Detailed Information on the
Migration and Refugee Assistance -- Protection Assessment

The Administration will reexamine its annual performance measures as they support the long-term goal of reducing the overall refugee population to determine whether it is appropriate to create an additional measure to track progress toward the long-term goal.

PRM will develop with UNHCR a new protection staffing measure in order to replace the completed measure in the 2009 U.S. - UNHCR Framework for Cooperation

PRM will develop with ICRC a new measure for improving family links that directly relates to its Restoring Family Links Strategy (and Implementation Plan) for the International Red Cross and Red Crescent Movement 2008-2018. This new measure will replace the current PART measure on red cross messaging.

The Administration will continue to improve and standardize the program's budget presentation documents to ensure that budget requests are clearly linked to program goals and performance measures.

The Administration will review the findings of the 2006 Inspector General's review of the Bureau and address any areas for improvement identified for the protection and durrable solutions program.

Measure: Number of countries with effective registration capacity in refugee situations (2007 and 2008 reflect number of countries using the system post-deployment).

Explanation:Refugee registration is a means of identifying vulnerable individuals in need of protection, including resettlement to a third country, and accurately determining the scope of humanitarian needs. Project Profile is a system that enables UNHCR to conduct registrations according to universal standards (data is comparable across different regions or contexts) in an efficient manner.

Measure: Number of countries in which UNHCR has deployed its refugee registration system, "Project Profile". (2007 & 2008 reflect number of countries using the system post-deployment).

Explanation:Project Profile is a new registration system supported by UNHCR. Through 2006, effective registration capacity refers to number of governments to which Project Profile has been deployed. After 2006, effective registration capacity refers to the number of these governments actively using Project Profile. Effective registration capacity refers to UNHCR's deployment of Project Profile through 2006, followed by the government's operation of Project Profile alone or jointly with UNHCR in 2007 and beyond.

Measure: ICRC's field protection program costs as a percentage of total protection costs (including HQ protection support).

Explanation:Efficiency of managing the International Committee of the Red Cross's protection activities, as measured by the portion of total protection costs devoted to field activities. Determined by the ratio of total field protection costs to total direct headquarters protection costs plus total field protection costs (CHF in thousands).

Measure: Percentage increase in ratio of number of Red Cross Messages collected and distributed in countries where ICRC cooperates with National Societies to number of countries where ICRC cooperates with National Societies.

Explanation:Restoring family links is an important aspect of protection. Building national capacity is a key strategy in achieving protection results (i.e., reuniting family members), and a positive step in responsibility-sharing with local partners.

Measure: Ratio of number of Red Cross Messages collected and distributed in countries where ICRC cooperates with National Societies to number of countries where ICRC cooperates with National Societies

Explanation:This measure focuses on the capacity of National Societies to collect and distribute Red Cross Messages in cooperation with ICRC, as a critical aspect of restoring family links. In 2004, ICRC cooperated with National Societies in 32 countries (A) where 1,087,664 Red Cross Messages were collected and distributed (B). The ratio of B to A equals 33,989:1. The program has set targets to increase this ratio by approximately 2% per year.

Measure: Number of new national laws adopted each year by States to implement obligations under international humanitarian law (IHL).

Explanation:ICRC's Advisory Service on IHL assists and tracks States' development of national legislation to implement IHL obligations. The adoption of national legislation signifies a positive outcome of ICRC activities. Over the past 9 years, the number of new national laws adopted each year has ranged between 16 and 29. ICRC has collected information on approximately 700 laws in 60 countries, and estimates that full implementation of the 26 main IHL treaties would require a cumulative total of roughly 1800 laws.

Measure: Number of fully funded permanent, international, professional posts in the "protection" area that exist within UNHCR.

Explanation:The presence of staff with specific protection expertise and responsibilities is critical to providing both legal and practical protection for vulnerable individuals and groups. By co-locating with refugees, UNHCR protection officers are better positioned to prevent abuses and increase accountability for perpetrators.

Measure: Number of UNHCR protection posts worldwide. (3 components: support for previously created posts; cumulative posts mainstreamed into UNHCR's budget; new posts)

Explanation:Creation of a separate UNHCR budget mechanism to provide funding for creation of additional posts with UNHCR in the "protection" area, and annual progress toward creation, funding and mainstreaming of these positions. Annual targets 2005-2008 are threefold: a) Sustain support each year for posts previously created (earmarked by PRM); b) number of posts mainstreamed in UNHCR's budget (cumulative, no PRM earmark); c) number of posts newly supported/ created each year (earmarked by PRM). (Baseline: 4/1/2003)

Measure: Percent reduction of long-standing global refugee population due to achievement of durable solutions.

Explanation:Successful voluntary repatriation programs illustrate PRM's contribution to durable solutions for refugees. The bureau collaborates with a range of USG and international partners to resolve complex emergencies or protracted situations and achieve favorable conditions for return. Access and security in countries of return are unpredictable, as they depend on a number of considerations, including government support, the actions of other stakeholders, transportation infrastructure and regional weather patterns. Performance may be impacted by the emergence of new refugee populations, and reflects the collective actions of the USG, other governments, and a range of international partners. Data are supplied by UNHCR.

