State of Hawaii v. Trump

Filing 329

Declaration re #328 MOTION to Enforce or, In the Alternative, to Modify Preliminary Injunction re #291 Preliminary Injunction, of Neal K. Katyal. (Attachments: #1 Exhibit A, #2 Exhibit B, #3 Exhibit C, #4 Exhibit D, #5 Exhibit E, #6 Exhibit F, #7 Certificate of Service)(Katyal, Neal)

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EXHIBIT D

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Bartlett Declaration

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Name of Recipient/Country
S-PRMCO-17-CA-1XXX

U.S. Department of State
Award Provisions
Mandatory Award Provisions:
1. Purpose/Scope of Award:
a.
Purpose: Name of Recipient (Recipient Acronym), type of organization – non-profit,
educational, foreign organization, etc., (hereinafter referred to as the "Recipient") is hereby
awarded a Cooperative Agreement to support “Resettlement Support Center Name of Region.”
The Recipient shall:
i. Assist persons seeking or suggested for admission to the United States under the United
States Refugee Admissions Program (hereinafter referred to as "applicants") to complete
applications for consideration;
ii. Assist the U.S. Government (“Government”) in the processing of such applications;
iii. Conduct Cultural Orientation for approved applicants; and
iv. Collect information from applicants that will enable resettlement agencies to make
decisions regarding appropriate placement.
b.
The Recipient shall carry out the Agreement in accordance with its proposal dated Date,
and any revisions to which both parties agree to in writing. The above-mentioned proposal is
hereby incorporated by reference (Attachment A) and made an integral part of the Agreement.
c.

The recipient agrees to:
i. Assist, as requested, in obtaining and maintaining statistical and other information needed
for the U.S. government to determine both the status of the program and the appropriate
pool of applicants to be interviewed by government officials for possible admission to the
United States. All information collected on individual cases must be recorded in the
Worldwide Refugee Admissions Processing System (WRAPS), maintained by the
Refugee Processing Center (RPC) in Arlington, Virginia. All sharing of individual
information is subject to the Privacy Act, 5 U.S.C. 552a, Section 222(f) of the I.N.A., 8
U.S.C. 1202(f), and the State Department’s Bureau of Population, Refugees and
Migration’s (“PRM” or “Bureau”) "Guidelines for the Treatment of Refugee Records "
revised November 19, 2013 and attached hereto as Attachment B;
ii. Interview, through interpreters if required, applicants to determine their family
composition, flight history and to obtain other relevant information needed (l) by the U.S.
government to determine their eligibility for admission to the United States as refugees or
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Bartlett Declaration
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immigrants, and (2) by resettlement agencies in the United States to arrange appropriate
placement for those who are approved for admission;
iii. Correspond, as necessary, with persons in the United States and other countries, with the
offices of the United Nations High Commissioner for Refugees (UNHCR), and with other
referring agencies, to obtain additional information relating to the applicants'
qualifications for admission to the United States;
iv. Verify, to the extent possible, information provided by and about applicants, making
written records of all communications relating to such verification efforts and ensuring
accuracy of information recorded in WRAPS and case file;
v. Compile per WRAPS Standard Operating Procedures (SOPs), available at
www.wrapsnet.org, for each applicant, files, and records that accurately document all
relevant information obtained from the applicant and others, and that include all
correspondence received or sent and records of all communications concerning the
applicant;
vi. Perform such other information-gathering tasks as may be requested by appropriate
Government officials to assist them in determining the admissibility of applicants;
vii. After this process of gathering and verifying information is complete, provide personnel
to accompany United States government officials to the site at which the admissibility of
the applicant, based on the file and face-to-face interviews, will be determined by such
officials;
viii. Inform all applicants at the time the application process is initiated, and on other
occasions as appropriate, of the importance of providing complete, accurate, and truthful
information in connection with their applications for admission;
ix. Establish and document systems and procedures to mitigate and prevent fraudulent
activities per the “RSC Program Integrity Guidelines” (Attachment C);
x. If the applicant is approved for admission as a refugee under the United States Refugee
Admissions Program, complete out-processing requirements for the case, including
arranging medical exams, obtaining sponsorship assurances, and requesting or obtaining
travel;
xi. Provide Cultural Orientation, with appropriate language interpretation if needed, to
approved refugees ages 15 and above in accordance with guidelines developed in
conjunction with the Bureau by the Cultural Orientation Technical Assistance provider
and described in the publication “Welcome to the United States--A Guidebook for
Refugees” (Fourth Edition, 2012). Recipient must ensure that 95% of eligible refugees
departing have received orientation prior to departure. The cultural orientation training
will at a minimum address the following subjects:

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•
•
•
•
•
•
•
•
•
•

Role of the Resettlement Agency
Rights and Responsibilities of Refugees
Transit
Early Employment Priority
Work plus English Study
Public Assistance Benefits
Cultural Adjustment
Education
Health Care
Housing

Additional orientation materials are available from the Cultural Orientation Resource
Exchange at www.COResourceExchange.org.
a. CWS: age 15 and over in all locations; children entering the URM program; and
children age 6-14 in Chad, Rwanda and Kenya.
b. HIAS: age 15 and over.
c. IRC: age 15 and over in all locations; children entering the URM program; and
children age 8-14 in Thailand and Malaysia.
d. ICMC: age 15 and over; and children age 8-14 in Turkey.
xii. Subject to the Freedom of Information Act, 5 U.S.C. 552, the Privacy Act, 5 U.S.C. 552a,
Section 222(f) of the I.N.A., 8 U.S.C. 1202(f), the Department's access to information
regulations, 5 FAM 480 (including 22 C.F.R. Part 171), and the Bureau's "Guidelines for
the Treatment of Refugee Records " revised November 19, 2013 and attached hereto as
Attachment B, respond to inquiries from applicants, the public, the Congress, and other
Government agencies who have a particular interest in applicants on whom files are
maintained;
xiii. Establish standard operating procedures (SOPs) for completion of items (i) through (xi),
ensuring compliance with the USRAP Overseas Processing Manual, WRAPS processing
SOPs, and PRM Program Announcements; and
xiv. Undertake such other functions that may be requested by the Bureau in furtherance of the
goals of the United States Refugee Admissions Program.
For CWS only:
xv. Conduct English as a Second Language education for Congolese refugees in certain
locations who have been approved for resettlement to the U.S. ESL courses will be
conducted with technical assistance from the Center for Applied Linguistics.

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xvi. Manage the Africa Regional Deployment Unit to provide resettlement referral support to
UNHCR in the region. Priorities for deployments will be established in consultation with
PRM.
2. Grants Officer Contact Information:
Name
Grants Officer
Office of the Comptroller
Bureau of Population, Refugees, and Migration
United States Department of State
2201 C Street, NW, 8th Floor, SA-9
Washington, DC 20520
[e-mail]
Phone [phone]XX
Fax [phone]
3. Grants Officer Representative (GOR):
Name
Program Officer
Office of Admissions
Bureau of Population, Refugees, and Migration
United States Department of State
2201 C Street, NW, 8th Floor, SA-9
Washington, DC 20520
[e-mail]
Phone [phone]XXX
Fax [phone]XX
4. Authorized Budget Summary:
All expenditures paid with funds provided by this Agreement must be incurred for authorized
activities, which take place during this period, unless otherwise stipulated.
Payment of funds under this Agreement will not be disbursed until the DOS has been assured
that the Recipient’s financial management system will provide effective control over and
accountability for all Federal funds in accordance with 2 CFR 200.300 – 200.303.
Budget Categories

Amount

1. Personnel

$

2. Fringe Benefits

$

3. Travel

$

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4. Equipment

$

5. Supplies

$

6. Contractual

$

7. Construction

$

8. Other Direct Costs

$

9. Total Direct Costs (lines 1-8)
10. Indirect Costs (reflect provisional, predetermined rate and allocation base)
11. Total Costs (lines 9-10)
12. Recipient Share

$0
$
$ 0
$

5. Payment Method:
Payments under this award will be made through the U.S. Department of Health and Human
Services Payment Management System (PMS). The Payment Management System instructions
are available under the PMS website and can be accessed at the following address:
http://www.dpm.psc.gov/. Recipients should request funds based on immediate disbursement
requirements and disburse funds as soon as possible to minimize the Federal cash on hand in
accordance with the policies established by the U.S. Treasury Department and mandated by the
OMB Circulars.
6. Reporting and Monitoring:
Copies of the reports required herein shall be submitted with one copy to the Office of the
Comptroller, Bureau of Population, Refugees, and Migration, Washington, D.C., one copy
to the Office of Admissions, Bureau of Population, Refugees and Migration (“PRM/A”),
Washington, D.C., and one copy to the Refugee Coordinator. Reports should not be shared
with other entities without the written approval of PRM. The Recipient must submit required
program, financial, and inventory reports to the Bureau's Office of the Comptroller through the
GrantSolutions grants management System at www.grantsolutions.gov. The Recipient must
submit required reports to the Office of the Comptroller using the Grant Notes functionality for
this agreement number. The subject line of the Grant Note transmitting the report must include
the Report Type and Reporting Period. The subject line of the electronic mail transmissions to
the admissions office and Refugee Coordinator must include the following information:
Organization Name, Agreement Number, Report Type, and Reporting Period.
The Recipient is required to submit quarterly program and financial reports based on the
schedule outlined below. A final certified financial report and program report must be submitted
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to the Grants and Program Officers/GO and GOR within 90 days after the award period end date.
The first page of the Performance Progress Report Form (SF PPR) must be submitted with all
program reports. The Federal Financial Report (FFR SF-425/SF-425a) must be submitted for all
financial reports. These forms can be accessed at: https://www.statebuy.state.gov . Failure to
comply with these reporting requirements may jeopardize the Recipient's eligibility for
future Agreements.
The Recipient entity must submit performance reports using OMB-approved government-wide
standard information collections when providing performance information. As appropriate in
accordance with above mentioned information collections, these reports will contain, for each
Federal award, brief information on the following unless other collections are approved by
OMB:
1. A comparison of actual accomplishments to the objectives of the Federal award
established for the period. Where the accomplishments of the Federal award can be
quantified, a computation of the cost (for example, related to units of accomplishment)
may be required if that information will be useful. Where performance trend data and
analysis would be informative to the Federal awarding agency program, the Federal
awarding agency should include this as a performance reporting requirement.
2. The reasons why established goals were not met, if appropriate.
3. Additional pertinent information including, when appropriate, analysis and explanation of
cost overruns or high unit costs.
Program Progress Report Schedule and Requirements:
Quarter Start Date
October 1, 2016
January 1, 2017
April 1, 2017
July 1, 2017

Quarter End Date
December 31, 2016
March 31, 2017
June 30, 2017
September 30, 2017

Report Due Date
January 31, 2017
April 30, 2017
July 31, 2017
December 31, 2017

The final report should cover activities carried out during the full period of the agreement.
Each report should address the objectives set forth in Section 1.c. and the extent to which they
were accomplished. The Performance Progress Report (SF-PPR) is a standard, government-wide
performance reporting format available at: https://www.statebuy.state.gov/fa/Pages/Forms.aspx.
Recipients must submit the signed SF-PPR cover page with each program report. Each program
report will follow the template provided by the PRM/A Program Officer. In addition, reference
this template as being attached in block 10 of the SF-PPR. This template is designed to ease the
reporting requirements while ensuring that all required elements are addressed.
Should the Recipient implement this project through the award of $15,000 or more to a subrecipient(s), the Recipient must include the activities of each organization in the program reports.
These reports shall include the full name of each sub-recipient, the amount of funding
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authorized, a description of the activities performed, and a brief assessment of how the activities
were carried out.
Each report should also note any changes made or anticipated with regard to staffing
requirements, security arrangements, or other aspects of the funded program. Should any change
or anticipated change affect the use of funds or the rate of expenditure, special mention should be
highlighted in the report.
In addition to the regular reports described above, the Recipient shall promptly inform the
Bureau, in writing, should any special circumstance be encountered that is likely to delay or
prevent the Recipient from meeting the objectives set forth in Section 1.c.
Federal Financial Report Schedule and Requirements:
Financial reports shall be submitted within thirty (30) days following the end of each calendar
year quarter (January 30th, April 30th, July 30th, and October 30th) during the validity period.
A preliminary final financial report covering the entire period of the agreement shall be
submitted within ninety (90) days after the expiration date of this agreement. This preliminary
final report shall include the total charges for each budget category reflected in Section 5
including charges for post-performance activities such as audits and evaluations. Should the
Recipient have awarded $15,000 or more to a sub-recipient for the implementation of a portion
of this project, the reports shall identify the name and amount of funds given to each subrecipient organization.
Should the funds provided under this cooperative agreement reimburse the Recipient for only a
portion of the total costs of this project with additional costs being covered from other Federal or
private resources, the financial reports required by the Bureau must reflect the costs to be
charged to the Bureau's cooperative agreement and those costs to be charged to other financial
resources for the total cost of the project.
Reports reflecting expenditures for the Recipient’s overseas and United States offices shall be
completed in two parts: 1) in accordance with the Federal Financial Report (FFR SF-425) and
submitted electronically in the Department of Health and Human Services’ Payment
Management System; and 2) in accordance with the items of expenditure categories set forth
under Section 5 reflecting separately the costs being charged to this agreement and those charged
to other sources. The quarterly line item expenditure reports must be transmitted as a
Grant Note through www.grantsolutions.gov.
Expenses to be charged against this agreement must be for actual costs incurred for authorized
activities that are adequately documented and that can be confirmed through an audit. Expenses
based on an average or prorated share of costs that do not represent individually identified costs
or those that cannot be specifically confirmed through an audit shall not be charged to or
reported under this agreement.

