NEA MSP GUIDANCE 2011

UNCLAS SECTION 01 OF 13 STATE 128957

SIPDIS

E.O. 12958: N/A
TAGS: ABUD AFIN AMGT KICA KSEP KSPR OTRA PREL XF
SUBJECT: NEA MSP GUIDANCE 2011

Sensitive but Unclassified. Please handle accordingly.
Summary:

1. The following cable provides consolidated guidance from
Washington to missions for the preparation of FY 2011 Mission
Strategic Plans (MSP). This cable is divided into the
following sections: Regional Bureau Guidance; Bureau of
Resource Management (RM),Office of Strategic and Performance
Planning Overview and Guidance; Functional Bureau Guidance;
and Management Bureau Guidance. End Summary
REGIONAL BUREAU GUIDANCE
Bureau of Near Eastern Affairs Policy Overview and Guidance

2. Posts should take into account overall USG goals and
objectives, particularly with regard to (1)
Israeli-Palestinian peace, (2) Iran, (3) Iraq, and (4)
countering violent extremism.
We ask that posts addressing issues of regional,
sub-regional, or cross-border significance coordinate
strategies, tactics, and indicators with other concerned
posts to ensure that MSP submissions are consistent across
the Bureau.
The NEA team includes: NEA Coordinators: NEA/RA Hanne
Ulrichsen / Lisa Langevin, NEA/EX/HR Lucia Verrier, and
NEA/EX/Budget Anne Wennerstrom.
MSP OVERVIEW AND GUIDANCE

3. It is important that all elements and agencies in the
mission participate in the preparation of the MSP. The MSP
is the first step in the annual planning and performance
evaluation process that contributes to the Department,s
results oriented performance efforts. It will inform the FY
2011 State Operations and Foreign Operations budget requests,
including mission-specific increases/decreases in U.S. Direct
Hire positions.

4. The web-based MSP application allows direct input and
submission of all narrative and resource information.
Mission personnel will obtain access to the MSP application
from their mission's designated MSP Coordinator. The MSP
Coordinator will ensure that all sections of the plan are
properly completed before the MSP is formally submitted to
Washington. Software user instructions will be available on
the MSP website which is found at
http://spp.rm.state.gov/spp800X600template.cf m?id=8. The
MSPs will be due to Washington in early February 2009. Fixed
text limits have been established for each of the narrative
and resource request justification sections. A 24/7 help
desk service will be provided during the peak MSP drafting
and submission period.

5. There are several modifications to the MSP for FY 2011:
Strategic Goal Allocation ) The allocation of U.S.
Direct-Hire Time by strategic goal has been eliminated.
U.S. Direct-Hire Human Resource Requests ) Missions
will enter position support costs for individual requests in
the Human Resources request screen.
Performance Results ) Missions will enter performance
results relative to the FY 2008 performance targets.
Previous Year Chief of Mission Statement and Foreign
Assistance Priorities Narrative Pre-populated ) Missions
have the ability to pre-populate the FY 2011 MSP application
with the previous year's Chief of Mission Statement and
Foreign Assistance Priorities Narrative.
Foreign Assistance Requests ) Funding requests will be
collected only at the area level except for the Investing in
People objective. For this objective only, Missions will
enter Foreign Assistance request levels at the element level.
Summary of Foreign Assistance Request ) A revised
Foreign Assistance Summary table will replace the one-page
summary of the Foreign Assistance Resource Request.
Upon completion of the MSP (including review) process,
Posts are requested to provide by front channel cable slugged
for NEA/RA and NEA/EX the total number of employee hours
spent to comply with this year,s requirements and, where
available, a comparison with the amount of time involved in
the previous year,s MSP.
Global Partnership Clearinghouse: The Global
Partnership Center (GPC) leads efforts to promote the use of
public-private partnerships (PPPs) to advance U.S.
international affairs objectives. The GPC is a resource for
Mission and Bureau to engage the private sector,
foundations, civil society and others through partnerships.
The Global Partnership Clearinghouse is the database of PPPs
engaged under Chief of Mission authority. The Clearinghouse
was launched for the first time in the FY 2010 MSP and BSP
cycles and captured information on more than 640 PPPs. Again
this year, the GPC will gather information on existing and
planned multi-sector partnerships in which post is engaged
under Chief of Mission authority. The Clearinghouse gathers
PPP information through an online application accessed via
the same webpage as the MSP application. Additional
information regarding the Global Partnership Center will be
posted at http://gpc.state.gov/. Please direct any questions

STATE 00128957 002 OF 013


regarding the Clearinghouse to GPC@State.gov. Clearinghouse
data is available to assist Missions and may also be
requested by email to GPC@State.gov.
Democracy Strategy Requirement: In accordance with
Title XXI of P.L. 110-53, the Advancing Democratic Values Act
(ADVA) of 2007 and with National Security Policy Directive-58
signed by the President in July 2008, all posts in
non-democratic and democratic transition countries are
required to incorporate their democracy strategy into their
MSP. The required democracy strategies are to be
forward-looking three to five years and should be
incorporated into four parts of the MSP: the COM statement,
the GJD Goal Paper, the Foreign Assistance priorities
narrative section, and the Foreign Assistance and State Ops
budget request section.


6. This replaces last year,s requirement for a stand alone
ADVA democracy strategy paper. It is designed to minimize the
burden on posts and the Department while integrating the
democracy strategy into the Mission Strategic Plan itself.
(Note: The Advancing Freedom and Democracy Report ) AFDR )
will remain as an annual reporting requirement.) Additional
information regarding the Democracy Strategy requirement will
be posted at http://drl.state.gov/Please direct any questions
regarding the requirement to pf-DRL-Reports@State.gov (listed
in the GAL as DRL-Reports).
MSP SECTIONS AND RESOURCE REQUEST GUIDANCE

7. The MSP contains the following sections: Chief of Mission
Statement; Foreign Assistance Priorities; Goal Papers; U.S.
Direct Hire Requests; State Operations Resource Requests; and
Foreign Assistance Resource Requests.

