General NGO Guidelines
Updated: February 2018
(Note: Updates to the NGO guidelines will be made in FY 2020).
- PRM Award Data Sheet
- Proposal Checklist
- Proposal Templates
- Standardized Indicators
- Guidance for Refugee Resettlement Activities
- Overview of the Application Process
- Obtaining a DUNS Number
- Registering with SAM
- Registering with Grants.gov
- Technical Support
- International Multilateral Organizations
- Proposal Format and Templates
- Instructions for Completing the PRM Proposal Template
- Cost Proposal (Budget)
- PRM Administrative Requirements
- Acknowledgement of PRM Funding
- Funding Timeframes and Multi-Year Funding
- Project Reports
- Financial Reports
- Other Reporting Requirements
Appendix A: Project Proposal Checklist
Appendix B: PRM Policies and Project Standards
- Sphere Minimum Humanitarian Standards
- Urban Refugee Policy
- Gender-Based Violence
- Vulnerable and Underserved Persons of Concern
- Persons with Disabilities
- Accountability to Affected Populations
- Conflict Sensitivity
- Code of Conduct
- Risk Management
- Safety and Security
- Environmental Protection
Appendix C: Sectors and Recommended Standardized Indicators
- Gender-Based Violence
- Child Protection
- Mental Health and Psychosocial Support
- Water, Sanitation, and Hygiene
- Nutrition and Food Security
- Core Relief Items/Cash-Based Initiatives
- Local Government Capacity-Building
Appendix D: Budget Detail Instructions
Appendix E: Budget Narrative Instructions
Appendix F: Risk Analysis Instructions and Template
Appendix G: Guidance for Refugee Resettlement Activities
The State Department’s Bureau of Population, Refugees, and Migration (PRM; also referred to in these guidelines as the “Bureau”) 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, ease suffering, and resolve the plight of persecuted and uprooted people around the world on behalf of the American people by providing life-sustaining assistance, working through multilateral systems to build global partnerships, promoting best practices in humanitarian response, and ensuring that humanitarian principles are thoroughly integrated into U.S. foreign and national security policy.
PRM’s primary activities support the efforts of the key multilateral humanitarian organizations responsible for refugees, conflict victims, stateless persons, and vulnerable migrants. PRM funds non-governmental organization (NGO) projects that are coordinated with the multilateral system and fill critical gaps in humanitarian assistance and protection programs. PRM does not provide overseas assistance through for-profit organizations.
NGO proposals in response to PRM funding opportunity announcements must be submitted via Grants.gov. PRM is not responsible for resolving technical issues or registration delays, and strongly recommends submitting proposals as early as possible to avoid being disqualified for missing the deadline due to technical difficulties. Organizations that have waited to submit proposals have often experienced technical difficulties causing them to miss deadlines; and, as a result, their proposals were not considered for funding. Grants.gov guidance notes that it can take 48 hours, and sometimes longer, for a proposal to be validated by the Grants.gov system; PRM therefore recommends submitting your proposal at least a week before the deadline listed in the funding announcement.
If you are new to PRM funding, the Grants.gov registration process can be complicated and time-consuming. We urge you to refer to “Application Process” in Section 2 below for information and resources to help ensure that the application process runs smoothly. PRM also strongly encourages organizations that have received funding from PRM in the past to read this section as a refresher.
Organizations should note that some sections are applicable to overseas assistance activities only. Guidelines for PRM’s refugee resettlement activities can be found in Appendix G of this document. However, unless otherwise noted, the guidelines below apply to all PRM NGO funding.
This year’s NGO Guidelines do not introduce any new major policies or requirements. However, based on helpful feedback from applicants, we have made an effort to make our requirements clearer and more explicit throughout the document. We are always looking for ways to improve, and we welcome any feedback at PRMNGOCoordinator@state.gov to make this document more useful for our applicants.
PRM Award Data Sheet. PRM has suspended grantee use of the Award Data Sheet due to technical issues.
SF-PPR. PRM no longer requires the SF-PPR form as a cover sheet accompanying project reports. The SF-PPR is an optional form and is no longer posted online, but is available upon request by emailing PRMNGOCoordinator@state.gov with the subject line, “PRM NGO Templates.”
Proposal Checklist. See updated requirements for documents that must be submitted as part of a complete proposal package in Appendix A. Failure to include required documents will result in the proposal’s disqualification.
Proposal Templates. We encourage applicants for PRM funding to be succinct and concise in Section 2 Gap Analysis (formerly “Problem Statement”) of the project proposal, and strongly encourage applicants to limit narrative in this section to no more than one page. Charts detailing population targets are welcome. Also, the “Security and Risk Management” section (formerly Section 11) has been removed from the single- and multi-year proposal templates. Applicants will still be required to submit both the Risk Analysis and the organization’s Security Plan as attachments as noted in the Proposal Checklist (Appendix A).
Standardized Indicators. PRM now requires the use of at least one standardized indicator per objective, as applicable. See Appendix C for an updated list of indicators.
Refugee Admissions. This year’s NGO Guidelines include Appendix G with specific guidance for refugee resettlement activities.
2.A. Overview of the Application Process: Preparing to apply for PRM funding is a multi-step process that can take four weeks or more for U.S. NGOs and considerably longer for non-U.S. NGOs.
To begin the process of seeking PRM funding, applicants must:
- Obtain a Data Universal Numbering System (DUNS) number for their organization.
- Register with the U.S. government-wide System for Award Management (www.SAM.gov).
- Create a username and password on Grants.gov and complete their AOR (Authorized Organization Representative) profile.
- Confirm, through the E-Business Point of Contact (E-Biz POC) at the organization, the applicant as an Authorized Organization Representative.
Organizations considering applying for PRM funding should start the process as early as possible to avoid missing submission deadlines.
Organizations should not wait for Notice of Funding Opportunity announcements to be posted in order to start the registration process.
PRM posts all funding opportunities on the website www.Grants.gov, PRM’s website, and all programs in the Catalog of Federal Domestic Assistance (CFDA). All proposals in response to PRM funding opportunity announcements must be submitted via Grants.gov.
PRM's CFDA numbers are:
- 19.018 – Resettlement Support Centers (RSCs) for U.S. Refugee Resettlement
- 19.510 – U.S. Reception and Placement Program
- 19.511 – Overseas Refugee Assistance Programs for East Asia
- 19.517 – Overseas Refugee Assistance Programs for Africa
- 19.518 – Overseas Refugee Assistance Programs for Western Hemisphere
- 19.519 – Overseas Refugee Assistance Programs for Near East
- 19.520 – Overseas Refugee Assistance Programs for Europe
- 19.522 – Overseas Refugee Assistance Programs for Strategic Global Priorities
- 19.523 – Overseas Refugee Assistance Programs for South Asia
2.B. Obtaining a DUNS number: Organizations can obtain a free DUNS number from Dun and Bradstreet (D&B) anytime; you do not need a U.S. government grant. Organizations located in the U.S. can request a DUNS number free of charge by contacting D&B online or by telephone at 1-866-705-5711. Registration typically takes five to ten minutes by phone and up to 24 hours via the web-form.
2.C. Registering with SAM: To successfully apply through Grants.gov, organizations must use their DUNS number to register with the System for Award Management (SAM) online at (www.sam.gov) or by telephone at 1-866-606-8220 (U.S.) or 1-334-206-7828 (international). Note that SAM registration must be updated annually. If registration is not completed by the time the application for PRM funding is submitted, the application will be rejected automatically by Grants.gov. PRM strongly recommends that organizations complete the registration process as early in the fiscal year as possible in order to avoid potential delays when calls for proposals are issued. Detailed instructions on how to complete this registration process can be found here. When organizations register on SAM.gov, they will be asked to identify a single “E-Biz Point of Contact” for the organization. This person has the responsibility to confirm which individuals have the authority to submit proposals on behalf of the organization.
Potential applicants should be alerted that SAM.gov is a free government-managed website; applicants do not need to pay to have their organization registered. A/OPE receives frequent reports that recipients are contacted by organizations posing as SAM.gov and threatening to cut off registration unless a fee is paid for registration or renewal. These emails are not coming from SAM.gov and should be reported as Spam and Phishing/Spoofing.
2.D. Registering with Grants.gov: Once organizations have obtained their DUNS number and completed their SAM registration, the individual who is submitting the application on behalf of the organization must register on the Grants.gov website and create a username and password to complete his or her AOR (Authorized Organization Representative) profile. Once the AOR has registered on Grants.gov, the E-Biz Point of Contact at the organization will receive an email and must log on to Grants.gov to confirm the applicant as an AOR. All applicants are encouraged to consult Grants.gov’s online page for frequently asked questions, user guides, and applicant training videos to familiarize themselves with the application process.
On December 31, 2017, Grants.gov will officially retire the legacy PDF package as a method to apply for a federal grant. Grants.gov will now use a secure alternative to apply for federal grants called “Workspace.” Grants.gov Workspace is an online environment optimized for applicants who are collaborating on an application. Forms can either be completed online within a web browser or downloaded individually and uploaded to Workspace. For more information, please see the Grants.gov YouTube channel for an introduction to Workspace and plan to use this new system when applying.
2.E. Technical Support: Applicants who experience technical difficulties with the Grants.gov system during the application process must report the problem to the Grants.gov Help Desk at 1-800-518-4726 or email@example.com as soon as possible prior to the deadline identified in the funding opportunity announcement. Grants.gov will assign a case number and open a service request to research the problem(s).
Applicants experiencing technical difficulties with the SAM registration process must contact the Federal Service Desk (FSD) online or at 1-866-606-8220 (U.S.) and 1-334-206-7828 (International).
2.F. International multilateral organizations: International multilateral organizations, such as United Nations agencies, should not submit proposals to PRM through Grants.gov. Multilateral organizations that are seeking funding for projects must contact the relevant PRM point of contact listed in the announcement.
All Notice of Funding Opportunity (NOFO) announcements are listed on Grants.gov as well as on PRM’s website. To receive PRM NOFO announcements via email, visit the Bureau’s website and subscribe to PRM’s listserv.
PRM conducts formal internal competitive reviews of all proposal submissions based on the proposal evaluation criteria and PRM’s priorities. PRM accepts unsolicited proposals at any time; however, due to limited funding, priority will be given to proposals responding to PRM-issued NOFOs.
