Introduction Policy Priorities Funding Policy and Related Requirements Proposal Submission and Review Process How to request PRM recommended proposal, and budget summary and budget detail templates Grants.Gov Application Process PRM Administrative Requirements Reporting Program reports Financial report Contacting PRM Appendix A: Budget Detail instructions Appendix B: Budget Narrative instructions
These guidelines provide an overview of the Bureau of Population, Refugees, and Migration's (PRM; also referred to in these guidelines as the “Bureau”) mission and overall priorities and are meant to augment regional and issue-specific guidelines issued throughout the year.
PRM has primary responsibility within the U.S. Government for formulating policies on population, refugees, and migration, and for administering U.S. refugee assistance and admissions programs. PRM's mission is to provide protection, life-sustaining relief, and durable solutions for refugees and conflict victims, working through the multilateral humanitarian system to achieve the best results for refugees and conflict victims on behalf of the U.S. taxpayer.
PRM's primary activities support the efforts of the key multilateral humanitarian organizations responsible for refugees, conflict victims, stateless persons, and vulnerable migrants, including the U.N. High Commissioner for Refugees (UNHCR), the International Committee of the Red Cross (ICRC), the U.N. Relief and Works Agency for Palestine Refugees in the Near East (UNRWA), and the International Organization for Migration (IOM). We collaborate closely with the U.S. Agency for International Development (USAID) to ensure our efforts are mutually reinforcing. We fund non-governmental organization (NGO) programs that fill critical gaps and are coordinated with the multilateral system. PRM does not provide overseas assistance through for-profit organizations.
Coordination : PRM places a high priority on coordination and collaboration with the host nation, UN agencies (especially UNHCR) and other international organizations (IOs), NGOs, other USG agencies, and other donors in project design and implementation. A proposal should demonstrate the extent to which an organization already coordinates and cooperates with the host nation, relevant IO and USG agencies and other NGOs. Projects must target critical gaps in IO programs.
Vulnerable and Underserved Populations : PRM focuses on meeting the needs of vulnerable and underserved populations. Vulnerable groups may include women, children, the elderly, the sick, the disabled, and minorities, among others. PRM strongly promotes women's equal access to resources and their participation in managing those resources. Because of PRM's mandate to provide protection, assistance, and sustainable solutions for refugees and victims of conflict, PRM only considers funding projects that include a target beneficiary base of 50% refugees.
Codes of Conduct : PRM strongly supports the Inter-Agency Standing Committee's (IASC) Plan of Action to protect beneficiaries of humanitarian assistance from sexual exploitation and abuse. PRM partners must have Codes of Conduct consistent with the IASC's six core principles signed and implemented within their organizations. (IASC's six core principles can be found at http://www.interaction.org/library/detail.php?id=848 .)
Minimum Humanitarian Standards: Proposals should use the Sphere Minimum Standards in Disaster Response as the basis for design, implementation, and evaluation in emergency settings, including proposed objectives and indicators. For non-emergency settings, proposals should refer to relevant international standards, e.g., Sphere standards, UNHCR standards and indicators, IASC guidelines, etc.
Security: PRM strongly recommends that organizations adhere to the UN's security guidelines in any given location and use InterAction's Security Planning Guidelines. PRM will consider requests to fund security requirements on a case-by-case basis. Failure to maintain adequate security precautions may result in suspension of PRM funding.
Cost-sharing: PRM looks favorably on cost-sharing efforts and seeks to support projects with a diverse donor base and/or resources from the submitting organization.
PRM provides funding for twelve-month periods and cannot make commitments to fund projects in successive years. Applicants with continuing programs must reapply and compete for PRM funding each year. Applicants should understand that receipt of prior funding for the same or similar projects in a given location is not a pre-condition for and does not guarantee continued PRM funding in FY 2009. PRM retains the right to re-compete projects at any point in time.
Acknowledgement of PRM funding: Organizations receiving overseas assistance from the Bureau are required to acknowledge publicly the projects and activities funded with that assistance. Applicants must include in their proposals a plan for recognizing, in all appropriate publications and printed descriptions, including press releases, annual reports and financial statements; and, at the project site, those projects and activities financed with PRM funding. At the project site acknowledgement should be in the form of a graphic of the U.S. flag accompanied by one of the following two phrases based on the level of PRM funding:
For the approved U.S. flag logo go to: http://www.firstnetsource.com/american_flag_graphic/high_quality_image/color/USA-Flag-Large.gif
Updates of action taken related to fulfilling this requirement of PRM grants and cooperative agreements must be included in quarterly program reports to PRM. If an organization believes that publicly acknowledging the receipt of USG funding for a particular PRM-funded project, could potentially endanger the lives of the beneficiaries and the organization staff, invite suspicion about the organization's motives or alienate the organization from the population it is trying to help, it must provide a brief explanation in its proposal, for PRM's consideration, as to why it should be exempted from this requirement.
