PKG00258653-instructions.pdf

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

Page | 1

General NGO Guidelines Bureau of Population, Refugees, and Migration

Effective Period: Effective January 2020

Updated: December 2019

Introduction

1. What is new and what has changed?

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. Indicators D. Cost Proposal (Budget) E. PRM Administrative Requirements F. Acknowledgement of PRM Funding G. Funding Timeframes and Multi-Year Funding

4. Reporting Requirements

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

5. Contacting PRM

Appendix A: Program Proposal Checklist

Appendix B: PRM Policies and Program Standards

1. Sphere Minimum Humanitarian Standards o Urban Refugee Policy o Protection o Gender-Based Violence

2. Vulnerable and Underserved Persons of Concern o 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 Recommended Standardized Indicators

1. Protection (Sense of Safety)

2. Cash and Voucher Assistance

3. Protection

4. Gender-Based Violence

5. Child Protection

6. Public Health

7. Mental Health and Psychosocial Support

8. Water, Sanitation, and Hygiene

9. Nutrition and Food Security

10. Education

11. Livelihoods

12. Shelter

13. Core Relief Items

14. Local Government Capacity-Building

Appendix D: Budget Detail Instructions

Appendix E: Budget Narrative Instructions

Appendix F: Risk Analysis Instructions and Template

Appendix G: Guidance for Refugee Resettlement Activities

Appendix H: Proposal Scorecard Examples

Appendix I: Form 424 Instructions

Appendix J: Form 424a Instructions

Introduction

The Department of State Bureau of Population, Refugees, and Migration (PRM) addresses the plight of persecuted and uprooted people globally on behalf of the American people by providing life-sustaining assistance. This assistance saves lives, helps displaced people, and contributes to longer-term peace and provides stability.

PRM 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 with multilateral organizations, non-governmental organizations (NGO), and civil society 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 funds NGO programs that are coordinated with multilateral institutions, other NGOs, and other civil society actors to expand the reach of U.S. government assistance and compliment the humanitarian assistance ecosystem. Historically the majority of PRM’s primary funding supports the efforts of the key multilateral humanitarian organizations responsible for refugees, conflict victims, stateless persons, and vulnerable migrants.

A critical component of providing humanitarian aid is the role of the State Department’s humanitarian diplomacy, which impacts nearly every facet of the work undertaken by NGOs. The Department of State’s diplomatic personnel worldwide play an important role in advocating for the protection of, and durable solutions for, the millions of refugees, stateless persons, internally displaced, and other people affected by conflict around the world. PRM recognizes NGOs are important and ubiquitous advocacy partners that contribute to and drive reform and innovation where they operate and across the humanitarian response structure.

PRM encourages and values both policy and program innovation, fully realizing the pace of innovation can be incremental to exponential. Have a great idea or want provide feedback? Please email PRM’s NGO and Civil Society Coordinator at PRMNGOCoordinator@state.gov.

1. What’s New and What Has Changed?

Based on helpful feedback from the NGO community, PRM (also referred to in these guidelines as the “Bureau”) has made an effort to make our requirements clearer and more explicit throughout the document, and provide more effective life-saving assistance to the world’s most vulnerable. The following is the list of many of those changes that pertain to the NGO guidelines;

1. Consortia: For purposes of consortia applying for PRM funding, PRM considers consortia to be a group of no less than three NGOs that comprise an agreement, combination, or group formed to undertake, or propose to undertake, an assistance activity beyond the resources of any one member.

PRM requires that one of the NGOs be designated as the prime awardee.

2. Score Card Examples: Scorecard examples for NOFOs and Concept Notes have been added. See

Appendix H for more information.

3. Proposal Checklist: See updated requirements for documents that must be submitted as part of a complete proposal package in Appendix A.

