Document
U S DEPARTMENT OF TRANSPORTATION
ORDER 1 8 0 0 . 1 3 D
FEDERAL AVIATION ADMINISTRATION 5/18/99 SUBJ STRATEGIC PLANNING 1. PURPOSE This order descnbes FAA strategic planning the linkage between the Strategic Plan and other FAA plans, and related resource allocation and performance reporting This order is intended as a baseline from which more integrated planning, performance, and budgeting can be developed in the future 2. DISTRIBUTION This order is distributed to the division level in Washington, regions, and centers 3. CANCELLATION Order 1800 13C, Planning and Resource Allocation, dated October 7, 1986, is canceled 4. BACKGROUND The Government Performance and Results Act of 1993 (GPRA) requires all Federal agencies to develop strategic plans pnorto fiscal year (FY) 1998, prepare annual plans setting performance goals for inclusion in the budget submission beginning in FY 1999, and report annually on actual performance with the first report due in March 2000 Strategic plans are to cover program activities for at least a 5-year penod and be updated at least once every 3 years The Department of Transportation (DOT) prepares the official GPRA Strategic Plan FAA's plan supports the GPRA requirements, the Department's plan, and the Administrator's Performance Agreement with the Secretary 5. POLICY FAA integrates planning, budgeting, staffing, research and development, resource allocation, acquisition, technical and information architecture, and operations processes to provide a safe, secure, and efficient airport and airway system in a changing world environment It integrates with the Department's strategic planning through direct participation, an annual performance plan, an annual performance agreement between the Administrator and the Secretary of Transportation, and performance reporting 6. EXPLANATION OF CHANGES This order completely replaces 1800 13C It updates the order to reflect current FAA planning and organization, simplifies the order, and defines and institutionalizes FAA policy to implement integrated planning, acquisition, and budget processes Guidance for annual strategic planning activities will be provided in memoranda as needed 7. DEFINITIONS Appendix 1, Definitions, contains definitions of terms used in this order 8. AUTHORITY TO CHANGE THIS ORDER The Assistant Administrator for Policy, Planning, and International Aviation (API) has authority to issue changes to this order other than to policy and responsibilities The Administrator will issue changes to the order relating to policy and responsibilities 9. STRATEGIC PLANNING OBJECTIVES FAA strategic planning seeks to ensure that factors essential for overall FAA mission accomplishment are identified, considered and pnontized, so that appropnate actions are incorporated into integrated, coherent long-term planning within fiscal restraints The process is primarily a tool for internal agency management, however, output products and outcome performance also provide justification for FAA programs and initiatives to those outside FAA Key objectives are to a. Assemble knowledge of the transportation environment and identify the corporate needs of FAA customers and stakeholders Distribution A - W X Y Z - 2 Initiated by A P O - 1 2 0 1800 13D 5/18/99 b. Provide senior management direction for FAA organizations and activities to meet mission requirements and customer needs c. Provide a documented basis for future action.
d. Provide a basis for accountability for implementing the agency's mission e. Establish agency priorities that are coordinated and consistently applied to major agency plans f. Communicate FAA's mission policy, goals and objectives, and program plans to FAA employees, user groups, the aviation community, and other interested parties g. Evaluate the impact of planning and implementation and use the results to modify future plans 10. STRATEGIC PLANNING ELEMENTS, FUNCTIONS, ROLES, AND RESPONSIBILITIES. The FAA Strategic Plan identifies long-term goals and objectives to support the agency's mission Long term is defined as 5 years or longer The planning process assists the Administrator and top management to shape annual performance goals and formulate budget requirements There are six components in the process When used sequentially, they form an annual integrated management process All components, and especially evaluation, can also be invoked as needed to respond quickly and efficiently to surfacing issues and changing environments a. Planning Formulation. Each year, API will consult with FAA senior management on whether the Strategic Plan should be revised API will then develop a recommended planning process, presented as a schedule of events Upon the Administrator's approval, the process will be issued as memoranda b. Strategic Planning. The Administrator's senior management team, assisted by API and with involvement by all FAA organizations, will form the future vision and direction of the agency, interpret the FAA mission as stated in legislation and Department requirements, and set general goals, objectives, and priorities for FAA (1) Environmental Scan. The process will include a review of current and future airport, air traffic, safety, and security requirements and performance, coordinated by APO Line organizations are responsible to participate in that review, as will staff organizations including Associate Administrator for Aviation Safety (ASY) and the Office of Performance Management (APF) Information will be solicited from FAA employees and in accord with provisions of the Paperwork Reduction Act of 1995, the aviation, space, and transportation communities This information will be presented to the Administrator's senior management team prior to strategic decisionmaking (2) Strategic Decisionmaking. The Administrator's senior management team shall set the strategic direction reported in the Strategic Plan APO shall coordinate, staff, support, and arrange for facilitation of a process for strategic decisionmaking by the Administrator's senior management team (3) Preparation of Plan Document. APO shall document, publish, and distribute the plan (4) Plan Review and Approval. APO shall develop and the Administrator's senior management team shall approve a process to gain comments on the draft plan from within FAA