12 FAM 050
POLICY and Planning COORDINATION
(Office of Origin: DS/MGT/PPD)
12 FAM 051 ESTABLISHING POLICIES, PROCEDURES, AND STANDARDS
The Assistant Secretary for Diplomatic Security (DS) establishes all policies, procedures, and standards for the bureau. DS program directors make policy, procedures, and standards recommendations, after thorough coordination with all affected bureaus and outside agencies, through the Deputy Assistant Secretary, or the Executive Director in their chain-of-command.
12 FAM 051.1 Coordinating Review of Other Bureaus’ Policies
a. The Policy and Planning Division (DS/MGT/PPD) is the coordinator for all policies, procedures, and standards requiring DS clearance from other bureaus within the Department.
b. Any DS office having representation on multi-bureau, Department-wide, or interagency committees must coordinate with DS/MGT/PPD proposed policy, standards, or agreements for which DS has final approval authority.
c. DS/MGT/PPD ensures the appropriate offices in DS have an opportunity to provide substantive comments on the proposed issues. After receiving the comments, DS/MGT/PPD coordinates drafts, clears recommendations with the appropriate Deputy Assistant Secretary and/or the Executive Director, and obtains final clearance from either the Principal Deputy Assistant Secretary (PDAS) of DS or the assistant secretary.
d. DS/MGT/PPD coordinates meetings with the action bureau, as necessary, to address issues to obtain clearance.
12 FAM 051.2 Coordinating Review of Interagency or National Policies on Security Issues
a. DS/MGT/PPD is the Department clearance coordinator for all diplomatic security-related policies, procedures, and standards originating through interagency committees, agencies, and other organizations to which the Department is or will be a party.
b. Any DS office having representation on interagency committees must coordinate with DS/MGT/PPD committee-proposed policy, standards, or agreements for which DS has final approval authority.
c. DS/MGT/PPD is responsible for ensuring a DS-consolidated position prior to requesting comments from other Department offices and constituent agencies.
d. DS/MGT/PPD drafts the final response, with appropriate Deputy Assistant Secretary or the Executive Director clearance for the bureau.
12 FAM 052 POLICY DEVELOPMENT
12 FAM 052.1 Drafting
a. Program managers or working groups complete the first draft of proposed security policies, procedures, and standards.
b. The DS/MGT/PPD policy analysis staff works with program managers to develop substantive policy and provide editorial assistance. The policy analysis staff ensures consistency with other existing policies, procedures, and standards. The policy analysis staff also takes the lead in resolving policy inconsistencies and issues.
c. DS/MGT/PPD prepares draft policies, procedures, and standards in the approved Foreign Affairs Manual (FAM) and Foreign Affairs Handbook (FAH) format prior to clearance distribution.
12 FAM 052.2 Publication
All policies, procedures, and standards must be published in the FAM or FAH in accordance with 18 FAM 201.1-6. Volume 12 of the Foreign Affairs Manual (12 FAM, Diplomatic Security) contains the bureau’s security policies and directives, volume 12 of the Foreign Affairs Handbook (12 FAH) contains the bureau's standards and implementation procedures.
12 FAM 052.3 Application
Security policies, procedures, and standards published in 12 FAM/FAH are applicable to all agencies under chief of mission (COM) authority (22 U.S.C. 3927), unless otherwise directed. DS must clear all 12 FAH 6 policies and standards that may impact other agencies operating under COM authority with the Overseas Security Policy Board (OSPB), see 12 FAM 056. The OSPB members clear the 12 FAH 6 standards after DS and Department clearance. Direct all policy issues and coordination questions to DS/MGT/PPD.
12 FAM 052.4 Signatory Authority
The Assistant Secretary for Diplomatic Security or the Director of the Diplomatic Security Service sign all cables and memoranda that establish bureau policy or are sent as security officer collective, engineering security collective, or to all diplomatic and consular posts (ALDAC).
12 FAM 053 MEMORANDA OF UNDERSTANDING And agreement
DS/MGT/PPD is responsible for coordinating the development of DS-related memoranda of understanding (MOUs) and memoranda of agreement (MOAs) between DS and other entities, such as other Department bureaus, Federal agencies, or other organizations.