4. Updated Proposal Templates: We encourage applicants for PRM funding to be succinct and concise in Section 2 Gap Analysis (formerly “Problem Statement”) of the program proposal, and strongly encourage applicants to limit the narrative in this section to no more than one page. Charts detailing targeted population information are welcome. Applicants are required to submit both the Risk Analysis and the organization’s Security Plan as attachments as noted in the Proposal Checklist (Appendix A).

mailto:PRMNGOCoordinator@state.gov

5. New Templates:

a. Budget Summary templates for Concept Notes and NOFOs; and

b. Concept Note submission template, and required documents checklist for concept notes has been included.

Organizations can request templates by emailing PRM's NGO Coordinator with the subject line “PRM NGO Templates” (exactly as written, and without the quotation marks), and you will get an automatic reply email with the proposal template.

6. Branding and Marking Strategy: The branding and marketing strategy has been updated to include a focus on social media and encouraging recognition on website platforms as well. PRM highly encourages recognition of U.S. government funding on social media and website platforms to be included in proposals’ branding and marking strategy. Recipients should tag PRM’s Twitter account @StatePRM and/or Facebook account @State.PRM (rather than using hashtags). Additionally, the applicable U.S. Embassy should be tagged as well. PRM will continue to monitor branding and marking requirements, and actions taken to fulfill this requirement should continue to be included in quarterly program reports to PRM.

7. Protection Mainstreaming: PRM now requires every proposal to demonstrate protection mainstreaming, regardless of sector. This section should assess and analyze how the proposed program will mitigate potential protection risks and promote protection and safety of beneficiaries as a result of proposed activities, including upholding the Sphere Protection Principles.

8. Protection Indicator: In order to ensure greater accountability for protection outcomes, all overseas assistance program proposals must include the following protection outcome indicator under one of the objectives: Percentage of beneficiaries who report an improved sense of safety and well-being at the end of the program, disaggregated by age and gender. If an applicant is unable to report on this indicator, the proposal must include a justification for why the indicator will not be applied to the project. (Note: Please see section A.C.1. of Appendix C for more details.)

9. Cash and Voucher Assistance Indicators: Cash and Voucher Assistance programs must report on the appropriate indicators from the selection contained in the NGO Guidelines in section A.C.2. of Appendix C.

10. Refugee Admissions: Appendix G includes specific guidance for refugee resettlement activities.

11. Application for Federal Assistance Form 424 Instructions: Appendix I has been added, which contains instructions for filling out form 424.

12. Form Budget Information for Non-Construction Programs (SF-424A) Instructions: Appendix J has been added, which contains instructions for filling out form 424A.

13. Form SF-424B Requirement Update: Form SF-424B is now required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019 and completed the online representations and certifications.

14. Prevention of Sexual Exploitation and Abuse (PSEA) Code of Conduct: Organizations will be required to submit their PSEA Code of Conduct prior to issuance of an award, if a proposal is chosen for implementation. Please ensure that your organization has a PSEA Code of Conduct consistent with the 6 IASC Principles when you are considering competing for PRM funding or it may risk delay in finalizing the cooperative agreement (See Appendix B, section A.B.6 in the NGO Guidelines for more details).

2. Application Process

(Note: PRM does not to provide overseas assistance through for-profit organizations.)

https://handbook.spherestandards.org/

2.A. Overview of the Application Process:

• Organizations considering applying for PRM funding should start the process as early as possible to avoid missing submission deadlines.

• 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.

• Organizations should not wait for Notice of Funding Opportunity announcements to be posted in order to start the registration process.

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; and

• Confirm, through the E-Business Point of Contact (E-Biz POC) at the organization, the applicant as an

Authorized Organization Representative.

PRM posts all funding opportunities on the website www.Grants.gov, PRM’s website, and all programs in the Assistance Listings (CFDA) (formerly Catalog of Federal Domestic Assistance).

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. Refugee Admissions 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 Program for Near East

• 19.520 – Overseas Refugee Assistance Programs for Europe

• 19.522 – Overseas Refugee Assistance Programs for Strategic Global Priorities

• 19.523 – Overseas Refugee Assistance Program for South Asia

2.B. Obtaining a DUNS number: Organizations can obtain a free DUNS number from Dun and Bradstreet (D&B) anytime; you do not need a U.S. government grant. Organizations located in the U.S. can request a DUNS number free of charge by contacting D&B online or by telephone at 1-866-705-5711.

