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U.S. Department of State Strategic Plan (2000)
Released by the Office of Management Policy and Planning
U.S. Department of State, October 25, 2000
[ Contents ]
THE STATE DEPARTMENT'S STRATEGIC PLANNING PROCESS
This section explains the Department of State's approach to strategic planning in accordance with the Government Performance and Results Act (GPRA). It discusses GPRA strategic plan components and additional criteria used to evaluate agency plans, and addresses issues that Congress, OMB, GAO, and others have raised during reviews of the previous State Department Strategic Plan.
Background
In August 1999, the State Department formed a Strategic Plan Revision Team and Senior Advisory Group to update and refine the Department's Strategic Plan. This effort continues a major, ongoing investment in strategic planning and performance measurement as powerful tools for achieving US foreign policy goals and for managing international affairs resources.
This Department of State Strategic Plan has been approved by the Secretary of State. The Plan defines State's mission and roles in advancing national interests and in achieving the International Affairs Strategic Goals. In addition, the Plan defines management goals for maintaining the United States' Diplomatic Readiness Platform abroad in the areas of human resources, information management, and infrastructure and operations.
In light of the reorganization of foreign affairs agencies mandated by the President and the Congress in 1997, the current State Department Strategic Plan incorporates the functions and programs of the former United States Information Agency and the Arms Control and Disarmament Agency (both of which were integrated with the State Department over the course of 1999), and reflects the fact that the Agency for International Development is now under the direct control and foreign policy guidance of the Secretary of State. The Plan represents the desire of the Secretary of State to "build a shared vision for what we want to accomplish in the world today."
The Department continues to make significant progress in building a unified process for policy and resource management based on strategic planning and performance measurement. The Department's regional, functional, and management bureaus continue to formulate annual Bureau Performance Plans that set out long-term goals and short-term objectives in their areas of responsibility for achieving the overall strategic goals.
Strategic planning at the State Department also incorporates the overseas diplomatic missions of the United States. Every year, prior to the preparation of the Bureau Performance Plans, each overseas mission prepares a Mission Performance Plan (MPP) based on guidance from various Department elements. These MPPs are then used by the regional bureaus and the Department's central management and functional offices as vehicles for a dialogue on policy priorities and resource requirements. Thus, State's planning process covers three distinct but intimately related levels of organization: the individual mission, the bureau, and the Department as a whole.
Strategies
The strategies listed under the International Affairs Strategic Goals are programs, activities, and resources drawn from the entire US Government and are directed to achieving the Goals. These range from military action to development, humanitarian assistance, and public diplomacy. When applied to particular regions and countries these strategies can be reformulated as action plans. State Department roles and bureaus responsible for each of the strategies are identified.
Currently there are a few goals where there is a demonstrable relationship between programs and outcomes: for example, the program of issuing visas and the outcome of controlling legal entry of immigrants and non-immigrants into the United States. Such relationships, however, are more problematic when applied to most of the other goals. For example, the relationship between the level of seizures of narcotics by law enforcement agencies and the level of narcotics entering the United States is unknown. In future strategic plans, the development of strategies will include more specific elaboration of agency capabilities and roles -- and, ultimately, more sophisticated reviews to determine whether strategies and resources are sufficient to achieve goals.
External Factors
The Strategic Plan takes into account external factors (i.e., outside influences that will have an impact on State's accomplishment of the Strategic Goals). External factors are identified in the "Assumptions" section under each Strategic Goal. There are three types:
Critical factors: Developments which must take place for a goal to be achieved. For example, the passage of Fast Track legislation in Congress is identified as a critical operational goal for opening markets.
Externalities: Conditions beyond the control of the US Government that must hold for a goal to be achieved. For example, the global economy must continue to grow at about 3% annually for the United States to reach its export target of $1.2 trillion early in the 21st Century.
Contingencies: Events that, if they were to occur, would require significant adjustment of a goal. For example, our 1997 Strategic Plan cited recession in the Big Emerging Market countries as a contingency that would require a shift in strategy or a downward revision of the $1.2 trillion export target set for FY 2000.
Program Evaluations
Strict application of GPRA on an agency-specific, program-oriented basis is only partially applicable to the complexities of foreign policy. The multiple factors involved in achieving goals and influencing foreign policy outcomes makes setting targets and measuring performance a difficult challenge. While GPRA emphasizes program goals, State's mission is instead the formulation of foreign policy, the conduct of foreign relations, and the coordination of US activities overseas.