Is the program purpose clear?

Explanation: The purpose of the program is to ensure access to effective protection for refugees, conflict victims, and, in certain cases, internally displaced persons. The State Department's Bureau of Population, Refugees, and Migration is the U.S. Government entity authorized through the Migration and Refugee Assistance Act of 1962, as amended, to provide contributions to the International Committee of the Red Cross (ICRC) and the Office of the United Nations High Commissioner for Refugees (UNHCR), the principal international organizations mandated to protect refugees, conflict victims, and, in certain cases, internally displaced persons. ICRC's mandate is "to protect the lives and dignity of victims of war and internal violence and to provide them with assistance." UNHCR's mandate is "to lead and coordinate international action for the worldwide protection of refugees and the resolution of refugee problems."

Evidence: Migration and Refugee Assistance Act of 1962, as amended; 1951 Refugee Convention and 1967 Protocol Relating to the Status of Statute of Refugees; Geneva Conventions and Additional Protocols; Statute of the Office of the United Nations High Commissioner for Refugees; FY 2006 PRM A/S Statement and Bureau Performance Plan (HT.01) as in Congressional Presentation Document.

Does the program address a specific and existing problem, interest, or need?

Explanation: This program addresses the special protection needs of refugees, conflict victims, and in certain cases, internally displaced persons (IDPs), including nearly 17 million "persons of concern" to UNHCR and tens of millions of beneficiaries of ICRC's activities. Protection includes "all activities aimed at ensuring the full respect for the rights of the individual in accordance with the letter and the spirit of relevant bodies of law;" this program is particularly concerned with protection derived from international refugee and humanitarian laws, including 'practical' protection in the field. As guardian of the four Geneva Conventions of 1949 & two Additional Protocols of 1977, and the founding body of the International Red Cross and Red Crescent Movement, ICRC has a permanent mandate under international law to take impartial action for prisoners, the wounded and sick, and civilians affected by conflict. UNHCR is one of the world's principal humanitarian agencies, with a mandate to protect refugees. The USG program supports the protection activities of ICRC & UNHCR.

Evidence: PRM's Organizational Policy and Program Implementation Paper for ICRC for 2005; PRM's Organizatonal Policy and Program Implementation Paper for UNHCR for 2005; N/M PPRC on Funding for additional UNHCR Protection/Community Services Positions 2004; N/M PPRC on Supporting the UNHCR/IRC Protection Surge Capacity Project for 2004; N/M PPRC: International Institute of Humanitarial Law for 2005; ICRC Operations in 2004: A Few Facts and Figures; ICRC Presentation to donors 2005; Addressing the Needs of Women Affected by Armed Conflict: An ICRC Guidance Document; ICRC's Strengthening Protection in War: A Search for Professional Standards; DSG meeting- Brussels 2003: Protection and Assistance - working document; Toward a Protection Strategy for Darfur, 2004

Is the program designed so that it is not redundant or duplicative of any other Federal, state, local or private effort?

Explanation: UNHCR and ICRC each have unique protection mandates under international law, and special expertise in protecting refugees, conflict victims, and, in certain cases, IDPs. U.S. government support for UNHCR and ICRC has been authorized by Congressional legislation. This State Department program is the sole source of USG funds for UNHCR, and the sole source of USG funds for ICRC protection activities, thereby avoiding any redundancy. USAID provides minimal support to ICRC assistance activities (usually in-kind) on a case-by-case basis in close coordination with this State Department program.

Evidence: Migration and Refugee Assistance Act of 1962, as amended; 1951 Refugee Convention and 1967 Protocol Relating to the Status of Refugees; Geneva Conventions and Additional Protocols; Statute of the Office of the United Nations High Commissioner for Refugees; FY 2006 PRM A/S Statement and Bureau Performance Plan (HT.01) as in Congressional Presentation Document; PRM-DCHA Coordination and Funding Guidelines in Complex Humanitarian Emergencies and Aide Memoire

Is the program design free of major flaws that would limit the program's effectiveness or efficiency?

Explanation: This program provides funding support and policy direction on a multilateral basis (through international organizations), as the optimal way to address protection needs. Direct USG programs would be insufficient to meet the large scope of protection needs, and would contradict humanitarian principles of neutrality and impartiality that are critical to protection. The USG endorses the protection mandates of UNHCR and ICRC. As a member of UNHCR's Executive U.S. can promote its objectives and demonstrate leadership, while sharing the costs and preserving the neutral and impartial nature of protection work. However, the U.S. does not have sole control over the direction of multilateral organizations like UNHCR and ICRC, nor can it guarantee that the organizations will receive adequate resources to carry out their mandates. Also, state authorities have primary protection responsibility for refugees, conflict victims and IDPs present in their countries; their actions can have a significant impact on the program's effectiveness or efficiency.

