Framework For Cooperation Between the Office of the United Nations High Commissioner for Refugees and the Bureau of Population, Refugees, and Migration for 2008

Signed November 29, 2007

This Framework for Cooperation is undertaken by the Office of the United Nations High Commissioner for Refugees (hereinafter referred to as UNHCR) and the Bureau of Population, Refugees, and Migration, U.S. Department of State (hereinafter referred to as PRM). It is understood that this document, in its entirety, constitutes policy commitments by UNHCR and PRM, and is therefore not intended to be legally binding. In the interest of transparency, it will be posted on the U.S. Department of State and UNHCR websites.

I. Reform Efforts:

The United States (hereinafter referred to as the U.S.) is undertaking reform of its foreign assistance framework to align all assistance funding in support of the goal of transformational diplomacy and development. Humanitarian assistance remains one of five key objectives of the revised U.S. framework. The U.S. provides humanitarian assistance on the basis of need according to principles of universality, impartiality, and human dignity, and recognizes that provision of assistance requires an integrated, coordinated, and multi-sectoral approach to be most effective. The primary objectives of this reform process are to demonstrate performance and accountability in all U.S. foreign assistance programs, and clearly link programming and funding directly to U.S. policy goals.

UNHCR is undertaking or participating in a series of internal or broader UN reforms as well with the goal of becoming more effective and results-oriented with a workforce that can more easily adapt to complex emergencies. PRM shares particular interest in and support for four of these reform initiatives:

A. The Structural and Management Change process under which structures, systems, processes and staffing arrangements are being reviewed to ensure that they are fully aligned with current needs and challenges;

B. UNHCR efforts to utilize more effectively its own standards, objectives, and indicators, and Results-Based Management (RBM) system, including roll-out of the FOCUS software, to ensure that beneficiary needs are met and the impact of UNHCR’s work is demonstrated;

C. UNHCR’s and the broader UN effort to address the needs of internally displaced persons (IDPs) in a predictable, comprehensive and collaborative manner. PRM supports the “cluster leadership approach,” and believes it is essential that UNHCR continues to work within the cluster system to develop further guidelines on involvement and activation of the cluster approach including the development of clear strategies to implement the recommendations of the OCHA evaluation of the cluster leadership approach due to be released at the end of 2007 and to exit and handover operations in coordination with relevant partners;

D. UNHCR’s proposed new budget structure and the manner in which it will align its budget with the way it plans its programs to ensure greater clarity and transparency in terms of how it addresses the different categories of populations of concern. In so doing, UNHCR expects to provide a better basis for results-based management and improved governances.

PRM intends to continue to focus considerable attention in the coming year on these initiatives in order to help UNHCR achieve success. In line with this support, UNHCR is fully committed to share information and consult with PRM and other interested governments on these key issues during the year.

II. PRM Priorities and UNHCR Global Strategic Objectives:

PRM supports UNHCR’s Global Strategic Objectives (GSOs) for 2008 which largely reflect the broad PRM priorities for UNHCR. PRM and UNHCR intend that the commitment to meet these objectives and targets will continue to serve as the basis of the Framework agreement. UNHCR is committed to providing standardized reporting on progress made in accomplishing its objectives and targets. UNHCR is also committed to making progress in meeting its Standards and in measuring and reporting on that progress. Reflecting the principles of Good Humanitarian Donorship to which the U.S. and UNHCR subscribe, PRM believes, with a few exceptions (see the list in section V below), that standardized UNHCR reporting on its Global Strategic Objectives and Performance Targets and Standards and Indicators will satisfy PRM requirements.