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Should the Recipient receive refunds or rebates after the reporting period, these must be returned
with a revised preliminary final financial report within thirty (30) days of the receipt of such
refunds or rebates.
For the Recipient that has an approved USG indirect cost rate: A final financial report, including
any allowable post performance charges for an audit and/or an evaluation, shall be submitted
within sixty (60) days from the date the Recipient countersigns an indirect cost rate agreement
with its cognizant government agency that establishes final rates applicable to the validity period
of this agreement. This final financial report shall have the authorized charges detailed by the
time period covered by each different indirect cost rate in effect during the validity period of this
agreement.
Reporting of Foreign Taxes:
The Recipient must annually submit a report on or before November 17 for each foreign country
on the amount of foreign tax charged, as of September 30 of the same year, by a foreign
government on commodity purchase transactions valued at $500 or more financed with U.S.
foreign assistance funds under this agreement during the prior U.S. fiscal year. In addition to the
amount of foreign tax charged, the report must reflect the amount reimbursed by the foreign
government. This report must be submitted even if the Recipient did not pay any taxes during
the reporting period.
The Recipient must include this reporting requirement in all applicable subcontracts, sub-grants
and other sub-agreements.
The report must contain:
(1) contractor/grantee name;
(2) contact name with phone, fax and email;
(3) agreement number(s) if reporting by agreement(s);
(4) amount of foreign taxes assessed for each foreign government; and
(5) amount of any foreign taxes reimbursed by each foreign government.
For purposes of this term and condition:
(1) “Agreement” includes any Bureau funded grant or cooperative agreement;
(2) "Commodity" means any material, article, supplies, goods, or equipment;
(3) "Foreign government" includes any foreign governmental entity; and
(4) "Foreign taxes" means value-added taxes and custom duties assessed by a foreign
government on a commodity. It does not include foreign sales taxes.
Inventory Report:
A report shall be submitted within thirty (30) days prior to the expiration of this agreement
listing all items and purchase price of all non-expendable tangible personal property having a
useful life of more than one year and having a current per unit fair market value of $5,000 or
more per unit which were purchased with funds provided under this agreement. This report must

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include the following information for each item purchased: description, date of purchase, serial
number, and the country in which the item was used.
This required inventory report shall include any items of non-expendable tangible personal
property that were purchased under a previous Bureau funding arrangement that continue to be
used in activities funded under this agreement.
The required inventory report shall also include the Recipient’s specific recommendations for the
disposition of each item of non-expendable tangible personal property. In certain circumstances,
the proposed disposition may include a recommendation to retain specified items for continued
use in other Bureau funded activities or similar activities carried out by the Recipient. If such
property is no longer required for authorized activities, a recommendation for final disposition,
e.g., sale, donation or disposal, shall be specified.
7. Pre-Award Costs:
The Department of State hereby agrees to reimburse the recipient for costs incurred and
considered allowable within the amounts of the Authorized Budget – Section 5. This pre-award
condition applies to costs incurred from October 1, 2016 until the date of the award.
8. Post-Award Compliance:
Department of State (DOS) Standard Terms and Conditions for Federal Assistance Awards
(Attachment D) are incorporated by reference and made part of this Notice of Award. Electronic
copies containing the complete text are available at:
https://www.statebuy.state.gov/fa/Pages/TermsandConditions.aspx.
9. Substantial Involvement:
The Recipient shall carry out its operational and administrative responsibilities hereunder in
close coordination with and under the direction of the designated offices of the Bureau and
appropriate American Embassy. For the information of the Recipient, responsibilities relevant to
this agreement are allocated as follows:
a. Bureau
1. Office of Admissions
Acting as the Grants Officer's representative:
(a) Provides overall policy guidance and program direction.
(b) Reviews and comments on proposed budget for the Recipient.
(c) Reviews and comments on proposed changes or revisions in terms of this
agreement.
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(d) Periodically visits and evaluates the general performance of the Recipient's
operations under this agreement to ensure that the established objectives are being
successfully met, maintains contact, including site visits and liaison, with the
Recipient, assists the Grants Officer in the review of required Recipient Program
and Financial Progress Reports to verify timely and adequate performance, and
provides the Bureau regular written reports on whether performance is in
compliance with all the terms and conditions of this agreement.
2. Office of the Comptroller
(a) Reviews and negotiates with the Recipient's headquarters the Recipient's budget
and any subsequent requests for funding.
(b) Prepares and executes the cooperative agreement, interprets the terms thereof,
arranges for payment, works with the Recipient's headquarters for the overall
administration of the funded activities, and is the mandatory control point of
record for all official communications and contacts with the Recipient that may
affect the budget, the project scope, or terms and conditions of the award.
(c) Considers requests for amendments to the cooperative agreement and, upon
determination of appropriateness, prepares and executes formal amendments to
the cooperative agreement. Only the Grants Officer may amend the cooperative
agreement.
b. American Embassy, Embassy City, Refugee Coordinator
Acting as the Bureau's overseas representative:
1. Acts as liaison, as required with the Government of Country of Project, the UNHCR,
the International Organization for Migration (IOM), and other appropriate
organizations regarding issues involving this program.
2. Monitors and evaluates the general performance of the Recipient's operations under
this agreement to ensure that the established objectives are being successfully met,
and provides the Bureau reports on whether the performance is in compliance with
the terms of this agreement.
3. Analyzes and reports to the Bureau on any proposed budget adjustments, identifying
items that may require special consideration and recommending whether the proposed
budget or portions thereof be approved or disapproved.
10. Program Income: N/A
11. Cost-Sharing: N/A

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12. Sub-recipients: N/A
13. Waiver of Branding and Marking Requirements: N/A
However if a waiver of the DOS or USG branding and marking requirements has been
granted, use the following provision:
Provision XVII of the Standard Terms and Conditions for U.S. Department of State assistance
awards, requires that materials produced under an award must be marked appropriately to
[affirmatively] acknowledge the support of the U.S. Department of State. However, the
Department has determined that for the purposes of this award, the recipient is not required to
publicly display DOS and/or USG branding and marking for materials produced under this
award.
14. Additional Bureau/Post Specific Requirements:
Responsibilities of the Recipient
The Recipient shall perform its responsibilities under this agreement in coordination with the
Bureau and in a manner consistent with United States law and policy, as well as applicable laws
of the countries where activities are performed.
a. Program Management
1. Coordinate with U.S. government agencies, non-governmental organizations and
international organizations involved with the refugee admissions program as
described in the program proposal (Attachment A).
2. In compliance with the Bureau's policy that all funded activities be implemented in a
manner that fully meets the standard of conduct established by the Inter-Agency
Standing Committee (IASC) Task Force on Protection from Sexual Exploitation and
Abuse in Humanitarian Crises, ensure that the activities conducted with funds
provided under this agreement are implemented in accordance with the Recipient’s
established code of conduct previously submitted to the Bureau referenced in its
proposal (Attachment A).
3. Should any change be made to the Recipient’s code of conduct during the validity
period of this agreement, inform the Bureau in writing within thirty (30) days of the
changes for consideration of whether the revised code continues to meet the Bureau’s
standard of core principles.
4. With regard to religious persecution in particular, the Recipient shall ensure that its
personnel take into account in their work the considerations reflected in the
International Religious Freedom Act concerning country-specific conditions, the right
to freedom of religion, methods of religious persecution practiced in foreign
countries, and applicable distinctions within a country between the nature of and
treatment of various religious practices and believers.
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5. The Recipient is reminded that U.S. Executive Order and U.S. law prohibits
transactions with, and the provision of resources and support to, individuals and
organizations associated with terrorism. It is the legal responsibility of the Recipient
to ensure compliance with these Executive Orders and laws. This provision must be
included in all sub-contracts/sub-awards issued under this agreement.
6. The U.S. Government is opposed to prostitution and related activities, which are
inherently harmful and dehumanizing, and contribute to the phenomenon of
trafficking in persons. None of the funds made available under this agreement may
be used to promote, support, or advocate the legalization or practice of
prostitution. Nothing in the preceding sentence shall be construed to preclude
assistance designed to ameliorate the suffering of, or health risks to, victims while
they are being trafficked or after they are out of the situation that resulted from such
victims being trafficked. This provision shall be incorporated into all sub-agreements
under this agreement. The Recipient does not promote, support, or advocate the
legalization or practice of prostitution.
7. Branding and Marking Strategy. The Recipient shall state in all appropriate
publications and printed descriptions, including press releases, annual reports and
financial statements, that activities conducted under this agreement are financed by
the United States Department of State's Bureau of Population, Refugees and
Migration. The Recipient shall recognize the Bureau’s funding for activities specified
under this cooperative agreement at the project site with a graphic of the U.S. flag
accompanied by one of the following two phrases based on the level of funding from
PRM:
1) Fully funded with PRM contribution: ‘Gift of the United States Government’
2) Partially funded with PRM contribution: ‘Funding provided by the United States
Government’
The Recipient shall also comply with the “Style Guidelines for Resettlement Support
Centers” dated April 2, 2012, and attached hereto as Attachment E. Exemptions from
this requirement may be allowable but must be agreed to in writing by the Bureau.
8. Treat all files on applicants as U.S. Government records: create, maintain, protect,
disclose, and dispose of such files and information therein only in accordance with the
Freedom of Information Act, 5 U.S.C. 552, the Privacy Act, 5 U.S.C. 552a, Section
222(f) of the I.N.A., 8 U.S.C. 1202(f), other applicable federal records statutes and
Department regulations (5 FAM 480, including 22 C.F.R. Part 171), and the Bureau's
"Guidelines for the Treatment of Refugee Records " revised November 19, 2013 and
attached hereto as Attachment B, and inform all the Recipient personnel with access
to such files and information of such laws and guidelines.

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9. Make all information and records in its possession pertaining to applicants available
upon request to the Bureau, the Refugee Coordinator, and the relevant Department of
Homeland Security, U.S. Citizenship and Immigration Services Field Office Director.
10. Instruct all persons in positions funded under this agreement that they have a duty to
ensure that all relevant information in their possession bearing on an applicant’s
eligibility for admission to the United States, including information bearing on the
applicant’s credibility, is made available to the U.S. Government.
11. Activities undertaken by the RSC must consider the needs of potentially vulnerable

and underserved groups among the beneficiary population (women; children; lesbian,
gay, bisexual, transgender, or intersex (LGBTI) individuals; older persons; the sick;
persons with disabilities; and other minorities). Recipient must be able to demonstrate
what steps have been taken to meet the specific and unique protection and assistance
needs of these vulnerable groups effectively.
12. Accord the Bureau and its authorized representatives the legally enforceable right to
examine, audit and copy, at any reasonable time, all records in its possession
pertaining to applicants and this agreement.
13. Assist the Bureau, as appropriate, in evaluating the Recipient’s performance under
this agreement by facilitating access to all relevant records and to all persons directly
involved under this agreement.
b. Staffing
1. The Recipient shall appoint a Director of the Resettlement Support Center (RSC
Director) who shall be responsible for the day-to-day supervision of all persons
employed by the Recipient in positions funded under this agreement and for the dayto-day management of the Recipient's operations under this agreement.
2. No person shall be assigned to the position of RSC Director or RSC Deputy Director
funded under this agreement without prior consultation with and the express written
approval of the Bureau.
3. The Recipient shall (1) require any newly appointed RSC Director and any person
appointed to any other key staff position funded under this agreement who is in the
United States at the time of the appointment to consult with the Bureau prior to
assuming his or her duties; and (2) inform the Bureau when the RSC Director or key
staff position funded under this agreement are on leave in the United States to
determine if consultations with the Bureau are needed. Consultation will be with such
offices within the Bureau and the Department of State as the Bureau determines to be
appropriate.

