THE UNITED STATES DEPARTMENT OF STATE, BUREAU OF ......UNITED NATIONS HIGH COMMISSIONER FOR REFUGEES 2018-2019 I. Introduction This Framework for Cooperation (the "Framework") sets

FRAMEWORK FOR COOPERATION BETWEENTHE UNITED STATES DEPARTMENT OF STATE, BUREAU OF

POPULATION, REFUGEES AND MIGRATION AND THE OFFICE OF THEUNITED NATIONS HIGH COMMISSIONER FOR REFUGEES

2018-2019

I. Introduction

This Framework for Cooperation (the "Framework") sets forth agreement between theBureau of Population, Refugees, and Migration at the United States Department of State(hereinafter referred to as "PRM") and the Office of the United Nations High Commissionerfor Refugees (hereinafter referred as "UNHCR" or "the Organization"). PRM and UNHCR(the "Participants") have been working in partnership through a Framework for Cooperationsince the year 2000 to provide protection, humanitarian assistance, and facilitate durablesolutions for UNHCR's populations of concern in accordance with its mandate, conferredupon it through its statute' and by subsequent General Assembly resolutions on refugees andother persons of concern. PRM and UNHCR have a unique relationship. The United States(herein after referred as "U.S.") government, primarily through PRM, remains UNHCR's topdonor, while UNHCR has been PRM's largest multilateral partner. PRM and UNHCR renewtheir bilateral Framework for Cooperation biennially to advance shared objectives.

This Framework focuses_on setting out shared goals and_priorities; oversight and monitoringresponsibilities (and actions); and details of communications and reporting at an institutionallevel. It seeks to advance humanitarian reform commitments in line with ongoing larger UNreform efforts.

It is understood that this document, in its entirety, constitutes policy commitments by PRMand UNHCR, and is therefore not legally binding.

II. Shared Goals and Priorities

With nearly 66 million people across the globe forcibly displaced from their homes in 2017,displacement is a defining foreign policy and security challenge of our era. PRM andUNHCR wilTcontinue to work together to increase the efficiency and effectiveness of theParticipants' working relationship and strengthen UNHCR's capacity for efficient andeffective operational delivery, particularly given ongoing UN reform efforts. The Frameworkis aligned with UNHCR's Strategic Directions 2017-2021, Global Strategic Priorities (GSPs)2018-2019 (p. 28-33), which includes specific indicators that measure and report onUNHCR's overall achievements on these priorities, the Comprehensive Refugee ResponseFramework (CRRF), and PRM's 2017-2019 Functional Bureau Strategy and is guided bypriorities ofthe Executive Committee and its Standing Committee. PRM will continue tosupport UNHCR's efforts to protect and respond flexibly, transparently, and efficiently to theneeds.of.its.persons of concern.

UNHCR's strong leadership in the protection of asylum seekers, refugees, IDPs, andstateless persons as well as sharing and upholding protection principles and standardsfor these populations is central to PRM's support for the Organization. Protection is atthe core ofPRM and UNHCR's humanitarian mission. It is especially important to integrate

IResolution 428 (V), annex.

PRM-UNHCR FRAMEWORK FOR COOPERATION FOR 2018-2019

protection for vulnerable populations with special needs and vulnerabilities into assistanceprograms and reinforce these efforts. It is also important that UNHCR provide needs-basedprotection and assistance to its persons of concern. PRM expects UNHCR to:

• Safeguard access to territorial protection and asylum procedures; provide protectionagainst refoulement; support the adoption of nationality laws that prevent and/orreduce statelessness; and secure birth registration and individual documentation basedon registration (Source Data: GSP yearly progress reports; Global Report).

• Reduce protection risks faced by persons of concern, in particular, discrimination,gender-based violence, and specific risks faced by children (Source Data: GSP yearlyprogress reports; Global Report; Governance reports; PRM-funded special projects:Safe from the Start and Child Protection reports).

• Ensure a holistic, efficient, and effective response in non-camp and protractedsituations (Source data: Global Report; Governance reports; Country OperationsPlans).

• Strengthen UNHCR engagement across the entire continuum of forced displacement,including IDPs, which leads to an Organization that is more decisive, predictable,consistent, effective, and automatized in its engagement with IDPs as outlined in itsStrategic Directions 2017-2021 and internal IDP Operational Review (Source Data:Governance reports).

• Work toward a more uniform implementation of "one refugee" policy to ensure thatrefugees residing in anyone country receive assistance according to their needs; thatUNHCR intervenes in an equitable, needs-based way. (Source Data: Global Appeal;Global Report).

