PRM General NGO Guidelines FY 2022 (1) (2).pdf

United States Department of State

Washington, D.C. 20520

Page | 1

General NGO Guidelines

Bureau of Population, Refugees, and Migration

Effective Period: Effective November 2021

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. Application 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: Program Proposal Checklist

Appendix B: PRM Policies and Program Standards

1. Sphere Minimum Humanitarian Standards o Urban Refugee Policy o Protection o Protection Mainstreaming o Community-based 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. Protection from Sexual Exploitation and Abuse

7. Risk Management

8. Safety and Security

9. Environmental Protection

Appendix C: Programmatic Sectors, Modalities, and Standardized Indicators

1. “Sense of Safety”

2. Capacity Building o Capacity Building: NGO/CBO o Capacity Building: Local Governments

3. Cash and Voucher Assistance (CVA)

4. Core Relief Items

5. Inclusion of Persons with Disabilities

6. Education

7. Food Security

8. Health o Health: Reproductive Health

9. Livelihoods and Economic Empowerment

10. Mental Health and Psychosocial Support (MHPSS)

11. Nutrition

12. Protection o Legal o Child Protection o Gender Based Violence (GBV)

13. Shelter

14. Socio-cultural Inclusion and Social Cohesion

15. Water, Sanitation, and Hygiene (WASH)

Appendix D: Budget Detail Instructions

Appendix E: Budget Narrative Instructions

Appendix F: Risk Analysis Instructions and Template

Appendix G: Proposal and Concept Note Scorecard Examples

Appendix H: Form 424 Instructions

Appendix I: Form 424A Instructions

Introduction

The Department of State Bureau of Population, Refugees, and Migration (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 complement 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 to provide feedback? Please email PRM’s NGO

Coordinator at PRMNGOCoordinator@state.gov.

1. What’s New and What Has Changed?

Based on updated standards and forms, Departmental guidance, consultations within PRM (also referred to in these guidelines as the “Bureau”), and helpful feedback from the NGO community, we continue to strive to make our guidelines and requirements clearer and more explicit throughout the document and provide more effective life-saving assistance to the world’s most vulnerable. The following encompasses many of the changes that pertain to the NGO guidelines;

1. Changes in Notice of Funding Opportunity (NOFO) Deadlines: PRM has re-evaluated the deadline requirements for NOFO and CN advertisements to lessen confusion and offer applicants additional time to complete their submissions on the day of application deadlines. Applicants should pay close attention to the date and time deadlines of posted NOFOs and CNs on grants.gov.

2. Revised Programmatic Sectors/modalities and Definitions: PRM has revised the Bureau’s listing of programmatic sectors and associated definitions. See Appendix C for more information.

3. Updated and Corrected Website Links/UEI Transition: Attention has been made to providing updated links to resources which may have been outdated or no longer active, particularly for internal

USG websites such as SAM.gov which has undergone substantial changes in the last year. The guidelines also include information about the Spring 2022 transition to the SAM.gov Unique Entity

Identifier (UEI).

4. Scorecard Examples: Scorecard examples for complete Notice of Funding Opportunity (NOFO) proposal packages of which PRM panelists use to review proposal packages have been revised to reflect the revised Proposal Narrative template more clearly. This example scorecard helps applicants to ensure their proposal narrative meets PRM’s panel review metrics. See Appendix G for more information.

mailto:PRMNGOCoordinator@state.gov

5. Updated SF-424 / SF-424A Instructions: Instructions for these required forms have been updated to reflect updated versions to these forms which are part of the grants.gov application process. A reminder, SF-424 forms submitted as part of the application process must be signed upon completion.

6. Proposal Checklist: See updated requirements for documents that must be submitted as part of a complete proposal package in Appendix A and the Administrative Requirements section of these guidelines.

7. Updated Concept Note (CN) and Proposal Templates: We encourage applicants to familiarize themselves with revisions to the concept note and proposal narrative templates (single and multi-year) for PRM funding. Revisions have been made to the CN template to include a new table cover page.

Proposal narrative program description sections have been updated to highlight specific emphasis on the gender analysis and protection mainstreaming. Applicants are encouraged to be succinct and concise in

Section 2 Gap Analysis of the program proposal narrative, and strongly encourage applicants to limit the narrative in this section to no more than one page. The proposal template also includes a section on how applicants should assess and analyze the ways in which the proposed program will uphold Sphere

Protection Principles and mitigate potential protection risks because of proposed activities (under the program description). Assistance activities should mainstream protection by analyzing the protection risks in relation to each specific programming sector.