12 FAM 053.1 Signatory Authority for MOUs and MOAs
a. Based on the security issue, the Assistant Secretary for Diplomatic Security generally signs all MOUs and MOAs that involve multiple security programs with one or more U.S. Government agencies. DS/MGT/PPD advises on pertinent considerations.
b. Based on the subject, the appropriate DS Deputy Assistant Secretary or the Executive Director sign all MOUs and MOAs for DS that involve a single security program with one or more government agencies.
c. The Executive Director must clear or sign all DS-related MOUs and MOAs involving funding or human resources.
12 FAM 053.2 Guidelines for Developing MOUs and MOAs
a. An MOU is a document describing a bilateral agreement between parties. It indicates an intended common line of action. MOUs are a means to coordinate security programs with DS, the Department, and other federal agencies domestically and abroad. Generally, the action of one party does not depend on the actions of the other party.
b. An MOA is a document written between parties to cooperatively work together on an agreed upon project or meet an agreed upon objective. An MOA is often more specific in nature than an MOU and pertains to the goods and/or services stated in the agreement. Generally, the actions of one party depend upon the actions of the other party, and may involve the transfer of funds.
c. DS program managers, in coordination with the other entities in the proposed agreement, serve as subject matter experts to determine the issues to be specified in an MOU or MOA. The policy analysis staff ensures that MOUs and MOAs are coordinated and cleared through the appropriate Department and interagency channels.
d. DS/MGT/PPD maintains a library of current and archive MOUs and MOAs to which DS is a signatory and keeps an inventory of pending agreements.
12 FAM 053.3 MOU and MOA Drafting and Clearance Procedures
a. DS/MGT/PPD must process all DS-related MOUs and MOAs. The policy analysis staff works with program managers to review all draft agreements to ensure compliance with Department guidelines and policies, and assists with developing a final draft.
b. DS program managers provide the policy analysis staff with a subject matter expert’s initial draft of a proposed MOU/MOA. The policy analysis staff reviews and edits this material, works with managers to develop subsequent drafts, and coordinates appropriate clearances in DS, the Department, and with other Government agencies. In the case of MOUs/MOAs used as reimbursable agreements between DS and other agencies for goods and services, the program office must first coordinate with the Office of the Chief Financial Officer, DS/EX/CFO. After all funding requirements have been addressed in the draft and DS/EX/CFO has cleared, DS/EX/CFO provides the draft to PPD for further coordination and clearance. DS/EX/CFO also provides final clearance prior to submission for final signature.
c. When the final version of an MOU or MOA is ready for signature, the policy analysis staff prepares a memorandum to the Assistant Secretary for Diplomatic Security, PDAS, deputy assistant secretary, or executive director (required on all MOU/MOAs involving DS resources) recommending that the Bureau sign the document.
d. All MOUs and MOAs require the following DS clearances:
(1) Policy and Planning Division (DS/MGT/PPD);
(2) Office of the Chief Financial Officer (DS/EX/CFO) when MOUs or MOAs involve fiscal resources;
(3) Human Resource Management (DS/EX/HRM) when MOUs or MOAs involve personnel resources;
(4) Contracting and Procurement Division (DS/MGT/CAP) when MOUs or MOAs involve contracts;
(5) Office director(s) and other assistant director(s) with equity in the MOU or MOA;
(6) Executive Director (DS/EX);
(7) Office of the Legal Adviser (L/M/DS); and
(8) Diplomatic Security Service Director or Assistant Secretary, as appropriate.
NOTE: Those initiating an MOU/MOA should contact DS/MGT/PPD if they have any questions regarding which offices need to clear and sign these agreements.
12 FAM 054 PLANNING
DS performs both program and operations planning. Program planning manages the resources supporting DS mission requirements. Operations planning directs the action of people performing DS investigative, protective, and overseas missions. Both aspects of planning mutually support DS people and programs at every level of the organization.
12 FAM 054.1 Bureau Program and Performance Planning
a. The DS/MGT/PPD program and performance planning staff centrally manages the diplomatic security planning structure (DSPS) which integrates program planning, including certain functions of the long-term strategic planning derived from the functional bureau strategy (FBS), performance management, organizational goals, and post and program requirements as well as resource availability for the bureau.
b. DS/MGT/PPD ensures the bureau is in compliance with the Department's Program Evaluation Policy (18 FAM 301.4-4) and leverages the DSPS when developing the bureau's evaluation plan (BEP).
