oppSFOP0003666-cfda19.519-cidSFOP0003666-instructions.docx

United States Department of State Washington, D.C. 20520

General NGO Guidelines for Overseas Assistance Bureau of Population, Refugees, and Migration

Updated: OCTOBER 2017

1. Introduction What’s New?

· New and Improved NGO Guidelines

· Accountability to Affected Populations (AAP)

· Risk Management

· Standardized Indicators

· PRM Award Data Sheet and Project Proposal Template

2. Application Process A. Overview of the Application Process B. Obtaining a DUNS Number C. Registering with SAM D. Registering with Grants.gov E. Technical Support F. International Multilateral Organizations

3. Proposal Submission and Review A. Proposal Format and Templates B. Instructions for Completing the PRM Proposal Template C. Cost Proposal (Budget) D. PRM Administrative Requirements E. Acknowledgement of PRM Funding F. Funding Timeframes and Multi-Year Funding

4. Reporting Requirements A. Program Reports B. Financial Reports C. Other Reporting Requirements

5. Contacting PRM

Appendix A: Project Proposal Checklist Appendix B: PRM Policies and Program Standards

1. Sphere Minimum Humanitarian Standards

· Urban Refugee Policy

· Protection

· Gender-Based Violence

2. Vulnerable and Underserved Persons of Concern

· Persons with Disabilities

3. Accountability to Affected Populations

4. Conflict Sensitivity

5. Coordination

6. Code of Conduct

7. Risk Management

8. Safety and Security

9. Environmental Protection

Appendix C: Sectors and Standardized Indicators

1. Protection

2. Gender-Based Violence

3. Child Protection

4. Health

5. Mental Health and Psychosocial Support

6. Water, Sanitation, and Hygiene

7. Nutrition and Food Security

8. Education

9. Livelihoods

10. Shelter

11. Other Standardized Indicators

Appendix D: Budget Detail Instructions Appendix E: Budget Narrative Instructions Appendix F: Risk Analysis Instructions and Template

1. Introduction

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) programs 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 these guidelines only apply to PRM’s NGO funding for overseas assistance activities. Guidelines for PRM’s refugee resettlement activities are established through a separate process. Refer to PRM’s Refugee Admissions website for details.

What’s New?

New and Improved NGO Guidelines. This year, we’ve restructured the PRM NGO Guidelines in a way that we hope is more user-friendly and easier to read. The content remains similar to previous years, but we’ve restructured the Guidelines to focus on the application and proposal process up front, and moved important information on PRM Policies and Program Standards and Sectors and Standardized Indicators into separate appendices that are easier to find for reference. We’ve also created a checklist of required application documents. As always, 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.

Accountability to Affected Populations (AAP). PRM recently updated our policies and standards on AAP (Appendix B). PRM now requires applicants to include an organizational framework on accountability to affected populations prior to the award being issued. Finally, instead of quarterly, PRM partners are now only required to report on how beneficiary feedback was collected and incorporated into the project on a biannual basis during the second quarter and fourth quarter (final) quarterly reports(Section 4A).

Risk Management. As part of efforts to improve risk mitigation (Appendix B.7), PRM now requires applicants to include a risk analysis and mitigation measures as a separate document in their program application package (Appendix F), as well as to summarize that risk analysis in the proposal narrative (Section 3B).

Standardized Indicators. PRM has expanded the categories for standardized indicators to include indicators for Mental Health/Psychosocial Support, Education, and Local Government Capacity-Building (Appendix C).

PRM Award Data Sheet and New Project Proposal Template. PRM is currently developing a new PDF project proposal template that will be released in FY 2017 and tested with select Notice of Funding Opportunities (NOFOs). In the meantime, as this new PDF form is developed, NGO partners that utilize the word document proposal template and are selected for an award will be asked to fill out and submit a PRM Award Data Sheet with information contained in the final project proposal, prior to finalizing the Cooperative Agreement (Section 3A).

2. Application Process

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 and South Asia

· 19.520 – Overseas Refugee Assistance Programs for Europe

· 19.522 – Overseas Refugee Assistance Programs for Strategic Global Priorities

*Organizations should note that these guidelines only apply to PRM’s NGO funding for overseas assistance activities. Guidelines for PRM’s refugee resettlement activities are established through a separate process. Refer to PRM’s Refugee Admissions website for details.