PRM accepts proposals at any time, but due to limited funding the Bureau announces specific policy and program priorities for many regions and issues and invites applicants to submit proposals within a limited period of time. (To receive PRM's releases and announcements sign up for Refugee email updates which includes funding announcements).
PRM conducts formal internal competitive reviews of all proposal submissions based on the proposal evaluation criteria and PRM's priorities.
Proposal Format: PRM recommends that applicants requesting PRM overseas assistance use PRM-provided templates available from PRM's NGO Coordinator for the proposal narrative and budget summary and budget narrative.
In addition, organizations may choose to attach, as addendums/appendices to the templates, the organization's unique workplans, activity calendars, and/or logical frameworks. The templates provide limited space for each response, so narratives must be succinct.
To request copies of the PRM-recommended templates please send an email, with the phrase “PRM NGO templates” in the subject line, to PRM's NGO Coordinator. You will receive an automated email reply containing the three templates mentioned above (proposal template, budget summary and budget detail templates) as well as the quarterly program report template discussed later in these guidelines.
Please use the following guidelines to address each part of the proposal:
Input indicator - 5 health education sessions conducted in schools targeting a total of 2,000 students
Output Indicator – 2,000 students complete 3 hours of HIV/AIDS education
Impact indicators measure the extent to which the overall goal of a program is being met. For example:
Impact Indicator – 75% of children enrolled in school demonstrate a 50% knowledge gain on methods of HIV transmission as demonstrated in pre- and post-test scores
Impact indicators are the strongest measurement of a program's impact on beneficiaries and we suggest focusing on impact indicators as much as possible. Each objective should have at least one impact indicator that can be measured in a twelve-month timeframe.
Where possible, include baseline data for each indicator. Indicators should be informed by data gathered in baseline surveys. Using baseline data, establish expected performance targets for each objective, by which indicators are used to measure progress and assess impact. Also include details on how indicators will be measured, frequency of measurements, and how progress will be documented. PRM requires a minimum of one objective and recommends highlighting five indicators or less for each objective, although this will vary depending on the type of project. Each objective should have at least one impact indicator that can be measured in a twelve-month timeframe.
Projects with a health component are strongly encouraged to measure the Crude Mortality Rate for the population and Global Acute Malnutrition (GAM) in children under age five – two core indicators of the impact of humanitarian assistance. GAM is defined as weight-for-height ratios that are less than 2 standard deviations below the mean (Z score of less than -2), or less than 80% median weight-for-height, or the presence of nutritional edema. PRM requests that, in addition to required program reports, partners share data on CMR, GAM and other health indicators with the Centre for Research on the Epidemiology of Disasters (CRED) for inclusion in the online Complex Emergencies Database (CE-DAT) by emailing it to firstname.lastname@example.org . The CE-DAT database can be accessed online at http://www.cred.be/cedat/index.htm .
If PRM funds your project, these highlighted objectives and indicators will be formally written into the cooperative agreement and be used by PRM to evaluate the impact of your project. We expect that your organization will also self-evaluate based on the same set of indicators in your quarterly reports to PRM. Consultations between PRM and the organization may be necessary in order to arrive at an effective and mutually satisfactory set of key objectives and indicators.
Cost Proposal: PRM recommends NGOs requesting overseas assistance use the budget instructions guidelines and the budget instructions provided in this document and its appenenices and the recommended budget templates. The templates are available upon request to PRM's NGO Coordinator. Please reference “PRM NGO templates” in the subject line of your request email.
The Cost Proposal should include the following items:
The Budget Summary should indicate the anticipated aggregate dollar amount for the major funding categories, such as, personnel, fringe benefits, travel, equipment, supplies, contractual, construction, other direct costs, and indirect cost.
The Budget Detail should include descriptive line-items that support each cost associated with each funding category and is delineated by each sector of the proposed program. Where possible, indicate budget lines by sector of activity. However, if staffing and office needs are not easily allocated to specific sectors, they can be provided for the whole program.
The Budget Narrative should include an appropriate amount of detail to clearly enable the Grants Officer to obtain the same reasonable determination of cost. For example, Training Materials include the cost of expendable supplies, such as, paper, notebooks, folders, pens, and pencils with an estimated cost of $5 per participant. $5 X 1,000 participants = $5,000.
