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Strategic Goal 10: Humanitarian Response


FY 2005 Performance Summary (The Plan)
Bureau of Resource Management
February 2004
Report
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Strategic Goal 10: Humanitarian Response
Minimize the Human Costs of Displacement, Conflicts, and Natural Disasters

I. Strategic Goal Public Benefit

The U.S. commitment to humanitarian response demonstrates America's compassion for victims of armed conflict, forced migration, human rights violations, widespread health and food insecurity, and other threats. The strength of this commitment derives from both our common humanity and our responsibility as a global leader. When responding to natural and human-made disasters, the United States complements efforts to promote democracy and human rights. In addition to saving lives and alleviating human suffering, humanitarian programs support the objectives of the U.S. National Security Strategy by addressing crises with potential regional (or even global) implications, fostering peace and stability, and promoting sustainable development and infrastructure revitalization.

The Department is a leader in international efforts to prevent and respond to humanitarian crises. It provides substantial resources and guidance through international and nongovernmental organizations (NGOs) for worldwide humanitarian programs, with the objective of increasing access to protection, promoting burden-sharing, and coordinating funding and implementation strategies. The Department urges and participates in multilateral response to humanitarian crises, and regularly monitors and evaluates humanitarian programs to ensure that the needs of refugees, internally displaced persons (IDPs), and other conflict victims are met. Its financial support for demining activities makes areas safe for the return of refugees and IDPs. Its management and support of overseas refugee admissions programs provides an important durable solution for refugees, and serves as a leading model for other resettlement countries.

II. Resource Summary ($ in Millions)

  FY 2003 Actual FY 2004 Estimate FY 2005 Request Change from FY 2004
Amount %
Staff 166 169 163 (6) (3.7%)
Funds $1,631 $1,511 $1,450 ($61) (4.0%)

III. Strategic Goal Context
Shown below are the two performance goals, initiatives/programs, resources, bureaus and partners that contribute to accomplishment of the "Humanitarian Response" strategic goal. Acronyms are defined in the glossary at the back of this publication.

Strategic Goal Performance Goal
(Short Title)
Initiative/Program Major Resources Lead Bureaus External Partners
Humanitarian Response Assistance for Refugees and Other Victims Refugee Assistance MRA, ERMA PRM UNHCR, UNRWA, ICRC, IOM, other international and nongovernmental organizations, USAID
Protection MRA & ERMA PRM UNHCR, UNRWA, ICRC, IOM, other international and nongovernmental organizations, USAID
Refugee Admissions to the United States MRA & ERMA PRM DHS, HHS, UNHCR, IOM, NGOs
Humanitarian Demining NADR PM DoD, USAID, NGOs, the UN and other international organizations and donor states
World Food Program Donor Base D&CP, IO&P, MRA, ERMA IO & PRM USAID, WFP, other WFP donors
Partner Accountability MRA & ERMA PRM UNHCR, UNRWA, ICRC, IOM, other international and nongovernmental organizations
Disaster Prevention and Response Through Capacity Building Accomplishment of this performance goal is the responsibility of USAID, and is therefore not reported in the Department of State's FY 2005 Performance Plan.

IV. Performance Summary
For each Initiative/Program that supports accomplishment of this strategic goal, the most critical FY 2005 performance indicators and targets are shown below.

Annual Performance Goal #1
EFFECTIVE PROTECTION, ASSISTANCE, AND DURABLE SOLUTIONS FOR REFUGEES, INTERNALLY DISPLACED PERSONS, AND CONFLICT VICTIMS

I/P #1: Refugee Assistance
Address the humanitarian needs of refugees, victims of conflict, and internally displaced persons.
Results Targets
2000 & 2001 2002 2003 2004 2005
Outcome Indicator
Indicator #1: Crude Mortality Rates (CMR)
2000:
No reports of excessive mortality rates based on set criteria.


