2016-2017 Framework for Cooperation Between the United States Department of State's Bureau of Population, Refugees and Migration and the Office of the United Nations High Commissioner for Refugees

PRM-UNHCR Framework for Cooperation for 2016-2017
Report
March 14, 2016

   

I. Introduction

The Bureau of Population, Refugees, and Migration at the United States Department of State (hereinafter referred to as PRM) and the Office of the United Nations High Commissioner for Refugees (hereinafter referred to as UNHCR) have been working in formal partnership through a Framework for Cooperation since the year 2000 to provide protection, humanitarian assistance, and durable solutions to UNHCR’s persons of concern. They have a unique relationship: PRM has long been UNHCR’s top donor, while UNHCR has been PRM’s largest multilateral partner. PRM and UNHCR renew their bilateral Framework for Cooperation biennially to advance shared objectives.

This document focuses on four elements: 1) shared objectives and priorities; 2) UNHCR’s biennial budget; 3) continued consolidation of UNHCR’s results-based managerial reforms; and 4) improved accountability and monitoring. It concludes by establishing a schedule of regular bilateral consultations and reporting on progress.

In its entirety, this Framework for Cooperation constitutes policy commitments by UNHCR and PRM and is therefore not intended to be legally binding. In the interest of transparency it will be posted on the U.S. Department of State website.

II. Shared Objectives and Priorities

PRM and UNHCR will work together to achieve, by the end of 2017:

a) Continued progress in the application of the Age Gender and Diversity approach (AGD) through improved protection for vulnerable persons. This includes an increased emphasis on ensuring that protection of women and children, including addressing Gender Based Violence (GBV) at the onset of emergencies and enhanced efforts to ensure accountability to affected populations, are prioritized;

b) Advancing solutions for refugees, particularly on local integration, and especially for those in protracted situations;

c) Inclusion of displaced populations into development frameworks;

d) Re-affirm commitment to the internally displaced, including through the operationalization of UNHCR’s Guidance Note on Engagement in Situations of Internal Displacement; and

e) Continued progress on UNHCR’s Global Strategic Priorities.

UNHCR continues to develop policies to address the changing nature of displacement (especially with regard to urban/non-camp[1] refugees and mixed migratory flows), to draw attention to overlooked populations of concern (like those in protracted refugee situations and those who are stateless), and to protect its staff and persons of concern in an increasingly insecure environment using appropriate risk-based analyses and approaches. PRM attaches great importance to these initiatives and urges UNHCR to focus its limited resources on core mandate responsibilities for the protection of refugees and stateless persons, as well as its responsibilities for protection and assistance to conflict-affected internally displaced persons (IDPs). The United States, along with other key donors, places great importance on the United Nation’s humanitarian reform efforts and will continue to track developments and progress on this issue, particularly through the outcomes of the 2016 World Humanitarian Summit.

As part of the 2016 end-of-year Framework talks, PRM and UNHCR will discuss possible amendments to the Framework to take into account mutually agreed issues that we would like to jointly pursue as a result of various high-level meetings in 2016, e.g., High-level Meeting on Global Responsibility-Sharing through Pathways for Admission of Syrian Refugees (March 2016), the World Humanitarian Summit (May 2016), and UNGA 71 (September 2016).

PRM will continue to monitor UNHCR’s implementation of its urban and alternatives to camps policies, including the provision of services to urban/non-camp refugees, funding, applications in emergency settings, standards of assistance, and appropriate staff training and learning exercises so as to ensure that UNHCR is undertaking the broad institutional changes necessary to implement its policies consistently. PRM continues to strongly encourage UNHCR to develop a methodology to better plan and track resource allocations for non-camp populations, account for where the funding was spent and how this has impacted ongoing programming, and to report this information in its Biennial Program Budget and Budget Updates. PRM also encourages UNHCR to assess strategic opportunities to advance non-camp settlement and to actively engage refugee-hosting states to capitalize on such opportunities.

Under the auspices of the Transformative Agenda, PRM encourages UNHCR to further invest in strong leadership by continuing to propose high quality (and a larger number of) candidates for the Inter-agency Standing Committee (IASC) Humanitarian Coordinator pool. PRM also encourages UNHCR to plan to identify individuals within the organization who have the potential to become Humanitarian Coordinators and help to develop career paths for them, including creating an incentive structure that rewards the choice to serve as Humanitarian Coordinator.

Continued Progress in UNHCR’s AGD Approach and Prevention of Gender-based Violence through Safe from the Start

UNHCR’s Forward Plan sets out concrete and measureable actions for implementing the AGD approach through 2016. Among other things, the Forward Plan lays down seven strategic results to be achieved over a five-year period and reflects UNHCR’s vision of a fully-mainstreamed AGD approach. AGD implementation has already improved given that it has been integrated into UNHCR’s results-based management (RBM) reporting. Moreover, beyond 2016, UNHCR will develop an agency-wide accountability framework which will incorporate AGD accountability. PRM will monitor the ongoing mainstreaming of age, gender and diversity in the organization for all populations of concern including indicators to verify when success is achieved, as well as strengthened oversight by senior managers and the Executive Committee. PRM and UNHCR will continue consultations on AGD-related issues, including prevention and response to gender-based violence (particularly from the onset of emergencies), children and adolescent/youth issues, as well as strengthening focus on persons with disabilities, as implementation of the Forward Plan leads to an agency-wide accountability framework. PRM expects UNHCR to use relevant Sphere and IASC principles on protection, gender, and gender-based violence to guide its response to the needs of women, youth, and children.