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Name of Recipient/Country
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4. The Recipient shall maintain and provide, on request, the Bureau and the Refugee
Coordinator with current position descriptions for all positions funded under this
agreement.
5. The Bureau may request that the Recipient investigate and promptly resolve any
performance issue involving any person in a position funded under this agreement; in
addition, the Bureau may require the Recipient to remove or reassign any person in
any position funded under this agreement when the Bureau determines, after
consultation with the Recipient, that the interests of the United States may be
compromised unless such action is taken.
6. The Recipient shall ensure that a security background check is performed on each
staff member (both locally hired and international) prior to his/her employment under
this cooperative agreement. Previously hired employees may be subject to such
security background checks at the discretion of the Bureau. Should derogatory
information be found in any reports, a copy of such report shall be submitted to the
Bureau’s representative (Refugee Coordinator) at the appropriate U.S. Embassy for a
final determination of approval for hiring.
7. The Bureau, at its discretion, may require that the RSC Director and/or Deputy
Director funded under this agreement obtain a Government security clearance for
access to classified information.
c. Non-U.S. based organizations below the audit threshold: N/A
15. Specific Conditions: (Block 19 of the DS-1909 must be checked and Grants Officer will add
specific conditions to the agreement that comply with the requirements of 2 CFR 200.207. If the
Grants Officer determines that this section does not apply to the agreement, Enter N/A next to
the title and delete the text of the provision.)
ALSO:
Effective FY2013, Program Officers must submit documentation with the transmittal package for
federal assistance awards with performance in Afghanistan and Five Other Countries for the
Prevention of Terrorist Financing (currently in Guatemala, Kenya, Lebanon, Philippines and
Ukraine). See GPD-62 Vetting of Afghanistan and Five-Country Pilot Program for the Prevention
of Terrorist Financing for guidance on vetting procedures, solicitation requirements, due diligence
and the required form. The following provision will be included in federal assistance awards for
Afghanistan or that were subject to the Five-Country Pilot Program vetting:
a. Recipient Vetting after Award: Recipients shall advise the Grants Officer of any changes in
personnel listed in the DS Form 4184, Risk Analysis Information, and shall provide vetting
information on new individuals. The government reserves the right to vet these personnel
changes and to terminate assistance awards for convenience based on vetting results.
b. Noncompeting Application Requirements: N/A (for CWS and ICMC)
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(Include as follows for HIAS and IRC)
Multi-year applications selected for funding by the Bureau will be funded in 12-month
increments based on the proposals submitted in the competing application and as
approved by the Bureau. Continued funding requires the submission of a noncompeting
continuation application as follows:
Continuation applications must be submitted not later than ninety (90) days from the
proposed start date of the award. Late applications will jeopardize continued funding.
Applications must be signed by the Authorized Organization Representative (AOR) at the
applicant organization on the submitted SF-424.
Pursuant to U.S. Code, Title 218, Section 1001, stated on OMB Standard Form 424 (SF-424),
Department of State is authorized to consolidate the certifications and assurances
required by Federal law or regulations for its federal assistance programs. The list of
certifications and assurances can be found at: https://www.statebuy.state.gov
Proposal Content, Formatting and Templates: Please refer to the Bureau guidance. You must
submit a complete application including:
Signed completed SF-424.
Proposal for the continuation period.
Budget for the continuation period.
Budget narrative.
Most recent Negotiated Indirect Cost Rate Agreement (NICRA), if applicable.
Information on the amount of unexpended funds to include a statement of the estimated
cumulative total dollar amount taking into consideration the actual expenditures shown
on the Financial Status Report. Note that funds are available for expenditure only during
the period in which they are awarded.

16. Special Provision for Performance in a Designated Combat Area (SPOT): N/A
17. State Department Leahy Amendment Vetting Requirements: N/A
18. Statutory Deviations: N/A

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Name of Recipient
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U.S. Department of State
Award Provisions
1. Purpose/Scope of Award:
a. Purpose: Name of Recipient (Recipient Acronym), a non-governmental organization,
(hereinafter referred to as the "Recipient") is hereby awarded a Cooperative Agreement to
partially support the Recipient’s expenses in administering the FY 2017 Reception and
Placement Program as authorized under the applicable provisions of the Migration and Refugee
Assistance Act of 1962, as amended, and the Immigration and Nationality Act, as amended (the
"INA"). The Recipient shall:
1) arrange for the reception and placement of refugees in the United States and offer
appropriate assistance during their initial resettlement in the United States;
2) provide refugees with basic necessities and core services during their initial period of
resettlement; and
3) in coordination with publicly supported refugee service and assistance programs, assist
refugees in achieving economic self-sufficiency through employment as soon as possible
after their arrival in the United States.
b. The Recipient shall carry out the Agreement in accordance with its proposal dated Date, and
any revisions to which both parties agree to in writing. The above-mentioned proposal is hereby
incorporated by reference (Attachment A) and made an integral part of the Agreement. The
period of this agreement shall be from October 1, 2016 through September 30, 2017.
c. Statement of Overall Reception and Placement (R&P) Program Objectives and Indicators:
The Recipient agrees to:
1) promote effective resettlement through community involvement including, but not
limited to, coordination with ethnic and other community-based, public, and private
organizations and through consultation and coordination with state and local public
officials involved in assisting refugees;
2) promote refugee placement through agencies that maximize the use of private resources
and programs;
3) promote the placement of all refugees in areas conducive to the attainment of economic
self-sufficiency;
4) maintain the capability and flexibility to receive and place new caseloads, including
refugees with special needs, and to shift program and staff resources to reflect changing
refugee populations and arrival patterns;
5) ensure that R&P core services and basic needs support are made available in an
appropriate language to refugees through its nationwide network of affiliated offices;

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Bartlett Declaration
Attachment 2

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Name of Recipient
S-PRMCO-17-CA-1XXX
6) ensure that each refugee receives the following R&P basic needs support and core
services according to standards included in the Cooperative Agreement within the
specified time frame, and that provision of such services is well-documented in case files:
a) Sponsorship assurance;
b) Pre-arrival planning;
c) Reception;
d) Basic needs support for at least 30 days, including the provision of: safe, sanitary,
and affordable housing; essential furnishings; appropriate food, food allowances
and other basic necessities; necessary clothing; assistance applying for social
security cards; assistance in obtaining health screenings and assistance accessing
other necessary health and mental health services; assistance in obtaining
appropriate benefits, other social services, and English language instruction;
assistance with enrollment in employment services; assistance registering children
in school; and transportation to job interviews and job training;
e) At least two home visits within the first 30 days and a third home visit to
permanent housing if the refugee moves from temporary housing within the R&P
period;
f) Case management, including the development and implementation of
individualized service plans during the initial 30-day period;
g) Cultural orientation, with appropriate language interpretation as needed; and
h) Assistance to refugee minors resettled in non-parental family units, as required:
initial placement suitability assessments; orientation to U.S. child welfare
requirements; assistance regarding guardianship and legal obligations in caring
for the child; regular and personal contact; and follow-up assessments and
suitability determinations;
7) ensure effective monitoring of local affiliates performing R&P services in accordance
with the Cooperative Agreement;
8) achieve R&P performance outcomes, specifically:
a) Refugee is in a safe, stable environment.
i. Refugee is picked up at the airport upon arrival with appropriate language
interpretation as needed.
ii. Refugee is placed in a safe dwelling.
iii. Refugee is placed in an affordable dwelling.
iv. Refugee has basic necessities.
b) Refugee can navigate appropriate and relevant systems.
i. Refugee can access/use appropriate transportation.
ii. Refugee obtains own food and basic needs.
iii. Refugee obtained social security card and other identification as needed.
iv. Refugee accesses health care.
v.
Refugee demonstrates ability to contact emergency services.
vi. Refugee children are enrolled in school within 30 days of arrival.
vii. Refugee knows where to get assistance to file paperwork to bring family
members to the United States.
viii. Refugee knows how to ask for interpretation services.
c) Refugee family is connected to means of ongoing support for self/family.
i. Refugee is connected to or enrolled in eligible services.
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ii.
iii.

Refugee is financially supported (or self-sufficient).
Refugee can explain where the household money will come from when the
initial assistance is finished.
d) Refugee understands surroundings and situation.
i. Refugee knows his/her address, knows how to make phone call, and how
to be contacted.
ii. Refugee understands the effects of moving.
iii. Refugee knows the role of the local resettlement agency and expectations
of the local resettlement agency and self.
iv. Refugee has a basic understanding of U.S. laws and cultural practices; and
9) ensure that R&P program and performance information is accessible to the public.
d. Statement of Specific Recipient Objectives and Indicators:
1) Ensure sound and timely operations to appropriately prepare and plan for refugee arrival
to the United States with the following goals.
a) Percentage of non-expedited assurances that are submitted on or before the
deadline. Target: 95%
b) Percentage of complex medical cases that are selected during allocations. Target:
equivalent to overall Agency caseload percentage.
c) Percentage of refugees who do not out-migrate from their location of initial
placement. Target: 95%
2) Recipient management provides sound oversight and support to maintain a flexible, wellequipped, and knowledgeable affiliate network.
a) Percentage of recommendations related to training made by PRM during affiliate
monitoring which are resolved within three months of release of the final
monitoring report. Target: 100%
b) Percentage of affiliates that have been monitored at least once in the previous
three fiscal years. Target: 100%
3) Recipient’s affiliates deliver timely and individualized services that promote refugee
well-being and self-sufficiency.
a) Number and percentage of recommendations related to the provision of core
services and basic needs support made by PRM during affiliate monitoring which
are resolved within three months of release of the final monitoring report. Target:
100%
b) Number of complaints received by PRM related to the provision of core services
and basic needs support that PRM determines to be valid. Target: zero (0)
4) Recipient’s affiliates regularly engage, inform, and consult resettlement partners,
stakeholders, and communities.
a) Percentage of affiliates compliant with quarterly consultation requirements.
Target: 90%
b) Average number of community engagement events/presentations conducted per
affiliate per quarter. Target: one (1)
5) Recipient’s affiliates ensure that refugees are connected to services and oriented to their
new communities.
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a) Percentage of refugee adults who receive cultural orientation in accordance with
the Cooperative Agreement. Target: 95%
b) Number and percentage of recommendations related to refugee understanding of
orientation made by PRM during affiliate monitoring which are resolved within
three months of release of the final monitoring report. Target: 100%
c) Percentage of refugees connected to ongoing services. Target: 95%
2. Grants Officer Contact Information:
Name
Grants Officer
Office of the Comptroller
Bureau of Population, Refugees, and Migration
United States Department of State
2201 C Street, NW, 8th Floor, SA-9
Washington, DC 20520
[e-mail]
Phone [phone]XX
Fax [phone]
3. Grants Officer Representative (GOR):
Name
Program Officer
Office of Admissions
Bureau of Population, Refugees, and Migration
United States Department of State
2201 C Street, NW, 8th Floor, SA-9
Washington, DC 20520
[e-mail]
Phone [phone]XXX
Fax [phone]XX
4. Post-Award Compliance:
Department of State Standard Terms and Conditions (Attachment B) are incorporated by
reference and made part of this Notice of Award. Electronic copies containing the complete text
are available at: https://statebuy.state.gov, under Resources select Terms and Conditions to
access the terms and conditions.
The Recipient and any sub-recipient, in addition to the assurances and certifications made part of
the Notice of Award, must comply with all applicable terms and conditions during the project
period.
5. Authorized Budget Summary:
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Name of Recipient
S-PRMCO-17-CA-1XXX
All expenditures paid with funds provided by this Agreement must be incurred for authorized
activities, which take place during this period, unless otherwise stipulated.
Payment of funds under this Agreement will not be disbursed until the DOS has been assured
that the Recipient’s financial management system will provide effective control over and
accountability for all Federal funds in accordance with 2 CFR 200.300 – 200.303.
Budget Categories
1. Personnel
2. Fringe Benefits
3. Travel
4. Equipment
5. Supplies
6. Contractual
7. Construction
8. Other Direct Costs
9. Total Direct Costs (lines 1-8)
10. Indirect Costs (reflect provisional, predetermined rate and allocation base)
11. Total Costs (lines 9-10)
12. Recipient Share

Amount
$
$
$
$
$
$
$
$
$0
$
$ 0
$

a.
Any anticipated purchase of non-expendable equipment, such as computers or vehicles
with an acquisition cost of $5,000 or more per unit and were not part of the approved budget
(Attachment A to this agreement), requires the prior written approval of the Bureau.
b.
If any part of the costs of goods and services charged under this agreement are collected
from or reimbursed by the refugees or other sources, such collections shall be paid promptly to
the Department or off-set against charges to the agreement; thereby, ensuring that no charges to
this agreement results in duplicated reimbursement to the Recipient.
c.

