Diplomacy and 

Development in Action

Performance and

Financial Information

Fiscal Year 2009

Joint Summary of

United States 

Department of State
TABLE OF CONTENTS

Introduction 1

Mission and Values 1

Message from the Secretary of State 2

Message from the USAID Administrator 3

Our Organizations 4 

Joint Strategic Goal Framework 6

Management Highlights 7

Management Accomplishments 7

Management Challenges 10 

Diplomacy and Development Regional Highlights 14

Performance Highlights 23

Performance Management 23

Program Evaluation 24

Strategic Goals and Results 26

Achieving Peace and Security 26

Governing Justly and Democratically 30

Investing in People 33

Promoting Economic Growth and Prosperity 39

Providing Humanitarian Assistance 43

Promoting International Understanding 45

Strengthening Consular and Management Capabilities 47

Performance Indicators At-A-Glance 50

Budget Highlights 52

Resources by Strategic Goal 53

Financial Highlights 54

Balance Sheet Summary 55

Net Cost Summary 55

Budgetary Resources Summary 56

ABOUT THIS REPORT

This report provides a summary of Department of State and United States Agency for International Development (USAID) performance 

and financial information for Fiscal Year (FY) 2009. This Joint Summary of Performance and Financial Information, formerly known 

as the Citizens’ Report, is the third report in a series of three annual financial and performance reports that also includes the Agency 

Financial Report and the Annual Performance Report. This Summary Report provides information on both agencies’ performance in 

promoting greater accountability and accessibility to Congress, the American public, and other key constituencies. The Department 

and USAID continue to work towards planning, budgeting, and managing diplomacy and development activities to achieve greater 

integration and focus to further foreign policy goals and improve people’s lives around the world. 
Our Missi o n S tate m ent

Advance freedom for the benefit of the American people and 

the international community by helping to build and sustain a more 

democratic, secure and prosperous world composed of well-governed 

states that respond to the needs of their people, reduce widespread 

poverty, and act responsibly within the international system.

Our Values

LOYALTY

Commitment to the United States and the American people.

C H A R A C T E R 

Maintenance of high ethical standards and integrity.

S E R V I C E 

Excellence in the formulation of policy and management practices with 

room for creative dissent. Implementation of policy and management 

practices, regardless of personal views.

A C C O U N T A B I L I T Y 

Responsibility for achieving United States foreign policy goals 

while meeting the highest performance standards.

C O M M U N I T Y 

Dedication to teamwork, professionalism, and the customer perspective.

D iversity

Commitment to having a workforce that represents the diversity of America.

President Obama and Secretary Clinton in 

Cairo, Egypt, June 2009. AFP Image
As the President’s chief advisor for foreign affairs 

and development assistance, I am pleased to 

present the U.S. Department of State’s Summary 

of Performance and Financial Information for Fiscal 

Year 2009, created jointly with the U.S. Agency for 

International Development (USAID). During the past 

year, we reinvigorated U.S. foreign policy with robust 

diplomacy and strengthened our traditional alliances, 

built new partnerships, and gave adversaries a stark choice 

between isolation and living up to their international 

obligations. We elevated development to equal status with 

diplomacy and defense, recognizing that development is 

central to solving global problems. 

We take seriously our duty of accountability to the taxpayer. The 

budget request that we recently proposed represents new priorities, 

new approaches, and a renewed commitment to use the resources of the 

State Department and USAID wisely and strategically to get the best 

possible results for the American people and to maximize the impact 

of every dollar we spend. To improve the overall effort of State and 

USAID, I initiated the Quadrennial Diplomacy and Development 

Review (QDDR), a comprehensive review of our diplomacy and 

development tools and institutions, with the goal of making them 

more agile, responsive, and complementary. The QDDR will ensure 

that State and USAID make informed, strategic choices that will 

create more effective global leadership to address the foreign policy 

challenges that confront us.

The State Department is ready and eager to take the lead in carrying 

out the President’s foreign policy agenda, including the strategic use of 

development assistance. We are focusing on results – measuring the 

impact of our efforts – to ensure that we achieve lasting change around 

the world. This past year presented an array of complex challenges, and 

the United States achieved key successes. We are pleased to share with 

you a few of our notable FY 2009 achievements:

■ Launched global initiatives to fight hunger, promote sustainable 

agricultural development and global health, and combat the threat 

of climate change.

■ Surpassed our goal to train and equip 75,000 non-U.S. peacekeepers 

through the Global Peace Operations Initiative. 

■ Initiated negotiation with Russia, which resulted in a new Strategic 

Arms Reduction Treaty with Russia in 2010. 

■ Achieved the election of the United States to a seat on the United 

Nations Human Rights Council.

■ Exercised U.S. leadership in combating sexual violence in armed 

conflict, resulting in the adoption of a resolution in the United 

Nations Security Council.

Promoted the adoption of tough UN Security 

Council Sanctions on North Korea.

Built seven new facilities around the world, 

moved nearly 1,500 employees into safer work 

environments, and completed eight major physical 

security upgrade projects at existing facilities.

Required that all new embassy and consular 

buildings receive the U.S. Green Building 

Council’s Leadership in Energy and Environmental 

Design certification, which verifies strategies 

and improvements to achieve energy and natural 

resource conservation.

■ Opened four new U.S. Passport Agencies in: Dallas, Texas; Tucson, 

Arizona; Detroit, Michigan; and Minneapolis, Minnesota; and 

issued over 13 million passports and six million visas.

■ Expanded our workforce to significantly strengthen our ability 

to deliver more effective diplomacy and development programs, 

adding approximately 600 Foreign Service Officers.

Our achievements in the Administration’s first year provide a solid 

foundation for the road that lies ahead. Our priorities are clear – to 

ourselves, our friends, and our adversaries. We will ensure that the 

extraordinary story the United States has to tell is presented clearly 

and effectively across the world.

True partnership is based on shared effort and responsibility. The 

Department of State and USAID together prepared this report to 

provide a succinct analysis of our investment of citizens’ resources 

in U.S. foreign policy. I am pleased to offer this summary of key 

performance, budget, and financial information and note that the 

data herein are complete and reliable in accordance with guidance 

from the Office of Management and Budget.

I am proud to represent the thousands of employees, including both 

Americans and Foreign Service Nationals, who serve at more than 260 

posts worldwide. Our strength lies in the talent and determination of all 

our employees who work tirelessly to ensure the safety of the American 

people and enhance the global leadership of the United States. We look 

forward to continuing to serve alongside them as we work together to 

demonstrate America’s values, advance America’s interests, and help 

build a world in which all people have the opportunity to live healthy, 

peaceful lives, and achieve their true human potential.

Hillary Rodham Clinton

Secretary of State

April 30, 2010

Message from the Secretary of State

2 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
T

he Obama Administration has pledged to elevate 

development to play a critical role, alongside defense 

and diplomacy, in our nation’s national security and 

foreign policy. Secretary Clinton and I are committed to 

making USAID the world’s premier development agency. 

USAID is central to U.S. efforts to improve food security 

and human health, reduce poverty, mitigate the impact of 

global climate change, to empower women and girls, help 

countries like Haiti recover from natural disasters, and 

bring peace and stability to Afghanistan, Iraq and many 

other places throughout the world. 

Development is a long-term process that must be 

embraced and led by the people of developing nations themselves. Our 

objective is to create conditions where countries no longer need our 

assistance; where people have access to healthcare, education and food, 

communities and private enterprise thrive, governments are accountable 

to their citizens, and democratic institutions deliver services and 

improved living standards. 

On behalf of the American people, USAID’s results in 2009 include:

■ In sub-Saharan Africa, sustained high level of childhood vaccination 

in target areas with 82% of children receiving a third dose of 

diphtheria-pertusis-tetanus vaccines for two consecutive years, and 

75% of children receiving two doses of vitamin A. Reduced deaths 

of children under age five by 30% in three years in Senegal alone 

due to targeted malaria activities.

■ Strengthened the capacity of financial institutions to lend to 

small businesses, as evidenced by an additional $316 million in 

private financing through 19 new Development Credit Authority 

guarantees, to help micro, small, and medium-sized enterprises 

gain access to commercial sources of capital. 

■ Encouraged transparent, participatory, and accountable governance 

in 61 countries, many of them emerging and consolidating 

democracies, in part by training over 117,000 justice sector 

personnel and domestic election observers. 

■ Increased the cultivation of alternative crops to coca and poppy, 

leading to more jobs and income in targeted areas. In Colombia 

alone, USAID exceeded the FY 2009 target of 93,777 hectares of 

alternative crops by 28,777 hectares. 

■ Responded to 57 life-threatening disasters in 

46 countries providing more than $754 million 

to those in need. In all cases, USAID responded 

within 72 hours of declared disasters. 

■ Through the Development Leadership Initiative, 

increased USAID’s workforce by 207 Foreign 

Service Officers in FY 2009, significantly 

strengthening its ability to deliver more effective 

development programs. 

Launched a new worldwide integrated procurement 

system, Global Acquisition and Assistance System, 

improving the efficiency and effectiveness of a 

critical Agency business process.

■ For the seventh consecutive year, earned unqualified opinions on 

its financial statements, a representation that these statements 

fairly present the financial condition of the Agency.

All these accomplishments are possible due to the commitment 

and talent of our workforce overseas and at home. Many Agency 

professionals endured hardship, spent time away from families, and 

even put their lives in danger to help partner nations. In fact, 40% of 

USAID’s Foreign Service Officers have served in Iraq, Afghanistan, 

Pakistan or Sudan. 

I am pleased to certify that the performance and financial data are 

complete and reliable. It is USAID’s policy that all performance data 

reported to the American public are assessed against standards of validity, 

integrity, precision, reliability, and timeliness to identify the strengths 

and weaknesses of the data and the extent to which they can be trusted 

for programmatic decisions. A fuller discussion of FY 2009 performance 

and data sources is available in the 2009 Foreign Assistance Performance 

Report published in the joint USAID and Department of State FY 2011 

Foreign Operations Congressional Budget Justification.

Rajiv Shah

USAID Administrator

April 30, 2010

Message from the USAID Administrator

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 3
Our Organizations

DEPARTMENT OF STATE

The Department, established by Congress in 

1789, is the oldest and most senior executive agency of the 

U.S. Federal Government. Headquartered in Washington, 

DC, it operates the diplomatic missions of the United States 

in 180 countries and is responsible for implementing the 

nation’s foreign policy. The Department of State is the lead 

U.S. foreign affairs agency within the Executive Branch, and 

its head, the Secretary of State, is the President’s principal 

foreign policy advisor. 

The Department promotes and protects the interests of 

American citizens by:

■ Promoting peace and stability.

■ Creating jobs at home by opening markets abroad.

■ Facilitating external travel and regulating internal 

immigration.

■ Helping developing nations establish investment and 

export opportunities.

■ Bringing nations together to address global problems such as 

cross-border pollution, the spread of communicable diseases, 

terrorism, nuclear smuggling, and humanitarian crises.

The Department operates more than 260 Embassies, consulates, 

and other posts worldwide staffed by 12,000 Foreign Service 

Officers and a 9,000 member Civil Service corps. In each 

Embassy, the Chief of Mission (usually an Ambassador) 

is responsible for executing U.S. foreign policy goals and 

coordinating and managing all U.S. Government (USG) 

functions in the host country. The President appoints each 

Ambassador, who is then confirmed by the Senate. Chiefs of 

Mission report directly to the President through the Secretary. 

The U.S. Mission is also the primary USG point of contact 

for Americans overseas and foreign nationals of the host 

country. The Mission serves the needs of Americans traveling, 

working, and studying abroad, and supports Presidential and 

Congressional delegations visiting the country.

At headquarters in Washington, DC, the Department’s 

mission is carried out through six regional bureaus, each of 

which is responsible for a specific geographic region of the 

world, the Bureau of International Organization Affairs, and 

numerous functional and management bureaus. These bureaus 

provide policy guidance, program management, administrative 

support, and in-depth expertise in matters such as law 

enforcement, economics, the environment, intelligence, arms 

control, human rights, counternarcotics, counterterrorism, 

public diplomacy, humanitarian assistance, security, 

nonproliferation, consular services, and other areas.

In carrying out these responsibilities, the Department of State 

consults with Congress about foreign policy initiatives and 

programs, and works in close coordination with other Federal 

agencies, including the Department of Defense, USAID, the 

Department of the Treasury, and the Department of Commerce, 

among others. 

Smart Power

Smart power is a concept championed by Secretary of State 

Hillary Clinton. The Obama Administration recognizes that 

the United States and the world face great peril and urgent foreign 

policy challenges, including ongoing wars and regional conflicts, 

the global economic crisis, terrorism, weapons of mass destruction, 

climate change, worldwide poverty, food insecurity, and pandemic 

disease. Military force may sometimes be necessary to protect 

our people and our interests. But diplomacy and development are 

equally important in creating conditions for a peaceful, stable and 

prosperous world. Smart power requires reaching out to both friends 

and adversaries, bolstering old alliances and forging new ones. 

Smart power for the Department of State and USAID translates into 

specific policy approaches in five areas. First, the Department of 

State and USAID will update and create vehicles for cooperation 

with our partners; second, both agencies will pursue principled 

engagement with those who disagree with us; third, both agencies 

will elevate development as a core pillar of American power; fourth, 

the Department of State and USAID will integrate civilian and military 

action in conflict areas; and fifth, the Department of State along with 

USAID will leverage key sources of American power, including our 

economic strength and the power of our example.

Introduction

4 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
In 1961, the U.S. Congress passed the 

Foreign Assistance Act to create an agency to administer longrange economic and humanitarian assistance to developing 

countries. Two months after passage of the act, President 

John F. Kennedy established the United States Agency for 

International Development (USAID). USAID unified 

pre-existing U.S. assistance programs and today continues to 

be the U.S. Government’s lead agency in providing assistance 

to the developing world.

USAID is an independent Federal agency that receives 

overall foreign policy guidance from the Secretary of State. 

With its headquarters in Washington, DC and 88 missions 

worldwide, the Agency provides economic, development, and 

humanitarian assistance around the world in support of the 

foreign policy goals of the United States. USAID accelerates 

human progress in developing countries by reducing poverty, 

advancing democracy, building market economies, promoting 

security, responding to crises, and improving quality of life. 

Working with governments, institutions, and civil society, 

the Agency assists individuals to build their own futures by 

mobilizing the full range of America’s public and private 

resources through U.S. expert presence overseas. 

In FY 2008 and FY 2009, USAID embarked on an aggressive 

effort to increase and revitalize its workforce. The Development 

Leadership Initiative (DLI) strengthened USAID’s overseas 

workforce, substantially increasing Foreign Service staff to 

address critical development and humanitarian assistance 

issues. At the end of FY 2009, the total number of USAID 

employees was 7,904, including 1,580 Foreign Service Officers, 

1,222 Direct Hire Civil Service Officers, 4,235 Foreign 

Service Nationals and 867 other non-direct hire employees. 

In all, 2,193 USAID employees are based in Washington 

and 5,711 overseas. 

USAID plans its development and humanitarian assistance 

programs in cooperation with the Department of State, 

and collaborates with a variety of other Federal agencies, 

multilateral and bilateral organizations, private companies, 

academic institutions, and nongovernmental organizations.

USAID

A Whole-of-Government

Approach to Assisting Highly

Vulnerable Children

Public Law 109-95, the Assistance for Orphans and Vulnerable 

Children in Developing Countries Act of 2005, was signed into 

law four years ago to respond to the global orphans and vulnerable 

children crisis. The act calls for the USG response to be comprehensive, 

coordinated, and effective. Seven Federal departments and agencies 

– Agriculture, Defense, Health and Human Services, Labor, State, 

Peace Corps, and USAID – provided approximately $5 billion to assist 

vulnerable children and their families in FY 20081. PL109-95 supports 

a whole-of-government approach through collaboration across multiple 

USG agencies and offices to make the impact on children of our 

collective effort greater than the sum of its individual parts. 

An interactive database has been developed to facilitate interagency 

strategic planning and coordination. The database currently includes 

information on intervention areas, target groups, recipient organizations 

and budgets for 2,044 projects in 113 countries.

Some of the programs already in place include:

■ Providing humanitarian and emergency assistance to children in 

dire need of immediate help due to natural disasters or conflict, 

including children who are refugees or internally displaced, and 

children associated with armed groups/forces.

■ Assisting children outside family care, including many orphans 

and street children.

■ Responding to children who are involved in or vulnerable to 

the worst forms of child labor.

■ Providing care, support, and treatment to children affected by 

HIV/AIDS.

■ Strengthening families and their protective capacities and thus 

prevent children from being abandoned, abused, exploited, 

and otherwise highly vulnerable.

■ Enabling families to care for disabled children and decrease 

the risk of abandonment.

■ Preventing child marriage.

■ Building child welfare capacity to a critical mass and thus enable 

countries to identify and respond to highly vulnerable children.

For more information on the implementation of PL109-95, visit: 

http://pdf.usaid.gov/pdf_docs/PDACN600.pdf.

1 FY 2009 data not yet available.

Introduction

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 5
Department of State-USAID

Joint Strategic Goal Framework

T

he Department of State-USAID Joint Strategic Plan for 

Fiscal Years 2007-2012 is anchored in the National 

Security Strategy and defines the primary aims of 

U.S. foreign policy and development assistance. The strategic framework outlined in the figure below is comprised of 

seven strategic goals and 39 cross-cutting strategic priorities. 

The Joint Strategic Plan fulfills the Department of State’s and 

USAID’s obligation for agency-level planning as mandated 

by the Government Performance and Results Act of 1993. 

The Joint Strategic Plan serves as a framework for policy and 

program goals at the country, regional, and global levels and 

is an organizational tool through which the Department of 

State and USAID manage U.S. Government resources efficiently. Learn more about the Joint Strategic Framework 

at http://www.state.gov/s/d/rm/rls/dosstrat/2007/ or http://

www.usaid.gov/policy/coordination/stratplan_fy07-12.html.

Visa Services

Passport Services

American Citizen Services

Planning and 

Accountability

Human Resources

Information 

Technology

Security

Facilities

Administrative Services

Rightsizing the 

U.S. Government 

Overseas Presence

Offer a Positive

Vision

Marginalize Extremism

Nurture Common

Interests and Values

Means for Migration

Protection,

Assistance, and Solutions

Orderly Humane

Management

Disaster Prevention

and Mitigation

Private Markets and 

Competitiveness

Trade and

Investment

Energy Sector

Environment

Agriculture

Infrastructure

Homeland Security

Counternarcotics

Transnational Crime 

Conflict Prevention,

Mitigation, and

Response

Social Services and 

Protection for 

Especially Vulnerable 

Populations

Rule of Law and

Human Rights

Good Governance

Civil Society

Political Competition and

Consensus-Building

Health

Education

Counterterrorism

Security

Cooperation and

Security Sector

Reform

Achieving Peace

and Security

Governing Justly and

Democratically

Investing in

People

Promoting Economic

Growth and

Prosperity

Providing Humanitarian

Assistance

Promoting

International

Understanding

Strengthening

Consular and

Management

Capabilities

Economic 

Opportunity 

Legend

Joint Strategic Goals

Joint Strategic Priorities

Combating 

Weapons of Mass 

Destruction and 

Destabilizing 

Conventional 

Weapons

Financial Sector

Macroeconomic 

Foundation for Growth

Department of State-USAID Joint Strategic Goal Framework

Quadrennial Diplomacy and Development Review

I

n July 2009, Secretary Clinton announced the Quadrennial Diplomacy 

and Development Review (QDDR). The QDDR will provide the 

short-, medium-, and long-term blueprint for U.S. diplomatic and 

development efforts. The goal is to use this process to guide the United 

States to agile, responsive, and effective institutions of diplomacy 

and development, including how to transition from approaches no 

longer commensurate with current challenges; leveraging the full 

range of American policy tools and resources; measurably impacting 

global progress in security, prosperity, and wellbeing; preventing 

and responding to crises and conflict; and providing strong, flexible 

management platforms to support institutional objectives. The QDDR 

will, among other things, offer guidance on how State and USAID 

should update methodologies; deploy staff; add new tools and hone 

old ones; and exercise new or restored authorities. At base, it will 

begin to align policy, strategy, capabilities, authorities, and resources 

—human and financial—to ensure effective execution of solutions to 

national security priorities.

The first phase of a deliberative process was completed soon after 

the end of FY 2009. This phase further identified and refined the 

capabilities State and USAID require to carry out our missions more 

effectively. In FY 2010 State and USAID will complete discussions in 

Washington and the field about how they can address the identified 

institutional gaps and areas where we lack necessary capabilities. 

For more information visit http://www.state.gov/s/dmr/qddr/.

Introduction

6 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
T

o manage the successes and meet the challenges of diplomacy and development in the 21st century, the Department of State and USAID are continually strengthening 

their management capabilities. This section summarizes selected 

accomplishments and key management challenges of the 

Department of State and USAID. In FY 2009, both agencies 

demonstrated significant improvements in key management 

capacities, such as human resources, acquisition and assistance, 

and information technology. The management challenges, as 

identified by the agencies’ respective Inspectors General and the 

U.S. Government Accountability Office (GAO) represent areas 

for continued improvement as well as potential risks. 

Management Accomplishments – State

Information Technology (IT) Support Consolidation. IT 

Consolidation centralizes domestic computer desktop support 

service in order to standardize systems and configurations, 

improve customer service and security, and contain costs. 

In 2009, the Department consolidated nine additional bureaus, 

bringing the percentage of bureaus consolidated to 76%, and the 

percentage of bureaus in the process of consolidation to 100%.

Overseas Posts Management Consolidation. In 2007, the 

Department and USAID began to consolidate administrative 

support services overseas to improve the efficiency and 

effectiveness of management operations. In 2008 and 2009, 

consolidation continued at additional posts. The Department 

and USAID are now planning consolidation activities at the 

remaining posts where both agencies are represented.

Greening Diplomacy Initiative (GDI). Launched by Secretary 

Clinton on Earth Day 2009, GDI incorporates greening and 

sustainability into the Department’s everyday operations. In 

recent years, Department domestic facilities received one Green 

Globes environmental certification from the Green Building 

Initiative, two Energy Star certifications from the Environmental Protection Agency and the Department of Energy, and one 

Leadership in Energy and Environmental Design (LEED) gold 

certification from the U.S. Green Building Council. Under a 

pilot recycling study in FY 2009, the Department recycled 24% 

of non-hazardous solid waste generated by six facilities in the 

Washington, DC area and about 80% in ten Northern Virginia 

sites. The Department regularly recycles about 75% of all 

construction debris generated during large renovation projects. 

By the end of FY 2009, the Department had 556 E85 flex-fuel 

vehicles (FFVs), 19 compressed natural gas vehicles, and 17 

gasoline hybrid electric vehicles in the domestic fleet, as well 

as 146 FFVs in the overseas fleet. The Department launched a 

bicycle pilot program for State employees as an effort to reduce 

its carbon footprint. In FY 2010, future “greening” initiatives 

continue through a comprehensive sustainability study of the 

Department’s worldwide operations.

Collaborative Management Initiative (CMI). At Embassies 

and consulates abroad, the Department provides administrative 

support services both to itself and other USG agencies. In 

early 2009, the Department began implementing a worldwide platform (eServices) to improve its provision of 195 

defined administrative services overseas. Personnel from 

all USG agencies abroad use eServices to electronically 

request administrative support services such as office repair/

maintenance or procurement of supplies. Envisioned as a 

one-stop shop, eServices provides a universal look and feel to 

customers worldwide and automatically captures performancerelated metrics to determine whether service performance 

standards are being met by the Department’s service providers. 

At the end of 2009, 53% of the Department’s Embassies and 

consulates were generating validated performance data from 

eServices and receiving feedback on the services they provide 

to their customers. 

Human Resources Shared Services (HRSS). HRSS establishes 

a single, integrated human resources service delivery system 

throughout the Department to enhance customer service 

and reduce processing times and overall costs. In 2009, the 

Department integrated five additional bureaus and well over 

3,000 employees into its shared services delivery model. It also 

launched an online searchable database of more than 1,600 

HR-related items, receiving more than 6,000 visits in the 

first two months alone.

Rightsizing. Mandated by Congress, the Rightsizing Program 

ensures that each overseas mission maintains the minimum 

number of personnel with the right skills to carry out its strategic goals. In 2009, rightsizing reviews lowered five-year staffing 

Management Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 7

Management Highlights
projections by a total of 506 positions worldwide. This will 

result in an estimated annual cost savings of $105 million in 

personnel costs and $137 million in capital construction costs.

Fee-for-Service Acquisitions. Beginning in 2008, the 

Department’s Office of Acquisition Management became 

a fee-for-service provider. Under this working capital fund 

model, the office charges an internal fee to Department bureaus 

for the contracts and grants that it awards on their behalf. The 

Office of Acquisition Management uses these assessments to 

improve its service to the bureaus and re-align its work capacity 

to match evolving Department policy and program priorities. 

This new way of operating has allowed the Department to 

enhance its procurement capacity, provide better service, 

and increase strategic sourcing of supplies and services.

As a first step in developing the President’s performance agenda, the 

White House Office of Management and Budget (OMB) requested 

agencies to identify a limited number of high priority performance 

goals (HPPGs). The Department and USAID have selected eight 

outcome-focused goals, listed below, that reflect the Secretary’s and 

Administrator’s highest priorities from now through FY 2011.

■ Afghanistan and Pakistan. Strengthen the host country capacity 

to effectively provide services to citizens and enhance the longterm sustainability of development efforts by increasing the number 

of local implementers (government and private) that can achieve 

a clean audit to clear them to manage civilian assistance funds.

■ Iraq. Helping the Iraqi people continue to build a sovereign, 

stable, and self-reliant country as the United States transitions 

from military to civilian responsibility in Iraq, measured by 

improvements in security, political, and economic metrics.

■ Global Health. By FY 2011, countries receiving health assistance 

will better address priority health needs of women and children, 

with progress measured by USG and UNICEF-collected data and 

indicators. By 2015, the Global Health Initiative aims to reduce 

mortality of mothers and children under five, saving millions of 

lives, avert millions of unintended pregnancies, prevent millions 

of new HIV infections, and eliminate some neglected tropical 

diseases.