Through the U.S. Government’s (USG) Safe from the Start initiative, and in order to catalyze a meaningful transformation in the way that UNHCR operates with regard to GBV prevention and response, UNHCR has engaged in the following activities since 2012:

1. Establishment of six senior dedicated staff recruited and deployed strategically to improve UNHCR’s GBV responses in ongoing and new emergencies (across Africa, Asia, the Middle East and Europe). Hiring of one senior program coordinator based in the Division of International Protection (DIP)/HQ to support and coordinate all activities for Safe from the Start.

2. Completion of UNHCR’s ‘innovation challenge’ which generated a range of ideas from country operations to address GBV challenges. As a result, eight countries are receiving support in the implementation of multi-sectoral and community-based protection projects focusing on the prevention of GBV.

3. Development of a GBV learning initiatives package including:

i) Development and rollout of a mandatory GBV e-learning module, for all staff at or above the G-5 level;

ii) Review and roll-out of a GBV facilitators’ guide which will enable UNHCR and partner staff to conduct training programs on GBV prevention and response for a variety of target audiences in all types of contexts;

iii) Development and implementation of a “Programming for Protection” learning program to build the capacity of mid-level and senior (P3, P4 and above) program and protection staff to ensure comprehensive programmatic responses to GBV and other protection issues.

4. Creation of a Senior Monitoring and RBM Officer post and respective recruitment to lead the development of a rigorous framework for monitoring and evaluation of all aspects of Safe from the Start funding, and to scale up research across sectors.

From 2016 on, UNHCR will ensure that lessons learned from these activities reach all levels of the organization, both in the field and in HQ, through training and multi-sector engagement to ensure the sustainability and maximize the positive impact of the project.

Advancing Solutions for Refugees

PRM and UNHCR will work together to continue to support UNHCR’s re-invigorated efforts to achieve solutions for persons of concern, taking into account necessary measures to support affected and hosting communities.

• Resettlement: PRM will support UNHCR efforts to increase the number of refugees referred for resettlement to all countries and to ensure that resettlement needs are adequately funded within the organization. PRM will continue to provide earmarked funding for selected resettlement activities that were not initially prioritized, and will continue to work with UNHCR to mainstream funding for such activities in the year(s) following the provision of PRM earmarked funds. PRM urges UNHCR to fully fund the two Emergency Transit Facilities and the NGO resettlement scheme within its prioritized plan.

• Local Integration: PRM encourages UNHCR to develop policy and guidance around the solution of local integration, and to develop metrics to measure progress in this area. Likewise, UNHCR continues to encourage the United States to share information on how resettled refugees in the United States are integrated to ensure that durable solutions have been achieved.

• Voluntary Return: PRM will continue to support efforts to identify opportunities for voluntary return, noting that 2014 has seen the lowest level of returns in 30 years. PRM will also support efforts to facilitate voluntary return.

PRM will support UNHCR efforts to establish and strengthen development partnerships (including with line ministries and other national and local development institutions) which are important for sustaining all durable solutions listed above, as well as interim solutions. These partnerships should include advocacy and cooperation in including displaced populations in development programs; private sector engagement; and work with development institutions to support host communities. PRM will support UNHCR efforts to implement its 2014-2018 Global Livelihoods Strategy, including through diplomatic efforts on work rights for refugees. PRM will also continue to support UNHCR’s effort to raise the profile of UNHCR’s solutions work, including through the Solutions Alliance.

Reaffirm Commitment to the Internally Displaced, including through Operationalization of UNHCR’s Guidance Note on Engagement in Situations of Internal Displacement

UNHCR retains critical leadership under the United Nations cluster system as the global cluster lead agency for protection, emergency shelter, and camp coordination and camp management. The 2014 Provisional Guidance on UNHCR’s Engagement in Situations of Internal Displacement is an important step toward affirming UNHCR’s responsibility toward the protection of and assistance to internally displaced, both in concert with and of equal importance to UNHCR’s mandate for refugees and stateless persons.

PRM supports UNHCR’s efforts to reform its Division of International Protection to ensure dedicated and separate staff for the Global Protection Cluster and for IDPs. PRM will continue to engage with UNHCR to build its capacity and relevant training on UNHCR’s responsibilities and assistance to IDPs, particularly for protection. Of particular importance is operationalizing UNHCR’s refugee coordination model, which aims to interface with the IDP cluster system, enhance inter-agency collaboration, and ensure the needs of all populations of concern are met.

Continued progress in UNHCR’s Global Strategic Priorities

UNHCR has identified 16 Global Strategic Priorities (GSPs) to inform its allocation of resources in 2016 and 2017. They are consistent with PRM’s own strategic planning and annual reporting – particularly the GSPs related to protection and durable solutions, assistance, and resettlement. The PRM-UNHCR bilateral dialogue over the next two years will focus on these GSPs, which represent areas of critical concern for the organization, where UNHCR will make concerted efforts to strengthen protection, improve the quality of life, and seek solutions for refugees and other persons of concern. Each GSP will be monitored through the use of aggregated targets, called Global Engagements, and the use of impact indicators from the UNHCR Results Framework. Of note, the targets for UNHCR’s GSPs are based on the activities prioritized by country operations.