Not only does the Department of State's mission emphasize policy and operations more than programs, its scope of responsibility for the coordination of foreign affairs covers virtually every other US Government agency, often lacks specific legislative authorities, and involves the management of overseas missions. Indeed, State's span of control and influence in each of the 16 goals is not specifically defined in law, but is rather derived from the role of the Secretary of State as the President's principal foreign policy advisor, as well as from the supervisory authority of Chiefs of Mission over all US Government executive branch personnel abroad, except for those under a regional military commander. State's employees spend large amounts of time making certain that all agencies of the U.S. Government are appropriately informed and consulted on foreign policy matters and that we as a Government speak with one coordinated voice on any issue.
Since no process currently exists for the systematic evaluation of United States international affairs goals, State's Performance Planning process (including both Bureau Performance Plans and Mission Performance Plans) provides the principal vehicle for revising goals and evaluating performance. These Bureau and Mission Performance Plans are synthesized in the State Department Performance Plans, submitted annually in accordance with GPRA. They also form the basis of a goal-based presentation for International Affairs Budget Function 150 submitted to Congress with the annual budget's Congressional Justification.
The State Department also launched an effort to identify performance indicators for international affairs goals. Bureaus and missions are now required to identify specific performance indicators for use over a 3-year timeframe in assessing progress toward the achievement of performance goals. In many cases, because of the inapplicability of quantitative measures to political process goals and objectives, qualitative or milestone indicators have been used.
Evaluation is also to some degree constant and ongoing through activities such as reporting and analysis, interagency working groups, and inspections of overseas missions. Communication is an integral part of the Performance Planning process, and the entire Department of State has participated in formulating specific strategies and objectives for achieving the International Affairs Strategic Goals. Performance planning encompasses proposals for new or revised objectives and associated changes in programs, resources, and legislation -- generally as part of the budget cycle. Other types of evaluations such as those undertaken by the Office of the Inspector General, the GAO, USAID development projects, and foreign public opinion surveys, have potentially valuable applications to performance measurement.
Ideally, performance measurement and evaluation for international affairs should be carried out on an interagency basis, but in practice this is extraordinarily difficult. For example, the initiative led by the White House Office of National Drug Control Policy (ONDCP) to establish performance measures for US counter-narcotics goals involving 24 agencies illustrates the difficulty of setting targets and carrying out such evaluations.
How the Strategic Goals Relate to State's Performance Goals
There is a direct relationship between national interests, strategic goals, performance goals, and objectives in the annual State Department Performance Plan, which integrates the Performance Plans of the Department's individual bureaus. The annual Performance Planning cycle is designed to demonstrate a direct line of relationship between a given Strategic Goal and specific objectives in the Strategic Plan. For example:
National Interest: National Security
Strategic Goal: Eliminate the threat to the United States and its allies from weapons of mass destruction or destabilizing conventional arms.
Performance Goal: Strengthen multilateral regimes in support of nuclear nonproliferation, export controls, and international nuclear safeguards.
Objective: Begin multilateral negotiations on a Fissile Material Cutoff Treaty by the first quarter of FY 2002.
This linkage is applied dynamically in the annual Performance Planning cycle, and includes resource and performance measurement components. If the relationship between Strategic Goals and performance goals cannot be clearly established, the Strategic Goal requires re-examination. In response to suggestions made by the Congress and the GAO following their review of the Department's earlier Strategic Plan, special attention has been given in this Plan to identifying performance indicators that measure specific State Department efforts to achieve the 16 Strategic Goals.
Data Capacity
Development of the data capacity and information systems essential to measuring progress toward international affairs goals is an ongoing effort. Since 1997, State has made matching policy goals to resources through Performance Planning a regular element of the goal-based portion of the Function 150 budget submission. Development of systems to link both overseas posts and domestic operations resources to the international affairs goals was begun developed in 1997 and has been improved upon in subsequent years. Refinement of these systems, however, for use both overseas and in Washington, and for forging a more direct link with other Department management systems must continue over the next few years.
Management Issues
The Diplomatic Readiness section of the State Department Strategic Plan defines the Department's general responsibilities for providing the human resources, information resources, infrastructure and operations necessary to support the 16 International Affairs Strategic Goals. This section outlines the Department's major management responsibilities at home and abroad, and describes the multiple initiatives the Department has underway to address management problems and issues. For example, preparation of a comprehensive workforce plan ensuring that the Department has the right people in the right places with the right skills is a primary objective of the Human Resources goal. Similarly, setting the strategic direction for Information Resources Management is a critical Diplomatic Readiness objective.