Local Offices/Affiliates and Services to Refugees Per Capita Grant
1) The Bureau shall provide the Recipient a fixed per capita grant of $2,075.00 per refugee
admitted under Section 207 of the INA who is assigned to the Recipient pursuant to this
agreement for a total of up to x,xxx refugees who are expected to arrive in the United
States during the period October 1, 2016 through September 30, 2017. It is the intent of
the Bureau that the per capita grants shall be spent in their entirety on expenses related to
meeting the material needs of refugees and providing services to them, within the
parameters of this subsection 5.c.
2) Of the $2,075.00 fixed per capita grant:
a) At least $1,125.00 (refugee per capita) is to be provided in its entirety to the
affiliate to which the refugee is assigned and is to be used to cover payments
made by the affiliate to or on behalf of individual refugees for cash disbursement
or for material goods, as needed, to meet the requirements of the program;
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i. No less than $925.00 of this $1,125.00 must be spent on behalf of the
refugee by the affiliate to which the refugee is assigned during that
refugee’s R&P service delivery period;
ii. Up to $200.00 of this $1,125.00 may be spent on behalf of other
vulnerable refugees assigned to the same affiliate who have unmet needs
during their R&P period;
b) No more than $950.00 (affiliate per capita) may be used to partially cover the
actual expenses of the affiliates to which refugees are assigned in providing
reception and placement services, including expenses that will lower the client-tostaff ratio, support positions that will coordinate volunteers or develop resources
for the R&P program, deliver cultural orientation to refugees, and/or otherwise
improve the quality of the R&P services received by refugees.
c) The Recipient will demonstrate through the reporting required under this
agreement that the amounts funded for the per capita grants were provided by the
Recipient in their entirety to affiliates based on the total number of refugees
assigned to the Recipient during the period of October 1, 2016 through September
30, 2017.
3) Payment of the amounts specified in subsection 5.c.2(a) shall be made only for the
number of assigned refugees who actually arrive in the United States during the period
October 1, 2016 through September 30, 2017, but in no case shall the total payment of
refugee per capita funds exceed $xxx,xxx during this period.
4) Payment of the amounts specified in subsection 5.c.2(b) may be made in advance of
actual refugee arrivals and shall be for the actual expenses of affiliates up to $xxx.xxx
OR shall be made only for the number of assigned refugees who actually arrive in the
United States during the period October 1, 2016 through September 30, 2017, whichever
is higher. In no case shall the total payment of affiliate per capita funds exceed $xxx,xxx
during this period.
5) This agreement may be amended to reflect the actual number of refugee arrivals during
the period October 1, 2016 through September 30, 2017 and to adjust the amount of
funds accordingly.
d.
The funds awarded under this agreement may be used only for the performance of the
Recipient's responsibilities authorized herein for the provision of reception and placement
services and may not be used to cover expenses of other activities or services that may be
provided to refugees during their resettlement. For example, funding provided under this
agreement shall not be used to cover any expenses of collecting the IOM Promissory Note.
e.
The affiliate per capita funds earned under this agreement must be used in their entirety to
cover affiliates expenses and shall not be used to cover national management expenses, as
specified in subsection 5.c.2.
f.
The refugee per capita funds earned under this agreement must be used in their entirety to
cover cash disbursements to refugees and/or purchases of material goods on their behalf at the
Recipient’s affiliate for which the refugee is assigned and shall not be used to cover national
management expenses, as specified in subsection 5.c.2.
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g.
In the event that the Recipient's activities related to the performance of its responsibilities
under this agreement are also eligible for funding under other federal government grants or
agreements, the Bureau and the Recipient shall consult each other and any other federal agency
concerned to prevent attribution of the same expenditures to two (2) separate federal funding
agreements.
h.
National Management. Any unexpended funds available to the Recipient for national
management expenses at the end of the validity period of this agreement must be returned to the
Bureau and may not be used to cover affiliate expenses or for payments to or on behalf of
refugees.
i.

Per Capita Funds
1) Any unexpended per capita funds designated for affiliates expenses may be used to
continue authorized basic needs support and core services beyond the R&P period for
refugees assigned under this agreement, excluding payments to or on behalf of refugees
which must be expended by the end of the R&P period.
2) Per capita funds designated for payment to or on behalf of each refugee may be used only
to cover direct payments to or on behalf of each refugee and must be expended by the end
of their R&P period. A minimum of $925 per capita must be spent on each refugee.
3) Up to $200 per capita of funds designated for payment to or on behalf of refugees may be
used only to cover direct payments to or on behalf of any refugee placed at the affiliate
that received the per capita.
4) All per capita funds earned under this agreement, however, must be expended no later
than three (3) months following September 30, 2017 from which funded and reported as
part of the final or interim final financial report for the period October 1, 2016 through
September 30, 2017. Funds remaining at the end of the above-specified period shall be
returned to the Bureau.
5) Any interest accrued on per capita funds made available under this agreement may be
expended only (1) for the Recipient's responsibilities under this agreement; and (2) within
the same time period specified in subparagraph 4) above. Interest remaining at the end of
such period shall be returned to the Bureau.
6) With the written approval of the Bureau, the Recipient may enter into funding
arrangements with other voluntary organizations participating in the Bureau's initial
reception and placement program that will ensure that each organization is reimbursed for
the actual number of refugees to whom it has provided services required by this
agreement.

j. Transportation. Funds awarded under this agreement may not be used for travel outside the
fifty (50) United States without the prior written approval of the Bureau. All approved
international travel to be paid with funds awarded under this agreement shall be performed on
U.S. flag carriers to the extent such service is available in accordance with the provisions of the
"Federal Travel Regulations."
6. Payment Method
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Name of Recipient
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a. Payments under this award will be made through the U.S. Department of Health and Human
Services Payment Management System (PMS). The Payment Management System instructions
are available under the PMS website and can be accessed at the following address:
http://www.dpm.psc.gov/. Recipients should request funds based on immediate disbursement
requirements and disburse funds as soon as possible to minimize the Federal cash on hand in
accordance with the policies established by the U.S. Treasury Department and mandated by the
OMB Regulations.
b. Requests for reimbursement of National Management Expenses shall be submitted
separately from requests for other funds and only in amounts that are required to meet the
immediate cash needs of this activity.
c. Requests for payment of the per capita shall be submitted only for those assigned refugees
who have actually arrived in the United States.
7. Reporting and Monitoring
The Recipient must submit required program, financial, and inventory reports to the Bureau's
Office of the Comptroller through the GrantSolutions grants management System at
www.grantsolutions.gov. The Recipient must submit required reports to the Office of the
Comptroller using the Grant Notes functionality for this agreement number. The subject line of
the Grant Note transmitting the report must include the Report Type and Reporting Period.
The Recipient is required to submit quarterly program and financial reports based on the
schedule outlined below. The first page of the Performance Progress Report Form (SF PPR)
must be submitted with all program reports. The Federal Financial Report (FFR SF-425/SF425a) must be submitted for all financial reports. These forms can be accessed at:
https://www.statebuy.state.gov . Failure to comply with these reporting requirements may
jeopardize the Recipient's eligibility for future Agreements.
The Recipient must submit performance reports using OMB-approved government-wide
standard information collections when providing performance information. As appropriate in
accordance with above mentioned information collections, these reports will contain, for each
Federal award, brief information on the following unless other collections are approved by
OMB:
a.
A comparison of actual accomplishments to the objectives of the Federal award
established for the period. Where the accomplishments of the Federal award can be quantified, a
computation of the cost (for example, related to units of accomplishment) may be required if that
information will be useful. Where performance trend data and analysis would be informative to
the Federal awarding agency program, the Federal awarding agency should include this as a
performance reporting requirement.
b.

The reasons why established goals were not met, if appropriate.

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c.
Additional pertinent information including, when appropriate, analysis and explanation of
cost overruns or high unit costs.
Program Progress Report Schedule and Requirements:
Quarter Start Date
October 1, 2016
January 1, 2017
April 1, 2017
July 1, 2017

Quarter End Date
December 31, 2016
March 31, 2017
June 30, 2017
September 30, 2017