Global Engagements are anchored within UNHCR’s overall results-based management strategy, allowing the organization to clearly identify performance gaps, troubleshoot problems, and ensure resources are channeled to areas most in need of improvement. Reporting on Global Engagements highlights overall results among the countries reporting – both positive and negative – of the work carried out by UNHCR and its partners in priority areas. Progress on situation-level indicators will be compiled by UNHCR to show broad levels of achievement, reflected/summarized in the Engagements. UNHCR will provide PRM with an overview of the number of situations where improvements are made, based on engagements set for 2016-17. Specific examples of achievements based on country-level baseline information will be included in the narrative in order to give context to the overall results. UNHCR will also highlight transparently the number of operations that are not achieving progress in raising protection standards for persons of concern and reasons why achievements were not met. This information will be used to jointly identify lessons learned and areas for improvement.

To demonstrate impact and effectiveness in a quantifiable way, UNHCR has strategically identified the most relevant priority objectives and indicators that operations engaged in these GSP areas will be required to report on in the coming biennium, which include eight operational GSPs that are field-based and eight support and management GSPs that are Headquarters/Regional-based. The Organization will closely monitor progress towards the targets set by operations at the country level in order to gauge overall developments in raising standards for persons of concern. UNHCR operations have undertaken to fine-tune monitoring and reporting, by ensuring that GSP indicators for 2016 and 2017 are integrated into implementation arrangements with partners and existing monitoring systems, so that the situation of populations of concern in priority areas is regularly tracked. The support and management GSPs highlight key areas for strengthening management functions and support to the field.

Within UNHCR’s GSPs are three specific indicators that PRM has included in its annual performance plan and report. For these indicators, UNHCR and PRM have mutually established the following out year targets:

1. The percentage of surveyed refugee camps in protracted situations where the mortality rate of children under five (<5 MR) does not exceed emergency thresholds.

Targets:

  • CY 2016: <5 MR does not surpass 1.5/1,000/month in 83% of monitored protracted refugee sites.
  • CY 2017: <5 MR does not surpass 1.5/1,000/month in 92% of monitored protracted refugee sites.
  • CY 2018: <5 MR does not surpass 1.5/1,000/month in 96% of monitored protracted refugee sites.

2. The percentage of surveyed refugee camps in protracted situations where global acute malnutrition (GAM) does not exceed 10%.

Targets:

  • CY 2016: GAM not to exceed 10% in 77% of surveyed households in Protracted Refugee Situations.
  • CY 2017: GAM not to exceed 10% in 77% of surveyed households in Protracted Refugee Situations.
  • CY 2018: GAM not to exceed 10% in 77% of surveyed households in Protracted Refugee Situations.

3. The percentage of the population of concern[2] who have returned home or have been resettled to a third country.

Targets:

  • CY 2016: 73% of the population of concern have returned home or have been resettled to a third country
  • CY 2017: 74% of the population of concern have returned home or have been resettled to a third country
  • CY 2018: 75% of the population of concern have returned home or have been resettled to a third country

A simplified approach of reporting on targeted GSPs will better enable UNHCR to report on overall progress and impact, and in turn be able to better communicate results to its stakeholders. It also helps to streamline and harmonize reporting requirements across donors. As the Global Engagements are embedded within the existing structures and in FOCUS, they streamline and harmonize reporting requirements on UNHCR’s key priorities. UNHCR and PRM will continue to track progress on this approach through bilateral consultations.

III. UNHCR’s Global Biennial Budget

Recognizing the need for early and predictable funding, PRM will strive to provide flexible and early contributions to UNHCR that will be applied to all four of its budget pillars. PRM had traditionally defined its fair share contribution to UNHCR as between 22 and 25 percent of UNHCR’s annual budget, which had been based on projected income. Given its restructured budget which is now based on needs, PRM’s contributions have been closer to 18-19 percent of UNHCR’s annual budget. PRM is committed to continuing to provide a robust, fair share contribution to UNHCR’s annual program budget (Global Appeal). This level of support is contingent upon funding availability as well as UNHCR’s demonstration of needs and results.

UNHCR will make every effort to ensure that any funding increases by the United States would come with corresponding increases by other donors in order to accurately reflect the U.S. ‘fair share’ approach. PRM and UNHCR will work together to expand UNHCR’s donor base and to increase government, private sector, and pooled funds contributions. Through these efforts, UNHCR will aim to decrease its funding shortfall. Efforts to address this include increased fundraising and reporting capacity focusing the Gulf Countries, as well as high-level missions; increased engagement with potential donor countries in Asia (particularly Korea) and Latin America; and further investment in private sector fundraising (PSFR).

IV. Consolidation of UNHCR’s Results-Based Managerial Reforms

In order to be more responsive and accountable to its donors as well as to populations of concern UNHCR has, through a multi-year reform process, transitioned into a results-based organization. It is critical that UNHCR be able to show the impact of U.S. and other donors’ funding as well as to demonstrate the consequences of unmet needs. In this regard, PRM is supportive of UNHCR’s results-based management system, including Global FOCUS. This online web portal has improved significantly over the years and provides access to regularly updated operational information on selected UNHCR operations sourced from the Focus operations management database application.