8. Chief of Mission (COM) Statement: The COM Statement
should focus on the mission's most important foreign policy
priorities for the planning period, FY 2009-2011, and should
serve as the MSP's Executive Summary. The COM Statement
should reference the highest priority resource requests for
FY 2011 (Foreign Assistance, State Operations, and U.S.
Direct Hires) and justify why and how these requests are
critical to achieving mission and bureau goals. Past
accomplishments should be included only if they set the
strategic context for future mission goals and resource
needs. The COM Statement can include information such as
historical factors if relevant to current foreign policy
goals, and should provide a summary of USG presence and any
projected staffing changes for all agencies under Chief of
Mission authority. The COM Statement is limited to four
pages.
For ADVA Non-Democratic and Democratic Transition Countries:

9. To comply with the Advancing Democratic Values Act (ADVA)
and NSPD-58 (see paragraph 5),Department requests that the
COM Statement for all non-democratic and democratic
transition country posts incorporate a description of post,s
strategy that is broadly consistent with the strategic
approaches appropriate for &threatened and fragile
democracies8, &authoritarian regimes8 or &closed
totalitarian8 regimes as outlined in the NSPD-58 (which
desks will have available to send to posts by e-mail) .

10. The COM statement should: (1) describe the democracy
results COM thinks are desirable and realistically possible
if the strategy COM proposes is implemented as planned in
the three to five year time frame; (2) identify the major
democracy issues or problems that need to be addressed in the
country; (3) describe the opportunities for progress and the
consequences of failing to address these issues; and (4)
describe the diplomatic and assistance tools needed to
overcome the major democracy issues and how these mutually
reinforce each other.

11. Foreign Assistance Priorities: This narrative section
should be completed by missions requesting FY 2011 Foreign
Assistance funding. It should complement the COM Statement
by providing more specific details on the mission's Foreign
Assistance priorities within the context of the overall
mission goals outlined in the COM Statement, and justifying
why and how the requests in the Foreign Assistance Resource
Request Table are critical to achieving the mission's goals.
Department requests that the foreign assistance narrative be
consistent with the COM statement, the ADVA strategy, and the
GJD Goal paper. It should reflect how diverse components of
assistance complement each other in support of a coherent
strategy. Providing specific examples of how program
performance has influenced the request is encouraged.
Discussion of priorities should be organized by the Foreign
Assistance Framework's five strategic objectives (Peace and
Security, Governing Justly and Democratically, Investing in
People, Economic Growth, and Humanitarian Assistance). There
is no specific format required beyond the general
organization noted above, though it is limited to three pages.

12. Goal Papers: Missions may write up to a total of seven
goal papers and will be able to utilize goal papers carried
over from the FY 2010 MSP or create entirely new ones. The
key components of the Goal Papers are as follows:

13. Posts in non-democratic and democratic transition
countries are requested to submit a GJD goal paper. The GJD

STATE 00128957 003 OF 013


Goal paper should be a succinct summary statement of the GJD
goals and the broad strategy to reach those goals.
-- Goal Title: Missions should craft their own customized,
mission-oriented goal statements. The Goal Title can be
broad or specific, but should focus on the mission's most
important USG foreign policy priorities. The Goal Title is
limited to one line of text and will populate the Table of
Contents.
-- Goal Description: After defining a goal, missions should
enter a more detailed goal description, outlining why
achieving the goal is important and how the mission will
accomplish this goal (i.e., what strategies will various
mission elements pursue to achieve the desired results).
Missions may wish to discuss other related activities such
as: how they work with foreign partners, regional or
international organizations, and NGOs; the long-term nature
of the goal; external factors that could influence achieving
the goal; etc.
-- Department Goal Linkage: Missions will link each
customized goal to up to three State/USAID Strategic Goals
through a drop-down menu. Missions may link their goal to
any of the State/USAID Strategic Goals as outlined in the FY
2007-2012 Department of State and USAID Strategic Plan.
-- USG Agencies: From a drop-down field, missions will select
key USG agencies that have a role in helping to accomplish
the customized mission goal.
-- Performance Indicator(s): For each customized goal,
missions are required to include only one performance
indicator, with an option for a second. Indicators should
focus on the accomplishment of the mission's high-level
foreign policy goals, and not solely on assistance. Missions
are encouraged (although not required) to include
quantifiable and outcome-oriented indicators whenever
possible. Missions may include a mix of indicators that are
within the mission's control and those more contextual in
nature, such as the Freedom House Index. However, indicators
are most useful when they can be linked to either existing or
proposed resource requests. Missions are encouraged to
continue to use priority indicators from last year's MSP.
Performance indicator captions are limited to three lines of
text and should be phrased as neutral measures, not as
outcomes, e.g. number of international treaties and domestic
initiatives implemented in support of USG global climate
change policy objectives. Additional Foreign Operations
performance data will also be collected separately. Details
to follow.
-- Performance Targets and Results: Missions will set
performance targets for FY 2009, FY 2010, and FY 2011 for
each performance indicator. If a mission utilizes previous
MSP indicators, they should include the previous FY 2008
target and a FY 2008 result. Performance targets and results
are limited to eight lines of text each. In an effort to
clarify mission performance RM/SPP has created a dropdown
menu in the MSP application where missions will enter a
performance rating relative to the FY 2008 performance
indicator target. The FY 2008 result is considered &on
target8 only when the target was reached exactly as stated
or &above target8 if exceeded. Results which are lower than
the target, but improved over prior year,s performance
should be labeled as &improved over prior, but not met.8
Results that do not meet target and do not improve over prior
year, should be labeled as &below target.8 Finally, data
that is not available at the time of publication of the
report, e.g., collected later in the year or every other year
or a new measure is created, should be labeled &data not yet
available.8

14. RESOURCE TABLES. Included within the resource tables
are the following: U.S. Direct Hire Requests, State
Operations Resource Requests, and Foreign Assistance Resource
Requests. Funding increase requests should be focused on
highest priority, critical areas and be supported by
sufficient justification that can be reviewed for potential
support by senior Department management.

15. U.S. Direct Hire Requests: Missions will include
position information and succinct justifications for each FY
2011 State-funded position request. Justifications will be
limited to ten lines. U.S. personnel requested from other
U.S. agencies are also included in this table; however one
justification is entered at the agency-level rather than for
each requested position. The most important staffing needs
should also be highlighted in the COM statement and linked to
critical mission priorities or operational requirements.