Report Due Date
January 31, 2017
April 30, 2017
July 31, 2017
December 31, 2017

The final three (3) month report should also contain a brief summary of the activities carried out
during the full period of the agreement.
Each report should address the objectives and indicators set forth in Section 1.c. and 1.d. and the
extent to which they were accomplished. The Recipient shall include in the Program Progress
Report a brief summary of:
1) program activities, such as conferences, workshops, and training or other activities
funded through this agreement;
2) the Recipient’s affiliate monitoring activities to include findings and recommendations on
each affiliate monitored;
3) a discussion of actions taken to address any identified weaknesses in R&P core service
delivery, including follow-up on corrective actions taken as a result of prior Recipient or
Bureau monitoring;
4) evidence of final compliance with all prior Recipient or Bureau monitoring findings and
recommendations; and
5) the number and percentage of affiliates in compliance with the requirements for
community consultations, as well as best practices and issues that prevent adequate
resettlement in a given community or result in changes in the Recipient’s placement
plans.
The Performance Progress Report (SF-PPR) is a standard, government-wide performance
reporting format available at: https://www.statebuy.state.gov/fa/Pages/Forms.aspx. Recipients
must submit the signed SF-PPR cover page with each program report.
Annual Report
The Recipient shall submit no later than March 31, 2018, a report to be submitted by the Bureau
to Congress pursuant to Section 412(b)(7)(E) of the INA. The report will be considered timely if
submitted on or before the due date. Such report shall describe for the period October 1, 2016
through September 30, 2017:
1) the number of refugees placed by county of placement and the total expenditures incurred
during the year, including the proportion of such expenditures used for administrative
purposes (National Management) and for provision of services (Local Offices/Affiliates
and Payments to or on Behalf of Refugees);
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2) to the extent the information is available, the Recipient will make its best effort to
determine the proportion of refugees placed during the agreement period by the Recipient
and who, on September 30, 2017, are receiving publicly funded cash or medical
assistance;
3) the Recipient's program to monitor placement of the refugees and the activities of its
affiliates;
4) the efforts by the Recipient and its affiliates to coordinate with local social service
providers so as to avoid duplication of services;
5) the efforts by the Recipient and its affiliates to notify public welfare offices of refugees
who have been offered employment and to provide documentation to public welfare
offices to which refugees have applied for cash assistance concerning cash or other
resources directly provided to such refugees;
6) the efforts of the Recipient's affiliates to inform appropriate public health agencies of the
arrival of refugees known to have medical conditions affecting the public health and
requiring treatment; and
7) any complaints received from beneficiaries about provision of services by the Recipient
pursuant to this agreement.
R&P Period Reports
A copy of the R&P period report form will be provided to the Recipient. Data from this form
will be submitted to the Refugee Processing Center (RPC) no later than the 15th day of the
second month following the end of the R&P period, and shall be considered timely if
electronically submitted on or before the due date. The report shall be submitted to the RPC at
[e-mail]. The Recipient will retain the reported information for a
period of not less than one year from the date of arrival, and will make it available for review by
the Bureau upon request.
Federal Financial Report Schedule and Requirements
Financial reports shall be submitted within thirty (30) days following the end of each calendar
year quarter (January 30th, April 30th, July 30th, and October 30th) during the validity period.
A preliminary final financial report covering the entire period of the agreement shall be
submitted within ninety (90) days after the expiration date of this agreement and then updated
and submitted on March 31, 2018. This preliminary final report shall include the total charges
for each budget category reflected in Section 5 including charges for post-performance activities
such as audits and evaluations. Should the Recipient have awarded $15,000 or more to a subrecipient for the implementation of a portion of this project, the reports shall identify the name
and amount of funds given to each sub-recipient organization.
Should the funds provided under this cooperative agreement reimburse the Recipient for only a
portion of the total costs of this project with additional costs being covered from other Federal or
private resources, the financial reports required by the Bureau must reflect the costs to be
charged to the Bureau's cooperative agreement and those costs to be charged to other financial
resources for the total cost of the project.
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Reports reflecting expenditures for the Recipient’s overseas and United States offices shall be
completed in accordance with the Federal Financial Report (FFR SF-425) and submitted
electronically in the Department of Health and Human Services’ Payment Management System
and transmitted as a Grant Note through www.grantsolutions.gov.
Expenses to be charged against this agreement must be for actual costs incurred for authorized
activities that are adequately documented and that can be confirmed through an audit. Expenses
based on an average or prorated share of costs that do not represent individually identified costs
or those that cannot be specifically confirmed through an audit shall not be charged to or
reported under this agreement.
Should the Recipient receive refunds or rebates after the reporting period, these must be returned
with a revised preliminary final financial report within thirty (30) days of the receipt of such
refunds or rebates.
For the Recipient that has an approved USG indirect cost rate: A final financial report, including
any allowable post performance charges for an audit and/or an evaluation, shall be submitted
within sixty (60) days from the date the Recipient countersigns an indirect cost rate agreement
with its cognizant government agency that establishes final rates applicable to the validity period
of this agreement. This final financial report shall have the authorized charges detailed by the
time period covered by each different indirect cost rate in effect during the validity period of this
agreement.
Reconciliation of Claimed Refugee Sponsorships
The Recipient shall reconcile with the RPC within sixty (60) days its claimed arrivals each
month. A final summary of the Recipient's claimed arrivals for the period October 1, 2016
through September 30, 2017 must be reconciled with the RPC no later than December 31, 2017.
Inventory Report
A report shall be submitted within thirty (30) days prior to the expiration of this agreement
listing all items and purchase price of all non-expendable tangible personal property having a
useful life of more than one year and having a current per unit fair market value of $5,000 or
more per unit which were purchased with funds provided under this agreement. This report must
include the following information for each item purchased: description, date of purchase, serial
number, and the country in which the item was used.
This required inventory report shall include any items of non-expendable tangible personal
property that were purchased under a previous Bureau funding arrangement that continue to be
used in activities funded under this agreement.
The required inventory report shall also include the Recipient’s specific recommendations for the
disposition of each item of non-expendable tangible personal property. In certain circumstances,
the proposed disposition may include a recommendation to retain specified items for continued
use in other Bureau funded activities or similar activities carried out by the Recipient. If such
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property is no longer required for authorized activities, a recommendation for final disposition,
e.g., sale, donation or disposal, shall be specified.
Quarterly Status Report
The Recipient shall submit calendar quarterly status reports, in the formats attached hereto as
Attachment C. The Attachment C reports shall be submitted within thirty (30) days following
the end of each calendar year quarter (January 30th) during the validity period and transmitted as
a Grant Note through www.grantsolutions.gov. Proposed revisions or adjustments to the report
may only be made within the subsequent sixty (60) days following the report deadline for each
calendar quarter or ninety (90) days from the end of the calendar quarter. Adjustments to direct
costs proposed subsequently to this ninety (90) day period will not be considered for
reimbursement under this agreement, except for possible charges for post-performance activities
such as audits, evaluations and adjustments for indirect costs.
In recognition of the delay in determining final per capita earnings based on final reconciliation
of arrivals, the Recipient may adjust the allocation of expenses between per capita and private
resources, but may not increase expenses, during the one hundred twenty (120) day period for
submission of the final expenditure report.
A final Attachment C report for expenditures together with a summary report of the previously
reported quarterly expenditures shall be due March 31, 2018. This report is to include any
proposed revisions or adjustments to direct costs and to include earned income based on the
reconciliation of arrivals with the Refugee Processing Center. After this date, no revisions or
adjustments of direct expenditures or adjustments of direct costs charges or earned per capita
income will be recognized for consideration under this agreement.
For National Management expenses: In addition to the SF-425 required above, a listing of total
expenditures by the Items of Expenditure Categories set forth in Attachment C of this agreement
reflecting separately the costs being charged to this agreement and those charged to other
sources. The quarterly line item expenditure reports must be transmitted as a Grant Note through
www.grantsolutions.gov.
For Local Office/Affiliate and Payments to or on Behalf of Refugees expenses: In addition to
the SF-425 required above, a reporting of expenditures shall be completed as set forth in
Attachment C of this agreement that indicate per capita income earned during the reporting
period, expenditures incurred chargeable to per capita funds, and the total amount of non-Federal
funds used to augment the per capita funds. This information is to be provided by affiliate noting
the affiliate RPC code and city, number of refugees arrived, affiliate expenses per capita
expenditure, and per capita expenditures to or on behalf of refugees during the quarter as set
forth in Attachment C. The quarterly expenditure reports must be transmitted as a Grant Note
through www.grantsolutions.gov.
Availability of Per Capita Funds

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A written statement must be submitted on or before December 31, 2017 as a Grant Note through
www.grantsolutions.gov reporting the amount of per capita funds and accrued interest
unexpended and available as of October 1, 2017. This statement must confirm the amount of
those funds that were expended and reported as a part of the quarterly financial reports for the
period October 1, 2016 through September 30, 2017.
Should the Recipient have any unexpended per capita funds as of the financial report due on
March 31, 2018, such funds must be returned to the Bureau no later than April 30, 2018.
IOM Promissory Note Repayments OR (omit for ECDC)
The Recipient shall submit as a Grant Note through www.grantsolutions.gov quarterly reports of
transportation loan repayments indicating amounts repaid and remitted to the International
Organization for Migration within thirty (30) days of the end of each reporting period. The
reports shall be due on or before January 30, 2017, April 30, 2017, July 31, 2017, and October
31, 2017.
8. Acknowledgement of DOS or USG involvement:
The Recipient shall acknowledge the involvement of the USG, as outlined in the Department of
State Standard Terms and Conditions, Attachment B.
9. Waiver of the Publications for Professional Audiences: N/A
10. Pre-Award Costs:
The Department of State hereby agrees to reimburse the recipient for costs incurred and
considered allowable within the amounts of the Authorized Budget – Section 5. This pre-award
condition applies to costs incurred from October 1, 2016 until the date of the award.
11. Substantial Involvement:
The Recipient shall carry out its operational and administrative responsibilities hereunder in
close coordination with and under the direction of the Bureau. For the information of the
Recipient, responsibilities relevant to this agreement are allocated as follows:
a. Bureau
1) Office of Admissions
Acting as the Grants Officer's representative:
a) Provides overall policy guidance and program direction.
b) Reviews and comments on proposed budget for the Recipient.
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c) Reviews and comments on proposed changes or revisions in terms of this
agreement.
d) Monitors and evaluates the general performance of the Recipient's operations
under this agreement to ensure that the established responsibilities and objectives
are being successfully met, maintains contact, including site visits and liaison,
with the Recipient, assists the Grants Officer in the review of required Recipient
Program and Financial Progress Reports to verify timely and adequate
performance, and provides the Bureau regular written reports on whether
performance is in compliance with all the terms and conditions of this agreement.
2) Office of the Comptroller
a) Reviews and negotiates with the Recipient's headquarters the Recipient's budget
and any subsequent requests for funding.
b) Prepares and executes the cooperative agreement, interprets the terms thereof,
arranges for payment, works with the Recipient's headquarters for the overall
administration of the funded activities, and is the mandatory control point of
record for all official communications and contacts with the Recipient that may
affect the budget, the project scope, or terms and conditions of the award.
c) Considers requests for amendments to the cooperative agreement and, upon
determination of appropriateness, prepares and executes formal amendments to
the cooperative agreement. Only the Grants Officer may amend the cooperative
agreement.
d) Monitors and evaluates the Recipient's performance in providing refugee
transportation loan services.
12. Program Income: N/A
13. Cost-Sharing: N/A
14. Sub-recipients: N/A
15. Additional Bureau Specific Requirements:
Responsibilities of the Recipient: The Recipient shall perform its responsibilities under this
agreement in coordination with the Bureau and in a manner consistent with United States law
and policy.
a. Program Management

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1) The Recipient shall provide the core services specified in section 16 below to refugees
who are assigned to it under this agreement and who arrive in the United States during
the period of this agreement in a manner consistent with United States law and policy.
2) In compliance with the Bureau's policy that all funded activities be implemented in a
manner that fully meets the standard of conduct established by the Inter-Agency Standing
Committee (IASC) Task Force on Protection from Sexual Exploitation and Abuse in
Humanitarian Crises, ensure that the activities conducted with funds provided under this
agreement are implemented in accordance with the Recipient’s established code of
conduct submitted to the Bureau in its proposal (Attachment A). Should any change be
made to the Recipient’s code of conduct during the validity period of this agreement,
inform the Bureau in writing within thirty (30) days of the changes for consideration of
whether the revised code continues to meet the Bureau’s standard of core principles.
3) The Recipient is reminded that U.S. Executive Order and U.S. law prohibits transactions
with, and the provision of resources and support to, individuals and organizations
associated with terrorism. It is the legal responsibility of the Recipient to ensure
compliance with these Executive Orders and laws. This provision must be included in all
sub-contracts/sub-awards issued under this agreement.
4) The U.S. Government is opposed to prostitution and related activities, which are
inherently harmful and dehumanizing, and contribute to the phenomenon of trafficking in
persons. None of the funds made available under this agreement may be used to
promote, support, or advocate the legalization or practice of prostitution. Nothing in the
preceding sentence shall be construed to preclude assistance designed to ameliorate the
suffering of, or health risks to, victims while they are being trafficked or after they are out
of the situation that resulted from such victims being trafficked. This provision shall be
incorporated into all sub-agreements under this agreement. The Recipient does not
promote, support, or advocate the legalization or practice of prostitution.
5) Branding and Marking Strategy: State in all appropriate publications, electronic and
printed descriptions, including press releases, annual reports, and financial statements
that reception and placement activities conducted under this agreement are paid for, in
part, through financial assistance provided by the Department of State.
6) Accord the Bureau and its authorized representatives the legally enforceable right to
examine, audit and copy, at any reasonable time, all records in its possession pertaining
to this agreement.
7) Assist the Bureau, as appropriate, in evaluating the Recipient’s performance under this
agreement by facilitating access to all relevant records and to all persons directly
involved under this agreement.
8) Permit the Bureau to make available to the public the Recipient’s performance outcomes,
the Bureau’s monitoring reports on the Recipient and its affiliates, and the Recipient’s
final consolidated placement plan, in a manner to be determined by the Bureau.
b. Prior Approval Requirements and Revision of Budget and Program Plans. The Recipient
must submit all requests for prior approvals and revisions required under this award in writing to
the GO/GOR, before the project period end date indicated on form DS-1909. Final approval is
subject to review and acceptance by the GO. The transfer of funds among direct cost categories
or programs, functions and activities for which the cumulative amount of such transfers exceeds
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or is expected to exceed 10 percent of the total approved budget (see 2 CFR 200.308(e)) requires
prior approval by the GO by way of amendment.
16. Specific Conditions: Reception and Placement Program Core Services
a. Definitions
For the purposes of this agreement and the Attachments thereto, which are an integral part of it:
1) "Refugee" means a person admitted to the United States under section 207(c) of the
Immigration and Nationality Act, as amended, or a person to whom eligibility for the
resettlement assistance available to individuals admitted under section 207(c) has been
extended by statute.
2) "Agency" means a public entity or a private nonprofit organization, registered as such
with the Internal Revenue Service under 26 U.S.C. 501(c)(3), having a cooperative
agreement with the Bureau for reception and placement services.
3) “Affiliate” means:
a) a regional office of an Agency, which is part of the corporate structure of the
Agency;
b) a public entity or a private nonprofit legal entity which has accepted in a written
agreement with the Agency responsibility to provide, or ensure the provision of,
reception and placement services to certain refugees sponsored by an Agency; or
c) a sub-office of an entity referred to in subparagraph 2) “Agency” above that the
Recipient proposes for affiliate status in the proposal for the FY 2017 program or
during the course of the year, and that the Bureau agrees in writing may serve as
an affiliate. A "sub-office" is defined as an office where reception and placement
services are provided and refugee case files are maintained during the reception
and placement period with management oversight provided by a nearby affiliate
office.
4) "Local co-sponsor" means an established community group, such as a congregation or
service organization, which has accepted in a written agreement with an Agency
responsibility to provide, or ensure the provision of, reception and placement services to
certain refugees sponsored by an Agency. Individuals or informal groups may not serve
as local co-sponsors. Local co-sponsors differ from volunteers in that they agree in
writing to accept responsibility for performing certain services required in this agreement.
5) “Local resettlement agency” means “Affiliate” (see above).
6) "The Refugee Processing Center” (RPC) means the center located at 1401 N. Wilson
Boulevard, Arlington, Virginia 22209, which will manage, on behalf of the Bureau, data
processing of refugee cases.
7) "Assurance" means a written commitment, submitted by a Recipient, to provide, or
ensure the provision of, the basic needs support and core services specified in subsections
16.3.g.1 through 16.3.g.6 of the cooperative agreement for the refugee(s) named on the
assurance form.
8) “Reception and Placement period” (R&P period) means an initial thirty (30)-day period
that can be extended up to ninety (90) days after arrival should more than thirty (30) days
be required to complete R&P Program requirements.
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9) "Employable refugee" means any refugee who is between the ages of 18 and 64 other
than a refugee who:
a) is required to be in the home to care for a child under one year of age or other
fully dependent person (only one adult per household unit may be considered to
be in this category); or
b) is unable to work for physical or mental health reasons.
10) "Loan Services" means those activities deemed appropriate through consultation with the
International Organization for Migration and the Bureau to ensure that maximum efforts
are made to conduct required loan activities for refugees signing Promissory Notes
executed by IOM for funds advanced by the Bureau to cover transportation costs to the
United States.
11) “Appropriate language interpretation/translation” means interpretation/translation
which allows for communication with the refugee in his/her native language, if possible,
or in a common language in which the refugee is fluent.
b.