12 FAM 054.1-1 DS Planning Structure (DSPS)
The DSPS is a bureau-wide framework for:
(1) Establishing strategic alignment with Bureau responsibilities, objectives, and activities;
(2) Outlining program deliverables against available resources and requirements;
(3) Reporting program progress on a quarterly basis towards achieving defined deliverables, while identifying potential program issues, constraints, and mitigations;
(4) Evaluating program performance and alignment with bureau strategic goals based on established annual program plans; and
(5) Providing decision support for DS senior management.
12 FAM 054.1-2 Bureau Planning
a. Functional bureau strategy (FBS): DS/MGT/PPD coordinates the development of the FBS for DS. The FBS is a multi-year planning document that articulates the bureau's priorities. It is a critical component of the overall planning and performance management cycle mandated by the quadrennial diplomacy and development review (QDDR). The FBS is updated regularly and sets priorities, goals, and objectives for the bureau. The FBS also helps drive the bureau’s annual resource request (funding and positions) through the bureau resource request (BRR) process.
b. Bureau resource request (BRR): Based on guidance from the Bureau of Budget and Planning (BP), DS/MGT/PPD supports DS/EX/CFO with preparing the annual BRR, which represents the bureau’s official out-year resource request, to include both funding and staffing, in alignment with the bureau's strategic goals, high-priority initiatives, and performance indicators as outlined in the functional bureau strategy. The BRR establishes the main link between policy, program planning, resources, and impact metrics.
12 FAM 054.1-3 Evaluations
a. DS/MGT/PPD ensures bureau-wide compliance with the Department's Program Evaluation Policy (18 FAM 301.4-4), including:
(1) Ensuring that the number of programs being evaluated every year meets or exceeds the Department’s standards;
(2) Developing, submitting, and updating as needed a three-year bureau evaluation plan (BEP); and
(3) Identifying a senior staff person to serve as the bureau evaluation coordinator (BEC). The BEC for DS is the DS/MGT/PPD division chief.
b. The BEC and PPD staff provide overall management of the evaluation process during the planning, implementation, and reporting stages to include:
(1) Analyzing stakeholder interests, time and budget constraints, and cost-benefit to the bureau to determine appropriate program selection for evaluation;
(2) Assisting with drafting and vetting statements of work (SOW);
(3) Coordinating with the DS contracting and procurement (CAP) division to request bids for proposals and serving on technical panels as needed;
(4) Facilitating kick-off and check-in meetings with evaluation contractors;
(5) Liaising with key stakeholders;
(6) Uploading completed evaluations to the evaluation management system (EMS);
(7) Integrating evaluation results into future program and performance planning; and
(8) Monitoring evaluation recommendations, through the DSPS and other means, to improve bureau performance.
12 FAM 054.1-4 Program Planning
a. Program plans: As part of the DSPS, DS/MGT/PPD facilitates the development of annual program plans for individual DS programs. The plans establish program overview, objectives, resource levels, performance measures, and quarterly targets.
b. Quarterly performance reports (QPRs): The QPRs are prepared at the program level and are based on established annual program plans. QPRs help track programs' planned deliverables for the fiscal year by reporting on programs’ actual versus planned performance results.
c. Program results briefing: At the end of each quarter, DS/MGT/PPD analyzes the information that the QPRs provide, and prepares an executive briefing for the assistant secretary.
d. Program reviews with the Assistant Secretary: Based on senior management input, DS/MGT/PPD will facilitate meetings between program managers and the assistant secretary in order to review results in individual programs.
12 FAM 054.2 Bureau Operations Planning
a. Comprehensive, well-developed operations plans ensure DS mission success by ensuring unified, synchronized action, and empowering subordinates to take action appropriate to their level of responsibility.
b. DS operations planning occurs at the, operational, and tactical levels. Operational-level planning coordinates action within DS offices and divisions. Tactical-level planning coordinates action at the unit level.
c. The operations planning staff, within the High Threat Programs Directorate (DS/HTP), leads bureau-level operations planning. The DS deliberate planning process (DPP) provides DS leaders with a standardized, repeatable process to plan operations and solve problems across the broad range of DS investigative, protective, and overseas missions. The DPP, coordinates bureau-wide action among DS directorates in support of large-scale Department operations. The DPP used for operational and tactical-level operations, coordinates action within DS organizations below the directorate-level. The Department also utilizes a deliberate planning process (see 2 FAM 423.4).