Proposals must focus on one or more of the following sectors as specified in the particular NOFO (see Appendix C for sector descriptions):
- Gender-based Violence Prevention and Response
- Child protection
- Mental Health and Psychosocial Support (MHPSS)
- Water, Sanitation, and Hygiene (WASH)
- Nutrition and Food Security
- Core Relief Items/Cash-Based Initiatives
- Local Government Capacity-Building
For proposals related to Refugee Resettlement, see Appendix G.
3.A. Proposal Format and Templates: PRM recommends that applicants use the suggested templates and instruction sets available from PRM’s NGO Coordinator:
- The proposal narrative for single year projects,
- the proposal narrative for multi-year projects,
- the budget summary and detail for each year of proposed projects, and
- the budget narrative for each year of proposed projects.
To request copies of all PRM-recommended templates, send an email with only the phrase “PRM NGO Templates” (without the quotation marks) in the subject line, to PRMNGOCoordinator@state.gov. You will receive an automated email reply containing the templates mentioned above (proposal templates, budget summary and detail templates, and budget narrative instruction guide) as well as the quarterly project report template discussed later in these guidelines.
If an NGO is using PRM’s templates, proposals must not be more than 15 pages in length for single-year applications, and 20 pages for multi-year funding proposals. All submitted documents must be in English.
If an NGO is not using PRM’s templates, then proposals must not be more than 10 pages in length (15 pages for multi-year proposals).
All proposals must use Times New Roman 12-point font, with one inch margins on all sides. Organizations may choose to attach charts, work plans, activity calendars, and/or logical frameworks as addenda or appendices to the proposal. These attachments do not count toward the page limit total; however, annexes cannot be relied upon as a key source of project information. The proposal narrative must be able to stand on its own in the application process.
For proposals related to Refugee Resettlement, see the relevant Notice of Funding Opportunity for details on the Proposal Format and Templates.
When submitting documents on Grants.gov, please pay close attention to the file naming conventions. If these guidelines are not followed, your application may be rejected:
- File attachment names longer than approximately 50 characters are problematic. Limit file attachment names.
- Do not use any special characters (example: &,?,*,%,/,#,',) or spacing followed by a dash in the file (example: Application – 1).
- For word separation, use underscore (example: Attached_File.pdf) in naming the attachments.
3.B. Instructions for Completing the PRM Proposal Narrative Template: Use the following guidelines to address each section of the proposal. If NGOs choose not to use the PRM templates, proposals must still include the sections outlined below.
- Section 1: Summary of Project: Complete the table on the first page of the template with the name of the organization, points of contact, the DUNS number, name of project, type and number of beneficiaries, proposed start and end date, whether or not your organization is currently receiving PRM or other donor funding in country, and the project goal.
- Section 2: Gap Analysis: With respect to the specific location, activities, needs, and target beneficiaries of the proposed project, describe the current or anticipated elements of the humanitarian situation that this project seeks to address. Explain how this proposal fills a gap in current assistance efforts, including those being undertaken by the host country, the UN High Commissioner for Refugees (UNHCR), other international organizations, and/or NGOs. Provide specific evidence based on assessments that have been conducted and other relevant background information collected to identify the needs of the target population. Indicate dates, sources of information, and describe the most critical needs, vulnerabilities, or capacities that were identified. If an organization’s own needs assessment is being used as a justification for funding, we strongly recommend that the assessment be included as an annex to the proposal. Market assessments for livelihoods activities must be briefly described in this section and attached in full to the proposal.
- Section 3: Profile of the Target Population: Describe the anticipated beneficiary population for this project including the process of beneficiary targeting and selection; how refugees, returnees, host community members will be identified; and what actions you would take to ensure that potentially vulnerable and underserved groups are included. Clearly demonstrate that refugees, returnees, and/or other persons of concern as described in the relevant NOFO will constitute a minimum of 50% of the beneficiary population. Using the most recent data available and citing sources, provide the anticipated demographic profile of the beneficiaries including the numbers of refugees, IDPs, returnees, host country nationals, etc., as well as locations, gender, age, and any other unique factors or vulnerabilities. List the specific locations – including the names of camps, provinces, districts, villages, neighborhoods, temporary accommodation centers, etc. – of proposed activities. Provide GPS coordinates, where available. If the locations are not yet known, explain how the sites would be chosen. Charts and tables are welcome in this section, as a means of cutting down on narrative text.
- Section 4: Project Description: This section should clearly and concisely outline the (1) key activities, (2) implementation plan, and any (3) implementing partners, including their role in the project. Other requirements include:
A. An explanation of the link between the needs identified, activities, and outcomes expected.
C. If the standards differ from Sphere’s Core Humanitarian Standards, a justification for the variance.
D. In the case of multi-year funding applications, an explanation for why multi-year funding is necessary for the project to succeed, and how the proposed activities in year one will contribute to outcomes and impacts in years two and three, as applicable.
- 4.A. Project Description, Gender Analysis: A gender analysis must be included in all applications for funding within the proposal narrative to demonstrate analysis of the factors that promote or undermine gender equality in the project context. All proposals must address the specific needs of women and girls, as the primary populations that experiences gender oppression and discrimination. Proposals should also address the following areas to show that PRM partners have assessed, analyzed, and integrated gender dynamics within their project:
- Experiences of men, women, boys, and girls with a focus on the different familial roles, community privileges, and gender dynamics within the target population;
- associated risks and threats experienced by women, girls, and other vulnerable populations based on their gender;
- power imbalances and needs that arise based on gender inequalities that exist within the family or community;
- proposed responses that will address the above and mitigate any gender differences in access, participation, or decision-making that may be experienced by at-risk groups, particularly women and girls.
The gender analysis should aim to specify and target specific at-risk sub-populations of women and girls as applicable, such as women and girl heads of households, out-of-school girls, people who identify as lesbian, gay, bisexual, transgender, or intersex (LGBTI), women and girls with disabilities, women and girl survivor of violence, married girls, and adolescent mothers who are often unaware of and excluded from projects and services and who may be the hardest to reach.
For additional guidance on filling out the gender analysis, please visit the PRM website.
- Section 5: Objectives and Indicators: All project objectives and indicators must be included in the proposal narrative under Section 4 and not as a separate attachment. The following guidelines apply to any objectives and indicators to be included in proposals. The types and the number of indicators will vary depending on the project design. Strong indicators will be specific, measureable, achievable, relevant and reliable, time-bound, and trackable. Note that an indicator must be identified as an input, output, outcome, or impact indicator. Details on how indicators will be measured must be included.
Proposals must include at least one standardized indicator per objective, as applicable, for the sectors listed in Appendix C. Please refer to Appendix C for more information on sectors and relevant standardized indicators.
Each objective must have at least one outcome or impact indicator that can be measured in a 12-month timeframe. Each objective must have at least two indicators. Additionally multi-year projects are encouraged to include an impact indicator that can be measured over the full project duration. PRM discourages use of input indicators, and encourages use of output, outcome, and impact indicators. Multi-year projects must specify objectives and indicators for each year of the project, including breakdowns of targets by year. The following definitions are taken from the Office of U.S. Foreign Assistance Resources and the Bureau of Budget and Planning Project Design and Performance Management Toolkit.
- Objective: A statement of the condition or state one expects to achieve toward accomplishing a program, project, or process goal.
- Indicator: A particular characteristic or dimension used to measure intended changes. Performance indicators are used to observe progress and to measure actual results compared to expected results.
- Output: A short-term, immediate result of a program, project, process that leads to longer-term outcomes. Outputs are products, goods, and services that result from activities. Output indicators do not measure change; they answer the question, “What is the immediate product of the activity?”
Example of Output Indicator: Number of students, disaggregated by gender, who complete 3 hours of hygiene education (Target: 2,000 students).
- Outcome: A result or effect that is caused by or attributable to the project, program or policy of the program activities. Outcomes may be short-term or long-term, intended or unintended, positive or negative, direct or indirect. An outcome indicator focuses on change and is a measure of the extent to which a program objective is being achieved.
Example of Outcome Indicator: Percentage of children, disaggregated by gender, who demonstrate a 50% or higher knowledge gain on proper hygiene methods, as demonstrated in pre- and post-test scores (Target: 75%).
- Impact: A result or effect that is caused by or attributable to a program, project, process or policy. Impact is often used to refer to higher level effects of a program that occur in the medium or long-term, and can be intended or unintended and positive or negative.
Example of Impact Indicator: Decrease in reported cases of diarrhea among student population (Target 10% decrease).
Selection of indicators should be informed by data that serves as a baseline. Data can be gathered through surveys or past experience of the NGO, another international organization, or another NGO operating in the area. Organizations are encouraged to use existing data where possible, but should note its reliability or accuracy if unclear. For those projects without baseline data available at the time of proposal submission, NGOs are required to determine baseline data within the first month of project period if the project is approved for funding by PRM. A baseline is a measure of the situation before the project starts that is used to measure change and monitor the project’s progress. Baselines must inform how targets are determined, and should rarely be set at “zero” particularly for follow-on projects. Indicators with baselines set at zero must explain how targets are determined.
- Example Indicator: Percentage of new mothers who breastfeed following project intervention (outcome).
- Baseline – 20% of new mothers breastfeed on average.
- Target –50% of new mothers breastfeed on average.
Objectives and indicators will be formally written into the cooperative agreement for proposals that are selected for PRM funding and will be used by PRM to monitor and evaluate the project.
Accordingly, proposed objectives and indicators must be representative of project performance. Quarterly reports submitted to PRM must track progress against each of the indicators in the cooperative agreement. PRM recommends judicious review in selecting indicators that measure progress against proposed activities and/or results. Consultations with PRM may be necessary in order to arrive at a final set of agreed upon objectives and indicators.
- Section 6: Monitoring and Evaluation Plan: Describe the monitoring and evaluation plan. This section must include, at a minimum, the following elements:
- A timeline to track the project’s progress;
- frequency of the measurements;
- which monitoring and evaluation tools will be used (surveys, site visits, key stakeholder interviews, focus group discussions, interview logs, timelines, progress reports, etc.);
- staff responsible for monitoring and evaluation;
- and how problems identified during monitoring will be addressed.