16. Missions will enter position support costs for
individual requests in the Human Resources request screen.
Please use the following guidelines to determine the position
support costs for new USDH human resource requests:
Position Support Costs (not including OBO and DS Position
Support Costs)
Recurring Cost * non-salary and benefits position
support costs (not including OBO and DS Position Support
Costs) that are incurred repeatedly; for example, educational
allowances and field travel.
Non-Recurring Cost * non-salary and benefits position

STATE 00128957 004 OF 013


support costs (not including OBO and DS Position Support
Costs) that are unlikely to occur again in the normal course
of business; for example, new office furniture, fixtures and
equipment and make ready/move-in expenses.
OBO Position Support Costs
Recurring OBO Costs *non-salary position support costs
that are incurred repeatedly; for example, residential leases.
Non-Recurring OBO Costs * non-salary position support
costs that are unlikely to occur again in the normal course
of business; for example, generators for a new residence.
DS Position Support Costs
Recurring DS Costs* non-salary position support costs
that are incurred repeatedly; for example, allowances,
residential guards, mobile patrols, ICASS costs, utilities,
etc.
Non-Recurring DS Costs * non-salary position support
costs that are unlikely to occur again in the normal course
of business; for example residential security upgrades for a
new residence, furniture, furnishings, and equipment
purchases. (Note that funding for a replacement life cycle
would need to be established for certain large equipment
purchases such as generators, and vehicles.)

17. Missions will also be asked to determine a &responsible
bureau8 for each new USDH position request. The
&responsible bureau8 is the bureau responsible for deciding
if that position should be created and requested in the CBJ.
Funding is considered separately in different fields. Of
course, per NSDD38, final decision for actual overseas
establishment of the position rests with the Chief of
Mission.

18. This section will display previous year MSP State
position requests and the regional bureau,s decisions during
the Bureau Strategic Planning process to approve or deny the
request. If previous requests were not included in the FY
2009 or FY 2010 budget submissions, posts may resubmit them
as FY 2011 requests. As in previous years, FY 2011 position
requests will be reviewed by regional bureau EX offices prior
to transmittal to HR and RM/BP. A summary FY 2011 U.S.
Direct Hire Requests table will be included in the submitted
MSP.

19. Human Resources Summary: The human resources summary
table is organized by section (e.g. POL, ECON, MGMT). Other
USG positions are not required though they will appear in the
summary printed table. The total number of FY 2009 FTEs by
section will be pre-populated into the MSP from HR's PASS
Post Personnel (PS) system. An RM/SPP ALDAC instructed
missions to update their PS data in advance of the date it
was imported to the MSPs to maximize the accuracy of the HR
data. Use of Post Personnel source data will ensure
consistent position counts, eliminate the need for posts to
maintain separate data. Any inconsistencies in HR numbers
should be corrected directly in the PS system. Direct
inquiries to PassHelpDeskMail@state.gov or 202 647-7760.

20. State Operations Resource Requests: This section
includes separate account tables for FY 2011 Program, ICASS,
and PD, and Fee-Funded (position support costs only)
increases/decreases. Missions will request FY 2011 account
increases/decreases by funding category. Missions will
include one total funding request and combined justification
for each category by account.

21. At the end of each account table, missions can discuss
FY 2011 resource priorities in a short narrative section.
The priority statement will inform regional bureau
decision-making process. A summary FY 2011 State Operations
Resource Requests table will be included in the printed MSP.

22. Use the following guidelines to determine how to enter
these changes to state operations funding. (Missions will
enter position support costs for individual requests in the
Human Resources request screen.):
LES (Salary and Benefits) )Recurring Cost* specific
salary, benefits and new support costs of new locally engaged
staff request(s) and FY 2011 LES wage increase(s). Narrative
justification should provide a specific basis for the
request; indicate the need that will be addressed with the
funding; and specify position(s) by grade and a breakdown of
the total cost for each position.
Furniture and Equipment ) Non-Recurring Cost*funding
for the purchase of new furniture and office equipment for
existing employees. Furniture and equipment costs for new
positions are defined in the Position Support Costs funding
categories. Narrative justification should provide a basis
for the request; indicate the need that will be addressed
with the funding; and a breakdown of the total cost for each
major item(s).
Other-Recurring Cost * all recurring State Operations
increases that are not covered in other State Operations
funding categories. Narrative justification should provide a
basis for the request; indicate the need that will be
addressed with the funding; and a breakdown of the total cost
for each major item(s).
Other-Non-recurring Cost * all non-recurring State
Operations increases that are not covered in other State
Operations funding categories. Narrative justification should

STATE 00128957 005 OF 013


provide a basis for the request; indicate the need that will
be addressed with the funding; and a breakdown of the total
cost for each item(s).
Vehicles ) Non Recurring Cost (ICASS only)*funding
for the purchase of any new vehicles for existing employees.
Narrative justification should indicate the need that will be
addressed with the new vehicle(s).

23. Within the MSP software application, missions can view
the FY 2010 MSP requests and bureau decisions. Missions
should consult with their bureaus on whether these positions
have been incorporated into subsequent FY 2009-2010 budget
requests, and may choose to re-request a category item
requested but not granted previously should re-enter this
information as a new FY 2011 request.

24. Classification and Distribution: MSPs are considered
internal deliberative documents, classified as Sensitive But
Unclassified, and will not be distributed beyond agencies
represented at the mission. Missions are encouraged to
share their MSPs, particularly the Chief of Mission
statement, with appropriate contacts, including POLADS,
within geographic combatant commands. As part of the ongoing
discussions in a sub-PCC working group on planning there is
consensus on the importance of civilian and military planners
informing each other of country and regional level
priorities.
OFFICE OF THE DIRECTOR OF U.S. FOREIGN ASSISTANCE GUIDANCE:

25. This section provides information needed for field-based
operating units with foreign assistance (FA) funding to
prepare their FY 2011 foreign assistance resource requests.
It contains important changes to the FA resource request
process, particularly regarding budget preparation and
submissions for regional platforms. The key changes to the
guidance include:

(a) The &Freeze8 level will be the straightline of the FY
2010 S-Approved level (formerly the &Constrained8 level).
(b) The &Mission Request8 level will be the mission
expanded request (formerly the &Preferred8 level).
(c) Control levels (pre-set funding levels) will be
incorporated into the &Freeze8 table by Operating Unit by
Account, and funding for certain centrally-allocated
activities and accounts will be locked into both the
&Freeze8 and &Mission Request8 tables.
(d) Cross-cutting Activities Table is no longer required.
(e) Cross-Cutting Program Support (Objective 6) will not be
broken out as part of either the &Freeze8 or &Mission
Request8 levels at this time.
(f) Performance Indicators will be required to justify
requests for significant increases over the &Freeze8 level.
See paragraph 27 for more details.
(g) The USAID-Managed Resources Table is no longer required.