12 FAM 054.2-1 DS Deliberate Planning Process
The baseline seven-step DS DPP provides a framework to ensure every mission critical task is identified, planned, prepared for, rehearsed, and assessed. The process begins with a mission analysis to identify key operational and planning priorities, review mission risks, and ensures subordinate understanding to the lowest level through operations plans and rehearsals, then drives improvement using an after action review to assess mission performance. Based on the complexity of the mission and time and resources available, the DS DPP may be either formal or informal, with levels of detail appropriate to mission requirements. Regardless of the planning product, the DS DPP serves as a common language and process giving DS leaders, individuals, and teams a unified approach to operations planning consistent with other U.S. Government departments and agencies.
12 FAM 055 Overseas Security Policy Board (OSPb)
12 FAM 055.1 General Operations
a. The OSPB is an interagency body that assists the Secretary of State in carrying out statutory responsibilities to provide security of U.S. Government operations at U.S. missions abroad (see 12 FAH-6 H-014). The OSPB considers, develops, coordinates, and promotes security policies, standards, and agreements on security operations, programs, and projects that affect all U.S. Government agencies working abroad under COM authority. The Assistant Secretary of the Bureau of Diplomatic Security chairs the OSPB, guides the activities of the Board, and exercises the authority of the Secretary of State as set forth in the Omnibus Diplomatic Security and Antiterrorism Act of 1986 (Public Law 99-399).
b. OSPB voting members include the security directors of the following agencies: Department of State, U.S. Agency for International Development, Broadcasting U.S. Agency for Global Media, Centers for Disease Control and Prevention, Central Intelligence Agency, Defense Intelligence Agency, Department of Commerce, Department of Homeland Security, Department of Justice, Department of the Treasury, Department of Transportation, Drug Enforcement Administration, Federal Aviation Administration, Federal Bureau of Investigation, Foreign Agricultural Service, National Aeronautics and Space Administration, National Security Agency, Office of the Director of National Intelligence's Center for Security Evaluation, Office of Management and Budget, and Peace Corps. Members may be added by a majority vote of members.
12 FAM 055.2 OSPB Executive Secretariat
a. The Chief of the Policy and Planning Division (DS/MGT/PPD) serves as the OSPB Executive Secretary. DS/MGT/PPD provides the administrative support for all OSPB meetings. (See 12 FAH-6 H-014.1 for details.)
b. DS/MGT/PPD is also responsible for tracking the status of all OSPB standards, including the status of OSPB working groups’ draft standards. DS/MGT/PPD coordinates the official clearance of all new/revised OSPB standards (see 12 FAM 057, DS Clearance Procedures, and 12 FAH-6 H-014.1, OSPB Charter).
c. DS/MGT/PPD serves as a member of each OSPB working group to assist the designated chairperson in accomplishing the working group’s objectives. (See the 12 FAH-6 H-014.2 for the OSPB Working Group Guidelines.)
12 FAM 056 SPECIAL PROTECTIVE EQUIPMENT REVIEW BOARD (SPERB)
12 FAM 056.1 General Operations
a. The SPERB, formerly the Firearms Protective Review Board (FPRB), is an advisory board to the Director of the Diplomatic Security Service (DS/DSS). The SPERB meets once a month to develop and recommend policies, procedures, and guidance applicable to DS special agents, and others, on the authorities and use of special protective equipment (SPE). SPERB responsibilities cover such topics as the use of force, and U.S. Government firearms, impact weapons, chemical deterrents, restraining devices, less-than-lethal devices, and ancillary equipment issued to or controlled by, DS direct-hires, personal services contractors (PSCs), third party contract personnel, local national personnel, and the United States Marine Corps Embassy Security Group (MCESG). The SPERB adjudicates issues and requests submitted by a post, DS Directorate, or other entity as required by Department policy.
b. The SPERB consists of seven voting members and eight non-voting members. The voting members are Deputy Assistant Secretaries (DAS) of the DS directorates and the Executive Director for DS. The SPERB also maintains two standing working groups (WG); the firearms, optics, and protective equipment (FOPE) WG and the less-than-lethal and emergency technologies (LTLET) WG. The SPERB creates ad-hoc WGs as needed.