The annual Performance Plan and budget for State Department Operations link the requirements of the Diplomatic Readiness Platform to the 16 Strategic Goals. Moreover, beginning with this State Department Strategic Plan, and the Performance Plan and budget submissions for FY 2002, State planning and budget documents will now reflect the full integration of the ACDA and USIA organizations. ACDA programs and activities have been subsumed under the goal structures dealing with national security, and those of USIA under all strategic goal areas and "Mutual Understanding" -- a separate goal area reflecting the purposes of programs mandated by and funded through the Mutual Educational and Cultural Exchanges Act of 1946, as amended.
Consultations
The leadership of the State Department is committed to applying strategic planning to the management of international affairs policy and its associated resources. Success will require time, an enormous amount of discovery and learning, and a cultural change within the government.
In 1997, the Strategic Planning Team recognized that setting international affairs goals that referred exclusively to the State Department was an artificial exercise that would lead to overlap and confusion. Consequently, the Team formulated an International Affairs Strategic Plan (revised in February 1999) that would establish a comprehensive framework for US foreign policy goals. That plan defined seven national interests in terms of the security, prosperity, and values of the American people. The 16 Strategic Goals were then developed as a framework for promoting and defending these interests in the areas of national security, economic prosperity, American citizens and borders, law enforcement, democracy and human rights, humanitarian response, and global issues.
In drafting the 1997 plan, the State Department Team referred to the White House National Security Strategy, the National Export Strategy, the National Drug Control Strategy, and other agency plans. Members of the Team held preliminary consultations with over 15 agencies to outline the approach being taken with the International Affairs Strategic Plan, and to ensure that the plan's 16 Goals were in line with the activities of those Federal agencies working overseas.
Since 1997, interagency consultations have evolved considerably. For example, MPPs are now reviewed annually on an interagency basis, with subsequent feedback provided to each mission. State Department Regional Bureau Performance Plans are crafted as regional plans reflecting the goals, programs, and activities of the entire US Government in each region of the world. Reviews of these regional plans are conducted annually by the Secretary of State or her designated representative, and focus on both policy and resource issues.
Every bureau of the Department and every US diplomatic mission has been involved in the ongoing development of performance planning. State continues to hold regular coordination and information meetings at all levels, including briefings for the Secretary and other senior Department leaders. Each MPP is reviewed on an interagency basis under the leadership of the appropriate country desk. Each MPP is also addressed in a feedback message from the Department, covering both policy and resource issues and reflecting the views of concerned Federal agencies. The Secretary or her designee chairs interagency reviews of the performance plans for each geographic region of the world. Numerous specially designed workshops on strategic planning, performance measurement, and program planning take place at the National Foreign Affairs Training Center. Briefings on strategic planning are also regular components of the Ambassadorial, Senior, and Intergovernmental Seminars, Deputy Chief of Mission course, and the Washington Tradecraft and Junior Officer Orientation courses.
To complement the reorganization of the foreign affairs agencies, State held extensive consultations with USIA, ACDA, and AID. As a result, the State and AID Strategic Plans are coordinated with each other, and the Plans of the former ACDA and USIA are fully integrated into the State Department Strategic Plan. Initial consultations have also taken place with DOD, the intelligence community, ONDCP, and the United States Trade Representative.
The Department also has taken serious note of Congressional, GAO, and OIG critiques of its various GPRA mandated strategic planning documents. In general, these critiques have been useful, especially as they relate to management issues, programs, and activities common to most Federal agencies. Given the unique difficulty in applying GPRA criteria to complex international affairs policy issues, however, the Department has attempted to further engage its Congressional committees and the GAO in developing useful and credible performance measures.
Following are significant authorities relevant to the goals outlined in the State Department's Strategic Plan for International Affairs (the "Strategic Plan"). This is not intended to be a comprehensive list of all the authorities under which the Department operates in carrying out its missions.
The Constitution vests the President with broad power to manage foreign affairs, including the power to make treaties and appoint ambassadors by and with the advice and consent of the Senate. U.S. Const., Art. II, § 2. See United States v. Curtiss-Wright Export Corp., 299 U.S. 304 (1936). The Secretary of State (the "Secretary") assists the President in carrying out these duties. A statute dating back to 1789, currently codified at 22 U.S.C. § 2656, gives the Secretary authority to carry out such duties as may be entrusted to her by the President relative to the conduct of foreign affairs. In addition, the State Department Basic Authorities Act, P.L. 84-885, as amended (the "Basic Authorities Act"), establishes the organizational structure of the Department and contains many of its operational authorities. The Department draws broadly upon these two statutes in carrying out the goals outlined in the Strategic Plan. Other key authorities of the Department include:
- The Foreign Service Act of 1980, P.L. 96-465, as amended (the "Foreign Service Act"), which in section 207 provides a statutory basis for the authority of Chiefs of Missions over U.S. government personnel in their countries.