The Organizational Chart should enable PRM to evaluate the structure and determine the allocability of personnel cost on single and across multiple federal assistance awards. For example, if one full-time Regional Program Coordinator has responsibility for ten (10) federally-funded projects, this salary should be allocated in such a manner as to equal 100% of the time. This salary should not be 30% on each award. Also, in order for a recipient or sub-recipient to charge indirect expenses and/or overhead charges, they must have a NICRA issued by the cognizant Federal agency. Lastly, please analyze the staffing needs associated with each proposal carefully and avoid using the category of “back-stopping”.
In addition to the dollar amount requested from PRM, the Budget Summary and Budget Detail should include the dollar amount(s) anticipated or received from other sources (including your own organization and other donors) and the dollar amount of any in-kind contributions. Be sure to indicate clearly the funding source for each line-item.
If applicable, identify sub-grantees and indicate whether those sub-grantees are foreign-based. The Cost Proposal guidance provided above is recommend for use by sub-recipient(s) when preparing their budget documents.
The Budget Detail and Budget Narrative instructions and budget Templates are provided for your use as recommended technical assistance tools. Please round each line-item cost to the nearest dollar.
How to Apply : PRM posts all funding opportunities on Grants.gov (http://www.grants.gov), PRM's website http://www.state.gov/j/prm/c27112.htm, and in the Catalog of Federal Domestic Assistance (CFDA). PRM's CFDA numbers are:
Proposals must be submitted via Grants.gov. Applicants who are unable to submit applications via Grants.gov due to technical difficulties with Grants.gov applications should contact the Grants.gov Help Desk at 1-800-518-4726 or email@example.com at least one week prior to deadline to report the problem(s), receive a case number and have a service request opened to research the problem(s). Applicants may then contact the specific PRM point of contact identified in the respective funding opportunity announcement in order to determine whether an alternative method of submission is appropriate.
When responding to a PRM funding announcement please start early to avoid missing the submission deadline . Some organizations that have waited to submit proposals until the day of the deadline have experienced difficulties causing them to miss deadlines; and, as a result, their proposals were not considered for funding. Because of the time it takes proposal submissions, once submitted to Grants.gov, to be registered and validated by Grants.gov, PRM recommends that you consider submitting your proposal at least a week before the deadline listed in the respective funding announcement. Grants.gov guidance notes that it can take 48 hours, and sometimes longer, for a proposal to be validated as received by the Grants.gov system. Submitting your proposal in advance is the best way to ensure that your proposal makes the deadline cutoff.
If your organization has never applied for PRM funding before and is not registered with the government-wide Central Contractor Registry (CCR) and/or does not have a Data Universal Numbering System (DUNS) number you will need to get a DUNS number and then register with CCR before you can submit a proposal to Grants.gov. The CCR and DUNS registration process can take a few weeks and sometimes longer so we recommend you start as early as possible.
Preparing to apply via Grants.gov is a three-step process which can take several weeks for U.S. NGOs and considerably longer for non-U.S. NGOs. (See grants.gov for timelines for each process: http://www.grants.gov/applicants/organization_registration.jsp ; http://www.grants.gov/assets/Organization_Steps_Complete_Registration.pdf)
PLEASE NOTE: Each organization must have a Data Universal Numbering System (DUNS) number in order to register with CCR. For DUNS assistance, please call 1-866-705-5711.
NGOs that have never received U.S. Government funding must be prepared to demonstrate that they meet the financial and accounting requirements of the U.S. Government by providing copies of the following:
(Note: It may take some time to acquire these documents if an organization doesn't already have them.)
International organizations (IOs) that apply for funding opportunities on Grants.gov are subject to PRM administrative authorities and procedures for voluntary contributions to IOs. IOs with interest in specific PRM funding opportunities should contact the specific PRM point of contact identified in the respective funding opportunity announcement before preparing and submitting a proposal.
In addition, each official submission to PRM must include the Standard Form (SF) 424 Version 02 that shows an expiration date of January 31, 2009 at the top right corner. PRM also requires that Box 21 of the SF 424 Version 02 be checked. The SF 424 Version 02 can be found at http://www.grants.gov using the following steps:
The SF 424 Version 02 can also be accessed directly at: http://www.grants.gov/techlib/424_20090131.doc .
All submissions must include the following:
Please integrate this documentation into as few files as possible.
If your application consists of multiple files you should pay careful attention to Grants.gov's guidance for file naming conventions ( http://www.grants.gov/applicants/submit_application_faqs.jsp#6 ).