12 FAM 056.2 SPERB Executive Secretariat
The division chief of DS/MGT/PPD serves as the SPERB's Executive Secretary. DS/MGT/PPD provides the administrative support for SPERB and associated working group meetings. Responsibilities are similar to those of the OSPB Executive Secretariat, see 12 FAM 055.2.
12 FAM 057 DS CLEARANCE PROCEDURES
12 FAM 057.1 General Clearance Requirements
a. DS/MGT/PPD coordinates the clearance of all security policies, procedures, and standards within DS and the Department. DS/MGT/PPD also coordinates the clearance of those security policies, procedures, and standards having a potential impact on other foreign affairs agencies that participate in the OSPB. Security policies having an impact upon, or requiring the cooperation of an agency not represented on the OSPB, still require the appropriate agency’s clearance.
b. DS program managers clear the initial draft of all policies through their deputy assistant secretary or the Executive Director.
c. DS/MGT/PPD obtains any additional DS, Department, and OSPB clearances.
d. DS/MGT/PPD reviews and clears all DS policies.
e. During the clearance the Office of the Legal Adviser (L/M/DS) must clear policies with identifiable legal issues.
f. DS/IP, DS HTP, and the PDAS must clear all policy issues affecting Foreign Service posts and regional security officers.
g. DS/EX/CFO must clear all policy issues with financial implications. DS/EX/HRM must clear all policy issues with personnel implications.
h. Any office in the bureau or the Department mentioned in or affected by the text of the proposed policy, procedure, or standard must be given the opportunity to clear.
i. As a general rule, security policies, procedures, and standards are not sent for clearance outside of DS until full DS clearance is obtained.
j. While DS strives to resolve differences and obtain all clearances, statutory responsibility may require DS to set certain security-related policies without full concurrence of all affected parties.
12 FAM 057.2 DS Clearance and Approval Procedures for Outgoing Cables
a. Approval requirements for DS outgoing cables: The minimum approval requirement for all outgoing cable traffic from DS is at the Division Chief level. No direct-hire employee below this management level, or contractor, is authorized to approve outgoing DS cables, except if an employee is officially acting for a division chief or office director.
b. Clearance requirements for outgoing cables pertaining to policy, procedure or standards: All outgoing cables pertaining to security policy or standards originating from DS program offices must be cleared by the DS directorates with substantive interest as well as DS/MGT/PPD, DS/EX, and DS/DSS.
12 FAM 057.3 Department Clearances
a. DS/MGT/PPD is the Diplomatic Security 12 volume coordinator and is responsible for coordinating the bureau clearance of all new or revised provisions of 12 FAM and associated FAHs, as well as the bureau clearance of any other FAM/FAH submissions that have a security impact. (See 18 FAM 201.1-6 and 2 FAH-1 for the volume coordinator’s responsibilities.)
b. The Office of the Under Secretary for Management must clear on all DS policies, procedures, and standards. The Office of the Inspector General must review all policies, procedures, and standards.
c. In most cases, the executive offices of the regional bureaus are to clear, depending on whether or not the proposed policy affects their bureau operations.
d. The Department’s Office of the Legal Adviser (L) must clear.
e. All other clearances are determined by content.
12 FAM 058 IMPLEMENTATION OF STANDARDS
a. Projects are funded and equipment furnished, installed, and maintained in accordance with existing agreements and procedures. These agreements and procedures are catalogued by program in 12 FAM and related Foreign Affairs Handbooks.
b. Agencies allowed to exceed DS standards based on heightened threat/risk may be required to:
(1) Fund all or a portion of the additional costs that result therefrom;
(2) Furnish equipment including spares; and/or
(3) Provide for installation and maintenance.
12 FAM 058.1 Noncompliance Procedures
a. Whenever security policies and procedures cannot be complied with or standards cannot be met, the post must provide a full explanation to DS and the parent agency cognizant security authority through a formal exception to the standards request. The post must include recommended actions and mitigations that might compensate to some extent for the reduced security that may result. Where such non-compliance involves agencies other than the Department, DS, in consultation with the cognizant security authority of the parent agency, will determine what remedial action will be required.
b. In those instances where the standards cannot be met due to a lack of resources, chiefs of mission and principal officers must ensure that all agencies are treated equally and that equal protection is provided whenever and wherever the threat level is the same.
c. In the case of posts designated Special Conditions Posts (see 12 FAM 057.3), the post must request approval for non-compliance with security policies, procedures or standards from the assistant secretary for DS through DS/IP and/or DS/HTP.