- Case-Zablocki Act of 1974, 1 U.S.C. § 112b (the "Case Act") which, >notwithstanding any other provision of law, prohibits the conclusion of international agreements by the United States, the United States government, or by any U.S. department or agency without prior consultation with the Secretary.
During 1999, pursuant to the Foreign Affairs Reform and Restructuring Act of 1998, P.L. 105-277, the Arms Control and Disarmament Agency ("ACDA") and the United States Information Agency ("USIA") were integrated into the Department. Among the significant authorities transferred to the Department as part of this integration are provisions of the:
- Arms Control and Disarmament Act of 1961, P.L. 87-297, as amended
- Nuclear Non-Proliferation Act of 1978, P.L. 95-242
- Atomic Energy Act of 1954, P.L. 83-703, as amended
- United States Information and Educational Exchange Act of 1948 (Smith-Mundt Act), P.L. 80-402, as amended
- Mutual Educational and Cultural Exchange Act of 1961 (Fulbright-Hays Act), P.L.87-256, as amended
In addition, the Foreign Relations Authorization Acts, the Foreign Assistance Act of 1961, the Arms Export Control Act, annual Foreign Operations Appropriations Acts, and Appropriations Acts for the Department of State contain relevant provisions, as do numerous specific statutes or treaties, some of which are discussed below.
I. NATIONAL SECURITY
A. Goal: Ensure that local and regional instabilities do not threaten the security and well-being of the United States or its allies.
Article II of the U.S. Constitution, together with numerous statutes, grant the President broad responsibility for national security matters. While the Secretary of Defense has primary responsibility for assisting the President with respect to the conduct of the military and military operations, the Secretary shares this responsibility in the national security area, drawing upon the Department's general foreign affairs authorities to promote national security goals. Relevant statutory provisions include:
- The Foreign Assistance Act of 1961, P.L. 87-195, as amended (the "FAA"), provides authority for a wide range of foreign military and economic assistance programs. Annual Foreign Operations Appropriations Acts provide funding for FAA programs.
- The Arms Export Control Act, P.L. 90-629, as amended (the "AECA"), authorizes the sale of defense articles and services to eligible foreign countries. The AECA also authorizes Department licensing of commercial exports of defense articles and services enumerated on the U.S. Munitions List.
B. Goal: Eliminate the threat to the United States and its allies from Weapons of Mass Destruction (WMD) and destabilizing conventional arms.
The Department is a key player in the formulation of national policy on issues of arms control, nuclear nonproliferation, regional security, export controls, and other defense articles and technology. The AECA is a key authority in helping to curb the proliferation of weapons of mass destruction. Other relevant statutory provisions include:
- Section 407 of the Dire Emergency Supplemental Appropriations and Transfers, Urgent Supplementals, and Correcting Enrollment Errors Act of 1989, P.L. 101-45, provides specific authority for the Under Secretary of State for Arms Control and International Security Affairs to: (1) coordinate United States diplomatic efforts to achieve a missile technology control regime encompassing chemical, biological and nuclear capable missiles; and (2) coordinate U.S. policies for restricting the export to foreign countries of components of missiles that are capable of carrying nuclear, chemical or biological weapons.
- The Chemical and Biological Weapons Control and Warfare Elimination Act of 1991, P.L. 102-182, authorizes sanctions against countries that use chemical or biological weapons ("CBW") in violation of international law, or use lethal chemical or biological weapons against their own nationals.
- The Iran-Iraq Arms Non-Proliferation Act of 1990, P.L. 102-484, requires the imposition of sanctions against persons or countries that assist Iran or Iraq to acquire WMD or advanced conventional weapons.
II. ECONOMIC PROSPERITY
A. Goals: (I) Open foreign markets to free the flow of goods, services and capital; and (ii) expand U.S. exports to $1.2 trillion by 2000.
The Department develops policy recommendations and has responsibility for certain operational activities affecting international trade. Such activities include, inter alia, participation in multilateral and trade negotiations. Key authorities available to the U.S. government include:
- The Trade Act of 1974, P.L. 93-618, as amended (the "Trade Act"), contains in section 301-310 the principal U.S. domestic law mechanism for combating unfair trade practices.