Performance Standards

The Bureau will evaluate Recipient performance on an ongoing basis and will expect timely
Recipient cooperation to remedy any identified weaknesses in affiliate, sub-office, or Recipient
performance. The Bureau may find it necessary to restrict placement of cases to affiliate
offices for a period of time to allow for corrective action by the national Agency.
The Recipient will permit the Bureau to monitor its affiliates upon advance notice, and, when
Bureau on-site or telephonic monitoring results in recommendations for modifications in the
operations of an affiliate of the Recipient, respond to the Bureau's recommendations in writing
and ensure that required modifications are implemented at the local level within the specified
time-frame. If the Recipient fails to comply with this provision, the Recipient may be prohibited
by the Bureau from utilizing funds received under this agreement for further resettlement by the
affiliate.
The Bureau will evaluate Recipient performance in the following areas:
1) Reception and Placement Program Objectives and Indicators and Recipient Objectives
and Indicators as stated in Section 1.c. and 1.d.
2) National Agency Program Management
a) Staff training
Headquarters shall have in place a formal plan for training new headquarters staff
and affiliate directors, and should ensure that each affiliate has a structured
training plan for each of its new employees. Headquarters shall also have in place
a mechanism for training existing staff at all levels on changes that occur in the
R&P Program, as well as local and national legislative changes that affect refugee
resettlement. Training for new and existing staff at all levels shall include the
national and/or local established code of conduct.
b) Communication with Affiliates on Policy Changes
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c)

d)

e)

f)

g)

Headquarters shall have in place mechanisms for informing affiliates of policy
changes and shifts in expected refugee arrivals. Headquarters shall also have in
place mechanisms for informal communications with affiliates on everyday
resettlement issues.
Strategy for Site Selection
Headquarters shall have in place a coherent strategy for selecting resettlement
sites and placement of individual refugee cases. That strategy should show
evidence of adaptability to new circumstances, e.g., influx of new populations,
welfare or economic changes in any given location. Such strategy should also
provide adequate justification for continued use of a site with poor employment
outcomes.
Corrective Action on Program Deficiencies
Headquarters shall maintain records of corrective actions taken and evidence of
final compliance by affiliates in response to recommendations made by
headquarters and Bureau monitors during on-site and telephonic monitoring
reviews. These records should show evidence of follow-up as needed, and should
address each recommendation made by the monitors.
Employment of Refugees
Although the Recipient is not required to effect job placement through its own
efforts, this agreement requires that the Recipient provide employment orientation
and assistance with enrollment in appropriate employment services. Refugee
program service providers or other resources available in the community may
accomplish job placement. Since employment is recognized as one of the
significant elements in successful resettlement, the Recipient will determine the
employment status of each employable refugee at the end of the R&P period.
Out-Migration of Refugees
The Bureau will review the Recipient’s out-migration performance as a part of
its annual review.
On-Site Affiliate Monitoring
i. Frequency of Monitoring
Headquarters shall maintain records verifying that it conducts on-site
monitoring of each affiliate and sub-office in its network at least every
three (3) years, unless the office has resettled fewer than twenty-five (25)
refugees during the previous fiscal year. Headquarters should perform and
document monitoring of a new affiliate or sub-office within twelve months
of the date opened in WRAPS. Headquarters should also perform and
document monitoring visits to affiliate offices that have experienced a
turnover in resettlement directors within one (1) year of the new director’s
appointment, which resets the three (3)-year monitoring cycle for that
affiliate. Bureau exceptions to these requirements, which should be
requested only in exceptional circumstances, should also be documented.
ii. Written Reports
Headquarters monitors shall write a formal report for each monitoring visit
they conduct. The reports shall include:

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(a) a description that quantifies and qualifies how the affiliate
coordinates volunteers and develops private resources for
Reception and Placement activities;
(b) evidence of the affiliate’s policy on how refugee per capita funds
beyond the $925 per person minimum are spent;
(c) a narrative statement describing the affiliate’s R&P program,
including quality of housing, local services, and the local
resettlement environment;
(d) evidence of a review of the affiliate’s performance and compliance
with R&P requirements;
(e) evidence of contacts made by the monitor(s) with state and local
refugee program officials, including the state refugee coordinator
and state refugee health coordinator;
(f) evidence of compliance with quarterly stakeholders meeting
requirements;
(g) evidence of the affiliate’s training for new and existing staff;
(h) evidence of the affiliate’s policy on protection from sexual
exploitation and abuse;
(i) evidence of the monitor’s review of five percent (5%) (but not
fewer than ten (10) cases, nor more than thirty (30) cases) of all
case files for cases which arrived during the preceding twelve (12)month period, including a representative sample of local cosponsor placement, if applicable. The monitoring report must
indicate whether the case files contained fully completed and
implemented service plans for each member of the family,
evidence of timely and compliant delivery of all required services,
evidence of compliant documentation of R&P per capita
expenditures, and R&P period reports. The report must also
indicate whether the case logs presented a complete and accurate
picture of the resettlement process;
(j) evidence of the monitor’s visit to at least four (4) refugee cases in
their homes, and an assessment of the welfare, living conditions,
current needs, and the affiliate’s assistance with the provision of
basic needs and core services. If fewer than four (4) cases have
arrived in the fiscal year being monitored, all arrived cases for that
fiscal year shall be included in home visits; and
(k) recommendations for any necessary follow-up.
h) The following documents shall be available to the Bureau upon request. The
documents shall be accurate and complete, be submitted in a timely manner, and
adhere to all requirements:
i.
R&P Period Reports
ii. Sponsorship Assurances
iii. Affidavits of Relationship
iv. Ninety (90)-day follow-up reports for minors coded M2-M3 and M5-M7
v.
Quarterly R&P Program Reports
vi. Record of affiliates’ local consultations
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vii. Annual Report
viii. Reconciliation of Claimed Refugee Sponsorships
ix. Quarterly Financial Status Reports
x.
Availability of Funds Statement for Current Fiscal Year
xi. Audit Data Collection Form and Reporting Package
xii. Staff training plans and reports of training
xiii. Policy on the Prevention of Sexual Exploitation and Abuse
3) Bureau Monitoring of Agency Affiliates
a) On-Site Monitoring Visits
All affiliates and sub-offices are subject to monitoring by the Bureau with
advance notice to the Recipient and affiliate. Findings and recommendations
will be reported in writing to the Recipient, which will respond to the
recommendations in writing before reports become final. Evaluation will be
based on affiliate staff interviews, oral and written questionnaires, case file
reviews, and refugee home visits. Reviews will include evaluation of:
i. affiliate staff understanding of required Reception and Placement
Program services;
ii. demonstration of effective coordination with other organizations and
agencies that provide services to refugees;
iii. compliance and quality of R&P basic needs support and core service
delivery;
iv. presence of all documents in files and degree to which each has been
thoroughly and legibly completed;
v.
evidence of the affiliate’s training of new and existing staff, volunteers,
and co-sponsors;
vi. evidence of the affiliate’s policy on the prevention of sexual exploitation
and abuse; and
vii. affiliate R&P performance outcomes.
The Bureau will provide an oral overview of its findings and recommendations
to the affiliate immediately following the review.
b) National Agency Response
The responsiveness of the Recipient to the Bureau's monitoring reports,
including timeliness of response to the draft report and timely implementation of
recommendations will be evaluated.
c. Performance of Core Services by or Under the Direction of the Recipient
1) A written proposal, submitted by the Recipient and incorporated into this agreement as
Attachment A, will constitute the basis for the assignment of Reception and Placement
responsibility for specific refugees. Subject to any limitations established in this
agreement (e.g., the inability of the Recipient to assist refugees of a particular linguistic
group), the Bureau may assign a reasonable number of special cases to any participating
Recipient. The Recipient shall describe its network of affiliates in its annual proposal,
including the proposed service area to be covered by each affiliate. A Recipient may
assure and place a case assigned to it under the Agreement only within the approved
service area and caseload projections of its approved affiliates as set forth in the proposal.
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The Bureau authorizes cases with U.S. ties to be placed within a radius of 100 miles
within the same state of the affiliate and cases without U.S. ties to be placed within a
radius of 50 miles within the same state of the affiliate.
2) The Bureau will consider approving a larger service area for cases with U.S. ties when
the Recipient demonstrates to the satisfaction of the Bureau that the larger area will not
impair the quality of service provided to refugees placed in that area. The Recipient will
ensure that the affiliate will be able to respond on a same day basis to any urgent needs of
the refugees and assist the refugees to resolve the issues.
3) The Recipient may propose to open a new affiliate or sub-office during the validity
period. The Recipient must provide a statement of rationale for each proposed new site.
The rationale should be accompanied by: a completed abstract; a letter of support from
the proposed site’s governing entity; a letter of support from the state refugee
coordinator; letters of support from local refugee service agencies; an explanation of the
proposed management structure at the new location; a timeline for the opening of the
proposed site and implementation of program activities; and a detailed training plan for
R&P staff. Each affiliate or sub-office abstract should present information pertaining
only to activities of that specific office and should not include data related to activities
corresponding to partner agencies (at joint sites), sub-offices, or administering affiliates.
Abstracts representing jointly operated affiliates must contain information in all fields
regarding only the sponsoring Agency’s activities; it should not reflect a combination of
partner Agencies’ information. The Bureau may request additional information.
4) The Recipient must inform the Bureau and the relevant state refugee coordinator in
writing of the intended closure of an established affiliate or sub-office at least thirty (30)
days in advance of closure. The notification submitted to the Recipient’s designated
program officer in the Bureau should include: a plan for completion of services for all
active R&P cases; a list of all assured cases that have not arrived to be returned to the
RPC for reallocation; a list of all outstanding Affidavits of Relationship (AORs),
including pre-case ID numbers, and anchor contact information; a plan for the disposition
of all R&P records and case files (to be retained for a period of no less than three years),
including a plan to transfer files to the affiliate designated to receive active cases; and a
copy of the Recipients’ notice of closure letter to the state refugee coordinator.
As a part of the affiliate closure process, the Bureau must approve in advance the transfer
of AORs and current cases from the closing affiliate to any other affiliate. This includes
transfers to another affiliate within the Recipient’s network. Upon approval by the
Bureau, the affiliate closure plan will be forwarded to the RPC for action.
In the case of planned consolidation of a sub-office operation into an administering
affiliate, the Recipient should follow the procedures outlined above and prepare a revised
Abstract for submission to the Bureau which reflects the consolidation information.
The Recipient will further ensure that its affiliate provides written notification to all
active cases and to persons with AORs on file at the closing site. The closing affiliate
should inform filers of AORs that they may express in writing a preference to work with
a specific alternate affiliate. If the AOR filer identifies an alternate affiliate, the
Recipient will transfer the AOR directly to the appropriate R&P Agency upon approval
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by the Bureau. Evidence of such direct transfers should be included in the closure plan
submitted to the Bureau. All other outstanding AORs will be transferred to nearby
affiliates by RPC, in coordination with the Bureau.
5) A copy of the signed assurance form will be maintained on file at the headquarters of the
Recipient for a period of at least one year from the date the refugee enters the United
States.
6) With respect to every placement, the Recipient or affiliate will have on staff, or available
from within the community of resettlement, persons who can communicate with the
refugee in a common language and who can assist with the provision of services in
person, as needed. These services will be available to the refugee on a daily basis during
the R&P period.
7) The procedures for initial assignment, assurance, and transfer of refugee cases are set
forth in the Allocations Handbook, which may be updated during the agreement period
and is hereby incorporated by reference.
8) The basic needs support and core services shall be provided to any refugee assigned to the
Recipient during the R&P period after the refugee's arrival in the United States, except
where a different period of time is stated.
9) The basic needs support and core services shall be provided in accordance with the
proposal submitted by the Recipient as approved by the Bureau. Deviations from the
proposal involving the addition of affiliates or increases of more than ten percent (10%)
in each proposed affiliate’s caseload must be approved in advance in writing by the
Bureau. An increase in an affiliate’s caseload does not increase the total number of a
Recipient’s proposed and accepted total network capacity for refugee arrivals during the
fiscal year. Any increase in a Recipient’s total network capacity for refugee arrivals must
be requested by the Recipient in writing and approved in advance in writing by the
Bureau. It is understood that caseload may fall short of that in the proposal, and
deviations resulting from such shortfall do not require Bureau approval.
10) Faith-based Recipients should take steps to ensure their inherently religious activities,
such as religious worship, instruction, or proselytizing, are separate in time or location
from the government-funded services that they offer. Also the Recipients may not
require refugees to profess a certain faith or participate in religious activities in order to
receive services.
11) Recipients shall request prior approval from the Bureau for one or more of the following
program or National Management budget related reasons:
a) Change in the scope or the objective of the project or program (even if there is no
associated budget revision requiring prior written approval).
b) Change in a key person specified in the application or award document (as
specified in the 2 CFR 200).
c) The absence for more than three months, or a twenty-five percent (25%) reduction
in time devoted to the project, by the approved project director.
d. Delegation of Functions by the Recipient
1) Unless otherwise provided herein, the responsibilities assumed by the Recipient shall be
delegated only to an affiliate designated in the approved proposal, who may re-delegate
such responsibilities to a local co-sponsor, provided such co-sponsor is identified on the
applicable assurance form submitted to the RPC. When the Recipient relies on an
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affiliate or local co-sponsor to provide a service, the Recipient shall remain responsible
for ensuring that the service is provided.
2) Any local co-sponsor to whom the Recipient's responsibility for providing core services
is re-delegated by an approved affiliate must be located in the affiliate's approved area of
geographic responsibility, as designated in the proposal. When the affiliate has an
agreement with a local co-sponsor to provide basic needs support or core services, the
affiliate shall remain responsible for ensuring that the services are provided.
3) The Recipient, and any affiliate and/or local co-sponsor to which a delegation is made,
must carry out its responsibilities in accordance with Title VI of the Civil Rights Act of
1964.
e. Coordination and Consultation with Public Agencies
The Recipient shall:
1) Conduct placement planning, reception, and basic needs and core service activities in
close cooperation and coordination with state and local governments. In each placement
location, the affiliate(s) responsible for refugee placement shall convene and conduct
quarterly consultations with state and local government officials concerning the
sponsorship process and the intended distribution of refugees in such localities before
their placement in those localities. Local participation should include, at minimum,
representation from the following offices: state refugee coordinator; state refugee health
coordinator; local governance (city and/or county, as applicable); local and/or county
public health; welfare and social services; public safety; and public education.
Consultations may take place in person and simultaneously via teleconference,
videoconference, or a combination thereof. The content of the consultations should
include year-to-date arrivals and projections through the end of the current federal fiscal
year compared to approved placement numbers; a presentation of characteristics of
arriving refugee populations including nationality, ethnicity, average family size and
composition, language and education background, and medical conditions; a discussion
of the participant stakeholders’ abilities to adequately receive and serve the actual and
projected caseload; and a discussion about aspects of integration to support refugee
participation in civic life. Issues that might prevent adequate resettlement should be
discussed. Concerns that might result in changes to the approved placement plan should
be raised with the affiliate’s/affiliates’ headquarters immediately, and resolved. Existing
procedures and protocols between the Bureau and the resettlement agencies shall be used
to make any necessary changes to approved placement plans.
One of these consultations shall take place in preparation of an Agency’s application to
participate in the R&P Program the following fiscal year. Agencies will keep a record of
their affiliates’ local consultations and report on the number and percentage of their
affiliates in compliance with this guidance. Agencies will report to the Bureau in
quarterly narrative reports the number and percentage of affiliates in compliance, as well
as describe both best practices and issues that prevent adequate resettlement or result in
changes in placement plans;