The reform process has shown tangible results in institutional performance, including a three-fold in increase since 2006 in the resources allocated to program delivery in the field as well as a significant reduction of the ratio of staff costs to overall expenditure from 41% in 2006 to just 21% by the end of 2014. Limiting UNHCR’s footprint in Geneva through the relocation of staff to out-posted Headquarters duty stations, Budapest and Copenhagen, has also reaped benefits in terms of effectiveness and cost-efficiency. In addition, the expansion of UNHCR’s partnerships has brought UNHCR greater operational flexibility and technical expertise in delivering its mandate. ]. UNHCR notes PRM’s continued concerns with ensuring sufficient technical staffing capacity at Headquarters and strong field presence at all levels and is committed to addressing any identified structural gaps and weaknesses in the field and in Headquarters, including on resettlement, protection, and emergency response capacity, but will do so cautiously and with maximum flexibility to avoid creating a significant bureaucratic apparatus, especially given the high cost of creating and maintaining Headquarters positions. PRM will continue to encourage UNHCR, both bilaterally and in governance fora, to implement a Global Needs Assessment-based budget, including for headquarters to meet outstanding needs in staffing, capacity, and expertise.

Maintaining the momentum of the many reforms instituted in recent years is a shared priority of UNHCR and PRM in the coming biennium.

V. Improved Accountability, Coordination and Monitoring

Improved accountability, including through a fully functioning and effective results-based management system (e.g., an updated MSRP, a regularly updated Global Focus, and strengthened oversight mechanisms) is key to effectively managing UNHCR’s operations, donor funding, and the needs of persons of concern. Given the large number of emergencies UNHCR has had to respond to in recent years and a correspondingly larger budget to manage, there are greater expectations of enhanced oversight by UNHCR of its programs.

Ensuring continued progress in addressing gaps in the accountability framework, enterprise risk management, results-based management, and financial and program controls have been identified as continued key areas of focus. PRM notes UNHCR’s successful mainstreaming of enterprise risk management (ERM) in its normal operational management cycle, thus addressing recommendations in the Board of Auditors annual reports, , as well as those of the Independent Audit and Oversight Committee (IAOC), including the development of an accountability matrix on enterprise risk management. In 2017, UNHCR will launch a review of ERM policy.

UNHCR’s establishment of an Internal Compliance and Accountability Committee (ICAC), which aims to improve UNHCR’s accountability system through monitoring the implementation of recommendations received from its various internal and external oversight bodies, is a positive step towards ensuring that UNHCR is proactively addressing and managing risks and that the organization is promoting accountability from the top down. UNHCR’s new Senior Management has renewed its commitment to the ICAC process, and is looking into further systematization over the coming years.

PRM will seek to ensure that UNHCR is allocating sufficient human and financial resources to fully implement measures to improve accountability, transparency (oversight) and program management and will request regular updates on progress. PRM and UNHCR will work together with other Executive Committee Members to ensure the consideration and, where appropriate, full implementation of key recommendations made by the Division of Financial and Administrative Management (DFAM), the Policy Development and Evaluation Service (PDES), the Division of Program Support and Management (DPSM), the Inspector General’s Office (IGO), and others.

As UNHCR continues to increase its reliance on implementing partners in the field, PRM welcomes efforts by UNHCR to overhaul its partnership procedures with NGOs, including through UNHCR’s management process (Enhanced Framework for Implementing with Partners); its efforts to improve the quality of partnership through the High Commissioner’s Structured Dialogues; and the establishment and rollout of UNHCR’s partner portal. PRM encourages UNHCR to continue regular consultations with NGO partners on the roll-out of the Enhanced Framework in order to ensure there is no unintended negative impact on field operations.

UNHCR’s refugee coordination model in the context of the Transformative Agenda aims to add predictability to the overall humanitarian response and ensure all populations of concern are protected and assisted. PRM will continue to encourage UNHCR to strengthen coordination within the broader international humanitarian architecture as this is critical to successful response in today’s complex crises where conflict and other disasters overlap. PRM and UNHCR will work together on follow-up to key outcomes from the May 2016 World Humanitarian Summit, whose aim is to tackle the current challenges facing the world’s humanitarian system, particularly those that directly impact the organization. PRM and UNHCR will also continue to work together to ensure that robust coordination, in particular with UN Humanitarian Country Teams, as well as with OCHA through the Joint Note on Mixed Situations, and with other UN operational agencies such as UNICEF and WFP is a key measurement of UNHCR’s success.

Accountability to affected populations is a high priority for PRM in all programs. PRM and UNHCR will work together to ensure regular collection, analysis, and use of feedback obtained directly from persons of concern on the quality and relevance of UNHCR’s assistance. PRM will conduct regular oversight to ensure that such feedback is collected and used by UNHCR to maximize the cost-effectiveness, quality and utility of its assistance, and will require UNHCR to strengthen procedures for collecting and responding to such feedback. PRM and UNHCR will work together to monitor commitment to this initiative, including through the establishment of a regular quarterly accountability reporting schedule.

PRM will continue to closely follow UNHCR’s work on these issues, which aim to improve its internal policies and procedures to enhance partnerships and coordination, clarify accountabilities and improve outcomes for refugees and persons of concern.