- The Agreement Establishing the World Trade Organization is the principal multilateral agreement affecting trade. This Agreement incorporates, inter alia, the General Agreement on Tariffs and Trade (the "GATT"), and contains a mechanism for settling trade disputes between nations. The Uruguay Round Agreements Act, P.L. 103-465, is the implementing legislation for the WTO Agreement.
- The North American Free Trade Agreement ("NAFTA") regulates substantially all trade among Canada, Mexico and the United States. The NAFTA Implementation Act, P.L. 103-82, governs implementation of the treaty.
- The Omnibus Trade and Competitiveness Act of 1988, P.L. 100-418, as amended, authorized the President to negotiate agreements aimed at reducing tariff and nontariff barriers to U.S. trade. The "Fast Track" authority granted by this statute has expired but the Administration has sought comparable new authority.
- In the aviation area, the Department, working closely with the Department of Transportation, has negotiated bilateral air transport services agreements with all of our significant aviation partners, as well as many other countries. The United States has been very successful in its ongoing effort to liberalize existing agreements, in accordance with 49 USC 40101-46507, by negotiating new agreements under the "Open Skies" model, to afford U.S. airlines the broadest possible opportunities to expand their markets.
B. Goals: (i) increase global economic growth; and (ii) promote broad-based economic growth in developing and transitional economies.
The World Trade Organization is the primary forum for the liberalization of international trade. As part of the WTO accession process, potential new members are required to adopt economic reforms that will promote growth.
The U.S. works with various International Financial Institutions ("IFIs") such as the World Bank Group, the Inter-American Development Bank, the African Development Fund and the Asian Development Bank in encouraging market-based reforms in developing countries. While the Treasury Department has the lead role in coordinating U.S. participation in these IFIs, the Department provides foreign policy guidance.
A variety of bilateral treaties help to facilitate trade and investment. For example, treaties of Friendship, Commerce and Navigation ("FCNs") in force between the U.S. and approximately 50 countries address a variety of issues such as the establishment of businesses and consular relations. The U.S. government also has concluded Bilateral Trade Agreements ("BTAs") with 25 countries that are transitioning from non-market economies, and nearly 45 Bilateral Investment Treaties ("BITs") since 1982, with more than 30 BITs now in force. Pursuant to its delegated and statutory authorities, the Department participates fully in bilateral trade negotiations.
III. AMERICAN CITIZENS AND U.S. BORDERS
A. Goal: Enhance the ability of American citizens to live and travel abroad securely.
The Department develops and promulgates policies and procedures for the issuance of passports, visas and related documents. The Department also is engaged in ensuring the protection and welfare of U.S. citizens and interests abroad.
The Department's authority to grant and issue passports is contained in 22 U.S.C. § 211a. Numerous other statutes provide authority for the Department to facilitate public access to information. For example, 22 U.S.C. § 2656e requires the Department to notify Congress whenever a travel advisory is issued because of a terrorist threat or other security concern. In the area of crisis management, the Department, among its other authorities, has responsibility with respect to the evacuation of U.S. citizens abroad when their lives are endangered by war, civil unrest or natural disaster pursuant to 22 U.S.C. §§ 2671, 4802 and Executive Order 12656.
18 U.S.C. 4100 et seq. authorizes prisoner exchanges with treaty partners, so that Americans may complete prison sentences in their own country. The Department is responsible for negotiation of such treaties.
B. Goal: Control how immigrants and non-immigrants enter and remain in the U.S.
The Department formulates and implements policy relating to immigration and consular services. As part of this function, the Department administers provisions of the Immigration and Nationality Act of 1952, 66 Stat. 163, as amended (the "INA"), codified at Title 8 of the United States Code, and all other immigration and nationality laws relating to the powers, duties and functions of the diplomatic and consular offices of the United States. The INA regulates the travel of eligible foreign nationals to the United States, and gives the U.S. government broad authority to impede the entry of ineligible foreign nationals. The INA gives the Department broad authority to facilitate legal immigration, to identify criminals and terrorists and to inhibit illegal immigration.
IV. LAW ENFORCEMENT
A. Goal: Minimize the impact of international crime on the United States and its citizens
Among the most important functions of the Department in minimizing the impact of international crime on the United States and its citizens is the negotiation and implementation of treaties and other international agreements in the law enforcement area. These agreements create a framework for international cooperation in the fight against transnational crime and provide a legal basis for legal assistance and similar requests to and from the United States.
For example, the United States has in place well over 100 extradition treaties negotiated by the Department and implemented pursuant to 18 U.S.C. §§ 3181 - 3196. Another 4 such treaties have recently received Senate advice and consent to ratification.