26. All key documents, including budget levels, templates,
points of contact and additional information resources
necessary for completing FA requests are available through
the FA link on the MSP help page.


27. Resource Tables: Operating Units will develop two FA
resource request tables for their FY 2011 submissions. The
first table, the &Freeze8 table, cannot exceed the FY 2010
S-Approved level for that mission. The second table, the
&Mission Request8 is not limited to the &Freeze8 level.
Account controls will be incorporated into the &Freeze8
table but there are no account controls in the &Mission
Request8 table, except as noted below. Control numbers for
certain centrally-allocated activities and accounts will be
locked into both the &Freeze8 and &Mission Request8
tables. Operating Units are encouraged to submit reasonable
requests that expand successful programs or fund new programs
where significant funding constraints have existed.
Information on earmarks, centrally-allocated activities and
accounts, and Presidential Initiatives are available through
the FA link on the MSP help page.


28. While FA requests included in MSPs serve as the
foundation for the FY 2011 foreign assistance request
process, there is no guarantee that Operating Units will
receive funding at either the Freeze or Mission Request
levels, or that the approved budget distributions will match
MSP submissions.


29. Although the MSP application allows Operating Units to
request TI funding, as a rule Operating Units should not
request funding from this account. For guidance on other
restricted accounts and activities, see the Freeze Request
and Mission Request paragraphs below.


30. Freeze Request Table: The Freeze request total must
maintain funding at the 2010 S-Approved Level by Operating
Unit. In the Freeze request, Operating Units should
distribute the total Freeze request level across accounts,
and then allocate those account amounts down to the area
level (element for IIP). Note that, except as specified

STATE 00128957 006 OF 013


below, there are no control levels on specific accounts.
Operating Units may generally make adjustments within and
between Program Area, (Program Element for the Investing in
People Objective),and account levels, provided that the
total amount requested for the mission does not exceed its
total control level. Funding levels for the following
centrally-allocated activities and accounts will be
pre-loaded and locked into the Freeze Table:

Non-Emergency Food Aid (P.L. 480)
HIV/AIDS (all accounts)
Malaria


31. Mission Request Table: The Mission Request table can be
used to request funding for FY 2011 above the total Freeze
level, either to expand successful programs or fund new
programs where significant funding constraints exist. In
reviewing these requests, F reviewers in Washington will be
particularly interested in determining how past performance
informs requests for changes in resource levels. Significant
increases must be justified using performance indicators (see
paragraph 27). Funding for the following centrally-allocated
activities and accounts will be pre-loaded and locked into
the Mission Request Table:

Non-Emergency Food Aid (P.L. 480)
HIV/AIDS (all accounts)
Malaria


32. Operating Units are also encouraged at a minimum to
adhere to the Freeze levels for the following activities that
were funded in FY 2010 due to the likelihood that these items
will be earmarked or centrally-allocated.

Export Control and Border Security Assistance (NADR
account)
Anti-Terrorism Assistance (NADR account)
Terrorist Interdiction Program (NADR account)
Counterterrorism Financing (NADR account)
Family Planning and Reproductive Health
Polio (the Maternal and Child Health element must at a
minimum cover Polio)
Tuberculosis


33. While Missions are expected to adhere to the pre-loaded
and locked Freeze and Request levels, they can comment on the
levels being too high or two low and the probable
result/impact of these levels.

34. Foreign Assistance Priorities Narratives: Ongoing
Foreign Assistance reforms aim to strengthen accountability
for the performance and strategic impact of the Foreign
Assistance budget. While we can expect many activities to
produce important short-term results, it is also critical to
demonstrate that Foreign Assistance contributes to strategic
long-term progress ) so that recipients are increasingly
able to assume responsibility for meeting their own needs,
are able to act responsibly in the international system, and
are decreasingly dependent on U.S. and other external
assistance over time. It is recognized that this strategic
progress requires sustained effort by both donors and
recipients, and is not easily measured within a one-year
budget planning cycle.


35. As one step toward improving accountability for program
performance, each Mission is required to provide a narrative
explaining the strategic basis for its FY 2011 Foreign
Assistance priorities. An example of an FA priorities
narrative will be available on the FA link on the MSP help
page. Narratives should include the following:

a) Summarize the Mission,s core strategic goals for its
Foreign Assistance programs (recognizing that the scope of
Foreign Assistance goals may be narrower than the scope of
overall Mission foreign policy goals);
b) Describe, justify, and prioritize the specific proposals
for additional resources shown in the Mission Request table
(i.e., program area and IIP element level proposals that
exceed the levels shown in the Freeze table),linking those
proposals to the core strategic goals summarized in the
previous section;
c) Describe any cross-cutting strategic integration among
different Foreign Assistance programs, and how those programs
may be mutually-reinforcing in the context of the Mission,s
overall strategic goals;
d) Describe how proposed Foreign Assistance programs and
other U.S. foreign policy tools (e.g., diplomatic
interventions or military operations) may be
mutually-reinforcing;
e) Cite previous program performance (which may be drawn from
the Budget and Performance Analysis (BPA) sections described
below) or other relevant data that demonstrate why proposed
additional resources can be expected to achieve the desired
strategic results;

STATE 00128957 007 OF 013


f) Identify risk factors that may significantly affect
expected program performance;
g) Indicate if there are significant impacts on Operating
Expenses requests;
h) Where applicable, explain the extent to which earmarked or
centrally-allocated funds (particularly in the health
Elements) limit the ability to sufficiently budget for other
ongoing and important programs in the Freeze request and
Mission Request.


36. Four other general principles apply when writing FA
Priorities Narratives:

a) Priorities must be specifically linked to relevant program
areas or IIP program elements within the five objectives of
the Standard Program Structure for Foreign Assistance (Peace
and Security, Governing Justly and Democratically, Investing
in People, Economic Growth, and Humanitarian Assistance).
b) Narratives should incorporate relevant information about
assistance being provided by USG agencies other than State
and USAID (including the MCC),and information about any
assistance being provided by other multilateral or bilateral
donors that is expected to significantly affect program
performance.
c) Operating Units that receive funding from regional or
other programs should describe in their foreign assistance
narrative how those funds will be used and what performance
results will be achieved with them.
d) Where appropriate, MSP narratives should address how
Foreign Assistance funds are being used to support partner
country priorities as reflected in Poverty Reduction Strategy
Papers (PRSPs) or other country development plans, foster
local ownership of the program/process, and build capacity of
country systems.