8. Protection from Sexual Exploitation and Abuse (PSEA) Code of Conduct Requirements:

Organizations are now required to submit their PSEA Code of Conduct and a country or regional implementation plan specific to the country or region of the application at the time of submission of their application packages (previously provided before issuing awards). Please ensure that your organization has a PSEA Code of Conduct that is consistent with the 2019 IASC Task Force’s Six

Principles Relating to Sexual Exploitation and Abuse when you are considering competing for PRM funding or it may risk a delay in finalizing the cooperative agreement (See Appendix B, section A.B.6 in the NGO Guidelines for more details).

9. Revisions to Required Reporting on Accountability to Affected Populations (AAP): Organizational

AAP frameworks are now required to be submitted by all applicants at the time of application submission (Previously, only those organizations that had not received PRM-funding since 2016 or after were required to submit.) Additionally, in line with Congressional requirements, organizations are required in quarterly reporting to provide specific examples of how beneficiary feedback has been obtained during the given program and how organizations responded to such feedback, including changes to programming decisions.

2. Application Process

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

2.A. Overview of the Application Process:

• Organizations should not wait for Notice of Funding Opportunity announcements to be posted to start the registration process outlined below. Organizations can undertake this process at any time, and PRM encourages potential applicants to do so to avoid complications in future application submissions.

• Organizations considering applying for specific PRM funding opportunities should start the application process as early as possible to avoid missing submission deadlines and to ensure that they can obtain any additional required registrations in ample time.

• Preparing to apply for PRM funding is a multi-step process that can take several weeks for U.S. NGOs and considerably longer for non-U.S. organizations.

• Given potential processing delays and staffing shortages in light of COVID-19, some of the registration steps outlined below may take additional time to complete. These functions are largely outside the https://handbook.spherestandards.org/ https://handbook.spherestandards.org/ https://interagencystandingcommittee.org/inter-agency-standing-committee/iasc-six-core-principles-relating-sexual-exploitation-and-abuse https://interagencystandingcommittee.org/inter-agency-standing-committee/iasc-six-core-principles-relating-sexual-exploitation-and-abuse https://www.state.gov/other-policy-issues/accountability-to-affected-populations/ control of PRM and the Bureau has limited ability to correct or facilitate rapid resolution to technical difficulties associated with these processes.

To begin the process of seeking PRM funding, applicants must:

• Obtain a Data Universal Numbering System (DUNS) number for their organization;

a. Note: Starting on April 4, 2022, the DUNS Number will be replaced by a “new, non-proprietary identifier” requested in, and assigned by, the System for Award Management

(SAM.gov). This new identifier is being called the SAM.gov Unique Entity Identifier (UEI).

For more information on the process and to stay apprised of updates to the transition, please visit the following sites:

i. https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update

ii. https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0046482&s ys_kb_id=6b8149b2db2e7c10060d5425f39619a8&spa=1

iii. https://www.fsd.gov/sys_attachment.do?sys_id=ebaa950d1b6a7850fe314000f54bcb9

• 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 Authorized Organization

Representative (AOR) profile; and

• Confirm, through the E-Business Point of Contact (E-Biz POC) at the organization, that the applicant has an AOR.

PRM posts all funding opportunities on the website www.Grants.gov, PRM’s website, and all programs in the

Assistance Listings on SAM.gov (formerly Catalog of Federal Domestic Assistance [CFDA]).

All concept note and proposal applications in response to PRM Notice of Funding Opportunity announcements must be submitted via Grants.gov.

PRM's Assistance Listings 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) at any time; you do not need a U.S. government grant nor do you actively need to be in the process of applying for one. 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 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.