Registration typically takes five to ten minutes by phone and up to 24 hours via the web-form.

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 at (www.sam.gov) or by telephone at 1-866-606-8220 (U.S.) or 1-334-206-7828 (international). Note that SAM registration must be updated annually. If registration is not completed by the time the application for PRM funding is submitted, the application will be rejected automatically by Grants.gov. PRM strongly recommends that organizations complete the registration process as early in the fiscal year as possible in order to avoid potential delays when calls for proposals are issued. Detailed instructions on how to complete this registration process can be http://www.sam.gov/ http://www.grants.gov/ http://www.state.gov/j/prm/funding/index.htm https://beta.sam.gov/ http://fedgov.dnb.com/webform http://fedgov.dnb.com/webform http://www.dnb.com/customer-service/global-customer-service-centers.html http://www.sam.gov/ http://www.sam.gov/ found here. When organizations register on SAM.gov, they will be asked to identify a single “E-Biz Point of Contact” for the organization. This person has the responsibility to confirm which individuals have the authority to submit proposals on behalf of the organization.

Potential applicants should be alerted that SAM.gov is a free government-managed website; applicants do not need to pay to have their organization registered. The Department of State Office of the Procurement Executive (A/OPE) receives frequent reports that recipients are contacted by organizations posing as SAM.gov and threatening to cut off registration unless a fee is paid for registration or renewal. These emails are not coming from SAM.gov and should be reported as Spam and Phishing/Spoofing.

2.D. Registering with Grants.gov: Once organizations have obtained their DUNS number and completed their SAM registration, the individual who is submitting the application on behalf of the organization must register on the Grants.gov website and create a username and password to complete his or her AOR (Authorized Organization Representative) profile. Once the AOR has registered on Grants.gov, the E-Biz Point of Contact at the organization will receive an email and must log on to Grants.gov to confirm the applicant as an AOR. All applicants are encouraged to consult Grants.gov’s online page for frequently asked questions, user guides, and applicant training videos to familiarize themselves with the application process.

On December 31, 2017, Grants.gov officially retired the legacy PDF package as a method to apply for a federal grant. Grants.gov is now using a secure alternative to apply for federal grants called “Workspace.” Grants.gov Workspace is an online environment optimized for applicants who are collaborating on an application. Forms can either be completed online within a web browser or downloaded individually and uploaded to Workspace.

For more information, please see the Grants.gov YouTube channel for an introduction to Workspace and plan to use this new system when applying.

2.E. Technical Support: Applicants who experience technical difficulties with the Grants.gov system during the application process must report the problem to the Grants.gov Help Desk at 1-800-518-4726 or support@grants.gov as soon as possible prior to the deadline identified in the funding opportunity announcement. Grants.gov will assign a case number and open a service request to research the problem(s).

Applicants experiencing technical difficulties with the SAM registration process must contact the Federal Service Desk (FSD) online or at 1-866-606-8220 (U.S.) and 1-334-206-7828 (International).

2.F. International multilateral organizations: International multilateral organizations, such as United Nations agencies, should not submit proposals to PRM through Grants.gov. Multilateral organizations that are seeking funding for programs must contact the relevant PRM point of contact listed in the announcement.

3. Proposal Submission and Review

Note:

• PRM recommends proposals be submitted in Adobe PDF, as Microsoft Word documents may sometimes produce different page lengths based on software versions and configurations.

• Exceeding page length limits, including through the inclusion of cover pages, will result in disqualification.

• All proposals, and required documents, must be in English.