PRM believes that the following UNHCR 2008 global strategic objectives, and their associated accomplishments and targets, deserve particular attention and should be the focus of UNHCR progress reports, particularly in strengthening UNHCR as an effective, fully engaged, responsive and respected humanitarian agency:

A) UNHCR Reform:

• Maintain financial stability; improve decision making, coordination and support to operations; and strengthen UNHCR’s human resources policies;
• Institutionalize RBM as a fundamental performance and accountability framework for the organization;
• Enhance the quality of monitoring and evaluation activities that UNHCR undertakes;

B) Protection and Durable Solutions:

• Strengthen protection, especially for women and children, as well as standards of care, self-reliance, education, health, and prevention and zero-tolerance of sexual and gender based violence, sexual exploitation and abuse;
• Ensure that UNHCR actively participates in the interagency processes that focus on the particular protection and reintegration needs of children who are or have been associated with armed forces or groups are being met;
• Improve the level and quality of registration, data collection, analysis and documentation at all stages of an operation;
• Implement comprehensive strategies to resolve refugee situations, particularly those that are protracted;
• Address situations of statelessness more effectively;
• Help expand resettlement capacity of non-traditional resettlement countries and promote and apply resettlement as an effective protection tool, durable solution, and burden and responsibility-sharing mechanism.

C) IDPs:

• Protect internally displaced persons when mandated to do so either directly (“by the United Nations Secretary General or a competent organ of the United Nations”) or within the agreed inter-agency framework of collective responsibilities;
• Promote respect for international standards in relation to the protection of IDPs;
• Continue to coordinate with other humanitarian and development actors responsible for IDP response under the cluster approach;
• Clarify how best to integrate IDP work into its programming and budgeting.

D) Age, Gender and Diversity:

• Ensure international standards of protection are met for all persons of concern to UNHCR taking into account their age, gender, or personal background, including through participatory approaches in the design, implementation, and monitoring of programs;
• Applying age, gender and diversity analysis to all operational activities;
• Improving gender balance in UNHCR’s workforce in the field and at Headquarters within the context of UNHCR’s Gender Policy.

E) Strengthen UNHCR’s preparedness and emergency response capacity

• Implement effective contingency planning, continue to support a robust stand-by and logistics capacity;
• Effectively balance staff security with operational needs through an active contribution to the ongoing reform of the UN Security Management System;
• Meeting the needs of women, children and groups with specific needs in emergency situations.

In addition, PRM and UNHCR believe it is critical, especially in years when funding is limited, that resources are managed and activities prioritized in a way that maximizes refugee protection, solutions, and care. In addition, PRM believes it is vital that UNHCR monitors and reports comprehensively on impact of its programs in 2008.

III. PRM and UNHCR further identify the following issues of a more bilateral nature:

i. UNHCR and PRM are committed to holding semi-annual discussions on program and policy issues of mutual interest, and to preparing a joint written report on the these discussions following the mid-year consultations.

ii. PRM confirms its commitment to remain a strong supporter of UNHCR and to continue to partner with UNHCR to protect and find durable solutions for the millions of refugees, IDPs and other persons of concern around the world. PRM and UNHCR will work to expand UNHCR’s donor base and increasing government and private sector contributions.

iii. PRM supports UNHCR’s efforts to build self-reliance of refugees and other persons of concern and to strengthen refugees’ capacity as agents of solutions and development.

iv. Recognizing the need for early and predictable funding, PRM will strive to provide a large and early contribution to UNHCR. Subject to the availability of funds, PRM will strive to maintain its funding level for the year at between 22 –25%- of the annual program budget for 2008;

v. PRM and UNHCR support the strategy for needs-based resource allocation and budgeting, which should lead towards a fundable budget covering all UNHCR’s “persons of concern,” bearing in mind the requirement to ensure that the needs of refugees remain a priority consideration consistent with UN General Assembly resolutions.

vi. In the event that new and unforeseen large-scale refugee crises occur during the year, PRM may consider supplementary appeals for programs that cannot be accommodated within the Operational Reserve, as well as supplementary appeals that are already foreseen to continue in 2008;

vii. PRM supports UNHCR’s role in the IDP cluster approach, and will consider supplementary appeals for IDP operations issued during the year as well as for recurrent global cluster lead costs for UNHCR’s protection, camp coordination/management and emergency shelter responsibilities.