Another key authority is Chapter 8 of Part I of the FAA, which authorizes the Secretary, by delegation from the President, to expend funds to a foreign government or international organization for narcotics control or other anti-crime purposes.
B. Goal: Significantly reduce from 1997 levels the entry of illegal drugs into the United States.
The Department draws heavily upon Chapter 8 of Part I of the FAA in pursuit of its mission in this area. That chapter establishes the international narcotics control program and authorizes the means through which both the narcotics control and anti-crime assistance programs are implemented.
Other laws contain provisions relevant to the implementation of Department programs, including other authorities in the FAA, the annual Foreign Operations Appropriations Acts (which include funds for Department programs), several narcotics control acts, the AECA, provisions of DOD authorization acts and the Basic Authorities Act.
C. Goal: Reduce international terrorist attacks, especially on the United States and its citizens.
The United States is a party to all ten major counter-terrorism conventions, which obligate states to assist one another in bringing to justice terrorists involved in hijacking, aviation sabotage, attacks on government officials, nuclear terrorism, hostage-taking, airport attacks and maritime terrorism.
The Department also benefits from numerous domestic authorities to combat terrorism. For example, section 36 of the Basic Authorities Act authorizes the Secretary to pay rewards for information leading to the arrest or conviction of terrorists. Other significant statutes in this area include:
- Section 6(j) of the Export Administration Act of 1979, P.L. 96-72, as amended (the "EAA"), section 40(d) of the AECA, and section 620A of the FAA authorize the Secretary to designate countries whose governments repeatedly provide support for acts of international terrorism. Placing a country on the "Terrorism List" triggers a broad range of trade, foreign assistance, export, and other sanctions.
- The International Emergency Economics Powers Act, P.L. 95-223, as amended ("IEEPA"), authorizes the President to regulate or prohibit a wide range of financial transactions with foreign countries or nationals and has been invoked with respect to terrorism to block financial transactions involving terrorist groups and individuals who threaten to disrupt the Middle East Peace Process. In addition, five of the current seven "Terrorism List" countries are subject to comprehensive embargo under either IEEPA or the Trading with the Enemy Act, 40 Stat. 411, as amended.
- The Antiterrorism and Effective Death Penalty Act of 1996, P.L. 104-32, as amended, includes several authorities for combating terrorism that are specific to the Department or have been delegated to the Secretary by the President.
V. DEMOCRACY
Goal: Increase foreign government adherence to democratic practices and respect for human rights.
Section 1 of the Basic Authorities Act provides that the Assistant Secretary of State for Democracy, Human Rights and Labor is responsible to the Secretary of State for matters pertaining to human rights and humanitarian affairs (including matters relating to prisoners of war and members of the United States Armed Forces missing in action) in the conduct of foreign policy and such other related duties as the Secretary may from time to time designate. For example, the Assistant Secretary for Democracy, Human Rights and Labor assists the Secretary in carrying out her responsibilities under sections 116 and 502B of the FAA and other relevant statutes.
VI. HUMANITARIAN RESPONSE
Goal: Prevent or minimize the human costs of conflict and natural disasters.
The Department seeks to prevent and minimize the human costs associated with conflict and natural disasters.
The Migration and Refugee Assistance Act of 1962, P.L. 87-510, as amended (the "MRAA"), authorizes the appointment of an official to assist the President in performing the refugee and migration functions specified in the MRAA. The functions include assisting refugees and migrants on a bilateral basis and supporting multilateral efforts including those of the U.N. High Commission on Refugees, the International Committee of the Red Cross, and the International Organization for Migration.
Section 491 of the Foreign Assistance Act of 1961, as amended (the "FAA"), authorizes providing assistance for international relief, rehabilitation and reconstruction efforts in the wake of disasters that are either natural or manmade. This authority can be used when a disaster is declared (usually by the U.S. Ambassador or appropriate Assistant Secretary of State).
Section 551 of the FAA authorizes the provision of peacekeeping funds to friendly countries and international organizations for peacekeeping operations and other programs carried out in furtherance of the national security interests of the United States.
VII. GLOBAL ISSUES
A. GOAL: Secure a sustainable global environment in order to protect the U.S. and its citizens from environmental degradation.
The Department formulates and implements policies and proposals relating to the environmental, marine, health, scientific and technological aspects of U.S. foreign policy. As the primary foreign policy arm of the US Government, the Department plays a lead role in the negotiation and implementation of a wide array of international environmental agreements. Scores of treaties, statutes Executive Orders and Presidential Directives provide the basis for Department policies, ongoing activities and assistance programs.