■ Climate Change. By the end of FY 2011, U.S. assistance will 

have supported the establishment of at least 20 work programs to 

develop Low-Carbon Development Strategies (LCDS) that contain 

Department of State & USAID High Priority Performance Goals

measurable, reportable, and verifiable actions. This effort will 

lay the groundwork for at least 30 completed LCDS by the end 

of FY 2013 and meaningful reductions in national emissions 

trajectories through FY 2020.

■ Food Security. By FY 2011, up to five countries will demonstrate 

the necessary political commitment and implementation capacities 

to effectively launch the implementation of comprehensive food 

security plans that will track progress towards the country’s first 

Millennium Development Goal (MDG1) to halve poverty and 

hunger by FY 2015.

■ Democracy, Good Governance, and Human Rights. Facilitate 

transparent, participatory, and accountable governance in 23 

priority emerging and consolidating democracies by providing 

training assistance to 120,000 rule of law professionals, civil 

society leaders, democratically elected officials, journalists, and 

election observers over the 24-month period of October 1, 2009 

through September 30, 2011. 

■ Global Security – Nuclear Nonproliferation. Improve global 

controls to prevent the spread of nuclear weapons and enable 

the secure, peaceful use of nuclear energy.

■ Management – Building Civilian Capacity. Strengthen the 

civilian capacity of the Department of State and USAID to conduct 

diplomacy and development activities in support of the foreign 

policy goals by strategic management of personnel, effective 

skills training, and targeted hiring.

Strategic Sourcing Initiative. In FY 2009, the Department 

began participating in the General Services Administration’s 

Federal Strategic Sourcing Initiative Office Supply Program. 

This program has simplified the purchase of supplies for the 

Department’s offices in the United States; provided tangible 

benefits, such as facilitating the purchase of “green” office 

supplies; and is an effective cost cutting strategy.

American Recovery and Reinvestment Act (ARRA). The 

Department received $602 million in ARRA funds, of which 

$38 million was transferred to USAID. The Department will 

use ARRA funds to create and save jobs, repair and modernize 

domestic infrastructure crucial to the safety of American 

citizens, and expand consular services offered to American 

taxpayers. By the end of 2009, the Department had obligated 

59% of its ARRA funds. The Department’s Office of the 

Inspector General (OIG) has planned nine audits to provide 

oversight of the ARRA funds.

Management Highlights

8 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Management Accomplishments – USAID

Expanding the Workforce. The Agency is expanding its 

overseas workforce, increasing existing staff capacity through 

training and development, and improving personnel and information technology systems. Under the Agency’s Development 

Leadership Initiative (DLI), USAID has set a goal to double its 

permanent Foreign Service Officer (FSO) corps over the next 

several years – an increase of 1,200 new positions in total. To 

date, the Agency has selected 543 candidates, sworn in 374 

officers, and sent 165 DLIs to post, strengthening USAID’s 

technical and leadership capacity. New FSOs hired under the 

DLI will work in more than 90 countries around the globe to 

promote stability, reduce crises, and allow the Agency to take 

a more direct role in the design, implementation, and evaluation of development programs. This strengthened FSO corps 

will provide USAID with greater depth and breadth across 

technical areas, bringing a wider range of foreign language 

expertise, more partnership activities, enhanced capacity to 

ensure accountability, and better-targeted and more tailored 

local programming. The Agency will be able to assign officers to 

work directly with their counterparts at all levels of government.

Promoting Diversity. The Agency made increasing diversity 

a priority. For example, DLI recruitment is explicitly targeted 

to under-represented minority groups by recruiting at Historically Black Colleges and Universities and through the League of 

United Latin American Citizens. The Agency also established a 

new Office of Civil Rights and Diversity (OCRD). The OCRD 

will promote diversity throughout the Agency and attend to a 

broad range of diversity issues such as promotions, outreach, 

accountability, and attention to historically overlooked groups. 

Enhancing Crisis Response. USAID is providing leadership 

on behalf of the U.S. Government in response to the new 

challenges in the developing world. Under the Civilian 

Stabilization initiative, the Agency is recruiting specialized Civil 

Service personnel to enhance its development-oriented crisis 

response capacity. The Agency projects a total of 91 Civilian 

Response Corps active staff. Currently, nearly a third of these 

are on board. USAID is also posting officers as development 

advisors to combatant commands and conducting joint 

planning exercises with the Department of Defense. A total 

of 65 DLI officers will be Crisis Response, Humanitarian 

Assistance, and Democracy and Governance officers. 

Critical Priority Countries. USAID continues to show 

leadership and results in the critical priority countries in which 

it works, from Afghanistan and Pakistan to Iraq and Sudan. 

The Agency’s surge efforts in Iraq in 2006 and 2007 have been 

successful and, as a result, it is now reducing its footprint in 

these countries. 

Acquisition, Assistance, and Other Systems. Expansions in 

USAID’s workforce need to be supported by robust management tools and systems, one of which is the Global Acquisition 

and Assistance System (GLAAS). Funded with the $38 million 

USAID received under ARRA, GLAAS is a new worldwide integrated procurement system that will help to reduce dependence 

on outside contractors. To date, GLAAS has been deployed to 

21 Missions and all or part of six Washington bureaus. 

Private Sector Partnerships. Since 2001, USAID has leveraged substantial private sector resources, and has established 

900 Global Development Alliances with over 1,700 partners 

to leverage $9 billion in resources. The Agency has made 

over $1 billion available to underserved markets though the 

Development Credit Authority, bolstering the capacity of host 

countries to finance their own development. Also, in keeping 

with its vision of development partnership, it has prioritized 

the establishment of cost-sharing agreements with emerging 

donor governments. 

IRAQ – Strengthening

the Bilateral Relationship 

State and USAID are supporting the Strategic 

Framework Agreement (SFA), the foundation for a longterm bilateral relationship with Iraq. This support includes: 

bolstering Iraq as it strengthens rule of law; enhancing 

educational and technical training; promoting academic 

linkages; and, promoting economic opportunities and 

job creation through expansion and diversification of the 

economy, principally through private sector development 

and foreign direct investment. Activities to achieve 

normalization also support the implementation of the SFA, 

including assistance with: the political process; national 

unity within the framework of a unified federal Iraq; and, 

the development of a diversified, advanced economy 

that is integrated into the international community.

Management Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 9
Management Challenges – State

The Department of State faced significant challenges in FY 2009 associated with protection of people and 

facilities, information security, financial management, contracting and procurement, counterterrorism and 

border security, public diplomacy, coordinating foreign assistance, staffing and foreign language proficiency, working in 

conflict areas, managing for results, acquisition and assistance, human capital management, and information technology 

management. The following outlines management challenges for the Department for FY 2009 identified by the OIG and 

GAO. The management challenges are followed by a brief description of actions taken and actions remaining. The full OIG 

statement for the Department of State can be found on pages 121-124 of the Department’s FY 2009 Agency Financial Report at: 

http://www.state.gov/documents/organization/132214.pdf.

FY 2009 STATE MANAGEMENT CHALLENGES

Protection of People and Facilities

OIG

Challenge

Security Personnel Staffing and Preparedness. The Department must initiate a more strategic approach to the growing 

demands placed on its security personnel, increase personnel efficiency and effectiveness, and find ways to accelerate 

implementation of security measures in response to new threats.

Actions

Taken

Using lessons learned in Iraq and Afghanistan, the Department established protective operations and emergency response teams 

to protect Americans in Peshawar, Pakistan, one of the most dangerous posts.

Actions

Remaining

The Department will integrate more strategic approaches to growing security requirements, further streamline the process to 

update these requirements, and work with other U.S. agencies served by Department security services abroad to share in the 

costs of these requirements.

OIG

Challenge

Overseas Facilities. Until the Department replaces all overseas facilities that do not meet security standards, it must identify 

and implement temporary mitigating measures.

Actions

Taken

In 2009, the Department completed seven new Embassy compounds, moving nearly 1,500 people into more secure installations, 

implemented ten major compound security upgrade projects, and prepared the first Long-Range Overseas Maintenance Plan to 

protect new facility investments and capture maintenance requirements in our legacy buildings.

Actions

Remaining

The Department will identify and implement further measures to mitigate threats to people, facilities, and information until all 

facilities are fully secured.

Information Security

OIG

Challenge

Protection of Personally Identifiable Information. The Department must continue to focus and improve on recently 

identified weaknesses in its efforts to protect Personally Identifiable Information (PII).

Actions

Taken

The Department has made significant improvements in its protection of PII, including developing a more robust Privacy Impact 

Assessment to identify privacy risks and vulnerabilities in new or substantially modified information systems, examining 

information sharing agreements with other entities to ensure that adequate protections are in place, and continuing internal 

reviews of selected business processes to ensure the collection of only the minimum amount of PII to meet business objectives.

Actions

Remaining

Additional efforts are ongoing in this area, but the Department will continue enacting greater safeguards to protect the 

privacy of PII.

OIG

Challenge

Use of Laptops. The Department must improve its laptop inventory system and encryption procedures, as well as its tracking of 

security awareness training.

Actions

Taken

State has enhanced its laptop procedures by strengthening its laptop inventory process, implementing automatic alert procedures

for every information security-related breach involving laptops without a waiver, requiring installation of encryption on all 

laptops, and mandating laptop-specific security awareness training for all laptop users.

Actions

Remaining

The Department will take additional measures to fully address OIG’s findings.

Financial Management

OIG

Challenge

Financial System Controls. During an independent external audit of the Department’s financial statements, the auditor could 

not express an opinion by the mandated deadline due to the Department’s untimely response to a document request.

Actions

Taken

The Department subsequently provided sufficient documents, and the auditor concluded that the amounts presented in the 

financial statements were materially fair, and in conformity with generally accepted accounting principles. Overall, the 

Department continued to improve controls over financial management.

Actions

Remaining

State will address certain deficiencies in its internal financial system controls, and improve compliance with federal financial 

management requirements.

(continued on next page)

Management Highlights

10 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
FY 2009 STATE MANAGEMENT CHALLENGES (continued)

Contracting and Procurement

OIG

Challenge

Procurement Management. The Department must improve procurement planning and documentation, as well as contract 

administration and oversight.

Actions

Taken

Although procurement volume increased significantly in recent years, there was no corresponding increase in contracting staff. 

The Department generally followed applicable contracting requirements in soliciting and awarding contracts. It also made 

significant improvements in the timeliness of some of its payments by providing greater oversight of the payment process, 

resulting in a dramatic reduction in some interest payments.

Actions

Remaining

The Department will further improve management oversight of its procurement process.

Counterterrorism and Border Security

OIG

Challenge

Cross-Border Issues. The Department must anticipate and adequately prepare for the implementation of recent statutory 

requirements and foreign policy initiatives that will impact cross-border issues and result in increased staffing, resource, and

oversight demands.

Actions

Taken

In collaboration with the Department of Homeland Security and other USG agencies, State continues to improve technology 

at ports of entry, the security of travel documents, and the screening technology used by officials at home and abroad.

Actions

Remaining

The Department will address increased staffing, resource, and oversight demands including the implementation of the Western 

Hemisphere Travel Initiative, requiring travel documents for all land, sea, and air travelers in the region, and border crossing card 

replacement.

Public Diplomacy

OIG

Challenge

Integration Initiatives. The Department must further develop public diplomacy integration initiatives internally as well as 

at the interagency level, and needs to continue searching for new ways to conduct public diplomacy.

Actions

Taken

The Department made important progress to make public diplomacy part of a total diplomatic effort. It successfully embedded 

public diplomacy into some regional planning. It also reached out to foreign audiences worldwide through a mobile phone text 

messaging system, a team of online bloggers, the America.gov website, Twitter, interactive multimedia platforms, and virtual 

presence posts.

Actions

Remaining

The Department will continue integrating public diplomacy into policy formation, further disseminate successful integration 

efforts, and continue leveraging new technologies. Public Diplomacy will continue to bring strategic focus to how public 

diplomacy programs, resources, and structures support foreign policy objectives.

Coordinating Foreign Assistance

OIG/GAO1

Challenge

Planning. The Department must advance a time frame for developing a comprehensive U.S. foreign assistance strategy, clearly 

capture all relevant programs and activities in its planning process, and improve coordination and financial management of its 

foreign assistance funds. 

Actions

Taken

State has taken steps to provide a comprehensive view of all U.S. foreign assistance activities in every country in which U.S. 

resources are targeted, and continue working to integrate foreign assistance planning and budgeting into the strategic planning

of other foreign policy goals. The Department initiated a pilot five-year country assistance strategy program, changed the budget 

formulation process, and implemented a joint Department and USAID budget process. Additionally, it recently reinvigorated its 

capacity to monitor and evaluate foreign assistance by increasing staff, training, and technical resources.

Actions

Remaining

Under the leadership of the new Deputy Secretary for Management and Resources, State is undertaking efforts to better integrate

foreign assistance into Department operations.

Staffing and Foreign Language Proficiency

OIG/GAO2

Challenge

Language Training. The Department continues to have persistent gaps in its foreign language capabilities due to overall staffing 

shortages, which limit the number of staff available for language training, and the recent increase in language-designated 

positions.

Actions

Taken

State took an essential first step by conducting additional hiring above attrition levels. Additionally, it convened an internal 

language working group to further department-wide communication and collaboration in all language-related issues.

Actions

Remaining

The Department is in the process of developing a personnel simulation model to determine needs more accurately, and better 

balance training and operational requirements and staffing resources.

1 For more information, go to http://www.gao.gov/new.items/d09192.pdf, pg. 45.

2 For more information, go to http://www.gao.gov/products/GAO-09-1046T.

Management Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 11
Management Challenges – USAID

Every year, USAID’s OIG identifies management challenges that affect the ability of the Agency to deliver 

foreign assistance. The FY 2009 challenges relate to working in conflict areas, managing for results, acquisitions 

and assistance, human capital management, and information technology management. In response to OIG’s recommendations, 

the Agency takes immediate remedial actions. Some highlights are outlined below. See the FY 2009 USAID Agency Financial 

Report at http://www.usaid.gov/policy/afr09/FY2009AFR11-16-09.pdf (p. 111) for the OIG’s memorandum on this subject, dated 

November 3, 2009, and the full Agency response. 

FY 2009 USAID MANAGEMENT CHALLENGES

Working in Conflict Areas

OIG

Challenge

Afghanistan, Pakistan, and Iraq. Oversight of USAID programs is complicated by deteriorating security and a myriad other 

problems, including widespread corruption at the local level and USAID staffing issues.

Actions

Taken

USAID/Washington continued to strengthen recruitment of appropriately skilled staff for Critical Priority Countries and issued 

a new policy on alternative methods for monitoring in High Threat Environments (HTEs). The Asia and Middle East bureaus also 

launched a website on resources and best practices on monitoring in HTEs gleaned from field officers, implementing partners and 

other organizations. 

Actions

Remaining

Continuing investment in security and staff training are essential for effective and efficient program implementation. Further 

outreach and dialogue with Department of State Regional Security Officers, particularly in the Middle East and South and Central

Asia will continue with the goal of increasing USAID program managers’ access to field sites.

Managing for Results

OIG

Challenge

Assistance Planning. In FY 2009, 20 OIG audits reported that overall program performance indicators and targets were not 

established, overall program targets were not assigned to specific contractors or grantees, and performance targets in program 

management plans, contracts and grants, and annual work plans were inconsistent or contradicted each other.

Actions

Taken

In 2009, USAID developed and implemented a training course on Managing for Results (MfR) that aims to revitalize staff skills 

in planning and performance management including lessons on indicator selection, target setting, developing performance 

management plans, and incorporating monitoring and evaluation actions into contracts and grants. Approximately 140 people 

have been trained to date.

Actions

Remaining

Additional MfR workshops are scheduled to occur in FY 2010, and technical assistance to Missions and offices on performance 

management is ongoing. 

OIG

Challenge

Results Reporting. Some of the performance narratives do not place results in context or provide a balanced, objective 

description of program performance. In FY 2009, 18 OIG reports disclosed that data reported by USAID Operating Units (OUs) or 

their partners were misstated.

Actions

Taken

FY 2008 marked the first year for all USAID and Department of State OUs (over 180 OUs) to submit a Performance Plan and Report 

(PPR). Each PPR was reviewed and feedback provided to the OU noting the report’s strengths and weaknesses. If narratives lacked 

country context or linkages to outcome and impact goals, this was noted in a memo to the OU with a deadline for a revised 

report. The Department’s Office of the Director for Foreign Assistance (State/F) conducted an after action review (AAR) and survey 

to identify challenges that OUs faced in completing the PPR, to identify and correct any misunderstandings, and to see where the 

PPR guidance and process could be clarified, strengthened, or modified. The survey findings were incorporated into the guidance 

for the FY 2009 PPRs.

Actions

Remaining

F expects to continue to seek improvements in the way OUs report results and in the review of and feedback process to OUs. 

Acquisition and Assistance

OIG

Challenge

Deploying a Global Acquisition and Assistance System (GLAAS). Potential challenges for USAID include complying with 

the American Recovery and Reinvestment Act of 2009 mandates, providing adequate direct-hire support for GLAAS activities, and 

managing various project artifacts.

Actions

Taken

USAID increased its staff's awareness and understanding of procedures for Recovery Act-related funds. The Agency staffed GLAAS

with direct hires in the lead positions required to address all challenges and strengthened the document review process to ensure 

that all deliverables and documents are appropriately reviewed before being finalized. The GLAAS team established a formal 

Control Account Plan for carrying out the full range of activities necessary to complete the project.

Actions

Remaining

Recovery Act invoice payments tracking has improved due to additional training and incorporation of efficiencies. GLAAS direct 

hire staffing is adequate and standardization and improvement of all processes are ongoing. 

(continued on next page)

Management Highlights

12 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
FY 2009 USAID MANAGEMENT CHALLENGES (continued)

Acquisition and Assistance (continued)

OIG

Challenge

Using Performance Based Contracting. The OIG audits have shown that USAID has not incorporated all of the Federal 

Acquisition Regulation requirements for performance-based contracting for some of its procurements. For example, USAID did 

not always incorporate meaningful performance standards to the maximum extent practicable, use quality assurance surveillance 

plans, or incorporate performance incentives into the task orders to the maximum extent practicable.

Actions

Taken

USAID created a full-time position in the Office of Acquisition and Assistance for a performance-based contracting expert to 

advise on the subject. The individual was hired on schedule in January 2010.

Actions

Remaining

None.

Human Capital Management

OIG

Challenge

Workforce Planning. USAID needs to continue to implement its workforce planning strategy to close skills gaps through 

recruitment, retention, training, succession planning, and other strategies.

Actions

Taken

USAID has developed and begun implementation of the DLI, the Human Capital Strategic Plan FY 2009-13, and a five-year 

workforce plan for the same period. 

Actions

Remaining

USAID will continue implementing all aspects of the Human Capital Strategic Plan and associated five-year workforce plan, 

which will be updated to reflect the strategic directives of the new administration. 

Information Technology Management

OIG

Challenge

Implementing Homeland Security Presidential Directive-12 (HSPD-12) Initiative. USAID lacks the resources needed to carry 

out this Government-wide initiative and relies on the Department of State implementation plan until one is developed for USAID.

Actions

Taken

HSPD-12 identification cards were issued to all domestic USAID employees and Ronald Reagan Building physical access controls 

are in place.

Actions

Remaining

Full compliance for physical access controls overseas is dependent on Department of State implementation. 

Greening Diplomacy

The United States and other countries that have been the biggest historic emitters of greenhouse gases 

should shoulder the biggest burden for cleaning up the environment and reducing the U.S. carbon footprint. On Earth Day, April 22, 2009, Secretary Clinton launched the Greening Diplomacy Initiative (GDI), a new 

commitment to lead by example and improve the sustainability of the Department of State’s facilities and operations. 

The GDI will harness the Department’s policy, management, and public diplomacy capacities to advance greening 

efforts and incorporate greening and sustainability into the Department’s everyday operations. 

■ The HST building recycles nearly 250 tons of 

waste annually and on August 1, the cafeteria 

completely phased out styrofoam cups, trays, and dishes.

■ The Department is recycling or reusing over 75% of all 

construction and demolition waste from the ongoing 

HST renovations.

■ All new Embassy and consular building projects must receive 

the U.S. Green Building Council’s LEED certification.

■ Members of the League of Green Embassies are working with 

both the Departments of State and Energy toward a goal of 

cutting energy usage at their embassies by 30% by 2015.

Objectives of the Initiative include:

■ Developing and implementing strategies that reduce the 

Department’s carbon footprint.

■ Empowering employees to contribute to and participate in 

greening efforts.

■ Leveraging best practices internally and externally, and monitoring 

progress of the Department’s ongoing greening efforts.

■ Connecting the management of the Department with its 

diplomacy and development efforts.

Greening in Action:

■ There are now 104 solar panels located on the roof of the Department of State’s main building, the Harry S Truman (HST) building.

Management Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 13
Our diplomatic and development efforts to tackle the complex challenges of the 21st century require a multifaceted 

“Smart Power” toolkit that draws upon the collective expertise of the entire U.S. Government. In Washington and 

around the world, the Department of State and USAID experts work closely with dedicated colleagues from many 

agencies to ensure that U.S. diplomatic, development, and defense goals are pursued vigorously and comprehensively. This 

section summarizes by region the key issues facing the United States as it engages bilaterally, regionally, and in multilateral 

partnerships to advance U.S. foreign policy and international development goals. 

Africa Region

There has never been a more critical time to consolidate the 

progress and promise of Africa. Home to approximately 800 

million people, Africa is increasingly linked to global markets, 

holds vast natural resources, and will soon provide 25% of U.S. 

oil imports. It is in the interest of the United States for Africa 

to be stable, well-governed, and economically self-sufficient with 

healthy and productive populations. In addition to significant 

expanded engagement in food security, climate change, and 

democracy and governance, USG assistance will continue 

to address the underlying causes of both conflict and violent 

extremism that threaten stability, democracy, and prosperity 

in a number of countries. Furthermore, increased support 

for trade and investment and private sector competitiveness 

will encourage the strong economic growth needed to sustain 

gains in health, education, and democracy.

Promoting Conflict Prevention and Good Governance. 

Although wars in Liberia, the Democratic Republic of 

the Congo (DRC), Angola, Burundi, Uganda, and Sierra 

Leone, and the North-South conflict in Sudan have ended 

or dramatically abated, sub-Saharan Africa has recently 

experienced significant stagnation and challenges to its progress 

towards democracy and good governance. A range of African 

countries has been affected, and stagnation of progress towards 

democracy and governance has stemmed in part from military 

coups, ethnic conflict, and growing suppression of civil society. 

Continuing conflicts and lawlessness in the DRC and the Horn 

of Africa remain major stability and peacekeeping challenges. 

Most worrying are the democratic setbacks in countries that 

have historically been considered “good performers.” Regional 

bodies such as the African Union have a growing potential to 

provide leadership and share best practices, but the influence 

of poorly governed and autocratic states on these multilateral 

institutions complicates the evolution toward better governance 

in Africa. This effort relates to the Democracy, Good Governance, and 

Human Rights High Priority Performance Goal listed on page 8.

Providing Food and Emergency Aid. Poor governance, 

conflict, and corruption contribute to the need for billions of 

dollars per year in food and non-food emergency assistance 

from the United States and other bilateral and multilateral 

donors. Lacking any sustained political and economic 

improvements, and with Africa’s population expected to double 

by 2050 to 1.8 billion, the continent’s humanitarian needs 

will only escalate. This effort relates to the Food Security High Priority 

Performance Goal listed on page 8.

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P ACIFI C

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CARIBBEAN SEA

KARA SEA

LA

BARENT S

S E A

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S E A

NORTH

SEA

BLACK SEA

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ARABIAN SEA

R E D S E A

SOUTH

CHINA

SEA

Y

JAVA SEA

A R C T I C O C 

A RCTIC OCEAN

CHUKCHI

SEA

BEAUFORT

SEA

 LABRADOR

SEA

CASPIAN SEA

MEDITERRANEAN SEA

BALTIC SEA

Cape Leeuwin

Gulf of Aden

North Cape

Gulf of Bothnia

Persian Gulf

Bay of Bengal

Cape of Good Hope

G ulf o f

G uine a

D e n m a r k S t r a i t

Gulf of Mexico

Gulf

of

Alaska

Bering Strait

 Foxe

Basin

Hudson

Bay

P a r r y C h a n n e l

Nares Strait

D a v i s S t r a i t

Strait of Magellan

C a p e H o r n

B a f  n

B a y

Mozambique Channel

Bay of

Biscay

Strait of Gibraltar

NIGERIA

COMOROS

BURUNDI

RWANDA

MAURITIUS

SUDAN

ETHIOPIA

KENYA

TANZANIA

ANGOLA

ZIMBABWE Z

MOZAMBIQUE Z

LESOTHO LES

SWAZILAND WA

SOUTH AFRICA

NAMIBIA BOTSWANA

DEM. REP.

OF CONGO

CENTRAL AFRICAN REPUBLIC

UGANDA

CCOONGOGO

CAMEROON

GABON

NIGER

EQUAT.GUINEA

GAMBIA

GUINEA-BISSAU

SIERRA LEONE

LIBERIA

CÔTE

D'IVOIRE

SÃO TOMÉ AND PRINCIPE

DJIBOUTI

ERITREA

MAURITANIA

CAPE VERDE

GUINEA

SOMALIA

CHAD

GHANA

TOGO

BENIN

BURKINA

FASO

MALI

ZAMBIA MALAWI

SENEGAL

MADAGASCAR

SEYCHELLES

Angola

Benin 

Botswana 

Burkina Faso 

Burundi 

Cameroon 

Cape Verde 

Central African Republic 

Chad 

Comoros 

Congo, Democratic 

Republic of the 

Congo, Republic of the 

Cote d’Ivoire 

Djibouti 

Equatorial Guinea

Eritrea 

Ethiopia 

Gabon 

Gambia, The 

Ghana 

Guinea 

Guinea-Bissau 

Kenya 

Lesotho 

Liberia 

Madagascar 

Malawi 

Mali 

Mauritania 

Mauritius 

Mozambique 

Namibia

Niger

Nigeria 

Rwanda 

Sao Tome and Principe 

Senegal 

Seychelles

Sierra Leone

Somalia 

South Africa 

Sudan 

Swaziland 

Tanzania 

Togo 

Uganda 

Zambia 

Zimbabwe

*The Department of State uses both common and official country names. This map uses common names.