12 FAM 058.2 Exceeding Standards
a. When an agency lead at a post believes that it is necessary to exceed the requirements of a security policy, procedure, or standard, the agency lead must make a proposal to the emergency action committee (EAC) or the counterintelligence working group (CIWG), as appropriate, which makes a recommendation to the chief of mission or principal officer. If the EAC supports the agency lead’s proposal, the post, through the COM, must seek Department and DS clearance/concurrence.
b. The agency lead may appeal the EAC or CIWG decision to the parent agency, which should attempt to resolve the issue with the Department.
c. In the case of posts designated Special Conditions Posts (see 12 FAM 058.3), the post must request approval to exceed security policies, procedures or standards from the Assistant Secretary for DS through DS/IP or DS/HTP.
12 FAM 058.3 Special Conditions
a. The final decision to open, close, or change the status of a diplomatic mission is made by the President. The final decision to open, close or change the status of a foreign service post such as a consular post, consular agency, branch, or special office is made by the Under Secretary for Management (see 2 FAM 400).
b. The Under Secretary for Management, in coordination with the Assistant Secretary for DS and the Director of Overseas Buildings Operations, must approve funding diverted for posts designated special conditions posts for projects previously funded in accordance with existing agreements and procedures (see 12 FAM 058 paragraph a).
c. The threat categories established on the Security Environment Threat List (SETL) are a composite, and the countermeasures associated with the level assigned may not address the dynamic threat at a given post. In accordance with the Diplomatic Security Risk Management Policy (see 12 FAH-6 H-511) there are also a number of factors that make the general application of existing standards impossible or inappropriate because the nature of the threat varies, as does the vulnerability. Such factors or special conditions may include:
(1) Ongoing U.S. Military operations within the country or bordering country;
(2) Contested territory, contingency area, or war zone in the country or bordering the country;
(3) Proximity to a country or area recovering from a natural disaster;
(4) A remote location without infrastructure; or
(5) Other special conditions recognized by DS as requiring consideration outside the application of established security standards.
d. Where such special conditions exist in specific countries, or at particular posts within countries, countermeasures outside the established security standards should be considered in accordance with the established Diplomatic Security Risk Management policy and 12 FAM 057.1 and 057.2.
12 FAM 058.3-1 Designation as a Special Conditions Post
a. The request to be designated as a special conditions post must be made in consultation with post EAC or CIWG, with concurrence of the RSO and the COM, and must include what factor(s) form the basis for the request. Post must submit its request to the Assistant Secretary for DS.
b. The Assistant Director for Threat Investigations and Analysis (DS/TIA) in consultation with the Deputy Assistant Secretaries for Countermeasures (DS/C), International Programs (DS/IP), and/or High Threat Programs (HTP) must review the post’s request for designation as a special conditions post with the appropriate parent agency representatives and make a recommendation to the assistant secretary for DS within 10 working days. The Assistant Secretary will make the final determination.
c. A post designated as a special conditions post by the Assistant Secretary may, as circumstances warrant:
(1) Request noncompliance with existing standards; or
(2) Request to exceed existing standards in accordance with the procedures outlined in 12 FAM 058.1 and 058.2.
12 FAM 058.3-2 Expedited Review for Special Conditions Posts
The Assistant Secretary must ensure that DS fully considers the post request and recommendation, including any necessary consultation with parent agencies or Department bureaus. To the maximum extent possible, the consideration of post requests for exceptions will follow established exceptions processes (e.g. 12 FAM 315, 12 FAH-5 H-200, etc.). DS program offices responsible for evaluating the request must prepare a recommendation for the Assistant Secretary’s approval within 20 working days of post’s request.
12 FAM 058.3-3 Annual Review Requirement
The Assistant Secretary must review all special conditions posts on the one-year anniversary of their designation or in conjunction with the annual SETL process (whichever occurs later) to ensure the factors of that post still warrant treatment as a special conditions post.
12 FAM 059 UNASSIGNED