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 stated in the NOFO. A sample proposal scorecard to evaluate NGO submissions can be found in Appendix H.

http://www.grants.gov/web/grants/applicants/organization-registration/step-2-register-with-sam.html http://www.grants.gov/web/grants/register.html https://www.grants.gov/web/grants/applicants.html https://www.grants.gov/ https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.grants.gov/web/grants/applicants/workspace-overview.html https://www.youtube.com/channel/UCc7tRM0vKkTMpxucO7iYPzQ mailto:support@grants.gov https://gsafsd.service-now.com/fsd-gov/home.do https://gsafsd.service-now.com/fsd-gov/home.do http://www.state.gov/j/prm/funding/index.htm http://www.state.gov/j/prm/funding/index.htm

PRM accepts unsolicited proposals at any time; however, due to limited funding, priority will be given to proposals responding to PRM-issued NOFOs. Unsolicited proposals should be submitted to the NGO Coordinator PRMNGOCoordinator@state.gov.

Proposals must focus on one or more of the following sectors as specified in the particular NOFO (see Appendix C for sector descriptions):

1. Protection (Sense of Safety)

2. Cash and Voucher Assistance

3. Protection

4. Gender-Based Violence

5. Child Protection

6. Public Health

7. Mental Health and Psychosocial Support

8. Water, Sanitation, and Hygiene

9. Nutrition and Food Security

10. Education

11. Livelihoods

12. Shelter

13. Core Relief Items

14. Local Government Capacity-Building

For proposals related to Refugee Resettlement, see Appendix G.

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

Concept Note Templates:

• Concept Note template; and

• Budget Summary template.

NOFO Templates:

• Proposal Narrative for single year programs template;

• Proposal Narrative for multi-year programs template;

• Budget Summary template;

• Budget Detail template; and

• Budget Narrative instructions.

To request copies of all PRM-recommended templates, send an email with only the phrase “PRM NGO Templates” (exactly as written, and without the quotation marks) in the subject line, to PRMNGOCoordinator@state.gov. You will receive an automated email reply containing the templates mentioned above as well as the quarterly program report template discussed later in these guidelines.

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). 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.

(Note: Proposals and other requisite documents written in a language other than English will be disqualified. PRM recommends proposals be submitted in Adobe PDF, as Microsoft Word documents may sometimes produce different page lengths based on software versions and configurations.)

All proposals must use Times New Roman 12-point font, with one inch margins on all sides.

Organizations may choose to attach charts, work plans, activity calendars, and/or logical frameworks as addenda or appendices to the proposal. These attachments do not count toward the page limit total; however, annexes cannot be relied upon as a key source of program information. The proposal narrative must be able to stand on its own in the application process.

mailto:PRMNGOCoordinator@state.gov mailto:PRMNGOCoordinator@state.gov?subject=PRM%20NGO%20Templates

For proposals related to Refugee Resettlement, see the relevant Notice of Funding Opportunity for details on the Proposal Format and Templates.

When submitting documents on Grants.gov, please pay close attention to the file naming conventions. If these guidelines are not followed, your application may be rejected:

• File attachment names longer than approximately 50 characters are problematic. Limit file attachment names.

• Do not use any special characters (example: &,?,*,%,/,#,',) or spacing followed by a dash in the file (example: Application – 1).

• For word separation, use underscore (example: Attached_File.pdf) in naming the attachments.

3.B. Instructions for Completing the PRM Proposal 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 Program: Complete the table on the first page of the template with the name of the organization, points of contact, the DUNS number, name of program, type and number of beneficiaries, proposed start and end date, whether or not your organization is currently receiving PRM or other donor funding in country, and the program goal.

• Section 2: Gap Analysis: With respect to the specific location, activities, needs, and target beneficiaries of the proposed program, describe the current or anticipated elements of the humanitarian situation that this program seeks to address. Explain how this proposal addresses the protection and assistance needs of the target population which are not being met by other 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, including any protection risk analysis, and other relevant background information collected to identify the needs of the target population. Indicate dates, sources of information, and describe the most critical needs, vulnerabilities, or capacities that were identified. If an organization’s own needs assessment is being used as a justification for funding, we strongly recommend that the assessment be included as an annex to the proposal. Market and beneficiary assessments for livelihoods activities must be briefly described in this section and attached in full to the proposal. (Note: Failing to include market assessments for livelihoods activities will result in disqualification of the proposal.)