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.

Organizations located outside the U.S. can request a DUNS number free of charge by contacting D&B online or by telephone at the local D&B office. The list of international offices is available here.

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 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.

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 their 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 Applicant Resources page for frequently asked questions, user guides, and applicant training videos to familiarize themselves with the application process.

2.E. Technical Support: Applicants who experience technical difficulties with the Grants.gov system during the application process should report the problem to the Grants.gov Help Desk at 1-800-518-4726 or support@grants.gov as soon as possible and ideally at least one week 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 should 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 programs in response to a PRM-issued Notice of Funding Opportunity (NOFO) announcement should contact the relevant PRM point of contact listed in the announcement on or before the closing date to make their interest known.

3. Proposal Submission and Review

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 (see Appendix C for sector descriptions):

1. Protection

2. Child protection

3. Gender-based violence prevention and response

4. Health

5. Mental Health and Psychosocial Support (MHPSS)

6. Water, sanitation, and hygiene (WASH)

7. Nutrition and Food Security

8. Education

9. Livelihoods

10. Emergency shelter

3.A. Proposal Format and Templates: PRM recommends that applicants use the suggested templates available from PRM’s NGO Coordinator:

· The proposal narrative for single year projects and follow-on years of multi-year projects,

· the proposal narrative for year one of multi-year projects,

· the budget summary and detail and budget narrative for all 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 and budget summary and detail templates) as well as the quarterly program 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. A new PDF proposal template is being developed in FY 2017, and NGOs applying for a NOFO utilizing the PDF proposal template do not have to worry about page limitations, as the PDF form will have set character limits for each field.

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 should 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 addendums 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 program information. The proposal narrative must be able to stand on its own in the application process. Additionally, upon final selection for an award, PRM will ask NGO partners to fill out a PDF form “PRM Award Data Sheet” with relevant data drawn from the project proposal, including organization information, contact information, budgets, and objectives and indicators.

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 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, 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 UNHCR funding in country, and the project goal.

· Section 2: Problem Statement: This section should provide the rationale and justification for the proposal and should include an analysis of the problems the project intends to address, and a profile of the intended population, as described in 2A and 2B below:

· 2.A. 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, the assessment should be included as an annex to the proposal. Market assessments for livelihoods activities should be briefly described in this section and attached in full to the proposal.

· 2.B. Profile of the Target Population: Describe the process of beneficiary selection for this program including how the program will target direct beneficiaries; 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. Demonstrate that refugees, returnees, and/or other persons of concern as described in the relevant NOFO will constitute at least 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. 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.

· Section 3: Program Description: This section should clearly and concisely outline the (1) implementation plan, (2) key activities, and any (3) implementing partners. Other requirements include:

A. An explanation of the link between the problem statement, activities, and outcomes expected.

B. Identification of any goods or services to be provided.

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 program to succeed, and how the proposed activities in year one will contribute to outcomes and impacts in years two and three, as applicable.

· 3.A. Program Description, Gender Analysis: A gender analysis must be included in all applications for funding within the proposal narrative. The gender analysis ensures that partners are appropriately analyzing the factors that either promote or undermine gender equality in a given context. All proposals should address the specific needs of women and girls, as the main population 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 program:

(1) Experiences of men, women, boys, and girls with a focus on the different familial roles, community privileges, and gender dynamics within the target population;

(2) associated risks and threats experienced by women, girls, and other vulnerable populations based on their gender;

(3) power imbalances and needs that arise based on gender inequalities that exist within the family or community;

(4) 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, in particular 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 programs 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 4: Objectives and Indicators: Proposals in the sectors listed in Appendix C must include all objectives and indicators that are relevant to their programs. Please refer to Appendix C for more information on sectors and relevant standardized indicators.

The following guidelines apply to any additional objectives and indicators to be included in proposals. The types and the number of indicators will vary depending on the project design. Note that an indicator must be measurable and should be identified as an input, output, outcome, or impact indicator.

