5 fam 1000 information technology (IT) Planning
Information technology (IT) planning and Performance monitoring
(CT:IM-334; 01-15-2025)
(Office of Origin: DT/BMP)
5 FAM 1011 Summary
(CT:IM-332; 12-09-2024)
This subchapter details roles, responsibilities, and requirements for IT planning and performance monitoring at the Department of State.
5 FAM 1012 IT STRATEGIC AND PERFORMANCE PLANNING Overview
(CT:IM-334; 01-15-2025)
a. Goals, objectives, and sub-objectives within IT strategic and performance planning documents align with the goals and objectives of Department strategic plans including the Department of State and the United States Agency for International Development Joint Strategic Plan (JSP), as well as federal mandates and guidance, and Department policies.
b. IT goals, objectives, and sub-objectives within Bureau strategies align with the IT Strategic Plan (ITSP).
c. The goals, objectives, and sub-objectives within Bureau strategies, the ITSP, and other IT strategic plans and documents inform IT performance plans and reports.
d. Progress made toward goals, objectives, and sub-objectives must be continually monitored and used to track progress, support evidence-based decision-making, and improve results (see 18 FAM 301.4).
5 FAM 1013 ITSP REquirements
(CT:IM-332; 12-09-2024)
5 FAM 1013.1 ITSP Overview
(CT:IM-332; 12-09-2024)
The ITSP describes the Department’s technology priorities and information resources, establishes IT goals and objectives that support the Department’s mission and organizational priorities, and provides guidance for the allocation of IT resources.
5 FAM 1013.2 ITSP Requirements
(CT:IM-332; 12-09-2024)
a. Office of Management and Budget (OMB) Circular A-130 requires:
1. The Chief Information Officer (CIO) to develop and maintain an ITSP.
2. The ITSP supports and maps to the goals of JSP.
b. The ITSP must comply with the key elements and standards for Department strategic plans in 18 FAM 301.2-4(b).
5 FAM 1013.3 ITSP Roles and Responsibilities
(CT:IM-334; 01-15-2025)
a. CIO drives the strategic priorities of the ITSP but has delegated the responsibility of drafting the ITSP to the DT Strategic Planning Division (DT/BMP/SPB/SPD).
b. The DT Portfolio Management Division (DT/BMP/SPB/PMD) coordinates the enterprise IT governance body’s review of the ITSP to ensure it supports the IT goals of the Department.
c. CIO, with the support of DT/BMP/SPB/SPD, reviews the ITSP annually to identify changes needed to adapt the ITSP to the Department’s mission, organizational priorities, technological capabilities, federal mandates, and resource levels. The CIO must submit the updated ITSP to OMB annually.
5 FAM 1013.4 ITSP Purpose and Implementation
(CT:IM-332; 12-09-2024)
a. The ITSP guides the funding, development, and execution of IT projects, programs, and initiatives across the Department. The ITSP also guides the development of the DT Functional Bureau Strategy (FBS) and IT goals or objectives within other bureau strategies (e.g., FBSs or Joint Regional Strategies (JRSs)).
b. The ITSP guides Bureau’s pre-selection, selection, management, and evaluation of IT capital investments (see 5 FAM 1040).
5 FAM 1014 PERFORMANCE Planning and MONITORING of IT Strategic plans
(CT:IM-332; 12-09-2024)
5 FAM 1014.1 Performance Planning and Monitoring Overview
(CT:IM-334; 01-15-2025)
a. OMB Circular A-130 requires that Department IT goals and objectives identified in IT strategic plans be alongside Department annual performance plans. Annual performance plans are used to determine any performance gaps or changes to mission needs, priorities, or goals and to track progress made against Department goal and objectives.
b. Bureaus and offices must comply with 18 FAM 301.4 when identifying, designing, monitoring, and evaluating the major programs and projects that will achieve IT goals and objectives.
c. Findings from performance reporting and monitoring inform IT priorities, goals, and objectives. Bureaus and offices must continually monitor progress made toward strategic goals, objectives, and sub-objectives to identify areas for improvement, provide action plans to mature business operational efficiency, monitor key performance indicators (KPIs), and provide status reports to senior management.
d. Program and project monitoring must comply with 18 FAM 301.4-3.
5 FAM 1014.2 Annual ITSP Performance Plan Roles and Responsibilities
(CT:IM-332; 12-09-2024)
a. CIO establishes annual IT priorities, which DT/BMP/SPB/SPD uses to develop an annual ITSP Performance Plan at the beginning of each fiscal year (FY) in collaboration other Department stakeholders.
b. The ITSP Performance Plan includes Department-level performance measures that comply with 5 FAM 130 and are used to assess progress made toward ITSP goals and objectives.