PRM monitors UNHCR on a regular basis and in a number of ways, including through participation in UNHCR board meetings, analyzing its Global Report, annual reports and updates, undertaking field visits by PRM regional refugee coordinators (RefCoords) and PRM program officers, and briefings with UNHCR staff. In addition to this bilateral framework, PRM conducts annual field-based analyses of UNHCR’s Country Operations Planning (COP) exercise (spring) which provide insight into UNHCR's planning process, as well as the overall direction of its programs in a given country/region, and insight into institutional reform issues such as results-based management, budgeting, and emergency response. PRM will continue to share with UNHCR the results of these analyses and welcomes feedback from UNHCR on follow-up actions undertaken in response to PRM findings and recommendations. PRM has a close working relationship with UNHCR and is in daily contact with the organization, either through the Regional Office in Washington, D.C., the U.S. Permanent Mission in Geneva (Humanitarian Affairs Section) or in the field through PRM RefCoords. Through regular reporting and dialogue with UNHCR, PRM will continue to monitor closely the organization’s work, including on risk management.. PRM also aims to ensure that UNHCR is strengthening its capacity to monitor its own programs and that it is effectively coordinating with other oversight and monitoring functions within the organization to support program evaluation.

V. Communication and Partnership

In pursuit of meeting the goals and achieving the results articulated under this Framework, UNHCR and PRM will remain committed to continuous information sharing and cooperation at all levels. UNHCR colleagues in the field will work closely with PRM RefCoords and Embassy-based staff to keep PRM informed of developments on the ground, to involve PRM in the annual Country Operations Planning exercise, and to communicate achievements and challenges throughout the year. UNHCR Headquarters-based staff will continue to work closely with the U.S. Permanent Mission in Geneva and to share information regularly and discuss strategies and plans. The Donor Relations and Resource Mobilization (DRRM) Service at Headquarters and the Humanitarian Affairs (HA) Section at the U.S. Permanent Mission in Geneva will manage all funding-related communications and matters.

UNHCR acknowledges U.S. concerns regarding appropriate representation of U.S. nationals in the organization. While fully respecting relevant UN Rules and Regulations, UNHCR fully intends to continue to make every effort to attract and promote the U.S. interest in employment with UNHCR by providing information on external vacancies via the Internet and other fora, as well as widely disseminating the eligibility criteria for UNHCR regular employment and the Junior Professional Officer program. In accordance with UNHCR Human Resources rules and regulations, UNHCR is committed to ensuring that all staff, including American nationals, is considered for promotion in accordance with UNHCR Human Resources rules and regulations. UNHCR is also committed to reviewing the level of retention of American staff.

Deepening public understanding and informed commitment is a part of the global humanitarian response. UNHCR has established visibility guidelines which will be disseminated to its field operations and will work to ensure that these are being operationalized through adequate reflection of U.S. and other major donor support in the field and in public information tools, particularly when flexible earmarking (at the regional, sub-regional, or country-level) is provided.

VI. Bilateral Consultations and Reporting

PRM and UNHCR will continue to hold semi-annual Framework discussions on policy and program issues identified in this document. Mid-year Framework discussions will take place in June, while end-of-year Framework discussions will take place in December. PRM and UNHCR will prepare a joint written report following the mid-year and end-of-year discussions. In the fall of 2017, the Framework for Cooperation document will be revised to cover 2018-2019.

Reflecting the principles of Good Humanitarian Donorship, PRM believes that with exceptions noted below, standardized UNHCR reporting on its GSPs and performance targets will satisfy PRM requirements in 2016 and 2017. In addition, UNHCR will provide PRM with survey and surveillance data on Crude Mortality Rates (CMR) and Global Acute Malnutrition (GAM) for refugees as well as reporting on expenditure of USG broadly earmarked contributions on a yearly basis. Given the importance of this data for shaping evidence-based policies and programs, UNHCR commits to provide the following reports on or before associated dates as follows in 2016 and 2017.

Report

Drafter

Due Date 2016 & 2017

Contributions: Reporting on expenditure of USG broadly earmarked contributions for the previous year. (Note: this report will rely on pre-audit figures, so will therefore be provisional.)

UNHCR

April 30

Health Update: A report on: 1) HIS data on all camps and in all countries where HIS is functioning disaggregated by site, and 2) an updated list of all nutrition surveys and mortality surveillance/surveys conducted by UNHCR and its partners.

UNHCR

February 1

Budget Forecast: UNHCR out-year budget forecasts

UNHCR

February 27

2015and 2016 Performance Update: Annual report on Framework-related priority performance results for GAM, CMR, and durable solutions (listed on page 6, with targets as stated).

UNHCR

March 15, 2016 for 2015 data

March 15, 2017 for 2016 data

Quarterly Reports on: Emergency Reserved Pledge & Accountability to Affected Populations

 

March 30

2016 and 2017 Performance Update: Mid-biennium update on GSP results (as per Annex I) as well as GAM, <5 MR and durable solutions indicators (listed on page 6, with targets as stated). Final prior year results.

UNHCR

June 1, 2016 data (covers Jan.-May, 2016)

June 1, 2017 data (covers Jan.-May, 2017)

Framework Update: Briefing materials to support the mid-year Framework discussions structured according to the agenda for the framework talks.

UNHCR

June 15

COP Analysis: PRM feedback on UNHCR’s Annual Country Operations Planning Process.

U.S.

June 15

Quarterly Reports on: Emergency Reserved Pledge & Accountability to Affected Populations

 

June 30

Framework Consultations Report: Joint report on mid-year Framework discussions.

Joint (U.S. to draft)

July 15

Health Update: A report on: 1) HIS data on all camps and in all countries where HIS is functioning disaggregated by site, and 2) a compilation of all nutrition surveys and mortality surveillance/surveys conducted by UNHCR and/or UNHCR’s partners.

UNHCR

July 15

Quarterly Reports on: Emergency Reserved Pledge & Accountability to Affected Populations

 

September 30

Framework Update: Progress report in advance of end-of-year Framework discussions, structured according to the agenda for the framework talks.