Each objective must have at least one outcome or impact indicator that can be measured in a 12-month timeframe. PRM requires a minimum of one objective with at least two indicators per objective, although you may include more indicators depending on the type of project. Multi-year projects must include objectives and indicators for each year. The following definitions are taken from the Office of U.S. Foreign Assistance Resources and the Bureau of Budget and Planning Program 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.

· Input: Resources provided for program implementation. Examples are money, staff, time, facilities, equipment, etc.

Example of Input Indicator: Number of students, disaggregated by gender, to be reached in selected schools through hygiene education sessions (Target: 2,000 students).

· Output: A short-term, immediate result of a program, project, process that leased 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 gathered in baseline surveys by the NGO, or another international organization or NGO operating in the area. For those projects without baseline data available at the time of proposal submission, NGOs are required to obtain baseline data within the first month of project period if the project is approved for funding by PRM.

For each indicator, identify both the targeted population (e.g. entire camp or refugee population vs. a sub-set of the population such as women or adolescents) and the population totals. Clear identification of the population and its size is necessary to establish data collection techniques and to calculate percentages and measure change over time for indicators that include percentages.

· Example Indicator: Percent increase in new mothers who breastfeed

· Target population – new mothers (approximately 500/month)

· Baseline – 100 new mothers breastfeed on average currently

· Target – 30 new mothers breastfeed (30% of 100, so 130 new mothers breastfeed in total)

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 should be representative of program performance. Quarterly reports submitted to PRM must track progress against each of the indicators in the cooperative agreement. Consultations with PRM may be necessary in order to arrive at a final set of agreed upon objectives and indicators.

· Section 5: Monitoring and Evaluation Plan: Describe the monitoring and evaluation plan, including staff responsible for monitoring and evaluation. This section must include, at a minimum, the following elements:

· A timeline to track the program’s progress;

· frequency of the measurements;

· which monitoring and evaluation tools will be used (rapid assessment surveys, site visits, key stakeholder interviews, focus group discussions, interview logs, timelines, progress reports, etc.);

· how problems identified during monitoring will be addressed;

· plans to include collection, analysis, and use of beneficiary feedback.

· Section 6: Accountability to Affected Populations: Specifically for the proposed project, describe (1) how the target population is involved in program design and implementation, and (2) the organization’s procedures for collecting 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 should be distinct from the organization-level AAP framework, which is a separate requirement.

· Section 7: Coordination: Describe the level of cooperation and coordination with relevant stakeholders that went into the project design, plans for partnerships, and plans to continue coordination. Applicants should include regional (and/or cross-border) coordination as applicable. For programs 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 specific to the proposal.

· Section 8: Sustainability and Capacity-Building: Explain how the project will include local capacity-building elements, 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. If transition is not feasible, applicants should explain why.

· Section 9: Management and Past Performance: Applicants must provide details on the organization’s management structure, including specific management plans for the proposed project.

Applicants should furnish names, titles, and brief biographical sketches including information on the education and experience of key personnel in charge of the award project and other key professional and supervisory personnel; (i.e., the members of the professional staff in a program supervisory position engaged for or assigned to duties under the award). Resumes of key personnel should be provided in an annex (or provided for approval prior to hiring).

Proposals that seek to continue current projects in the given location 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 programs should provide specific examples of past performance in similar programs in this sector and/or country. State explicitly any similar program 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 programs funded by PRM in prior years and should attach their most recent quarterly report as an annex to their application.

· Section 10: Security and Risk Management: Briefly summarize the risk analysis (Appendix F) submitted as part of the proposal package. Describe the security environment in the area of operation, how the organization locally manages risk to its international and national staff (including how it communicates and coordinates with other organizations about safety and security), and how the organization would respond to a deterioration of the security situation or a significant security incident. Include risk mitigation and security requirements in the budget as appropriate.

· 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 vetted to comply with U.S. Executive Orders and law, which prohibits transactions with and the provision of support to organizations associated with terrorism.

· 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. Standardized Indicators: In an effort to streamline the proposal writing/reviewing process and better measure the impact of the Bureau’s work, PRM requires the use of standardized indicators. Applicants must fill in numerical and/or percentage targets for each indicator.