Evidence: ICRC Donor Support Group 2004: Preparatory Meeting for Permanent Missions, 13 February 2004; ICRC Donors Support Group Field Visits 2004: Terms of Reference; PRM Preparatory material for ICRC DSG June 3, 2004; Brussels 3083: ICRC Donor Support Group Meeting in Brussels 2003; USG statements at the Plenary and on Protection at the 55th Session of UNHCR's Executive Committee meeting

Is the program design effectively targeted so that resources will address the program's purpose directly and will reach intended beneficiaries?

Explanation: PRM responds to funding appeals by UNHCR and ICRC that are issued by region, country and activity. The U.S. provides the majority of its funding at the regional and subregional level to allow operational flexibility. However, it emphasizes providing protection where most needed: in the field. Nearly 95% of ICRC protection resources are devoted to field activities, reaching beneficiaries in 80 countries. ICRC's Planning for Results budget process places beneficiaries at the center of integrated budget and planning activities and requires managers to develop programs that are oriented to the target population, focused on results & performance, and promote innovation and learning. PRM supports additional UNHCR field protection positions, and the deployment of an effective registration system. UNHCR field protection officers are better positioned to prevent abuses & increase accountability for perpetrators. Registration is a means of identifying vulnerable individuals in need of protection, and accurately determining the scope of humanitarian needs.

Evidence: ICRC Emergency and Headquarters Appeals 2005; ICRC Annual Report 2003; ICRC Planning for Results: Guidelines; Discover the ICRC; ICRC Presentation to donors 2005; U.S. contribution letter to UNHCR, March 11, 2004; State 53414; PRM contribution to ICRC, 2004; Chart of USG contributions to UNHCR; Chart of USG contributions to ICRC; DSG Meeting - Brussels 2003 - Protection and Assistance - working document

Does the program have a limited number of specific long-term performance measures that focus on outcomes and meaningfully reflect the purpose of the program?

Explanation: The long-term performance measures are based on key program priorities and include increasing local partners' capacity to restore family links, deployment of an effective refugee registration system, increasing refugee protection staffing, and promoting durable solutions for refugees through voluntary repatriation in safety and dignity. Additional long-term goals are included in the USG-UNHCR Framework for Cooperation and Bureau policy papers.

Evidence: USG-UNHCR Framework for Cooperation, 2004; List of 27 new protection-related positions in UNHCR; UNHCR's Refugee Trends 2004; Africa Dialogue: Update of Main Voluntary Repatriation Operations in Africa 2004 and 2005; Indicators for ICRC's protection programmes; ICRC Annual Report 2003; FY 2006 PRM A/S Statement and BPP (HT.01) as in Congressional Presentation Document

Does the program have ambitious targets and timeframes for its long-term measures?

Explanation: This program has set the following targets to be achieved by or before the end of 2009: increasing local partners' capacity to restore family links by 10%; worldwide deployment of an effective registration system; establishing 50 additional UNHCR international protection posts and getting 40 mainstreamed into UNHCR's budget permanently or supported by other donors; and reducing the global refugee population by 25% through the achievement of durable solutions in safety and dignity.

Evidence: FY 2006 PRM A/S Statement and BPP (HT.01) as in Congressional Presentation Document; USG-UNHCR Framework for Cooperation, 2004; National Implementation of International Humanitarian Law: Biennial Report 2002-2003

Does the program have a limited number of specific annual performance measures that can demonstrate progress toward achieving the program's long-term goals?

Explanation: Each long-term performance measure has at least one accompanying annual performance measure that is aggressive and demonstrates the accomplishment of the long-term goal.

Evidence: FY 2006 PRM A/S Statement and BPP (HT.01) as in Congressional Presentation Document; USG-UNHCR Framework for Cooperation, 2004; National Implementation of International Humanitarian Law: Biennial Report 2002-2003; Indicators for ICRC's protection programmes

Does the program have baselines and ambitious targets for its annual measures?

Explanation: Each of the annual goals has baseline figures and outyear goals that represent a significant increase in the performance of the program. For example, in 2003 UNHCR's registration system was developed, and in 2004 the system was deployed in 19 countries with PRM support. For 2005, the goal is for PRM to support Project Profile's deployment in a total of 50 countries, with the long-term goal of supporting worldwide deployment and use of the system by host governments.

Evidence: FY 2006 PRM A/S Statement and BPP (HT.01) as in Congressional Presentation Document; USG-UNHCR Framework for Cooperation, 2004; National Implementation of International Humanitarian Law: Biennial Report 2002-2003

Do all partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) commit to and work toward the annual and/or long-term goals of the program?

Explanation: Program partners have been informed of the specific short- and long-term performance measures, and efforts in the past year demonstrate that they take USG priorities seriously and strive to address them. Peformance measures for ICRC were developed after substantial consultation and agreement between PRM & ICRC. During annual Donor Support Group (DSG) meetings, ICRC provides presentations and reports on its annual & long-term goals. PRM has used DSG meetings to convey its priorities, including the need for greater ICRC transparency and strategic planning. ICRC's strategic planning is well-developed today in part because it has responded vigorously to the urging of PRM and other donors. The U.S. & UNHCR's annual Framework for Cooperation represents a "policy commitment" (not legally binding), and is signed by the UN High Commissioner for Refugees and the Assistant Secretary of State for PRM. The Framework incorporates Protection PART measures relevant to UNHCR. Progress is tracked and reported by both parties, including through semi-annual discussions.