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2) Ensure that its affiliates participate in appropriate meetings called by state and local
governments in their geographic areas of responsibility to coordinate plans for the
placement of refugees;
3) Coordinate with other publicly supported refugee services programs or refugee case
management systems; and
4) Inform both the Bureau and the Department of Homeland Security Bureau of Citizenship
and Immigration Services of any suspected fraud in any refugee case sponsored by the
Recipient. Such reporting is required of the Recipient regardless of whether the
applicants are still overseas or whether they have already been admitted into the United
States as refugees.
f.

Limitation of Responsibility to Perform Core Services
1) The Recipient shall be relieved of its responsibilities under this agreement to the extent
they cannot be carried out because (1) the refugee does not remain in the general
geographic area where initially placed or (2) the refugee refuses to receive services from
or to cooperate with the Recipient, its affiliates, or its local co-sponsors. In cases when
non-cooperation by the refugee makes compliance impossible, the Recipient should
ensure that the refugee is counseled and that such counseling and result is noted in the
case file. Unexpended refugee per capita funds may be retained by the affiliate and
returned to Bureau. Any other barriers to full compliance that are beyond the control of
the Recipient should be documented in the case notes.

g.

Core Services
1) Pre-Arrival Services
The responsibilities in paragraphs a), b), c), and d) below may not be delegated; the
responsibilities in paragraph e) for training local co-sponsors may be delegated to an
affiliate. Training must be provided in person by a representative of the Recipient or its
affiliate to any local co-sponsor that has not resettled a refugee who arrived in the United
States within the past two (2) years. The Recipient shall:
a) Assume responsibility for sponsorship of the refugees assigned to the Recipient
under this agreement;
b) Arrange the placement of sponsored refugees in accordance with the policies
established under Section 412(a)(2) of the INA and this agreement;
c) Ensure that its affiliates and local co-sponsors share relevant information with
health care providers and/or state and local officials, as needed, in order to plan
for the provision of appropriate health services for refugees who have health care
requirements;
d) Submit sponsorship assurances to the RPC; and
e) Train any affiliate or local co-sponsor that has agreed in writing to assist the
Recipient in sponsorship and ensure that the affiliate or local co-sponsor
understands the overall sponsorship process, the Recipient's role, and the
responsibilities of affiliates and local co-sponsors.
2) Case File Preparation and Maintenance
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The Recipient shall establish and maintain a case file for each arriving refugee case. This
responsibility may be delegated only to an affiliate. It is expected that each case file shall
be treated as confidential, in accordance with Immigration and Nationality Act Sec.
222(f). Case files may be retained in electronic or hard copy format. Case files covering
minors coded M2 through M7 must be clearly identified and easily segregated. Secure
electronic signatures are acceptable. Each case file shall contain evidence of required
basic needs support and core service delivery, including:
a) a clearly legible case note log which shows the date, mode, substance, and
interpretation utilized in regular affiliate/refugee contact throughout the R&P
period and which identifies the person or entity making such contact;
b) a clear plan of action and follow-up (resettlement service plan) for each refugee,
including children, based on an assessment of individual needs and which
indicates the initial assessment of employability for each refugee, including the
reason(s) a person may not be employable;
c) a detailed record of basic needs support and core service delivery;
d) a record of cash and in-kind support provided to meet the refugees' basic needs
for at least the initial thirty (30)-day period, including clear acknowledgement by
the adult member of the refugee case in receipt of cash and in-kind support and
evidence that the amount provided either in cash or documented cash payments on
behalf of the refugee case is equal to at least $925 times the number of individuals
in that case and reflects the total Bureau R&P per capita amount spent on the
refugee case;
e) a record of all public assistance applied for and received or denied, indicating
type(s) of assistance and start date(s) including a record of all notifications from a
state, county, or other local welfare office that the refugee has applied for welfare
benefits and a record of all information the Recipient provided to state, county, or
other local welfare offices and of all information provided by such offices to the
Recipient;
f) if appropriate, a copy of the signed co-sponsor agreement;
g) evidence that housing was provided in accordance with this agreement;
h) evidence that an intake interview as described herein was conducted;
i) evidence that orientation as described herein was completed, and documentation
of refugee understanding of orientation topics;
j) evidence that the affiliate has conducted at least two (2) home visits, which shall
include a documented assessment of the welfare, living conditions and any current
or expected needs of the refugee(s), and assistance with any basic needs, within
(30) thirty days of arrival by affiliate staff, co-sponsor, or other designated
representative and an additional home visit to permanent housing if the refugee
moves from temporary housing within the R&P period. Cases must be visited
the next calendar day after arrival. An additional home visit should occur for all
cases within thirty (30) days of arrival;
k) documentation of assistance with enrollment in relevant social service programs;
l) evidence that the refugee was provided with information on permanent resident
alien status and family reunion procedures, and assisted with completing and
filing Affidavits of Relationship as appropriate;
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m) evidence that the refugee was provided with information on the legal requirement
to notify the U.S. Department of Homeland Security of each change of address
and new address within 10 (ten) days, and assisted, to comply with this
requirement. Authority: Secs. 103, 265 of the Immigration and Nationality Act, as
amended by sec.11, Public Law 97-166, 95 Stat. 1617 (8 U.S.C. 1103, 1305);
n) evidence that the legal requirement for males age 18 through 25 to register for the
selective service within thirty (30) days of arrival has been completed (as
appropriate) and that the refugee was provided with information on the
requirement to notify the Selective Service System of each change of address;
o) a legible copy of the transportation letter and I-94 form (or visa for SIVs) for each
refugee in the case;
p) a R&P period report, which will be retained by the affiliate for a period of not less
than three (3) years from the date of arrival, based upon an interview with the
refugee by the affiliate or local co-sponsor from which it can be determined, inter
alia:
i. that all R&P basic needs support and core services were made available
to the refugee in accordance with this agreement;
ii. whether the refugee household had income in excess of expenses at the
end of the R&P period;
iii. that each refugee was enrolled in state-funded or other appropriate social
services;
iv. the social security number for each refugee in the case;
q) a copy of the assurance form or equivalent documentation; and
r) where applicable, copies of suitability determinations for placement of refugee
minors, follow-up evaluation forms, signed statements concerning responsibilities
and legal obligations in the state of residence, and a copy of the best interest
determination (BID) of the child, if available.
3) Reception Services
The Recipient shall ensure that refugees assigned to it are met at the airport of final
destination and transported to furnished living quarters and provided culturally
appropriate, ready-to-eat food and seasonal clothing as necessary to meet immediate
needs. The Recipient shall visit the refugees the next calendar day after arrival to ensure
that all immediate basic needs have been met and to provide refugees with basic
orientation regarding housing and personal safety matters, including emergency contacts
and procedures. These services shall be provided with appropriate language
interpretation.
4) Basic Needs Support
Upon arrival and for a period of not less than thirty (30) days after arrival, the Recipient
shall provide or ensure that the refugees assigned to it are provided the following:
a) Decent, safe, and sanitary housing based on federal housing quality standards or
local or state standards if local or state standards are higher than federal standards,
and the following:
i. All areas and components of the housing (interior and exterior) should be
free of visible health and safety hazards and in good repair, including no
visible bare wiring, no peeling or flaking interior paint for dwellings built
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before 1978, no visible mold, and no detectable dangerous or unsanitary
odors.
ii. Housing should include identified and accessible emergency escape
route(s); fire extinguishers in accessible locations where required;
working locks on all windows and outside doors; appropriate number of
working smoke detectors; windows in working order; adequate heat,
ventilation, lighting, and hot and cold running water in working order; and
electrical fixtures in good repair.
iii. Housing should provide minimum habitable area for each occupant,
including number of bedrooms or sleeping areas.
iv. Each residence shall be equipped with stove, oven, refrigerator, sink, flush
toilet, and shower or bath in good repair.
v.
Each residence shall have easily accessible storage or disposal facility for
garbage.
vi. Each residence shall be free of rodent and insect infestation.
vii. In cases of refugees with disabilities, housing should be free of, or permit
the removal of, architectural barriers and otherwise accommodate known
disabilities, to the extent required by law.
viii. To the extent possible, the family should be able to assume payment of
rent at the end of the R&P period, based upon projected family income
from all sources. The family should be left with sufficient resources for
other essential expenses (food, transportation, utilities, etc.) after rent
payments are made.
b) Furniture and household items that need not be new, but must be clean, in good
condition, and functional and include the following:
i. Beds (described as bed frame and spring, or equivalent, and mattress)
appropriate for age and gender composition of family; one set of sheets for
each bed; blanket or blankets for each bed as seasonally appropriate; and
one pillow and pillowcase for each person. Only married couples or small
children of the same gender may be expected to share beds.
ii. One set of drawers, shelves, or other unit appropriate for storage of
clothing in addition to a closet, unless the closet has shelving to
accommodate clothing, per family.
iii. One kitchen table per family and one kitchen chair per person.
iv. One couch, or equivalent seating, per family, in addition to kitchen chairs.
v.
One lamp per room, unless installed lighting is present and adequate, and
light bulbs.
vi. One place setting of tableware (fork, knife, and spoon) and one place
setting of dishes (plate, bowl, and cup or glass) per person.
vii. Food preparation utensils to include at least one sauce pan; one frying pan;
one baking dish; mixing/serving bowls; one set of kitchen utensils (such as
spatula, wooden spoon, knife, serving utensils, etc.); and one can opener
per family, and additional items appropriate to family size and
composition.
viii. One bath towel per person.
ix. One alarm clock.
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x.
xi.