UNHCR

November 30

Quarterly Reports on: Emergency Reserved Pledge & Accountability to Affected Populations

 

December 30

Framework Consultations Report: Joint report on end-of-year Framework discussions.

Joint (HCR to draft)

January 15


IX. Conclusion

In closing, PRM and UNHCR confirm their commitment to remain strong partners to protect and find durable solutions for the millions of refugees, stateless persons, IDPs, and other persons of concern around the world. This Framework for Cooperation is intended to remain operative until December 31, 2017.


________________________________

Anne C. Richard
Assistant Secretary of State,
Bureau of Population, Refugees, and Migration
United States Department of State

Date:

 

________________________________

Filippo Grandi
High Commissioner
United Nations Office of the
Commissioner for Refugees

Date:


Annex I: UNHCR’s 2016-2017 Global Strategic Priorities
Annex II: Indicator Reference Sheets

 

Annex I

Operational and support and management 2016-2017 GSPs

2016-2017 Operational GSPs

Impact indicator

Engagement

Favourable protection environment

1. Ensuring access to territorial protection and asylum procedures; protection against refoulement; and the adoption of nationality laws that prevent and/or reduce statelessness

Extent law consistent with international standards relating to refugees

Seek improvements to national law and policy in 80 countries so as to be consistent with international standards concerning refugees and asylum-seekers

Extent law and policy consistent with international standards relating to internal displacement

Seek improvement to national law and policy in 20 countries, so as to be consistent with international standards concerning IDPs

Extent law and policy consistent with international standards on prevention of statelessness

Seek improvement in citizenship laws in 41 countries, so as to be consistent with international standards on the prevention of statelessness

% of stateless persons for whom nationality granted or confirmed

Seek to increase the percentage of stateless people who acquire or confirm nationality in 16 situations

Fair protection process and documentation

2. Securing birth registration, profiling and individual documentation based on registration

% of children under 12 months old who have been issued with a birth certificate by the authorities

Seek to increase the systematic issuance of birth certificates to newborn children in 53 situations

% of people of concern registered on an individual basis

Maintain or increase levels of individual registration in 96 refugee situations

Security from violence and exploitation

3. Reducing protection risks faced by people of concern, in particular, discrimination, sexual and gender- based violence and specific risks faced by children

Extent known SGBV survivors receive appropriate support

Provide and seek improved provision of support to known SGBV survivors in 91 refugee operations

Extent known SGBV survivors receive appropriate support

Provide and seek improved provision of support to known SGBV survivors in 10 situations where UNHCR is operationally involved with IDPs

Extent known SGBV survivors receive appropriate support

Provide and seek improved provision of support to known SGBV survivors in 3 returnee situations

Extent community is active in SGBV prevention and survivor-centred protection

Seek improved community involvement in SGBV prevention and protection of survivors in 58 refugee situations

Extent community is active in SGBV prevention and survivor-centred protection

Seek improved community involvement in SGBV prevention and protection of survivors in 8 situations where UNHCR is operationally involved with IDPs

Extent community is active in SGBV prevention and survivor-centred protection

Seek improved community involvement in SGBV prevention and protection of survivors in 4 returnee situations

% of unaccompanied and separated children for whom a best interest process has been initiated or completed

Maintain or increase the proportion of unaccompanied or separated refugee children for whom a best interest process has been completed or initiated in 74 refugee situations

Extent children of concern have non-discriminatory access to national child protection and social services

Seek increase in the non-discriminatory access to national child protection and social services in 37 refugee situations

Extent children of concern have non-discriminatory access to national child protection and social services

Seek increase in the non-discriminatory access to national child protection and social services in 4 situations where UNHCR is operationally involved with IDPs

Extent children of concern have non-discriminatory access to national child protection and social services

Seek increase in the non-discriminatory access to national child protection and social services in 3 returnee situations

Basic needs and services

4.Reducing mortality, morbidity and malnutrition through multisectoral interventions

Prevalence of global acute malnutrition (GAM)

(6-59 months)

Maintain UNHCR standards or reduce level of GAM in 36 situations where refugees live in camps or settlements

Under-5 mortality rate

Maintain UNHCR standards or reduce mortality levels of children under 5 years old in 44 situations where refugees live in camps or settlements

5. Meeting international standards in relation to shelter, domestic energy, water, sanitation and hygiene

% of households living in adequate dwellings

Maintain or increase the percentage of households living in adequate dwellings in 48 refugee situations

% of households living in adequate dwellings

Maintain or increase the percentage of households living in adequate dwellings in 15 situations where UNHCR is operationally involved with IDPs

% of households living in adequate dwellings

Maintain or increase the percentage of households living in adequate dwellings in 7 returnee situations

Average number of litres of potable water available per person per day

Maintain or increase the level of water supply in 46 refugee situations

Community empowerment and self-reliance

6. Promoting active participation in decision-making of people of concern and building coexistence with hosting communities

% of active female participants in leadership/management structures

Seek improved participation of women in leadership/management structures in 54 refugee situations

% of active female participants in leadership/management structures

Seek improved participation of women in leadership/management structures in 4 situations where UNHCR is operationally involved with IDPs


Extent local communities support continued presence of person of concern


Seek improvement in relations between people of concern and local communities in 65 refugee situations

7. Promoting human potential through increased opportunities for quality education and livelihoods support

% of people of concern (18‑59 yrs) with own business/self‑employed for more than 12 months

Maintain or increase the percentage of people of concern who are supported to improve their business/self-employment opportunities in 38 operations

% of primary school-aged children enrolled in primary education

Seek improved enrolment rate of primary school-aged children in 96 refugee situations

Durable solutions

8. Expanding opportunities for durable solutions for people of concern, particularly those in protracted situations, including through strengthening the use of comprehensive approaches and contributing to sustainable reintegration, local settlement and successful resettlement in third countries.