Evidence: USG-UNHCR Framework for Cooperation, 2004; Quarterly Report on Progress made towards the 2004 USG/UNHCR Framework for Cooperation; UNHCR's Agenda for Protection; Code of Conduct for the International Red Cross and Red Crescent Movement and NGOs in Disaster Relief; UNHCR Code of Conduct: Guidelines for Managers; Strengthening Protection in War: A Search for Professional Standards; Brussels 3083: ICRC Donor Support Group Meeting in Brussels 2003

Are independent evaluations of sufficient scope and quality conducted on a regular basis or as needed to support program improvements and evaluate effectiveness and relevance to the problem, interest, or need?

Explanation: The last bureau-wide evaluation was undertaken by the Department's Inspector General's (IG) office in 1995; the next IG review of PRM is planned for early 2006. In 2002, the IG reviewed the bureau's programs on behalf of refugee women, and in 2003 the Government Accountability Office (GAO) reviewed protection efforts on behalf of refugee women and girls. ICRC & UNHCR each submit to their own series of internal and external evaluations (the latter regularly engage independent consultants). ICRC conducts 5 types of evaluations according to its Planning for Results program cycle, following standard procedures & criteria established by ICRC's Evaluation Guidelines in 2002. UNHCR established its Evaluation & Policy Analysis Unit (EPAU) in 1999 and issued its evaluation policy in 2002, which includes principles of transparency, independence, consultation, relevance & integrity. Most UNHCR evaluations are available its website. UNHCR tracks implementation of the recommendations, and enforces the operational independence of its Inspector General.

Evidence: State Dept. IG review of PRM, 1995; GAO report on protection of refugee Women & Girls, 2003; State Dept. IG review of Refugee Women's Programs, 2002; Independent evaluation of UNHCR's Kosovo Women's Initiative, 2002; Ind. eval. of UNHCR activities to Protect Refugee Children, 2002; Ind. assessment of UNHCR's Policy on Refugee Women & Protection, 2002; Ind. eval. of UNHCR Community Services, 2003; UNHCR response to 3 Evaluations of Refugee Women, Children & Community Services Function; PRM responses to recommendations of IG review of Refugee Women's Programs; IG Memorandum of 4/30/03 indicating 2002 IG all but one recommendations are "closed;" IG email on compliance for closure of last recommendaton (#5); UNHCR Action Plan for Implementation of Recommendations from 3 evaluations; UNHCR's Evaluation Policy; UNHCR 31st Standing Committee: Oversight: Report of the Joint Inspection Unit; Head of UNHCR Evaluation Unit Gives Presentation to $20 Million Club; ICRC: Executive summaries of two ind. evals; ICRC Presentation to donors 2005; Ind. evals -- an ongoing process (ICRC)

Are Budget requests explicitly tied to accomplishment of the annual and long-term performance goals, and are the resource needs presented in a complete and transparent manner in the program's budget?

Explanation: While the State Department does not explictly tie budget requests to individual program goals, PRM has provided ample material to highlight how funding supports its protection objectives. Only 2 goals on the measures tab require direct resources to achieve: creation of UNHCR protection posts, and deployment of an effective registration system. Resource needs to support these goals have been clearly identified in budget requests. PRM submits information as to the cost to achieve protection goals; however, because PRM strives to integrate protection into all of its programs and protection is inextricably linked to assistance activities, a comprehensive amount is difficult to calculate. PRM's regionally earmarked funds to ICRC allow the greatest efficiency for the program to achieve its performance goals. When protection crises of high priority to PRM emerge, PRM funds ICRC to respond rapidly and to encourage other donors to meet those protection needs. ICRC's performance & response capacity are critical elements of PRM's funding decisions. Overhead costs are transparent: Increased one-time costs for ICRC's HQ in FY05 were clearly described and justified.

Evidence: FY 2006 PRM Congressional Presentation Document; FY 2006 PRM A/S Statement and BPP (HT.01) as in CPD; U.S. contribution letter to UNHCR, March 11, 2004; List of 27 new protection-related position in UNHCR; N/M PPRC: Haiti Humanitarian Crisis, 2004

Has the program taken meaningful steps to correct its strategic planning deficiencies?

Explanation: ICRC adopted Planning for Results (PfR) as a management methodology and integrated strategic planning/budgeting tool in 1998 for field operations and in 1999 for headquarters, and has adapted the tool based on experience. A jointly agreed upon Framework for Cooperation between the U.S. & UNHCR has provided the program with a new and important strategic planning tool. It lays out joint priorities, which the USG then works with UNHCR to advance. The Bureau's Policy and Program Review Committee (PPRC) provides a systematic process for establishing bureau policies and allocating program resources accordingly. The bureau established a Strategic Planning team with representatives from each office to enhance bureau-wide input on strategic planning decisions. Bureau staff meet regularly with the Department's RM/SPP staff to discuss strategic planning issues, and PRM worked closely with USAID to complete the first State-USAID Joint Performance Plan for FY 2006. PRM recently began using Abacus, a database system that tracks funding actions by strategic goal, among other criteria.