• Section 3: Profile of the Target Population: Describe the anticipated beneficiary population for this program including the process of beneficiary targeting and selection; how refugees, returnees, host community members will be identified; and what actions you would take to ensure that potentially vulnerable and underserved groups are included. Clearly demonstrate that refugees, returnees, and/or other persons of concern as described in the relevant NOFO will constitute a minimum of 50% of the beneficiary population. (Note: Proposals with a beneficiary population of less than 50% refugees, unless explicitly denoted otherwise in the NOFO, will be disqualified.) Using the most recent data available and citing sources, provide the anticipated demographic profile of the beneficiaries including the numbers of refugees, IDPs, returnees, host country nationals, etc., as well as locations, gender, age, and any other unique factors or vulnerabilities. List the specific locations – including the names of camps, provinces, districts, villages, neighborhoods, temporary accommodation centers, etc. – of proposed activities. Provide GPS coordinates, where available. If the locations are not yet known, explain how the sites would be chosen. Charts and tables are welcome in this section, as a means of cutting down on narrative text.

• Section 4: Program Description: This section should clearly and concisely outline the (1) key activities,

(2) implementation plan, and (3) any implementing partners, including their role in the program. Other requirements include:

a. An explanation of the link between the needs identified, activities, and outcomes expected.

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

c. If the standards differ from the Sphere Handbook’s Minimum Standards, a justification for the variance.

d. In the case of multi-year funding applications, an explanation for why multi-year funding may be necessary for the program to succeed, articulate and quantify cost efficiencies that may not otherwise be attained through single year programs would be enabled through the provision of multi-year funding, how multi-year funding may reduce costs over time, how longer periods of consultation with beneficiary populations will inform programming and enable interventions to be studied and improved, and how the proposed activities in year one will inform and contribute to outcomes and impacts in years two and three, as applicable.

e. Protection Mainstreaming: For all applications, the program description should assess and analyze how the proposed program will uphold Sphere Protection Principles and mitigate potential protection risks as a result of proposed activities. Assistance activities should mainstream protection by analyzing the protection risks in relation to each specific programming sector. An analysis of the risks should inform how assistance is designed to minimize them and maximize protection of beneficiaries.

Guidance and tools on protection mainstreaming can be found here. Applicants may introduce gender-specific risks in this section but provide a full analysis in the next section (4F).

Common protection risks for refugees, IDPs, and other conflict-affected individuals include:

• Exploitation and abuse;

• Violence against civilians;

• Denial of access to, destruction, or theft of property and assets;

• Family separation;

• Sexual violence and other forms of violence against women and girls; and/or

• Lack of access to, exclusion from, or denial of assistance, services, or documentation.

Programs using Cash and Voucher Assistance are encouraged to use the Cash Learning Partnership Protection Risks and Analysis Tool and include reference to its use here.

f. Program Description, Gender Analysis: A gender analysis must be included in all applications for funding within the proposal narrative to demonstrate analysis of the factors that promote or undermine gender equality in the program context. All proposals must address the specific needs of women and girls, as the primary populations that experiences gender oppression and discrimination. Proposals should also address the following areas to show that PRM partners have assessed, analyzed, and integrated gender dynamics within their 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; and

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 as applicable, such as women and girl heads of households, out-of-school girls, people who identify as lesbian, gay, bisexual, transgender, or intersex (LGBTI), women and girls with disabilities, women and https://handbook.spherestandards.org/ https://handbook.spherestandards.org/ http://www.globalprotectioncluster.org/themes/protection-mainstreaming/ http://www.cashlearning.org/resources/library/801-protection-risks-and-benefits-analysis-tool http://www.cashlearning.org/resources/library/801-protection-risks-and-benefits-analysis-tool 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 5: Objectives and Indicators: All program objectives and indicators must be included in the proposal narrative under Section 4 and not as a separate attachment. The following guidelines apply to any objectives and indicators to be included in proposals. The types and the number of indicators will vary depending on the program design. Strong indicators will be specific, measureable, achievable, relevant and reliable, time-bound, and trackable (SMART). Note that an indicator must be identified as an input, output, outcome, or impact indicator. Details on how indicators will be measured must be included.