Extent return has been voluntary, and in safety and dignity

Support refugees to return voluntarily, and in safety and dignity, in 42 situations where conditions permit

Extent returnees have same access to rights as other citizens

Support returnees in 16 situations to reintegrate in a sustainable manner, with the same access to rights as other citizens

Extent social and economic integration is realized

Support local integration in 42 refugee situations where conditions permit

% of persons of concern, identified in need of resettlement, submitted for resettlement

Seek to maintain or increase the percentage of people submitted for resettlement, among those identified in need of resettlement, thereby supporting solutions in 74 situations

 

2016-2017 Support and management GSPs

Impact indicator

1. UNHCR's programmes are carried out in an environment of sound financial accountability and adequate oversight

Financial management at UNHCR Headquarters and in the field is strengthened, and adequate internal control infrastructure is in place

Accounts are recorded in full compliance with IPSAS, and UNHCR endeavours to benefit from it to the maximum extent

2. UNHCR's operations deliver quality protection and facilitate solutions to persons of concern and effectively advocate for their rights

Global protection and solutions capacity and response is strengthened through direct operational support and enhanced monitoring

3. Programme implementation is supported by timely, effective and predictable delivery of information and telecommunications services

Field operations have access to reliable, fast and secure information and communications technology networks and tools

4. UNHCR makes effective use of and contributes to improving inter-agency humanitarian coordination – mechanisms

Effective coordination and leadership is established for refugee responses and UNHCR-led clusters at global and operational levels

5. UNHCR's operational performance on key programmatic areas is supported to reflect strong results orientation, and results are monitored and analysed to inform operational decision-making and resource allocation

Operational performance is monitored and analysed with a focus on results, and support is provided to the field for enhanced results orientation

UNHCR’s global strategies for public health, settlement & shelter, livelihoods, and safe access to energy inform operational planning and implementation of activities in these technical areas

6. UNHCR effectively prepares for and responds to emergencies

Core relief items are stocked to provide emergency assistance for up to 600,000 persons

Relief items are dispatched within 48 hours

Active standby capacity (including through standby rosters), with appropriate leadership, coordination experience and protection training, available for deployment within 72 hours of declaration of emergency. Community-based approach promoted to support accountability to persons of concern.

A qualified security workforce is maintained and security staff are deployed to emergencies

7. UNHCR has a diverse and gender-balanced workforce, which performs effectively

Overall gender balance achieved

Staff members meet their learning needs

Assignments are made in an efficient and timely manner

Compliance is achieved in respect of performance reporting

Staff are committed and satisfied with their work

8. UNHCR mobilizes political, financial and operational support from public and private sectors through effective strategic partnerships, multimedia communication, targeted campaigns and fundraising strategies

Resource mobilization strategies are enhanced to increase funding towards UNHCR's budget from public and private sources

 

Partnerships with Member States of the Executive Committee, UN agencies, NGOs and the humanitarian system are enhanced

 

Strategic external communication is strengthened through targeted multimedia campaigns and timely public updates

 

Information on operations is made accessible to external stakeholders in a transparent manner


Annex II

Indicator Reference Sheets

Indicator

5.1.2-5 The percentage of surveyed refugee camps in protracted situations where the mortality rate of children under five (<5 MR) does not exceed emergency thresholds.

Definitions

Surveyed camps are those camps hosting refugees in protracted situations that are provided with humanitarian assistance and for which data on the general health of the population (as measured by levels of malnutrition, sickness, or death) is tracked through routine monitoring systems such as the UNHCR Health Information System or Ministry of Health Information Systems.

Under-five mortality is defined as the death rate among refugee children under five (expressed as number of deaths per 1000 population per month).

Numerator: The number of surveyed protracted refugee sites receiving USG support as a response to a complex humanitarian crisis, for which data are available in which under-5 mortality does not exceed emergency thresholds.

Denominator: Total number of surveyed protracted refugee sites receiving USG support as a response to a complex humanitarian crisis, for which under-5 mortality data are available.

How to measure it: Divide the denominator by the numerator and multiply by 100 for a percent

New or Existing Indicator?

New indicator

Linkage to Long-Term Outcome or Impact

The under-5 mortality rate is a leading indicator of the level of child health and overall public health status of a refugee population. It is also a MDG indicator.

Indicator Type

Outcome

Unit of Measure

Unit of Measure: surveyed camps hosting refugees in protracted situations (reported as a percentage)

Use of Indicator

Reporting to bureau-level planners, Congress, nongovernmental stakeholders, in-country program managers, etc. for accountability of funds spent

Data Source and Reporting Frequency

Data Source: UNHCR

Reporting Frequency: Semi-annually (January and July)

Known Data Limitations

This indicator relies upon surveillance data. Unreliable population figures and a tendency to under-report deaths, particularly in the community, can lead to inaccurate reporting of the under-five mortality rate. In camps where the UNHCR HIS is not in place, the reliability and quality of reporting cannot be fully guaranteed.