“Sphere” standards should be used as targets, unless otherwise noted. For each sector, proposals must include all standardized indicators that apply to the program. Please see Appendix C for a list of Sectors and descriptions of relevant Standardized Indicators.

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.

To request the Budget Summary and Detailtemplate 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 should include the following items (described in more detail below):

1) Application for Federal Assistance – the SF 424, SF-424A (budget summary), and SF-424B forms that are included in the Grants.gov application package;

2) Budget Summary and Detail;

3) Budget Narrative;

4) Organizational chart for award recipient and sub-recipient(s), if applicable;

5) Negotiated Indirect Cost Rate Agreement (NICRA), if applicable; and

6) Most recent external audit report, if not submitted to the Federal Audit Clearinghouse

· SF-424A (Budget Summary) – The SF-424A Budget Summary should 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 SF-424A Budget Summary must also break out the overall budget by objective, which must be clearly linked to the sectors in the proposal. Please note breaking out the budget by project objective does not eliminate the requirement to reflect the aggregate dollar amount for each major object class category.

· Budget Detail – The Budget Detail should include descriptive line-items that support each cost listed within each object class category. Please round each line-item cost to the nearest dollar. Please 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 don’t fall under one of the major object class categories.

· Budget Narrative – The Budget Narrative should 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 should 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.

· Organizational Chart – The Organizational Chart should enable 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) federally-funded 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 should also include the following items, as appropriate:

· Multi-year funding – Multi-year funding requests must include a budget summary, detail and 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 programs. 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 should 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 should include the Recipient’s Share of Cost in addition to the dollar amount requested from PRM. The Budget Summary and Detail should 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 should 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 should 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, at minimum, all submissions must include the following (organizations should refer to the relevant Notice of Funding Opportunity announcement for further information on additional requirements for that announcement):

· Completed proposal narrative, budget summary and detail, and budget narrative.

· 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 can be found here.

· 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, if 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 program (should be part of the budget submission as noted above, if applicable.

· The organization’s security plan (Appendix B.8).

· Risk Analysis (Appendix F).

Please integrate this documentation into as few files as possible and 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;

· Proof of non-profit tax status;

· Data Universal Numbering System (DUNS) Number; and

· Employer ID number (EIN)/Federal Tax Identification Number (if a U.S. organization).

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.

Subrecipients and subsequent tier sub-award agreements are subject to the marking requirements and the recipient shall include a provision in the subrecipient 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 should be in the form of a graphic of the U.S. flag accompanied by one of the following two phrases based on the level of PRM funding:

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 Subgrantees: 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 program 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 programs with detailed budgets, objectives, and indicators for each year of activities. These can be updated 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 for all years of the project and should submit a separate budget sheet 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, strong 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). 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 summary and detail, and narrative, and the signed SF-424 form need to be submitted. Indicators for multi-year proposals should include year-by-year break-downs of targets, but should also include 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.

4. Reporting Requirements

In March 2017, the 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. So unless otherwise specified, all program reports, financial reports, and other reports should be submitted via SAMS Domestic.

4.A. Program Reports: PRM requires program reports describing and analyzing the results of activities undertaken during the validity period of the agreement. A program report is required within thirty (30) days following the end of each three month period of performance during the validity period of the agreement. The final program report is due ninety (90) days following the end of the agreement. The submission dates for program reports will be written into the cooperative agreement. Partners receiving multi-year awards should follow this same reporting schedule and should still submit a final program report at the end of each year that summarizes the NGO’s performance during the previous year.

The Performance Progress Report (SF-PPR) is a standard, government-wide performance reporting format available here. Recipients of PRM funding must submit the signed SF-PPR cover page with each program report. In addition, the Bureau suggests that NGOs receiving PRM funding use the PRM recommended program report template and reference this template as being attached in block 10 of the SF-PPR. This template is designed to ease the reporting requirements while ensuring that all required elements are addressed. The Program Report Template 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.

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.

· Cover Page – Complete the chart on the first page.

· 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.

· Analysis of Progress – For any target that the project is not on track to meet, analyze why and indicate the steps being taken to meet the target. Explain how beneficiary feedback has been used to continue or change programming decisions. Give examples.

· Collaboration/Coordination – Describe, in specific terms, efforts to coordinate the…