Evidence: ICRC; its ambitions and its will to act; ICRC document; Preformance Management-Planning, Monitoring and Evaluation; Policy and Program Review Committee Guidance for FY 2005; State-USAID FY 2006 Joint Performance Plan (esp. strategic Goal 10); ICRC PowerPoint on Budget-Performance Integration (slide 1= ICRC Change Process); DSG meeting - Brussels 2003: A closer Look at Avenir - Insight -Lessons - Recommendations; Brussels 3083: ICRC Donor Support Group Meeting in Brussels 2003; ICRC Planning Results: Guidelines; USG-UNHCR Framework for Cooperation, 2004; Indicators for ICRC's protection programmes; ICRC Programme of the Directorate 2003-2006

Does the agency regularly collect timely and credible performance information, including information from key program partners, and use it to manage the program and improve performance?

Explanation: The USG monitors progress through bilateral discussions with foreign governments, meetings with UNHCR & ICRC officials, participation in governing board meetings, inquiries & interventions by PRM staff, consultations with NGOs, and direct field monitoring by PRM Refugee Coordinators and Washington-based program officers. The USG maintains daily contact with UNHCR & ICRC in Geneva, and meets monthly with ICRC staff in Washington. UNHCR provides daily "Briefing Notes" and formal annual & semi-annual reports. ICRC reports on its performance semi-annually to its Donor Support Group and in its Annual Report. On monitoring field trips, PRM uses a template of standard questions to review performance. PRM tests the validity of data collected by consulting multiple sources. Performance data are reported in PRM offices' Daily Activity Reports, RefCoords' Weekly Activity Reports, cables & monitoring trip reports, and are included in PPRC documents to inform policy & funding decisions. PRM collects information quarterly and annually to establish baselines & report against targets.

Evidence: Ndjamena 281: ICRC Operations in Chad, February 23, 2005; Report of the ICRC DSG Field visit to the DRC, March 2003; PRM Belgrade Activities Report, October 2003; Bogota 3486: Ambassador's Meeting with ICRC Head of Delegation, April 2, 2004; Geneva 2823: ICRC/Darfur: Serious Breaches -Yes; Genocide - Won't Get Into The Debate, October 13, 2004; Geneva 247: Refugee Registration: UNHCR Establishes Support Group; Needs Pop Up All Over; PRM/MCE DAR of March 16, 2005 on Refugee Registration; Terms of Reference: Working session on standard reporting of the ICRC; State 26330: Letter of Concern to UNHCR Over Lack of Protection Staff in Guinea; PRM's "Nine Core Questions;" PRM M&E 2004 course materials; PRM's "Monitoring IOs Template;" PRM's M&E Course: Group Exercise on Monitoring & Evalustion Int'l Organizations; Summary of PRM's "Monthly" M&E training sessions; Monitoring Refugee Protection; Indicators for ICRC's protection programmes

Are Federal managers and program partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) held accountable for cost, schedule and performance results?

Explanation: PRM officers with direct responsibility for the program are evaluated annually on their efforts to advance program priorities, and awards and advancements are based on their efforts to accomplish these objectives. Continuing employment is contingent on performance of program duties. UNHCR and ICRC staff are evaluated on their performance in advancing their organization's strategic objectives, many of which coincide with stated U.S. priorities. Employee performance is considered as employees compete for ongoing assignments and advancements. In locations or for programs where partner performance is not acceptable, program funding may be withheld or funds may be earmarked to encourage cost, schedule and performance results.

Evidence: List of General Responsibilities of Program Officer - "Job Elements;" Sample Program Officer Performance Appraisal Report Form; Sample RefCoord Instruction Cable; ICRC Appraisal System in Brief; Sample ICRC Appraisal Report

Are funds (Federal and partners') obligated in a timely manner and spent for the intended purpose?

Explanation: USG funds are obligated and expended by program partners in a timely manner. In recent years, the first USG contribution has amounted to approximately 50% of the total for UNHCR and 65-75% of the total for ICRC, and has been given in December/February to to ensure both partners have funds to start the year and can plan appropriately for further fundraising. (The USG fiscal year starts earlier than that of other donors.) The USG makes subsequent contributions throughout the year to meet needs as they arise. Both organizations request use of USG funding only as it is needed to cover current expenditures. PRM's Comptroller reviews all payment requests submitted by ICRC to ensure that funds are requested only in amounts required to meet immediate cash needs. PRM seldom pays out the full amount of our contributions as a lump sum, unless to meet a justified emergency situation. UNHCR and ICRC each report on the overall use of donor contributions in their annual reports. When required, UNHCR provides the USG with special reports on specific earmarked contributions.

Evidence: UNHCR Global Report 2003; PPRC #2004-72: Chad and Darfur (Sudan) - Additional Support; ICRC financial drawdown request to PRM Conptroller's Office; ICRC Annual Report 2003; U.S. contribution letter to UNHCR, March 11, 2004; PRM contribution to ICRC, 2004; Chart of USG contributions to UNHCR; Chart of USG contributions to ICRC

Does the program have procedures (e.g. competitive sourcing/cost comparisons, IT improvements, appropriate incentives) to measure and achieve efficiencies and cost effectiveness in program execution?