- Section 7: Accountability to Affected Populations: Specifically for the proposed project, describe (1) how the target population is involved in project design and implementation, and (2) the organization’s procedures for collecting, analyzing, and responding to beneficiary feedback throughout the life of the project. See Appendix B.3 for information on PRM’s policies. Additional information on best practices for accountability to affected populations (AAP) is found at the IASC’s AAP resource page.
This section in the proposal narrative is specific to the project being proposed and is distinct from the organization-level AAP framework requirement, which must be submitted separately.
- Section 8: Coordination: Describe the level of cooperation and coordination with relevant stakeholders including international organizations, NGOs, government entities, other donors, and civil society that went into the project design, plans for partnerships, and plans to participate in ongoing coordination efforts. Applicants should include regional (and/or cross-border) coordination as applicable. Descriptions of information-sharing plans or arrangements and applicant use of existing information databases should be included. For projects targeting refugees or other populations for which international assistance is being coordinated by UNHCR or another UN agency, NGOs may provide a letter of support from UNHCR or the relevant agency specific to the proposal, and share whether the proposed project falls within the scope of existing country humanitarian plans.
- Section 9: Sustainability and Capacity-Building: Explain how the project will contribute to local capacity-building elements including capacity building for the beneficiaries, local civil society organizations, or the host government; incorporate longer-term sustainability objectives into humanitarian programs; increase work towards durable solutions, be handed over to another organization; or be financed by other means after PRM funding ends.
- Section 10: Management and Past Performance: Applicants must provide details on the organization’s management structure, including specific management plans for the proposed project. Applicants should describe headquarters oversight of the proposed project. Applicants must furnish names, titles, and brief biographical information on the education and experience of key personnel in implementing the project and key supervisory personnel; (i.e., the members of the professional staff in a project supervisory position engaged for or assigned to duties under the award). Résumés of key personnel can be provided in an annex (or provided for approval prior to hiring).
Describe the organization’s relevant experience working in the proposed location and sector. Share whether the applicant currently has permission to operate in the country. Proposals that seek to continue current projects must include details regarding any changes in key personnel over the past year, a detailed discussion of what has been achieved with that programming to date and challenges in meeting objectives. Proposals seeking to implement new projects should provide specific examples of past performance in similar projects in this country and/or sector. State explicitly any similar project the organization has implemented in the last three years for which it has received PRM funding, in any country/location. Organizations are encouraged to include an overview assessment of their projects funded by PRM in prior years.
- Section 11: Sub-Contracts/Sub-Recipients: List the full and exact name of any sub-contractors or sub-recipients the organization plans to fund through the proposed project, if known. Identify sub-grantees including, for each, the Legal Name, Organizational DUNS, Address, and Name of Organizational Representative. Describe how these organizations are or will be vetted to comply with U.S. Executive Orders and law, which prohibits transactions with and the provision of support to organizations associated with terrorism. If sub-recipients are unknown at the time of proposal, the above information must be provided for DOS Grants Officer approval prior to a sub-award or sub-contract being signed before or after a prime award is issued.
- Section 12: U.S. Government Recognition: Describe how the organization will recognize the U.S. government’s financial support, provided through PRM, for the proposed project/activities (e.g., in publications, press releases, etc., and at the project site).
If your organization believes that publicly acknowledging U.S. government financial support at the project site could potentially endanger the lives of the beneficiaries and/or the organization’s staff, invite suspicion about the organization’s motives, or alienate the organization from the population it is trying to help, provide a brief explanation and request an exemption from the project site acknowledgement requirement. See Section 3.F. for more details.
3.C. Indicators: “Sphere” standards should be used as targets, unless otherwise noted. There should be at least one outcome or impact indicator per objective. Indicator targets should be broken down by year for multi-year projects.
Standardized Indicators: In an effort to streamline the proposal writing/reviewing process and better measure the impact of the Bureau’s work, proposals must include at least one of PRM’s standardized indicators that apply to the project per objective as applicable. Applicants must fill in numerical and/or percentage targets for each indicator. Please see Appendix C for a list of Sectors and descriptions of relevant Standardized Indicators.
For proposals related to Refugee Resettlement, see Appendix G.
3.D. Cost Proposal (Budget): PRM’s recommended budget template for all proposals delineates expenses by project objective and by country, in the case of multi-country projects. PRM has developed instructions for completing the Budget Detail and the Budget Narrative. Costs listed in the Budget Detail and Budget Narrative documents must match.
To request the Budget Detail template and instructions, send an email with only the phrase “PRM NGO Templates” (without the quotation marks) in the subject line, to PRMNGOCoordinator@state.gov.
(a) The Cost Proposal must include the following separate items (described in more detail below):
- Application for Federal Assistance – the SF 424, SF-424A, and SF-424B forms that are included in the Grants.gov application package;
- Budget Summary;
- Budget Detail;
- Budget Narrative;
- Organizational chart for award recipient and sub-recipient(s), if applicable;
- Negotiated Indirect Cost Rate Agreement (NICRA), if applicable; and
- Most recent external audit report, if not submitted to the Federal Audit Clearinghouse
NOTE: Proposed budgets that fall outside of a NOFO’s stated funding floor and ceiling limits will be disqualified without further review.
- SF-424A and Budget Summary – The SF-424A and Budget Summary must indicate the anticipated aggregate dollar amount for the major object class categories, to include, personnel, fringe benefits, travel, equipment, supplies, contractual, construction, other direct costs, and indirect charges. Please round each line-item cost to the nearest dollar. The Budget Summary should also break out the overall budget by objective.
- Budget Detail – The Budget Detail must include descriptive line-items that support each cost listed within each object class category, broken down by each year of programming being proposed. Budget Details must also include estimated funding by line item for each objective. Round each line-item cost to the nearest dollar. Ensure that costs are reflected under the most appropriate major object class category. The “Other Direct Costs” category should only by utilized for costs that do not fall under one of the major object class categories.
- Budget Narrative – The Budget Narrative must include sufficient detail to enable the reviewer to obtain the same reasonable determination of cost. For example, the description for the line item for “Training Materials” within the object class category “Supplies” could read, “includes 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 budget narrative must provide justification for equipment and capital purchases equal to or greater than $5,000, including describing the status of or listing the existing inventory that is being augmented and/or replaced. The Budget Narrative must provide sufficient explanation regarding the determination of cost for each year of the project.
- Organizational Chart – The Organizational Chart enables PRM to evaluate the organizational structure and determine the allocation of personnel costs for single and across multiple federal assistance awards. For example, if one full-time Regional Program Coordinator has responsibility that is divided equally for each of ten (10) projects, the salary for this position should be allocated across all awards in such a manner as to equal 100% of the time available for this position. This salary should not be more than 10% on each award. The cost of staffing needs associated with each proposal should only reflect the staffing required to carry out the required activities. Since PRM awards do not fund contingencies, budgets should avoid using the category of “back-stopping.”
- NICRA – Recipients of PRM assistance awards may be reimbursed for applicable indirect costs in accordance with their Negotiated Indirect Cost Rate Agreement (NICRA) established by the Recipient’s “cognizant” agency if applicable. The cognizant agency for non-profit organizations is determined by calculating which federal agency provides the most grant funding. If the Recipient has executed an indirect cost rate agreement with a cognizant agency other than the Department of State, PRM will use that negotiated agreement as the basis for determining indirect cost reimbursement.
In cases where no cognizant agency has been designated or the organization does not have an established negotiated indirect cost rate agreement with any federal agency, applicants may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely (2 CFR 200, Subpart E, Section 414 Indirect (F&A) Costs). MTDC means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each subaward (regardless of the period of performance of the subawards under the award).
MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward in excess of $25,000. Other items may only be excluded when necessary to avoid a serious inequity in the distribution of indirect costs, and with the approval of the cognizant agency for indirect costs. PRM will refer award recipients without NICRAs to the Department of State office responsible for negotiation and approval of an indirect cost rate which would be applicable to future awards.
(b) The Cost Proposal must also include the following items, as appropriate:
- Multi-year funding – Multi-year funding requests must include a budget summary, budget detail, and budget narrative for each year separately. If the PRM budget template is used, organizations can use the same template for each year, on the understanding that the budget for years two and three may need to be revised when the follow-on year’s application is submitted. PRM cannot guarantee funding for follow-on years and awards for years two and three remain contingent upon continuing need, performance, and availability of funding [See Funding Timeframes and Multi-Year Funding section below for details].
- GBV Components – Applicants whose proposals address gender-based violence (GBV) through their projects must estimate the total cost of these activities as a separate line item in their proposed budgets. PRM understands that this is only an estimate. PRM’s budget template document contains a line reflecting this requirement
- Recipient’s Share of Cost – Applicants should note that cost-sharing is not a requirement for PRM projects. Applicants may include within budget documents dollar amounts anticipated and/or received from other sources noting that these amounts are being provided “for information purposes only” and these amounts must not be designated as “Recipient’s Share of Cost” on the Federal Assistance Award coversheet (DS-1909). However, when the Recipient requests that the project budget include voluntary cost sharing, the Recipient will be held to the voluntary cost-sharing amounts designated on the Federal Assistance Award coversheet (DS-1909) as the “Recipient’s Share of Cost” and will report on these amounts as part of required financial reporting. For these cases, the Cost Proposal must include the Recipient’s Share of Cost in addition to the dollar amount requested from PRM. The Budget Summary and Detail must include the dollar amount(s) anticipated or received from other sources (including the organization’s own funds and support from other donors) and the dollar amount of any in-kind contributions. Be sure to indicate the funding source for each line-item to include (1) the contribution to be made by the applicant; (2) the contribution to be made by other agencies or organizations (specifying each donor and amount); and (3) the amount of cash and in-kind contributions to be made from all other sources (specifying each donor and amount).
- Identify Sub-grantees – If applicable, the Budget Summary, Budget Detail, and Budget Narrative must specifically identify sub-grantees including, for each, the Legal Name, Organizational DUNS, Address, and Name of Organizational Representative. The Cost Proposal guidance provided above is recommended for use by sub-recipient(s) when preparing their budget documents. If the sub-recipient’s budget is a separate document, the associated expenses must be clearly identified in the prime budget if not listed under the contractual object class category.