All overseas assistance program proposals must include the following protection outcome indicator under one of the objectives: Percentage of beneficiaries who report an improved sense of safety and well-being at the end of the program, disaggregated by age and gender. If an applicant is unable to report on this indicator, the proposal must include a justification for why the indicator will not be applied to the project.

Please see section A.C.1. of Appendix C for more details.

Cash and Voucher Assistance programs must report on the appropriate indicators from the selection in section A.C.2. of Appendix C.

PRM requires a specific outcome indicator for every program proposal, regardless of sector: “percentage of primary beneficiaries who report an improved sense of safety and well-being at the end of the program, disaggregated by age and gender.” Proposals must also include at least one standardized indicator per sector, as applicable, for the sectors listed in Appendix C. Please refer to Appendix C for more information on sectors, the required outcome indicator, and relevant standardized indicators.

Each objective must have at least one outcome or impact indicator that can be measured in a 12-month timeframe. In addition, multi-year proposals are strongly encouraged to include an impact indicator that can be measured over the full program duration. Each objective should have at least two indicators. PRM encourages use of output, outcome, and impact indicators. Multi-year programs must specify objectives and indicators for each year of the program including breakdowns of targets by year. The following definitions are taken from the Office of U.S. Foreign Assistance Resources and the Bureau of Budget and Planning Program Design and Performance Management Toolkit

• Objective: A statement of the condition or state one expects to achieve toward accomplishing a program, program, or process goal.

• Indicator: A particular characteristic or dimension used to measure intended changes.

Performance indicators are used to observe progress and to measure actual results compared to expected results.

• Output: A short-term, immediate result of a program, program, process that leads to longer-term outcomes. Outputs are products, goods, and services that result from activities. Output indicators do not measure change; they answer the question, “What is the immediate product of the activity?”

Example of Output Indicator: Number of students, disaggregated by gender, who complete 3 hours of hygiene education (Target: 2,000 students).

• Outcome: A result or effect that is caused by or attributable to the program, 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.

https://www.state.gov/j/prm/releases/factsheets/2017/268580.htm https://www.state.gov/documents/organization/268816.pdf

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, program, 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.

o Example of Impact Indicator: Decrease in reported cases of diarrhea among student population (Target 10% decrease).

Selection of indicators should be informed by data that serves as a baseline. Data can be gathered through surveys or past experience of the NGO, international organization, or another NGO operating in the area.

Organizations are encouraged to use existing data where possible, but should note its reliability or accuracy if unclear. For those programs without baseline data available at the time of proposal submission, NGOs are required to establish baseline data within the first month of the program period if the program is approved for funding by PRM. A baseline is a measure of the situation before the program starts that is used to measure change and monitor the program’s progress. Baselines must inform how targets are determined, and should rarely be set at “zero,” particularly for follow-on programs. Indicators with baselines set at zero must explain how targets are determined.

• Example Indicator: Percentage of new mothers who breastfeed following program intervention (outcome).

o Baseline – 20% of new mothers breastfeed.

o Target –50% of new mothers breastfeed.

Objectives and indicators will be formally referenced in the cooperative agreement for proposals that are selected for PRM funding and will be used by PRM to monitor and evaluate the program.

Accordingly, proposed objectives and indicators must be representative of program performance. Quarterly reports submitted to PRM must track progress against each of the indicators in the cooperative agreement.

PRM recommends judicious review in selecting indicators that measure progress against proposed activities and/or results. Consultations with PRM may be necessary in order to arrive at a final set of agreed upon objectives and indicators.

• Section 6: Monitoring and Evaluation Plan: Describe the monitoring and evaluation plan. This section must include, at a minimum, the following elements:

• A timeline to track the program’s progress;

• frequency of the measurements;

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

• staff responsible for monitoring and evaluation; and

• how problems identified during monitoring will be addressed.

• Section 7: Accountability to Affected Populations (AAP): Specifically for the proposed program, describe (1) how the target population is involved in program design and implementation, and (2) the organization’s procedures for collecting, analyzing, and responding to beneficiary feedback throughout the life of the program. 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.

