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THE SECRETARY OF STATE

CONGRESSIONAL

BUDGET

JUSTIFICATION

Appendix

1:

DEPARTMENT OF STATE

DIPLOMATIC ENGAGEMENT

Fiscal Year 201

9 i

DEPARTMENT OF STATE

CONGRESSIONAL BUDGET JUSTIFICATION

Appendix 1

FISCAL YEAR

2019

STATEMENT OF THE SEC

RETARY OF STATE

BUDGET SUMMARY AND TABLES

Budget Summary ........................................................................................................................... 1

Evidence .......................................................................................................................................... 3

Summary of Appropriations ......................................................................................................... 8

Front Line States and Contingency Operations ........................................................................ 11

U.S. Direct Hire Funded Positions .............................................................................................. 12

Ten-Year Appropriation History ............................................................................................... 14

Public Diplomacy Resource Summary ....................................................................................... 16

Department of State Fee Collections .......................................................................................... 17

ADMINISTRATION OF FOREIGN AFFAIRS

State Programs ..................................................................................................................................... 22

Diplomatic Programs ................................................................................................................... 23

IT Central Fund ........................................................................................................................... 30

Consular and Border Security Program .................................................................................... 37

Working Capital Fund ................................................................................................................ 46

Diplomatic Programs: Human Resources ......................................................................................... 53

Foreign Service Institute ............................................................................................................. 54

Human Resources ........................................................................................................................ 59

Human Resources Special Complement .................................................................................... 63

Human Capital and Data Analytics Initiative ........................................................................... 66

Diplomatic Programs: Overseas Programs ....................................................................................... 70

African Affairs ............................................................................................................................. 71

ii Conflict Stabilization Operations ............................................................................................... 77

East Asian and Pacific Affairs .................................................................................................... 80

European and Eurasian Affairs .................................................................................................. 85

Foreign Service National Separation Liability Trust Fund ..................................................... 93

Office of International Conferences ........................................................................................... 95

International Organization Affairs ............................................................................................ 97

Medical Services ......................................................................................................................... 100

Near Eastern Affairs .................................................................................................................. 106

Post Assignment Travel ............................................................................................................. 113

South and Central Asian Affairs .............................................................................................. 116

Western Hemisphere Affairs .................................................................................................... 121

Public Diplomacy ....................................................................................................................... 126

Diplomatic Programs: Diplomatic Policy and Support .................................................................. 162

Administration ........................................................................................................................... 163

Arms Control, Verification and Compliance .......................................................................... 167

Budget and Planning.................................................................................................................. 171

Office of the Chief of Protocol .................................................................................................. 174

Comptroller and Global Financial Services ............................................................................ 177

Democracy, Human Rights and Labor .................................................................................... 181

Economic and Business Affairs ................................................................................................. 184

Energy Resources ....................................................................................................................... 187

Information Resource Management......................................................................................... 191

Intelligence and Research .......................................................................................................... 195

International Security and Nonproliferation .......................................................................... 200

Office of the Legal Adviser ........................................................................................................ 204

Legislative Affairs ...................................................................................................................... 208

Manag

ement ............................................................................................................................... 211

Oceans and International Environmental and Scientific Affairs .......................................... 214

Political

-Military Affairs ........................................................................................................... 218

Population, Refugees and Migration ........................................................................................ 222

iii

Public Affairs .............................................................................................................................. 224

Office to Monitor and Combat Trafficking in Persons .......................................................... 227

Office of the Secretary ............................................................................................................... 230

Diplomatic Programs: Security Programs ...................................................................................... 234

Counterterrorism ....................................................................................................................... 235

Office of Foreign Missions

......................................................................................................... 238

Worldwide Security Protection ................................................................................................ 242

Embassy Security, Construction, and Maintenance ....................................................................... 252

OTHER ADMINISTRATION OF FOREIGN AFFAIRS

Office of Inspector General ............................................................................................................... 259

Educational and Cultural Exchange Programs .............................................................................. 262

Representation Expenses ................................................................................................................... 267

Protection of Foreign Missions and Officials .................................................................................. 268

Emergencies in the Diplomatic and Consular Service .................................................................... 269

Buying Power Maintenance Account ............................................................................................... 272

Repatriation Loans Program Account ............................................................................................. 274

Payment to the American Institute in Taiwan ................................................................................ 276