37. Note: Where Missions have an approved Country Assistance
Strategy (CAS),the MSP should discuss how the CAS supports
the MSP. Missions with USAID programs but without an
approved CAS should briefly discuss how the USAID strategy
supports and is consistent with the MSP. If the USAID
program is not covered by an active and approved USAID
strategy, it should be stated. This will aid in scheduling
succeeding CAS countries and identifying USAID programs that
may need an interim USAID strategy pending a CAS per a recent
USAID Notice.

38. Budget and Performance Analysis: As a continuation of
the FY 2010 Congressional Budget Justification requirement
from OMB for foreign assistance funds, Operating Units are
also required to conduct a Budget and Performance Analysis
for any increase from the Freeze to the Mission Request level
that exceeds 10% and $1 million at the program area or IIP
element level. A BPA is only required for increases that
meet this threshold. A BPA consists of i) a brief
explanation (one paragraph) of the impact the proposed
increase would be expected to have on the Mission,s highest
level strategic goals; and ii) selection of a performance
indicator that will best measure program performance against
those strategic objectives. Each BPA should be linked to the
Mission,s FA Priorities Narrative (described above). For
Operating Units with multiple increases exceeding these
parameters, the number of BPAs required is capped at a
maximum of five. Operating Units with more than five
increases above 10% and $1 million should conduct BPAs on the
five largest increases.


39. A template for representative indicators and narratives
can be found on the MSP home page. This template includes
detailed guidance with examples on how to conduct a BPA. The
table requires actual performance data from FY 2008 and
targets for FY 2009-11.


40. Where appropriate, Operating Units are encouraged to use
an FA performance indicator for both a Goal Paper and for a
BPA, though it is not required. However, if an Operating
Unit chooses to use an FA performance indicator for both a
Goal Paper and a BPA, the Operating Unit will need to fill
out the information in both the MSP system and the FA
template if they are using the same indicator in both
locations.

FUNCTIONAL BUREAU GUIDANCE:
Bureau of Democracy, Human Rights and Labor (DRL):

41. The Congressionally-mandated democracy strategies
requirement is being integrated into the MSP to minimize the
burden on posts and the Department, as well as to consolidate
our strategic planning. Each COM in non-democratic or
transitioning countries is required to develop democracy
strategies to promote &democratic principles, practices and
values and to support, as appropriate, nongovernmental
organizations, individuals, and movements committed to
democratic principles, practices and values8 under P.L.
110-53, the Advancing Democratic Values Act (ADVA). (for
definitions, see Sec. 2104 of ADVA, Title XXI of H.R. 1,
posted on the DRL intranet website). Details about the how

STATE 00128957 008 OF 013


the democracy strategies should be incorporated into the MSP
can be found in the &MSP overview and guidance8 section.
Posts should request sufficient Foreign Assistance funds to
ensure they have the ability to implement robust Governing
Justly and Democratically (GJ&D) programs and activities.
DRL requests that GJ&D goal papers focus on the four core
elements of the F Foreign Assistance Framework for this
objective: Rule of Law and Human Rights, Good Governance,
Political Competition and Consensus-Building, and Civil
Society (for definitions, see
http://www.state.gov/f/c24132.htm).
Posts in democratic countries should focus their GJ&D
objectives on ways to encourage host country support for
human rights, labor and democracy initiatives elsewhere in
the world.
Bureau of Economic, Energy, and Business Affairs (EEB):

42. EEB,s FY 2010 Bureau Strategic Plan lays out EEB,s
goals and policy tool indicators for advancing economic
prosperity and security, combating terrorism and contributing
to homeland security. Posts are also encouraged to use the
Economic Engagement Matrix
(http://web.rm.state.gov/eed/eed.htm) to help identify
country or region-specific policy gaps.
Posts should highlight important work on setting priorities
and standards that reflect USG goals at international
organizations on a range of issues, such as market-opening
agreements, energy security, information and communications
technology penetration rates, food security, international
transportation concerns, anti-corruption efforts,
intellectual property rights issues, and effective
poverty-reduction programs. Missions may wish to include
indicators that pertain to efforts to increase U.S. trade and
investment, and opportunities for U.S. business, including
through Public Private Partnerships. In MCC eligible and
threshold countries, MSPs should incorporate indicators
measuring progress in the MCC,s 17 performance indicators.
Additional indicators could include benchmarks measuring
implementation of structural economic reforms, including
those needed to obtain the assistance of the IMF or World
Bank for countries in crisis. Questions related to EBB
guidance can be directed to Lillian Wasvary
(WasvaryLG@state.gov). Additional information can be found
on our website, www.state.gov/e/eeb.
Office of International Women,s Issues (G/IWI):

43. MSPs should consider the integration of women's rights
issues into all aspects of U.S. foreign policy. In 2008,
G/IWI worked to raise awareness within the foreign policy
community of global issues affecting women, including
political and economic empowerment, forced/child marriage,
women's property rights, violence against women, and the role
of women in peace-building and post-conflict reconstruction.
We encourage missions to develop programs and strategies that
strengthen women's political, economic and social equality.
Our office is available to all posts as a resource and
advocate on international women's issues can be reached at
(202) 312-9664. Our website is: www.state.gov/g/wi.
Office to Monitor and Combat Trafficking in Persons (G/TIP):

44. Please note that Trafficking in Persons issues are
covered in the Department,s Strategic Goals under Achieving
Peace and Security. Goal papers with performance indicators
related to Trafficking in Persons issues should be linked to
this strategic goal. Inclusion of the anti-trafficking
indicators reflects the Department,s commitment to promote
and support efforts to eradicate modern-day slavery as part
of its foreign policy priorities. Goal papers should reflect
diplomatic and programmatic efforts to assist governments in
improving their anti-trafficking efforts, particularly in the
law enforcement and judicial efforts to arrest, prosecute,
convict and sentence traffickers, as well as enhancing the
capacity of service providers to assist victims, and
identifying ways to prevent victimization. Posts should
review the country narratives in the Department,s annual
Trafficking in Persons Report for specific areas requiring
attention. Posts should also support anti-trafficking
awareness training for embassy and mission personnel that
includes guidance on handling information concerning
potential trafficking situations as well as information on
the USG,s zero-tolerance policy for contributing to or
facilitating human trafficking. Please contact Paula Goode
at goodepr@state.gov with any questions. Information on
trafficking in persons is available at www.state.gov/g/tip/ .
Bureau of International Narcotics and Law Enforcement Affairs
(INL):

45. INCLE funded programs contribute towards the objectives
of Peace and Security, and Governing Justly and
Democratically. Most INCLE Peace and Security programs fall
within the following F program areas: Stabilization
Operations and Security Sector Reform, Counter-Narcotics, and
Transnational Crime. Most Governing Justly and
Democratically programs fall within the Rule of Law and Human
Rights program area.