Explanation: The efficiency measure seeks to ensure that a high percentage of ICRC's protection costs are devoted to field activities as compared to headquarters costs. Because ICRC already demonstrates a high level of efficiency in this regard (95.7%), the program aims to maintain this performance, and improve it slightly in future years. ICRC employs three databases to increase the efficiency and effectiveness of its protection activities: 1) PROT5 serves as central repository for ICRC staff to track registration of detainees, separated or missing children and other persons; 2) National implementation database available online tracks legislation and case law by country and subject in fulfillment of international humanitarian laws; and 3) Treaties database allows online searches of all IHL treaties and other documents. PRM recently adopted a database system (Abacus) that tracks programs by awardee, region/country, sector, keyword, strategic goal, funding amount, award status and other criteria. The system allows PRM to efficiently search, sort and report on basic program information.

Evidence: Abacus report of PRM funding actions related to protection, 2005; Abacus Database Application Implementation Plan, October 2004; Abacus Demo Powerpoint presentation, August 2004; ICRC Annual Report 2003; ICRC data for efficiency measure; PROT5: Special software for a special purpose (ICRC); CD-ROM of ICRC databases on International Humanitarian Law (inside IHL biennial report); http://www.icrc.org/ihl-nat; http://www.icrc.org/ihl; FY 2006 PRM A/S Statement and BPP (HT.01) as in Congressional Presentation Document

Does the program collaborate and coordinate effectively with related programs?

Explanation: PRM coordinates among many partner agencies so that USG funds best support protection needs. The Protection Policy team includes at least one representative from each PRM office, as do the bureau's UNHCR & ICRC policy teams. PRM presents funding requests to the PPRC, which further enhances internal coordination. PRM coordinates with other agencies to ensure appropriate USG response to protection issues, including other State Department bureaus, NSC, USAID, DHS & DOD. PRM collaboration with USAID is especially strong, and includes funding guidelines, the State-USAID Joint Performance Plan, a jointly drafted section on protection in the forthcoming Field Operations Guide, & shared training. The USG requires NGO partners to coordinate with UNHCR, advocates to the Inter-Agency Standing Committee, consults with InterAction's Protection Working Group, & urges coordination in the field. PRM seeks to improve coordination among donor governments by participating in the Good Humanitarian Donorship initiative, and by promoting multi-donor missions & information sharing.

Evidence: Principles and Good Practice of Good Humanitarian Donorship; ECHO/PRM/DCHA Strategic Dialogue: points on protection; Conclusion on the International Protection of Refugees adopted by UNHCR ExCom, 2005; Example PRM letters to fellow UNHCR donors; Sample PRM Cooperative Agreement including NGO instruction on coordination w/ UNHCR; NGO Projects Co-Funded by PRM & UNHCR; PRM Funding for Programs that Complement UNHCR Activities; IASC's "Growing the Sheltering Tree: Protecting rights through humanitarian action;" Protecting Refugees: A field guide for NGOs: Seville Agreement 1997; InterAction's "Practical Protection: A guidance booklet;" Report of Inter-Agency Stocktaking Meeting on Humanitarian Protection, Oct. 29, 2004; PRM Submission on protection to be included in forthcoming USAID Field Operations Guide; PRM PowerPoint presentation to DOD; ICRC Annual Report 2003

Does the program use strong financial management practices?

Explanation: PRM requires all partners to share annual audit reports, and tracks their efforts to address negative findings or critical recommendations. The Bureau's Office of the Comptroller reviews all audit reports of PRM-funded organizations (including those for which the Department is not the cognizant agency) for any unallowable costs or internal control issues, proactively issues letters conveying PRM's expectations of corrective actions, and monitors subsequent reporting to determine if remedial actions were taken. ICRC has rigorous financial management controls on three levels: the Control Commission reviews financial and budget statements to ensure ICRC's activities are conducted efficiently; the Internal Audit unit uses standard internal auditing methods to review activities annually at headquarters and in the field; external audits are conducted annually according to corporate standards by KPMG. The UN Board of Auditors conducts annual audits of UNHCR. The USG and other Executive Committee members have urged UNHCR to address problems quickly.

Evidence: Sample letters (3) from PRM Comptroller to NGOs regarding audit reports; Sumary Review of Partner Audit Reports (PRM Comptroller document); Statement by Kofi Asomani, UNHCR Inspector General at the 32nd Meeting of the UNHCR Standign Committee; ICRC 2004 Headquarters Planning and Budget Process; KPMG external audit reports of ICRC 2003 (7 documents); ICRC PowerPoint on Budget-performance Integration (slide 1= ICRC Change Process)

Has the program taken meaningful steps to address its management deficiencies?