Diplomacy and development regional highlights

14 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009

Diplomacy and Development

Regional Highlights
Investing in Healthcare. Robust support to fight prevalent 

diseases affecting millions of Africans will continue. Expanded 

support to maternal and child health, family planning, and 

reproductive health will undergird stronger health systems. 

U.S. Government programs have made significant contributions, including reducing mortality among children under 5 by 

14% since 1990. And in the fight against AIDS, malaria, and 

tuberculosis, the United States has been one of Africa’s major 

partners. This effort relates to the Global Health High Priority Performance 

Goal listed on page 8.

Promoting Sustainable Economies and Education. Despite 

the aid provided, Africa remains the poorest and most 

economically vulnerable continent in the world, and the 

current economic crisis threatens to reverse recent economic 

gains. Now, more than ever, the United States must help 

its African partners raise per capita income levels, promote 

broad-based, sustainable growth, and improve the business 

environment. U.S. support to basic education will continue 

to be a key factor in educating Africa’s youth and providing 

the skills they need for a healthy and productive life. 

East Asia and Pacific Region

The East Asia and Pacific region accounts for nearly a third 

of the Earth’s population and 25% of global gross domestic 

product. As such, it plays a central role in shaping the course 

of the world’s economy, maintaining international peace 

and stability, and addressing key transnational issues such as 

energy, environment and climate change, pandemics, and 

nonproliferation. 

The region contains five of the United States’ top 15 trading 

partners and is home to long-standing treaty allies in Japan, 

the Republic of Korea, Australia, the Philippines, and Thailand, 

as well as security relationships through Compacts of Free 

Association with the Marshall Islands, Micronesia, and Palau. 

Exponential economic growth in China and elsewhere has 

created market opportunities for U.S. goods and services 

while diffusing prosperity more widely in the region, creating 

burgeoning new middle classes, and accelerating regional 

integration. 

Meeting Security Challenges. Achieving denuclearization 

of the Korean Peninsula is the U.S. goal in the region. The 

United States is strongly committed to, and continues to work 

toward, full and transparent implementation of all relevant 

Security Council Resolutions that require the Democratic 

People’s Republic of Korea to re-establish its moratorium 

on missile launches and express “gravest concern” that its 

missile activities have “generated increased tension in the 

region and beyond.” This effort relates to the Global Security – 

Nuclear Nonproliferation High Priority Performance Goal listed on page 8.

Reaffirming U.S. Economic Leadership in Creating Economic 

Stability and Sustainable Growth. In the wake of the global 

financial crisis, confidence in U.S. economic stability, policy 

prescriptions, and leadership have been shaken. The U.S. 

strategic priority is to reinvigorate U.S. economic leadership in 

the face of pressures to forge Asian stand-alone approaches and 

to create self-sustaining regional organizations. 

Constructive and Cooperative Relationship with China.

China’s reemergence will affect U.S. interests in the areas 

of peace and security, economic prosperity, health, and the 

expansion of human dignity and democracy for generations 

to come. State and USAID are broadening public outreach 

and working with partners to realize a vision of a region that is 

prosperous, stable, and democratic, and planning for rapidly 

expanding engagement. How the United States works with 

China today will shape the global geopolitical, economic, 

security, and public health environment tomorrow. 

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SIBERIAN

SEA

SEA OF

OKHOTSK

BARENT S

S E A

N O RWE G IAN

S E A

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SEA

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I NDIAN

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ARABIAN SEA

R E D S E A

SOUTH

CHINA

SEA

EAST

CHINA

SEA

YELLOW

SEA

SEA OF

JAPAN

JAVA SEA

PHILIPPINE

SEA

CHUKCHI

SEA

A R C T I C O C E A N

A RCTIC OCEAN

CHUKCHI

SEA

BEAUFORT

SEA

BEAUFORT

SEA

 LABRADOR

SEA

CASPIAN SEA

MEDITERRANEAN SEA

BALTIC SEA

Bering Strait

Cape Leeuwin

G r e a t B a r r i e r R e e f

Gulf of Aden

North

Cape

Gulf of

Yana

Gulf of Bothnia

Persian Gulf

Bay of Bengal

Cape of Good Hope

G ulf o f

G uine a

D e n m a r k S t r a i t

Gulf of Mexico

Gulf

of

Alaska

Great Australian

Bight

Bering Strait

 Foxe

Basin

Hudson

Bay

P a r r y C h a n n e l

Nares Strait

D a v i s S t r a i t

Strait of

Magellan

C a p e H o r n

B a f  n

B a y

Mozambique Channel

Bay of Biscay

Strait of Gibraltar

TIMOR LESTE TI

PAPUA NEW GUINEA AP A NEW

SOLOMON ISLANDS M

MARSHALL

ISLANDS

NAURU

FEDERATED STATES OF MICRONESIA

PALAU

VANUATU

FIJI

TONGA

TUVALU

SAMOA

AUSTRALIA

NEW ZEALAND

CAMBODIA AM PHILIPPINES HILIPPINE

THAILAND

MYANMAR

(BURMA)

CHINA

MONGOLIA

BRUNEI

N. KOREA

TAIWAN

JAPAN

S. KOREA

INDONESIA A SEA

LAOS

VIETNAM VI

KIRIBATI

MALAYSIA

JAPAN

NEW ZEALAND

SINGAPORE

Australia 

Brunei 

Burma 

Cambodia 

China 

Fiji 

Indonesia 

Japan 

Kiribati 

Korea, North

Korea, South

Laos 

Malaysia 

Marshall Islands 

Micronesia 

Mongolia 

Nauru 

New Zealand 

Palau 

Papua New Guinea 

Philippines 

Samoa

Singapore 

Solomon Islands

Taiwan 

Thailand 

Timor-Leste 

Tonga 

Tuvalu 

Vanuatu 

Vietnam 

*The Department of State uses both common and official country names. This map uses common names.

Diplomacy and development regional highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 15
Promoting Good Governance, Human Rights, and 

Democratic Institutions in Transitional Countries. It is 

a major priority to promote good governance, strengthen 

public institutions, and create more vibrant, effective local 

governments. Civil societies and media foster responsive central 

governments and promote human rights. For example, U.S. 

efforts in Burma continue to press for democratic transition, 

and make long-term investments that will help build civil 

society and civic leadership needed to manage the enormous 

governance challenges that will arise when political change 

finally comes. In Fiji, the United States continues to work with 

the Pacific Island Forum and other regional partners to press 

for the return of democratic government. And in North Korea, 

the USG carries on its commitment to keeping international 

attention focused on human rights abuses and the plight of 

refugees. This effort relates to the Democracy, Good Governance, and 

Human Rights High Priority Performance Goal listed on page 8.

European and Eurasian Region

Spanning 50 countries – and including critical relationships 

with the North Atlantic Treaty Organization (NATO), the 

European Union (EU), and the Organization for Security and 

Cooperation in Europe (OSCE) – the Department of State and 

USAID engage with European and Eurasian partners to address 

the greatest challenges facing our societies today. Europeans 

are often the first partners to which the United States looks for 

leadership, support, and cooperation in any major initiative – 

whether to combat terrorism and proliferation, resolve regional 

conflicts, mitigate the global economic crisis and restore 

economic growth, address climate change and energy security, 

promote global health, or advance American values. 

A Peaceful, Free, and United Europe. With Central and Eastern Europeans now core members of NATO and the EU – one 

of the most significant post-Cold War accomplishments – there 

is still unfinished business. These countries have stood by the 

United States in Afghanistan, Iraq, and the Balkans; have agreed 

to partner with the United States on missile defense; and are 

among the strongest advocates for democracy and human rights 

worldwide. The United States must sustain and strengthen the 

relationships by demonstrating continued commitment to these 

allies, while also encouraging them to make further progress 

on key internal issues including transparency and the rule of 

law, combating anti-Semitism and extremism, and improving 

respect for minority groups. 

Democracy in the Caucasus and Europe’s East. The 

United States will continue to encourage peace, stability and 

prosperity in the countries of the Caucasus and Europe’s 

East – Armenia, Azerbaijan, Georgia, Ukraine, Moldova, and 

Belarus. The United States strongly supports the sovereignty 

and independence of all European states, including those that 

emerged from the former Soviet Union. The United States 

supports Georgian territorial integrity and its right to choose 

LINCOLN SEA

S O UTHERN O C 

SOUTHERN OCEAN

WEDDELL SEA W

BELLINGSHAUSEN

SEA

AMUNDSEN SEA 

S OUT H

A TLANTI C

O C EAN

NORT H

A TLANTI C

O C E A N

G R E E N L A N D S E A

BERING SEA

N ORT H

P A C IFI C

O C E A N

SOU T H

P ACIFI C

O C E A N

CARIBBEAN SEA

KARA SEA

BARENT S

S E A

N O RWE G IAN

S E A

NORTH

SEA

I NDIAN

O C EAN

ARABIAN SEA

R E D S E A

A R C T I C O 

A RCTIC OCEAN

CHUKCHI

SEA

BEAUFORT

SEA

 LABRADOR

SEA

CASPIAN SEA

MEDITERRANEAN SEA

BALTIC SEA

C

Gulf of Aden

North

Cape

Gulf of Bothnia

Persian Gulf

Bay of Bengal

Cape of Good Hope

G ulf o f

G uine a

D e n m a r k S t r a i t

Gulf of Mexico

Gulf

of

Alaska

Bering Strait

 Foxe

Basin

Hudson

Bay

P a r r y C h a n n e l

Nares Strait

D a v i s S t r a i t

Strait of Magellan

C a p e H o r n

B a f  n

B a y

Mozambique Channel

Bay of

Biscay

Strait of Gibraltar

AUSTRIA

NETHERLANDS

FRANCE

GERMANY

DENMARK

ITALY

MALTA GREECE

SPAIN

VATICAN CITY

(HOLY SEE)

LIECHTENSTEIN

BELGIUM

LUXEMBOURG

SWITZERLAND

TURKEY

CYPRUS

GEORGIA

FINLAND

ICELAND

UNITED

KINGDOM

IRELAND

PORTUGAL

HUNGARY MOLDOVA

CZECH REP. SLOVAKIA

POLAND

SLOVENIA ROMANIA

ALBANIA MACEDONIA

BOSNIA

& H.

BULGARIA

ESTONIA

LATVIA

LITHUANIA

BELARUS

UKRAINE

SERBIA

RUSSIAN 

FEDERATION

ARMENIA

AZERBAIJAN

CROATIA

NORWAY

SWEDEN

MONTENEGRO KOSOVO

GREENLAND

Albania

Andorra 

Armenia 

Austria 

Azerbaijan 

Belarus 

Belgium 

Bosnia and 

Herzegovina 

Bulgaria 

Croatia 

Cyprus 

Czech Republic

Denmark

Estonia 

European Union 

Finland

France 

Georgia

Germany 

Greece

Greenland 

Holy See 

Hungary 

Iceland

Ireland

Italy

Kosovo

Latvia 

Liechtenstein 

Lithuania 

Luxembourg 

Macedonia 

Malta

Moldova 

Monaco 

Montenegro 

Netherlands

Norway

Poland 

Portugal 

Romania

Russia 

San Marino 

Serbia 

Slovakia 

Slovenia 

Spain 

Sweden 

Switzerland 

Turkey 

Ukraine 

United Kingdom

*The Department of State uses both common and official country names. This map uses common names.

its own alliances, as well as Georgia’s democratic and market 

transformation. The United States will continue a policy of 

non-recognition of Georgia’s separatist regions of Abkhazia and 

South Ossetia, and must firmly reject the outdated notion of 

“spheres of influence” in the greater region. While working 

to take advantage of historic opportunities for resolution 

of the Nagorno-Karabakh conflict between Armenia and 

Azerbaijan, the United States is promoting rapprochement 

between Turkey and Armenia and encouraging reform in 

Armenia and Azerbaijan. In Ukraine, the goal is to bring the 

country further into the Euro-Atlantic family, strongly support 

Ukraine’s independence and territorial integrity, consolidate 

democratic gains, and promote sound economic policies and 

good governance. This effort relates to the Democracy, Good Governance, 

and Human Rights High Priority Performance Goal listed on page 8.

Diplomacy and development regional highlights

16 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
NATO and EU Membership in the Balkans. Considerable 

U.S. engagement in the region has yielded tangible results, but 

more work remains to secure a peaceful and prosperous future. 

An important goal is to keep NATO and EU membership prospects credible by bolstering democratic institutions, strengthening rule of law, and promoting economic development - including enhanced trade, investment, and job creation. The United 

States must keep Serbia focused on its EU path, bolster stability 

and modernize governance structures in Bosnia, strengthen 

independent Kosovo, support the completion of Croatia’s EU 

accession and move Albania along the same path, while working to accelerate Macedonia’s and Montenegro’s integration into 

NATO and the EU. At the same time, it will be essential to 

nurture cooperative relationships among the countries of the 

region, which must include acceptance of Kosovo as a full and 

equal partner, and as an eventual candidate for Euro-Atlantic 

integration.

Renewed Relationship with Russia. Another regional issue 

is a fresh start in relations with Russia in order to cooperate 

more effectively in areas of common national interest, 

including reducing nuclear arsenals and securing the stability 

of Afghanistan, and take advantage of opportunities that 

contribute to shared progress and mutual prosperity, such as 

deepening ties on trade and investment. The United States 

is also working with Russia and European Allies to find a 

way forward on the Conventional Forces in Europe Treaty, 

which established comprehensive limits on key categories of 

conventional military equipment in Europe and mandated the 

destruction of excess weaponry. President Obama has rejected 

the notion that relations between the United States and Russia 

are a “zero-sum game,” and believes that the United States 

and Russia can cooperate more effectively in areas of common 

national interest and should deepen ties between societies to 

contribute to future progress and mutual prosperity. As the 

United States seeks a fresh start in relations, Russia must seek 

to resolve differences in a candid and constructive way.

Near East Region

The Near East presents the United States with some of its most 

pressing security and political issues. The U.S. Government 

is looking forward to a new horizon of peace and cooperation 

based on a renewed commitment to the region to increase 

prosperity, spread freedom, and counter extremist ideology. 

Peace is the United States’ number-one priority for the Middle 

East. The United States will continue to help build a sovereign, stable, and self-reliant Iraq; counter the malign influence 

of Iran and its nuclear ambition; and promote political, social, 

and economic progress throughout the region. 

Arab-Israeli Peace. The United States will advance a twostate solution to the Israeli-Palestinian conflict. The USG 

will support a Palestinian Authority Government committed 

to recognition of Israel, renunciation of violence, compliance 

with previous agreements (including the Roadmap for Peace), 

and assurance that the future Palestinian state will be just, 

viable, and democratic. While the U.S. commitment to Israel’s 

security is unshakable, the United States endeavors to advance 

peace on all tracks between Israel and its neighbors. 

Principled Engagement with Iran. The United States is 

prepared for principled, respectful engagement with Iran. 

A nuclear-armed Iran would threaten its neighbors, derail 

efforts for comprehensive Middle East Peace, and pose a 

threat to international security. Working with its partners, 

the U.S. Government will confront Iran’s illicit behavior – 

noncompliance with international nuclear obligations, state 

sponsorship of terrorism, destabilizing activities in the Middle 

East, and an abysmal human rights record - on various fronts. 

An Iraq that is Sovereign, Stable, and Self-Reliant. The 

Iraqi and American people share a common goal for the future: 

an Iraq that is sovereign, stable, and self-reliant. The United 

States supports an Iraqi Government that is just, representative, accountable, and provides neither support nor safe-haven 

LINCOLN SEA

S O UTHERN 

HERN OCEAN

BELLINGSHAUSEN

SEA

S OUT H

A TLANTI C

O C EAN

NORT H

A TLANTI C

O C E A N

G R E E N L A N D S E A

C

OU T H

CIFI C

C E A N

CARIBBEAN SEA

KARA SEA

BARENT S

S E A

N O RWE G IAN

S E A

NORTH

SEA

BLACK SEA

I NDIA

O C EA

ARABIAN SEA

R E D S E A

A R C T I C 

 OCEAN

 LABRADOR

SEA

CASPIAN SEA

MEDITERRANEAN SEA

BALTIC SEA

Gulf of Aden

North

Cape

Gulf of Bothnia

Persian Gulf

Bay of Be

Cape of Good Hope

G ulf o f

G uine a

D e n m a r k S t r a i t

Gulf of Mexico

 Foxe

Basin

Hudson

Bay

P a r r y C h a n n e l

Nares Strait

D a v i s S t r a i t

Strait of

Magellan

C a p e H o r n

B a f  n

B a y

Mozambique Channel

Bay of

Biscay

Strait of Gibraltar

ISRAEL

ALGERIA

LIBYA EGYPT

TUNISIA

MOROCCO IRAN

SAUDI ARABIA

IRAQ

SYRIA

JORDAN KUWAIT

LEBANON

QATAR

BAHRAIN

OMAN

YEMEN

U.A.E

Algeria

Bahrain 

Egypt 

Iran

Iraq

Israel 

Jordan

Kuwait 

Lebanon 

Libya 

Morocco 

Oman 

Qatar 

Saudi Arabia

Syria

Tunisia 

United Arab Emirates 

Yemen

*The Department of State uses both common and official country names. This map uses common names.

Diplomacy and development regional highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 17
to terrorists. The U.S. Government will continue to help the 

Iraqi people build a sovereign, stable, and self-reliant country 

as the U.S. transitions from military to civilian responsibility 

in Iraq. This effort relates to the Iraq-Transition from Military to Civilian 

High Priority Performance Goal listed on page 8.

Strengthen the Security of Allies and Combat Extremism 

while Advancing Moderate Politics and Tolerance throughout 

the Region. The United States will continue to support 

military, law enforcement, and regulatory mechanisms 

to combat terrorism and terrorism finance in partnership 

with regional governments. Social, economic, and security 

cooperation are critical to moderate governments’ abilities to 

combat extremism and terrorism, and to defend against external 

threats. This effort relates to the Democracy, Good Governance, and Human 

Rights High Priority Performance Goal listed on page 8.

Compliance with International Agreements and Norms. The 

United States will work to encourage governments to comply 

with internationally accepted standards of behavior, including 

those pertaining to human rights and worker rights. The U.S. 

Government remains committed to the goal of a Middle East 

free of weapons of mass destruction and support for universal 

adherence to the Treaty on the Nonproliferation of Nuclear 

Weapons and other international nonproliferation agreements. 

South and Central Asia Region

There are few regions of the world where the stakes are higher 

for U.S. national security than in South and Central Asia. As 

the USG tries to eliminate terrorist safe havens in Afghanistan 

and Pakistan, it also pursues a comprehensive strategy that 

addresses the root causes of violent extremism and instability 

throughout the region. This is also a region of extraordinary 

opportunity for new political and economic openings and for 

growing partnerships. 

Building Security and Stability. Stability in Afghanistan and 

Pakistan remains a critical priority. As the United States works 

to defeat terrorist networks, expand government directives, 

and bolster local and national government capacity to meet 

the needs of their peoples, it also addresses regional causes of 

instability. State and USAID, along with the Departments 

of Defense and Justice, strive to improve border security, 

professionalize militaries and security forces, enhance law 

enforcement capacity to combat transnational terrorism 

and crime, and prevent the proliferation of weapons of mass 

destruction. U.S. assistance to Sri Lanka includes consolidating 

a lasting and equitable peace and enabling it to resume the 

impressive social and economic development it enjoyed prior 

to the start of its 26-year civil war. In Nepal, the United States 

continues supporting the development and implementation 

of a new constitution that respects the basic rights of all of 

its citizens and national development policies that overcome 

widespread poverty and a weak economy. In the Central 

Asian Republics, USAID programs focus on increasing jobs, 

democracy, and food security. This effort relates to the Afghanistan 

and Pakistan High Priority Performance Goal listed on page 8.

Expanding the U.S. Strategic Partnership with India. The 

Secretary refers to India as “...one of a few key partners worldwide who will help us shape the 21st century.” Building on a 

firm foundation of shared values and common interests, the 

USG will increase cooperation in bilateral, regional, and global 

spheres. U.S. assistance programs focus on trade, health, agriculture, education, science and technology, and infrastructure. 

Increasing U.S. Engagement with Central Asia. The five 

states of Central Asia have supported U.S. and coalition 

efforts in Afghanistan by providing important access and 

supply routes. Enhanced U.S. engagement and assistance 

create greater opportunities for American business, instill 

greater respect for human rights, and establish sustainable 

solutions to natural resource challenges. 

LINCOLN SEA

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N OCEAN

WEDDELL SEA W

BELLINGSHAUSEN

SEA

AMUNDSEN SEA 

S OUT H

A TLANTI C

O C EAN

NORT H

A TLANTI C

O C E A N

G R E E N L A N D S E A

U T H

IFI C

E A N

CARIBBEAN SEA

KARA SEA

LAPTEV SEA

SEA OF

OKHOTS

BARENT S

S E A

N O RWE G IAN

S E A

NORTH

SEA

BLACK SEA

I NDIAN

O C EAN

ARABIAN SEA

R E D S E A

SOUTH

CHINA

SEA

EAST

CHINA

SEA

YELLOW

SEA

SEA OF

JAPAN

JAVA SEA

PHILIPPINE

SEA

A R C T I C O C E A 

OCEAN

 LABRADOR

SEA

CASPIAN SEA

MEDITERRANEAN SEA

BALTIC SEA

Cape Leeuwin

G r e a t B a r r 

Gulf of Aden

North

Cape

Gulf of

Yana

Gulf of Bothnia

Persian Gulf

Bay of Bengal

Cape of Good Hope

G ulf o f

G uine a

D e n m a r k S t r a i t

Gulf of Mexico

Great Australian

Bight

 Foxe

Basin

Hudson

Bay

P a r r y C h a n n e l

Nares Strait

D a v i s S t r a i t

Strait of

Magellan

C a p e H o r n

B a f  n

B a y

Mozambique Channel

Bay of

Biscay

Strait of Gibraltar

AFGHANISTAN

PAKISTAN

KYRGYZSTAN

KAZAKHSTAN

SRI LANKA S

BHUTAN

BANGLADESH NGLADESH

NEPAL

INDIA

TAJIKISTAN

UZBEKISTAN

TURKMENISTAN

MALDIVES

RUSSIAN FED.

RUSSIAN FED.

Afghanistan 

Bangladesh 

Bhutan 

India 

Kazakhstan

Kyrgyz Republic 

Maldives 

Nepal 

Pakistan 

Sri Lanka 

Tajikistan 

Turkmenistan 

Uzbekistan 

*The Department of State uses both common and official country names. This map uses common names.

Diplomacy and development regional highlights

18 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Western Hemisphere Region

Countries in the Western Hemisphere must work together to 

advance prosperity and security throughout the region. In 

FY 2009, the United States reaffirmed its commitment to 

fulfilling its responsibility to nations in the hemisphere as an 

equal partner, recognizing that it must stimulate growth in 

order to create prosperity and provide assistance to those that 

are most vulnerable.

Promoting Common Prosperity. In FY 2009, the global 

economic crisis seriously affected the region, threatening 

recent progress in poverty reduction. To mitigate its 

significant impact on the availability of credit for the small 

and medium businesses that provide most jobs in the region, 

the USG initiated a new Microfinance Growth Fund that 

provided stable sources of finance and rebuilt lending capacity. 

Continuing efforts to make the benefits of market-based 

economies flow to all, the United States re-launched its 

Pathways to Prosperity in the Americas program to reinforce 

labor and environmental standards, improve economic 

competitiveness, bolster small and medium businesses, 

and promote trade growth. 

Advancing Social Inclusion. In FY 2009, the region 

continued to have the largest gap in the world between rich 

and poor. The United States is committed to supporting the 

newly launched Inter-American Social Protection Network 

to promote the exchange of social protection best practices 

among hemispheric countries and help reduce social inequality 

and poverty. The United States also proposed a pilot program 

to form education partnerships with certain countries in the 

hemisphere and focus on at-risk youth. 

Improving Common Security. Organized crime, terrorism, 

and trafficking in people and illicit goods continued to 

be the principal hemispheric security threat in FY 2009. 

The United States continued work to break the power of 

criminal organizations in the region through the enduring 

support of the Merida Initiative, a new paradigm for security 

cooperation with Mexico and Central America. The United 

States also continued to make advances in efforts to combat 

illicit narcotics cultivation and trafficking; the Andean Trade 

Promotion and Eradication Act contributed significantly to 

export diversification in the Andean region, and strengthened 

its legitimate economies as alternatives to narcotics production. 

Finally, through the Security and Prosperity Partnership, the 

USG continued to improve security with Canada and Mexico 

by coordinating border policies, cooperating on regulations, 

and preparing for potential pandemic situations. 

Protecting the Democratic State. In FY 2009, the United 

States continued its commitment to fostering democratic 

governance and protecting fundamental rights by working 

multilaterally through the Organization of American States and 

other institutions in the Inter-American system. While seeking 

a new beginning with Cuba, the United States continued to 

urge the Cuban Government to begin a peaceful transition to 

democracy. This effort relates to the Democracy, Good Governance, and 

Human Rights High Priority Performance Goal listed on page 8.

Nurturing Democratic Institutions and Responsive Governance. Across the region, The United States works to strengthen the rule of law, respect for human rights, independent 

media, civil societies that advocate effectively for citizens’ rights 

and participation, fair and open political processes, and strong 

government institutions that deliver basic services like health 

and education. The USG continues supporting democratic 

reform and governance in Bangladesh and in Central Asia. 

This effort relates to the Democracy, Good Governance, and Human Rights 

High Priority Performance Goal listed on page 8.