PRM and UNHeR will work together to continue to support UNHeR's efforts toachieve minimum standards of assistance and lasting solutions for its persons ofconcern, taking into account necessary measures to support affected and hostingcommunities. Among these efforts, PRM encourages UNHCR to:

• Reduce mortality, morbidity and malnutrition among persons of concern throughmulti-sectoral interventions with a particular focus on prevalence of global acutemalnutrition (GAM) and under-5 mortality rate (Source Data: GSP yearly progressreports; Global Report).

• Strengthen its commitments to refugee women and girls and Accountability toAffected Populations (AAP) through the implementation of its 2018 updated Age,Gender and Diversity Policy, which includes a global implementation and monitoringplan. (Source Data: UNHCR yearly Age, Gender and Diversity: AccountabilityReport).

• Regularly collect, analyze, and use feedback obtained directly from persons ofconcern to directly affect the quality and relevance ofUNHCR's assistance. UNHCRwill seek and consider such feedback in program design, implementation, monitoringand evaluation as well as in its budget planning and prioritization, review, and re-prioritization. Further, UNHCR will provide feedback on such decisions directly tothe affected population, ensuring transparency through communication, in line with itsAAP work. (Source Data: UNHCR yearly Age, Gender and Diversity: AccountabilityReport).

• Strengthen relief and development coherence by continued collaboration with theWorld Bank, and work with other International Financial Institutions (IFIs), regionaldevelopment banks, and other development actors to increase burden sharing. Suchefforts will provide additional financing, and enable country of origin governmentsand host governments to make investments to stimulate economic growth, expand


educational opportunities, and alleviate strains on infrastructure and social services.PRM will continue to work with USAID to coordinate the assistance the u.s.government provides and to streamline coordination and linkages betweendevelopment and humanitarian programs (Source Data: Governance reports andinterventions).

• Expand the countries resettling refugees and support the strengthening of otherestablished resettlement programs. PRM will continue to work with UNHCR onmaintaining and strengthening the integrity of the resettlement system and thatresettlement functions are sufficiently prioritized and resourced within the UNHCRbudget (Source Data: Governance reports and Annual Tripartite Consultations onResettlement reports).

PRM and UNHCR are jointly committed to continued progress of Grand Bargaincommitments in order to promote greater coherence, efficiency, transparency, andaccountability in humanitarian response. The Grand Bargain aims to strengthen howhumanitarian assistance efforts are designed, funded, implemented, and evaluated in order tomaximize effectiveness and enhance accountability to affected populations. Given thatseveral UNHCR and U.S. government commitments have been met or are on track to be met,PRM and UNHCR will focus on advancing the more exigent commitments in the next twoyears, including:

• In collaboration with ICRC and IFRC, UNHCR will come to an agreement with theInternational Aid Transparency Initiative (IATI) on modifying the existing standardsin order for UNHCR to meet IATI requirements, for IATI standards to change, orestablish other method of transparent financial reporting by the end of 20 19 (SourceData: Yearly Governance reports on the Grand Bargain).

• UNHCR reduces the cost of procurement and logistics by at least 5% through the useof shared services with partner agencies with the goal of meeting or exceeding its fullcommitment of 10% by 2020 (Source Data: Yearly Governance reports on the GrandBargain).

• 80% ofUNHCR operations report that they have undertaken joint needs assessmentsand joint analysis, based on UNHCR's September 2017 Grand Bargain report; by2019 UNHCR will conduct joint needs assessments and joint analysis in all operationswhere it has a significant operational presence and coordination role (Source Data:Global Focus, Yearly Governance reports on the Grand Bargain).

• Meaningful participation of women and adolescent girls in all decision-makingprocesses and structures increases to 75% ofUNHCR situations that report on thisindicator, based on the 66% improvement reported in UNHCR's September 2017Grand Bargain report (Source Data: Yearly Governance reports on the GrandBargain; GSP yearly progress reports).

• Contingent upon UNHCR putting forth and successfully carrying out strategic plansof sufficient rigor, transparency, and accountability, PRM will pilot adjustments in itsown funding practices to allow greater flexibility for UNHCR to direct PRM funds tothe most urgent needs in each crisis, consistent with existing statutory requirements(Source Data: PRM COP monitoring; USG yearly report on the Grand Bargain;UNHCR yearly Governance reports on the Grand Bargain; Governance reports onUNHCR's change management/reform; UNHCR allocations reporting).

• UNHCR will continue to work with WFP and UNICEF to establish harmonized andsimplified procedures for partnership management and increased efficiencies (SourceData: Yearly Governance reports on the Grand Bargain).