Explanation: ICRC uses systematic evaluation to address deficiencies, covering segments of all regions, sectors & activities. Results are incorporated into the annual PfR process, by defining best practices, adapting procedures & adjusting training. In 2004, ICRC began reviewing all existing evaluation reports to develop recommendations for further improvements and an evaluation strategy for the future. PRM's concern that ICRC needed to diversify its staff beyond Swiss nationals has been increasingly satisfied. PRM & UNHCR have clear, agreed upon objectives, which enhance the USG's ability to manage this program. The Framework for Cooperation provides PRM with a set of review criteria for field operations. PRM ensures that UNHCR acts on USG priorities through earmarked contributions. PRM conducts a standardized M&E training course for all program officers, and monthly M&E trainings open to all bureau staff. PRM divides financial management functions between its Comptroller's Office and Office of Policy & Resource Planning, providing checks & balances for funding actions. PRM also funds external reviews of partners' activities, and developed efficiency measures for all its programs.

Evidence: Brussels 3083: ICRC Donor Support Group Meeting in Brussels 2003; USG-UNHCR Framework for Cooperation, 2004; Indicators for ICRC's protection programmes; ICRC: Executive summaries of two independent evaluations; ICRC PowerPoint on Budget-performance Integration (slide 1= ICRC Change Process); DSG Meeting - Brussels 2003: A closer Look at Avenir - Insight - Lessons - Recommendations; State 26330: Letter of Concern to UNHCR Over lack of Protection Staff in Guinea; PRM's "Nine Core Questions;" PRM Monitoring & Evaluation 2004 course materials (begins with table of contents); PRM's "Monitoring IOs Template;" PRM M&E Course: Group Exercise on Monitoring & Evaluating Int'l Organizations; Summary of PRM's "Monthly" Monitoring & Evaluation training sessions; Monitoring Refugee Protection

Does the program have oversight practices that provide sufficient knowledge of grantee activities?

Explanation: The U.S. is a member of ICRC's Donor Support Group (DSG) and of UNHCR's Executive Committee, and as such participates in annual DSG and ExCom meetings and reviews partners' activities, including reports provided by ICRC and UNHCR. The USG also meets frequently with ICRC and UNHCR on a bilateral basis. The program partner's field operations are monitored by the Bureau's field-based Refugee Coordinators and Washington-based program officers. ICRC and UNHCR headquarters activities are tracked daily by the Bureau's RMA office in Geneva, and a Bureau officer in Brussels monitors issues of importance with donor partners in the EC. Internal and external evaluations of ICRC and UNHCR activities further enhance the Bureau's oversight capabilities. ICRC and UNHCR provide extensive and valuable information on their programs through their publications and websites.

Evidence: Brussels 3083: ICRC Donor Support Group Meeting in Brussels 2003; USG-UNHCR Framework for Cooperation, 2004; UNHCR 31st Standing Committee: Oversight: Report of the Joint Inspection Unit; ICRC: Executive summaries of two independent evaluations

Does the program collect grantee performance data on an annual basis and make it available to the public in a transparent and meaningful manner?

Explanation: ICRC's exhaustive Annual Report publishes data on its protection activities worldwide and broken down by country and program. The report also includes detailed, qualitative performance data, for example, on specific new legislation passed in particular countries. The Bureau has posted the 2004 USG/UNHCR Framework for Cooperation on its publicly-accessible website. The Framework lays out key shared objectives for the program, as well as a brief review of issues of the previous year that require continued attention. Additional performance data is made publicly available through the Department's Performance Accountability Report, and through USG statements at UNHCR governing bodies. ICRC and UNHCR make available extensive performance and other protection-related information in publications and on their websites.

Evidence: FY 2004 Department of State Performance Accountability Report; PRM's website: http://www.state.gov/g/prm; ICRC's website: http://www.icrc.org: UNHCR's website: http:www.unhcr.ch; USG-UNHCR Framework for Cooperation, 2004; Terms of Reference: Working session on standard reporting of the ICRC; PRM Funding for Programs that Complement UNHCR Activities (provided to OCHA for posting to ReliefWeb)

Has the program demonstrated adequate progress in achieving its long-term performance goals?

Explanation: The program is on track to accomplish its annual goals, resulting in progress toward achieving long-term performance goals (see 4.2 for details on annual goal accomplishments). Most of the long-term goals were established after 2003, with an end-target of 2009. PRM has made progress on each of these goals, including: increasing the ratio of Red Cross Messages collected and distributed; completing the development of and partially deploying the UNHCR refugee registration system; and increasing the number of fully-funded UNHCR protection posts. Achievement of the long-term goal to reduce the long-standing global refugee population by 25% by 2009 is difficult to gauge at this point. However, as PRM's progress on its annual goals indicates, it continues to move forward on reaching its long-term goals.

Evidence: UNHCR Follow-up recommendations of the Board of Auditors on the Accounts of 2003 - Update March 2005; ICRC Date on Red Cross Messages, 2003-2004; List of 27 new protection-related position in UNHCR; UNHCR's Refugee Trends: 1 January - 30 September 2004; Africa Dialogue: Update of Main Voluntary Repatriation Operations in Africa 2004 and 2005; Geneva 247: Refugee Registration: UNHCR Establishes Support Group: Needs Pop Up All Over; PRM/MCE Daily Activities Report of March 16, 2005 on Refugee Registration Project Profile

Does the program (including program partners) achieve its annual performance goals?