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SOU THERN O C EAN

W EDDELL S E A

BELLINGSHAUSEN

SEA

AMUNDSEN SEA 

S OUT H

A TLANTI C

O C EAN

NORT H

A TLANTI C

O C E A N

G R E E N L A N D S E A

BERING SEA

N O R T H

P A C I F I C

O C E A N

S O U T H

P A C I F I C

O C E A N

KARA SEA

BARENT S

S E A

N O RWE G IAN

S E A

NORTH

SEA

I N D I A N

O C E A N

ARABIAN SEA

R E D S E A

SO

CH

S

JAVA SEA

A R C T I C O 

A RCTIC OCEAN

CHUKCHI

SEA

BEAUFORT

SEA

 LABRADOR

SEA

CASPIAN SEA

MEDITERRANEAN SEA

BALTIC SEA

Cape Leeu

Gulf of Aden

North Cape

Gulf of Bothnia

Persian Gulf

Bay of Bengal

Cape of Good Hope

G ulf o f

G uine a

D e n m a r k S t r a i t

Gulf of Mexico

Gulf

of

Alaska

Bering Strait

 Foxe

Basin

Hudson

Bay

P a r r y C h a n n e l

Nares Strait

D a v i s S t r a i t

Strait of Magellan

C a p e H o r n

B a f  n

B a y

Mozambique Channel

Bay of

Biscay

Strait of Gibraltar

THE BAHAMAS

CUBA DOMINICAN

MEXICO

PANAMA COSTA RICA

EL SALVADOR

GUATEMALA

CANADA

VENEZUELA

COLOMBIA

BOLIVIA

BRAZIL

ARGENTINA GEN

URUGUAY

SURINAME

PARAGUAY PA

ECUADOR

PERU

GUYANA

CHILE

BERMUDA

Antigua and Barbuda 

Argentina 

Aruba 

Bahamas, The 

Barbados 

Belize 

Bermuda 

Bolivia 

Brazil 

Canada 

Cayman Islands 

Chile 

Colombia

Costa Rica

Cuba 

Dominica 

Dominican Republic 

Ecuador 

El Salvador 

Grenada

Guatemala 

Guyana 

Haiti 

Honduras 

Jamaica 

Mexico

Netherlands Antilles 

Nicaragua 

Panama

Paraguay

Peru 

St. Kitts and Nevis 

St. Lucia 

St. Vincent and the 

Grenadines 

Suriname 

Trinidad and Tobago 

Uruguay 

Venezuela 

*The Department of State uses both common and official country names. This map uses common names.

Diplomacy and development regional highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 19
International Organizations

The challenges facing the United States have never been more 

multilateral in nature: nonproliferation, disarmament, food 

security, human rights, and climate change. International 

organizations, including the United Nations (UN) and the 

Millennium Challenge Corporation, are crucial partners in 

any effort to address these challenges, and the United States 

employs vigorous and constructive interaction with these 

organizations to advance U.S. national interests. Multilateral 

institutions leverage greater global resources and complement 

bilateral assistance. The Administration’s reinvigorated 

commitment to multilateral diplomacy and promotion of 

more effective, responsive, and accountable international 

organizations is best supported through a whole-ofgovernment approach. 

The United States works with the UN and its many 

subordinate and affiliated organizations, and supports UN 

agencies in humanitarian and development responses around 

the world. Together, both the Department of State and 

USAID have been vocal advocates for the management reforms 

that are now reshaping how agencies such as the UN Office 

for the Coordination of Humanitarian Affairs, the UN High 

Commissioner for Refugees, the World Food Program, the UN 

Children’s Fund (UNICEF), and the Food and Agriculture 

Organization coordinate during humanitarian crises. 

In the last year, the United States has reinvigorated multilateral 

engagement that leads to direct benefits for American citizens. 

Early results of that effort include: 

■ President Obama’s initiative to strengthen and support 

UN peacekeeping.

■ Secretary Clinton’s leadership in combating sexual violence 

in armed conflict, which resulted in the adoption of 

Resolution 1888 in a UN Security Council (UNSC) 

meeting chaired by the Secretary.

■ Adoption of tough UNSC sanctions on North Korea.

■ Election of the United States to a seat on the Human 

Rights Council.

■ Direct involvement in the evaluation of the Paris 

Declaration including election to a seat on the evaluation 

management group.

■ The re-opening of the Trans-Atlantic Development Dialogue 

with the European Union focused on climate change, food 

security, and the Millennium Development Goals after a 

decade’s hiatus.

Secretary Clinton chairs the UN Security Council Session on Women, 

Peace, and Security, New York, September, 2009. AFP Image

Combating Climate Change and Increasing Energy 

Security. With nearly 50% of U.S. oil imports coming from 

the hemisphere, the United States proposed the creation of a 

new Energy Climate Partnership of the Americas, a voluntary 

and flexible framework for advancing energy security and 

combating climate change. The United States also expressed 

a commitment to working closely on energy and climate with 

Brazil, Canada, and Mexico through the Major Economies 

Forum on Energy and Climate. This effort relates to the Climate 

Change High Priority Performance Goal listed on page 8.

Diplomacy and development regional highlights

20 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
U.S. Government’s Role in Haiti Relief

On January 12, 2010, a magnitude 7.0 earthquake struck 

southern Haiti, with an epicenter 10 miles southwest 

of Port-au-Prince. On January 13, President Obama named 

the USAID the lead Federal agency for earthquake relief and 

reconstruction. The U.S. Government’s joint civilian-military 

response to assist the Haitian people following the earthquake is 

being carried out in coordination with the United Nations, the 

international community, and nongovernmental organizations 

worldwide. The Department of State and USAID work as one 

to coordinate the overall American humanitarian response, 

successfully demonstrating the ongoing linkage of diplomacy 

and development. Preliminary estimates of the Haitian death 

toll ranged from 150,000 to 200,000, with at least another 

200,000 people seriously injured, and one million displaced by 

the earthquake. As of April 1, 2010, over $9 billon for relief 

had been pledged by the international community.

In support of the Government of Haiti, the United States 

focused its initial efforts on saving lives and life-sustaining 

activities. U.S. assessment teams evaluated public health 

requirements, the structural integrity of critical infrastructure, 

and longer-term food and nutrition needs – all with a view to 

post-disaster reconstruction. The Department also coordinated 

assistance to American citizens affected by the disaster in Haiti, 

and provided information on individuals to their relatives in 

the United States as it became available. As of April 16, 2010, 

USAID had provided more than $574 million in response to 

the Haiti earthquake, including support for search and rescue, 

health, nutrition, humanitarian coordination and information management, protection, economic recovery and market 

systems, and water, sanitation, and hygiene activities, as well as 

logistical support and provision of emergency food aid and relief 

supplies. President Obama characterized the American contribution by saying “...we are moving forward with one of the largest 

relief efforts in our history -- to save lives and to deliver relief 

that averts an even larger catastrophe. In these difficult hours, 

America stands united. We stand 

USAID Administrator Rajiv Shah delivers remarks on the situation in Haiti 

during a special briefing at the State Department, Washington, January 13, 

2010. U.S. SOUTHCOM Commander General Douglas Fraser and State 

Department Counselor Cheryl Mills stand behind him. Department of State Image

united with the people of Haiti, who have shown such incredible 

resilience, and we will help them to recover and to rebuild.” 

On January 25, Secretary Clinton attended a meeting in 

Montreal, convened and hosted by Canadian Foreign Minister 

Lawrence Cannon to lay the foundation for a reconstruction 

donors’ conference to be held following the completion of a 

joint needs assessment. Assisting Haiti to recover from this 

devastation and rebuild for the future will require many years 

of active involvement by the world community. Experts agree 

that among the priority reconstruction goals are restoring roads, 

scaling up existing community development programs, and 

addressing reforestation requirements. Critical to long-term 

success will be government capacity building assistance from all 

donors. Efforts in the reconstruction of Haiti cannot just return 

to the old status quo, and as World Bank President and former 

Deputy Secretary of State Robert Zoellick has said, “...we must 

emphasize learning from the past as we rebuild for the future.” 

For further information on the U.S. government’s role in Haiti 

relief, visit http://www.state.gov/p/wha/ci/ha/earthquake/index.htm

and http://www.usaid.gov/haiti/.

Port-au-Prince,

Haiti

Diplomacy and development regional highlights

 21
American Recovery and Reinvestment Act

The American Recovery and Reinvestment Act of 2009 (ARRA) 

was signed into law by President Obama on February 17th, 

2009. It is an unprecedented effort to jumpstart the economy, create 

or save millions of jobs, and make a down payment on addressing 

long-neglected challenges so the United States can thrive in the 

21st century. 

ARRA specifically identifies five goals as its purpose:

■ Preserve and create jobs and promote economic recovery.

■ Assist those impacted by the recession.

■ Provide investments needed to increase economic efficiency 

by spurring technological advances in science and health.

■ Invest in transportation, environmental protection, and other 

infrastructures that will provide long-term economic benefits.

■ Stabilize state and local government budgets, in order to 

minimize and avoid reductions in essential services and 

counterproductive state and local tax increases.

Of the total $787 billion appropriated for ARRA, the Department 

received $564 million. The Department will use ARRA funds to create 

and save jobs, repair and modernize domestic infrastructure crucial to 

the safety of American citizens, and expand consular services offered 

to American taxpayers. USAID received $38 million for immediate information technology security and upgrades to support mission-critical 

operations. Due to Agency IT priorities to maximize job creation with 

ARRA funds, USAID determined that the funding should be dedicated 

to the GLAAS project. GLAAS will bring increased efficiency and 

accountability to USAID’s procurement process by implementing a 

world-wide, web-based Acquisition and Assistance system.

Construction Projects. A Hard Skills Training Center for Diplomatic 

Security ($70 million) will be built within 150 miles of Washington, 

DC, and provide a centralized location to support all security-related 

training that is currently conducted at 15 locations throughout the 

United States. Passport Facilities ($15 million) will fund five new startup sites and the renovation and expansion of two existing sites. The 

National Foreign Affairs Training Center ($5 million) will expand training capacity to ensure personnel assigned overseas have the necessary language and IT training. Projects include upgrading facility and 

grounds, updating orientation signage for the 72-acre campus, and 

upgrading infrastructure wiring and public address systems. An enterprise Data Center ($120 million) will be established in the western 

United States and consolidate all domestic servers into four enterprise 

data centers. The program will provide a highly available, scalable, 

and redundant data center infrastructure that will substantially reduce 

the Department’s risk and provide for future IT growth.

Information Technology Platform and Cyber Security. Funding 

($132 million) will provide for new telephone systems, IT equipment, 

mobile communications for emergency situations, and projects to 

guard against and track cyber attacks. It will also be used to improve 

hardware security and testing, safeguard U.S. citizens’ cyber security, 

and expand cyber education.

Global Acquisition and Assistance System. GLAAS project 

funding ($38 million) contributes towards employing individuals in 

the Washington, DC area, the majority of whom are small business 

employees. Recovery Act funding will support procuring the staff and 

resources needed to successfully implement GLAAS. ARRA funding 

provides the ability to retain critical systems development staff to 

improve functionality and to hire much needed system trainers and help 

desk support staff. Upon implementation, GLAAS will allow USAID to 

increase opportunities targeted to new partners, small businesses, and 

local and indigenous organizations in support of the Agency’s mission.

International Boundary and Water Commission (IBWC). These 

projects ($220 million) will evaluate and repair portions of the flood 

control systems for 495 miles of the upper and lower Rio Grande River, 

protecting about 3 million U.S. citizens in New Mexico and Texas. 

The projects consist of $213 million for construction and repair of 

levees, $6 million to rehabilitate contaminated soil and groundwater, 

and $1 million for other related projects. 

Office of Inspector General. Funding ($2 million) will provide 

oversight of use of ARRA funds and ARRA projects by the Department.

For further information on ARRA, visit http://oig.state.gov/arra/

index.htm and http://www.usaid.gov/recovery.

Three USIBWC engineers, (l to r) John Merino, Gabriel Duran and Rod 

Dunlap, inspect the site of the levee rehabilitation financed by the ARRA. 

USIBWC Image

Diplomacy and development regional highlights

22 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Performance Management

that yields productive and long-lasting organizational reform. 

Performance management at the Department of State is 

entrenched in annual strategic planning and budget processes. 

Performance management is one avenue the Department uses 

to build consensus around organizational vision and direction, 

support prioritizing investments, facilitate interagency 

planning and coordination, and institutionalize a culture 

of accountability and continuous improvement.

This year, the Department has adopted a new set of criteria 

for developing and selecting performance indicators that 

represent its diplomatic, consular and management efforts. 

This shift to more “outcome-oriented” performance indicators 

has resulted in a largely new set of indicators designed to 

provide information that is more meaningful to Congress, the 

President, and the American public, and more useful internally 

in supporting budget, policy, and planning decisions. 

USAID

Performance management represents the commitment of 

USAID to increase its accountability by striving to improve 

development outcomes. The Agency follows a four-part 

performance management process: plan and set goals, collect 

Total Number of Indicators – 130

Above target – 34

(26%)

On target – 17

(13%)

Improved, but

target not met – 6

(5%)

Below target – 19

(15%)

Summary of Performance Ratings Fiscal Year 20091, 2

Rating not

available – 54

(42%)

1 Source: FY 2009 Annual Performance Reports and FY 2011 Annual 

Performance Plans for State Operations and Foreign Assistance. Performance 

ratings calculated from performance data provided at the time of publication. 

Ratings are not available for indicators that are new or for which current year 

data are not yet available.

2 Percentages rounded to the nearest whole number.

T

he Department of State and USAID devote considerable 

effort towards the collection and use of data to 

improve performance in support of U.S. diplomatic 

and development results. The Department and USAID 

utilize performance management to measure organizational 

effectiveness, strengthen and inform decision-making, and 

improve programs and policies so that they are linked to 

specific performance targets and broader strategic goals. Both 

agencies use performance management best practices to assess 

and mitigate risks, benchmark program results, comply with 

legislative requirements, and learn where to adjust strategies 

in response to performance successes and shortcomings.

In order to measure the Department of State’s and USAID’s 

performance in FY 2009, agency working groups selected 

130 performance indicators that best show U.S. progress 

toward achieving its foreign policy goals. The working groups 

examined each indicator closely to determine whether the 

FY 2009 result met a previously determined target and how the 

results impact the achievement of State and USAID strategic 

goals. A rating was then assigned to each indicator based 

on the analysis. The chart featured on this page summarizes 

FY 2009 ratings for the 130 Department of State and USAID 

performance indicators. Thirty-two illustrative indicators 

of the 130 are highlighted in the following section, which is 

organized by Strategic Goal and accompanied by an explanation 

of each goal and analyses of results achieved in FY 2009. All 

130 indicators were published in the agencies’ FY 2009 Annual 

Performance Reports, which were incorporated into the 

FY 2011 Congressional Budget Justification. 

Department of State

The relationship between performance transparency and 

agency management practice is clearly manifested through 

senior leadership who support and realize the benefits of 

measuring for organizational results. The Department practices 

an interagency, participatory whole-of-government approach 

Performance Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 23

Performance Highlights
data and analyze results, use data for decision-making, and 

communicate results.

USAID Missions and offices are responsible for establishing 

Performance Management Plans to measure progress towards 

intended objectives. They are also responsible for reporting on 

key indicators of progress in their annual performance reports. 

At USAID, the tools of assessing, learning, and sharing are 

interrelated through the concept of performance management. 

Performance management is crucial for informing decisions 

on funding, program development, and implementation.

Key to performance management is an ambitious, optimistic, 

and achievable performance target. USAID follows a multi-step 

process when carefully determining its program-level targets by 

examining the baseline value before USG intervention, historical trends and the level of progress that occurred in the past, 

expert judgments from technical experts in the field, research 

findings and empirical evidence cited in research, accomplishments of similar programs elsewhere (with similar characteristics), customer expectations, and what will be accomplished 

over a five-year period with the current fiscal year budget and 

future funds, and then plans progress from the baseline.

Similarly, data are only useful for performance management 

if the information collected is of high quality. As indicated in 

USAID’s Automated Directive System Chapter 203.3.5, (http://

www.usaid.gov/policy/ads/200/203.pdf), all USAID Missions 

and offices are required to conduct data quality assessments 

for all performance data reported to Washington. USAID 

has three data source categories: primary data (collected by 

USAID or where collection is funded by USAID), partner data 

(compiled by USAID implementing partners but collected from 

other sources), and data from third-party sources (from other 

Government agencies or development organizations). Primary 

data undergo rigorous USAID assessments to ensure that it 

meets quality requirements. Third-party data do not go through 

the same USAID quality assessments, but sources are carefully 

chosen based on the organization’s experience, expertise, 

credibility, and use of similar assessments.

Program Evaluation

P

rogram evaluations are essential to implementing and 

managing foreign policy and foreign assistance programs 

at the Department of State and USAID. Evaluation 

results and performance data are used to inform programmatic 

and budget decisions in both Washington and the field, and 

convey the effectiveness of programs to program managers, 

Congress, and the public. State/F and USAID provided 

intensive training to over 100 participants through 

an Evaluation Certificate Course and through a web-based 

Monitoring and Evaluation Distance Learning Course, 

enhancing capacity in this field. USAID and F also actively 

participated in evaluating the implementation of the Paris 

Declaration on Aid Effectiveness, of which the United 

States is a signatory. The number of foreign assistance 

evaluations reported by operating units for FY 2009 doubled 

from the previous fiscal year to over 800, and spanned five 

Strategic Goals.

Department of State

The Department of State recognizes program evaluation as 

a means to systematically capture reliable data that allows 

the Department to understand more clearly links between 

current resources and Department foreign policy and program 

impacts. Qualitative and quantitative data are then assessed, 

and that assessment better informs conclusions and decisions 

about programs, performance, and resources.

A robust, coordinated evaluation function is essential to the 

Department’s ability to document program accomplishments, 

promote higher levels of performance, identify best practices, 

assess return on investment, provide evidence for policy 

and planning decisions, manage organizational change, and 

strengthen accountability to the American people. From an 

USAID Performance Management Process

PERFORMANCE

MANAGEMENT

Communicate

Results

Collect Data

and Analyze

Results

Plan and 

Set Goals

Use Data for 

Decision-Making

Performance Highlights

24 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
internal perspective, evaluations help program managers justify 

Department of State program and project resource requests. 

For example, Missions and bureaus incorporate program 

evaluation as a best practice to determine the impact of U.S. 

policies, understand better what is effective in U.S. programs, 

and increase accountability to U.S. stakeholders.

The Department’s evaluation work is supported by legislation 

requiring Federal agencies to report on whether programs 

achieve stated goals and are cost effective. Evaluation supports 

the goal of aligning performance data with budget requests, so 

that resource decisions can be made based on program impact 

and results. The State Department’s goal is to help managers 

understand how programs are working and provide them with 

tools to do so. 

The Department supports evaluation research, strategies, 

and activities through workshops, monthly lecture series, 

and conferences; working with USAID on joint evaluation 

guidelines and definitions; and by asking bureaus to focus on 

program assessments related to the joint strategic framework. 

In FY 2009, State worked with USAID and other evaluation 

partners to provide training, raise evaluation’s importance 

through a draft policy statement, and collect baseline 

evaluation information. State Department bureaus reported 

on foreign assistance and State operations-funded evaluations 

in the Country Operational Plans and State Bureau Strategic 

Plans. In addition, the Department hosted an international 

evaluation conference at which Deputy Secretary Jacob Lew 

spoke, and Secretary Clinton provided a message about 

evaluation’s importance for affecting change in foreign affairs. 

The conference also served as an exchange of ideas and best 

practices through panel discussions with Canadian and 

British Government representatives.

USAID

USAID has a track record of more than 40 years in the practice 

and leadership of evaluation, leading the development of 

the Logical Framework in the 1960s, establishing a Central 

Evaluation Office in the early 1970s, and creating the Center 

for Development Information and Evaluation in the 1980s to 

store evaluation information and best practices. Despite the 

slight decline in practice, evaluation remains a valuable tool in 

USAID’s efforts to improve development effectiveness based 

on empirical knowledge of what works and what does not. 

USAID is committed to reenergizing its existing capacities and 

developing new ones in keeping with accepted best practices 

and new technologies. 

During FY 2009, USAID took a number of steps to strengthen 

evaluation and re-establish its leadership both within the 

Federal Government and across the international development 

community. This included re-establishing USAID’s central 

evaluation unit charged with providing Agency-wide oversight, 

leadership, and coordination in assessing program performance 

and impact; and reaffirming Agency evaluation requirements.

In FY 2009, USAID established a new evaluation community of interest, the Evaluation Interest Group, with more 

than 125 members, monthly meetings, and a lively internet 

presence through a redesigned USAID evaluation website, 

EvalWeb (http://www.usaid.gov/policy/evalweb/). Together with 

the Department, USAID established a Foreign Affairs Evaluation Working Group that meets biweekly and also includes 

representation from the Millennium Challenge Corporation 

and the Office of Global AIDS Coordinator. 

Just as importantly, USAID reasserted its global leadership 

in evaluation and actively engaged in a variety of interagency, national, and international evaluation forums. This 

included participating actively in the Organization for 

Economic Cooperation and Development/Development 

Assistance Committee (OECD/DAC) Evaluation Network, 

organizing and moderating a highly successful Advisory 

Committee on Foreign Voluntary Assistance Workshop on 

strengthening evaluation, and serving on OMB’s Evaluation 

Experts and Evaluation Working Groups. During FY 2009, 

USAID also played key roles in several collaborative, multidonor evaluations, including the OECD/DAC-led Paris 

Declaration Evaluation (Phase Two) and the Dutch-led 

Sudan Humanitarian Assistance Evaluation. “Assessing Achievement” – Department’s second annual evaluation 

conference – June 2009. Department of State Image

Performance Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 25
I

n FY 2009, the Department of State and USAID increased analytical rigor in performance planning by focusing on outcomeoriented performance measures and resources at the strategic priority level. Below is a discussion of selected priorities for 

the Department and USAID’s seven Strategic Goals: Achieving Peace and Security, Governing Justly and Democratically, 

Investing in People, Promoting Economic Growth and Prosperity, Providing Humanitarian Assistance, Promoting International 

Understanding, and Strengthening Consular and Management Capabilities.

Strategic Goal 1:

Achieving Peace

and Security

Preserve international peace by preventing regional conflicts 

and transnational crime, combating terrorism and weapons 

of mass destruction, and supporting homeland security and 

security cooperation.

I. Public Benefit

The Department of State and USAID support a national 

security strategy to enhance and influence peace and security for 

the United States and the world community. Peacekeeping and 

security operations require sound policies, concerted U.S. effort, 

and international cooperation. The Department of State and 

USAID respond to direct threats to achieving peace and security 

through mitigation in the following priority areas: preventing 

the spread and use of nuclear weapons through bilateral and 

multilateral arms control efforts, combating weapons of mass 

destruction, countering terrorism, fighting transnational 

crime, emphasizing stabilization operation activities and 

security sector reforms, supporting counternarcotics activities, 

sponsoring conflict mitigation and reconciliation, and ensuring 

homeland security.

II. Summary of Performance and Resources

Of the 29 indicators within this Strategic Goal, 12 met or 

exceeded targets, and nine were below target. Ratings are 

not available for eight indicators that are either new or for 

which data are not yet available. The Department of State 

and USAID allocated $14.1 billion toward this Strategic Goal 

in FY 2009, which is 29% of the total State-USAID budget 

Secretary Clinton meets with Russian Foreign Minister Sergei Lavrov in 

Moscow. AFP Image

Counterterrorism

Combating Weapons of Mass 

Destruction and Destabilizing

Conventional Weapons

Security Cooperation and

Security Sector Reform

Conflict Prevention, Mitigation,

and Response

Transnational Crime

Counternarcotics

Homeland Security

Strategic Priorities

($ in millions)

$0

$2,000

$4,000

$6,000

$8,000

$10,000

$12,000

$14,000

FY 2009 Budget Resources for Strategic Goal 1

TOTAL – $14,111

$665

$670

$7,304

$3,796

$150

$1,349

$178

1 Percentages rounded to the nearest whole number.

Total Number of Indicators – 29

Above target – 6

(21%)

On target – 6

(21%)

Improved, but

target not met – 2

(7%)

Below target – 7

(24%)

FY 2009 Results Achieved for Strategic Goal 11

Rating not

available – 8

(28%)

Strategic Goals and Results

26 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009

Strategic Goals and Results
supporting all strategic goals. A more detailed discussion of the 

priorities under this Strategic Goal and USG performance for 

six illustrative indicators is provided in the following section.

Key Selected Achievements 

■ Trained over 92,000 people in Conflict Mitigation/

Resolution skills—with Haiti, Indonesia, Kenya, Nepal, 

Uganda, and the USAID Bureau for Democracy, Conflict, 

and Humanitarian Assistance reporting better than 

expected results.

■ Resumed negotiations with Russia to replace the expired 

Strategic Arms Reduction Treaty (START) with an 

agreement to reduce and limit strategic offensive arms 

to levels lower than those in the Moscow Treaty, while 

including effective verification measures drawn from START.

■ Produced 93,777 hectares of alternative crops in Colombia 

exceeding target by 28,777 hectares.

■ Held first round of the United States-China Strategic and 

Economic Dialogue, engaging China on regional security 

concerns, nonproliferation, and military-to-military relations.

III. Selected Strategic Priorities and Analyses

COUNTERTERRORISM: Prevent terrorist attacks against the United 

States and its allies and friends, and strengthen alliances and other 

international arrangement to defeat global terrorism.

Analysis: Terrorism is the greatest challenge to U.S. national 

security. Combating it will continue to be the focus of development, diplomatic, and defense efforts as long as the proponents 

of violent extremist ideologies find safe havens and support in 

unstable and failing states. The United States aims to expand 

foreign partnerships and to build global capabilities to prevent 

terrorists from acquiring or using resources for terrorism. 

The Department of State supports counterterrorism efforts by 

working with foreign governments to establish Financial Intelligence Units (FIUs) that meet rigorous standards published 

by the non-profit Egmont Group. Governments that establish 

FIUs are more capable of analyzing and disclosing financial 

information concerning suspected criminal activities and potential financing of terrorist networks. The establishment of an 

FIU is also an indication that a foreign government is increasingly willing to share counterterrorism information and pass 

antiterrorism finance legislation. The indicator highlighted here 

shows that the number of additional countries establishing FIUs 

has increased slightly according to preliminary results.

Performance Indicator: Number of Total NEA Countries with 

Financial Intelligence Units that Meet the Standards of the Egmont Group 

0

5

10

15

FY 2009 FY 2010 FY 2011 1 FY 2007 FY 2008

Number of countries

Result Target

7 7

8

11 12 13

2007-2011 Performance Trends 2009

Rating

Data available 

mid- to late 

2010

Impact(s): The preliminary result puts the indicator on track for meeting 

the FY 2009 target. A greater number of countries willing to share 

counterterrorism information has a positive impact on U.S. national security.

1 FY 2009 result is preliminary.

SECURITY COOPERATION AND SECURITY SECTOR REFORM:

Establish, maintain, and, where appropriate, expand close, 

strong, and effective U.S. security ties with allies, friends, 

and regional organizations.