In the area of marine law and policy, for example, numerous treaties, statutes, Executive Orders and Presidential Directives establish the regime for control of US resources and water rights. For example, The Magnuson-Stevens Act, P.L. 94-265, as amended, establishes US jurisdiction over fisheries resources out to 200 miles off the U.S. coast and sets forth principles and procedures for managing such fisheries.
A similar regime of treaties, statutes and Executive Orders provides authority in the area of the environment, natural resources and health. For example, Part I, Chapter 1 of the FAA provides authority and establishes policies for cooperation, particularly with developing countries, on environment and natural resources issues, including tropical forests and endangered species.
The annual Foreign Operations Appropriations Acts provide funds for various international environmental initiatives such as programs to address global warming and to provide environmental-related assistance to Eastern Europe. Other relevant statutory provisions include:
- The North American Agreement on Environmental Cooperation ("NAAEC"). The United States, Canada and Mexico are parties to the NAAEC, the purpose of which is to ensure that the economic growth generated by the North American Free Trade Agreement ("NAFTA") is accompanied by increased cooperation between the NAFTA governments on environmental issues.
- The Clean Air Act, 42 U.S.C. § 7401 et seq., contains a provision which encourages the United States, through the Secretary, to participate in international agreements designed to protect the stratosphere.
- The Resource Conservation and Recovery Act, P.L. 94-580 ("RCRA"), regulates exports of hazardous wastes.
Finally, a similar regime of statutes, treaties and Executive Orders establishes the Department's authorities in the area of international scientific cooperation. For example, the Omnibus Trade and Competitiveness Act of 1988, P.L. 100-418, reconfirms the Secretary's primary responsibility for coordination and oversight with respect to science and technology agreements with foreign governments.
B. GOAL: Stabilize world population growth by 2020.
The Department coordinates U.S. policy concerning population stabilization. The Assistant Secretary for Population, Refugees and Migration coordinates population assistance policies in accordance with applicable laws. Section 104 of the FAA authorizes the President to furnish assistance, on such terms and conditions as he may determine, for voluntary population planning, basic integrated health services, safe water and sanitation, disease prevention and control, and related health planning and research. USAID is primarily responsible for implementing assistance under these authorities.
C. GOAL: Protect human health and reduce the spread of infectious diseases.
The Department coordinates U.S. policies and participation in international organizations working to protect U.S. health and reduce the spread of infectious diseases. Section 104 of the FAA authorizes the use of appropriated funds for population planning and health and disease prevention. Much of the operational activity in this area is performed by the Agency for International Development.
VIII. DIPLOMATIC READINESS:
A. Goal: Enable the US Government to achieve foreign policy objectives and respond to international crisis by cultivating a skilled, motivated, diverse, and flexible workforce.
The Foreign Service Act and various authorities contained in Title 5 of the United States Code broadly address the management and support of Department personnel. These statutes together give the Department broad authority to hire, assign, detail, promote, train, and terminate Department employees.
B. Goal: Strengthen the ability of the United States to achieve its International Affairs goals and respond to crises through effective and efficient information resources management and information systems.
Section 2 of the Basic Authorities Act provides the Department with specific authority to provide telecommunications services. In addition, a necessary expense for carrying out the Department's missions is the development of plans to modernize periodically the Department's hardware and software capabilities; to manage these capabilities in conformity with industry standards; and to train its employees to operate such equipment. Several other statutes, regulations and Executive Orders prescribe the details of how the Department performs its mission in this area. For example, the Department's acquisition of computers is governed by the Federal Acquisition Regulations, 48 C.F.R. Chapter 1.
C. Goal: Establish and maintain infrastructure and operating capacities that enable employees to pursue policy objectives and respond to crises.
The Department's principal authorities in this area are as follows:
- Foreign Service Buildings Act of 1926, P.L. 69-186, as amended, provides authority for the purchase, lease, construction, and repair of real property for the use of the diplomatic and consular establishments of the United States, and authority to sell properties and to use the proceeds of sale for the purposes of the Act.
- Foreign Missions Act, P.L. 97-241, as amended, provides authority over the activities and operation of foreign missions in the United States, and, to assist in securing appropriate benefits for United States missions and personnel abroad, the ability to limit the benefits, privileges and immunities accorded to such missions based on reciprocity.
- Federal Acquisition Regulation ("FAR"), 48 C.F.R. Chapter 1, and Department of State Acquisition Regulation ("DOSAR"), 48 C.F.R. Chapter 6. FAR provides comprehensive regulatory authority for federal agency acquisitions. DOSAR provides supplemental acquisition regulations for the Department.