2001:
Complex humanitarian emergencies did not exceed a CMR of 1/10,000 people/day. Links established between the Bureau of Population, Refugees and Migration (PRM) and USAID to strengthen data collection.

Where data was available, Complex humanitarian emergencies did not exceed a CMR of 1/10,000 people/day for an extended period. PRM and USAID developed tools to measure and track CMR and the nutritional status of children under 5 years of age. A training workshop for practitioners was held in July.
Where data was available, crude mortality rates did not exceed 1/10,000 people per day in refugee crises.

Efforts to expand pilot data collection have been delayed; Department implementing partner was behind schedule and did not reach the pilot stage of the project. Nonetheless, guidelines and methodology for CMR surveys were finalized.

Complex humanitarian emergencies do not exceed a CMR of 1/10,000 people per day.

Improve and expand data collection and reporting

Complex humanitarian emergencies do not exceed a CMR of 1/10,000 people/day. Support efforts to improve data collection, e.g., expand pilot data collection effort to other countries and partner organizations, and to take other measures to address any problems of excess mortality.
Outcome Indicator
Indicator #2: Nutritional Status of Children Under 5 Years of Age
2000:
N/A

2001:
N/A

N/A Baseline:
In humanitarian crises where Department funds were provided, at least ninety percent of children under five had weight-for-height ratios that were greater than or equal to two standard deviations below the mean, or greater than eighty percent median weight-for-height, and an absence of nutritional edema.

PRM & USAID continued supporting new tools/measures to improve data collection and reporting on nutritional status.

In complex humanitarian emergencies, less than ten percent of children under five suffer from global acute malnutrition. Global acute malnutrition is defined as weight-for-height ratios that are less than or equal to two standard deviations below the mean (Z score of less than -2), or less than eighty percent median weight-for-height, and the presence of nutritional edema.

Improve and expand data collection and reporting.

In complex humanitarian emergencies, less than ten percent of children under five suffer from global acute malnutrition.

I/P #2: Protection
Ensure access to effective protection for refugees, conflict victims, especially for women and children, and, in certain cases, internally displaced persons.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #3: Percentage of Partners Receiving Funding That Have Adopted a Code of Conduct That Contains All of the Internationally Accepted "Common Elements" To Protect Against Exploitation of Beneficiaries
2000:
N/A

2001:
N/A

N/A Data pending.
Baseline:

100% of all partners have instituted codes of conduct, 100% have developed awareness training, 100% have implemented reporting and follow-up mechanisms, and 90% of investigations are launched within 60 days of a case report of exploitation.

100% of all partners have instituted codes of conduct, 100% have developed awareness training, 100% have implemented reporting and follow-up mechanisms, and 90% of investigations are launched within 60 days of a case report of exploitation.

I/P #3: Refugee Admissions to the U.S.
Resettled refugees are received and initially assisted in appropriate ways, so that they can begin the process of becoming self-sufficient, fully integrated members of U.S. society.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
(P) Indicator #4: Refugees Resettled in the U.S., as a Percentage of the Ceiling
2000:
N/A


2001:
Baseline:

As a percentage of the established ceiling,
87 percent of refugees were resettled.

Out of a ceiling of 70,000 refugees, 27,113 were resettled.

Out of a ceiling of 70,000 refugees, 27,113 were resettled.

Out of a ceiling of 70,000 refugees, 28,422 (or forty-one percent) were resettled.
100%

of the allocated ceiling of 70,000 refugees.

Number to be set by the President in FY 2004.