Analysis: The United States supports capacity-building in 

foreign military partners through the provision of training 

and equipment. The United States will increase the number 

of foreign military personnel trained in the United States by 

continuing relationships across Europe, the Near East, South 

and Central Asia, East Asia and the Pacific, and throughout 

the Western Hemisphere. Overall results for FY 2009 were 

stronger than expected due to larger than anticipated numbers 

of personnel able to participate in U.S. training.

Performance Indicator: Number of Personnel (Foreign Military) 

Trained in the U.S. Who are at National Leadership Levels

0

1,000

2,000

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of personnel

Result Target

958

497

1,549

1,695 1,648

2007-2011 Performance Trends

1,053

2009

Rating

Above target

Impact(s): Foreign military training programs funded and carried out by the U.S. 

increase capacity and skills in host countries, and strengthen their ability to 

enforce peace and security.

CONFLICT PREVENTION, MITIGATION, AND RESPONSE: Support 

the prevention, containment or mitigation, and resolution of 

existing or emergent regional conflicts, as well as post-conflict 

peace, reconciliation, and justice processes.

Analysis: U.S.-supported activities improve the capacity of 

citizens, both to better mitigate conflict, and to be more effective in implementing and managing peace processes. Through 

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 27
training and technical assistance, U.S. programs strengthened 

local capacity to resolve disputes at the lowest administrative 

level. Training focused on factors that underpin conflicts such 

as land disagreements, including disputes involving claims 

by women and indigenous groups. Efforts were also made to 

involve young people in tolerance, peace, and reconciliation 

programs. For example, in Nepal, a nine-month youth literacy 

program emphasizing conflict mitigation and peace building 

skills attracted 30,381 participants, of which 78% were female. 

Country program results like these enabled the U.S. to greatly 

exceed its overall training target.

Performance Indicator: Number of People Trained in Conflict 

Mitigation/Resolution Skills with U.S. Government Assistance

0

50,000

100,000

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of people

Result Target

17,965 12,578

92,601 62,704 62,340

2007-2011 Performance Trends

30,739

2009

Rating

Above target

Impact(s): The results for this indicator were higher than projected, in part 

because three additional countries submitted results that were not included 

when the target was set. U.S. assistance focuses on bringing people from different ethnic, religious, and political backgrounds together in order to have a longterm impact on improving relationships among communities, nongovernmental 

organizations, and governments at various levels.

Analysis: A significant proportion of activities in Conflict 

Prevention is concentrated in peacekeeping operations in Africa 

and Near East Asia. Peacekeeping ratings in Africa declined 

in FY 2009, likely reflecting the increasingly difficult security, 

political, and economic environment in many parts of Africa. 

Ratings in Near East Asia, on the other hand, have remained 

above target. 

Performance Indicator: Average Rating Denoting Degree to 

which UN Peacekeeping Missions in Africa Funded through the 

Contributions for International Peacekeeping Activities Account (CIPA) 

Achieve Preestablished U.S. Government Objectives

1

2

3

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Result Target

1.83

2.37 2.3

2.5 2.5 2.5

2007-2011 Performance Trends

Rating

2009

Rating

Below target

Impact(s): While the Department still considers the FY 2009 result positive, the 

negative trend shows that these post-conflict countries in Africa may risk losing ground in terms of peace, security, and reconstruction unless changes are 

made by the host country in coordination with the U.S. Government and UN. 

Steps to Improve: The United States will act to reduce threats through 

adoption of resolutions and by working to ensure effective peacekeeping 

missions in ways that reinforce U.S. Government objectives. 

Performance Indicator: Average Rating Denoting Degree to 

which UN Peacekeeping Missions in Near East Asia Funded through 

the Contributions for International Peacekeeping Activities Account 

(CIPA) Achieve Preestablished U.S. Government Objectives

1

2

3

4

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Result Target

2.5

2.5 3.0 3.0

2.5 2.5

2007-2011 Performance Trends

Rating

2009

Rating

Above target

Impact(s): The FY 2009 result is encouraging as it shows improved peace, security, and reconstruction in post-conflict Near Eastern Asian countries. 

COUNTERNARCOTICS: Disrupt and reduce international drug 

trafficking by cooperating internationally to set and implement antidrug standards, share related financial and political burdens, close 

off criminal safe havens, and build and strengthen justice systems.

Analysis: Alternative crop development is playing an important role in countering the illicit drug trade and creating jobs 

in Latin America. The number of hectares of alternative crops 

under cultivation has a direct relationship to job creation and 

income levels. In Colombia, the United States is supporting 

comprehensive training, technical assistance, and co-financing 

of municipal infrastructure projects. The program also provides 

assistance to build small businesses, including agribusinesses, to 

enhance competitiveness in local, regional, and global markets. 

Similar USAID programs are being carried out in Ecuador, 

Bolivia, and Peru. 

U.S. programs reported overall better than expected results in 

FY 2009. For example, the U.S. supported the production of 

93,777 hectares of alternative crops in Colombia exceeding 

the FY 2009 target by 28,777 hectares. In Peru, the program 

generated $16.5 million in sales and created 10,629 jobs, 18% 

of which went to women.

Performance Indicator: Hectares of Alternative Crops Targeted 

by U.S. Government Programs under Cultivation

0

100,000

200,000

300,000

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Hectares

Result Target

85,110

229,996 201,989

109,457 166,100

2007-2011 Performance Trends

110,615

2009

Rating

Above target

Impact(s): While the target for this indicator was exceeded, the trend is 

downward from FY 2008. This reflects a shift to working in a more remote 

and impoverished part of Colombia and challenges in Afghanistan. In South 

America, the overall increasing trend in hectares cultivated has a positive 

impact on job creation and increased earnings from exports of crops which 

commanded higher prices in international markets in FY 2009.

Strategic Goals and Results

28 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Today, out of a total world population of 6.7 billion, over 

1 billion people suffer from chronic hunger and malnutrition. 

By 2050, the world population is projected to increase to over 

9 billion people. At the G8 Summit in July 2009, the United 

States and other nations agreed to commit $20 billion over the 

next three years to address the challenge of simultaneously lifting 

1 billion people out of poverty while increasing food production 

by an estimated 70% by 2050 to meet the needs of a larger and 

wealthier population. As part of this commitment, President Obama 

announced his intention to provide at least $3.5 billion over the 

next three years (FY 2010 to 2012) as the U.S. contribution. To 

fulfill the President’s commitment, the United States is launching 

a Government-wide response to global hunger that will include 

assistance for agricultural development and nutrition provided by 

USAID, and contributions to the proposed World Bank Global 

Agriculture and Food Security Program. The core of this new effort 

will be country-led partnerships and investments in market-driven 

agriculture to provide reliable access to nutritious food and raise 

the incomes of the rural poor. USAID supports efforts to increase 

food security as part of the U.S. Government-wide response to 

global hunger.

The same five principles that underpin Rwanda’s progress toward 

achieving national food security are endorsed in the L’Aquila Joint 

Statement on Food Security. Building on the momentum of the 

L’Aquila Summit, the Department of State has established the Global 

Hunger and Food Security Initiative, setting the five principles of the 

Food Security

Two farmers work on USAID’s Model Rice Farm in northern Nigeria. 

Jide Adeniyi-Jones Image

L’Aquila Joint Statement as the foundation for this effort. Through 

this Initiative, the U.S. Government will invest heavily in solutions 

throughout the agricultural supply chain and will seek to reduce 

under-nutrition. The U.S. Government’s priorities will also include 

enhancing the effectiveness of American emergency food aid to 

complement long-term food security goals and empowering women, 

who constitute the majority of the world’s farmers. 

USAID invests in improving food security in some of the most 

vulnerable countries in the world. It builds agricultural productivity 

through research and technology development; increases access 

to finance, inputs, markets, and trade; and seeks opportunities to 

help small farmers both mitigate and adapt to climate change, 

which otherwise threatens to further exacerbate food insecurity. 

Increasing opportunities for smallholder farmers, especially women, 

and other very poor people is a priority. USAID works closely with 

host governments and a variety of partners including other donors, 

foundations, universities, and for-profit firms to increase food 

security in developing countries. For further information on food 

security, visit http://www.state.gov/s/globalfoodsecurity/index.htm 

and http://www.usaid.gov/our_work/agriculture/food_security.htm.

“To the people of poor nations, we 

pledge to work alongside you to make 

your farms flourish and let clean 

waters flow; to nourish starved bodies 

and feed hungry minds.” 

—President Obama’s inaugural address, 

January 20, 2009

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 29
Strategic Goal 2:

Governing Justly and Democratically

Advance the growth of democracy and good governance, including civil society, the rule of law, 

respect for human rights, political competition, and religious freedom.

I. Public Benefit

J

ust and democratic governance is important to the U.S. 

Government and the American public for three interrelated 

reasons: as a matter of principle, as a contribution to 

U.S. national security, and as a cornerstone of a broader 

development agenda. Governments that respect human rights, 

respond to the needs of their people, and govern by rule of law 

are more likely to conduct themselves responsibly toward other 

nations. Effective and accountable democratic states are also 

best able to promote broad-based and sustainable prosperity. 

The goal of the U.S. Government is therefore to promote 

freedom and strengthen effective democracies by assisting 

countries to move along a continuum toward democratic 

consolidation. Within this strategic goal, there are four strategic 

program areas: rule-of-law and human rights, good governance, 

political competition and consensus-building, and civil society. 

II. Summary of Performance and Resources

Of the 19 indicators within this Strategic Goal, three met or 

exceeded targets and four were below target. Ratings are not 

available for 12 indicators that are either new or for which data 

are not yet available. The Department of State and USAID allocated $3.4 billion toward this Strategic Goal in FY 2009, which 

is seven percent of the total State-USAID budget supporting all 

strategic goals. A more detailed discussion of the priorities under 

this Strategic Goal and U.S. Government performance for five 

illustrative indicators is provided in the following section.

Key Selected Achievements 

■ The Department supports the work of more than 130 

nongovernmental organizations with democracy and 

human rights foreign assistance programs. The majority 

of these programs – more than 70% – met or exceeded 

their program goals.

■ Responding to unanticipated demand, the Department 

trained 54,835 justice sector personnel worldwide with 

U.S. assistance.

■ U.S. foreign assistance programs exceeded the target for 

U.S. assisted political parties working to increase the 

number of candidates and members who are women, 

youth, and from marginalized groups. 

The new virtual courtrooms allow justice to be imparted in Colombia’s 

most remote areas. FIU/Carlos E. Vargas Camacho Image

Rule of Law and Human Rights

Good Governance

Political Competition and 

Consensus-Building

Civil Society

Strategic Priorities

($ in millions)

$0

$1,000

$2,000

$3,000

$4,000

FY 2009 Budget Resources for Strategic Goal 2

TOTAL – $3,421

$1,114

$1,220

$515

$572

Total Number of Indicators – 19

Above target – 3

(16%)

Rating not

available – 12

(63%)

Improved, but

target not met – 1

(5%)

Below target – 3

(16%)

FY 2009 Results Achieved for Strategic Goal 2

Strategic Goals and Results

30 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
III. Selected Strategic Priorities and Analyses

RULE OF LAW AND HUMAN RIGHTS: Advance and protect human 

and individual rights, and promote societies where the state and 

its citizens are accountable to laws that are publicly promulgated, 

equally enforced, and independently adjudicated, consistent with 

international norms and standards.

Analysis: Improved court case management is one of the key 

activities pursued by U.S. Government programs within the 

area of rule of law and human rights. This representative 

indicator tracks improved court case management as reported 

by 27 countries receiving U.S. assistance. The FY 2009 target 

for the number of USG-assisted courts with improved case 

management was not met, due mainly to delays in some 

countries in establishing a case management process and in 

others in expanding the number of courts using a piloted 

process. In Guatemala, for example, the Supreme Court 

delayed the USAID-supported Trial Court Model, leaving 

little time to expand implementation of the model outside 

of Guatemala City as originally planned. 

Performance Indicator: Number of U.S. Assisted Courts 

with Improved Management

0

100

200

300

400

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of courts

Result Target

350 351 337 220

109

2007-2011 Performance Trends

375

2009

Rating

Below target

Impact(s): Improved case management leads to a more effective justice system 

by decreasing case backlog and case disposition time, reducing administrative 

burdens on judges, increasing transparency of judicial procedures, and 

improving compliance with procedural law. 

Steps to Improve: Lower targets for FY 2010 and FY 2011 reflect the 

completion of some country programs and changes in programming to 

focus on other elements of rule of law in other countries.

Analysis: In addition to monitoring shorter-term activities for 

more immediate impact, the United States also tracks longer 

term trends, such as the percent of countries with improved 

civil liberties ratings as reported by Freedom House, to assist 

in planning and designing future efforts, as well as to adjust 

ongoing programs. Combating corruption, strengthening 

democracy through civil society organizations, and encouraging 

nations to be democratic and responsible members of the world 

community are key long-term priorities for the Department 

and USAID. FY 2009 results for this indicator will be available 

in mid- to late 2010, but FY 2007 and 2008 results show 

positive trends in civil liberties in non-democratic countries 

and countries in transition to a full democracy. The percentage 

of countries showing improved civil liberties ratings increased 

to 12% in FY 2008, from 4% in FY 2007.

Performance Indicator: Progress in Human Rights as Measured 

by Total Percentage of Non-democratic Countries and Countries 

Undergoing Democratic Transitions that Improved by at Least One 

Point from the Prior Year According to Civil Liberty Dimension 

of Freedom House’s Freedom in the World Ratings

0%

5%

10%

15%

20%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

4.1%

11.5% 12.5% 15.0%

2007-2011 Performance Trends

10.0%

2009

Rating

Data available 

mid- to late 

2010

Impact(s): Rating and result not available to determine impact.

GOOD GOVERNANCE: Promote democratic institutions that are 

effective, responsible, sustainable, accountable to the people, and 

include checks and balances.

Analysis: Constitutional order, legal frameworks, and judicial 

independence constitute the foundation for a well-functioning 

society, but they remain hollow unless the government has the 

capacity to apply these tools appropriately. Activities include 

support avenues for public participation and oversight and for 

substantive separation of powers through institutional checks 

and balances. Transparency and integrity are also vital to government effectiveness and political stability. One of the long-term 

measures used by the United States to track the effectiveness 

of its efforts to improve good governance is the percentage of 

countries with improved governance ratings. According to the 

World Bank the percentage of countries with improved governance ratings jumped to 10% in FY 2008 from 7% in FY 2007. 

FY 2009 results for this indicator are expected in mid-2010. 

Performance Indicator: Progress on Implementing Good 

Governance Reforms as Measured by the Percentage of Nondemocratic Countries and Countries Undergoing Democratic Transitions 

that Improved by at Least 0.1 Points from the Prior Year According to 

Average Ratings from the World Bank Governance Indicators

0%

5%

10%

15%

20%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

6.5%

10.2% 12.0% 15.0%

2007-2011 Performance Trends 2009

Rating

Data available 

mid- to late 

2010

Impact(s): Rating and result not available to determine impact.

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 31
POLITICAL COMPETITION AND CONSENSUS-BUILDING:

Encourage the development of transparent and inclusive electoral 

and democratic, responsive and effective political parties.

Analysis: The number of domestic election observers trained 

with U.S. Government assistance is tracked as one component 

of promoting free and fair elections. The target and results for 

persons trained for deployment as observers before or during 

national elections are dependent on the number of elections 

scheduled in a given year. In FY 2009, U.S. assistance programs 

exceeded the target despite the postponement or cancellation of 

several elections. In those countries where elections were held, 

the actual numbers of people trained were frequently double the 

anticipated target. For example, in Ecuador, the complexity of 

the election process necessitated a large increase in the number 

of domestic observers trained, and the Mission obtained 

supplemental funding for the program.

Performance Indicator: Number of Domestic Election Observers 

Trained with U.S. Government Assistance

0

50,000

100,000

150,000

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number Trained

Result Target

53,258 24,629

128,705

54,933

2007-2011 Performance Trends

48,686

24,733

2009

Rating

Above target

Impact(s): Free and fair elections are crucial because open and competitive 

political processes ensure that citizens have a voice in the regular and 

peaceful transfer of power between governments. 

CIVIL SOCIETY: Strengthen democratic political culture and 

citizen engagement by supporting the means through which 

citizens can freely organize, advocate, and communicate with 

members of their own and other governments, international 

bodies, and other elements of civil society.

Analysis: In FY 2009, U.S. assistance programs improved 

their performance over FY 2008, but did not meet the target 

for the number of U.S. Government-assisted civil society 

organizations (CSOs) that engaged in advocacy and watchdog 

functions. Some country-level targets were not met due to 

delays in program start-up and shifts by CSOs from advocacy 

to humanitarian assistance. In countries where the targets were 

exceeded, it was often due to increased advocacy at the local 

level or on a particular issue. For example, results exceeded the 

target due to forest land advocacy efforts in Cambodia, and 

due to an expanded constituency for a Freedom of Information 

Bill in Nigeria. 

Performance Indicator: Number of U.S. Government-Assisted 

Civil Society Organizations that Engage in Advocacy and 

Watchdog Functions

0

500

1,000

1,500

2,000

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number

Result Target

1,039

1,315

889 559

2007-2011 Performance Trends

1,395

1,469

2009

Rating

Improved, 

but target 

not met

Impact(s): The ability of CSOs to conduct advocacy and watchdog efforts 

increases the level of transparency and accountability of host country 

government. Training and technical assistance are essential to improving the 

abilities and effectiveness of these organizations to influence government 

policy. By monitoring the number of organizations assisted, the USG can gauge 

the effectiveness of its efforts to improve CSO ability to affect the level of 

involvement of the public in decisions made by their governments. 

Steps to Improve: Targets for FY 2010 and FY 2011 have been adjusted to 

reflect changes in civil society programming focus, the closure of some 

programs, and anticipated delays in funding.

Afghanistan and

Pakistan

The United States has made a long-term commitment to 

help Afghanistan rebuild itself after years of war. The 

insurgency in Afghanistan and parts of Pakistan poses a 

fundamental threat to U.S. strategic interests. Disrupting, 

dismantling, and eliminating al-Qaeda safe havens in 

Afghanistan and Pakistan are a top foreign policy priority. 

The Administration’s strategy to achieve this goal in 

Afghanistan is to promote a more capable, accountable, 

and effective Afghan Government that serves its people 

by generating economic opportunities, and can function 

with limited international support. Through diplomatic 

and development efforts, the United States supports the 

Afghan Government in its efforts to establish a framework 

for a vibrant civil society, one that emphasizes democratic 

principles through the rule of law and creates accountable 

and transparent forms of government. In Pakistan, the strategy 

is to stabilize the government through macroeconomic reforms 

and private sector growth to lay the foundations for long-term 

economic stability and sustainable growth. Pakistan must 

also be convinced to systematically confront extremist threats 

by further developing its security capabilities. Both State and 

USAID are working together to strengthen each host country 

capacity to provide services to its citizens effectively and 

enhance the long-term sustainability of development efforts. 

Strategic Goals and Results

32 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Strategic Goal 3:

Investing in People

Improve health, education, and other social services to help nations create sustainable improvements 

in the wellbeing and productivity of their citizens.

I. Public Benefit

L

ack of education and training, poor health and disease, 

high levels of unintended pregnancy, and lack of services, 

particularly for vulnerable populations, are important root 

causes of the problems faced by U.S. partners in development 

assistance. These problems destroy lives and destabilize 

countries. The U.S. approach for the Investing in People 

Strategic Goal is to help partner nations achieve sustainable 

improvements in the wellbeing and productivity of their 

citizens, and build sustainable capacity to provide services that 

meet the people’s needs in three priority program areas: health, 

education, and social services and protection for especially 

vulnerable populations. These programs also seek to improve 

the lives of individuals by increasing their ability to contribute 

to economic development and participate in democratic 

decision-making, and mitigating the root causes of poverty 

and conflict. 

II. Summary of Performance and Resources

Of the 17 indicators within this Strategic Goal, 13 met 

or exceeded targets, and one was not met. Ratings are not 

available for three indicators that are either new or for which 

data are not yet available. The Department of State and 

USAID allocated $10.7 billion toward this Strategic Goal 

in FY 2009, which is 22% of the total State-USAID budget 

supporting all strategic goals. A more detailed discussion of 

the priorities under this Strategic Goal and U.S. Government 

performance for seven illustrative indicators is provided in 

the following section.

Key Selected Achievements 

■ Supported HIV/AIDS treatment for approximately 

2.4 million people.

■ Supported HIV counseling and testing for nearly 

29 million people.

At the Sauyemwa Primary School in Caprivi Region, Namibia, students 

arrive to class in uniforms sewn by volunteer tailors. A small grant 

program provides money for the materials the tailors use to create 

uniforms specifically for students who have been orphaned. AED Image

Health

Education

Social Services and 

Protection for Especially

Vulnerable Populations

Strategic Priorities

($ in millions)

$0

$6,000

$12,000

FY 2009 Budget Resources for Strategic Goal 3

TOTAL – $10,687

$8,485

$1,177

$1,025

1 Percentages rounded to the nearest whole number.

FY 2009 Results Achieved for Strategic Goal 31

Total Number of Indicators – 17

Above target – 12

(71%)

On target – 1

(6%)

Rating not

available – 3

(18%)

Improved but 

target not met – 1

(6%)

■ The President’s Malaria Initiative protected 30 million 

people against malaria using either insecticide-treated 

bed nets or indoor spraying methods.

■ Increased access to improved drinking water supplies 

for 7.8 million people, 2.9 million more than targeted.

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 33
III. Selected Strategic Priorities and Analyses

HEALTH: Improve global health, including child, maternal, and 

reproductive health; prevent and treat infectious diseases; and 

increase access to better drinking water and sanitation services.

Critical interventions work to combat HIV/AIDS, tuberculosis, malaria, avian and pandemic influenza, neglected 

tropical diseases, polio, pneumonia, and diarrhea. Within 

these program areas, mothers and children are two special 

target groups. In addition, U.S. assistance works to strengthen 

local capacity to detect and respond to disease outbreaks; 

improve delivery of health services, essential drugs, and 

commodities; and support advances in health technology. 

The Global Health Initiative (GHI) which the President 

announced in May 2009, seeks to improve outcomes across 

these elements by adopting a women- and girl-centered 

approach, increasing strategic integration and coordination within the U.S. Government and with partner countries, strengthening and leveraging multilateral institutions, 

encouraging country ownership, enhancing sustainability 

by strengthening healthy systems, improving metrics and 

evaluation, and promoting research and innovation.

HIV/AIDS Analysis: The bulk of U.S. HIV/AIDS funding 

is provided through the President’s Emergency Plan for AIDS 

Relief (PEPFAR), which takes a comprehensive approach to 

HIV/AIDS prevention, treatment, and care in developing 

countries. This program works in close cooperation with 

host country governments and national and international 

partners. The indicator on the number of people receiving 

HIV/AIDS treatment measures the reach of PEPFAR and 

highlights which countries are facing challenges in scaling 

up their programs and which may have best practices that 

should be replicated elsewhere. PEPFAR-supported treatment 

has helped to save and or extend millions of lives as well as 

avoid the orphaning of hundreds of thousands of children 

whose parents have HIV/AIDS. Because of the rapid scaleup of the programs, the United States directly supported 

treatment for some 2.4 million people living with HIV in 

FY 2009, exceeding the target by over 200,000. Targets 

for FY 2010 and FY 2011 will be available in mid- to 

late 2010, following the headquarters review of Country 

Operational Plans.

Performance Indicator: Number of People Receiving 

HIV/AIDS Treatment in the 15 Focus Countries

0M

1M

2M

3M

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of people (in millions)

Result Target

1.3M

2.0M

TBD1 TBD1

2007-2011 Performance Trends

2.5M

2.2M

2009

Rating

Above target

Impact(s): Antiretroviral (ARV) treatment provides direct therapeutic benefits 

for the individuals who receive treatment by: increasing the length and quality 

of their lives, enabling many individuals to resume normal daily activities and 

providing care for their families. ARVs reduce viral load in patients on therapy, 

and lower viral loads are associated with decreased rates of transmission. 

PEPFAR-supported treatment has helped to save and extend millions of lives 

as well as avoid the orphaning of hundreds of thousands of children whose 

parents are infected with HIV/AIDS. 

1 Since the headquarters review of the Country Operational Plans, the 

document that provides the targets, is ongoing, FY 2010 and FY 2011 

targets will not be available until mid- to late 2010.

Tuberculosis Analysis: Twenty-two developing countries 

account for 80% of the world’s tuberculosis (TB) cases; the 

disease kills more than 1.1 million people each year in those 

countries. Furthermore, TB is a serious and common coinfection for HIV-infected individuals. The focus of USAID’s 

TB program is to combat multi-drug-resistant TB and 

extremely drug-resistant TB, and to prevent drug resistance 

by improving the quality of basic TB services.

One of the performance indicators for TB is the tuberculosis 

treatment success rate (TBS), or the proportion of patients 

who complete their entire course of treatment. Because TB 

is transmitted in the air when an infected person coughs 

or sneezes, effective treatment of persons with the disease 

is critical to interrupting the transmission of TB. Tracking 

progress toward meeting or exceeding the TBS target of 85% 

is a key indicator as to how effectively the United States is 

fighting this disease. TBS has improved steadily in highburden countries in Africa, Asia, and the Middle East, and 

several countries receiving U.S. support have met or exceeded 

the threshold for this indicator. The United States exceeded 

its FY 2009 target because the impact of a $70 million 

FY 2008 funding increase for USAID led to the scaling up 

of TB activities in priority countries. Progress will be slower 

in countries like Russia due to high rates of HIV infection, 

drug resistance, and inadequate health services.

Strategic Goals and Results

34 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Performance Indicator: Average Tuberculosis Treatment 

Success Rate (TBS) in USAID Priority Countries

70%

80%

90%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

N/A

80%

83% 84%

2007-2011 Performance Trends

82%

81%

2009

Rating

Above target

Impact(s): Twenty-two developing countries account for 80% of the world’s 

TB cases; the disease kills more than 1.1 million people each year in those 

countries. Furthermore, TB is a serious and common co-infection for HIVinfected individuals. Because TB is transmitted in the air when an infected 

person coughs or sneezes, effective treatment of persons with the disease 

is critical to interrupting the transmission of TB. The results achieved are 

expressed in terms of national trends attributable to US resources leveraged 

with funds from other donors, in particular the Global Fund to Fight AIDS, TB, 

and Malaria (GFATM).