• By end of 20 18, the USG will issue a Grand Bargain-related policy paper outliningUSG priorities for implementation of Grand Bargain commitments and PRM willadvocate for fulfillment of those priorities in each multilateral setting, including thatother donors advance their own Grand Bargain commitments.

The world is facing an unprecedented level of forced displacement with thehumanitarian system stretched to its limits. UNHCR is engaging with States and otherrelevant stakeholders in a new way of working through the implementation of aComprehensive Refugee Response Framework (CRR}) for situations involving largemovements of refugees. The CRRF is being implemented in self-selected countries andregions to date, including: Central America, Djibouti, Ethiopia, Kenya, Somalia, andZambia. Starting in 2018, the CRRF will be applied to any future large-scale refugeedisplacement situation, and in 2019, the CRRF "approach" will be applied to all operationswhere UNHCR has a significant operational presence. These comprehensive responses areundertaken in full partnership with relevant national and local authorities, UN entities, NGOpartners, the private sector, and other stakeholders. It is important to mobilize support forimplementation of the CRRF. PRM expects that:

• There is a 10% increase each year in the number of countries/situations withmechanisms in place to roll out a Comprehensive Refugee Response (CRR) that havecommon, articulated, and measured outcomes (Source Data: Yearly Governancereports).

• National commitment from CRRF countries for refugee access to legal employmentand/or livelihoods improves by 10% each year (Source Data: Governance reports).

• PRM will continue to support the CRRF through engagement in the U.S. interagency,its annual contributions to UNHCR, diplomatic efforts, and bilateral support to NGOpartners with the collective goal of increasing the number of countries that contributeto refugee assistance and solutions, growing the pool of private sector and civilsociety partners that provide aid, and increasing the coherence of humanitarian anddevelopment work (Source Data: PRM financial reporting and governanceinterventions).

• By end of2019, establish an MOU between the United States (PRM and USAID'sBureau for Economic Growth, Education, and Environment) and UNHCR oneducation given that the education sector is uniquely placed to advance coherence andalignment between humanitarian and development policy and practice; the educationsector shows shifts and opportunities to address relief and development coherence(RDC) and is a critical part of implementing the CRRF and enhancing refugee self-reliance (Source Data: Finalized MOU).

PRM will continue to work with UNHCR on prioritization of budget allocations,transparent prioritization, fiscal discipline, and impact of the implications of unfundedor under-funded activities. PRM confirms its commitment to remain a strong supporter ofUNHCR, while believing that UNHCR should expand resource mobilization efforts andstrive for and demonstrate a broader-based donor support and seek more equitable burden-sharing among donors.

• UNHCR will work to expand its donor base for voluntary contributions, includingthrough increasing its government, private sector, and pooled funds contributions by3% in 2018 and 2% in 2019. These targets are based on the assumption thatUNHCR's budget remains relatively stable in 2018 and 2019 (Source Data:Governance reports; Global Report).


• PRM and UNHCR agree on clearer communication with stakeholders of prioritieswithin UNHCR's Annual Program Budget in order to ensure that prioritized activitiesare fully funded and communicate impact of under funding (Source Data: GlobalAppeal; governance reports and interventions; PRM COP monitoring).

• UNHCR will strengthen its dialogue with Member States and other stakeholders inthe planning and preparation of its Country Operation Plans in its Annual ProgramReview, recognizing the importance of input from key actors at each stage ofUNHCRprogramming and budget formulation, in particular, UNHCR will use planningworkshops at the country level by involving representatives of beneficiaries, non-governmental organizations, host governments and host community members, anddonors at country level. UNHCR will keep Member States fully apprised during thecourse of the year on any reductions and other significant changes to programs andbudgets by providing this information no later than 10 days after such changes occur(Source Data: PRM Refugee Coordinator reporting; Global Focus).

• Recognizing the need for early, sufficient, predictable and sustained funding support,PRM will continue to strive to provide flexible and early contributions to UNHCR,and support the "one refugee" policy. UNHCR understands that PRM supportdepends on funding availability and UNHCR's demonstration of needs and resultsincluding those outlined in this Framework (Source Data: PRM financial reportingand contribution language; Governance reports on UNHCR's changemanagement/reform).

• PRM will continue to provide contributions through its Reserve Pledge forEmergencies that provide UNHCR with the ability to respond to small-scaleemergencies in real-time (Source Data: PRM financial reporting, UNHCR reportingon use of the Reserve Pledge).

UNHeR will redouble its efforts to raise the profile and visibility of the U.S.as adonor who provides substantial, flexible, relatively un earmarked support for theorganization. Deepening public understanding and informed commitment is a part of theglobal humanitarian response.