5 FAM 1014.3 Additional Tactical and Operational Plans
(CT:IM-332; 12-09-2024)
DT/BMP/SPB/SPD may develop additional operational and tactical performance plans to assist with implementing specific IT programs and projects that align with the goals, objectives, and sub-objectives within the ITSP and DT FBS.
5 FAM 1014.4 Other IT Performance Plans
(CT:IM-332; 12-09-2024)
Bureaus or offices have responsibility to prepare annual performance plans for their major IT programs and projects.
A performance plan includes specific performance measures that are based on the goals, objectives, and sub-objectives that a program or project will achieve, consistent with 5 FAM 130.
5 FAM 1014.5 Annual ITSP Performance Report Roles and Responsibilities
(CT:IM-332; 12-09-2024)
With guidance from the CIO, DT/BMP/SPB/SPD develops an annual ITSP Performance Report at the end of each FY on progress made toward the goals and objectives in the ITSP.
5 FAM 1014.6 Other IT Performance Reports
(CT:IM-332; 12-09-2024)
Bureaus and offices should prepare an annual performance report describing progress made toward their IT program and project performance plans.
5 FAM 1015 IT Strategic planning Roles and RESPONSIBILITIES
(CT:IM-332; 12-09-2024)
5 FAM 1015.1 Chief Information Officer (CIO)
(CT:IM-332; 12-09-2024)
a. Oversees the Department’s IT planning, programming, budget formulation and execution, acquisitions, management, governance, oversight, and enterprise architecture.
b. Advises M and other Department senior officials on developing, implementing, and revising policies, plans, and programs to facilitate and strengthen the cost-effective, efficient, and timely application of IT systems, knowledge management, and technology resources.
c. Ensures that the Department’s information and IT resources are designed, acquired, operated, maintained, monitored, and evaluated to comply with all applicable requirements and support the achievement of the Department’s strategic mission.
d. Determines the Department’s IT strategic goals and priorities and monitors progress made toward those goals to determine how IT supports the Department’s mission.
e. Approves and oversees the implementation of the ITSP and the DT Functional Bureau Strategy (FBS).
f. Oversees the development of an annual ITSP Performance Report assessing progress made on achieving the Department’s IT goals. Assessments may be used to benchmark the Department’s processes and progress against public and private sector performance.
g. Establishes IT funding priorities and approves the IT budget request in collaboration with Chief Financial Officer (CFO), the Office of the Procurement Executive (OPE), the Bureau of Budget and Planning (BP), M, the Secretary of State, and other Department senior officials.
h. Reviews and validates IT investments and determines whether an investment should be included in the Department’s IT portfolio.
i. Complies with mandated reporting requirements.
5 FAM 1015.2 Under Secretary for Management (M)
(CT:IM-332; 12-09-2024)
a. Collaborates with the Chief Information Officer (CIO) on developing IT budget requests and funding priorities.
b. Collaborates with the CIO to modernize the Department’s data infrastructure to support enterprise level data management and advanced analytics.
5 FAM 1015.3 Chief Financial Officer (CFO)
(CT:IM-332; 12-09-2024)
a. Reports Department expenditures for IT capital assets, and capital and non-capital expenditures to OMB.
b. Provides budgetary guidance on IT investments, including guidance on conformance policies.
c. Approves the IT budget request in collaboration with the CIO.
5 FAM 1015.4 Chief Acquisition Officer (CAO) / Senior Procurement Executive:
(CT:IM-332; 12-09-2024)
Coordinates with CIO on IT acquisition planning.
5 FAM 1015.5 Deputy Chief Information Officer for Business, Management, and Planning (DT/BMP)
(CT:IM-332; 12-09-2024)
a. Manages the preparation of the ITSP, DT FBS, and relevant annual IT performance plans and reports, as delegated by CIO. DT/BMP exercises its strategic responsibilities to ensure that IT projects are developed and delivered on time, within budget, and in accordance with customers’ business needs.
b. Monitors progress made toward the goals and objectives in the ITSP, DT FBS, and relevant annual IT performance plans, and reports progress to DT leadership, including CIO.
c. Ensures IT planning processes, reporting, and products align with federal mandates and guidance, Department policies, and format and content requirements.
d. Oversees the Program Management Office (PMO) of high-level IT governance bodies.
e. Manages the Department’s IT investments and IT portfolio, as delegated by CIO.
5 FAM 1015.6 Bureau of Budget and Planning (BP)
(CT:IM-332; 12-09-2024)
a. Manges the administrative distribution of the Department’s IT Central Fund.
b. Develops the Department’s overall strategic planning and performance monitoring requirements and guidance.
c. Collaborates with CIO to develop IT budget requests.