Malaria Analysis: In June 2005, the President’s Malaria 

Initiative (PMI) was launched, pledging to increase U.S. 

funding by more than $1.2 billion over five years to reduce 

deaths from malaria by 50% in 15 African countries. The 

increased funding enables the United States to accelerate 

expansion of the malaria initiative program to achieve the 

target. The two critical emphases of the malaria initiative are 

insecticide-treated mosquito nets (ITN) and indoor residual 

spraying (IRS), which when used properly are highly effective 

in controlling malaria. These prevention measures are expected 

to contribute to lower prevalence of malaria in countries and, 

as a consequence, reductions in morbidity and mortality, 

especially among pregnant women and children. 

The number of people protected against malaria with a 

prevention measure (ITN, IRS, or both) supported by 

PMI funds is an indicator of U.S. progress in extending the 

prevention measures that are necessary to reduce the number 

of malaria deaths in 15 African countries by 50%. In FY 2009, 

the United States exceeded its target because PMI is now a more 

mature program that has strong national commitment from the 

host country and other donors. With this support, PMI has 

been able to implement its program more effectively.

Performance Indicator: Number of People Protected Against 

Malaria with a Prevention Measure (ITN and/or IRS) in President’s 

Malaria Initiative (PMI) Countries

20M

30M

40M

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of people (in millions)

Result Target

22.3M 25.0M 33.0M

38.0M

2007-2011 Performance Trends

30.0M

29.0M

2009

Rating

Above target

Impact(s): In conjunction with national malaria programs and partners, 

PMI is achieving significant impact. In Zambia and Rwanda, over the past 

three years, there were notable declines in malaria parasite prevalence, 

a 53% decline in Zambia from 22% to 10% and prevalence falling below 

3% in Rwanda. In addition, recent national household surveys have shown 

dramatic reductions in all-cause child mortality in seven countries (Tanzania, 

Madagascar, Ghana, Zambia, Senegal, Rwanda, and Kenya) ranging from 19% 

to 35%. While the declines cannot be credited to malaria interventions alone, 

the rapid scale up of malaria control intervention measures suggests that 

they have significantly contributed to the declines.

Maternal and Child Health Analysis: This program aims 

to increase the availability and use of proven life-saving 

interventions that address the major killers of mothers and 

children. These interventions include effective maternal and 

newborn care, management of obstetric complications, routine 

immunization, polio eradication, micronutrients, and improved 

maternal, infant, and young child feeding. Maternal and child 

health is also a core component of the GHI. 

Increasing the frequency of deliveries overseen by skilled birth 

attendants is more likely to result in prompt recognition of 

complications, initiation of treatment, and lives saved. The use 

of skilled birth attendants has increased considerably, more than 

doubling over the past decade in Nepal, Indonesia, Bangladesh, 

and Egypt. An increase in the coverage of attended births is 

expected to contribute to lower maternal and child morbidity 

and mortality. In FY 2009, U.S. assistance programs exceeded 

their target and continued a trend of steady improvement in 

the percent of live births attended by skilled birth attendants. 

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 35
Performance Indicator: Percentage of Live Births 

Attended by Skilled Birth Attendants

40%

50%

60%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

45.7% 46.7% 48.9% 50.9%

2007-2011 Performance Trends

47.9%

47.2%

2009

Rating

Above target

Impact(s): Having a skilled attendant at birth is a critical component of efforts 

to reduce maternal mortality. Most maternal deaths happen during labor and 

delivery or within the first few days following delivery. Because potentially 

fatal complications can occur among women who do not fall into any of 

the traditional high-risk groups, they are difficult to predict and prevent. 

In many countries, most births occur at home. Increasing the frequency of 

deliveries overseen by skilled birth attendants is more likely to result in prompt 

recognition of complications, initiation of treatment, and lives saved.

Family Planning and Reproductive Health Analysis: The 

United States’ family planning and reproductive health (FP/RH) 

program aims to expand access to high-quality, voluntary family 

planning and reproductive health information and services, in 

order to reduce unintended pregnancies and promote healthy 

reproductive behaviors. Increased use of modern contraception, 

one of three main indicators for this area, translates into fewer 

unintended pregnancies and fewer abortions. A strong family 

planning program can be expected to increase the modern contraceptive prevalence rate (MCPR) at the country level by one to 

two percentage points annually. The MCPR indicator measures 

the percentage of in-union women of reproductive age (15-49) 

using, or whose partner is using, a modern method of contraception at the time of the survey. In FY 2009, U.S. programs 

contributed to nearly a percentage point increase in MCPR in 

assisted countries, but fell very slightly short of the target. 

Performance Indicator: Average Modern 

Contraceptive Prevalence Rate

20%

25%

30%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

N/A

26.4%

28.3% 29.3%

2007-2011 Performance Trends

27.3%

27.4%

2009

Rating

Improved, 

but target 

not met

Impact(s): Family planning and reproductive programs contribute to smaller and 

healthier families, directly contributing to the well-being of women and children. Ensuring basic access to family planning could reduce maternal deaths by 

a third and child deaths by nearly 10%. Increased use of modern contraception 

translates into fewer unintended pregnancies and fewer abortions. 

Steps to Improve: There is some evidence that MCPR is rising more slowly on 

average than in the past. This is largely due to very slow or no progress in some 

countries with large populations (e.g., Nigeria, Uganda, Philippines) where 

family planning is not a political priority. Additional resources in the FY 2010 

budget will permit program expansion, including efforts to build political will 

for family planning and reproductive health programming in these countries.

Water Supply and Sanitation Analysis: Access to a reliable 

and economically sustainable water supply is a key component 

of a country’s ability to attain health, security and prosperity for 

its population. Access is achieved through diverse approaches, 

including both direct support for small and large-scale infrastructure development and indirect support through institutional development, community-based systems, facilitation of 

private supply of products and services, and financing to ensure 

long-term sustainability and expansion of access. 

The United States tracks the number of new people who 

gain access to an improved water source in the reporting 

period, such as a household connection, public standpipe, 

borehole, protected well or spring, or rainwater collection as 

a result of U.S. assistance. The overall target for FY 2009 was 

greatly exceeded due in part to momentum gained from a 

new regional program in Asia. In South Africa, a greater than 

anticipated number of water projects were approved by the local 

government, and Haiti reached more beneficiaries due to the 

additional resources from the 2008 hurricane recovery funds.

Performance Indicator: Number of People in Target Areas 

with Access to Improved Drinking Water Supply

0M

4M

8M

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of people (in millions)

Result Target

2.1M

3.0M

5.5M 5.5M

2007-2011 Performance Trends

7.8M

4.9M

2009

Rating

Above target

Impact(s): Access to reliable and economically sustainable water supply is a 

key component of a country’s ability to attain health, security and prosperity 

for its population.

EDUCATION: Promote the creation and maintenance of effective, 

equitable, high-quality educational services and systems, from the 

primary education and literacy program level to strengthening the 

institutional capacities of public and private higher educational 

institutions.

Analysis: In the basic education sector, the United States 

assesses its performance based on the primary net enrollment 

rate (NER) for a sample of countries receiving basic education 

funds. Although USAID is certainly not solely responsible 

for supporting increases in enrollment rates, there is plausible 

attribution to the U.S. Government for this meaningful 

performance indicator. Since 2002, NER have steadily 

improved in countries receiving U.S. assistance. This trend 

is expected to continue with additional funding to help 

ministries of education establish and maintain more effective 

Strategic Goals and Results

36 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
school systems, provide teacher training, develop and conduct 

learning assessments, and collect and use data to assist with 

school management decisions, particularly those related to 

enrollment and the learning environment. The rate of increase 

will be slower as countries approach 100% enrollment, with the 

remaining population the most difficult and expensive to reach. 

In FY 2009, the United States met its target of 79% NER.

Performance Indicator: Primary Net Enrollment Rate for a 

Sample of Countries Receiving Basic Education Funds

70%

80%

90%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

76% 78%

80% 81%

2007-2011 Performance Trends

79%

79%

2009

Rating

On target

Impact(s): High net enrollment rates lead to increases in school completion 

rates and thus higher educational attainment within the overall population. 

Countries with an educated population are more likely to experience 

improvements in health and economic growth.

Climate Change

The world community must work collaboratively to slow, 

stop, and reverse greenhouse gas emissions in a way 

that promotes sustainable economic growth, increases energy 

security, and helps nations deliver greater prosperity for their 

people. The U.S. Government addressed this challenge 

during FY 2009 through a whole-of-government approach 

that combines actions from reducing U.S. emissions at home, 

to developing transformational low-carbon technologies, to 

improving observation systems that will help the USG better 

understand and address the impacts of climate. Within 

the U.S. Government, the State Department led the effort to 

reach a global climate change accord at Copenhagen in 

December 2009 that captures President Obama’s vision, 

working closely with other large emitters such as the EU, 

China, Russia, and India in the Major Economies Forum on 

Energy and Climate. USAID led bilateral assistance efforts 

that promote cleaner and renewable energy technologies, 

energy and building efficiency, protection of forests that serve 

as carbon “sinks,” and assistance to build the resilience of 

nations and communities that are highly vulnerable to climate 

change. As the international community moves to implement 

the Copenhagen Accord, the United States will do its part by 

meeting the commitment to reduce emissions at home and to 

provide increased financial resources for developing countries, 

particularly those most vulnerable to climate change and with 

the least capacity to respond. For further information on climate 

change, visit http://www.state.gov/g/oes/climate/index.htm

and http://www.usaid.gov/our_work/environment/climate/.

USAID supports social and economic transformation and reconciliation 

for vulnerable rural women in Rwanda. World Relief Rwanda and Ikirezi Image

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 37
For over three decades, the United States has recognized 

violence against women as a human rights problem. In 

September 2009, the United States led the UN Security Council 

in adopting a unanimous resolution to end sexual violence against 

women and children in conflict situations. As a result, the UN 

Secretary General will appoint a Special UN Representative on 

Sexual Violence in Armed Conflict, and rapidly deploy teams of 

experts to armed conflicts.

U.S. international programs to combat violence against women 

have long been integrated into many of its aid programs:

■ Global Health. PEPFAR – a five-year, $15 billion global 

initiative – dedicates specific funds to combat gender-based 

violence. USAID missions in Ethiopia, Egypt, Kenya, Mali, and 

Guinea support programs to prevent female genital mutilation.

■ Humanitarian Assistance and Refugees. U.S. humanitarian 

and refugee assistance incorporates programs to prevent 

violence against women. The Department of State’s refugee 

programs in Pakistan, along with USAID’s global programs 

through the Office of U.S. Foreign Disaster Assistance and 

the Displaced Children and Orphans Fund, contain elements 

aimed at protecting women and children.

■ Foreign Military Training. The Department of State cooperates 

with the Department of Defense to incorporate combating 

violence against women into training programs aimed at 

international military students and foreign militaries.

Women and Girls’ Issues

■ Trafficking in Women and Girls. The Department of State and 

USAID, in collaboration with other U.S. Government agencies, 

support nearly 140 global and regional anti-trafficking programs 

in 70 countries.

■ Legal and Political Rights. The Department of State funds 

initiatives in sub-Saharan Africa to empower women and youth. 

USAID supports programs to strengthen economic legal rights for 

women in Albania, Guatemala, Benin, South Africa, and Rwanda.

Women ́s issues are a core factor in U.S. foreign policy. Secretary 

Clinton, a long-time champion of women ́s rights, has inspired women 

worldwide with her declaration that “human rights are women ́s 

rights, and women’s rights are human rights.” Her efforts have 

renewed the U.S. commitment to women as keys to progress and 

prosperity around the world. For further information about women’s 

and girls’ issues, visit the Department of State’s Office of Global 

Women’s Issues website at http://www.state.gov/s/gwi/index.htm 

and USAID’s Office of Women in Development website at 

http://www.usaid.gov/our_work/cross-cutting_programs/wid.

First Lady Michelle Obama and Secretary of State Hillary Rodham 

Clinton at the Department of State ceremony honoring recipients 

of the International Women of Courage Award, Washington DC, 

March 11, 2009. AP Image

Céline Nambi works with the Association of Mothers of Students to keep 

girls in school in Tabota, Benin. USAID/André Roussel Image

Strategic Goals and Results

38 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Strategic Goal 4:

Promoting Economic Growth and Prosperity Strengthen world economic growth and protect the environment, while expanding opportunities 

for U.S. businesses and ensuring economic and energy security for the nation. 

I. Public Benefit

T

he U.S. Government’s goal is to achieve rapid, sustained, 

and broad-based economic growth for the United 

States, its trading partners, and developing countries. 

Further, economic diplomacy plays a large role in advancing 

the Department’s priorities in the areas of U.S. energy security, 

climate change, and the environment. All countries derive 

enormous benefits from a stable, resilient, and growing world 

economy. The United States plays a leadership role to promote 

economic growth and prosperity. The latest global economic 

downturn, however, demonstrates how quickly growth can 

reverse into rapid decline and the importance of implementing 

economic policies that promote sustainability. 

II. Summary of Performance and Resources

Of the 24 indicators within this Strategic Goal, seven met or 

exceeded targets and six were below target. Ratings are not 

available for 11 indicators that are either new or for which data 

are not yet available. The Department of State and USAID 

allocated $4.7 billion toward this Strategic Goal in FY 2009, 

which is 10% of the total State-USAID budget supporting 

all strategic goals. A more detailed discussion of the priorities 

under this Strategic Goal and U.S. Government performance 

for six illustrative indicators is provided in the following 

section.

Key Selected Achievements 

■ Intensified U.S. dialogue with key emerging economies 

including Brazil, India, and Russia, and held three G20 

Summits at the leaders level.

■ Launched a global initiative to fight hunger and promote 

sustainable agricultural development.

■ Appointed a Special Envoy for Climate Change, a Coordinator for International Energy Affairs, an Economic Envoy to 

Northern Ireland, and a Special Envoy for Eurasian Energy.

A successful World Pomegranate Fair in Kabul, Afghanistan, sponsored 

by USAID, enabled farmers to boost production and stimulate the Afghan 

economy with international exports. Here, a seller displays his produce 

at the fair. AFP Image

Private Markets and 

Competitiveness

Trade and Investment

Financial Sector

Infrastructure

Energy Security

Agriculture

Macroeconomic Foundation 

for Growth

Economic Opportunity

Environment

Strategic Priorities

($ in millions)

$0

$2,500

$5,000

FY 2009 Budget Resources for Strategic Goal 4

TOTAL – $4,728

$316

$192

$1,047

$48

$1,236

$355

$286

$470

$778

FY 2009 Results Achieved for Strategic Goal 4

Total Number of Indicators – 24

Above target – 5

(21%)

On target – 2

(8%)

Improved, but

target not met – 1

(4%) Below target – 5

(21%)

Rating not

available – 11

(46%)

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 39
III. Selected Strategic Priorities and Analyses

TRADE AND INVESTMENT: Promote increased trade and investment worldwide, on both multilateral and bilateral levels, through 

market-opening international agreements and the further integration of developing countries into the international trading system.

Analysis: The U.S. Government promotes increased trade and 

investment, a powerful engine for growth, and has negotiated a 

number of bilateral free trade agreements to open new markets 

for American goods and services. In Africa, economic trade 

data shows declining trends, with trade between the United 

States and sub-Saharan Africa decreasing in FY 2009. Slow 

growth will impact virtually all sectors of African economies 

and threatens to erase recent gains in economic growth, living 

standards, and poverty reduction. 

While these far-reaching effects will be difficult to counteract, 

they elevate the importance of U.S. foreign assistance and 

diplomatic efforts in helping sub-Saharan countries achieve 

their development goals. Sub-Saharan Africa needs increased 

private sector investment, both foreign and domestic, to achieve 

sustained rates of economic growth necessary to reduce poverty 

on the continent. At present, the region is largely disconnected 

from the global marketplace and the benefits that arise from 

trade. If Africa were to increase its share of world trade by 

just one percentage point from its current 2% to 3%, it would 

generate additional export revenues of $70 billion annually, 

which is nearly three times the amount of annual assistance to 

sub-Saharan Africa from all donors. U.S. diplomats are working 

with sub-Saharan countries on policies that promote growth in 

trade and foster Africa’s integration into the global marketplace. 

Performance Indicator: Level of Two-Way Trade Between the United 

States and Sub-Saharan Africa, Excluding U.S. Energy-related Imports

$20

$30

$40

$50

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

($ in billions)

Result Target

$26.5

$33.5 $40.0 $45.0

2007-2011 Performance Trends

$24.3

$37.0

2009

Rating

Below target

Impact(s): Reduced international trade will likely slow economic growth in subSaharan Africa. The decline in international trade, and economic activity in Africa 

overall, will present a strong challenge to achieving U.S. goals on the continent.

Steps to Improve: Elevate foreign assistance and diplomatic efforts to improve 

private sector investment through international agreements aimed at opening 

markets.

INFRASTRUCTURE: Promote sustainable improvements in foreign 

infrastructure by encouraging public-private partnerships, 

strengthening capacities for oversight and management, and 

expanding markets for tradable infrastructure services.

Analysis: The U.S. Government supports the creation, improvement, and sustainability of physical infrastructure and related 

services in both urban and rural areas, to enhance the economic 

environment and improve economic productivity, including for 

women. It also promotes sustainable improvements in the governance of infrastructure by utilizing opportunities for publicprivate partnerships, strengthening capacities for oversight and 

management, expanding markets for tradable infrastructure 

services, and promoting clean energy activities. This approach is 

based on data that shows that countries rich in energy resources 

but also have efficient markets are more likely to foster transparency, strengthen the rule of law, and ensure that subsequent 

benefits are enjoyed widely. Dependence on natural resource 

wealth works to inhibit the political and economic development 

of a country.

In FY 2009, the United States exceeded its target for increasing 

access to modern energy services by more than 100%, due in 

large part to results reported by OUs not included in the initial 

program target. For example, USAID’s Office of Development 

Partners (ODP) reported serving an additional 1.85 million 

people with rural electricity cooperatives in the Philippines, 

Bangladesh, Sudan, and the Dominican Republic under the 

Cooperative Development Program. ODP’s results were not 

included in target planning for FY 2009, but are nonetheless a 

significant achievement. Target levels for FY 2010 and FY 2011 

are reflective of the varying number of countries implementing 

programs in this area.

Performance Indicator: Number of People with Increased Access 

to Modern Energy Services as a Result of U.S. Government Assistance

0M

2M

4M

6M

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of people (in millions)

Result Target

1.87M

0.37M

3.01M

0.18M

2007-2011 Performance Trends

4.43M

1.99M

2009

Rating

Above target

Impact(s): Energy powers development in all sectors — transportation, 

industry, crop production and agricultural processing — and increases 

revenues for small and medium-sized businesses. Energy moves water, enables 

communication and powers school computers, and health clinics. As their 

economies grow, developing countries face increased demands for adequate 

energy services. Expanding the number of people with access to modern 

energy services reduces reliance on inefficient and polluting fuels, like wood, 

animal dung or crop waste.

Strategic Goals and Results

40 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
ENERGY SECURITY: Enhance U.S. and global energy security 

by promoting open and transparent, integrated, and diversified 

energy markets; encouraging appropriate energy sector investments; 

and developing and sharing clean energy. 

Analysis: The Department of State is the lead U.S. Government 

agency responsible for formulating and implementing U.S. 

foreign policy relating to energy security, sanctions, and 

commodities. Because imports supply roughly half of U.S. 

oil needs and the United States has only 2% of proven world 

oil reserves, the international aspects of energy with which 

the Department deals are critical to U.S. national security. 

A primary focus of the Department of State’s diplomatic efforts 

in the area of energy security is promoting the development and 

implementation of policies in foreign governments designed to 

foster growth in the clean energy sector. Growing availability 

and use of non-oil energy sources will help the United States 

and other countries reduce their reliance on oil. 

Performance Indicator: Percentage of World Energy 

Supplies from Non-oil Sources

63%

65%

67%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

64.2% 64.7%

65.6% 65.8%

2007-2011 Performance Trends

65.4%

2009

Rating

New indicator, 

no rating

Impact(s): While increases from year to year are slight, growing availability 

and use of non-oil energy sources reduces U.S. and world reliance on 

oil, facilitates a shift to clean energy sources, and strengthens emerging 

alternative energy markets.

AGRICULTURE: Support increased productivity and growth in 

the international agriculture sector by promoting expanded 

agricultural trade and market systems, broadening the 

application of scientific and technical advances – including 

biotechnology – and encouraging sustainable natural resource 

management.

Analysis: Increased agricultural productivity is an important 

goal for nearly all the countries in which the United States 

provides assistance. In FY 2009, producers benefiting from 

U.S. assistance increased the value of international exports of 

targeted agricultural commodities by an average of 70.4%, 

greatly exceeding the targeted 27.23%. The average was 

impacted by results reported by Serbia (though not included 

in the original target), due in part to the fact that more 

agribusinesses were surveyed in 2009 than in 2008. The 

impact of Serbia’s value was balanced to some degree by 

negative changes in value in Uganda and Timor-Leste. The 

value of Timor-Leste’s export of targeted commodities declined 

by 22% because its principal export commodity, Arabica 

coffee, undergoes a biennial fluctuation in production, and 

FY 2009 corresponded to a “down” year. Despite the drop 

in export volume, participants in coffee value chains still 

benefited from the sale of coffee cherries due to prior and 

continuing contributions from the U.S.-funded activity and 

are expected to do better next season. In FY 2011, activities in 

this strategic priority will be a core element of the President’s 

Global Hunger and Food Security Initiative.

Performance Indicator: Percent Change in Value of International 

Exports of Targeted Agricultural Commodities Due to U.S. 

Government Assistance

10%

30%

50%

70%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

41.1%

63.3%

19.09% 17.78%

2007-2011 Performance Trends

70.4%

27.23%

2009

Rating

Above target

Impact(s): U.S. agricultural assistance facilitates the integration of farmers 

into the full chain of production, enabling producers and rural industries 

to better connect with agricultural trade and market opportunities. U.S. 

assistance also helps to reduce trade barriers within and between countries. 

A positive percent change in this indicator reflects progress toward the key 

program objective of linking producers of agricultural commodities to markets. 

ECONOMIC OPPORTUNITY: Support efforts to help people gain 

access to financial services, build inclusive financial markets, 

improve the policy environment for micro and small enterprises, 

strengthen microfinance productivity, and improve economic 

law and property rights.

Analysis: Economic opportunity includes efforts to help 

families gain access to financial services, build inclusive financial 

markets, improve the policy environment for micro and 

small enterprises, strengthen microfinance institution (MFI) 

productivity, and improve economic law and property rights. 

MFIs provide access to financial services to those who would 

otherwise not have access. Operational sustainability is an 

important milestone on the road to financial sustainability, the 

point at which the MFI becomes profitable and can finance 

its own growth without further need for donor funding. The 

indicator on the following page summarizes performance among 

a mix of MFIs ranging from new to more mature institutions 

as they progress toward operational sustainability (within three 

to four years of initial U.S. assistance) and eventual financial 

sustainability (seven years or less). 

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 41
In FY 2009, 86% of U.S.-assisted MFIs reached operational 

sustainability, exceeding the performance target. The larger 

share of operationally sustainable MFIs may have resulted 

from a tendency among USAID missions and other partner 

organizations toward supporting MFIs that have made greater 

progress toward financial sustainability. Alternatively, it 

may reflect a general shift within the microfinance industry 

toward greater emphasis on financial sustainability, or some 

combination of the two trends. 

Performance Indicator: Percent of U.S.-Assisted Microfinance 

Institutions that have Reached Operational Sustainability

60%

70%

80%

90%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

69% 74% 70% 70%

2007-2011 Performance Trends

86%

70%

2009

Rating

Above target

Impact(s): U.S. assistance helps strengthen the performance of increasingly 

commercial MFIs, allowing them to attract private investors and grow faster 

than if they relied solely on donor support. Operational sustainability is an 

important milestone on the road to financial sustainability, the point at which 

the MFI becomes profitable and can finance its own growth without further 

need for donor funding. 

Environment: Promote partnerships for economic development 

that reduce greenhouse gas emissions, improve air quality, and 

create other co-benefits by using and developing markets to 

improve energy efficiency, enhance conservation and biodiversity, 

and expand low-carbon energy sources.

Analysis: The United States uses the spatial indicator 

tracking the number of hectares of biological significance 

and natural resources under improved management as an 

appropriate measure of the scale of impact of natural resource 

and biodiversity interventions. The standard of ‘improved’ 

management is defined as implementation of best practices and 

approaches and demonstration of progress and results from a 

potentially wide range of tailored and relevant interventions.

Ecosystems are becoming impoverished at an alarming 

rate worldwide, threatening to undermine development by 

reducing soil productivity, diminishing resilience to climate 

change, and driving species to extinction. In FY 2009, 

slightly more than 104 million hectares were under improved 

natural resource or biodiversity management because of U.S. 

assistance, falling short of the target of 113.2 million hectares. 

Targets for FY 2010 and FY 2011 have been adjusted to reflect 

the closure of some country programs and other changes in 

programming focus. Beginning in FY 2011, activities in this 

program area will be central to the President’s Global Climate 

Change Initiative.

Performance Indicator: Number of Hectares of Biological 

Significance and Natural Resources Under Improved Management 

as a Result of U.S. Government Assistance

80M

100M

120M

140M

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Hectares (in millions)

Result Target

121.6M 126M 86.8M 92.7M

2007-2011 Performance Trends

104.6M

113.2M

2009

Rating

Below Target

Impact(s): Improved management conserves biodiversity and manages natural 

resources in ways that maintain their long-term viability and preserve their 

potential to meet the needs of present and future generations.

Steps to Improve: While the FY 2009 target was not reached by some country 

programs, intermediary steps taken during the year, such as the adoption of a 

land use plan for Kenya’s Kitengela Conservation Area, have paved the way for 

implementing improved management in FY 2010. 

USAID/Tijara promotes private sector development 

by supporting improved access to finance and 

business development services to micro, small, and medium 

enterprises (SMEs). The program supports nine indigenous 

Iraqi MFIs in addition to three international MFIs, which 

together provide access to credit in all 18 Iraqi provinces. 