viii. PRM is committed to continuing to provide support to UNHCR to increase its resettlement capacity and encourages further efforts to ensure that resources are focused on improving the identification and referral of cases in need of resettlement. UNHCR is committed to continuing to make every effort to meet the agreed upon referral targets, recognizing the need to harmonize it with voluntary repatriation operations, in order to prevent any adverse impact on return movements;

ix. UNHCR acknowledges U.S. concerns regarding appropriate representation of U.S. national staff with the Office. While fully respecting related UN Rules and Regulations, UNHCR fully intends to continue to make every effort to attract and promote U.S. interest in employment with UNHCR by providing information on external vacancies via the Internet and other fora, wide dissemination of the entry exam to be included on the International Professional Roster (IPR) and through the Junior Professional Officer program. UNHCR is committed to ensuring that current American staff is fully considered for promotion in accordance with UNHCR Human Resources rules and regulations. UNHCR is also committed to reviewing the level of retention of American staff and, in consultation with PRM, to undertake an “awareness-raising” tour prior to the next IPR call in various U.S. cities.

IV. Performance Measures and Targets

UNHCR confirms its commitment to regularly monitor performance against its Global Strategic Objectives and Performance Targets for 2008-2009, and to report to the United States and other Executive Committee members on performance results in a timely manner, including its Standards and Indicators Report.

PRM has developed performance measures and targets that relate specifically to the work of UNHCR and that in many cases mirror UNHCR’s objectives and targets. Efforts to narrow the differences between the measures, objective and targets established by PRM and UNHCR will continue. To the extent that they differ or the timing of the reporting on these activities differs, UNHCR is committed to providing PRM with the additional information it requires. PRM measures and targets on which it requires specific reporting from UNHCR are listed in Annex I of the Framework. UNHCR’s 2008 Global Strategic Objectives and Performance Targets are attached as Annex II.

Although PRM does not require direct reporting from UNHCR on Crude Mortality Rates (CMR) and Global Acute Malnutrition (GAM) for refugees, PRM does rely on UNHCR to provide data to the Center for Research on the Epidemiology of Disasters (CRED) on these indicators, who in turn provides PRM with this data. UNHCR is committed to providing this data to CRED in a timely manner.

V. Reporting

In addition to standard reporting made broadly available by UNHCR, PRM requires reporting and/or input from UNHCR each year on activities of particular interest to PRM, as listed below and based on the following general reporting/input schedule:

Reporting/Input Timing

Reporting on Goals in the U.S. Mission Performance Plan January 15

Reporting on previous quarter resettlement referrals to U.S. January 31

Out-year budget forecasts March 1

Annual reporting on PRM performance measures/targets March 15

Reporting on previous quarter resettlement referrals to U.S. April 30

Progress report in advance of mid-year Framework discussions June 15

Joint report on mid-year Framework discussions July 31

Reporting on previous quarter resettlement referrals to U.S. July 31

Reporting on previous quarter resettlement referrals to U.S. October 31

Progress report on Framework priorities and objectives in advance of year-end Framework discussions November 20

Done in two originals in the English language.

This Framework for Cooperation will remain valid until 31 December 2008.

Ellen R. Sauerbrey, Assistant Secretary of State for Population, Refugees, and Migration
António Guterres, High Commissioner for Refugees, United Nations
Date: 29 November 2007 Date: 29 November 2007

Annexes:

Annex I: PRM Performance Measures with Relevance to the Work of UNHCR

Annex II: UNHCR’s 2008 Global Strategic Objectives

Annex 1: PRM Performance Measures with Relevance to the Work of UNHCR

UNHCR is committed to addressing and reporting to the Bureau of Population, Refugees, and Migration on the following performance measures and targets established by PRM for the current year. Reporting is requested annually by March 15, on efforts as of December 31 of the previous year.

Note: PRM does not require direct reporting from UNHCR on Crude Mortality Rates (CMR) and Global Acute Malnutrition (GAM) for refugees, however, PRM does rely on UNHCR to provide data to the Center for Research on the Epidemiology of Disasters (CRED) on these indicators, who in turn provides PRM with this data.