Please consult the information in 2.A. about the DUNS to SAM.gov UEI transition.

https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.gsa.gov/about-us/organization/federal-acquisition-service/office-of-systems-management/integrated-award-environment-iae/iae-systems-information-kit/unique-entity-identifier-update https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0046482&sys_kb_id=6b8149b2db2e7c10060d5425f39619a8&spa=1 https://www.fsd.gov/gsafsd_sp?id=kb_article_view&sysparm_article=KB0046482&sys_kb_id=6b8149b2db2e7c10060d5425f39619a8&spa=1 https://www.fsd.gov/sys_attachment.do?sys_id=ebaa950d1b6a7850fe314000f54bcb94 https://www.fsd.gov/sys_attachment.do?sys_id=ebaa950d1b6a7850fe314000f54bcb94 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

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. Organizations based outside the United States must also request and receive an NCAGE code prior to registering with SAM.gov (NCAGE codes must also be renewed every five years.) 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 concept notes or proposals are issued. Detailed instructions on how to complete this registration process can be found here. When organizations register on SAM.gov, they will be asked to identify a single “E-Biz Point of Contact” for the organization. This person has the responsibility to confirm which individuals have the authority to submit proposals on behalf of the organization.

Potential applicants should be alerted that SAM.gov is a free government-managed website; applicants do not need to pay to have their organization registered. The Department of State’s 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/UEI 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 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.

Grants.gov uses 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. You should plan to use this new system when applying. For more information on how to use Workspace, please see the

Grants.gov YouTube channel.

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).

PRM has limited ability to correct or facilitate rapid resolution to technical difficulties associated with these sites and should not be contacted before first attempting to correct issues through the above support systems.

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. Application Submission and Review

• PRM strongly recommends application packages be submitted in Adobe PDF (except budgets), as

Microsoft Word documents may sometimes produce different page lengths based on software versions and configurations. (Note: If converting a Microsoft Word document to a PDF, ensure that converted documents remain within the permitted page length limits) http://www.sam.gov/ http://www.sam.gov/ https://eportal.nspa.nato.int/AC135Public/scage/CageList.aspx 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/web/grants/applicants/workspace-overview.html https://www.youtube.com/channel/UCc7tRM0vKkTMpxucO7iYPzQ mailto:support@grants.gov https://www.fsd.gov/gsafsd_sp https://www.fsd.gov/gsafsd_sp

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

• All documents must be in English and cost amounts in U.S. Dollars. For documents (such as PSEA

Codes of Conduct, security plans, or organization charts, etc.) originating in another language, please provide an English translation or comparable summary.

• All NOFO announcements are listed on Grants.gov as well as on PRM’s website.

PRM conducts formal internal competitive reviews of all application packages based on the proposal evaluation criteria and PRM’s priorities stated in the NOFO. A sample scorecard to evaluate NGO applications can be found in Appendix G.

PRM accepts unsolicited concept notes and 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 at PRMNGOCoordinator@state.gov.

Proposals must be focused along the sectors/modalities, and incorporate the corresponding indicators, specified in the NOFO. All proposals using cash and/or voucher assistance as a modality must use the relevant CVA indicator(s). Programmatic sectors and/or standardized indicators include the following (see Appendix C for sector descriptions and indicators):

NOTE: All proposals must include the required "sense of safety and wellbeing" indicator, regardless of sector.

1. Capacity Building o Capacity Building: NGO/CBO o Capacity Building: Local Governments

2. Cash and Voucher Assistance (CVA)

3. Core Relief Items

4. Inclusion of Persons with Disabilities

5. Education

6. Food Security

7. Health o Health: Reproductive Health

8. Livelihoods And Economic Empowerment

9. Mental Health and Psychosocial Support (MHPSS)

10. Nutrition

11. Protection o Protection: Legal o Protection: Child Protection o Protection: GBV

12. Shelter

13. Socio-cultural Inclusion And Social Cohesion

14. Water, Sanitation, Hygiene (WASH)

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 for single and multi-year submissions

• Budget Summary

Full Application Package Templates:

• Proposal Narrative for single year submissions

• Proposal Narrative for multi-year submissions

• Budget Summary http://www.state.gov/j/prm/funding/index.htm mailto:PRMNGOCoordinator@state.gov?subject=PRM%20NGO%20Templates

• Budget Detail

• Budget Narrative

• Risk Analysis

To request copies of all PRM-recommended templates, send an email with only the phrase PRM NGO

Templates (exactly as written in bold) 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 proposal narratives must not be more than 10 pages in length

(15 pages for multi-year proposals). If an NGO is using PRM’s templates, proposal narratives must not be more than 15 pages in length for single-year applications, and 20 pages for multi-year funding proposals.

