systematic approach to managing the risks and returns of IT
investments. It is an integrated management process which provides for the
continuous selection, control, life-cycle management, and evaluation of IT
investments and is focused on achieving a desired business outcome.
Information technology strategic planA
long-term, high-level plan that defines a systematic way an agency will use
information technology to effectively accomplish the agencys missions, goals,
and objectives.
Information technology tactical planThe
document, which describe the major IRM initiatives and IT projects over a three
year period. The document tracks the means by which the Department of State
achieves its long term goals and objectives, as outlined in the Department of
State Strategic Plan and as further defined in the IT Strategic Plan.
Mission Program Plan (MPP)Internal
planning documents, which describes how a U.S. diplomatic missions strategies,
goals, objectives, programs, and operational resources will support strategic
goals defined in the U.S. Strategic Plan for International Affairs.
Performance goalA target level
of performance expressed as a tangible, measurable objective, against which
actual achievement shall be compared, including a goal expressed as a
quantitative standard, value or rate.
Performance measurementA means
of evaluating efficiency, effectiveness, and results. A performance
measurement should include program accomplishments in terms of outputs
(quantity of products or services provided) and outcomes (results of providing
outputs in terms of effectively meeting intended agency mission objectives). (Capital
Programming Guide, Supplement to OMB Circular A-11, Part 3: Planning, Budgeting,
and Acquisition of Capital Assets)
StandardsA set of detailed
technical guidelines used as a means of establishing uniformity in an area of
hardware or software development.
5 FAM 1014 AUTHORITIES
(CT:IM-232; 11-13-2018)
The authorities for these information technology-planning
policies are found in the following public laws and oversight agency
guidelines.
(1) Public Law 103-62; Government Performance and
Results Act of 1993;
(2) Public Law 104-13; Paperwork Reduction Act of
1995;
(3) Public Law 104-106; Clinger-Cohen Act of 1996;
(4) E-Government Act of 2002;
(5) (Office of Management and Budget) OMB Circular A-130;
(6) Federal Information Technology Acquisition Reform
(FITARA) is Title VIII Subtitle D Sections 831-837 of Public Law 113-291
- Carl Levin and Howard P. "Buck" McKeon National Defense
Authorization Act for Fiscal Year 2015;
(7) OMB Memorandum (M-15-14); Management and Oversight
of Federal Information Technology;
(7) Office of Management and Budget Capital
Programming Guide;
(8) OMB Memorandum M-17-26,
Reducing Burden for Federal Agencies by Rescinding and Modifying OMB Memorandum;
(9) OMB Memorandum M-97-02, Funding Information
Systems Investments; and
(10) OMB Memorandum M-17-25, Reporting Guidance for
Executive Order (currently unnumbered) on Strengthening the Cybersecurity of
Federal Networks and Critical Infrastructure.
5 FAM 1015 THE DEPARTMENTS STRATEGIC
AND PERFORMANCE PLANNING PROCESS
(CT:IM-30; 01-23-2001)
Strategic planning for international affairs matches
policy to resources, improves coordination among U.S. agencies, and
demonstrates the value of U.S. Government activities and programs abroad. The
International Affairs Strategic Plan (IASP) articulates an overarching
framework for the nations international interests and strategic goals. Each
of the foreign affairs agencies completes an agency-specific strategic plan that
defines its roles and mission in achieving the goals of the international
affairs strategic plan. Input for these plans is provided from posts abroad
and domestic offices in the form of mission performance plans (MPP) and bureau
performance Plans (BPP). The Department uses the MPP and BPP submissions to
prepare the annual Department of State performance plan, which is submitted to
the Congress along with the Congressional Budget Request. The Departments
Performance Plan is organized according to the strategic goals identified in
the Departments Strategic Plan. In addition, by March 31 of each year, the
Department prepares a Program Performance Report describing how well it met its
performance goals for the fiscal year which ended six months earlier.
5 FAM 1015.1 Mission Performance
Plans (MPPs) and Bureau Performance Plans (BPPs)
(CT:IM-199; 08-03-2017)
a. The Departments Strategic and Performance Planning
process includes internal planning documents such as the annual mission
performance plans and the bureau performance plans. MPPs, using the strategic
goals in the IASP as their framework, are comprehensive and authoritative U.S. Government
strategy documents prepared by the country teams representing all U.S.
Government agencies and approved by chiefs of missions at embassies and
missions around the world. The MPP sets priorities, requests resources, and
ensures consistency among agencies in-country and with Washington headquarters.
b. Bureaus in the Department use the MPP to formulate
bureau performance plans, which in turn are used to produce the Departments
annual performance plan, which is submitted to the Congress along with the
annual budget request. Department managers, with IT responsibility, use the IT
section of the MPP to prioritize funding requests for mission IT projects. The
chief of mission should use the MPP to provide guidance and advice to all
agencies in the mission regarding program and operational resources required to
achieve the strategic objectives at the post. Information from multiple MPPs
is consolidated into a bureau performance plan. The information is also used
in the preparation of the Departments IT Tactical Plan. The Departments
Strategic Planning Management Group (M/P, S/RPP, and BP) is responsible for providing
guidance on the preparation of the Departments strategic planning documents,
including the annual performance plan, program performance report, MPPs and
BPPs.