46. INL requests that posts use the Foreign Assistance
Priorities section of the MSP to discuss on-going INCLE

STATE 00128957 009 OF 013


programs. If the MSP includes an increased funding request
for a new or significantly expanded program, please include
this request in the Foreign Assistance Priorities section and
in the Foreign Assistance resource tables, as appropriate.
Include requested staff increases for full time Narcotics
Affairs Officers or Law Enforcement Affairs Coordinators in
the Foreign Assistance Priorities section and in the Foreign
Assistance resource tables; these staff positions are not
funded through State Operations and must be accounted for
through the Foreign Assistance resource requests. If the
requested increase in funding is substantial, please elevate
its discussion to a Goal Paper. Any performance indicators
included in the MSP should coincide with those used in the
Operational Plan and in Bilateral Letters of Agreement.
Please send questions to Keira Goldstein
(goldsteinka@state.gov) or Larry Bird (birdlf@state.gov).
Bureau of International Security and Nonproliferation (ISN):

47. We rely on posts, assistance to promote our objectives
and programs, in particular: the Global Initiative to Combat
Nuclear Terrorism; the Proliferation Security Initiative;
implementation of Iran and North Korean UN Security Council
Resolutions; implementation of UNSCR 1540; proliferation
finance; strengthening the NPT and IAEA safeguards and other
arms control and nonproliferation agreements; and controlling
conventional weapons transfers, including MANPADS. We ask
that post report activities and goals, as appropriate in
MSPs. Please see http://state.gov/t/isn for details of the
Bureau,s activities. Questions can be directed to Jamie
Young (youngja2@state.gov). ISN manages two NADR foreign
assistance programs of relevance to the region:
-- Export Control and Related Border Security (EXBS) provides
targeted assistance to strengthen countries, strategic trade
and border control infrastructure and capabilities aimed at
prevent WMD (and MANPADS) proliferation and trafficking. The
program is centrally planned and implemented by ISN, but we
work closely with embassies to tailor programs for host
countries and we encourage embassies to address the program
in MSPs. We seek a major increase in EXBS funding for the
region in FY10 that we will want to sustain in FY11. This
program falls under 1.2.1 (Peace and Security,
Nonproliferation) in the FA matrix. For details on the EXBS
program, see our website at www.exportcontrol.org or contact
Lisa Jacobson at JacobsonLE@state.gov.
-- Global Threat Reduction (GTR) programs provide assistance
to prevent the proliferation of WMD expertise and materials
and have the added benefit of contributing to general science
and technology development, economic growth, and
counterterrorism. GTR manages programs to engage and
redirect former WMD experts in Iraq and Libya. Other GTR
programs include the Biosecurity Engagement Program, Chemical
Security Engagement Program, and Nuclear Security Assistance
Program. For more information on GTR programs, see our
websites at www.bepstate.net; www.biistate.net; www.stcu.int;
www.istc.ru; www.nsoi-state.net; or contact Matthias Mitman,
Director (MitmanMJ@state.gov).
Bureau of Oceans, and International Environment and
Scientific Affairs (OES):

48. OES encourages all Environment Science Technology and
Health (ESTH) officers and Environmental Hub officers in the
field to participate actively in the MSP development process.
While much of ESTH work is centered in Investing in People
(health, including water) and Economic Growth (Environment
Program Area, and Infrastructure/Modern Energy Services),it
can also reinforce our efforts at Peace and Security,
Governing Justly, and Humanitarian Assistance by promoting
sustainable economies while reinforcing rule of law and
transparent democratic institutions in key sectors.
Accordingly, Posts are encouraged to look to the ESTH
officers, Hub officers, and OES for assistance in identifying
mission priorities and programs in the ESTH field in support
of the following priorities.
Advancing the U.S. agenda on climate change
Pollution abatement
Promoting the sustainable use of renewable natural
resources, including forests, wildlife, and marine resources
Improving access to safe water and sanitation services
Preparing for the challenges posed by polio, malaria
and other infectious diseases
Compliance with the environmental aspects of trade
agreements
Public Diplomacy (PD):

49. Posts are encouraged to submit a separate PD paper and
urged to ensure that PD is appropriately reflected in the COM
statement and policy goal papers. For Public Diplomacy MSP
Goal Papers, posts should use indicators that appear on the
list of Office of Management and Budget (OMB) approved PD
performance indicators and reflect PD,s adherence to federal
government mandates. A link to the PD indicators can be
found on the MSP Policy Guidance page under the heading
Useful Documents. Our core list of indicators 15 for PD and
8 for IIP is meant to ease the burden of writing and/or
identifying acceptable performance indicators for goal
papers. Use of the core PD indicators helps us in our

STATE 00128957 010 OF 013


engagement with OMB, GAO and Congress. Please contact
Cherreka Montgomery (montgomeryce@state.gov) with any
questions concerning public diplomacy indicators and goal
papers.
Bureau of Political-Military Affairs (PM):

50. Funding for military or defense-related programs,
projects, or training includes Foreign Military
Financing(FMF),International Military Education and Training
(IMET),and Peacekeeping Operations (PKO) resources. Funding
priorities include: using strategic and focused foreign
assistance to prevent and resolve conflicts, enhancing
regional stability by strengthening ties with friends and
allies and resolving regional conflicts, and supporting the
war on terrorism. The focus should be on the development of
accountable, right-sized, effective, interoperable, and
professional security forces and institutions, almost always
under the command and control of the Ministry of Defense
(with rare exceptions on case-by-case review, led by PM
Affairs in consultation with the Legal Advisor's Office).