I/P #4: Humanitarian Demining
Humanitarian Mine Action (HMA) reduces casualties, allows refugees and IDPs to return in safety, and allows for the delivery of humanitarian assistance, food, and medical services.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
(P) Indicator #5: Square meters of Land Cleared in U.S. Program Countries
2000:
7,000,000 m2


2001:
211,000,000 m2
/1.3 billion km2

82,500,000 m2
103,319,920 m2
88,000,000 m2
88,000,000 m2
Impact Indicator
(P) Indicator #6: Number of U.S. Program Countries in Sustainment or End State (Cumulative)
2000:
5

2001:
7

9 19 23 28

I/P #5: World Food Program Donor Base
Coordinate humanitarian assistance and head off actions contrary to U.S. foreign policy objectives.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #7: Percentage of Non-U.S. Donors to the World Food Program (WFP)
2000:
N/A


2001:
N/A

Baseline:
Out of a total of
$1.8 billion, U.S. contributions were
52 percent and non-U.S. contributions were
48 percent.
As of 09/22/2003, WFP had nine new donors. "New donors" are defined as those that did not contribute in either 2002 or 2001. They are: Cameroon, El Salvador, Greece, Kuwait, Malta, Marshall Islands, Qatar, Russia, and Vietnam.

As of 09/22/2003, non-USG contributions to WFP totaled $877 million, compared to $871 million as of 12/31/2002. This is an increase of 0.7% (short of the 4% target).

Number of donors to WFP increased by five, and non-U.S. contributions increased to 50% of total.
WFP should have sufficient funds to carry out its work, with contributions from many donor countries and the private sector.

Number of donors to WFP increased by three, and non-U.S. contributions increased to more than 50% of

I/P #6: Partner Accountability
Develop more formalized agreements with our partners to ensure accountability and mutual progress toward achieving stated goals.
Results Targets
2000 & 2001 2002 2003 2004 2005
Output Indicator
Indicator #8: Number of Negative Findings in Financial Audits of Our International and Nongovernmental Organization Partners
2000:
N/A

2001:
N/A

N/A Data pending. 95% of our partners do not receive any negative finding in any audit conducted of their organizations.
95% of our partners do not receive any negative finding in any audit conducted of their organizations.

UNHCR
(PART Program Efficiency Measure)
Results Targets
2000 & 2001 2002 2003 2004 2005
Efficiency Indicator
Indicator #9: Ratio of Total Value of Non-Expendable Items Procured by Headquarters in One Year to Total Value of Recorded Non-Expendable Property Procured by Headquarters in that Year (Inventory Control)
Baseline: 2.1:1

(Ratio A:B

A= $24.9m

B= $11.9m)



Goal:

New goal for FY 2005

Actual: 1.8:1

(Ratio A:B

A= $36.2m

B= $14.8m)

Goal:

New goal for FY 2005

Actual: 5.9:1

(Ratio A:B

A= $33.6m

B= $5.7m

Data as of 9-30-03 1)

Goal: 2:1


Goal: 1.5:1
Explanation: The amount of new procurements recorded should equal the amount procured in any year. Currently, the level is approximately 6:1. The procurement database at Headquarters is not linked to the asset tracking databases in 130 field offices, so data has to be manually entered twice - once as procured at HQ and again in the field. It is a time-consuming process that, too often, is not carried out in the field. MSRP will connect those databases, decreasing the amount of data that the field office is required to enter, thereby encouraging better performance.
Headquarters procures about 25% of all non-expendable items for the agency, much of which is deployed directly to the field. This indicator will be applied to headquarters procurement only until the MSRP is deployed to the field, which should be completed by the end of 2005. At that time, the indicator will be expanded to include UNHCR field office procurement (25% of total), as well as procurement done for UNHCR by implementing partners (approximately 50% of total procurements at present).