Baseline Timeframe

2010

Disaggregate(s)

None

 

Indicator

5.1.2-4 The percentage of surveyed refugee camps in protracted situations where global acute malnutrition (GAM) does not exceed 10%.

Definitions

Surveyed camps are those camps hosting refugees in protracted situations that are provided with humanitarian assistance and for which data on the general health of the population (as measured by levels of malnutrition, sickness, or death) is tracked through repeat surveys, including anthropometric surveys.

Global Acute Malnutrition (GAM) includes all malnourished children from 6 to 59 months of age with moderate or severe wasting, edema, or some combination of these conditions. GAM is defined as weight-for-height ratios less than two standard deviations below the mean (z-score < -2.0), or the presence of nutritional edema.

New or Existing Indicator?

New indicator (modified custom indicator – PRM)

Linkage to Long-Term Outcome or Impact

Nutritional status is a sensitive indicator for assessing the severity of a humanitarian crisis. In emergencies, nutritional status among children 6-59 months of age is used as a proxy indicator for the general health of the entire community or population of interest.

Indicator Type

Outcome

Unit of Measure/ How to Measure it

Unit of Measure: Surveyed camps hosting refugees in protracted situations

Numerator: The number of surveyed protracted refugee sites receiving USG support as a response to a complex humanitarian crisis for which data are available in which GAM does not exceed 10%.

Denominator: Total number of surveyed protracted refugee sites receiving USG support as a response to a complex humanitarian crisis for which GAM data are available.

How to measure it: Divide the denominator by the numerator and multiply by 100 for a percent

Use of Indicator

Reporting to bureau-level planners, Congress, nongovernmental stakeholders, in-country program managers, etc. for accountability

Data Source and Reporting Frequency

Data Source: UNHCR periodic health and nutritional data reports (derived from: nutrition survey reports; government, UNHCR, WFP, UNICEF and implementing NGO partners)

Reporting Frequency: Semi-annually (January and July)

Known Data Limitations

Limitations as to access and timing of anthropometric surveys, as well as confounding environmental/contextual factors may influence GAM rates.

Baseline Timeframe

2010

Disaggregate(s)

None

 

Indicator

5.1.1-5 Percentage of the population of concern who have returned home or who have been resettled to a third country.

Definitions

Population of concern is limited to refugees for repatriation/return, and refugees for resettlement.

A third country is a country other than a refugee’s country of origin or immediate country of first asylum that has provided protection to a refugee by offering resettlement.

New or Existing Indicator?

New: Revised custom indicator

Linkage to Long-Term Outcome or Impact

This indicator measures the extent of USG commitment and success in finding durable solutions for populations displaced as a result of persecution or, violence.

Indicator Type

Outcome

Unit of Measure

Unit of Measure: individual persons of concern (percent)

The composite indicator is constructed as follows:

Numerator: Number of refugees who have returned voluntarily and those who have departed for resettlement in the reporting period

Denominator: Total number of refugees with the intention to return and whose cases were submitted or resubmitted for resettlement during the reporting period

How to measure it: Divide by the numerator into the denominator and multiply by 100 for the percentage

Use of Indicator

Reporting to bureau-level planners, Congress, nongovernmental stakeholders, in-country program managers, etc. for accountability

Data Source and Reporting Frequency

Data Source: Protection monitoring systems, intention surveys, registration, voluntary repatriation forms (VRFs), ProGress database, IOM, refugee/IDP communities

Exceptionally, estimates based on reliable sources and field information may be used to arrive at figures for voluntary repatriation, since not all movements are assisted by UNHCR.

Reporting Frequency: Annual (provisional data to be provided in mid-March; final data in June)

Known Data Limitations

Neither component of the indicator – return or resettlement measures -- has a global coverage. Instead, data is collected by “situation” (a grouping of displaced populations for the purposes of operations programming). One country may include more than one situation.

In the case of repatriation, the data is limited to about 55 “situations” for which UNHCR has planned return activities. Data will be based on the total # of refugees who have expressed a will to return, and not on total refugee numbers.

In the case of resettlement, the data is limited to about 70 situations for which UNHCR has planned resettlement activities. Data will be based on the total # of submissions for resettlement, in order to capture the efficacy of UNHCR’s procedure. In most situations more individuals are identified for resettlement than actually submitted.

Also, the number of persons of concern who achieve a durable solution through voluntary return or resettlement is influenced by external factors including adequate funding of appeals, safe access, the number of crises and emergencies, the evolving policies of governments and availability of other durable solutions for displaced people.

Local integration, the third durable solution supported by UNHCR, as a process is difficult to measure in numerical terms, given the variety of legal and practical forms it can take. The indicator one could potentially use is the number of refugees who got naturalized during the reporting year. Unfortunately, this type of information is available for 15 to 20 countries only and dissemination of this data lies entirely within the control of states. As a consequence, the number of persons who have obtained a durable solution is under-reported.

Baseline Timeframe

 

Disaggregate(s)

Repatriation: % of persons of concern with intention to return who have returned voluntarily.

Resettlement: % of persons whose applications for resettlement have been submitted, who have departed for resettlement.



[1] Non-camp populations of concern refer to refugees or IDPs resident in rural or urban areas and generally benefit from different forms of UNHCR assistance and/or protection strategies than those refugees in established camps.

[2] Population of concern in this instance is limited to the number of refugees identified for repatriation/return plus the number of refugees submitted (or "identified") for resettlement in a given year. See Annex 2 for more information on these indicators.