INTERNATIONAL ORGANIZATIONS

Contributions to International Organizations ................................................................................ 280

Contributions for International Peacekeeping Activities ............................................................... 311

INTERNATIONAL COMMISSIONS

International Boundary and Water Commission

- Salaries and Expenses .................................. 318

International

Boundary and Water Commission

- Construction .................................................. 322

American Sections ............................................................................................................................. 325

International

Joint Commission ............................................................................................... 326

International

Boundary Commission ....................................................................................... 328

Border Environment Cooperation Commission ..................................................................... 330

International Fisheries Commissions ............................................................................................... 332

RELATED APPROPRIATIONS

The Asia Foundation ......................................................................................................................... 338

iv East-West Center ............................................................................................................................... 340

National Endowment for Democracy ............................................................................................... 341

SPECIAL FUNDS AND TRUST FUNDS

Center for Middle Eastern-Western Dialogue (Hollings Center) .................................................. 347

Eisenhower Exchange Fellowship Program .................................................................................... 349

Israeli Arab Scholarship Program ................................................................................................... 351

International Chancery Center ........................................................................................................ 353

Foreign Service Retirement and Disability Fund ........................................................................... 354

v

STATEMENT OF THE SECRETARY OF STATE

vi vii viii ix

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BUDGET SUMMARY

1

BUDGET SUMMARY AND TABLES

Budget Summary

Overview

The Secretary of State's FY 2019 Budget Request for Diplomatic Engagement directly supports the

National

Security Strategy

by building and sustaining a more secure, prosperous, and democratic world. This request

proposes targeted investments including information technology and human capital, as well as sustaining

operations to Defeat ISIS (D-ISIS), strengthening the U.S. economy through promoting trade and tourism,

provid

ing security for U.S. diplomatic personnel and facilities abroad, and addressing emerging crises through

peacekeeping and engagement in multilateral fora.

U.S. diplomatic engagement advances the foreign policy vision of the United States, defending U.S. national

security, promoting American interests and leadership abroad through balanced engagement. This request reflects

tough choices among competing priorities. The United States is realigning international contributions to share the

burden more equitably among member states, and foster strategic opportunities for U.S. economic interests. The

U.S. diplomatic platform also ensures accountability to the American taxpayer by more effectively managing and

efficiently using reduced resources.

The FY 2019 Request for Diplomatic Engagement includes $12.7 billion in base discretionary appropriations, a

proposed cancellation of -$0.3 billion from prior year supplemental appropriations, $3.9 billion in spending from

consular revenue collections, and $159 million in mandatory appropriations for the Foreign Service Retirement

and Disability Fund. The request pivots $4 billion in previously

Overseas Contingency Operations (OCO) funded

activities back into the Enduring base. This normalizes seven years of contingency funding, while adhering to the

framework of the Bipartisan Budget Act of 2018 (Public Law 115-123). The request also pursues efficiencies

through supporting the implementation phase of the Redesign effort, referred to as the "Impact Initiative", which includes developing a more flexible workforce and enhancing the Department's IT systems. Diplomatic Staffing, Operations, and Programs: $4.8 billion

The funding requested for staffing, operations, and programs is fundamental to sustaining operations at the

Department of State. These activities span

40
bureaus and offices, 190 countries, and 276 diplomatic posts.

Within the FY 2019 Diplomatic Programs Request $4.8 billion provides for diplomatic Program Operations that

sustain diplomatic efforts to Defeat ISIS, while countering other threats of violent extremism, build coalitions and

partnerships, strengthen alliances, and influences foreign opinion while countering misinformation.

Within this

category, $611.9 million is included in the proposed $4 billion OCO pivot.

Of the $4.8 billion, $565 million is requested for Public Diplomacy programs that further U.S. foreign policy

goals by informing and influencing foreign opinion. These programs assist in countering misinformation about

U.S. society and policies and strengthen relationships between Americans and foreign publics. These information

programs are instrumental in shaping international partnerships through building coalitions and partnerships,

strengthening alliances, and galvanizing foreign public opinion in support of U.S. policy priorities. The FY 2019

request for Public Diplomacy includes $55.4 million for the Global Engagement Center (GEC) to support the D-

ISIS campaign and other efforts to

discredit foreign state and non-state propaganda and disinformation.