5 FAM 1016 INFORMATION TECHNOLOGY (IT)
PLANNING RESPONSIBILITIES
5 FAM 1016.1 Under Secretary for
Management
(CT:IM-30; 01-23-2001)
The Under Secretary for Management decides the ultimate
distribution of the Departments IT Central Fund. The Under Secretary for
Management chairs the Information Technology Program Board (ITPB). The Under
Secretary for Management is also the senior accountable official responsible
for implementing the Departments IT Strategic Plan.
5 FAM 1016.2 Chief Information
Officer (CIO)
(CT:IM-232; 11-13-2018)
a. The CIO is responsible for IT planning activities,
including the development and maintenance of architectures, capital planning,
strategic planning, and investment performance evaluations.
b. The CIO is responsible for producing IT planning
documents, including the strategic plan, tactical plan, and IRM Bureau Program
Plan. The CIO has responsibility for reviewing and updating these plans.
c. When the Under Secretary for Management is absent,
the CIO chairs the IT Program Board (ITPB) meetings.
d. The CIO provides guidance to the bureaus on the
preparation of IT planning documentation required in support of funding
requests presented before the Information Technology Program Board and the
Technical Review Advisory Group (TRAG).
e. The CIO and the Deputy CIO for Business Management and Planning (IRM/BMP) are
responsible for the development of the IT Tactical Plan.
f. The CIO generally advises the Under Secretary for
Management on IT investments. See 1 FAM 270 for
additional CIO responsibilities.
5 FAM 1016.3 Deputy Chief
Information Officer for Business Management and
Planning (IRM/BMP)
(CT:IM-232; 11-13-2018)
a. The Deputy CIO (DCIO) for Business Management and Planning (IRM/BMP) manages
Department-wide IT planning programs, including the preparation of the IT
Strategic Plan, the IT Tactical Plan, and the development, maintenance, and
promulgation of all IT architectures.
b. The DCIO for BMP coordinates
the data collection efforts for the IT planning, ensuring standardized plan formats
and contents, and that projects in the plans conform to architectural
standards.
c. The DCIO for BMP will
serve as chair of the Technical Review Advisory Group (TRAG).
5 FAM 1016.4 Chief Financial
Officer (CFO)
(CT:IM-30; 01-23-2001)
a. Within the context of information technology
planning, the CFO is responsible for reporting Department expenditures for IT
capital assets to the Office of Management and Budget. The CFO is the
accountable officer for the Departments OMB Circular A-11 submissions, which
report on Department IT capital and non-capital expenditures from all sources.
b. The CFO is the accountable officer for allocation of
the IT Central Fund.
c. The CFO serves as a member of the ITPB and provides
budgetary guidance on IT project proposals. The CFO is responsible for
ensuring that the Departments IT budget is properly requested, justified, and
monitored.
5 FAM 1016.5 Program Managers
(CT:IM-30; 01-23-2001)
a. As part of the Departments planning process,
program managers, both within the IRM bureau and in other bureaus, initiate
project plans and provide subsequent project information, as requested. The
project information includes the following: resources required for projects,
implementation schedules and/or work breakdown structures, milestones and/or
control gates, objectives and/or task lists, performance measures, key
personnel, risks, and constraints. See 5 FAM 600
for guidance on managing IT programs and projects.
b. Program managers must also report to the CIO on
whether projects are on schedule and within budget.
5 FAM 1016.6 Bureau Executive
Directors
(CT:IM-30; 01-23-2001)
a. Bureau executive directors approve IT proposals and
funding requests received from bureau offices and posts abroad. They ensure
that IT proposals or requests, which seek funds from the IT Central Fund, have
been properly documented and presented to the ITPB. They also ensure that IT
investments from both the IT Central Fund and bureau funds are in support of
the Departments IT Strategic Plan.
b. Executive directors may be asked to participate in
the ITPB, TRAG or the Management Review Advisory Group (MRAG), as required,
according to the membership rules of each board.
5 FAM 1016.7 Acquisition Personnel
(CT:IM-30; 01-23-2001)
Acquisition personnel in the Bureau of Administration,
Logistics Management (A/LM) actively participate in the Departments
information technology planning process. A/LM managers will be represented on
the MRAG. The Assistant Secretary for Administration will name the candidate
who will serve in this position.
5 FAM 1016.8 Information
Management Officer (IMO)
(CT:IM-30; 01-23-2001)
The Information Management Officer at post is responsible
for post-level implementation of the IT strategic plan goals by forecasting
future IT requirements for the mission and submitting those requirements in the
mission performance plan and bureau budget calls.
5 FAM 1016.9 Domestic Systems
Managers
(CT:IM-30; 01-23-2001)
The domestic system managers at State implement systems in
accordance with the IT strategic plan, define and implement solutions to their
bureaus unique IT requirements, incorporate those requirements into the
bureaus bureau performance plans and budget calls and present proposals to the
ITPB through their senior management.
5 FAM 1017 THROUGH 1019 UNASSIGNED