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 You are in: Under Secretary for Democracy and Global Affairs > Bureau of Population, Refugees, and Migration > What We Are Saying > Fact Sheets and Newsletters > 2003
Fact Sheet
Bureau of Population, Refugees, and Migration
Washington, DC
April 4, 2003

FY2003 PRM Guidelines for NGO Projects: Emergency Relief for Iraq Refugees and Returnees


The Bureau of Population, Refugees and Migration (PRM) 

The Bureau of Population, Refugees, and Migration (PRM) has primary responsibility within the U.S. Government for formulating U.S. foreign policy on population, refugees, and migration, and for administering U.S. refugee assistance and admissions programs.  In this capacity, PRM has the lead role within the State Department in responding to complex humanitarian emergencies around the world.  The Bureau also is responsible for policy leadership on the U.S. Government’s international population policies and programs, and it serves as the focal point within the U.S. Government for multilateral coordination of international migration policies and programs. 

PRM’s primary refugee assistance and admissions goals relate to protection and the achievement of durable solutions.  A key PRM objective is to guarantee that refugees and returning refugees worldwide have access to basic, life-sustaining resources in ways that meet internationally accepted standards of care in shelter, food supply, nutrition, water supply, sanitation, and public health.  PRM’s program priorities include the promotion of refugee and returnee women’s equal access to resources -- and their participation in managing those resources.  PRM also focuses considerable attention on meeting the special needs of refugee and returnee children.  "PRM supports UNHCR's guidelines, including those on the protection of refugee women and children. Proposals should describe measures that ensure that women and children will have access to the program, and NGOs will meet the needs of the vulnerable. Proposals must include a copy of the NGO's Code of Conduct (which should reflect the IASC's six core principles), and a discussion of how the Code of Conduct will be reflected in the project implementation."  Security and neutrality of refugee camps and humanitarian structures is also a key concern.  PRM relies mainly on UNHCR and other international organizations (IOs) to provide the basic framework of assistance to refugees and returnees, but it traditionally funds a number of NGO programs directly to fill critical gaps.   

Iraq Humanitarian Crisis 

With the start of hostilities in Iraq on March 19, some Iraqis left home to seek refuge in the countryside, or with family members in other towns.  At this time, there are still relatively few refugees or asylum seekers, although there may be significant numbers of new IDPs in the north.  Those numbers could increase significantly, however, in the event that the war continues for some time and lack of food or water, or the threat of violence, makes it impossible for Iraqis to remain in their homes.  An anticipated Coalition ground assault on Baghdad could also trigger a significant outflow of Iraqis seeking safety.   In addition, “old caseload” refugees remain in countries bordering Iraq who receive and depend on varying levels of humanitarian assistance.    

NGO Proposals 

PRM regards UNHCR as the lead humanitarian agency for Iraqi refugee, asylum seekers at borders, and returnee assistance.  Nevertheless, UNHCR cannot cover all refugee/returnee needs and looks to NGOs to fill critical gaps.  PRM will begin reviewing proposals from NGOs that address such gaps.  Priority will be given to proposals to serve refugees and asylum seekers to whom UNHCR will also provide services, although proposals to serve other populations may also be considered.  USAID will review proposals that address IDP needs.  PRM will give special consideration to NGO proposals that seek to provide services to Iraqi refugees in Iran, or asylum seekers who wish to seek refuge in Iran but are unable to cross the border.  This priority is being given to Iran-based projects because BAFIA, the Iranian Bureau for Aliens and Foreign Immigrant Affairs, has announced that UNHCR’s implementing partners in that country must have independent sources of funding, and are prohibited from receiving any funding from UNHCR in Iran. 

NGOs which provide humanitarian assistance in Iraq or Iran require a license from the Department of Treasury’s Office of Foreign Assets Control (OFAC).  Recent changes to the OFAC licensing process allow recipients of PRM funding to receive their license concurrently with their PRM cooperative agreement.  Please consult the following website: http://www.state.gov/e/eeb/rls/othr/18183.htm for further information regarding OFAC licensing.  As changes to these regulations are implemented, they will be posted to this site.  NGOs holding an OFAC license will not be exempt from UN and Commerce restrictions in Iraq and Iran, as long as they are in force. 

These guidelines are intended to help NGOs prepare proposals that target PRM’s current funding priorities and follow the required proposal format.  PRM will accept proposals from any NGO that is able to satisfy these guidelines, but priority will be given to proposals from those organizations with an established presence in the region.  A proven track record in providing assistance to Iraqis is desirable, but not mandatory.  Proposals must present evidence of coordination with UNHCR and other lead international organizations.  Project proposals should also be coordinated with relevant governments.  NGOs that have never received PRM funding must be prepared to demonstrate that their organizations meet the financial and accounting requirements of the U.S. Government before they will be eligible to receive PRM funding.  Proposals that are not consistent with the guidance herein may be rejected without review. 

Due to current funding limitations, PRM will give priority to proposals seeking contributions of less than one million dollars. 