• By the end of2018, UNHCR will ensure that its visibility guidelines aredisseminated to its all of its field operations and that they are being implementedby reflecting U.S. and other major donor support in the field and in publicinformation tools, particularly when flexible earmarking (e.g., at the regional, sub-regional, or country-level) is provided. The guidelines should include specificinformation on how loosely earmarked funds are allocated to country operationsin order to more accurately reflect this information in fundraising tools.

• By the end of 2018, PRM and UNHCR will agree on a visibility strategy that willprovide greater recognition to the U.S. and acknowledgement of U.S.contributions.

• UNHCR will more clearly and prominently acknowledge U.S. contributions in75% of public information tools by the end of 20 18 and 100% in 2019.

III. Oversight and Monitoring

Conformance with conditions on U.S. contributions to International Organizations, andconducting operations consistent with UN humanitarian principles of neutrality, humanity,independence, and impartiality, remain shared priorities.


Consistent with numerous United Nations Security Council resolutions, includingS/RESI1269 (1999), SIRES/1368 (2001), and S/RES/1373 (2001), both DOS and theRecipient are firmly committed to the international fight against terrorism, and in particular,against the financing of terrorism. It is the policy of DOS to seek to ensure that none of itsfunds are used, directly or indirectly, to provide support to individuals or entities associatedwith terrorism. In accordance with this policy, the Recipient undertakes to use reasonableefforts to ensure that none of the DOS funds provided under this award are used to providesupport to individuals or entities associated with terrorism.

In addition, UNHCR will continue to strengthen the Organization's internal governance andoversight processes. PRM and UNHCR affirm the importance of risk management,including increasing coordination across the Organization on contextual, institutional,programmatic, fiduciary, and professional risk management. In order to prevent cases offraud, mismanagement, and abuse, PRM and UNHCR agree that comprehensive managementoversight responsibilities - as well as accountability - need to be strengthened to ensure theintegrity ofUNHCR's operations. PRM will support UNHCR in its allocation of sufficienthuman and financial resources to fully implement measures to improve accountability,transparency, oversight, and program management, and will request regular updates onprogress through its governing structures. UNHCR agrees to report on such actions to theStanding Committee. Focus areas for 2018-2019 should include, but are not limited to:

• Strengthening coherence of oversight across different levels of responsibility: 1)field- and country-level staff, 2) regional and headquarters staff, and 3) InspectorGeneral's Office (lGO) and other higher-level oversight.

• The IGO provides the High Commissioner with independent assurance andoversight ofUNHCR's activities and operations. This in turn, protects theintegrity and improves the efficiency of programs and operations. It also detectsand investigates fraud and abuse, including through internal audits provided by theOffice ofInternal Oversight Service (OIOS) UNHCR Audit Service,investigations, and other oversight advisory services. It also strategically analyzesoversight mechanisms.

• Continued expeditious and judicious implementation of internal UNHCR auditsand evaluations, in particular, ofthe UN Board of Auditors' recommendations.

• Ongoing Headquarters reform initiatives through change management throughimproving management capacity, increased program quality and efficiency, andincreased financial sustainability and accountability of the Organization.

o Implement the findings of the independent external review conducted inJune 2016 ofUNHCR's oversight functions to ensure greater coherenceand coordination, using a risk-based approach.

o Strengthen oversight, human resources system reforms, and howheadquarters more effectively supports the field.

PRM and UNHCR have a zero tolerance approach towards fraud and misuse of funds andUNHCR shall endeavour to ensure that it has all necessary standards and mechanisms tomitigate the risk of fraud and corruption. These include: (a) staff regulations andadministrative requirements and procedures to ensure the ethical behavior of managementand staff; (b) established Hotline and Whistleblower Protection program; (c) an internalinvestigations function that is sufficiently resourced and independent; and (d) a system forexclusion from the procurement process (temporarily or permanently) of firms or individuals


determined by the organization to have engaged in fraudulent or corrupt activities. UNHCRwill:

• Address any allegations or information relating to fraud and corruption in accordancewith its own accountability and oversight framework and established procedures.

• Without undue delay inform PRM of any event which materially interferes orthreatens to materially interfere with the successful implementation of its activities,including credible suspicion of or actual fraud, corruption, or any other financialirregularity or impropriety. All suspicions will be treated with the utmostconfidentiality.

• Keep PRM informed about progress and results of investigations related to suchevents and suspicions and any follow-up actions.

• Continue to uphold the Code of Conduct on Protection Against Sexual Exploitationand Abuse (PSEA) in line with the Inter-Agency Standing Committee's (lASC) sixcore principles and the 2003 UN Secretary General's Bulletin. UNHCR has acorresponding implementation plan, including appropriate systems to train staff andinvestigative capacity to address allegations of staff misconduct, including PSEA.