3.E. PRM Administrative Requirements: To be considered eligible for PRM funding all submissions must include the following (organizations must refer to the relevant Notice of Funding Opportunity announcement for further information on additional requirements for that announcement):
- Completed proposal narrative including objectives and indicators for each year.
- Completed budget summary, broken down by each year of the project period.
- Completed budget detail, broken down by each year of the project period and objective.
- Completed budget narrative for each year of the project period.
- Completed SF-424, SF-424A, and SF-424B forms. PRM requires that Box 21 of the SF-424 be checked. Please note that pursuant to U.S. Code, Title 218, Section 1001, stated on OMB Standard Form 424 (SF-424), the Department of State is authorized to consolidate the certifications and assurances required by Federal law or regulations for its federal assistance programs. The list of certifications and assurances is available upon request by emailing PRMNGOCoordinator@state.gov with the subject line, “PRM NGO Templates.”.
- Copy of the organization’s U.S. government Negotiated Indirect Cost Rate Agreement (NICRA), or a de minimis rate calculation if the applicant elects to use the de minimis rate, as applicable (Section 3.D).
- Most recent external audit report, if not submitted to the Federal Audit Clearinghouse.
- Information in support of any cost-sharing/cost-matching arrangements, if applicable.
- Information detailing the source of any in-kind contributions, if applicable.
- Details on any sub-agreements associated with the project (must be part of the budget submission as noted above), if applicable.
- The organization’s security plan (Appendix B.8).
- Risk Analysis (Appendix F).
- Key personnel.
- Code of Conduct.
- Organizational Accountability to Affected Populations Framework
- A market analysis and a beneficiary competency/capacity assessment for all proposals that include at least one livelihoods-sector objective.
- Pay careful attention to Grants.gov’s guidance for file naming conventions [See Proposal Format and Templates section above].
NGOs that have never received PRM 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 with their funding application:
- the most recent external financial audit, if not submitted to the Federal Audit Clearinghouse,
- for U.S.-based NGOs, proof of non-profit tax status including under IRS 501 (c)(3) and Employer ID (EIN)/Federal Tax Identification number,
- for overseas-based NGOs, proof of registration in country of domicile, and
- a Data Universal Numbering System (DUNS) number
3.F. Acknowledgement of U.S. Government Funding: Organizations receiving overseas assistance from the Bureau are required to acknowledge publicly the projects and activities funded with that assistance. As a condition of receipt of an assistance award, all materials produced pursuant to the award, including training materials, materials for recipients or materials to communicate or promote with foreign audiences a program, event, project, or some other activity under this agreement, including but not limited to invitations to events, press materials, event backdrops, podium signs, etc. must be marked appropriately with the standard, rectangular U.S. flag in a size and prominence equal to (or greater than) any other logo or identity.
The U.S. flag logo may be used in conjunction with, or in place of, the Department of State seal, the U.S. Embassy seal, or other Department program logos.
Sub-recipients and subsequent tier sub-award agreements are subject to the marking requirements and the recipient shall include a provision in the sub-recipient agreement indicating that the standard, rectangular U.S. flag is a requirement. In the event the recipient does not comply with the marking requirements as established in the approved assistance agreement, the Grants Officer Representative and the Grants Officer must initiate corrective action.
At the project site, acknowledgement must 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:
1) Fully funded with PRM contribution: “Gift of the United States Government”
2) Partially funded with PRM contribution: “Funding provided by the United States Government.”
Note to Grantees and Sub-grantees: The Bureau of Population, Refugees, and Migration does not have, nor is it permitted to have or display, a separate logo or brand. The United States flag is our recognized brand, as described and outlined above.
Updates of action taken related to fulfilling this requirement must be included in quarterly project reports to PRM.
An organization may request a full or partial exemption from this requirement if it believes that public acknowledgment of USG funding might endanger the lives of the beneficiaries and/or the organization’s staff, invite suspicion about the organization’s motives, or alienate the organization from the beneficiary population. To request PRM consideration of an exemption to this requirement, the organization must provide an explanation of the relevant factors in its initial proposal for PRM funding.
For an electronic copy of the approved U.S. flag logo, please contact PRM’s NGO Coordinator at PRMNGOCoordinator@state.gov.
3.G. Funding Timeframes and Multi-Year Funding: PRM will define the timeframe and duration of activities in each unique Notice of Funding Opportunity announcement. Most PRM awards to NGOs are for 12-month periods; however, PRM has the option of issuing NOFOs offering provisional approval for 24 or 36-month periods. Each unique NOFO issued by PRM will clearly specify whether the Bureau will make use of this option.
Multi-Year Funding: When submitting the initial application, NGOs proposing multi-year projects must submit fully developed projects with detailed budgets, objectives, and indicators for each year of activities. NGOs will have the opportunity to update this information yearly. Applicants should use PRM’s recommended multi-year proposal template for the initial multi-year application and PRM’s single year template for updating years two and three of approved multi-year awards. Multi-year funding applicants should use PRM’s standard budget template to include the budget for each year of the project and must include a year-by-year breakdown of the budget for each proposed project year.
Multi-year applications selected for funding by PRM will be funded in 12- month increments based on the proposal submitted in the initial application as approved by PRM. Each 12-month period of a multi-year award will have a separate cooperative agreement. Continued funding after the initial 12-month award requires the submission of an updated single-year proposal and budget summary and detail that covers the coming year. Awards in years two and three will be contingent upon available funding, performance, and continuing need. PRM cannot guarantee funding for follow-on years.
Year two and three proposals must be submitted by the organization no later than 90 days before the proposed start date of the new cooperative agreement (e.g., if the next project period is to begin on September 1, submit your application by June 1). It is strongly recommended that NGOs submit as early as possible after the directed announcement for continuation funding has been issued. Late applications will jeopardize continued funding.
In years two and three, the NGO does not need to submit an application in response to PRM’s publicly issued annual NOFO announcements for that region. Only the year two or three proposal (using the single-year proposal template), the revised SF-424A budget summary, budget detail, budget narrative, and the signed SF-424 form need to be submitted. Indicators for multi-year proposals must include year-by-year break-downs of baselines, targets, and cumulative totals.
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. PRM retains the right to re-compete projects at any point in time.
In March 2017, PRM transitioned all awards from GrantSolutions to the State Award Management System (SAMS Domestic). SAMS Domestic has replaced GrantSolutions as PRM’s interface with PRM award recipients. Unless otherwise specified, all project reports, financial reports, and other reports should be submitted via SAMS Domestic.
4.A. Project Reports: PRM requires project reports describing and analyzing the results of activities undertaken during the validity period of the agreement. A project 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 project report is due ninety (90) days following the end of the agreement. The submission dates for project reports will be written into the cooperative agreement. Partners receiving multi-year awards should follow this same reporting schedule and should still submit a final project report at the end of each year that summarizes the NGO’s performance during the previous year.
The Performance Progress Report (SF-PPR) is an optional cover sheet used by recipients for progress reporting on awards. Previously this form was mandatory, but has since been removed from OMB’s list of approved forms and currently is an optional form. The Bureau suggests that NGOs receiving PRM funding use the PRM recommended quarterly project report template and, if also choosing to use the SF-PPR, reference this template as being attached in block 10 at “Other.” The suggested PRM NGO reporting template is designed to ease the reporting requirements while ensuring that all required elements are addressed. The Quarterly Project Report Template, along with the optional SF-PPR, can be requested by sending an email with only the phrase “PRM NGO Templates” (without the quotation marks) in the subject line, to PRMNGOCoordinator@state.gov. Projects related to Refugee Resettlement should use quarterly report templates specific to RSCs or Resettlement Agencies, as applicable.
The following guidance is designed to accompany the recommended reporting template. It is not necessary to repeat information from one quarter to the next if content has not changed.
- Overall Performance – Provide a discussion of the overall performance and results of the project to date, with reference generally to the objectives of the project. Specifically note the project’s impact on the different needs of women, men, boys, girls, and vulnerable individuals.
- Changes and Amendments – Briefly explain any changes or amendments in the project from the original project plan (whether in implementation plan, activities, indicators, or outcomes), and contextualize them by describing what changes in needs or in the overall situation, or other factors required these changes.
- Progress on Objectives and Indicators – Include the objectives and indicators from the cooperative agreement and describe progress on each indicator target during the reporting period as well as cumulative progress to date. Use the table provided in the template.
- Affected Persons – Provide the number of those taking part in or affected by the project or relevant part of the program, disaggregated by gender, age, and other guidance specified in the proposal. The best practice standard is to provide this information in quantitative, tabular form.
- Accountability to Affected Populations (Q2 and Final Reports only) – Describe how the project has been designed to maximize accountability toward the affected population.
- Risk Management – Describe how risks to project/program implementation were identified, managed, and mitigated, including any operational, security, financial (including fraud), personnel management, or other relevant risks.
- Exit Strategy and Sustainability – Briefly describe the exit strategy and closure steps for the project or program, and an assessment of the sustainability of the results.
- Collaboration/Coordination – Describe the impact of any coordination efforts, any synergies that developed, and recommendations for improving coordination in the future.
- Lessons Learned (Final Report only) – Describe any lessons learned, and how these will be applied in future projects or programs.
- Other – Provide any additional information about the project, current trends, or other related issues that are important to note. This section might also include success stories that the organization would like to highlight to PRM.
- Acknowledgement of PRM funding – Complete the section acknowledging PRM funding during the reporting period. For acknowledgement plans that were outlined in the proposal but which have not occurred or are not being met, provide an explanation and indicate the steps being taken to comply with this contractual obligation.
4.B. 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 30th, April 30th, July 30th, October 30th). 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 sixty (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 should be completed in accordance with the Federal Financial Report (FFR SF-425) and submitted electronically in the Department of Health and Human Services’ Payment Management System (HHS/PMS) and in SAMS Domestic, in accordance with award specific requirements. Detailed information pertaining to the Federal Financial Report including due dates, instruction manuals and access forms, is provided on the HHS/PMS website.
- Security: All security incidents or threats involving NGO staff should be promptly reported to the UN Department of Safety and Security (UNDSS), the UN Office for the Coordination of Humanitarian Affairs (OCHA), the relevant U.S. Embassy, and the relevant PRM Regional Refugee Coordinator.