5 FAM 1015.7 Bureau Executive Directors
(CT:IM-332; 12-09-2024)
a. Approve IT proposals and funding requests received from bureau offices and posts abroad.
b. Ensure that IT proposals or requests, which seek funds from the IT Central Fund, have been properly documented.
c. Ensure that IT investments from both the IT Central Fund and bureau funds support the ITSP.
5 FAM 1015.8 Program and Project Managers
(CT:IM-332; 12-09-2024)
a. Initiate program and project plans and provide information to DT/BMP and the CIO including 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.
b. Report on whether programs and projects are on schedule and within budget, and on progress made toward the goals or objectives of the programs and projects.
5 FAM 1016 References
(CT:IM-332; 12-09-2024)
5 FAM 1016.1 Acronyms
(CT:IM-332; 12-09-2024)
BMP – Business Management and Planning
BP – Bureau of Budget and Planning
CFO – Chief Financial Officer
CIO – Chief Information Officer
DCIO – Deputy Chief Information Officer
DT – Bureau of Diplomatic Technology
EGB – Enterprise Governance Board
FBS – Functional Bureau Strategy
FY – Fiscal Year
IT – Information Technology
ITSP – IT Strategic Plan
JSP – Joint Strategic Plan
KPI – Key Performance Indicator
M – Undersecretary for Management
OMB – Office of Management and Budget
PMD – Portfolio Management Division
SPD – Strategic Planning Division
5 FAM 1016.2 Definitions
(CT:IM-332; 12-09-2024)
Bureau Strategy—An internal Bureau strategic planning document (e.g., Functional Bureau Strategy), which sets out goals, objectives, and sub-objectives to achieve overall Department strategic goals. As part of the Department’s Managing for Results framework, Bureau strategies provide a principal vehicle for revising goals and evaluating performance.
Capital Asset—Land, structures, equipment, and intellectual property 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.
Information Technology Capital Planning and Investment Control Process (CPIC)—The process used to request, review, launch, and analyze/evaluate IT investments at the Department.
Information Technology Enterprise Architecture—An integrated framework for evolving or maintaining existing IT and for guiding the acquisition of new information technology in accordance with the Department’s strategic goals.
Information Technology Capital Investment Fund (CIF)—A State Department fund appropriated by Congress, allotted exclusively for IT capital development projects.
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 Strategic Plan (ITSP)—A long-term, high-level plan that describes the Department’s technology priorities and information resources and establishes IT goals and objectives that support the Department’s mission and overall strategic goals.
Information Technology Performance Plan—An annual plan that includes specific performance measures that are based on the goals, objectives, and sub-objectives of IT strategic plans, including the ITSP.
Information Technology Performance Report—An annual report that assesses annual progress made toward IT the goals, objectives, and sub-objectives within IT strategic plans, based on IT performance plans.
Performance Goal, Objective, or Sub-objective—A target level of performance expressed as a tangible, measurable objective, against which actual achievement shall be compared using performance measures.
Performance Management—The systematic process of collecting, analyzing, and using performance monitoring data and evaluations to track progress, influence decision-making, and improve results.
Performance Measure—A benchmark for evaluating efficiency, effectiveness, and results to support the Department’s accomplishment of its strategic goals, objectives, and sub-objectives. May also be referred to as a performance indicator.
Program (See 18 FAM 301.4-1(B))
Project (See 18 FAM 301.4-1(B))
5 FAM 1016.3 Authorities
(CT:IM-332; 12-09-2024)
The authorities for this policy include:
a. The Federal Information Technology Acquisition Reform Act (FITARA) of 2014
b. Federal Information Security Modernization Act of 2014 (FISMA)
c. Government Performance and Results Act (GPRA) Modernization Act of 2010
d. E-Government Act of 2002
e. Clinger-Cohen Act of 1996
f. Paperwork Reduction Act of 1995
g. OMB Memorandum M-15-14: Management and Oversight of Federal Information Technology
h. OMB Memorandum M-97-02: Funding Information Systems Investments
i. OMB Circular A-130: Managing Information as a Strategic Resource
j. OMB Circular A-11: Preparing, Submitting, and Executing the Budget
k. Executive Order 13833: Enhancing the Effectiveness of Agency Chief Information Officers
5 FAM 1016.4 Additional Resources
(CT:IM-332; 12-09-2024)
MfR (Managing for Results)
5 FAM 1016.5 Related FAM/FAHs
(CT:IM-332; 12-09-2024)
1 FAM 270 (Diplomatic technology Bureau)
5 FAM 130 (IT Performance Measures)
5 FAM 1040 (Information Technology (IT) Capital Investment Planning Process)
18 FAM 200 (Regulations and Related Programs)
18 FAM 300 (Strategic Direction and Management)
5 fam 1017 UNASSIGNED