and, as appropnate, from the aviation, space, and transportation communities, the Department, OMB, Congress, and other entities APO shall coordinate execution of the review process The Administrator's senior management team and the Administrator shall approve the Strategic Plan c. Support Planning and Plan Integration. FAA line and staff organizations shall set goals, objectives, programs, projects, milestones, and performance measures to provide products and services Page 2 Par 9 5/18/99 1800 13D that achieve targeted outcomes in support of Strategic Plan goals and objectives These will be presented in a vanety of organizational and program plans called support plans because they support each other and the FAA Strategic Plan The Strategic Plan in turn shall support departmental planning (1) FAA Performance Plan. APF shall coordinate preparation of an annual FAA Performance Plan that meets requirements of GPRA (2) Plan Relationships and Integration. Each support plan shall describe relationships with other major plans Offices will provide APO an opportunity to review drafts of major support plans prior to publication and offer suggestions, as appropriate on the draft plan's relationship to FAA's mission the Strategic Plan and its goals, and other FAA plans FAA organizations will keep APO apprised of their major planning activities (3) Use of Plans. APO shall solicit recommendations from FAA organizations on milestones to be incorporated into the Administrator's annual Performance Agreement with the Secretary of Transportation Plan developers shall send at least two copies of each completed plan to APO for inclusion in a Planning Library, which shall be available to all FAA planners APO shall also maintain and penodically distribute a current directory of FAA plans (4) Planning Coordination. Staff planners from each line of business shall meet intermittently The purpose will be to increase communication across organizations to share information about planning matters and plan content APO will schedule meetings of agency planners for this purpose d. Resource Planning and Allocation. Each FAA organization shall develop annual budgets that include resources needed to implement support plan requirements Completed program, acquisition, and budgetary requirements shall be submitted to the Office of Financial Services (ABA) as required by that office Budgets should provide information on resources needed to achieve FAA goals e. Plan Implementation. Once budgets are ape-roved c-lans must be adjusted in view of available resources Plans are then implemented through FAA's operational processes, supported by its personnel and acquisition systems f. Evaluation and Reporting. Assessing performance and review of internal and external factors will tell FAA whether it is achieving its goals or is off-course why, and corrections needed (1) Performance Reviews. Periodic performance reviews shall be conducted as specified by the Administrator on progress achieving FAA strategic goals and objectives APO shall staff and coordinate the reviews as necessary (2) Evaluation. APO shall ensure that the FAA Strategic Plan shall include as required by GPRA, a descnption of the program evaluations used in establishing or revising general goals and objectives, with a schedule for future program evaluations Guidance for evaluations, which are essential to FAA plans and programs, are contained in FAA Order 1800 2G, Evaluations, Appraisals, and Staff Studies (3) Communicate with Aerospace Community. FAA shall communicate with the aerospace community at least annually on progress toward Strategic Plan goals and future plans APO shall prepare and distribute an annual progress report and arrange a conference with the aerospace community, public representatives, and FAA senior management to discuss FAA's performance and plans Par 10 Page 3 1800.13D 5/18/99 (4) Report to the Department. APO, on behalf of FAA and in coordination with appropriate FAA organizations, shall report to the Department on progress implementing the FAA Strategic Plan, the Administrator's annual Performance Agreement with the Secretary of Transportation, and other Department strategic planning initiatives.
Jane F. G a r v e ^ ^ * ^ . — -f Administrator \ ^ > / Par 10 Page 4 5/18/99 1800 13D Appendix 1 APPENDIX 1 DEFINITIONS Administrator's An agreement developed annually between the Administrator and the Performance Agreement Secretary of Transportation specifying what FAA will do to help achieve the goals of the Department's strategic planning The Annex section specifies milestones or initiatives FAA proposes to achieve in the current fiscal year, and should include performance targets APO coordinates preparation of the Performance Agreement each year Administrator's Senior A group of FAA senior managers, generally Assistant and Associate Management Team Administrators, chosen formally or informally by the Administrator, to provide top level advice and/or decisions This group has vanously been known as the Administrator's Management Team the Management Board, and the Executive Board Support Plans All FAA planning that supports the FAA mission and the Strategic Plan, in reality, should include all FAA planning These include performance plans, program plans plans of organizations, and long-range plans Plans developed annually in support of GPRA performance planning Performance Plan(s) requirements This includes the agency Performance Plan prepared by the Office of Performance Management (APF) and submitted as part of the budget, and the Business Performance Plans prepared by the lines of business under APF guidance Performance plans emphasize outcome-based performance goals and measures and FAA near-term actions (1 to 3 years) to achieve targeted improvements Performance Plan goals and measures should support Strategic Plan goals and agreed-to indicators or measures of FAA success in achieving those goals Strategic Performance These are opportunities for the Administrator, the Deputy Administrator, Evaluation Reviews and senior FAA managers to discuss and review FAA's recent performance in achieving its goals and objectives Purposes include accountability exchange of information, and an opportunity to raise or discuss key issues or problems that have arisen Page 1(and2)