A few tips:
If these guidelines are not followed, Grants.gov may reject your proposal.
Reports and Reporting Requirements
Program Reports : PRM requires program reports describing and analyzing the results of activities undertaken during the validity period of the agreement. A program report is required within thirty (30) days following the end of each three month period of performance during the validity period of the agreement. The final program report is due ninety (90) days following the end of the agreement. The submission dates for program reports will be written into your organization's cooperative agreement.
It is highly suggested that NGOs receiving PRM funding use the PRM recommended program report template. There is limited space for each response, so narratives must be succinct.
To request copies of the PRM-recommended program report template please send an email, with the phrase “PRM NGO templates” in the subject line, to PRM's NGO Coordinator. Note: You will receive an automated email reply containing PRM's recommended program report template as well as PRM's recommended proposal template, budget summary and budget detail templates referenced in these guidelines.
Program reporting requirements: Please use the following guidelines to answer each part of the report.
Financial Reports: Financial reports are required within thirty (30) days following the end of each calendar year quarter during the validity period of the agreement (January 30 th , April 30 th , July 30 th , October 30 th ). The final financial report covering the entire period of the agreement is required within ninety (90) days after the expiration date of the agreement. For agreements containing indirect costs, final financial reports are due within 60 days of the finalization of the applicable negotiated indirect cost rate agreement (NICRA). Reports reflecting expenditures for the Recipient's overseas and United States offices shall be completed in accordance with the forms attached to the Cooperative Agreement. Each financial report shall consist of (1) a Financial Status Report, SF 269 (Attachment C-1); (2) a Federal Cash Transactions Report, SF 272 (Attachment C-2); and (3) a listing of total expenditures that includes the Items of Expenditure Categories set forth in the Financial Reports section of the agreement reflecting separately the costs being charged to this agreement and those being charged to other resources.
PRM's Reporting Point of Contact
Recipients of PRM funding must submit all required reports to the Office of the Comptroller to the electronic mailbox address:
The subject line of the electronic mail transmission must include the following information: Organization Name, Agreement Number, Report Type, and Reporting Period.
Specific regional or cross-cutting issue funding announcements will identify a point of contact at PRM, typically a program officer in Washington , and, as applicable, a locally-based PRM Refugee Coordinator. If you have submitted a proposal via Grants.gov in response to a PRM funding announcement, you should notify the specific Washington-based PRM program officer identified in the funding opportunity announcement prior to the proposal deadline date regarding your submission.
Applicants may address general questions about PRM's overseas assistance to NGOs and send unsolicited proposals to PRM's NGO Coordinator:
U.S. Department of State
Bureau of Population, Refugees, and Migration
2401 E ST NW
Suite L505, SA-1
Washington , DC 20522-0105
Phone: (202) 663-1482
Fax: (202) 663-1002
If sending an unsolicited proposal please note that in the subject line of the email at the time of submission.Feedback on PRM’s recommended templates
BUDGET DETAIL INSTRUCTIONS
The following provides guidance for the preparation of a proposal's budget detail using PRM's recommended budget template.
The budget detail template includes columns reflecting the Bureau's (federal) and other (non-federal) funding sources as well as the total funding need broken down by sector and/or objective. The Bureau anticipates that an organization will include each of the budget categories listed below when preparing an estimate of expenses for carrying out a proposed project whether the project is 100% funded or jointly funded with multiple donors.
The use of the PRM budget detail template is highly recommended and estimates should be rounded to the nearest dollar. (Note: Information included in the budget detail should correspond to and be overviewed in the budget summary and be explained in greater detail in the budget narrative.)
To request copies of the PRM-recommended budget detail template please send an email, with the phrase “PRM NGO templates” in the subject line, to PRM's NGO Coordinator. Note: You will receive an automated email reply containing four templates (proposal template, budget summary and budget detail templates, and quarterly program report template).
REQUIRED BUDGET CATEGORIES:
This category should identify the various fringe benefits offered to employees for which the Bureau will be charged under the agreement. While the cost of individual benefits need not be specified, the total cost, including the percentage of salaries, if appropriate, should be shown. The benefits must be consistent with the organization's established personnel policies and practices for all of its employees, not just for those employees who may be funded by the Government.
Show all tangible personal property by appropriate category (office supplies, classroom supplies, medical supplies, etc.) that may be purchased and charged under the agreement. The budget narrative should describe the types of items included in each of the categories and the proposed use.
List all proposed sub-contracts or sub-recipients that are anticipated to carry out the proposed program, i.e., security guards, additional personnel, sub-agreements with an implementing partners etc. These agreements are subject to the regulations set forth in 22 CFR 145.