In early 2017, the Secretary of State began the employee-led "Redesign" project at the Department of State and

U.S. Agency for International Development (USAID). This included a detailed review of State and USAID's

core missions, personnel, programs, and operations. As a result of this review, the FY 2019 Diplomatic

Engagement request includes $247 million for initiatives to support the "Impact Initiative." This implementation

phase of Redesign begins improvements in workforce readiness and performance management, as well as

enhancements to information technology systems. Implementing these initiatives will allow employees to work

more efficiently and effectively on behalf of the America n people to advance a secure, free, and prosperous world.

BUDGET SUMMARY

2

Diplomatic and Embassy Security: $5.4 billion

The FY 2019 Request protects U.S. government personnel, facilities, and information - both at home and

overseas. The Worldwide Security Protection (WSP) Request of $3.7 billion continues support for security

operations in Afghanistan and Iraq, and counters other emerging threats to the Department's employees and

others serving under Chief of Mission authority. The WSP request includes $2.3 billion of the $4 billion pivot

from OCO to the Enduring base. The request also includes a proposed cancellation of -$301.2 million in funding

from the FY 2017 Security Assistance Appropriations Act (SAAA). This proposed cancellation is based on evolving security and political conditions, and will not impact DS operations. The FY 2019 Request for Embassy Security Construction and Maintenance provid es for secure, safe , and

functional diplomatic and consular missions overseas that represent the United States to host nations and support

the Department's staff as they work to achieve U.S. foreign policy objectives. The request sustains $2.2 billion

for construction and maintenance of secure embassies as recommended by the Benghazi Accountability Review

Board (ARB), including State's full share of appropriated funding.

International Organizations: $2.3 billion

The FY 2019 Request includes $1.1 billion for Contributions to International Organizations, preserving strategic

participation in multilateral fora to achieve outcomes favorable to the United States and its allies while

setting the

expectation that the funding burden will be shared more equitably among members. The request prioritizes

organizations that advance U.S. foreign policy interests, while continuing to pursue greater effectiveness,

accountability, and transparency, and relying on other nations to make greater proportionate contributions toward

shared objectives. Within this portion of the request, $96 million for the United Nations (UN) regular budget is

included in the proposed OCO pivot. The request also includes $1.2 billion for assessed contributions for

international peacekeeping activities directed towards the maintenance or restoration of international peace and

security, principally through UN peacekeeping, of which $961 million was previously funded through OCO. Consular and Border Security Program (Fee-funded): $4.7 billion in available revenue; $3.8 billion in spending

The FY 2019 Request sustains fee-funded programs and personnel that secure our borders through rigorous visa

vetting, preventing fraud, while enabling the conduct of international business and tourism by facilitating

legitimate foreign travel to and from the United States. This request simultaneously adjusts for declining

workload and revenue while accelerating technology investments to modernize visa and passport services.

Spending from consular revenues is not counted against the Department's annual appropriation.

EVIDENCE

3

Evidence

Section 1. Agency Strategy to Advance the Use of Evidence in Decision-Making

The Department of State's strategy

for increasing the use of evidence emphasizes broadening the use of program

management and data in assessing its strategic objectives. Key elements include strengthening program design,

data, and performance management guidance and training; doubling the number of performance goals in the new

Joint Strategic Plan (JSP); aligning bureau and mission strategies to the JSP; and establishing a new contracting

mechanism for evidence building. The following is a description of the Department's current efforts, future plans

and recent progress, current barriers, and learning agenda. Current Efforts, Future Plans, and Recent Progress

The Department continues to improve integration of the Managing for Results (MfR) Framework more fully

within bureaus and missions. The MfR framework links the critical components of strategic planning, budgeting,

managing programs, and learning. The purpose of the MfR framework is to help bureaus and missions achieve

improved outcomes by conducting policy, resources, and programmatic decision-making that is informed by

strategic planning and data gleaned through rigorous monitoring and evaluation practices. State recently created a

new MfR intranet site to provide information, tools, and templates pertaining to resources and best practices

across the four quadrants of the framework. Strengthening program design and performance management requirements for projects and programs. The Department's evaluation policy has been updated to encompass the full spectrum of performance

management and evaluation activities including program design, monitoring, evaluation and analysis and

learning. The expanded policy will satisfy requirements of the Foreign Aid Transparency and Accountability Act

(FATAA) and OMB Circular A -11. This major effort is currently underway with Department performance

management specialists working to assist bureaus in defining their programs and developing a suite of

performance management documents that show how they will assess and track their progress.