51. Posts should delineate assistance activities that
address short-term needs (e.g., deployment to an existing
peacekeeping operation) as well as longer-term goals (e.g.,
military modernization, security sector reform, or building
niche capabilities for coalition operations). In listing the
external factors that could influence the goal's
accomplishment in the "Goal Description" section, please also
indicate a relationship to external funding sources (to
include those provided by the Department of Defense) to meet
the same goals.

52. Missions planning to request NADR Conventional Weapons
Destruction program resources are asked to justify according
to the following priorities: prevent/reduce terrorist access
to conventional weapons (with priority given to MANPADS) and
munitions and foster regional stability through improved
security. For humanitarian demining (HD) programs, or
International Trust Fund (ITF) support, guiding priorities
are: contribute to humanitarian efforts by protecting the
victims of conflict, restore land and infrastructure
contaminated by explosive remnants of war to productive use,
and prevent civilian injuries from the detonation of unstable
and/or loosely secured munitions near population centers.
Under external factors, missions are requested to include
external funding sources (DOD, UN, regional organizations,
etc.) to meet the same goals, and explain how U.S. assistance
would augment or complement any ongoing work.
Civilian-Military Cooperation

53. In locations where appropriate, the MSP should address
the following:

A. Civilian-Military Cooperation. Briefly describe the
state of civilian-military cooperation at post, including
future plans or opportunities, and highlight any activities
for FY 2011 (e.g.; ship visits or civil affairs activities)
which demonstrate civilian-military cooperation.

B. Ongoing Programs. Where programs are currently being
implemented jointly by civilian agencies and the US military,
describe how they contribute to the overall achievement of
Mission goals.

C. Coordination mechanisms. Operating units should discuss
formal coordination mechanisms at post between military
representatives and civilian agencies, particularly those
that employ joint planning approaches. For ongoing 1206,
Foreign Military Sales (FMS) or International Military
Education and Training (IMET) or related programs implemented
by the military at post, discuss how they complement or
enhance civilian efforts.

D. Opportunities. If the post has identified opportunities
for enhanced civilian-military cooperation that require
further Washington involvement, or for which Washington
civilian agency support is requested.
Bureau of Population, Refugees, and Migration (PRM):

54. Humanitarian assistance is a relevant objective for
posts in countries: (1) hosting refugees, internally
displaced persons (IDPs),stateless populations, vulnerable
migrants, and/or victims of trafficking; (2) receiving
refugee returnees; (3) experiencing or at risk of
humanitarian crisis; (4) developing migration management
systems; or (5) providing significant donor support to
international humanitarian organizations. The Bureau of
Population, Refugees, and Migration (PRM) serves as a
resource to Posts on any of these issues; please see detailed
MSP guidance at http://prm.state.gov. Please contact Deborah
Hooker at HookerDJ@state.gov or (202) 663-1042.

55. PRM funding includes the Migration and Refugee
Assistance (MRA) and Emergency Refugee and Migration
Assistance (ERMA) accounts. Neither MRA nor ERMA is
available for programming directly by posts. If there are
key humanitarian assistance needs relating to refugees, IDPs,
or other conflict victims that could benefit from other
funding sources available to post, posts may include these in
their budget requests. Region-specific guidance below
supplements PRM,s detailed MSP guidance (see
http://prm.state.gov),which defines humanitarian programs
and relevant indicators.

STATE 00128957 011 OF 013



56. Humanitarian assistance in the Near East includes
significant policies and programs in support of Palestinian
and Iraqi refugees, Iraqi IDPs, and other conflict victims
throughout the region. In the West Bank, Gaza, Jordan,
Lebanon and Syria, government support of the UN Relief and
Works Agency for Palestine Refugees in the Near East (UNRWA)
is key to the success of major health and education
operations. Protection, assistance and solutions for Iraqis
in the region remain high priorities, including access to
asylum and non-refoulement, access to education and health
care, protection for victims of trafficking, safe, gradual
and voluntary return when the situation permits, and refugee
resettlement in the United States. The protection of other
refugees, asylum seekers, stateless persons, TIP victims and
other vulnerable migrants in Israel, Egypt Yemen, and
throughout the Gulf also remain a priority.
S/CRS

57. In preparation for this year,s Mission Strategic Plan
(MSP),posts facing current or potential conflict,
particularly those on the Intelligence Community,s Internal
Instability Watchlist (available at www.state.sgov/s/crs/),
or identified by F as a Rebuilding country, are requested by
S/CRS to include an analytical paragraph in the Chief of
Mission Statement on conflict in the country or region. The
paragraph should identify key causes of current or potential
conflict and highlight any recent or anticipated changes in
the situation. Posts should identify what opportunities
exist to address conflict, and describe how the country team
is planning to respond including allocating resources.
Missions should discuss their ability to monitor and
influence sources of conflict and indicate what, if any,
additional resources would be required to do so, including
assistance from the Office of the Coordinator for
Reconstruction and Stabilization (S/CRS). Posts should also
consider conflict issues in developing goal papers and
relevant indicators for the MSP.

58. S/CRS can assist Missions in conducting this analysis
and targeted planning, including addressing contingencies,
using tools such as best practices guides, the Interagency
Conflict Assessment Framework, and the USG Planning Framework
for Reconstruction, Stabilization, and Conflict
Transformation and possible access to Reconstruction and
Stabilization funds through the use of 1207 authority. For
more information or to request any of these services from
S/CRS, please contact s/crs rmo@state.gov. Information is
also available from http://www.crs.state.gov.
Office of the Coordinator for Counterterrorism (S/CT):

59. Posts that choose to write a CT goal paper should
structure it by the following expected outcomes: the extent
to which the government of the foreign country is cooperating
with the United States Government in apprehending,
convicting, and punishing terrorists; the actions by the
country eliminating terrorist safe havens; country,s
political will to fight terrorism, including passing and
implementing legislation; country,s receptivity to ATA
training; followed by measuring results; building coalitions
in regional and multilateral organizations, including terror
finance regimes; efforts in border security; efforts to fight
radicalization and/or rehabilitate and reintegrate lower-rung
terrorists back into society. Posts in major donor countries
may wish to identify those nations, support for key U.S.
objectives in the developing world, such as capacity-building
and improving governance in failed or fragile states.
Questions should be directed to Dan Rosen (RosenDA@state.gov)
Office of the Global Aids Coordinator (S/GAC):

60. The Department urges countries with significant or
growing epidemics to make HIV/AIDS programming and public
diplomacy a priority in their FY 2011 MSP. Any HIV/AIDS
indicators included should be consistent with President,s
Emergency Plan for AIDS Relief (PEPFAR)-approved indicators.
If Posts have further questions on this guidance, please
contact Sara Allinder (AllinderSM@state.gov) or Karin Fenn
(FennKM@state.gov).
Bureau of Verification, Compliance, and Implementation (VCI):

61. As appropriate, posts are requested to consider the
following in development of MSPs

-- Engage in active bilateral and multilateral diplomacy to
strengthen international understanding of the need for full
compliance with arms control, nonproliferation, and
disarmament obligations and commitments, as well as the need
for a robust international response to noncompliance.