The measure is calculated as follows: "A" = FY HQ Non-Expendable Procurements / "B" = FY HQ Non-Expendable Inventory

1 UNHCR prepares calendar-year financial statements

Refugee Admissions to the U.S.
(PART Program Efficiency Measure)
Results Targets
2000 & 2001 2002 2003 2004 2005
Efficiency Indicator
Indicator #10: Total Average Cost per Refugee Arrival in the U.S.
2000:
N/A

2001:
N/A

Baseline:
$4,602 per refugee arrival in the U.S.
$4,428 $4,000 $3,700

Humanitarian Migrants to Israel
(PART Program Efficiency Measure)
Results Targets
2000 & 2001 2002 2003 2004 2005
Efficiency Indicator
Indicator #11: Reduction in Time Migrants from the Former Soviet Union Stay at Absorption Centers, Thereby Reducing Cost
2000:
N/A

2001:
N/A

N/A Baseline:
Average stay/cost:

183.3 days or $2,487.4

2% reduction in cost
Target Average Cost: $2,437.7
2% reduction in cost

Target Average Cost:
$2,388

Humanitarian Demining
(PART Program Efficiency Measure)
Results Targets
2000 & 2001 2002 2003 2004 2005
Efficiency Indicator
Indicator #12: Countries Reaching Sustainment of End State/Cumulative Budget Authority
2000:
N/A

2001:
Baseline:
7 countries

$218 million

Measure: 3.2

9 countries
$258 million

Measure: 3.5

Data pending. 23 countries
$308 million

Measure: 4.2

28 countries
$383 million

Measure: 4.7

Explanation: This ratio measures the efficiency of the Demining Sustainment program. The efficiency is captured as a result of more countries graduating compared to any funding increases, proportionately. The seemingly slow initial results exist partially because the larger, more mine-intensive countries were the ones that were selected to start the program. As the program progresses, smaller countries or those with smaller problems are incorporated, leading to more countries reaching sustainment level quickly. One cannot divide the budget by the number of countries reaching Sustainment and come up with a per country cost as that is not a meaningful measure.

Means for Achieving FY 2005 Targets
Refugee crises do not exceed a CMR of 1/10,000 people/day. Support efforts to improve data collection, e.g., expand pilot data collection effort to other countries and partner organizations, and to take other measures to address any problems of excess mortality.
  • Prioritize appropriate resource allocation and interventions to reduce the major causes of mortality in refugee settings.
  • Continue collaborating with the Standard Monitoring and Assessment of Relief and Transitions (SMART) initiative and SPHERE partners to improve and expand data collection.
  • Encourage international and NGO partner organizations to report on CMR data collected.
  • Increase the number of refugee situations where data collection and reporting are conducted.
  • Improve data accuracy by encouraging implementing partners to adopt standardized surveillance methods, survey tools and data triangulation.
  • Use manual and mechanical demining resources, as well as Mine Detection Dogs. Achieve Sustainment or End State in 5 additional mine-affected countries.
  • Target funds on those countries most nearly at the Sustainment or End State of their humanitarian demining program.


In complex humanitarian emergencies, less than 10 percent of children under five suffer from global acute malnutrition.
  • Prioritize appropriate resource allocation and interventions to reduce the major causes of child malnutrition in refugee settings.
    Continue collaborating with the Standard Monitoring and Assessment of Relief and Transitions (SMART) initiative and SPHERE partners to improve and expand data collection.
  • Encourage international and NGO partner organizations to report on CMR data collected.
  • >Increase the number of refugee situations where data collection and reporting are conducted.
  • Improve data accuracy by encouraging implementing partners to adopt standardized surveillance methods, survey tools and data triangulation.


WFP should have sufficient funds to carry out its work, with contributions from many donor countries and the private sector. Number of donors to WFP increased by three, and non-U.S. contributions increased to more than 50% of total.
  • Work with WFP to encourage "twinning," a mechanism to match non-traditional donors of commodities with non-traditional donors of cash for the delivery of humanitarian assistance in food emergencies.
  • Urge traditional and non-traditional donors to initiate/increase their cash or commodity contributions to WFP.


95% of our partners do not receive any negative finding in any audit conducted of their organizations.
  • Review periodic external audits conducted on all our NGO and international organization partners. Some United Nations organizations and programs are audited by the UN Office of Internal Oversight Services, including the Office of the UN High Commissioner for Refugees.