This work will

inform future evaluations of how the Department's programs and portfolios are achieving results for the American

people. For information about the Department's current activities under the Program and Project Design, Monitoring, and Evaluation policy, see: www.state.gov/documents/organization/276338.pdf

Creating a strong culture of monitoring and evaluation starts with well-thought-out program and project designs.

State's

Program Design and Performance Management Toolkit, available online and in hard copy, provides

EVIDENCE

4

information, examples and templates for setting program-level goals, creating logic models, designing

performance indicators, and developing monitoring and evaluation frameworks that create feedback loops to

future program designs and inform strategic planning.

Training in Performance Management.

State continues to strengthen and support staff capacity by providing

training, technical assistance, and resources that encourage data use and learning. For example, as part of an effort

to solidify its MfR infrastructure, State has developed a four-day course on strategic planning and performance

management. The course familiarizes personnel with the necessary skills, and processes, for developing strategic

plans, articulating and measuring performance, and linking performance goals to higher-level strategies.

Strategic Planning. The FY 2018 - 2022 Joint Strategic Plan (JSP) for the Department of State and the United

States Agency for International Development (USAID) is shaped by Presidential directives and policies, the

National Security Strategy, previous strategic planning efforts, and ongoing Department of State Impact Initiative

and USAID Redesign efforts aligned to the Office of Management and Budget's M -17-22 directive:

"Comprehensive Plan for Reforming the Federal Government and Reducing the Federal Civilian Workforce."

The Department of State and USAID developed this Joint Strategic Plan through a consultative process involving

the senior leadership of the two agencies. Representatives from key bureaus at the Department and USAID

developed strategic objectives based on guidance provided by senior leadership.

The strategic objectives of the JSP serve as the primary basis for performance analysis and program decision

making within the Department and USAID. The performance goals more than doubled in number in the revised

JSP , providing measurable progress towards the achievement of the strategic objectives in the Plan and reflecting

Department and USAID strategic and management priorities. The majority of the performance goals will be

measured and reported annually; the performance goals identified as Agency Priority Goals will be measured and

reported on a quarterly basis. Information about the strategic goals and objectives of the JSP is posted online at

www.state.gov and www.USAID.gov, as well as www.performance.gov

In the Spring of 2018

the Department of State and USAID will publish the joint FY 2019 Annual Performance

Plan (APP) and FY 2017 Annual Performance Report (APR). The plan and report will include performance

goals, performance indicators, and a narrative explanation of progress aligned to the FY 2018 - FY 2022 JSP. Prior to this year, b ureau and mission plan development did not consistently align to agency level planning. This

was partially due to a timing issue, with 3-year bureau and regional plans and a 4-year agency plan. State is

currently adjusting the schedule of bureau and mission strategic plan development to improve alignment to the

new Joint Strategic Plan (JSP). All bureaus and missions will undergo a strategy refresh or wholesale re

-write in

2018 following the release of the JSP. All revised strategies will

be in place for a 4-year cycle.

Contracting mechanism for evidence building. The Department of State is implementing a new Performance

Management and Evaluation Services contracting mechanism, designed to provide Department of State bureaus

and independent offices with a streamlined process to acquire monitoring and evaluation, performance

management, and training services. For example, the contract includes services for assistance in developing logic

models, performance metrics, theories of change, etc., supporting fuller integration of program and project design,

management, and learning as reflected in the Department's Managing for Results (MfR) framework. A Department-wide kick-off event was held in February 2018.

Data Visualization. The Department is continually increasing the body of evidence and evaluations of its

programs and processes. Data visualization increases the ability of management to absorb and analyze findings. In

addition, expanded training opportunities are being provided to Department staff. Examples of these efforts in the

past six months include: Foreign Service Institute (FSI) sponsored training by Ann Emery, a data visualization

expert; the Evaluation Community of Practice invited Jonathan Schwabish, a Senior Fellow at The Urban Institute

and host of the popular PolicyViz Podcast to speak about best practices in data visualization; and the Department

held hands-on training on various topics including conducting an evaluability assessment and NVivo 11.