• Regularly update the Executive Committee covering inquiries and main categories ofinvestigations, the number of such types of investigations, the average time tocomplete investigations, and a description of the related disciplinary action.

PRM funds broad, multi-sectoral, and multi-objective programs through contributions tointernational organizations (lOs) such as UNHCR. PRM contributions to these organizationsnot only provide critical core support but also leverage funding from other internationaldonors to address the universe of humanitarian needs. The multilateral context of theseprograms requires PRM's monitoring to be coupled with strong humanitarian diplomacy withother donors and humanitarian organizations. A key component ofPRM's leadership incoordinated humanitarian programming and diplomacy includes robust monitoring of 10partners. Through regular reporting and dialogue, including on policy and program issuesidentified in this Framework, PRM intends to continue to monitor closely the Organization'swork, and also aims to ensure that UNHCR is strengthening its capacity to monitor its ownprograms. PRM will continue to share with UNHCR the results of its monitoring andanalysis, and welcomes feedback from UNHCR in response to PRM findings andrecommendations. In addition to UNHCR's own oversight mechanisms, PRM monitorsUNHCR in several ways, including:

• Active engagement at capital-level in UNHCR's governing body, the ExecutiveCommittee and Standing Committee.

• Consultations between PRM and UNHCR leadership.• Field monitoring by PRM regional refugee coordinators (RefCoords) and PRM

program officers.• Participation in UNHCR's Country Operations Plan exercise at the field level.• Regular engagement with PRM's Washington-based Multilateral Coordination and

External Affairs (MCE) Office and Geneva-based headquarters via the U.S. Missionin Geneva/Humanitarian Affairs (HA), as well as UNHCR's office based inWashington, DC.

• Analysis ofUNHCR Global Appeals, Global Reports, Mid-year Trends Reports,Global Trends Reports, and other annual reports, located here, as well as analysis ofUNHCR regional and country updates, factsheets, and donor communiques.


• Review of UN Board of Auditors audits and internal 10 audits.• Reporting from other partners, such as other humanitarian agencies and donor

governments.• Third-party monitoring in settings where PRM staff do not have the ability to monitor

programs directly in the field given security constraints.

IV. Communications and Reporting

In pursuit of meeting the goals and achieving the results articulated in this Framework, PRMand UNHCR remain committed to continuous information sharing and cooperation at alllevels. PRM has a close working relationship with UNHCR and is in frequent contact withthe organization through UNHCR Headquarters, UNHCR's Representative Office inWashington, D.C., and in the field. UNHCR intends to work closely with PRM staff inGeneva and Washington D.C., as well as the regional PRM Refugee Coordinators andpolitical officers covering refugee issues at U.S. Embassies to inform PRM of developments,challenges, and achievements throughout the year.

PRM and UNHCR will continue to hold semi-annual Framework discussions on policy andprogram issues identified in this document. Mid-year Framework discussions will take placein June, while end-of-year Framework discussions will take place in December. PRM andUNHCR will prepare a joint written internal note following the mid-year and end-of-yeardiscussions. In the fall of2019, the Framework for Cooperation document will be revised tocover 2020-2021.

Reflecting the principles of Good Humanitarian Donorship, PRM generally relies onstandardized reporting based on UNHCR's reports via governing board meetings and annualreports referenced in Section III. Any additional reporting separate from standardizedreporting is negotiated bilaterally with UNHCR through a reporting matrix, with the focus oncontributing to evidence-based policies and programs. In addition, UNHCR has an extensiveexternal reporting platform through Global Focus. Global Focus provides up-to-dateinformation organized by populations, operations, themes, financials, and other publications.Through this platform, the public can drill down to specific key objectives baselines, targets,year-end reporting, and funding by country operations. PRM receives and thoroughlyresponds to extensive reporting from UNHCR.

V. Conclusion

In closing, PRM and UNHCR confirm their commitment to remain strong partners to protectand find durable solutions for the millions of refugees, stateless persons, IDPs, and other~7t~~O;ld.ThlSFrnmewt;;~(_tor=~Carol O'ConnellPrincipal Deputy Assistant SecretaryBureau of Population, Refugees, and MigrationUnited States Department of StateApril 20,2018

Filippo GrandiHigh CommissionerUnited Nations Office oftheCommissioner for RefugeesApril 20, 2018

THE UNITED STATES DEPARTMENT OF STATE, BUREAU OF ......UNITED NATIONS HIGH COMMISSIONER FOR REFUGEES 2018-2019 I. Introduction This Framework for Cooperation (the "Framework") sets

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