(Note: Documents written in a language other than English will be disqualified. PRM strongly recommends application packages be submitted in Adobe PDF, as Microsoft Word documents may produce different page lengths based on software versions and configurations. (If converting a Microsoft Word document to a PDF, ensure that documents remain within the permitted page length limits)

All proposals (except budget templates) must use Times New Roman 12-point font (footnotes may be 8-point font, if necessary), on letter sized paper with one inch margins on all sides. Organizations may choose to attach charts, work plans, activity calendars, and/or logical frameworks as an addenda or appendices to the proposal but are not required to do so. These attachments do not count toward the page limit total;

however, annexes cannot be relied upon as a key source of program information and should be included in moderation. The proposal narrative must be able to stand on its own in the application process and serves as a primary basis for the panel review’s scoring.

For proposals related to Refugee Resettlement, see the relevant NOFO 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 should be made as short as possible; names cannot be longer than 50 characters.

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.

• Additional information on grants.gov applications, including using attachments, UEI rollout information and other best practices may be found here.

3.B. Instructions for Completing the PRM Proposal Narrative Template: Use the following guidelines to address each section of the proposal. If organizations choose not to use the PRM narrative 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, DUNS number, name of program, type and number of beneficiaries, proposed start and end dates, 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, https://www.grants.gov/applicants/applicant-faqs.html and/or other 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 capacity 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 proposed activity 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 that 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.

NOTE ON COVID-19: PRM recognizes the difficult circumstances under which organizations are currently operating because of the COVID-19 pandemic and will take them into consideration in proposal reviews. To the extent possible, organizations should address how COVID-19 and resulting risks, restrictions, and limitations will factor into their designated programs and attempt to ensure that proposed indicators and activities can be implemented under the challenging circumstances created by the COVID-19 pandemic.

o Section 4a: 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 because 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.

PRM strongly encourages its partners to ensure that projects adhere to the IASC Guidelines on

Inclusion of Persons with Disabilities in Humanitarian Action. Applicants may introduce gender-specific risks in this section but provide a full analysis in the next section (4f).

https://handbook.spherestandards.org/ http://www.globalprotectioncluster.org/themes/protection-mainstreaming/ https://interagencystandingcommittee.org/iasc-task-team-inclusion-persons-disabilities-humanitarian-action/documents/iasc-guidelines https://interagencystandingcommittee.org/iasc-task-team-inclusion-persons-disabilities-humanitarian-action/documents/iasc-guidelines

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.

o Section 4b: Gender Analysis: For all applications, the program description should 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 applicants 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, queer, or intersex (LGBTQI+), women and girls with disabilities, women and girl survivors 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.

• Section 5: Objectives and Indicators: All program objectives and indicators must be included in the proposal narrative under Section 5 and not as a separate attachment. The following guidelines apply to any objectives and indicators included in proposals. The types and number of indicators will vary depending on the program design. Strong indicators will be specific, measurable, 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.

• Sphere Standards should be used as targets, unless otherwise noted.

Standardized Indicators: In an effort to streamline the proposal writing/reviewing process and better measure the impact of the Bureau’s work, proposals must include at least one of PRM’s standardized indicators that apply to the program per sector, if applicable. Applicants are not prohibited from including custom indicators, particularly for sectors where no standardized indicator is listed. Applicants must fill in numerical and/or percentage targets for each indicator. Please see Appendix C for a list of programmatic sectors and modalities and descriptions of relevant standardized indicators.

Objectives must correspond with the programmatic sectors in Appendix C and will also be required in the budget detail attachment. Each objective should have at least two indicators. Each objective must have at least one outcome or impact indicator that can be measured in a 12-month timeframe. In 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 https://spherestandards.org/ https://spherestandards.org/ addition, multi-year proposals must specify objectives and indicators for each year of the program, including breakdowns of targets by year, and are strongly encouraged to include an impact indicator that can be measured over the full program duration. The following definitions are taken from the Department of State’s Office of Foreign Assistance and Bureau of Budget and Planning.

• 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.

• Input: Input indicators tell us what is being invested or done:

o Example of Input Indicator: Number of staff hired or number of trainings held.

• 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?”

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

o Example of Output Indicator: Percentage of students attending classes regularly.

o Example of Output Indicator: Number of students enrolled (disaggregated by age, gender)

• 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.

o 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%).

o Example of Outcome Indicator: Percentage of students showing an improvement between mid and final exams (disaggregated by school, gender, age)

• 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).

o Example of Impact Indicator: Percentage of out-of-school children participating in program that enroll in public schools for the following school year.