(Note: Section 7 of the NOFO proposal narrative is specific to the program being proposed and is distinct https://interagencystandingcommittee.org/accountability-affected-populations-including-protection-sexual-exploitation-and-abuse from the organization-level AAP framework requirement, which is a separate document, which organizations that have not received PRM-funding since 2016 or after must be submit separately.)

(Note: This section in the proposal narrative is specific to the program being proposed and is distinct from the organization-level AAP framework requirement, which organizations that have not received PRM-funding since 2016 or after must be submit separately.)

• Section 8: Coordination: Describe the level of cooperation and coordination with relevant stakeholders including international organizations, NGOs, government entities, other donors, and civil society that went into the program design, plans for partnerships, and plans to participate in ongoing coordination efforts.

Please list current and anticipated challenges and suggested solutions. Applicants should include regional (and/or cross-border) coordination as applicable. Descriptions of information-sharing plans or arrangements and applicant use of existing information databases should be included. For 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 or the relevant agency specific to the proposal, and share whether the proposed program falls within the scope of existing country humanitarian plans.

• Section 9: Sustainability and Capacity-Building: Explain how the program will contribute to local capacity-building elements including capacity building of beneficiaries, local civil society organizations, or the host government; incorporate longer-term sustainability objectives into humanitarian programs; increase work towards durable solutions, be handed over to another organization; or be financed by other means after PRM funding ends.

• Section 10: Management and Past Performance: Applicants must provide details on the organization’s management structure, including specific management plans for the proposed program. Applicants should describe headquarters oversight of the proposed program. Applicants must furnish names, titles, and brief biographical information on the education and experience of key personnel in implementing the program and key supervisory personnel; (i.e., the members of the professional staff in a program supervisory position engaged for or assigned to duties under the award). Résumés of key personnel must be provided in an annex (or provided for approval prior to hiring).

Describe the organization’s relevant experience working in the proposed location and sector. Share whether the applicant currently has permission to operate in the country. Proposals that seek to continue current programs 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 country and/or sector. 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.

Section 10a. Consortia Proposals Only: For purposes of consortia applying for PRM funding, PRM considers consortium to be a group of no less than three NGOs that comprise an agreement, combination, or group formed to undertake, or propose to undertake, an assistance activity beyond the resources of any one member. If the applicant is applying as a consortium or partnership, a description of how the partnership will be organized and how lines of authority and decision-making will be managed across all team members and between the lead applicant and associate awardees should be included in the proposal.

• 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 program, if known. Identify sub-grantees including, for each, the Legal Name, Organizational DUNS, Address, and Name of Organizational Representative. Describe how these organizations are or will be vetted to comply with U.S. Executive Orders and law, which prohibits transactions with and the provision of support to organizations associated with terrorism. If sub-recipients are unknown at the time of proposal, the above information must be provided for DOS Grants Officer approval prior to a sub-award or sub-contract being signed before or after a prime award is issued.

• Section 12: U.S. Government Recognition: Describe how the organization will recognize the U.S.

government’s financial support, provided through PRM, for the proposed program/activities (e.g., in publications, social media, website platforms, press releases, etc., and at the program site).

If your organization believes that publicly acknowledging U.S. government financial support at the program 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 program site acknowledgement requirement.

See Section 3.F. for more details on U.S. government recognition requirements, of both awardees and sub-awardees, and reporting and compliance requirements for both.

3.C. Indicators: “Sphere” standards should be used as targets, unless otherwise noted. There should be at least one outcome or impact indicator per objective. Indicator targets should be broken down by year for multi-year programs.

Standardized Indicators: PRM now requires a specific outcome indicator for every program proposal, regardless of sector: “percentage of primary beneficiaries who report an improved sense of safety and well-being at the end of the program, disaggregated by age and gender.” Additionally, in an effort to streamline the proposal writing/reviewing process and better measure the impact of the Bureau’s work, proposals must include at least one of PRM’s standardized indicators that apply to the program per sector as applicable. Additionally, all proposals which include Cash and Voucher Assistance (CVA) as a modality must report on the CVA indicators. Applicants must fill in numerical and/or percentage targets for each indicator. Please see Appendix C for a list of sectors and modalities and descriptions of relevant Standardized Indicators.