Current Funding Priorities

At the present time, PRM seeks to focus its funding for Iraqis on the following activities, in this general order of priority: 

Ø       Emergency relief for new Iraqi refugees and asylum-seekers

PRM will give priority to NGO projects that fill critical assistance gaps to newly displaced Iraqi refugees.  Within this category, PRM will give priority to programs that focus on one or more of the following activities: 

·         Emergency shelter

·         Provision of health, water and sanitation services

·         Supplemental feeding and nutritional programs for children

·         Care and maintenance of at-risk populations (women, children, elderly)

·         Primary education 

Ø       Reintegration assistance for Iraqi returnees

PRM will support the efforts of UNHCR and its partners to ensure that returnees will become anchored in their home communities.  To this end, PRM will support NGO projects that provide reintegration assistance to future returnees and will particularly support projects that complement UNHCR’s activities and fill critical gaps in projected assistance programs.  NGO projects should aim to anchor returnees in Iraq, enable communities to better support those refugees who have returned home, and build capacity to absorb additional returnees.  Within this category, PRM will give priority to NGO projects that provide life-saving, life-sustaining or other critical reintegration support to recent returnees, with emphasis on one or more of the following activities: 

·         Water and sanitation systems rehabilitation and repair

·         Primary health care

·         Supplemental feeding and nutritional programs

·         Shelter rehabilitation and repair

·         Primary education (school construction or rehabilitation, teacher training, provision of materials and equipment, etc.)

·         Projects that promote sustainable livelihoods for returning refugees 

Ø       Assistance to old-caseload refugees

PRM is interested in supporting programs for vulnerable and underserved refugees who continue to require assistance in their country of asylum and will consider proposals for activities benefiting old-caseload refugees.  Within this category, PRM will give priority to programs that focus on one or more of the following activities: 

·         Primary health care

·         Water and sanitation, hygiene and nutrition

·         Primary education programs

·         Programs that provide refugees with training and skills that will help them reintegrate into their home communities if and when they repatriate

PRM expects that some NGO projects inside Iraq would target mixed communities composed of refugees, IDPs, and members of local populations.  Proposed projects should target communities in which at least 50% of the beneficiary population is expected to be refugees or returning refugees.   

NGOs are encouraged to propose programs that include a mix of elements from the above categories.  Although the list is not intended to be exclusive or binding, and PRM remains open to considering a broad range of NGO activities, priority will be given to programs that include one or more of these elements. 

Applicants are encouraged to submit concept papers prior to a full proposal if they are unsure whether or not the proposed activity is consistent with PRM’s current priorities.

Submitting Proposals 

PRM will evaluate and fund proposals on an as-needed basis; therefore, there is no fixed deadline for their receipt.  Proposals should be written in font size no smaller than 11 point and be no longer than 20 pages, including budgets and annexes.  Each official submission to PRM must include a signed, dated cover letter on NGO letterhead, and the three USG - required certifications mentioned below (available from PRM/Washington upon request – not included in the 20 page limit).   Applicants should mail submissions from their Headquarters to PRM at the Washington, DC address listed below, and send an electronic copy of the proposal by e-mail.  The PRM addressee must be made aware that the proposal is on its way by mail, or the package risks being turned away by Diplomatic Security.  Questions can also be addressed to the individuals listed below.  

Please address proposals or questions to: 

Jan Levin

Gina Costante

Mailing address: 

Department of State
Bureau of Population, Refugees, and Migration
2401 E St. NW
Suite L505, SA-1
Washington, D.C.  20522-0105 

PRM Field Offices (for questions and coordination): 

Mark Walkup, DART Deputy Team Leader
Kuwait City
Tel (mobile):  571-332-9859

Joan Polaschik, Refugee Coordinator
U.S. Embassy Amman
Tel: (962)(6)592-0101, ext. 2593
Fax: (962)(6)592-0159
E-Mail:  PolaschikJA@state.gov 

Proposal Format

Proposals submitted to PRM must be written according to the following format.  Proposals that do not follow the format will be returned to the applicant.

I.  Executive Summary

The executive summary should include the following information and be limited to one page:

q       Name of organization

q       Contact information (Headquarters and in-country)

q       Points of contact, titles

q       Project title

q       Countries/regions targeted by project

q       Number and description of beneficiaries

q       Proposed period of activity

q       Total dollar amount of project - Include a breakdown of the dollar amount requested from PRM, the dollar amount provided through other sources and the dollar amount of in-kind contributions.

q       Budget summary

q       Brief project description – In one, succinct paragraph describe the problem and how it will be addressed.  Also state the goal and expected results of the project. 

II. Problem Analysis 

This section should provide the rational and justification for the proposal as follows: 

A.   Background
Describe the anticipated and/or known elements of the humanitarian emergency, but only as they relate to the proposed project.  DO NOT provide a general description of the humanitarian situation in and around Iraq. 

B.   Analysis
Provide a synthesis of assessments or other descriptive and analytical efforts that have been conducted to determine the nature of the problem.  Indicate dates, sources of information, and describe the most critical needs, vulnerabilities or capacities that were identified. 