- Health: PRM-supported health partners must report data to UNHCR’s Health Information System, if functional in-country. Crude Mortality Rates (CMR) and Global Acute Malnutrition (GAM) survey data should be shared with the UNHCR Public Health and HIV Section and the Complex Emergency Database at the Centre for Research on the Epidemiology of Disasters.
- Audits: U.S.-based organizations that are recipients of PRM funding will have Federal funds awarded included in an appropriate audit or audits performed by independent public accountants in accordance with U.S. Government Auditing Standards established by the Comptroller General of the United States covering financial audits. Non-U.S. based organizations that are recipients of PRM funding will have Federal funds awarded included in an appropriate audit or audits independently and professionally executed in accordance with Generally Accepted Government Auditing Standards (GAGAS) either prescribed by a government’s Supreme Audit Institution with auditing standards approved by the Comptroller General of the United States, or in accordance with the host country’s laws or adopted by the host country’s public accountants or associations of public accountants, together with generally accepted international auditing standards. Audits conducted under the terms of PRM-funded awards that are not required to be submitted electronically to the Federal Audit Clearinghouse (https://harvester.census.gov/facweb/) must be submitted directly to PRM as specified under award terms and conditions.
- Corruption/Fraud: Consistent with 2 CFR 200.113, PRM-supported entities must disclose, in a timely manner, in writing to the Office of the Inspector General (OIG) for the Department of State, with a copy to the cognizant Grants Officer, all allegations or violations of Federal criminal law involving fraud, bribery, or illegal gratuities potentially affecting the Federal award. Complete instructions for mandatory disclosure can be found in the U.S. Department of State Standard Terms and Conditions here.
Recipients of PRM funding must submit all required reports to the relevant PRM Program Officer and Grants Officer assigned to the award and on-line through the SAMS Domestic system, or as stated within the cooperative agreement.
Electronic mail transmissions must include the following information: Organization Name, Agreement Number, Report Type, and Reporting Period.
Applicants may address general questions about PRM’s overseas assistance to NGOs, and provide feedback to PRM on its proposal, budget, and report templates, to PRM’s NGO Coordinator:
Bureau of Population, Refugees, and Migration
U.S. Department of State
2025 E ST, NW
Washington, DC 20522-0908
NGO PROJECT PROPOSAL CHECKLIST
To be considered for PRM funding, organizations must submit a complete application package including the items below. Failure to include required documents will result in the proposal’s disqualification.
- Proposal narrative including objectives and indicators for each year of the project period
- Budget summary, broken down by each year of the project period
- Budget detail, broken down by each year of the project period and objective
- Budget narrative for each year of the project period
- Signed completed SF-424, SF-424A, and SF-424B
- Most recent Negotiated Indirect Cost Rate Agreement (NICRA), if applicable or de minimis rate calculation if applicant elects to use the de minimis rate
- Most recent external audit, if not submitted to the Federal Audit Clearinghouse
- Information in support of any cost-sharing/cost-matching arrangements, if applicable
- Information detailing the source of any in-kind contributions, if applicable
- Details on any sub-agreements associated with the project (must be part of the budget submission as noted above), if applicable
- Copy of the organization’s Security Plan
- Risk Analysis (separate from proposal narrative and from the security plan)
- Organizational Chart for award applicant and sub-recipient(s), if applicable.
- Key Personnel for award applicant and sub-recipient(s), if applicable
- Copy of the organization’s Prevention of Sexual Exploitation and Abuse (PSEA) Code of Conduct
- Copy of the organization’s framework on Accountability to Affected Populations
- A market analysis and a beneficiary competency/capacity assessment for all proposals that include at least one livelihoods-sector objective
- NGOs that have not received PRM funding since the U.S. government fiscal year ending September 30, 2004 must be prepared to demonstrate that they meet the financial and accounting requirements of the U.S. government by submitting copies of:
- the most recent external financial audit, if not submitted to the Federal Audit Clearinghouse,
- for U.S.-based NGOs, proof of non-profit tax status including under IRS 501 (c)(3) and Employer ID (EIN)/Federal Tax Identification number,
- for overseas-based NGOs, proof of registration in country of domicile, and
- a Data Universal Numbering System (DUNS) number.
PRM POLICIES AND STANDARDS
This appendix outlines the principles and standards that partners will be expected to meet regardless of sector as well as cross-cutting guidance that applies to multiple sectors. Please use this section as a reference and guidance for how to draft your project proposal and other required application materials.
A.B.1. Minimum Humanitarian Standards: NGO proposals should use the Sphere Minimum Standards in Disaster Response and relevant companion guides as the basis for design, implementation, monitoring, and evaluation in emergency settings, including proposed objectives and indicators. When relevant standards are not able to be met, an explanation should be provided as to why this is the case. Additional sector-specific standards, guidelines, and best practices are addressed in Appendix C.
Urban Refugees: For projects in non-camp settings, PRM requires partners to adhere to the Bureau’s Principles for Refugee Protection in Urban Areas.
Protection: PRM defines protection as: “Measures to safeguard the rights of PRM populations of concern by seeking to prevent or end patterns of violence or abuse; alleviate the trauma and related effects of violence or abuse; identify and promote durable solutions; foster respect for refugee, humanitarian, and human rights law; and ensure that humanitarian actions uphold dignity, benefit the most vulnerable, and do not harm affected populations.” Refer to Sphere’s Protection Principles here. For guidance on projects specifically designed to prevent and respond to protection concerns, see Appendix C.1 on Sectors, Protection.
Gender-based Violence: PRM believes that gender-based violence (GBV) is a key barrier to addressing gender equality in humanitarian settings. We encourage partners to submit proposals that are targeted or multi-sectoral, and fund both types of approaches. All projects should be informed by the specific context, situation, and operating environment of the target population. Partners must utilize the Inter-Agency Standing Committee (IASC) Guidelines on Gender-based Violence (GBV) Interventions in Humanitarian Settings to inform their GBV work, in particular risk reduction or mitigation activities. PRM encourages partners to target and provide services to those most at-risk, including women and girls as well as consider addressing the intersection of multiple vulnerabilities when designing their projects. For additional guidance on project interventions specifically designed to address GBV, see Appendix C.2.
A.B.2. Vulnerable and Underserved Persons of Concern: PRM will only consider funding NGO projects that include a target beneficiary base of at least 50% refugees, returnees, and/or other persons of concern as described in the relevant Notice of Funding Opportunity. PRM prioritizes the needs of vulnerable and underserved segments of these populations and strongly encourages proposals that can demonstrate steps to ensure that within the target population, projects reach the following potentially vulnerable and underserved groups: women; children; adolescents; lesbian, gay, bisexual, transgender, or intersex (LGBTI) individuals; older persons; the sick; persons with disabilities; and members of minority communities. Applicants must also describe a proposed approach for both identifying and targeting vulnerable participants, as well as conducting outreach on programming for them. PRM strongly promotes women’s equal access to resources and their participation in managing those resources. Applicants to PRM funding must submit a Gender Analysis that describes how the NGOs will incorporate vulnerable and underserved populations into project design (Section 4.A.).
Persons with Disabilities: PRM strongly encourages its partners to ensure that projects adhere to the Guiding Principles outlined by the Women’s Refugee Commission, which include: a rights-based approach consistent with the UN Convention on the Rights of Persons with Disabilities.
A.B.3. Accountability to Affected Populations (AAP): The Bureau requires evidence of how partners are ensuring AAP in all proposal narratives (Section 3.B.6), monitoring and evaluation plans, and final reports. Additionally, prior to project award, an organizational accountability framework must be submitted that discusses collection and analysis techniques, and explains how beneficiary feedback will be used to change programming decisions where appropriate. We encourage partners to align their AAP frameworks with the IASC’s Five Commitments to Accountability to Affected Populations, available here. PRM will consider funding activities aimed at incorporating beneficiary feedback, as part of overall project budgets. Additional resources on accountability to affected populations can be found at the Core Humanitarian Standard Alliance Frequently Asked Questions on AAP resource page.
A.B.4. Conflict Sensitivity: All PRM partner project activities must be conflict sensitive and must adopt at the very least a “do no harm” approach to avoid aggravating existing conflict dynamics. Further resources on how to adopt a “conflict-sensitive” approach to humanitarian assistance programming can be found here.
A.B.5. Coordination: Proposals must demonstrate the extent to which an organization coordinates and cooperates with the national and local host government(s), UN agencies (especially UNHCR), other relevant international organizations (IOs), other USG agencies, other donors, and other NGOs. Participation in existing sector and geographic coordination structures is strongly encouraged. Projects must target critical gaps identified and agreed upon through this coordination effort, which must be fully documented in the coordination section of proposal narratives.
A.B.6. Code of Conduct: In accordance with the Inter-Agency Standing Committee’s (IASC) Plan of Action to protect beneficiaries of humanitarian assistance from sexual exploitation and abuse (SEA), applicants must submit the organization’s Code of Conduct. PRM requires that codes of conduct, consistent with the IASC’s six core principles, are signed and implemented within their organizations. The document should explain how the organization’s codes of conduct will be reflected in project implementation. This document is required prior to award issuance. PRM encourages applicants to attach a separate document or include a narrative with the organization's procedures for responding to allegations of sexual exploitation and abuse of beneficiaries by staff.
A.B.7. Risk Management: PRM requires applicants to include a risk analysis as a separate document in their project application package. The risk analysis must address any potential programmatic or administrative risks, including that of fraud and corruption. The analysis must also assess the level of risk that the proposed project may inadvertently benefit terrorists or their supporters. As applicable, proposals must include plans to mitigate risk factors. A suggested format for a risk analysis document is found in Appendix F.
A.B.8. Safety and Security: When implementing any PRM award, the implementing organization is responsible for ensuring that adequate measures are taken for the security and safety of the organization’s personnel, including local staff, and any PRM-funded property, equipment, and vehicles. Proposals should include a security plan and protocol that are designed specifically for the local operating environment based on a security assessment. A generic, organization-wide plan is not acceptable. PRM strongly recommends that organizations be aware of any relevant travel advisories issued by the State Department; ensure that all U.S. citizen employees register at the relevant U.S. embassy while working overseas; adhere to the UN’s security guidelines in any given location; and use InterAction’s suggested guidance for implementing the Minimum Operating Security Standards (MOSS). Security requirements should be included in the proposed budget. Failure to maintain adequate security precautions may result in suspension of PRM funding.