100% of all partners have instituted codes of conduct, 100% have developed awareness training, 100% have implemented reporting and follow-up mechanisms, and 90% of investigations are launched within 60 days of a case report of exploitation.
  • Require all NGO partners to institute codes of conduct as a condition of future PRM funding.
  • Participate in discussions with members of the Interagency Standing Committee to encourage adherence to codes of conduct and implementation of reporting and follow-up mechanisms.
  • Monitor international and NGO partner activities in the field with sensitivity to exploitation issues: verify that humanitarian workers are aware of codes of conduct, have received training, and have reported cases of exploitation and launched investigations in a timely and effective manner.


V: Illustrative Examples of FY 2003 Achievements
Illustrative Examples of FY 2003 Achievements
Humanitarian Demining

In FY 2003, more than 30 mine-affected countries in the U.S. Humanitarian Demining Program benefited from the clearance of land suitable for agriculture, pastoral use, and potential for restoring economic infrastructure. These countries also witnessed the safe return of tens of thousands of refugees and internally displaced persons, who were able to travel on formerly mine-affected roads. Finally, several countries achieved Sustainment status - the ability to implement and manage their own humanitarian demining program - while others were able to declare themselves mine-safe.

Angola Repatriation

The end of civil war in Angola has made it possible for hundreds of thousands of refugees and IDPs to return home, many of whom were displaced as long ago as 1965. In June 2003, the UN High Commissioner for Refugees (UNHCR) launched a major repatriation operation to facilitate the return of some 400,000 Angolan refugees from neighboring countries. The Department contributed over $12.5 million to UNHCR in support of this operation, which includes return transportation and reintegration assistance such as identification and registration, transit centers, food rations, health screening, education and HIV/AIDS awareness.

Performance Goal 1
Effective protection, assistance, and durable solutions for refugees, internally displaced persons and conflict victims.
  • Department program officers and refugee coordinators who regularly monitor and evaluate humanitarian assistance and resettlement programs will verify and validate data, relying on reports of the Department's international and NGO partners.

Annual Performance Goal #2
IMPROVED CAPACITY OF HOST COUNTRIES AND THE INTERNATIONAL COMMUNITY TO REDUCE VULNERABILITIES TO DISASTERS AND ANTICIPATE AND RESPOND TO HUMANITARIAN EMERGENCIES
[USAID Goal]

VII. Resource Detail

Table 1: State Appropriations by Bureau ($ Thousands)

Title/Accounts FY 2003 Actual FY 2004 Estimate FY 2005 Request
Western Hemisphere Affairs $45,449 $46,826 $49,133
East Asian and Pacific Affairs 6,416 6,702 6,919
European and Eurasian Affairs 4,844 4,885 5,577
International Organization Affairs 3,347 3,306 3,577
Other Bureaus 9,369 9,820 9,374
Total State Appropriations 69,425 71,539 74,580

Table 2: Foreign Operations by Account ($ Thousands)

Title/Accounts FY 2003 Actual FY 2004 Estimate FY 2005 Request
Title I - Export and Investment Assistance
Export-Import Bank      
Overseas Private Investment Corporation      
Trade and Development Agency 1,480 1,511 1,608
Title II - Bilateral Economic Assistance
USAID 493,590 528,669 448,300
Other Bilateral Economic Assistance 127,919 79,148 57,152
Independent Agencies 832 867 1,129
Department of State 914,577 811,782 789,246
Department of Treasury      
Complex Foreign Contingencies 0 0 50,000
Title III - Military Assistance
International Military Education and Training 315 424 525
Foreign Military Financing 500 2,000 7,096
Peacekeeping Operations 22,850 14,890 20,800
Title IV - Multilateral Economic Assistance
International Financial Institutions      
International Organizations and Programs      
Total Foreign Operations 1,562,063 1,439,291 1,375,856
 
Grand Total $1,631,488 $1,510,830 $1,450,436



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