EVIDENCE

5

As outlined in the CBJ chapter on "Human Capital and Data Analytics," the Department established a data

analytics team to support decision making during the initial phases of the Secretary's Impact Initiative. The

Department plans to expand its progress in this area, working with graphics services and data analytic

s software to visually present data analysis to support decision making.

Current Barriers

Two unique issues facing the

Department are challenges with multiple sets of data from various stakeholders and the complexity of measuring and reporting the performance of diplomacy.

Multiple and diffuse sources of data.

Evaluation work often starts with assessing readily available information.

Multiple sources of data developed for different purposes and adapted over time have the potential to

be incomplete, and of varying quality. Many of the Department's systems were not designed to export data sets

that can be combined or integrated with other data sets for broader data analysis applicability. Additionally, many

Department systems process data but within a structure that is not easily extracted. The Secretary's Impact

Initiative will address some of these challenges by unlocking data sets, implementing data standards more

broadly, and refining the Department's data architecture so that all data assets can be leveraged to better inform

and assess the Department's work.

Long term and complex challenges of diplomacy. The shifting global influences and multi-party engagements

inherent in diplomatic activities make evaluating diplomacy particularly challenging. As a result, when designing

evaluations, challenges can arise in the identification of precise diplomatic milestones, or desired activity-level

outcomes with which to identify success or make judgements regarding effectiveness of diplomatic engagement.

Also, multiple actors often contribute to a particular outcome making it difficult to attribute a particular result

solely to the U.S's efforts. State has responded to these challenges by building on areas that are more easily

evaluated such as public diplomacy. State is also making additional efforts such as the provision of one-on-one

technical assistance and dissemination of training tools, to capture baseline data to inform potential future

evaluations on the diplomatic activities of the Department.

Development and Use of a Learning Agenda

State carries out a learning agenda through the Managing for Results Framework (MfR) described in the

introductory section of this chapter. Learning takes place when all levels of an organization engage in the

thoughtful and purposeful collection, analysis, and discussion of information to assess progress toward its goals.

The MfR links the critical components of strategic planning, budgeting, managing programs, and learning. The

"learning quadrant" includes a number of activities and processes that support the Department's learning agenda.

Within the quadrant is support for strategic progress reviews, monitoring and evaluation, as well as various

performance reporting mechanisms. Learning from these activities and reports takes place via discussion and

analysis, i.e., putting the information to use. The Department conducts annual data calls to better understand what

evaluations have been completed, which are ongoing, and what new ones are planned in the upcoming years. The

data calls serve as the mechanism for establishing bureau-level learning agendas as well as building and sharing a

body of evidence for completed agendas. Completed evaluation reports are stored in a searchable repository and

are available as a resource for internal Department learning.

Some bureau learnin

g agendas may include monitoring as well as formal evaluations to ensure that programs

achieve intended goals. For example, the Under Secretary for Public Diplomacy Office of Policy, Planning, and

Resources (R/PPR) has developed a Public Diplomacy Learning Agenda with input from other components of the

R family. The learning agenda prioritizes learning questions, increases coordination among the PD bureaus, and

improves information sharing. The first version of the learning agenda was completed in early Fiscal Year 2018.

R/PPR intends to lead an annual review and update process to guide Learning Agenda activities. The Office to

EVIDENCE

6

Monitor and Combat Trafficking in Persons (J/TIP) is developing a learning agenda, poised for completion this

year, with questions structured around the prevention of trafficking, protection of trafficking victims, and

prosecution of perpetrators. They have worked with a team to establish a knowledge management system that will

include programmatic and performance data and allow for use of data analytics in future planning activities.

Finally, they revamped procedures for existing and new grantees, improving their performance indicators and includ

ing specific requirements for grantees to establish rigorous, evidence-based processes by which to identify

and prioritize target populations and programming objectives in specific countries and jurisdictions.

Section 2. Top Priority Requests

Based on OMB memorandum M-17-22, State and USAID are collaborating on an agency reform plan with

recommendations for how to reduce duplication and improve efficiency within the agencies. Top priority requests

are included in the Human Capital and Data Analytics Initiative CBJ chapter that includes requests from the

Secretary's Impact Initiative.

Section 3. Updates on OMB Memorandum M-14-06, "Guidance for Providing and Using Administrative

Data for Statistical Purposes"

Recent Progress

State continues to use data for innovative and practical purposes that support previous commitments and Open

Data

efforts with respect to privacy, confidentiality, and national security interests. State is not a Principal

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