A.B.9. Environmental Protection: PRM considers environmental protection to be of paramount importance, and thus all PRM-funded projects should carefully consider the potential environmental impacts of project activities. Humanitarian practitioners should consider these impacts during the design phase of all projects, and adopt what they determine to be the most relevant mitigation techniques.
SECTORS AND STANDARDIZED INDICATORS
A.C.1. Protection: PRM pursues four broad protection goals: 1) to address or prevent violations of human rights and humanitarian principles; 2) to fill protection gaps in the overall humanitarian response to a crisis; 3) to strengthen and monitor standards, indicators, and institutional capacities for protection; and 4) to address protection challenges posed by diverse populations of concern. PRM seeks to address a range of protection threats to its populations of concern, including but not limited to: forced return; denial of humanitarian access; restrictions on freedom of movement; insecure humanitarian sites; militarization of humanitarian sites; gender-based violence; sexual exploitation and abuse; family separation; forced conscription; improper registration; lack of proper identity documents; unfair distribution of assistance; restricted access to girls’ education; tensions with host communities; dangerous coping strategies; and forced evictions. PRM encourages NGO partners to reference and adopt the Inter-Agency Standing Committee’s Statement on the Centrality of Protection, as well as the IASC Protection Policy.
Standardized Protection Indicators:
[Camp and Non-Camp]
Note: Key Protection Resources
- The Sphere Handbook: Humanitarian Charter and Minimum Standards in Humanitarian Response, 2011 Edition
- Practical Guide to the Systematic Use of Standards & Indicators in UNCHR Operations, 2006
- Protection: An ALNAP guide for humanitarian agencies. ALNAP, 2005
- Professional Standards for Protection Work. ICRC, 2013
- Minimum Standards for Child Protection in Humanitarian Action. Child Protection Working Group, 2012
- Minimum Agency Standards for Protection Mainstreaming. World Vision, CARE, Oxfam, Caritas, 2008 (pg. 25, 160-169)
- Core Humanitarian Standard: CHS Guidance Notes and Indicators
A.C.2. Gender-Based Violence: PRM’s goal is that women, girls, and survivors of GBV receive coordinated, high-quality services and their needs are addressed in a consistent and timely manner so that they can live free from violence and have access to equal opportunities. We strive to ensure all projects are accessible, safe, compassionate, coordinated, relevant, utilized, and survivor-centered. PRM prioritizes service provision as a life-saving activity and entry point for survivors to receive comprehensive care. We also support prevention, empowerment, capacity building, coordination, and learning activities as part of our holistic approach.
Subject to parameters outlined in specific funding opportunity announcements, PRM considers the below to be essential, life-saving GBV activities and interventions:
- Response to the immediate and life-saving needs of at-risk women and girls, and survivors of GBV, through health, psychosocial, case management, and legal services;
- Community mobilization and behavior change activities that aim to address the social norms that perpetuate gender inequality and condone violence against women and girls;
- Public information and awareness campaigns that communicate details about service provision to specific audiences (see below about at-risk populations);
- Networking and group interventions that enable at-risk communities to come together and receive informal support from one another;
- Social or economic empowerment activities that are directly linked to reducing risk of violence and create opportunities for women and girls to develop their skills, gain income, participate in community events, and make decisions for themselves and their families;
- Local capacity building and training opportunities that focus on GBV preparedness in advance of potential emergencies or sustainability of GBV projects;
- Staff support or debriefing activities that recognize the importance of processing trauma and other stories that local staff, organizations, or beneficiaries may experience.
Other kinds of activities that PRM will support as part of a GBV project, include:
- Project evaluations that assess project effectiveness and impact;
- Sub-cluster coordination in order to improve leadership for the sector.
PRM encourages partners to design activities that target hard to reach populations and the most vulnerable within any community. In the context of GBV projects this may include: women and girl heads of households, out-of-school girls, women and girls who identify as LGBTI, women and girls with disabilities, women and girl survivor of violence, married girls, and adolescent mothers. Projects should aim to increase protective assets, social networks, and access to information and services that will enhance safety and reduce any immediate risks of GBV.
*At this time, PRM does not require partners to include standardized gender-based violence indicators but intends to provide suggested indicators in the future. Please refer to The Inter-Agency Standing Committee (IASC) Guidelines on Gender-Based Violence Interventions in Humanitarian Settings for recommended indicators.
Note: Key Gender-Based Violence Monitoring Resources
- Gender-Based Violence Information Management System Resources, UNFPA, UNHCR, IRC, 2010
- Guidelines for Integrating Gender-Based Violence Interventions in Humanitarian Settings, IASC, 2015
A.C.3. Child Protection: Applicants working in child protection must ensure that the International Child Protection Working Group’s Minimum Standards for Child Protection in Humanitarian Action (CPMS) and/or UNHCR’s Framework for the Protection of Children are reflected in their project proposals. Example indicators below are not exhaustive. For multi-sectoral projects, see example indicators in the CPMS under Standards to Mainstream Child Protection.
Standardized Child Protection Indicators:
[Camp and Non-Camp]
Note: Key Child Protection Resources
- Minimum Standards for Child Protection in Humanitarian Action. Alliance for Child Protection in Humanitarian Action, 2012
- Tools and resources found at the Alliance for Child Protection in Humanitarian Action
- UNHCR Framework for the Protection of Children
A.C.4. Public Health: Public Health programming is intended to address major causes of morbidity and mortality. Public health programming is related to mental health and psychosocial support (MHPSS), Water, Sanitation and Hygiene (WASH), nutrition, and services for survivors of gender-based violence (GBV).
To avoid establishing parallel, refugee-specific systems, health strategies should use national treatment and prevention protocols where possible, and to adhere to international standards where host government capacity is limited. In general, interventions should be coordinated with the Ministry of Health (MoH) and other relevant partners. Any health infrastructure built with PRM funding must conform to national MoH guidelines. In refugee reintegration settings, PRM-funded NGOs providing health services should obtain a signed Memorandum of Understanding (MoU) with local or national MoH officials. The MoU should acknowledge the NGO’s presence and work, and include a plan that details the process and timeline for eventual handover of health services to the MoH and other relevant actors, including if/when health staff currently being paid by the NGO will be added to MoH payrolls. This may be appropriate in refugee settings as well.
NGO partners implementing tuberculosis (TB) projects with refugee populations are advised to use the Centers for Disease Control and Prevention’s TB Monitoring and Evaluation toolkit at least once per fiscal year in order to evaluate and improve project quality.
Standardized Health Indicators:
Note: Projects with a health and/or nutrition component are strongly encouraged, as appropriate, to measure the Crude Mortality Rate (CMR) for the population and Global Acute Malnutrition (GAM) in children under age five – two core indicators of the impact of humanitarian assistance. PRM requires that, in addition to required project reports, partners share survey data on CMR and GAM with the UNHCR Public Health and HIV Section, including through the UNHCR’s Health Information System (HIS) where available, and 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.
A.C.5. Mental Health and Psychosocial Support (MHPSS): MHPSS describes any type of local or outside support that aims to protect or promote psychosocial well-being and/or prevent or treat mental disorder. Proposals should focus on the MHPSS needs of populations at risk and emphasize the participation of beneficiaries. Projects should be integrated whenever possible into wider systems such as primary health care systems and existing community support mechanisms. Applicants should refer to the Inter-Agency Standing Committee Guidelines on Mental Health and Psychosocial Support in Emergency Settings, WHO’s mhGAP Intervention Guide, and the WHO/UNHCR mhGAP Humanitarian Intervention Guide for best practices.
Standardized Mental Health and Psychosocial Support Indicators
(with standards, if applicable, and levels of disaggregation required)
Mental Health and Psychosocial Support
[Camp and Non-Camp]
Note: Key MHPSS Resources
- Reflections on Identifying Objectives and Indicators for Psychosocial Programming, The Psychosocial Working Group, 2005
- The Inter-Agency Standing Committee Guidelines on Mental Health and Psychosocial Support (MHPSS) in Emergency Settings, 2007
A.C.6. Water, Sanitation, and Hygiene (WASH): WASH projects must use Sphere minimum standards, with an overall goal of preventing mortality and morbidity among populations of concern. For all water interventions, NGOs must provide information about water quality testing procedures, including the timing of testing as appropriate during rainy seasons. PRM will not typically fund water points that require maintenance parts not available on the local market. The exception to this is when NGOs can provide compelling justification for using such infrastructure in emergency situations or if the NGO can demonstrate that they can establish a supply chain for parts not currently available in the local market. Hygiene projects must ensure beneficiaries receive the Sphere minimum standard of soap for bathing and for laundry (as opposed to washing hands with ash, for example), as well as considerations for managing menstrual hygiene. All WASH interventions should minimize the impact on the local environment.
Standardized WASH Indicators:
Water, Sanitation, and Hygiene (WASH)
Note: Key WASH Resources
- Water, Sanitation, and Hygiene Guidelines. Mercy Corps. 2008-2009.
- The Sphere Handbook: Humanitarian Charter and Minimum Standards in Humanitarian Response, 2011 Edition
- Practical Guide to the Systematic Use of Standards & Indicators in UNCHR Operations, 2006 (pg. 25, 160-169).
A.C.7. Nutrition and Food Security: Food security and nutrition interventions seek to improve the nutritional well-being of populations of concern by tackling the immediate and underlying causes of malnutrition. This can include provision of food, cash, and/or vouchers, special nutritional products for vulnerable groups, the promotion of and support for adequate infant and young child feeding and care practices, treatment of acute malnutrition, and collecting, analyzing, and interpreting food security/nutrition data to inform programming.