Since 2004, USAID supported MFIs under Tijara and its 

predecessor program Izdihar have distributed more than 

172,690 loans worth over $397 million, and boasts a 98% 

repayment rate. Tijara also helped to establish the Iraqi 

Company for Bank Guarantees and the Iraqi Company for 

Financing SMEs which have enabled nearly $32 million in 

SME lending by Iraqi private banks to date. SMEs are Iraq’s 

best source of potential for non-oil private sector growth 

and employment generation outside of the public sector. 

For further information, visit http://www.tijara-iraq.com.

IRAQ – USAID/Tijara

Private Sector

Development program

Strategic Goals and Results

42 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Strategic Goal 5:

Providing Humanitarian Assistance Minimize the human costs of displacement, conflicts, and natural disasters to save lives and alleviate suffering. 

I. Public Benefit

T

he Department of State and USAID are the lead 

U.S. agencies that respond to complex humanitarian 

emergencies and natural disasters overseas. The United 

States commitment to humanitarian response demonstrates 

America’s compassion for victims of natural disasters, armed 

conflict, forced migration, persecution, human rights 

violations, widespread health and food insecurity, and other 

threats. It requires urgent responses to emergencies, concerted 

efforts to address hunger and protracted crises, and planning 

to build the necessary capacity to prevent and mitigate the 

effects of conflict and disasters.

The U.S. Government’s emergency response to population 

displacement and distress caused by natural and human-made 

disasters is tightly linked to all other foreign assistance goals, 

including the protection of civilian populations, programs to 

strengthen support for human rights, provision of health and 

basic education, and support for livelihoods of beneficiaries. 

The United States provides substantial resources and guidance 

through international and nongovernmental organizations 

for worldwide humanitarian programs, with the objective of 

saving lives and minimizing suffering in the midst of crises, 

increasing access to protection, promoting shared responsibility, 

and coordinating funding and implementation strategies. U.S. 

strategic priority areas in this goal are providing protection, 

assistance, and solutions; preventing and mitigating disasters; 

and promoting orderly and humane means for migration 

management.

II. Summary of Performance and Resources

Of the eight indicators within this Strategic Goal, five met or 

exceeded targets and two were below target. A rating is not 

available for one new indicator. The Department of State 

and USAID allocated $4.95 billion toward this Strategic Goal 

in FY 2009, which is 10% of the total State-USAID budget 

supporting all strategic goals. A more detailed discussion of 

the priorities under this Strategic Goal and U.S. Government 

performance for two illustrative indicators is provided in the 

following section.

More than 500,000 people have been displaced and over 100 killed 

after Cyclone Aila hit Bangladesh and eastern India on Monday, 

May 25, 2009. CARE/Peter Caton Image

($ in millions)

$0

$2,500

$5,000

FY 2009 Budget Resources for Strategic Goal 5

TOTAL – $4,951

$4,697

$171

$84

Protection, Assistance, and Solutions

Disaster Prevention and Mitigation

Orderly and Humane Means for 

Migration Management

Strategic Priorities

1 Percentages rounded to the nearest whole number.

Total Number of Indicators – 8

FY 2009 Results Achieved for Strategic Goal 51

Above target – 2

(25%)

On target – 3

(38%)

Rating not

available – 1

(13%)

Below target – 2

(25%)

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 43
Key Selected Achievements 

■ USAID humanitarian assistance programs responded to 

57 life-threatening disasters in 46 countries, providing 

more than $754 million to those in need. 

■ Under the direction of the Department, the United States 

resettled more refugees than all other countries combined. 

Refugee admissions to the U.S. in FY 2009 totaled 74,652, 

which represents 99.5% of the regional ceilings established 

by Presidential Determination. 

III. Selected Strategic Priorities and Analyses

PROTECTION, ASSISTANCE, AND SOLUTIONS: Protect vulnerable 

populations (e.g. refugees, internally displaced persons, and 

others affected by natural disasters and human-made crises) from 

physical harm, persecution, exploitation, abuse, malnutrition, 

disease, and other threats by providing disaster relief, including 

food aid, and humanitarian assistance.

Analysis: By prioritizing emergency food aid to reach those 

most vulnerable, the United States is meeting its mission 

of saving lives, reducing hunger, and providing a long-term 

framework through which to protect lives and livelihoods. 

The emergency food aid indicator demonstrates the effectiveness 

of USAID’s Office of Food for Peace (FFP) programs by 

measuring the percentage of beneficiaries it actually reaches 

compared to planned levels. Over time, FFP has determined 

that a fixed annual target of reaching 93% of planned 

emergency food aid beneficiaries is ambitious, but achievable 

and realistic. FFP has greatly improved its ability to reach 

planned food aid beneficiaries in recent years and in FY 2009 

reached the targeted 93%. 

Performance Indicator: Percent of Planned Emergency Food Aid 

Beneficiaries Reached by USAID’s Office of Food for Peace Programs

80%

90%

100%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

86%

92%

93% 93%

2007-2011 Performance Trends

93%

93%

2009

Rating

On target

Impact(s): By identifying the needs of populations affected by disasters and 

conflict, and delivering emergency food aid to identified beneficiaries, the 

United States works toward achieving a vision of a world free of hunger 

and poverty, where people live in dignity, peace, and food security. By 

prioritizing emergency food aid to reach those most vulnerable, the United 

States is meeting its mission of saving lives, reducing hunger, and providing 

a long-term framework through which to protect lives and livelihoods.

Analysis: U.S. humanitarian assistance also provides basic 

inputs for survival, recovery, and restoration of productive 

capacity in communities that have been devastated by natural 

and human-made disasters. USAID maintains stockpiles of 

emergency relief commodities, such as plastic sheeting, blankets, 

water containers, and hygiene kits, in three warehouses around 

the world. To ensure that disaster-affected populations receive 

sufficient relief supplies, USAID’s Office of Foreign Disaster 

Assistance (OFDA) manages the provision and delivery of 

these warehoused commodities and also provides funding to 

implementing partners to procure relief supplies locally. 

Providing these basic inputs is the first and most significant step 

toward restoring the social and economic capabilities of affected 

areas, and tracking the percentage of households receiving this 

support in a crisis is a solid indicator of OFDA’s effectiveness in 

providing lasting solutions during a humanitarian crisis. Performance in FY 2009 was on target, with 85% of targeted households reached. Plans to improve performance in order to achieve 

future targets include increasing cooperation with international 

humanitarian partners to obtain better access for humanitarian 

assistance from host country government authorities. 

Performance Indicator: Percent of Targeted Disaster-Affected 

Households Provided with Basic Inputs for Survival, Recovery, 

or Restoration of Productive Capacity

70%

80%

90%

100%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

85% 84%

90% 90%

2007-2011 Performance Trends

85%

85%

2009

Rating

On target

Impact(s): By identifying the needs of populations affected by disasters and 

conflict, setting targets for meeting these needs, and reaching the affected 

populations with the right activities, USAID and its partners can realize the 

goal of saving lives, alleviating human suffering, and reducing the social and 

economic impact of humanitarian emergencies worldwide. USAID continues to 

improve its ability to identify what kinds of needs exist and how many people 

are in need, and to step in with the right activities to reach targeted populations 

with humanitarian assistance. By improving the ability of people in disasterprone regions to anticipate natural disasters and be prepared for them, these 

populations themselves are better able to identify how many are in need and 

what their needs are, as well as being able to bounce back following a disaster.

Strategic Goals and Results

44 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Strategic Goal 6:

Promoting International Understanding 

Achieve foreign policy goals and objectives and enhance national security by fostering broad, mutually-respectful 

engagement and mutual understanding between American citizens and institutions and their counterparts abroad. 

I. Public Benefit

T

he President is committed to renewing America’s engagement with the people of the world by enhancing mutual 

respect and understanding and creating partnerships aimed 

at solving common problems. Public diplomacy must embrace 

and pursue this long-term objective even as it seeks in the short 

term to engage, understand, inform, and persuade foreign publics on issues of U.S. policies, society and values. The Department of State and USAID foster strategic communication 

with international audiences through cultural programming, 

academic grants, educational exchanges, international visitor 

programs, and U.S. Government efforts to confront and counter 

ideological support for terrorism. Thanks to the communication 

revolution that has swept across the world, State and USAID are 

expanding the scope of public diplomacy and foreign assistance 

by engaging with broader and younger audiences around the 

world, with particular emphasis on Muslim communities. The 

two agencies tailor messages and programs to reach new audiences and better coordinate interagency activities. Embracing 

new technologies, which, if used creatively and in partnership 

with U.S. posts overseas, holds the promise of dramatically 

scaling up many traditional public diplomacy outreach efforts.

II. Summary of Performance and Resources

Of the seven indicators within this Strategic Goal, three met 

or exceeded targets and one was below target. Ratings are 

not available for three indicators that are either new or for 

which data are not yet available. The Department of State and 

USAID allocated $1.2 billion toward this Strategic Goal in FY 

2009, which is two percent of the total State-USAID budget 

supporting all strategic goals. A more detailed discussion of 

the priorities under this Strategic Goal and U.S. Government 

performance for two illustrative indicators is provided in the 

following section.

Key Selected Achievements 

■ The Department is reaching out to foreign audiences 

worldwide through a mobile Short Message Service 

(SMS) messaging system, a team of online bloggers, the 

America.gov website, Twitter, publications, and Co.Nx, 

a multimedia interactive platform. 

■ To support Secretary Clinton’s trip to Africa, America.gov 

produced more than 30 articles, eight podcasts, four photo 

galleries, Twitter feeds, and Flickr pages to amplify the trip’s 

themes. Many of these items were used by news aggregators, 

Secretary of State Clinton met with Palestinian students in the West Bank 

city of Ramallah in March 2009. AP Image

Offer a Positive Vision

Marginalize Extremism

Nurture Common Interests 

and Values

Strategic Priorities

($ in millions)

$0

$500

$1,000

$1,500

FY 2009 Budget Resources for Strategic Goal 6

TOTAL – $1,221

$205

$132

$884

Total Number of Indicators – 7

FY 2009 Results Achieved for Strategic Goal 6

Above target – 1

(14%)

On target – 2

(29%)

Below target – 1

(14%)

Rating not

available – 3

(43%)

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 45
local African media, and blogs, helping to shape the global 

conversation on democracy and good governance.

■ Anti-American sentiment dropped by 11% among key 

foreign audiences exposed to Public Diplomacy efforts, 

as compared to a non-Public Diplomacy control group.

III. Selected Strategic Priorities and Analyses

OFFER A POSITIVE VISION: Offer a positive vision of hope and 

opportunity, rooted in the most basic values of the American 

people, by sponsoring educational programs at all levels, 

advocating for the rights of people, and conducting other 

public diplomacy programs.

Analysis: The number of media interviews given by U.S. 

officials to key Arab media outlets in the NEA region shows 

an uneven trend in support of U.S. efforts to Offer a Positive 

Vision. The indicator showed an increase from FY 2007 to 

2008, but registered a decline in FY 2009 to 986 interviews, 

down from 1,079 the previous year. This decrease reflects gaps 

at U.S. posts in the NEA region. Although it is sometimes 

challenging to determine the specific impact of interviews 

given by U.S. officials, any opportunity to communicate 

the message of the U.S. responsibly and accurately is critical 

in an environment where anti-American sentiment and 

misinformation are pervasive. This performance indicator 

reflects the State Department’s ongoing priority of personto-person engagement to form lasting relationships.

Performance Indicator: Level of Outreach to Key Arab 

Media Outlets, as Measured by the Number of Interviews 

Given by U.S. Officials

800

1,000

1,200

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of interviews

Result Target

967

1,079

1,130 1,180

2007-2011 Performance Trends

986

1,080

2009

Rating

Below Target

Impact(s): While the indicator did not achieve its target, it heightens the 

awareness of the importance of delivering the U.S. message where anti-U.S. 

media is common.

Steps to Improve: Having posts fully staffed, with fewer transitions during the 

course of the year will have a significant effect on meeting performance targets.

NURTURE COMMON INTERESTS AND VALUES: Expand 

international understanding of our common interests and values 

through messages and programs built on areas in which U.S. 

Government expertise corresponds to the interests and needs 

of our partners and counterparts.

Analysis: The State Department and USAID work to nurture 

common interests and values between Americans and people 

of different countries, cultures, and faiths around the world. 

Creating indigenous capacity – whether it is in health, education, 

free press, workforce training, agriculture, law enforcement, or 

governance – is key to long-term progress, the stable development of civil society, and firm and friendly bilateral and multilateral relationships. Even in autocratic societies, leaders must 

increasingly respond to the opinions and passions of their people. 

Public diplomacy is working to develop new ways to communicate and engage with foreign publics at all levels of society. 

In doing so, the United States must do a better job listening, 

learn how people in other countries and cultures listen to the 

United States, understand their desires and aspirations, provide 

them with context for U.S. decisions, and offer information and 

services of value. The U.S. Government sponsors educational 

and information sharing programs at all levels to advocate peace, 

liberty, and justice for all. The Department communicates 

through a wide range of speaker, print, and electronic outreach 

programs in English, Arabic, Chinese, French, Persian, Russian, 

and Spanish. Below is an indicator that tracks the percentage 

of non-U.S. citizens’ understanding of the United States after 

participating in a USG-sponsored exchange.

Trends in the area of Nurturing Common Interests and 

Values suggest a high correlation between participation in U.S. 

Government sponsored educational and cultural exchange 

programs and an increase in participants’ understanding of and 

favorable views toward the United States. This underscores the 

importance of maintaining and leveraging an active alumni 

network of exchange participants that have benefited from a 

positive experience with the United States.

Performance Indicator: Percentage of Participants who 

Increased or Changed Their Understanding of the United States 

Immediately Following Their Program

80%

90%

100%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

93% 95%

93% 93%

2007-2011 Performance Trends

93%

93%

2009

Rating

On target

Impact(s): As a result of participating in the Department’s Education and 

Cultural Affairs programs, men and women from around the world (established 

and emerging leaders, professionals in many disciplines, scholars, students, 

individuals from underserved communities) have an increased and more 

sophisticated understanding of American society, values and institutions. This 

strengthens relationships between strategic communities.

Strategic Goals and Results

46 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
Strategic Goal 7:

Strengthening Consular and Management Capabilities

Assist American citizens to travel, conduct business and live abroad securely, and ensure a high quality workforce 

supported by modern, secure infrastructure and operational capabilities.

I. Public Benefit

T

he Department of State’s commitment to and role in 

protecting America’s homeland, in collaboration with 

the Department of Homeland Security and other 

agencies, is reflected in a shared vision that includes improved 

technology and efficiency at ports of entry and in visa 

processing, more secure travel documents for the 21st century, 

and smarter screening technology for Government officials 

to use at home and abroad. In addition, the Department 

has the responsibility of protecting and providing a wide 

range of services for U.S. citizens while they are overseas. 

Approximately five million Americans reside abroad, and 

Americans make about 40 million trips from the United States 

every year. 

The Department pursues human resource initiatives aimed 

at building, deploying, and sustaining a knowledgeable, 

diverse, and high-performing workforce. Through programs 

such as training to foster foreign language proficiency, public 

diplomacy expertise, and improved leadership and management 

skills. The Department of State provides and maintains secure, 

safe, and functional facilities for its employees in the United 

States, and overseas for both State employees and those of other 

agencies. Its diplomatic security programs protect both people 

and national security information.

II. Summary of Performance and Resources

Of the 26 indicators within this Strategic Goal, eight met or 

exceeded targets and two were below target. Ratings are not 

available for 16 indicators that are either new or for which data 

are not yet available. The Department of State and USAID 

allocated $10.08 billion toward this Strategic Goal in FY 2009, 

which is 20% of the total State-USAID budget supporting 

all strategic goals. A more detailed discussion of the priorities 

under this Strategic Goal and U.S. Government performance 

for four illustrative indicators is provided in the following 

section.

U.S. Embassy in Berlin. Department of State Image

Visa Services

Passport Services

American Citizen Services

Human Resources

Information Technology

Security

Facilities

Planning and Accountability

Administrative Services

Rightsizing the U.S. Government

Overseas Presence

Strategic Priorities

($ in millions)

$0

$2,000

$4,000

$6,000

$8,000

$10,000

$12,000

FY 2009 Budget Resources for Strategic Goal 7

TOTAL – $10,084

$878

$478

$218

$678

$687

$2,199

$2,996

$1,423

$520

$6

1 Percentages rounded to the nearest whole number.

Total Number of Indicators – 26

FY 2009 Results Achieved for Strategic Goal 71

Above target – 5

(19%)

On target – 3

(12%)

Improved, but

target not met – 1

(4%) Below target – 1

(4%)

Rating not

available – 16

(62%)

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 47
Key Selected Achievements 

■ Overseas Buildings Operations completed seven major 

capital construction projects, ten major compound security 

upgrade projects, and prepared the first Long-Range 

Overseas Maintenance Plan (submitted in support of the 

FY 2011 budget). This effort provides secure, safer, and 

more functional facilities to all employees assigned to 

overseas missions. 

■ The Foreign Service Institute expanded distance learning 

to its global audience by 43%, reaching more Department 

employees with greater resource efficiency and timeliness.

■ The Office of Children’s Issues in the Bureau of Consular 

Affairs assisted with the successful return of or access to 

more than 550 children wrongfully taken to or kept in 

another country. 

III. Selected Strategic Priorities and Analyses

VISA SERVICES: Safeguard U.S. borders through vigilance in 

adjudicating visa applications while simultaneously facilitating 

legitimate travel.

Analysis: The Department strives to promote legitimate travel 

while protecting U.S. borders. U.S. visas allow foreigners 

to visit the United States for a variety of reasons, including 

tourism, business, or study. In the case of immigrant visas, 

they are the first step in obtaining permission to reside 

permanently in the United States.

Collecting the biometric data of visa applicants is a central 

element in the Department’s efforts to keep America safe and 

illicit travels from entering the United States. In July 2005, the 

U.S. Government announced a 10-print biometric standard 

to ensure consistent screening of foreign nationals entering 

the United States. The Biometric Visa Program screens the 10 

fingerprints of visa applicants against the fingerprint databases 

of both the Department of Homeland Security and the Federal 

Bureau of Investigation. At ports of entry, Customs and Border 

Protection officers compare fingerprints of the arriving alien 

to verify the visa holder’s identity. The following graph shows 

that 26% of all currently valid visas meet these new biometric 

standards. This percentage will improve as older visas expire. 

Performance Indicator: Percentage of All Valid Visas that Meet 

Current Biometric Requirements Established by the Department

20%

30%

40%

50%

60%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

N/A N/A

39%

52%

2007-2011 Performance Trends

26%

2009

Rating

New indicator, 

no rating

Impact(s): Equipped with information furnished by the Department of 

Homeland Security and the Federal Bureau of Investigation, the U.S. 

Government is able to prevent individuals who have committed crimes in 

America and/or obtained counterfeit travel documents from receiving visas. 

This important capability that helps the U.S. Government protect its citizens 

will improve as currently valid visas expire and are replaced with visas that 

meet the new biometric standards.

PASSPORT SERVICES: Provide American citizens with secure 

passports, delivered in a timely manner. 

Analysis: The U.S. passport identifies the bearer as a U.S. 

citizen or national. It is a request to foreign governments to 

permit travel or temporary residence in their territories and 

provide access to all lawful, local aid and protection. It also 

allows bearers access to U.S. consular services and assistance 

while abroad and re-entry into the United States. As more 

Americans travel overseas, the percentage of Americans 

holding passports continues to grow.

The Department of State issued 13.5 million passports in 2009, 

a decrease of more than16% over 2008. In 2007, the U.S. 

Government began requiring Americans flying to the United 

States from Canada, Mexico, and the Caribbean region to carry 

a passport. Implementation of new travel rules under the Western Hemisphere Travel Initiative resulted in a record volume of 

passport applicants. Since 2007, the percentage of passports 

issued within the targeted timeframe (4-6 weeks) has increased 

to 99%. 

Performance Indicator: Percentage of Passport Applications 

Processed within Targeted Timeframe

70%

80%

90%

100%

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Percentage

Result Target

71%

100% 100% 100%

2007-2011 Performance Trends

98.9%

100%

2009

Rating

Below Target

Impact(s): While the indicator did not meet its target, the near 100% result 

means citizens seeking to travel are largely receiving passports in a timely and 

efficient manner. 

Steps to Improve: Variance from target was slight, therefore no changes are 

being planned to this program as a result of this indicator.

Strategic Goals and Results

48 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
SECURITY: Safeguard personnel from physical harm and 

national security information from compromise. 

Analysis: The Department maintains dual efforts to safeguard 

national security information while allowing State personnel 

to be cleared in a timely manner to conduct the critical work 

of the Department. The Department forecasts the number 

of cases processed will increase 30% over the next two years, 

making improvements in the clearance process vital. In 

FY 2009, the Department showed progress on this strategic 

priority by significantly increasing the speed of its background 

investigations to an average of 55 days, from 67 days in 

FY 2008; this effort also exceed our target of 60 days for 

FY 2009. 

Performance Indicator: Length of Time to Complete 90% 

of Background Investigations, Adjudications and Granting 

of Personnel Security Clearances

40

50

60

70

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of days

Result Target

55

67 58 58

2007-2011 Performance Trends

55

60

2009

Rating

Above target

Impact(s): Improvements in the clearance process have been paramount as the 

Department projects the number of cases processed will increase 30% over 

the next two years. This result places the Department on track for meeting 

those demands so that its workforce can conduct the critical work of the 

Department.

FACILITIES: Provide safe, secure, and functional work facilities 

for overseas and domestic personnel.

Analysis: U.S. Embassies provide are the diplomatic platform 

for all agencies of the U.S. Government with overseas missions 

and official duty travel visits. The Department is responsible for 

providing and maintaining secure, safe, and functional facilities 

for U.S. personnel permanently assigned to overseas posts (as 

well as official travel visitors including members of Congress). 

In FY 2009, through capital security projects the Department 

moved 1,473 U.S. Government permanently assigned 

personnel to secure and safer facilities. 

Performance Indicator: Total Cumulative Number of 

U.S. Government Personnel Moved into More Secure, 

Safe, and Functional Facilities

12,000

18,000

24,000

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011

Number of personnel

Result Target

14,940

18,539

21,512 23,012

2007-2011 Performance Trends

20,012

2009

Rating

New indicator, 

no rating

Impact(s): Since its inception in 2001, the Department’s Capital Security 

Program continues to show positive trends and indicatates the commitment 

of the Department to invest in the projection of its public servants.

Diplomacy and Development Facts

■ On any given day, in FY 2009, approximately 22,300 

visitors received a non-immigrant visa to visit the 

United States. 

■ On any given day, in FY 2009, approximately 51,869 

Americans were issued a passport.

■ On any given day, in FY 2009, there were approximately 

670,000 foreign students studying at American colleges and 

universities with visas issued by United States Embassies.

■ In FY 2009, the State Department made payments to support 

diplomatic operations worldwide in 149 different foreign 

currencies. 

■ In FY 2009, PEPFAR directly supported prevention of motherto-child transmission programs that allowed nearly 100,000 

babies of HIV-positive mothers to be born HIV-free.

■ In FY 2009 in Afghanistan, more than 52,300 agricultural 

loans, ranging from approximately $200 to $2 million, went 

to small businesses with a repayment rate of 94%.

■ In FY 2009, USAID leveraged $36 in private financing 

for every $1 spent on Development Credit Authority loan 

guarantees.

■ The first woman to win the Nobel Prize for economics, 

Elinor Ostrom, credits USAID with launching her career 

in development research.

■ A USAID-funded scientist, Gebisa Ejeta, won the 2009 

World Food Prize for developing drought and striga 

resistant sorghum.

Did You Know?

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 49
Performance Indicators At-A-Glance

The 32 indicators featured in the table below serve as illustrative performance measures reflecting the Department of State and 

USAID’s progress toward achieving goals set out in the Joint Strategic Plan. An interagency working group selected these indicators 

from a total of 130 state operations and foreign assistance indicators reported by the agencies for FY 2009 to represent the strategic 

goals based on their budgetary significance; policy significance; availability of a quantitative, objective, and outcome-oriented 

data set; and consistency with reporting in prior years. Additional information on performance indicators, data, and analysis 

may be found in the Performance Overview and Analysis section of the FY 2011 Congressional Budget Justification (CBJ) for 

State Operations, pages 769-776; and the Annual Performance Report included in the FY 2011 CBJ for Foreign Operations, 

pages 271-347. The documents may be respectively found at http://www.state.gov/documents/organization/136355.pdf, and 

http://www.state.gov/f/releases/iab/fy2011cbj/pdf/index.htm

FY 2009 Illustrative Indicators by Strategic Goal and Priority1

Strategic Priority Indicator2 FY 2009

Rating

STRATEGIC GOAL 1: ACHIEVING PEACE AND SECURITY

1 Counterterrorism Number of Total NEA Countries with Financial Intelligence Units that Meet the Standards of the 

Egmont Group Data available 

mid- to late 2010

2 Security Cooperation and 

Security Sector Reform

Number of Personnel (Foreign Military) Trained in the U.S. Who are at National Leadership Levels

Above target

3 Conflict Prevention, 

Mitigation, and Response

Number of People Trained in Conflict Mitigation/Resolution Skills with U.S. Assistance

Above target

4 Conflict Prevention, 

Mitigation, and Response 

Average Rating for UN Peacekeeping Missions in Africa funded by the U.S.

Below target

5 Conflict Prevention, 

Mitigation, and Response

Average Rating for UN Peacekeeping Missions in Near East Asia funded by the U.S.

Above target

6 Counternarcotics Hectares of Alternative Crops Targeted by U.S. Programs under Cultivation

Above target

STRATEGIC GOAL 2: GOVERNING JUSTLY AND DEMOCRATICALLY

7 Rule of Law and Human 

Rights

Number of U.S. Assisted Courts with Improved Management

Below target

8 Rule of Law and Human 

Rights 

Percent of Non-Democratic and Transitioning Countries with Improved Civil Liberties Ratings

Data available 

mid- to late 2010

9 Good Governance Percent of Non-Democratic and Transitioning Countries with Improved Governance Ratings

Data available 

mid- to late 2010

10 Political Competition and 

Consensus Building

Number of Domestic Election Observers Trained with U.S. Assistance

Above target

11 Civil Society Number of U.S. Assisted Civil Society Organizations that Engage in Advocacy and Watchdog Functions

Improved, but 

target not met

STRATEGIC GOAL 3: INVESTING IN PEOPLE

12 Health/HIV/AIDS Number of People Receiving HIV/AIDS Treatment 

Above target

13 Health/Tuberculosis Average Tuberculosis Treatment Success Rate (TBS) in USAID Priority Countries

Above target

14 Health/Malaria Number of People Protected Against Malaria with a Prevention Measure (ITN and/or IRS) in President’s 

Malaria Initiative (PMI) Countries Above target

(continued on next page)

1 Indicators are not listed in priority order and are numbered for reference purposes only.

2 Performance indicators listed in this table have been abbreviated, but are fully articulated in the Strategic Goals report sections.