Annex 2: UNHCR Strategic Objectives and Performance Targets for 2008 - 2009

1 Ensuring protection for all persons of concern to UNHCR, with priority given to:

1.1 Securing access to asylum and protection against refoulement

1.2 Protecting against violence, abuse, intimidation and exploitation, including sexual and gender-based violence

1.3 Strengthening the protection of refugees within broader migration movements

1.4 Protecting internally displaced persons when mandated to do so either directly or within the agreed inter-agency framework of collective responsibilities

1.5 Maintaining the civilian character of refugee and IDP settlements

1.6 Assisting stateless individuals and groups, particularly in the context of protracted situations, to realise their rights

2 Affirming and developing an international protection regime, with priority given to:

2.1 Promoting compliance with the 1951 Refugee Convention and commitment by States to adhere to international protection standards

2.2 Promoting a full and inclusive application of the 1951 Convention refugee definition and appropriate use of complementary forms of protection

2.3 Improving the quality of asylum legislation, policy and practice

2.4 Enhancing host country capacity to provide asylum and protection

2.5 Promoting respect for international standards in relation to the protection of IDPs

2.6 Fostering effective action to prevent and reduce situations of statelessness

3 Realizing the social and economic well being of persons of concern, with priority given to:

3.1 Reducing malnutrition, and major risks to the health of populations of concern, notably malaria, HIV/AIDS and inadequate reproductive health services

3.2 Reducing vulnerability and improving standards of living, especially in relation to water, shelter, and sanitation services

3.3 Facilitating women’s economic empowerment and meaningful participation

3.4 Enhancing education and skills training for young people

3.5 Creating opportunities for self-reliance through a community-based approach

4 Responding to emergencies in a timely and effective manner, with priority given to:

4.1 Implementing effective contingency planning and establishing a robust stand-by and logistics capacity

4.2 Meeting the needs of women, children and groups with specific needs in emergency situations

5 Attaining durable solutions, with priority given to:

5.1 Promoting conditions conducive to voluntary return and to sustainable reintegration

5.2 Implementing comprehensive strategies to resolve refugee situations, particularly protracted ones

5.3 Promoting and supporting local integration as a durable solution

5.4 Promoting and applying resettlement as an effective protection tool, durable solution, and burden and responsibility sharing mechanism

5.5 Transitioning from relief to development within the context of effective exit and phase-down strategies

Strategies and Management Priorities

The following strategies and management priorities will be given particular importance in the pursuit of the above objectives:

6 Developing dynamic partnerships, with priority given to:

6.1 Strengthening partnership arrangements on internal displacement, mixed migratory flows, statelessness, peace building and the transition from relief to development

6.2 Intensifying UNHCR’s engagement in and commitment to the effectiveness of UN Country Teams

6.3 Implementing participatory planning and needs assessment for refugees, returnees and IDPs

6.4 Increasing implementation through partnerships

7 Guaranteeing age, gender and diversity perspective in operations, with priority given to

7.1 Applying age, gender and diversity analysis to all operational activities

7.2 Improving gender balance in UNHCR’s workforce in the Field and at Headquarters

7.3 Improving the level and quality of registration, data collection, analysis and documentation at all stages of an operation

7.4 Implementing the Accountability Framework for Age, Gender and Diversity Mainstreaming

8 Strengthening external relations, with priority given to:

8.1 Advocating and defending the rights of all persons of concern to UNHCR and promoting a climate in which they are treated with understanding, tolerance and respect

8.2 Demonstrating UNHCR’s effectiveness, efficiency and relevance

8.3 Expanding UNHCR’s donor base and increasing government and private sector contributions

9 Optimizing security arrangements, with priority given to:

9.1 Operationalizing an integrated approach to security risk assessment and management that promotes the safety of staff, populations of concern, and organizational assets

10 Improving management, with priority given to:

10.1 Consolidating results-based management throughout the organization including improved policy development, planning, reporting and evaluation

10.2 Ensuring an appropriate and sustainable distribution of responsibilities between Headquarters and the Field

10.3 Improving the responsiveness of Headquarters’ services to the needs of the Field

10.4 Creating and implementing efficient resource allocation procedures that support a sustainable balance between the operational, administrative and staffing components of UNHCR’s budget

10.5 Putting in place human resource policies that care for individual staff members’ well-being, ensure maximum operational effectiveness, including in situations of insecurity, and uphold and promote integrity, professionalism and respect for diversity

 Measurable Performance Targets for 2008

Following are Priority Performance Targets for 2007 articulated as quantifiable results for each of the Global Strategic Objectives based upon the priority areas for action.  These Performance Targets are listed with a reference to the Sub-Objective/Priority Area of Action to which it refers.