-- Reference the findings of the President,s &Report on
Adherence to and Compliance with Arms Control,
Nonproliferation, and Disarmament Agreements and
Commitments8 (http://www.state.gov/t/vci/rls/rpt/c9721) when
planning for actions related to specific compliance issues
involving host governments and seek cooperation with host
governments to address countries of concern. (For details,
contact Tim MacGregor, VCI Senior Advisor for Compliance, at
MacGregorTS@state.gov.)


STATE 00128957 012 OF 013


-- Seek support for Iran,s compliance with UNSC Resolutions
and IAEA Board of Governors, Resolutions requiring Iran to
suspend its nuclear enrichment effort, cooperate fully with
the IAEA to ascertain the true nature of Iran,s past nuclear
activities, restore international confidence in the peaceful
nature of Iran,s current nuclear program, and bring Iran
back into full compliance with the NPT and its IAEA
Safeguards agreement. (For details, contact Whitney Raas, at
RaasWL@state.gov)

-- Bolster support for enforcing compliance with
nonproliferation treaties and commitments through physical
interdiction and political and economic sanctions, where
appropriate, (includes sanctions determinations pursuant to
the semi-annual Iran, North Korea, Syria Nonproliferation
Act); and urge host governments to enhance domestic laws and
regulations to stem proliferation. (For details, contact
Stephen Tomchik, Senior Advisor for Sanctions, at
TomchikSJ@state.gov.)

-- Support improved responses to potential biological weapons
incidents in order to deter attacks and enhance U.S. ability
to make compliance and attribution determinations. Promote
compliance with the Biological Weapons Convention (BWC) and
with efforts to ensure regional and universal compliance with
the Convention. (For details, contact Brian Nordmann, VCI/BW
Director, at NordmaBR@state.gov.)

-- Promote compliance with the Chemical Weapons Convention
(CWC) and work with the Organization for the Prohibition of
Chemical Weapons to ensure that the verification regime
remains viable and continues to keep pace with changes in the
chemical industry and technological advances; support
assessment of the robustness of the CWC inspection regime to
ensure effective verification of declared military and
industrial facilities. (For details, contact Johnathan
Beckett, VCI/CCA Deputy Director for CW, at
BecketJo@state.gov.)
(VCI/FO Coordinator, Janey Wright, at WrightJF@state.gov.)
MANAGEMENT BUREAU GUIDANCE
Foreign Service Institute:

62. Posts are asked, as part of their strategic planning
discussions, to consider training as a key element in the
development and management of their human resources; and when
proposing new or expanded activities that may involve a
training component to factor in or note, when applicable, the
impact to centralized training and post assignment travel
resources that are overseen by FSI and HR respectively.
Bureau of Consular Affairs (CA):

63. CA encourages all consular sections to ensure that
consular priorities are properly addressed in the FY 2011
MSPs. Consular sections should critically examine their
projected consular workload for FY 2011 and beyond and ensure
any necessary facilities and personnel requests are included
in the State Operations and U.S. Direct Hire Requests
sections. Under the current strategic framework, consular
services are addressed in the strategic goal on
&Strengthening Consular and Management Capabilities,8
though our work also relates to the &Achieving Peace and
Security8 and &Promoting International Understanding8
strategic goals.


64. Depending on foreign policy priorities in host country,
posts may choose to include consular-specific goal papers or
incorporate consular services into the COM statement or
broader mission goal papers. For example, posts working to
improve rule of law may want to include accession to
multilateral treaties affecting private Americans (e.g. Hague
adoption or abduction conventions, prisoner transfer
treaties, etc.). Law enforcement capacity-building and
security information-sharing may be top mission priorities,
providing opportunities to highlight the contribution of
consular fraud prevention objectives. Post public diplomacy
efforts should address the consular role, both in public
outreach and in the tangible experience of each individual
applicant who visits the consular section. These priorities
can have direct resource implications on consular sections,
so we encourage posts to take a good look at FY 2011 during
the MSP process and plan for the opportunities and
requirements it has in store. If posts have questions
regarding consular priorities in the MSP process, please
contact the CA/P Special Assistant at
CA-PSpecialAssistant@state.gov or 202-647-5483.
Bureau of Diplomatic Security (DS):

65. DS is initiating coordination with all posts through a
separate communication to RSOs to identify post's
security-related requests and to integrate those requests
into the DS strategic planning process and Congressional
Budget Justification input. Post management should also
consider security costs associated with new activities,
policies, or programs and discuss them with their RSO for
onward submission to DS in Washington.
For the purpose of the MSP, posts should highlight those

STATE 00128957 013 OF 013


security issues which significantly impact their ability to
achieve their strategic goals. These security requirements
should be reflected, as appropriate, in the COM statement and
the resource and position request tables.
Office of Policy, Rightsizing and Innovation (M/PRI):

66. The MSP is a vehicle for COMs and their country teams to
examine their operations in the context of rightsizing and
quality management goals. Rightsizing: Duplicative
functions at post should be consolidated. Functions that can
be performed by personnel based in the United States or at
regional offices overseas should not be performed at post.
Posts should look for possibilities to empower locally
employed staff so they may perform functions in place of U.S.
direct hire personnel. In post,s reviews, should it find
staffing to be either excessive or inadequate to the
performance of priority Mission goals and objectives, please
initiate staffing change requests in accordance with
established procedures. A review of new non-State overseas
positions requested through the NSDD-38 process has found
that only a small percentage of them had been included in
those missions, MSP submissions, suggesting that there needs
to be better integration of all agencies, plans in the MSP
process.

67. Tripoli minimize considered.
RICE