Standardized Nutrition and Food Security Indicators:
Note: Key Nutrition and Food Security Resources
- Water, Sanitation, and Hygiene Guidelines. Mercy Corps. 2008-2009
- The Sphere Handbook: Humanitarian Charter and Minimum Standards in Humanitarian Response, 2011 Edition
- Practical Guide to the Systematic Use of Standards & Indicators in UNCHR Operations, 2006
- UNHCR Standardized Expanded Nutrition Survey for Refugee Populations
- Guide to Measuring Household Food Security. U.S. Department of Agriculture, Food and Nutrition Service, 2000
A.C.8. Education: The Inter-Agency Network for Education in Emergencies Minimum Standards Handbook is available here. Projects must seek, wherever possible, to support refugee children through existing national education systems. Where mainstreaming is not possible, curricula for stand-alone projects should be designed to comply with national curriculum standards issued by the national Ministry of Education (MoE) of the refugee hosting country. Activities should be accessible to and inclusive of children with different types of disabilities and gender sensitive. Subject to parameters outlined in specific Notice of Funding Opportunity (NOFO) announcements, PRM considers activities that fall under the education sector to include:
- Activities designed to improve girls’ and boys’ equitable access and enrollment in early childhood education, primary education, and secondary education.
- Programming that facilitates mainstreaming into local schools including supporting teachers and/or supplies in those schools, school fees, transportation costs or other related fees in order to facilitate access to local schools.
- School building so long as any schools built with PRM funding conform to applicable national MoE guidelines regarding school infrastructure, and comply with host country or regional standards for accessibility in construction.
- Alternative education to include accelerated learning, catch up and/or remedial education to support out of school and/or over age learners. Alternative education should conform to national standards and ensure clear pathways back to formal education or other vocational opportunities.
Standardized Education Indicators
(with standards, if applicable, and levels of disaggregation required)
Note: Key Education Resources
- The Joint Education Needs Assessment Toolkit, The Global Education Cluster, 2010
- Guidelines for Integrating Gender-Based Violence Interventions in Humanitarian Action, IASC, 2015
A.C.9. Livelihoods: PRM defines livelihoods activities as those that allow people to acquire and access the capabilities, knowledge, goods, and assets necessary for survival, safely and with dignity. Proposals that include at least one livelihoods objective requires a market assessment and beneficiary capacity assessment to be submitted along with the proposal. PRM will prioritize impact-driven, market-based projects that seek to improve the economic well-being of beneficiaries. Wherever possible, projects should seek to restore or build upon former livelihoods of affected populations. Projects may include, but are not limited to:
- Job placement or referral services;
- Income-generating activities;
- Temporary work programs/cash for work;
- Financial literacy training and services,
- Agriculture, livestock activities;
- Vocational training.
In addition, applicants for PRM funding must note the following guidance:
- NGOs must include a recent market analysis in the proposal. Market analyses should be gender-sensitive. The proposal narratives should explain clearly how the market analysis informed the project design.
- NGOs must include a livelihoods capacity/competency assessment to evaluate existing skills and knowledge of beneficiaries and include the findings in the proposal.
- Proposal narratives should also provide an overview of the broader context in which the livelihoods activities will take place, including any legal or policy obstacles to formal employment, a description of relevant migration patterns of current or potential future beneficiary populations, and a socio-political analysis (with respect to land ownership, markets, politics, ethnicity, gender, social structures and networks, religion, etc.).
- Proposals must describe how the project will engage women and/or other vulnerable groups in the design and implementation of the project, and how it will consider specific needs of female participants.
- Project proposals should demonstrate consideration of the relevant standards and indicators outlined in the Minimum Economic Recovery Standards, which have been accepted as a companion to the Sphere standards.
Additional resources such as The Women’s Refugee Commission Building Livelihoods Manual; Emergency Market Mapping and Analysis Toolkit; and Market Development in Crisis-Affected Environments: Emerging Lessons for Achieving Pro-Poor Economic Reconstruction may be useful.
Standardized Livelihoods Indicators:
Note: Key Livelihoods Resources
- Minimum Economic Recovery Standards
- UNHCR Operational Guidelines on the Minimum Criteria for
- Livelihoods Programming
A.C.10. Shelter: PRM-funded shelter projects must strive to enable beneficiaries to access and live in dignity in secure, habitable, and appropriate shelters that allow them to resume critical social and livelihoods activities and improve their quality of life. Additional resources, such as UNHCR’s Global Strategy for Shelter and Settlements 2014-2018, Accessing Services in the City: The Significance of Urban Refugee-Host Relations in Cameroon, Indonesia and Pakistan (Church World Service), and A Handy Guide to UNHCR Emergency Standards and Indicators, may also be useful. Official U.S. government definitions for activities related to the sectors of Food, Health, Nutrition, Protection, Shelter and Infrastructure, Water and Sanitation, and Livelihoods can also be found at the “Foreign Assistance Standardized Program Structure and Definitions” developed by the Office of the Director of U.S. Foreign Assistance.
Standardized Shelter Indicators:
Shelter and Settlements
Note: Key Shelter Resources
- Urban Shelter Guidelines, Norwegian Refugee Council/Shelter Centre, 2010
- Global Shelter Cluster Indicator Guidelines
- Practical Guide to the Systematic Use of Standards & Indicators in UNHCR Operations, 2006
A.C.11. Core Relief Items/Cash-Based Interventions (CBIs) Indicators: PRM supports the effective, efficient, and appropriate use of multi-purpose cash assistance and core relief/non-food items. Cash-based interventions (CBIs), also often referred to as cash transfer programming (CTP), are a type of market-based humanitarian intervention that uses local markets and services -- where they exist -- to meet the needs of persons of concern. CBIs can be delivered to recipients via a variety of mechanisms including direct cash or cash transferred through an intermediate agency, vouchers (both paper and electronic), and various forms of electronic cash transfers via mobile phones, prepaid cards or local or international financial institutions. CBIs include unrestricted or non-conditional cash as well as more restrictive voucher schemes, both disbursed in physical and/or electronic mediums.
CBIs can offer people in need choice and dignity by supporting their individual empowerment while increasing efficiencies, supporting local actors, and stimulating local economies. PRM recognizes an inextricable relationship between assistance and protection – any agency doing one without considering the ramifications of the other puts beneficiaries at enormous risk. While NGOs may determine the most effective and empowering methods of delivering humanitarian assistance, whether through CBIs or other modalities, protection must remain paramount. PRM strongly encourages NGOs to demonstrate an understanding of the protection ramifications of the selected modality.
*At this time, PRM does not require partners to include standardized cash-based intervention indicators but may do so the future.
Standardized Core Relief Items (Non-Food Items or NFI) Indicators:
Core Relief Items
[Camp and Non-Camp]
Note: Key Core Relief Items/Cash-Based Initiatives Resources
- UNHCR’s Guide for Protection in Cash-based Interventions
- Enhanced Capacity Response – Protection Risks and Benefits Analysis Tool
- Food for Peace – Modality Decision Tool
- Barcelona Principles for the Digital Payments in Humanitarian Response
- Global Protection Cluster’s Essential Protection Guidance and Tools
A.C.12. Local Government Capacity-Building Indicators: Please see Notice of Funding Opportunity for specific instructions regarding the use of these indicators, which can be included as part of larger projects.
Standardized Local Government Capacity-Building Indicators
(with standards, if applicable, and levels of disaggregation required)
Local Government Capacity-Building
Note: Key Local Government Capacity-Building Resource
- Evaluation of the Effectiveness of PRM-Supported Projects to Build the Capacity of Colombian Municipal Authorities to Assist Internally Displaced Persons, Proposed Indicators for PRM-Supported Local Capacity-Building, 2016
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 funding, other (non-federal) cost-share funding, as well as the total funding need broken down by 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 must be rounded to the nearest dollar. (Note: Information included in the budget detail must correspond to and be overviewed in the budget summary and be explained in greater detail in the budget narrative.) Budgets must be broken down by project objective.
Applicants whose proposals address gender-based violence (GBV) through their projects must estimate the total cost of these activities as a separate line item in their proposed budgets. PRM understands that this is only an estimate. PRM’s budget template document contains a line reflecting this requirement.
For multi-year proposals, a separate budget summary, detail, and narrative must be submitted for each year. The same budget template can be used for each year.
To request copies of the PRM-recommended budget template please send an email, with only the phrase “PRM NGO Templates” (without the quotation marks) in the subject line, to PRM’s NGO Coordinator (PRMNGOCoordinator@state.gov).
REQUIRED BUDGET CATEGORIES:
This category includes annual salaries/wages, stipends, consultant fees, allowances, differentials, bonuses or extra month’s salary and any anticipated termination/severance pay for any personnel to be charged to the proposed agreement.
All positions listed must indicate the amount of time (expressed as a percent), the rate of pay, and the associated unit measurement (hour/month/year) anticipated to fulfill project implementation. For consultants, the proposed daily rate to be paid as compensation and the number of consultant days that are anticipated to be paid, must be shown.
The Bureau will not authorize personnel positions to be charged based on a flat monthly fee that includes salaries, benefits, travel costs, etc.
If your organization anticipates the payment of employee termination and/or severance pay during the proposed funding period, the Bureau will consider such costs an allowable charge to the agreement to the extent of the Bureau's responsibility in accordance with each employee's direct relation to the Bureau's funded activities. For example, an employee charged to Bureau activities for one-half of their employment with the organization shall have only one half of their termination or severance costs charged to the agreement.
Other types of allowances such as housing and education or differentials must be shown separately and identified against the position to be charged. They should be based on established policies and should be made available to all employees of the organization in similar situations or positions, not just to employees funded by the U.S. government. The Bureau's policy is to limit the payment of allowances to amounts which do not exceed the rates approved for government employees in similar situations.
This category identifies 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.
List travel for all employees and consultants. Travel must be identified as U.S. domestic, in-country, or international. Indicate the per diem rate for each city of travel. All anticipated trips must be listed and will be included as part of the approved award proposal budget. In order to ensure certain costs are allowable within an award, recipients of PRM funding may seek prior written approval through their Bureau Program Officer for travel (specifically international travel) not already fully detailed in the project budget. For example, if the project budget includes “international travel to attend a workshop,” the recipient may seek prior written approval once it is known that the travel will be for a UNHCR workshop in Kenya, although the absence of prior written approval will not, in itself, affect the allowability of the cost.
It is the Bureau's policy not to reimburse organizations for per diem allowances, both overseas and domestic, which exceed the rates approved for government employees. Current rates can be found here.