For proposals related to Refugee Resettlement, see Appendix G.

3.D. Cost Proposal (Budget): PRM’s recommended budget detail template delineates expenses by program objective and by country, in the case of multi-country programs. PRM has developed instructions for completing the Budget Detail and the Budget Narrative. Costs listed in the Budget Detail and Budget Narrative documents must match.

To request the Budget Detail template and instructions, send an email with only the phrase “PRM NGO Templates” (exactly as written, and without the quotation marks) in the subject line, to PRMNGOCoordinator@state.gov.

(a) The Cost Proposal must include the following separate items (described in more detail below):

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

2. Budget Summary;

3. Budget Detail;

4. Budget Narrative;

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

6. Most recent Negotiated Indirect Cost Rate Agreement (NICRA), if applicable;

7. Most recent external audit report is required prior to issuance of an award, if proposal is chosen for implementation.

• SF-424: Instructions for filling out form SF-424 can be found in Appendix I.

• SF-424A and Budget Summary: The SF-424A and Budget Summary must indicate the anticipated aggregate dollar amount for the major object class categories, to include, personnel, fringe benefits, travel, equipment, supplies, contractual, construction, other direct costs, and indirect charges. Please round each line-item cost to the nearest dollar. The Budget Summary should also break out the overall budget by objective. Instructions for filling out form SF-424 can be found in Appendix J.

http://www.sphereproject.org/

• SF-424B: Form SF-424B is now required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019 and completed the online representations and certifications.

• Budget Detail: The Budget Detail must include descriptive line-items that support each cost listed within each object class category, broken down by each year of programming being proposed. Budget Details must also include estimated funding by line item for each objective. Round each line-item cost to the nearest dollar. Ensure that costs are reflected under the most appropriate major object class category. The “Other Direct Costs” category should only by utilized for costs that do not fall under one of the major object class categories.

• Budget Narrative: The Budget Narrative must include sufficient detail to enable the reviewer to obtain the same reasonable determination of cost. For example, the description for the line item for “Training Materials” within the object class category “Supplies” could read, “includes the cost of expendable supplies, such as paper, notebooks, folders, pens, and pencils with an estimated cost of $5 per participant. $5 X 1,000 participants = $5,000.” The budget narrative must provide justification for equipment and capital purchases equal to or greater than $5,000, including describing the status of or listing the existing inventory that is being augmented and/or replaced. The Budget Narrative must provide sufficient explanation regarding the determination of cost for each year of the program.

• Organizational Chart: The Organizational Chart enables PRM to evaluate the organizational structure and determine the allocation of personnel costs for single and across multiple federal assistance awards. For example, if one full-time Regional Program Coordinator has responsibility that is divided equally for each of ten (10) programs, 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 sub award (regardless of the period of performance of the sub awards 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 sub award 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.

Note: Recipients must make every effort to obtain Final Rates from their cognizant agency, including but not limited to – if applicable – annual submission of indirect cost rate proposals.

(b) The Cost Proposal must also include the following items, as appropriate:

• Multi-year funding: Multi-year funding requests must include a budget summary, budget detail, and budget narrative for each year separately. If the PRM budget template is used, organizations can use the same template for each year, on the understanding that the budget for years two up to 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) as either a stand-alone or an integrated element through their programs must estimate the total cost of these activities as a separate line item in their proposed budgets. This should include all prevention, response, or empowerment activities that are intended and designed to address violence against women and girls. Programs that involve women, but are not seeking to address the violence they experience, should not be included. PRM understands that this is only an estimate and uses the number to approximate how much of our funds are being used to address GBV in emergencies. Applicants are also asked to provide an estimate of cost of these activities by objective. PRM’s budget template document contains a line reflecting this requirement, where this number can be included.

• Recipient’s Share of Cost: Applicants should note that cost-sharing is not a requirement for PRM programs.