1.       Ensuring protection for all persons of concern to UNHCR, with priority given to:
UNHCR Global Strategic Objective                                 Performance Targets                                                                                                                                 Source of Data
1.1.     Securing access to asylum and protection against refoulement	1.1.1.  Credible reports indicate a decrease in cases of refoulement of asylum-seekers and refugees.	Standards and Indicators Report and Annual Protection Report
	1.1.2.  Number of states in which procedures for border monitoring established and measures to assist border guards to distinguish asylum seekers from migrants in place increased.	Annual Protection Report
	1.1.3.  Number of states in which measures taken to prevent and combat terrorism and safeguard national security are in line with international law, in particular, human rights, refugee and humanitarian law increased.	Annual Protection Report, reports to UN Counter Terrorism Committee and self-assessment
	1.1.4.  RSD processes in the 12 countries accounting for 90% of UNHCR's global RSD work, where UNHCR is undertaking RSD under the mandate in the absence of willingness or capacity of the host countries to conduct RSD, are further improved in terms of quality, efficiency and fairness.	Self-assessment by DIPS
1.2.     Protecting against violence, abuse, intimidation and exploitation, including sexual and gender-based violence	1.2.1.  Number of UNHCR operations having in place standard operating procedures to prevent and respond to sexual and gender based violence including systematic and timely reporting increased.	Standards and Indicators Report and Annual Protection Report
	1.2.2.  100% of victims/ known survivors of sexual and gender-based violence receive appropriate remedial care and support.	Standards and Indicators Report and Annual Protection Report
	1.2.3.  Decrease in the number of countries in which children of concern to UNHCR are being recruited into militaries (state\ non-state).	Standards and Indicator Report and Annual Protection Report
1.3.     Strengthening the protection of refugees within broader migration movements	1.3.1.  States increasingly turn to UNHCR to provide practical solutions in responding to the need to protect refugees within broader migration movements.	Self-Assessment by Bureaux and DIPS
	1.3.2.  The UNHCR 10-Point Plan of Action: “Addressing Mixed Migratory Movements” is being partially or fully implemented in 20 countries.	Self-assessment by Bureaux
1.4.     Protecting internally displaced persons when mandated to do so either directly or within the agreed inter-agency framework of collective responsibilities	1.4.1.  IDPs better protected and assisted as a result of effective implementation of the Cluster approach.	Self-assessment by Bureaux, Annual Protection Report
	1.4.2.  Adequate funding support from the donor community received to enable UNHCR to undertake its cluster-lead role in countries selected for implementation of the new collaborative response to IDP situations.	DRRM
	1.4.3.  UNHCR continues to actively respond to IDP situations in which it has a specific mandate (by the UNSG) in cooperation with relevant actors.	Self-assessment by Bureaux, DOS
1.5.     Maintaining the civilian character of refugee and IDP settlements	1.5.1.  Reduction in number of countries in which the civilian character of refugee and IDP settlements is jeopardized.	Self-assessment by Bureaux
	1.5.2.  UNHCR’s active participation in Task Forces on Monitoring and Reporting on Children and Armed Conflict in countries where such have been established pursuant to Security Council Resolution 1612.	Annual Protection Report
1.6.     Assisting stateless individuals and groups, particularly in the context of protracted situations, to realize their rights	1.6.1.  Increase in the number of States which guarantee basic rights to stateless persons.	Annual Protection Report
	1.6.2.  Improved identification and recording of stateless populations and populations with undetermined nationality.	Annual Protection Report, Annual Statistics Report, Standards and Indicators Report  and Participatory Assessments
2.       Affirming and developing an international protection regime, with priority given to:
2.1.     Promoting compliance with the 1951 Refugee Convention and commitment by States to adhere to international protection standards	2.1.1.  New countries accede to the 1951 Convention and other relevant international and regional refugee law instruments.	Assessment by Bureaux and DIPS