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 https://www.state.gov/foreign-assistance-resource-library/ starts that is used to measure change and monitor 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. General information on how to plan a baseline study in a humanitarian context may be found here.

• 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.

PRM requires all overseas assistance program proposals must include the following protection outcome indicator under one of the objectives, regardless of sector:

o 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 program. 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.

• 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 progress that iterates the informational needs of the program across its cycle;

• Plan for data collection, management, and analysis;

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

• Citation of secondary data

• Staff responsible for monitoring and evaluation; and

• How problems identified during monitoring will be addressed, including plans for an assessment of impact.

• Section 7: Accountability to Affected Populations (AAP): Specifically for the proposed program, describe (1) how the target beneficiary 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 AAP can be found at the IASC’s Results Group (RG2) portal and resource library, PRM’s AAP webpage and the Core Humanitarian Standard Alliance Frequently Asked Questions on

AAP resource page.

https://www.fsnnetwork.org/sites/default/files/mekb_module_10.pdf https://interagencystandingcommittee.org/results-group-2-accountability-and-inclusion https://interagencystandingcommittee.org/results-group-2-accountability-and-inclusion https://www.state.gov/other-policy-issues/accountability-to-affected-populations/#:~:text=Demonstrating%20accountability%20to%20affected%20populations%20in%20all%20programs,programming%20that%20is%20more%20inclusive%2C%20responsive%2C%20and%20transparent.

https://www.chsalliance.org/get-support/accountability/ https://www.chsalliance.org/get-support/accountability/

(Note: This section in the proposal narrative is specific to the program being proposed and is distinct from the organization-level AAP framework requirement.)

• Section 8: Coordination: Describe the level of cooperation and coordination with relevant stakeholders including international organizations, other 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 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 wish to provide a letter of support from UNHCR or the relevant agency specific to the proposal (this is not an application requirement) and share how 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).

• Note - Applicant Vetting as a Condition of Award (Afghanistan, Iraq, Lebanon, Pakistan, Syria, and Yemen): Applicants are advised that successful passing of vetting to evaluate the risk that funds may benefit terrorists or their supporters is a condition of award. Vetting information is also required for all sub award performance on assistance awards identified by the Department of State as presenting a risk of terrorist financing. Applicants may be asked to submit Risk

Analysis information about their company and its key personnel via the secure web portal at https://ramportal.state.gov. If vetting is required, the Department of State’s Risk Analysis and

Management System (RAM) Team will contact applicants directly via email and instruct them on how to enter their data via the Secure Portal. Once a user is logged on to the Portal, there are links to help users input the required information. Failure to submit information when requested, or failure to pass vetting, may be grounds for rejecting your proposal.

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.

o 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. The consortium arrangement may allow for greater geographic coverage, inclusion of technical and sectoral strengths from multiple organizations, increased inclusion of local and national organizations, and the potential of much https://ramportal.state.gov/ greater impact through collaboration. If the applicant is applying as a consortium, 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. For consortia, one organization must be designated as the lead applicant. The prime applicant would be responsible for overall implementation of the proposed program activities, preparation/presentation of annual work plans, M&E planning, and required reporting to PRM. The prime applicant should designate a single individual to be the liaison with PRM, although PRM would reserve the right to communicate with sub-grantees.

Applicants may form consortia in order to bring together organizations with varied expertise to propose a comprehensive program in one proposal. Submissions by organizations as part of a consortium do not count toward an individual organization’s submission limit per a given

NOFO’s requirements.

• 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/UEI, 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 PRM Grants Officer approval prior to a sub-award or sub-contract before or after a prime award is issued.

Note: All partners in a consortium and all sub-contracts/recipients to a prime must obtain a DUNS number or register for a SAM.gov UEI prior to an award or subaward being issued, however sub-awardees do not need to have a DUNS/UEI prior to application. See section 2.A. for information on the DUNS to UEI transition. Lead Applicants cannot apply through Grants.gov without being registered in SAM.gov and therefore must have a DUNS/UEI.

• 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.E. for more details on U.S. government recognition requirements, of both awardees and sub-awardees, and reporting and compliance requirements for both.

3.C. Cost Proposal (Budget): PRM’s recommended budget detail template delineates expenses by program objective, sector/modality, 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.

(a) The Cost…