Strategic Goals and Results

50 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
FY 2009 ILLUSTRATIVE Indicators by Strategic Goal and Priority (continued)

Strategic Priority Indicator FY 2009

Rating

STRATEGIC GOAL 3: INVESTING IN PEOPLE (continued)

15 Health/Maternal and 

Child Health

Percentage of Live Births Attended by Skilled Birth Attendants 

Above target

16 Health/Family Planning 

and Reproductive Health

Average Modern Contraceptive Prevalence Rate

Improved, but 

target not met

17 Health/Water Supply and 

Sanitation

Number of People in Target Areas with Access to Improved Drinking Water Supply

Above target

18 Education Primary Net Enrollment Rate for a Sample of Countries Receiving Basic Education Funds

On target

STRATEGIC GOAL 4: PROMOTING ECONOMIC GROWTH and prosperity

19 Trade and Investment Level of Two-Way Trade Between the United States and Sub-Saharan Africa3

Below target

20 Infrastructure Number of People with Increased Access to Modern Energy Services as a Result of U.S. Assistance 

Above target

21 Energy Security Percentage of World Energy Supplies from Non-oil Sources

New indicator, 

no rating

22 Agriculture Percent Change in Value of International Exports of Targeted Agricultural Commodities Due 

to U.S. Assistance Above target

23 Economic Opportunity Percent of U.S.-Assisted Microfinance Institutions that have Reached Operational Sustainability

Above target

24 Environment Number of Hectares of Biological Significance and Natural Resources Under Improved 

Management as a Result of U.S. Assistance Below target

STRATEGIC GOAL 5: PROVIDING HUMANITARIAN ASSISTANCE

25 Protection, Assistance 

and Solutions

Percent of Planned Emergency Food Aid Beneficiaries Reached by USAID’s Office of Food for Peace 

Programs On target

26 Protection, Assistance 

and Solutions

Percent of Targeted Disaster-Affected Households Provided with Basic Inputs for Survival, Recovery, 

or Restoration of Productive Capacity On target

STRATEGIC GOAL 6: PROMOTING INTERNATIONAL UNDERSTANDING

27 Offer a Positive Vision Level of Outreach to Key Arab Media Outlets, as Measured by the Number of Interviews Given 

by U.S. Officials Below target

28 Nurture Common 

Interests and Values 

Percentage of Participants who Increased or Changed Their Understanding of the United States 

Immediately Following Their Program On target

STRATEGIC GOAL 7: STRENGTHENING CONSULAR AND MANAGEMENT CAPABILITIES

29 Visa Services Percentage of All Valid Visas that Meet Current Biometric Requirements Established by the Department

New indicator, 

no rating

30 Passport Services Percentage of Passport Applications Processed within Targeted Timeframe

Below target

31 Security Length of Time to Complete Personnel Security Clearances

Above target

32 Facilities Total Cumulative Number of U.S. Government Personnel Moved into More Secure, Safe, 

and Functional Facilities New indicator, 

no rating

3 Excludes energy imports.

Strategic Goals and Results

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 51
I

n an increasingly interdependent world, America needs 

every element of its national power - vigorous diplomacy, 

targeted development assistance, and a strong military – 

to be robust and aligned in pursuit of the nation’s foreign 

policy goals. As part of the President’s FY 2011 budget, the 

Department of State and USAID have requested resources 

to strengthen the diplomatic and development elements of 

America’s national security portfolio. Strengthening these 

two key pillars of America’s “Smart Power” toolkit will enable 

the Department and USAID to operate in partnership with 

uniformed colleagues around the world to advance America’s 

vital interests. 

The Department of State and USAID are using the resources 

entrusted to them to address critical challenges and grasp 

key opportunities for the United States to promote a world 

that is more secure, healthier and prosperous. Foreign 

policy and development professionals – working on behalf 

of the American people – are pursuing priorities such as 

responding to humanitarian crises, combating terrorism, 

advancing democratic values, negotiating nonproliferation and 

environmental treaties, facilitating free enterprise, promoting 

U.S. exports, and assisting American citizens abroad. 

The annual budget request to Congress for Agency funding 

is presented in two volumes: the Congressional Budget 

Justification for Department of State Operations, and the 

Congressional Budget Justification for Foreign Operations. 

Both components of the budget and key performance 

measures link directly to the seven strategic goals in the 

Department of State and USAID Joint Strategic Plan for 

Fiscal Years 2007-2012. The chart on the following page 

reflects the combined FY 2011 State Operations and Foreign 

Assistance Budget by strategic goal and includes a table listing 

the actual FY 2009, estimated FY 2010 and the requested 

FY 2011 resources. Following are highlights of the President’s 

FY 2011 International Affairs budget request which represents 

approximately 1% of the total federal budget. 

The Department of State and USAID are committed to 

being worthy stewards of the resources entrusted to them. 

The Department of State and USAID are demonstrating the 

relationship between resource requests and the performance 

of the programs that these budgets support by including 

performance data in the budget submissions. In addition, the 

budget promotes the efficient use of resources by eliminating 

duplicative overseas services and consolidating administrative 

functions when feasible. 

State Department FY 2011 Budget. The budget request for 

appropriations for all Department of State operations totals 

$16.4 billion (not including fees) and includes resources to 

support the people, platforms, and programs required by the 

Department of State to carry out foreign policy, including key 

components of the Department’s operations and infrastructure, 

as well as U.S. engagement abroad through public diplomacy 

and international organizations. The request reflects the 

Department’s critical role as a national security institution 

and identifies resources required for diplomatic solutions to 

national security issues. 

Highlights of the State Operations budget include supporting 

diplomatic operations in the frontline states of Pakistan, 

Afghanistan, and Iraq along with the transition of Department 

of Defense activities to civilian agencies in Iraq. Other key 

priorities include targeted investments to expand American 

diplomatic capacity by adding 599 new foreign and civil 

service employees; and supporting construction of safe, secure, 

and functional overseas facilities and maintenance of existing 

diplomatic facilities abroad, many of which present safety and 

security challenges. 

Foreign Assistance FY 2011 Budget. The foreign assistance 

appropriations request totals $36.4 billion. This request 

reflects a goal to make targeted investments in the key areas 

of convergence that play a central role in the overall prosperity and stability of a country and region. The priority areas 

of food security, global health, climate change, global engage52 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009

Budget Highlights
ment, and women’s issues are interdependent issues critical to 

catalyzing a cycle of sustained capacity building, peace, and 

economic growth within the nations receiving development 

assistance. The strategic direction will focus on implementation that invests in the capacity of partner nations to build 

strong, transparent, and accountable institutions. Breaking 

the cycle of dependence that aid can create is a priority. 

For additional information and details, please consult the 

FY 2011 Budget of the U.S. Government at http://www.

whitehouse.gov/omb/budget, the Congressional Budget 

Justifications, and the Executive Budget Summary, Function 

150 and Other International Programs for Fiscal Year 2011 at 

http://www.state.gov/s/d/rm/c6113.htm and http://www.usaid.gov/

policy/budget.

Combined FY 2011 State Operations and Foreign Assistance Budget Resources

by Strategic Goal $55.3 billion (includes appropriations and fees)

$12,163,131

(22%)

$11,350,442

(21%)

$15,681,673

(28%)

$4,122,215

(7%)

$6,430,179

(12%)

$4,082,719

(7%)

$1,463,532

(3%)

Achieving Peace and Security

Governing Justly and Democratically

Investing in People

Promoting Economic Growth and Prosperity

Providing Humanitarian Assistance

Promoting International Understanding

Strengthening Consular and 

Management Capabilities

LEGEND

Budget by Strategic Goal ($ in thousands)

State Operations and Foreign Assistance Budget Resources by Strategic Goal 

Fiscal Years 2009, 2010, & 20111

Strategic Goals

($ in thousands)

FY 2009 Actual FY 2010 Estimate2 FY 2011 Request

State 

Operations

Foreign 

Assistance

State 

Operations

Foreign 

Assistance

State 

Operations

Foreign 

Assistance

Achieving Peace and Security $ 4,526,594 $ 9,584,611 $ 4,394,160 $ 9,047,299 $ 4,838,062 $ 10,843,611

Governing Justly and Democratically 719,124 2,702,037 720,382 2,663,132 789,254 3,332,961

Investing in People 401,008 10,286,085 430,129 10,520,330 378,160 10,972,282

Promoting Economic Growth and Prosperity 739,187 3,988,834 731,930 4,292,263 903,254 5,526,925

Providing Humanitarian Assistance 67,513 4,883,934 71,403 4,031,157 76,894 4,005,825

Promoting International Understanding 1,220,544 N/A 1,406,052 N/A 1,463,532 N/A

Strengthening Consular and Management Capabilities 8,818,165 1,265,959 9,046,438 1,735,851 10,456,095 1,707,036

Total Resources Allocated by Strategic Goal $ 16,492,135 $ 32,711,460 $ 16,800,494 $ 32,290,032 $ 18,905,251 $ 36,388,640

Office of the Inspector General3 121,122 N/A 102,000 N/A 120,152 N/A

International Commissions 337,080 N/A 142,834 N/A 130,286 N/A

Buying Power Maintenance 5,000 N/A 8,500 N/A – N/A

Foreign Service National Separation Liability Trust Fund Payment 12,294 N/A 27,946 N/A 30,770 N/A

Foreign Service Retirement & Disability Fund 157,100 N/A 158,900 N/A 158,900 N/A

Total Resources Not Allocated by Strategic Goal4 $ 632,596 N/A $ 440,180 N/A $ 440,108 N/A

Grand Total $ 17,124,731 $ 32,711,460 $ 17,240,674 $ 32,290,032 $ 19,345,359 $ 36,388,640

1 State Operations resources allocated by Strategic Goal include all appropriated and fee-based funds.

2 FY 2010 Estimate for Foreign Assistance includes two supplementals. FY 2010 Estimate for State Operations does not include these supplementals.

3 State Department Office of Inspector General only. USAID Inspector General budget included in Strategic Goals allocation. 

4 Resources for these accounts and offices are not allocated by Strategic Goal because they represent programs that support the Department of State as an institution 

rather than diplomatic, consular and management programs linked to Strategic Goals and Priorities..

Budget Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 53
T

ransparent reporting about U.S. stewardship and 

management of public funds is an integral part of the 

Department of State and USAID’s collaborative efforts 

to improve accountability to U.S. customers, constituents and 

the public. The following summarizes the Agency Financial 

Reports (AFRs) for both the Department of State and USAID 

for FY 2009. The AFRs present each agency’s audited financial 

statements and footnotes, along with performance and other 

required information. 

The following pages include financial information on each 

agency’s assets, liabilities, and net position in a Balance Sheet 

Summary, information on each agency’s cost of operations in 

a Net Cost Summary, and available resources in a Budgetary 

Resources Summary. In addition, summary financial 

information from each agency’s FY 2009 principal financial 

statements is included. Both agencies’ AFRs are posted online. 

For a complete version of the Department of State AFR, see: 

http://www.state.gov/s/d/rm/rls/perfrpt/2009/index.htm.

For the USAID AFR, see: http://www.usaid.gov/policy/afr09/.

Department of State. During FY 2009, the Department 

engaged a new audit firm to conduct the annual audit. The 

new Independent Auditor (IA) issued an unqualified opinion 

on the Consolidated Statement of Net Cost and qualified 

opinions on the Consolidated Balance Sheet and Consolidated 

Statement of Changes in Net Position. The qualified opinions 

were based on the IA’s inability to satisfy themselves that 

property and equipment was free of material misstatement as 

of September 30, 2009. The new IA was not able to satisfy 

themselves as to whether the FY 2009 Combined Statement 

of Budgetary Resources was free of material misstatement in 

time to meet the deadline imposed by OMB. Therefore, the IA 

issued a disclaimer of opinion on the Statement of Budgetary 

Resources for the year ended September 30, 2009. 

The FY 2009 audit resulted in a restatement of the FY 2008 

Balance Sheet and Statement of Changes in Net Position to 

remove a $381 million environmental liability established 

prior to FY 2008 by the International Boundary and Water 

Commission in response to a court order. It was determined 

that the amount should be reflected solely in the footnotes 

versus on the principal financial statements. Additionally, an 

adjustment for land valuation established in FY 1996 reduced 

property and equipment by $399 million. The original 

FY 2008 financial statements and the restated amounts 

received an unqualified opinion. The new IA identified 

three material weaknesses and three significant deficiencies. 

The material weaknesses relate to the need for the IBWC 

liability restatement, accounting for property and equipment 

and timely financial reporting. The Department has actions 

underway to resolve these weaknesses.

USAID. The agency received an unqualified opinion for the 

seventh consecutive year from OIG. This affirms that USAID’s 

financial statements for the year ended September 30, 2009, 

were presented fairly in all material aspects and prepared in 

conformance with Generally Accepted Accounting Principles 

(GAAP). The Independent Auditor’s Report can be found at 

http://www.usaid.gov/oig/public/fy10rpts/0-000-10-001-c.pdf. 

The auditor identified one material weakness related to 

unreconciled differences between the Agency’s Fund Balance 

and its cash balance reported by the U.S. Treasury, and three 

significant deficiencies. Corrective action plans are in place to 

resolve these findings and related audit recommendations by 

September 30, 2010. 

The following summarized financial statement information is 

based on the same underlying data presented in the FY 2009 

Agency Financial Report (AFR). This condensed information 

provides a high level analysis of each agency’s financial 

performance and should not be viewed as a substitute for 

the financial statements and notes contained in the AFR.

Financial Highlights

54 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009

Financial Highlights
Balance Sheet Summary

The Condensed Balance Sheets shown here present the assets, 

liabilities, and net position of each agency. Each agency’s asset 

and liability amounts include interagency transactions between 

the Department of State, USAID, and other Federal agencies.

Department of State. Assets increased 16% over 2008, 

primarily due to greater Fund Balance with Treasury available 

in the Global Health and Child Survival fund and for Embassy 

Security, Construction and Maintenance. Investments 

and Property and Equipment increased as well with the 

Department’s continued emphasis on construction of new 

embassies and security upgrades. Liabilities increased 7% 

between FY 2008 and FY 2009 due to the $1.8 billion increase 

in the Foreign Service Retirement Actuarial Liability. An 

experience study conducted by the Department’s actuaries 

in FY 2009 indicated a need to change key assumptions 

used to adjust the projected plan benefits.

USAID. Assets increased by 7% in FY 2009 from 2008. 

Fund Balance with Treasury (unspent appropriations) 

represents 82% of these total assets. The increase in assets 

was due mainly to the Agency’s receiving more appropriation 

in the Economic Support Fund. The five largest uses of that 

fund were Afghanistan, West Bank/Gaza, Jordan, Iraq, and 

the Global Financial Crisis. The Agency’s liabilities increased 

three percent because of increased loan guarantees. Credit 

reform related payables to the U.S. Treasury account for 

46% of overall liabilities.

Net Cost Summary

The charts on the next page show each agency’s net cost; 

that is, gross costs less earned revenue, invested in each joint 

strategic goal. These goals, or objectives, are consistent with 

the State-USAID Strategic Planning Framework. Operating 

Unit Management and Executive Direction are costs that 

cannot be directly traced or reasonably allocated to strategic 

goals; however, these costs are captured and included in the 

total net cost of operations. In addition, total net cost includes 

intra-agency eliminations, but does not include eliminations 

between State and USAID. 

Department of State. Total Net Cost of $21.6 billion is 

an increase of 22% or $3.9 billion, over 2008. The goal of 

Investing in People and Executive Direction and Other Costs 

account for most of the increase. Executive Direction Costs 

include the $1.5 billion increase in actuarial liability for the 

Foreign Service Retirement and Disability Fund. Costs in 

furtherance of the Investing in People goal increased $1.8 

billion due to initiatives and additional appropriations received 

and expended this year by the fund established in 2008 for 

Global Health and Child Survival. The goal of Achieving 

Peace and Security represented the largest category of costs, 

at 27%, for FY 2009. 

USAID. The Statement of Net Cost shows the amounts 

spent on meeting the Agency’s six objectives. These objectives 

are consistent with the State-USAID Strategic Planning 

Framework. The Economic Growth objective is the largest 

investment at 33%. The spending levels increased due to 

budget changes to align with the normal course of USAID’s 

operations. The 23% increase in net cost of operations is 

a result of changes in the Economic Growth, Investing in 

People and Humanitarian Assistance objectives. The Economic 

Growth objective shows the highest variance with an increase 

in spending under Macroeconomic, Financial sector, 

CONDENSED BALANCE SHEETS

As of September 30, 2009

($ in thousands) State USAID

Assets:

Fund Balance with Treasury $ 31,737,770 $ 21,437,709

Investments, Net 15,371,574 —

Property, Plant, and Equipment, Net 11,675,889 117,794

Accounts, Loans, and Interest Receivables, 

Net

— 3,847,554

Other Assets 1,068,073 735,379

Total Assets $59,853,306 $26,138,436

Liabilities:

Foreign Service Retirement Actuarial Liability $ 16,983,300 $ —

Liability for Capital Transfers to the General 

Fund of the Treasury

— 3,945,582

Accounts Payable 2,076,189 1,836,631

Loan Guaranty Liability — 2,283,273

Liability to International Organizations 1,450,764 —

All Other Liabilities 1,970,120 603,085

Total Liabilities 22,480,373 8,668,571

Net Position:

Unexpended Appropriations 23,546,300 16,464,124

Cumulative Results of Operations 13,826,633 1,005,741

Total Net Position 37,372,933 17,469,865

Total Liabilities and Net Position $59,853,306 $26,138,436

Financial Highlights

Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009 | 55
AFR http://www.usaid.gov/policy/afr09/USAIDFY2009AFR.pdf, 

page 18. The table below documents the net cost of operations 

by strategic goal.

NET COST OF OPERATIONS 

For the Year Ended September 30, 2009 ($ in thousands)

Strategic Goal

STATE USAID

Net Cost Percent of Total

Net Cost Net Cost Percent of Total Net Cost

Achieving Peace and Security $ 5,738,945 26% $ 979,638 9%

Governing Justly and Democratically 753,657 3% 1,753,766 16%

Investing in People 5,088,936 24% 3,058,013 28%

Promoting Economic Growth and Prosperity 1,231,801 6% 3,624,505 33%

Providing Humanitarian Assistance 1,695,233 8% 1,455,654 13%

Promoting International Understanding 2,084,423 10% N/A N/A

Strengthening Consular and Management Capabilities 1,222,896 6% N/A N/A 

Other Cost Category

Operating Unit Management N/A N/A 144,175 1%

Executive Direction and Other Costs Not Assigned 3,796,943 17% N/A N/A

Total Net Cost of Operations $21,612,834 100% $11,015,751 100%

STATE

FY 2009 NET COST OF OPERATIONS

Achieving Peace and Security

Governing Justly and Democratically

Investing in People

Promoting Economic Growth and Prosperity

USAID

FY 2009 NET COST OF OPERATIONS

(Dollars in Thousands) (Dollars in Thousands)

Providing Humanitarian Assistance

Promoting International Understanding

Strengthening Consular and Management Capabilities

Executive Direction and Other Costs Not Assigned

Operating Unit Management

$1,222,896

$5,738,945

$5,088,936

$753,657

$2,084,423

$1,695,233

$1,231,801

$3,796,943

$979,638

$3,624,505

$1,753,766

$3,058,013

$1,455,654

$144,175

STATE

FY 2009 NET COST OF OPERATIONS

Achieving Peace and Security

Governing Justly and Democratically

Investing in People

Promoting Economic Growth and Prosperity

USAID

FY 2009 NET COST OF OPERATIONS

(Dollars in Thousands) (Dollars in Thousands)

Providing Humanitarian Assistance

Promoting International Understanding

Strengthening Consular and Management Capabilities

Executive Direction and Other Costs Not Assigned

Operating Unit Management

$1,222,896

$5,738,945

$5,088,936

$753,657

$2,084,423

$1,695,233

$1,231,801

$3,796,943

$979,638

$3,624,505

$1,753,766

$3,058,013

$1,455,654

$144,175

 Achieving Peace and Security

 Governing Justly and Democratically

 Investing in People

 Promoting Economic Growth and Prosperity 

 Providing Humanitarian Assistance

 Promoting International Understanding

 Strengthening Consular and Management Capabilities

 Operating Unit Management

 Executive Direction and Other Costs Not Assigned

Infrastructure, and Agriculture program areas. The Investing 

in People variance is due to an increase in revenues for the 

Health program area. Complete details are provided in the 

Budgetary Resources Summary

($ in thousands)

Total

$50,138,291

Total

$18,961,887

$38,166,636

$11,971,655

$11,958,038

$7,003,849

Obligations Incurred Unobligated Balance

STATE USAID

State and USAID

FY 2009 Status of Budgetary Resources

$0

$10,000,000

$20,000,000

$30,000,000

$40,000,000

$50,000,000

$60,000,000

The Department reported budgetary resources of $50.1 billion 

as of September 30, 2009, an increase of 29% from the prior 

fiscal year, and USAID reported $19.0 billion in budgetary 

resources, a 24% increase from the previous fiscal year. 

Most of the Department’s increase in resources is due to the 

$9.2 billion increased budget authority from appropriations 

as well as spending authority from offsetting collections 

granted by Congress and authorized by the OMB. The chart 

to the right presents the Department’s and USAID’s status 

of budgetary resources on September 30, 2009.

Financial Highlights

56 | Department of State-USAID Joint Summary of Performance and Financial Information • Fiscal Year 2009
AcknowledgmentS

The Joint Summary of Performance and Financial Information 

for FY 2009 was prepared by State Department’s Bureau of 

Resource Management, Office of Strategic and Performance 

Planning and USAID’s Bureau for Management, Office of 

Management Policy, Budget, and Performance. 

The Joint Summary of Performance and Financial Information 

for FY 2009 Core Team is composed of Claudia Magdalena 

Abendroth, Sandra Byrnes, James Core, Melinda Crowley, Peter 

Davis, Colleen Fisher, Chardonnay Hargrove, Sarah Kohari, Yaropolk 

Kulchyckyj, Brian Levis, Subhi Mehdi, Donald Shaw, Sanjay 

Srikantiah, Tara Thwing, Christian E. Torres, Erica Victoria, 

Jason Wall, and Susanne Wood.

Special Acknowledgement to Rachel Arndt, Renate M. Benham, 

Amanda Boachie, Renee Brock, DeAnne Bryant, Jody Buckneberg, 

Stella M. Bulimo, F. Burgess, Stephanie Cabell, Jennifer Ceriale, 

Barbara Clark, Emily Crawford, Jay Dehmlow, Albert Fairchild, 

Steven W. Gibson, Alethea Gordon, Jean L. Hartung, Scott 

Heckman, Michael Heiserman, John Higgins, Mehlika Hoodbhoy, 

Jason Kerben, Emily Kenealy, Jonathan Parks, Douglas Rose, Noelle 

L. Rush, Paul P. Schafer, Philip A. Shar, John Streufert, Charlene W. 

Thomas, Elijah Wester, Gloria White, and Josh Yaphe for their 

contributions to this report. Additionally, special acknowledgments 

to the Department of State’s Bureau of Public Affairs and Bureau 

of Administration and to USAID’s Bureau for Legislative and Public 

Affairs for their assistance in posting the document to the internet. 

Special thanks also go to USAID’s Bureau for Democracy, Conflict, 

and Humanitarian Assistance, Global Health, and Economic Growth, 

Agriculture, and Trade and to the Offices of the Chief Financial 

Officer and Chief Operating Officer.

We Offer Our Special Thanks to The DesignPond, in particular 

Sheri Beauregard, Michael James, and Donald James for their 

outstanding contributions to the design of the Report. 

Image CRedits

Academy for Educational Development (AED): Cover, 33

Agence France Presse (AFP): Cover, 1, 2, 20, 26, 39

Associated Press (AP): Cover, Table of Contents, 38, 45 

CARE: 43 

Department of State: Table of Contents, 21, 25, 47

Family Health International: Table of Contents

Florida International University (FIU): 30

Jide Adeniyi-Jones: 29

USAID: Cover, 2, 38 

USIBWC: 22

World Relief Rwanda and Ikirezi: 37

CONTACT INFORMATION

We welcome your comments on this report. Please contact us by phone or e-mail as follows.

Department of State General Information: 202-647-0300 or performanceandplanning@state.gov

USAID General Information: 202-712-0000 or pmanagement@usaid.gov

Electronic versions are available at: 

http://www.state.gov/s/d/rm/rls/perfrpt/2009performancesummary/index.htm and

http://www.usaid.gov/policy/summary09

References

Department of State and USAID Strategic Plan for Fiscal Years 2007 to 2012

http://www.state.gov/documents/organization/86291.pdf

FY 2009 Agency Financial Reports

http://www.state.gov/documents/organization/132214.pdf

http://www.usaid.gov/policy/afr09/FY2009AFR11-16-09.pdf

FY 2011 Department of State Congressional Budget Justification: Volumes 1 and 2

(FY 2009 Annual Performance Reports and FY 2011 Annual Performance Plans for State Operations

and Foreign Assistance are included in the Congressional Budget Justification)

http://www.state.gov/s/d/rm/rls/statecbj/2011/pdf/index.htm

http://www.usaid.gov/policy/budget/cbj2011/

For More Information...

Regional Issues: http://www.state.gov/p/ and http://www.usaid.gov/locations/ 

International Organizations: http://www.state.gov/p/io/index.htm 

Afghanistan & Pakistan 

http://www.state.gov/p/sca/ci/af/index.htm, http://www.state.gov/p/sca/ci/pk/index.htm, 

http://www.usaid.gov/locations/asia/countries/afghanistan/, and http://www.usaid.gov/locations/asia/countries/pakistan/ 

April 2010
www.state.gov www.usaid.gov

United States 

Department of State