Explanation: To date, the program has achieved its annual performance goals. PRM has successfully supported national implementation of international humanitarian law and ICRC's efforts to increase the proportion of Red Cross Messages distributed by National Societies. The deployment of Project Profile is on track; although performance on this measure is one country short of target in 2004, this was due to the security situation resulting from the coup in Cote d'Ivoire and not to any lack of preparation by UNHCR. Project Profile deployment is on track to reach its target in 2005. The program exceeded its 2004 target for the creation of additional protection posts.

Evidence: UNHCR Follow-up recommendations of the Board of Auditors on the Accounts of 2003 - Update March 2005; ICRC Date on Red Cross Messages, 2003-2004; ICRC document: Laws Implementing IHL Obligations, 2002-2004; List of 27 new protection-related position in UNHCR; UNHCR's Refugee Trends: 1 January - 30 September 2004; Update of Main Voluntary Repatriation Operations in Africa 2004 and 2005; Geneva 247: Refugee Registration: UNHCR Establishes Support Group: Needs Pop Up All Over; PRM/MCE Daily Activities Report of March 16, 2005 on Refugee Registration Project Profile; UNHCR Follow-up recommendations of the Board of Auditors on the Accounts of 2003 - Update March 2005; ICRC Data on Red Cross Messages, 2003-2004

Does the program demonstrate improved efficiencies or cost effectiveness in achieving program goals each year?

Explanation: The efficiency measure adopted by the program seeks to ensure that a high percentage of ICRC's protection costs are devoted to field activities as compared to headquarters protection costs. ICRC already demonstrates a high level of efficiency in this regard (95.7%). UNHCR's Project Profile registration system also aims to improve efficiency by more accurately determining the size and composition of refugee populations, and identifying the scope of protection and assistance needs for targeted programming. PRM itself demonstrates programmatic efficiency, spending less than 3% of its funding on administrative and support expenses. Over 97% of PRM funding directly supports UNHCR, ICRC, other IOs and NGOs that provide protection to refugees and victims of conflict, including through assistance and resettlement programs.

Evidence: ICRC Annual Report 2003; ICRC data for efficiency measure; Geneva 247: Refugee Registration: UNHCR Establishes Support Group: Needs Pop Up All Over; FY 2006 PRM Congressional Presentation Document

Does the performance of this program compare favorably to other programs, including government, private, etc., with similar purpose and goals?

Explanation: ICRC is the only international organization with a mandate mandate to protect victims of war and internal violence under international humanitarian law. UNHCR is the only international organization with a mandate to provide for the protection and durable solutions to the plight of refugees. PRM is the only USG entity to fund the protection activities of ICRC and UNHCR.

Evidence: Migration and Refugee Assistance Act of 1962, as amended; 1951 Refugee Convention and 1967 Protocol Relating to the Status of Refugees; Geneva Conventions and Additional Protocols; Statute of the Office of the United Nations High Commissioner for Refugees; FY 2006 PRM A/S Statement and Bureau Performance Plan (HT.01) as in Congressional Presentation Document.

Do independent evaluations of sufficient scope and quality indicate that the program is effective and achieving results?

Explanation: Reviews from 1995, 2002, and 2003 show PRM and its partners are achieving results. The IG and GAO found that PRM has taken adequate and appropriate measures to address issues highlighted in bureau-wide reviews and reviews of protection of refugee women and girls. The IG "found that the Department has advanced its humanitarian response efforts to provide women refugees and conflict victims with equal access to assistance and protection." GAO "found that the U.S. government has consistently pushed for a strong international response." As part of its multi-year plan to ensure the evalaution of all sectors, regions, and types of its work, ICRC funded several independent evaluations of its programs for restoring family links in Africa, providing water & sanitation in Rwandan prisons, cooperation with the National Society of Indonesia, and mine awareness programs in the Balkans. These evaluations indicated the programs were achieving desired results. UNHCR funded independent evaluations of partner organizations in the areas of refugee women, refugee children & community services. Most UNHCR evaluations are available on its website.

Evidence: IG review of PRM, 1995; GAO report on protection of refugee women and girls, 2003; IG review of Refugee Women's Programs, 2002; PRM response to recommendations of IG review of Refugee Women Programs, 2002; Independent eval of UNHCR's Kosovo Women's initiatives, 2002; Independent eval of impact of UNHCR activities to Protect Refugee Children, 2002; Independent assessment of UNHCR's Policy on Refugee Women and Protection, 2002; Independent eval of Community Services function in UNHCR, 2003; UNHCR response to 3 Evals of Refugee Women, Children and the Community Services Function; Updated PRM response to recommendations of IG review of Refugee Women's Programs, December 2002; IG Memorandum of October 2003 indicating 2002 IG report recommendation #1 is "closed;" UNHCR Action Plan for Implementation of Recommendations from 3 evals (women, children & community services); ICRC: Exec summaries of two independent evals; Independent evals--an ongoing process (ICRC document)