	2.1.2.  Number of states in which UNHCR can effectively exercise its supervisory role increased.	Annual Protection Report
	2.1.3.  Number of states resorting to unduly broad application of the exclusion provisions in 1951 Convention reduced.	Annual Protection Report
2.2.     Promoting a full and inclusive application of the 1951 Convention refugee definition and appropriate use of complementary forms of protection	2.2.1.  Increased number of states which are applying the 1951 Convention refugee definition in line with international standards.	Standards and Indicators Report and Annual Protection Report
	2.2.2.  Increase in the number of States granting complementary forms of protection to persons in need of international protection who do not meet the 1951 Convention/1967 Protocol criteria.	Annual Protection Report
	2.2.3.  Increased recognition of refugees on the basis of gender-related persecution.	Annual Protection Report
2.3.     Improving the quality of asylum legislation, policy and practice	2.3.1.  Increase in the number of states which have improved their legal frameworks and administrative capacities in order to ensure compliance with their international protection obligations.	Annual Protection Report
	2.3.2.  Decrease in number of countries detaining asylum seekers for non-legitimate reasons.	Annual Protection Report
	2.3.3.  Increase in number of states ensuring proper reception standards and guardians for unaccompanied children seeking asylum.	Annual Protection Report
2.4.     Enhancing host country capacity to provide asylum and protection	2.4.1.  Number of countries assuming responsibility from UNHCR for RSD increased.	Annual Protection Report
	2.4.2.  Number of operations working on comprehensive protection strategies collaboratively with host governments, partners and affected communities increased.	Annual Protection Report
2.5.     Promoting respect for international standards in relation to the protection of IDPs	2.5.1.  Number of countries which have drafted, established and implemented policies and legislation consistent with the Guiding Principles on Internal Displacement increased.	Annual Protection Report
2.6.     Fostering effective action to prevent and reduce situations of statelessness	2.6.1.  Number of states which have taken steps to amend nationality laws or change administrative practices that lead to statelessness increased.	Annual Protection Report
	2.6.2.  Number of protracted statelessness situations reduced.	Standards and Indicators and  Annual Protection Report
	2.6.3.  Increase in number of states who have acceded to the Statelessness Conventions.	Annual Protection Report
	2.6.4.  Number of states systematically facilitating birth registration to help prevent statelessness increased.	Annual Protection Report
3.       Realizing the social and economic well being of persons of concern, with priority given to:
3.1.     Reducing malnutrition, and major risks to the health of  populations of concern, notably malaria, HIV/AIDS and inadequate reproductive health services	3.1.1.  Percentage of stable refugee operations receiving food aid, in collaboration with WFP, and recording reduced acute malnutrition prevalence of < 5% (z-score) increased.	Standards and Indicators
	3.1.2.  Percentage of populations of concern to UNHCR with access to culturally appropriate HIV and AIDS information-education-communication (IEC) materials increased.	Standards and Indicators
	3.1.3.  Percentage of population of concern benefiting from antiretroviral therapy (ART) when ART is available to surrounding local host populations increased.	Standards and Indicators Report
	3.1.4.  Percentage of populations of concern to UNHCR in malaria endemic areas with access to artemesinin-based combination therapy (ACT) with no running out of stocks for more than one week in the previous 12 months increased.	Annual Health Report
	3.1.5.   Percentage of refugee camps in malaria endemic areas with access to prevention measures (insecticide treated nets / spraying) and culturally appropriate IEC materials increased.	Standards and Indicators Report
	3.1.6.  Percentage of live births attended by midwife, nurse or doctor (excluding Traditional Birth Attendants) increased.	Standards and Indicators Report
3.2.     Reducing vulnerability and improving standards of living, especially in relation to water, shelter, and sanitation services	3.2.1.  Percentage of country operations meeting UNHCR standards for sanitary materials for women and girls increased.	Standards and Indicators Report
	3.2.2.  Number of country operations meeting UNHCR standards for potable water increased.