This category must include a complete and detailed listing of all non-expendable equipment anticipated to be purchased for project activities and to be charged to the agreement. Non-expendable equipment is that which has a useful life of one year or more and an acquisition cost of $5,000 or more per unit. However, consistent with the recipient’s policy, lower limits may be used. The project budget must identify which of the above is followed and must be consistently applied to all U.S. government funding arrangements. PRM’s Office of the Comptroller must be informed, in writing, of a recipient’s policy and the threshold amount if equal to or greater than $5,000. Any equipment that may be determined, after the initial budget approval, to be required to meet the project objectives must be specifically approved by the Bureau in writing prior to the purchase. Equipment not included in the approved budget or subsequently approved by the Bureau will be considered an unallowable cost under the agreement.
List all equipment that will be leased, including vehicles. 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.
For organizations that have not previously received Bureau funding: Include a summary description of your property management procedures that are currently in place. This will be incorporated into the Bureau's funding arrangements with your organization.
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 must 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 project, i.e., security guards, additional personnel, sub-agreements with an implementing partners etc. These agreements are subject to the regulations set forth in 2 CFR 200, Appendix II.
Generally, the Bureau limits the use of Federal assistance awards to implement new construction projects and projects involving significant construction activities consistent with Department-wide policy. An applicant may, however, request consideration of minor construction related activities that consist of the renovation or rehabilitation of existing permanent structures with a sufficient description of the activities and/or related statements of work to be performed. The construction, renovation, or rehabilitation of temporary structures should be excluded from this section.
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, utilities, etc. Each item must be listed separately showing an estimated cost.
For guidance in determining allowable insurance costs, please refer to 2 CFR 200, Subpart D, Section 310 Insurance Coverage. 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.
Show the amount of indirect costs and the base amount on which it is determined. It must 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 (NICRA) must be submitted for the recipient and sub-recipient(s), if applicable. In accordance with new guidance from the United States Office of Management and Budget (OMB), applicants with no NICRA may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely (2 CFR 200, Subpart E, Section 414 Indirect (F&A) Costs). A de minimis rate calculation must be provided if the applicant elects to charge the de minimis rate.
BUDGET NARRATIVE INSTRUCTIONS
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, for each year, must 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.
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.
All headquarters and/or project employees’ travel must be identified via mode of travel, departure and arrival city, purpose, unit of measurement, and duration of trip. Please note that the movement of project participants and supplies is a separate transportation line item.
For example, 10 in-country trips via air transportation will be conducted to implement workshops and training sessions. Roundtrip airfare from Kinshasa to Goma for 5 employees is anticipated. Each trip will include 5 days of per diem per employee.
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
Include a detailed listing of all non-expendable equipment anticipated to be purchased for project 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
Detailed budgets should be included for sub-grantees, if known.
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 activities 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), if applicable. In accordance with new guidance from the United States Office of Management and Budget (OMB), applicants with no NICRA may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely (2 CFR 200, Subpart E, Section 414 Indirect (F&A) Costs). A de minimis rate calculation must be provided if the applicant elects to charge the de minimis rate.
RISK ANALYSIS TEMPLATE
The purpose of the risk analysis is to identify the internal and external risks associated with the proposed project in the application, rate the likelihood of the risks, rate the potential impact of the risks on the project, and identify actions that could help mitigate the risks. A risk analysis should not be considered a one-time exercise or a static document. PRM defers to organizations to conduct adequate risk analysis and remediation for all of its operations and advises that risk analysis and remediation occur throughout the life of a project and should result in revisions to risk analysis documents and processes as necessary.
A suggested format for a risk analysis document is below. Applicants should include all assumptions and external factors identified in the logic model in the risk analysis. Under “Description of Risk,” the risk analysis must address any risk of fraud and corruption, as well as assess the level of risk that the proposed project may inadvertently benefit terrorists or their supporters. Under “Likelihood of Risk” and “Potential Impact of Risk,” applicants must rate them as “High,” “Medium,” or “Low.” Additional lines can be included in the risk analysis table as necessary.
The safety and security of recipients and beneficiaries are of utmost importance. PRM requires all recipients to conduct thorough risk assessments and take all actions necessary in accordance with those assessments to mitigate those risks. PRM does not take responsibility for the risks incurred by any recipient.
Description of Risk
Likelihood of Risk
Potential Impact of Risk
Risk Mitigation Plans/Actions
Risks Affecting realization of Project Objectives
Risks affecting realization of Project Outcomes/Outputs
Risks affecting Organization
Risks affecting Safety and Security of Personnel
GUIDANCE FOR REFUGEE RESETTLEMENT ACTIVITIES
- Application Process
The general application process for NGO awards related to refugee resettlement activities follows the same process as all PRM awards. See Section 2 in the NGO Guidelines above.
- Proposal Submission and Review
Overseas Processing: The purpose of Resettlement Support Centers (RSC) are to assist the Bureau in preparing the necessary casework for persons in selected locations eligible for interview by United States Citizenship and Immigration Services (USCIS) of the Department of Homeland Security (DHS) under the U.S. Refugee Admissions Program (USRAP). For those persons approved, the RSC provides assistance in completing the additional requirements for refugee admission under Section 207 of the Immigration and Nationality Act. These requirements include, but are not limited to, completing the required security checks, a medical exam, and attending cultural orientation. In addition, the RSC forwards the necessary data on all DHS-approved cases to the Refugee Processing Center (RPC) in Virginia for distribution to U.S. Reception and Placement agencies according to procedures established by the Bureau.
Reception and Placement (R&P) Program: The purpose of the R&P Program is to promote the successful reception and placement of all persons who are admitted to the United States under the U.S. Refugee Admissions Program. To accomplish this goal, the Immigration and Nationality Act (INA) recognizes the desirability for public or private non-profit organizations to provide R&P services and to assist refugees to achieve economic self-sufficiency as quickly as possible.
The goals of the R&P Program administered by the Bureau are:
- To ensure the ability to receive promptly into the United States all refugees approved for admission under applicable provisions of the INA;
- To ensure that all refugees approved for admission to the United States are provided with reception and placement services appropriate to their personal circumstances;
- To maintain national capacity for the reception and placement of refugees, in accordance with admissions ceilings determined annually by the President after consultation with the Congress; and,
- To assist refugees in achieving economic self-sufficiency in coordination with other refugee services and assistance programs authorized by the INA and any mainstream services and assistance programs for which refugees are eligible.
Instructions for Completing the Proposal Narrative: Specific guidelines for Resettlement Support Center and Reception and Placement proposals can be found in the respective NOFOs. Applicants should refer to Section 3.B above for requirements related to Gender Analysis, general guidance on Objectives and Indicators, and Accountability to Affected Populations.
Standardized Objectives and Indicators:
Resettlement Support Center Objectives
In an effort to strengthen the quality and integrity of the U.S. Refugee Admissions Program, the Bureau has established the following standardized objectives and indicators, which will be monitored throughout the fiscal year. In addition to the standardized indicators below, applicants are required to propose at least one additional outcome-based indicator for each objective, including at least one indicator each for cultural orientation, scheduling and coordinating medicals, and coordinating departures under Objective #1. Applicants may include additional objectives and indicators if they choose. In addition, PRM reserves the right to add or change indicators in consultation with applicants during final negotiations prior to award of the cooperative agreement.
- RSC completes processing for refugee applicants in accordance with USRAP guidelines and the cooperative agreement.
- Percent of target number of refugee applicants pre-screened.
- Percent of circuit rides with an average score of 4 or 5 on the DHS Mission Support Feedback Form.
- RSC maintains program integrity and protects against fraud and malfeasance, in accordance with PRM Program Integrity Guidelines and the cooperative agreement.
- Percent compliance with required measures under Program Integrity Guidelines.
- Percent of staff and refugee applicants aware of fraud reporting channels.
- RSC management provides oversight and support to maintain a trained and knowledgeable workforce.
- Number of RSC staff receiving on-boarding training, and specialized training as needed, to achieve USRAP objectives.
- Percent of staff able to demonstrate knowledge required to fulfill their job.
- RSC maintains professional and respectful services, environment, and communications with refugee applicants.
- Number of refugee applicant inquiries responded to within two weeks.
- Percent of refugee applicants reporting satisfaction with quality of interactions with RSC.
Reception and Placement Objectives
- Resettlement Agency management ensures sound and timely operations to appropriately prepare and plan for refugee arrivals to the United States.
- Percentage of non-expedited assurances that are submitted on or before the deadline.
- Percentage of refugees who do not out-migrate from their location of initial placement.
- Resettlement Agency management provides sound oversight and support to maintain a flexible, well-equipped, and knowledgeable affiliate network.
- Number and percentage of recommendations related to training made by PRM during affiliate monitoring which are resolved within three months of release of the final monitoring report.
- Percentage of affiliates that have been monitored at least once in the previous three fiscal years.
- Resettlement Affiliates deliver timely and individualized services that promote refugee well-being and self-sufficiency.
- Number and percentage of recommendations related to the provision of core services and basic needs support made by PRM during affiliate monitoring which are resolved within three months of release of the final monitoring report.
- Number of complaints received by PRM related to the provision of core services and basic needs support that PRM determines to be valid.
- Resettlement Affiliates regularly engage, inform, and consult resettlement partners, stakeholders, and communities.
- Percentage of affiliates compliant with quarterly consultation requirements.
- Average number of community engagement events/presentations conducted per affiliate per quarter.
- Resettlement Affiliates ensure refugees are connected to services and oriented to their new communities.
- Percentage of refugee adults who receive cultural orientation in accordance with the Cooperative Agreement.
- Number and percentage of recommendations related to refugee understanding of orientation made by PRM during affiliate monitoring which are resolved within three months of release of the final monitoring report.
- Percentage of refugees connected to ongoing services.
Refer to respective NOFOs for the most current standardized objectives and indicators.
- Reporting Requirements
The general reporting requirements laid out above in Section 4 apply to refugee resettlement awards. For reporting templates specific to RSC and R&P awards, contact the relevant Program Officer listed in the NOFO.
- Contacting PRM
Applicants may address general questions about PRM’s refugee resettlement activities to NGOs, and provide feedback to PRM on its proposal, budget, and report templates, to PRM-Admissions-Inquiries@state.gov or the relevant PRM Program Officer and Grants Officer.
Disclaimer: External websites linked above may not be supported or accessible by all web browsers. If you are unable to link to a referenced website, please try using a different browser or update to a more recent one. If you continue to experience difficulties to reach external resources, please contact the PRMNGOCoordinator.