C.   Profile of the Target Population
At-risk populations should be qualified by number, current location, health status, length of time they have been in country of first asylum or amount of time that they have been displaced from their homes, percentage of beneficiaries who are refugees and demographic characteristics including gender, age, and ethnicity (where political circumstances allow), and any other unique or germane factors distinguishing the population.  Please explain, where appropriate, the relationships between direct and indirect beneficiaries.  Please cite information sources.  

D.  Need
Show how this proposal fills a gap in UNHCR’s coverage of the beneficiary population.

III.  Program Goals and Objectives 

A.            Program Goal

Define the goal, objectives and assumptions of the program.  Organize the proposal based on the stated objectives that, in turn, should be distinct, quantifiable and measurable. 

B.   Indicators
Provide measurable indicators for assessing progress toward achievement of each objective and explain how they are to be measured.  SPHERE Minimum Standards in Humanitarian Response should be used in developing indicators. 

IV.  Program Description

This is the core of a proposal.  It should clearly and concisely outline the implementation plan for each objective including those elements described below, as appropriate.  It should reflect a thorough understanding of the problem described in Section II. 

A.   Implementation Plan

For each objective, provide a detailed implementation plan.  Identify the targeted population.  Describe any goods and services to be provided, and the standard of delivery used (i.e. SPHERE).  If the standard of delivery differs from an accepted international standard, provide justification for the variance. 

B.   Suggested Elements 

1.   Context-Specific Programming
Ensure that the proposal reflects an understanding of the particular characteristics of the humanitarian emergency context. 

2.   Beneficiary Interaction and Capacity Building
Explain how the activity fits within, and enhances, the existing capacities of the beneficiary population.  Indicate how the program draws upon and supports traditional coping mechanisms and involves the targeted population in its design and implementation.  

3.   Coordination Efforts
Indicate if this program will stand alone, or if it is part of a larger country program.  Describe how the program fits into the broader country program, if applicable.   

Explain efforts to coordinate with UNHCR and other international organizations or NGOs to prevent overlap and duplication.  Explain how the program will interface with and complement these programs, as applicable. 

Describe what other NGOs are doing in the same region, identify any links between their programs and yours, and explain how your activities are coordinated. 

Describe the proposed initiative’s possible regional (cross-border) implications. 

4.  Proposals must include a copy of the NGO’s Codes of Conduct (which should reflect the IASC’s six core principles), and a discussion of how the codes of conduct will be reflected in project implementation. 

V.  Management and Security 

A.   Program management
Provide details on the following areas of the program’s management: 

1.   Describe the organization’s management structure.  Describe how this structure will be used to achieve the stated objectives.

2.   Provide examples of past performance that demonstrate the organization’s success in implementing similar programs. 

B.   Security
1.   Describe the current security situation in the region of the program’s operation.

2.   Provide details on the organization’s ability to achieve program objectives given the current level of insecurity.  Describe how the program will respond to a deterioration of the security situation.

3.   Identify indicators that will be used to assess when program objectives cannot be met, and when the program would be suspended, due to security concerns.

4.   State whether or not your organization and its Board of Directors have adopted the InterAction Security Planning Guidelines.  If not, explain. 

VI.  Monitoring and Performance Measurement

A.   Monitoring Plan
Describe your monitoring plan.  Include, at a minimum, the following elements in the description: 

1.       A time line to help PRM track the program’s progress.

2.       Indicators and details on how they will be measured, including frequency of the measurements, units of measure, dates when indicators will be met, etc.

3.       Monitoring tools such as clinic records, rapid assessment surveys, etc.

4.       Organizations that received FY2002 funding from PRM should also include an assessment of their programs’ success in meeting their goals. 

B.  Performance measurement
Establish, where possible, baseline and expected performance targets for each objective.

VII.  Budget

Include a detailed budget that is broken down by each objective of the proposed program.  Staffing and office needs often cannot be easily allotted to specific objectives and can be given for the whole program, if more appropriate.  Be sure the budget also includes a breakdown of the dollar amount requested from PRM, the dollar amount(s) coming from other sources (including your own organization) and the dollar amount of in-kind contributions.  Indicate clearly the funding source for each activity.  The budget must also be accompanied by a summary budget of the major line items and a budget narrative.

VIII.  Administrative Requirements

All submissions must include the following:

q       Original proposal in triplicate

q       Copy of the organization’s U.S. Government Negotiated Indirect Cost Rate Agreement (NICRA), if applicable.

q       The following U.S. Government Certifications, signed and dated

-          Certification Regarding Lobbying

-          Certification Regarding Debarment, Suspension and Other Responsibility Matters

-          Certification Regarding Drug-free Workplace Requirements

q       Information in support of any cost-sharing/cost-matching arrangements

q       Information detailing the source of any in-kind contributions

q       Details on any sub-agreements associated with the program

q       Copy of the organization’s Code of Conduct, which should reflect the IASC’s six core principles

q       If the organization has not previously received funding from PRM, copies of 1) the most recent external financial audit, 2) incorporation papers and 3) confirmation of non-profit tax status.

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