- Federal Property Management Regulations ("FPMR"), 41 C.F.R. Chapter 101. FPMR provides government-wide regulations for management and disposition of property.
- Omnibus Diplomatic Security and Antiterrorism Act of 1986, P.L. 99-399, as amended. This Act places authority and responsibility for the security of U.S. Government operations and all U.S. government personnel and dependents at diplomatic and consular missions abroad in the Secretary.
GLOSSARY OF
ABBREVIATIONS AND ACRONYMS
A
Bureau of Administration (State)
A/FBO
Foreign Buildings Operations (State)
APEC
Asia Pacific Economic Cooperation Forum
ASEAN
Association of Southeast Asian Nations
ATF
Bureau of Alcohol, Tobacco and Firearms (Treasury)
BIT
Bilateral investment treaty
CA
Bureau of Consular Affairs (State)
CDC
Centers for Disease Control (HHS)
CIA
Central Intelligence Agency
DEA
Drug Enforcement Administration (Justice)
DLEA
Drug law enforcement agency
DOD
Department of Defense
DOE
Department of Energy
DOJ
Department of Justice
DRL
Bureau of Democracy, Human Rights and Labor (State)
DS
Bureau of Diplomatic Security (State)
DTS-PO
Diplomatic Telecommunications Service - Program Office (State)
EB
Bureau of Economic and Business Affairs (State)
ECA
Bureau of Educational and Cultural Affairs (State)
E/CBA
Office of Business Affairs (State)
EPA
Environmental Protection Agency
ESF
Economic Support Funds
EUR
Bureau of European and Canadian Affairs (State)
Ex-ImBank
Export-Import Bank
FAA
Federal Aviation Administration (Transportation)
FBI
Federal Bureau of Investigation (Justice)
FMP
Bureau of Finance and Management Policy (State)
FSI
Foreign Service Institute (State)
G
Under Secretary for Global Affairs (State)
GAO
General Accounting Office
GDP
Gross Domestic Product
H
Bureau of Legislative Affairs (State)
HHS
Department of Health and Human Services
ICASS
International Cooperative Administrative Support Services System
IFI
International financial institution
IIP
Bureau of International Information Programs (State)
INL
Bureau for International Narcotics and Law Enforcement Affairs (State)
INR
Bureau of Intelligence and Research (State)
INS
Immigration and Naturalization Service (Justice)
IO
Bureau of International Organization Affairs (State)
IPMS
Integrated Personnel Management System
IRM
Bureau of Information Management (State)
IT
Information Technology
L
Office of the Legal Adviser (State)
MAI
Multilateral Agreement on Investment
M/CIO
Chief Information Officer (State)
M/DGHR
Bureau of Human Resources (State)
M/FLO
Family Liaison Office (State)
M/MED
Office of Medical Services (State)
M/P
Office of Management Policy and Planning (State)
NEC
National Economic Council
NGO
Non-governmental organization
NOAA
National Oceanic & Atmospheric Administration (Commerce)
NSC
National Security Council
OECD
Organization for Economic Cooperation and Development
OES
Bureau of Oceans and International Environmental and Scientific Affairs (State)
OIG
Office of the Inspector General (State)
OMB
Office of Management and Budget
ONDCP
Office of National Drug Control Policy
OPIC
Overseas Private Investment Corporation
OSM
Overseas Staffing Model
OSTP
Office of Science and Technology Policy
PA
Bureau of Public Affairs (State)
PD
Public Diplomacy
PRM
Bureau of Population, Refugees and Migration (State)
PVO
Private voluntary organization
SADC
South Africa Development Community
S/CT
Coordinator for Counterterrorism (State)
S/EEOCR
Office of Equal Employment Opportunity and Civil Rights (State)
S/NIS
Special Adviser to the Secretary for the New Independent States (State)
S/RPP
Secretary's Office of Resources, Plans, and Policy (State)
S/S-O
Operations Center (State)
T
Under Secretary for Arms Control and International Security (State)
TDA
Trade and Development Agency
UN
United Nations
USAID
United States Agency for International Development
USDA
U.S. Department of Agriculture
USG
United States Government
USOECD
Mission to the Organization for Economic Cooperation and Development
USTR
United States Trade Representative
USUN
U.S. Mission to the United Nations
VWPP
Visa Waiver Pilot Program
WHA
Bureau of Western Hemisphere Affairs (State)
WMD
Weapons of mass destruction
WTO
World Trade Organization
[end document]
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