Any other direct cost not clearly covered herein. Examples are computer use, telephone (telex, fax, long distance international and local in-country costs must be listed separately), postage, space rental (list projected rental items), audit fees, insurance 2/, utilities, etc. Each item must be listed separately showing an estimated cost.
Show the amount of indirect costs and the base amount on which it is determined. It should be indicated whether the rate has been approved by a Government cognizant agency and the type of rate (provisional, predetermined or fixed). A copy of the current Negotiated Indirect Cost Rate Agreement must be submitted for the recipient and sub-recipient(s), if applicable. (The Bureau does not recognize indirect costs unless they have been determined by an audit and formally approved by the U.S. Government cognizant agency).
1/ For each new vehicle to be purchased and charged to the agreement, please state the purpose for which it will be used and indicate whether the vehicle will be assigned to a motor pool or to an individual. Also, please list separately any vehicle that may currently be owned or leased that is expected to be charged to the agreement. Bureau policy prohibits the use of project vehicles and drivers for personal use, which includes commuting between home and place of employment. Any non-direct program or unofficial use of a vehicle must be reimbursed at the appropriate Government rate.
2/ For guidance in determining allowable insurance costs, please refer to 2 CFR 215. The Bureau will no longer allow charges to its agreements for costs of insuring equipment purchased with project funds against loss or damage, except for unique or high expense items. The Bureau will allow charges for automobile liability and comprehensive insurance coverage.
BUDGET NARRATIVE INSTRUCTIONS FOR NGO'S
The purpose of the budget narrative is to explain the costs that PRM expects an organization to include in each Budget category when preparing an estimate of expenses for carrying out a proposed project whether the project is 100% funded or jointly funded with multiple donors. The budget narrative should include the following:
Identify each position and indicate its support of the project and/or sector(s). If not provided in the Budget Detail, indicate the numerical justification for the total cost.
For example, Director of Assistance Programs – This individual is responsible for the overall management of the project. He/she insures compliance with all the terms and conditions of the agreement including implementation, program and financial reporting. $85,000/year x 10% of time = $8,500.
Identify consultants, separately, from other permanent staff. If possible, include anticipated position title(s), the proposed daily rate to be paid as compensation, and the number of consultant days that are anticipated.
If an established NICRA includes a rate for Fringe Benefits, please ensure that you utilize and/or adjust the rate appropriately.
b. If the Fringe Benefit rate is not included in the NICRA, please provide a copy of the company policy and/or rates (as a percentage) that are being charged per category of benefits.
In-country Airfare – 10 trips x 5 employees x $200 = $10,000
Lodging - 10 trips x 5 employees x 5 days x $161/day = $40,250
Per diem - 10 trips x 5 employees x 5 days x $57 = $14,250
a. Include a detailed listing of all non-expendable equipment anticipated to be purchased for program activities including justification.
Land Rover – Due to the challenging road conditions, inclement weather, terrain conditions, and geographical location(s) of project sites, it is deemed reasonable and necessary to purchase a new vehicle. Vehicle x 1 quantity = $40,000
General Office supplies include the following items: pens; pencils; notebooks; printer paper; ink cartridges etc.
12 months x $100/month x 3 project offices = $3,600
Due to the opening of a new project office to support Sector “X” activities, Project supplies include the following items: 2 laptop computers, 3 desktop computers, 2 printers etc.
2 laptop computers x $700 = $1,400
3 desktop computers x $1,200 = $3,600
2 printers x $400 = $800
ABC Organization will serve as a partner to assist with implementing Sector “X” activities; $75,000 Detailed Budget is attached.
XYZ Organization will provide security services via a contract; $50,000 Detailed Budget is attached.
The following direct project expenses are related to the implementation of all sector activity and are proportionate based on actual use.
Rent of Office space in three locations - 12 months x 3 offices x $400 = $14,400
Utilities - 12 months x 3 offices x $100 = $3,600
Postage - 12 months x 3 offices x $50 = $1,800
Courier – 25 trips x 2 offices x $25 = $1,250
Communication (phone, fax, internet) = 12 months x 3 offices x $200 = $7,200
Transportation cost of medical supplies via ground freight =
2 trips x $3,000 = $6,000
Show the amount of indirect costs and the base amount on which it is determined. A copy of the current Negotiated Indirect Cost Rate Agreement must be submitted for recipient and sub-recipient(s). The Bureau does not recognize indirect costs unless they have been determined by an audit and formally approved by the U.S. Government cognizant agency.