Paper, pens, and/or pencils.
Cleaning supplies to include: dish soap, bathroom/kitchen cleanser,
sponges or cleaning rags and/or paper towels, laundry detergent, two
waste baskets, mop or broom, and trash bags.
xii. Toiletries to include: toilet paper, shampoo, soap, one toothbrush per
person, toothpaste, and other personal hygiene items as appropriate. These
items should be new.
xiii. Baby items as needed.
c) Food or a food allowance to include:
i. Culturally appropriate, ready-to-eat food available on arrival, plus one (1)
day’s additional food supplies and staples (including baby food as
needed).
ii. Within one (1) day of arrival, food or food allowance at least equivalent to
the food stamp allocation for the family unit and continued food assistance
until receipt of food stamps or until the individual or family is able to
provide food for himself, herself, or themselves.
d) Appropriate seasonal clothing required for work, school, and everyday use as
required for all members of the family, including proper footwear for each
member of the family, and diapers for children as necessary. Clothing need not
be new, but must be clean, in good condition, and functional.
e) An appropriate amount of pocket money for each adult throughout the first thirty
(30) days to allow independent spending at the refugee’s discretion.
f) Transportation in compliance with local motor safety laws.
g) Transportation to job interviews and job training.
5) Services
These services shall be provided with appropriate language interpretation:
a) Intake Interview
An intake interview shall be conducted within five (5) working days of arrival to
verify refugee documentation and discuss roles and responsibilities of the
Recipient and any other individual or group assisting in sponsorship, as well as
the refugee’s role and responsibilities.
b) Home visits
At least two (2) home visits within thirty (30) days of arrival, which shall include
an assessment of the welfare, living conditions and any current or expected needs
of the refugee(s), and assistance with any basic needs. Cases must be visited the
next calendar day after arrival. An additional home visit should occur for all cases
within thirty (30) days of arrival.
c) Assistance with the following on the schedule noted:
i. Application for social security card(s) within seven (7) working days of
arrival.
ii. Application for cash and medical assistance, as appropriate, within seven
(7) working days of arrival.
iii. Application for food stamps, if necessary, within seven (7) working days
of arrival.

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iv.

Enrollment in or application for other services for which each refugee is
eligible, as appropriate, within thirty (30) days of arrival.
v.
Enrollment in English language programs, as appropriate, within ten (10)
working days of arrival.
vi. Enrollment in employment services, as appropriate, within ten (10)
working days of arrival.
vii. Meeting school enrollment requirements and registering children for
school within thirty (30) days of arrival.
viii. Registration with the selective service within thirty (30) days, as
appropriate.
ix. Filing change of address forms with the U.S. Department of Homeland
Security and the U.S. Post Office (and Selective Service, as applicable) for
all changes of address, including initial and temporary housing, during the
R&P period.
x.
Completing and filing Affidavits of Relationship, as appropriate and as
requested.
d) Resettlement Service Plans
These responsibilities must be performed by the affiliate or the affiliate in active
collaboration with the local co-sponsor. The Recipient shall:
i. Develop and implement during the first thirty (30) days a resettlement
service plan with each refugee. For each employable refugee, the
principal objective of the service plan shall be assisting the refugee to
obtain early employment. The plan for each refugee in the case may be
documented on the same form; and
ii. Monitor and document implementation of the service plan and progress
toward reaching each refugee’s goals throughout the R&P period.
e) Assistance with Access to Health Services
These responsibilities must be performed by the affiliate or the affiliate in active
collaboration with the local co-sponsor. The Recipient shall:
i. Coordinate with state and /or local health care providers to provide
medical services to refugees requiring medical care upon arrival;
ii. Ensure that refugees with acute health care requirements receive
appropriate and timely medical attention;
iii. Assist refugees (other than those with Class A conditions, covered below
in paragraph d) in obtaining a health screening within thirty (30) days of
arrival and other health care services, as needed, during the R&P period;
iv. Encourage and assist refugees as soon as possible after arrival to obtain or
complete immunizations as required for adjustment to permanent resident
alien status one year after arrival;
v.
Assist refugees in accessing appropriate providers of continued therapy or
preventive treatment for health conditions affecting the public health;
vi. In the case of a refugee who fails or refuses to receive health screenings,
provide additional information and counseling to the refugee, including an
explanation of local health regulations and practices, and document the
circumstances and action taken in the case file; and
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vii.

Ensure that its affiliates and local co-sponsors cooperate with state and
local public health officials by sharing information needed to locate
refugees, including secondary migrants to the degree possible, for the
purpose of providing health services to them.

f) Class A Health Conditions
These responsibilities may not be delegated beyond an affiliate. The Recipient shall:

i.

ii.

Advise, encourage, and assist, insofar as possible, refugees with Class A
physical disorders affecting the public health (as designated by the Public
Health Service) to report within seven (7) days of arrival to the official
public health agency in the resettlement area; request the local health
provider (by telephone or in person) to give refugees with Class A health
conditions an appointment date within seven (7) days of their arrival; and
document in the case file the dates of such advice, assistance and requests,
including the name of the individual contacted; and
Advise, encourage, and assist, insofar as possible, a refugee who has a
Class A mental disorder to receive within thirty (30) days of arrival an
initial evaluation by the health care provider who supplied a written
commitment prior to the granting of a waiver for admission; request the
health care provider to provide a copy of the initial evaluation to Refugee
Activity, Division of Quarantine, Centers for Disease Control and
Prevention, Atlanta, Georgia 30333; make reasonable efforts to ensure that
such refugee receives assistance in seeking medical treatment, education,
and training that any previously identified mental disorder may require;
and document in the case file the dates of such advice, assistance, and
requests, including the name of the individual contacted.

g) Communication with State and Local Welfare Authorities
These responsibilities may not be delegated beyond an affiliate. The Recipient shall:

i.

Notify the appropriate state, county, or other local welfare office per their
local requirements at the time the Recipient, its affiliate, or local cosponsor becomes aware that a refugee receiving welfare benefits has been
offered employment or has voluntarily quit a job, and notify the refugee
that such information has been provided to the welfare office. Notice of
offered employment shall be given whether or not the refugee accepts the
offer;
ii. Respond to inquiries from a state, county, or other local welfare office
relating to a refugee's application for and receipt of cash or medical
assistance, and furnish, upon request of such office or agency,
documentation respecting any cash or other resources provided directly by
the Recipient, its affiliate, local co-sponsor, or other sources, to the
refugee; and
iii. Maintain in the case file required under subsection 16.g.2 above a record
of all notifications from a state, county, or other local welfare office that
the refugee has applied for welfare benefits and a record of all information
provided by the Recipient to state, county, or other local welfare offices
and of all information provided by such offices to the Recipient.
h) Orientation
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During the initial reception and placement period, the Recipient shall provide or
ensure that the refugees assigned to it are provided orientation, with appropriate
language interpretation if needed. To the extent practical, written orientation
materials in an appropriate language covering the topics listed below shall be
made available to the refugee upon arrival. Complete orientation on all topics
shall be completed before the end of the R&P period. Orientation materials are
available from the Cultural Orientation Resource Exchange at
www.COResourceExchange.org. Orientation topics and content objectives must
include:
i. Role of the Local Resettlement Agency
• The local resettlement agency is not a government agency.
• Assistance provided by the local resettlement agency and public
assistance is limited and benefits vary across agencies, locations, and
cases.
• There are a number of organizations that will work alongside local
resettlement agencies to assist with access to locally-available
programs and provision of services.
• The local resettlement agency provides assistance to refugees through
the provision of items and/or money to meet initial needs, a limited
scope of services, and advocacy on refugees’ behalf to receive service
for which they are eligible.
• The quality and quantity of items provided will vary.
• Refugees and the local resettlement agency are responsible in
partnership for successful resettlement.
ii. Refugee Status
• There are rights related to refugee status.
• There are responsibilities related to refugee status.
• Applying for permanent residency and naturalization are important
steps in the adjustment process.
• There may be immigration consequences to breaking U.S. laws.
• Refugees may be eligible to file for family reunification, which would
allow family members overseas to come to the U.S.
iii. English
• For both adults and children, learning English is critical to successful
adjustment in the U.S.
• Learning English will take time and the process may vary from person
to person.
• There are a variety of ways to learn English.
iv. Public Assistance
• Public assistance is available to help refugees pay for their needs, but
is limited in amount and scope.
• There are a variety of types of government assistance.
• The local resettlement agency will provide help in accessing public
assistance services.
• There are responsibilities associated with some types of assistance.
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v. U.S. Laws
• The U.S. is governed by the rule of law.
• The U.S. has many laws governing behavior in public.
• There are legal rights and restrictions related to family life.
• There are rights and responsibilities related to U.S. residency and
citizenship.
vi. Your New Community
• There are community and public services that are available to support
residents.
• The local resettlement agency will assist refugees in becoming
acquainted with their new community.
• Members of the refugee’s ethnic or religious group who live in the
area may be a good source of support.
vii. Employment
• Early employment and job retention are essential to survival in the
U.S., and must be the primary focus for all employable adults (men
and women).
• A person’s initial job might not be in their chosen profession.
• The refugee himself or herself plays a central role in finding/obtaining
employment in the U.S.
• A crucial way of finding better paying jobs is learning how to speak
English.
• There are general characteristics of U.S. professional and work culture
to which refugees must adapt in order to be successful in finding and
maintaining employment.
• Employees have rights as well as responsibilities in the workplace.
viii. Health
• Only critical and immediate health care needs may be met in the initial
weeks of resettlement.
• Initial health screenings and immunizations will be scheduled within
thirty (30) days of arrival.
• The U.S. has no universal healthcare system and refugee medical
assistance (RMA) differs state by state. In many cases, RMA is
available for eight months.
• A variety of health care services are available in the U.S.
• Preventative health care plays a large role in maintaining good health.
• There are norms associated with health care services in the U.S.
• U.S. health practices may differ from those of other cultures or
countries.
• There are local resources available to support refugees’ mental health.
ix. Budgeting and Personal Finance
• Refugees are responsible for managing their personal finances.
• In the U.S., financial transactions are mostly conducted through the
banking system.
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• Paying taxes is a legal obligation in the U.S.
x. Housing
• There are a variety of types of housing arrangements depending on
affordability and the local context (including shared housing,
apartment, house, etc.).
• The local resettlement agency provides assistance in home orientation,
after which housekeeping and home maintenance are individual and
family responsibilities.
• Understanding basic safety considerations and use of appliances /
facilities will promote safety in the home.
• There are additional domestic life skills that facilitate independent
living.
xi. Hygiene
• There are norms for personal hygiene in the U.S.
xii. Safety
• Attention to personal safety is an important consideration for all
people.
• Police and law enforcement agencies exist to help people if they
become a victim of a crime.
• It is important to be prepared for emergencies.
• It is important to be familiar with safety procedures.
xiii. Cultural Adjustment
• There are core characteristics that define the American experience.
• There are cultural norms and expectations that are fairly widespread
throughout the U.S.
• The philosophies of self-sufficiency and self-advocacy are central to
American culture and to refugees’ cultural adjustment.
• There are numerous phases of cultural adjustment.
• Resettlement may have an impact on family roles and dynamics.
• Expectations regarding parenting practices may differ in the U.S. from
what refugees are used to.
• There are some basic coping mechanisms to deal with the stress of
adjustment.
• There are ways to seek assistance from others in your community.
xiv. Education
• There are legal and normative expectations regarding schooling in the
U.S.
• The value for adults and teenagers to continue formal education should
be weighed against the need to work.
• There are many options for continuing education and training beyond
compulsory K-12 schooling.
xv. Transportation
• Public transportation options exist in most communities.
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•

Owning or having access to a personal vehicle comes with benefits
and responsibilities.
6) Assistance to Refugee Minor Children
Unaccompanied refugee minors (under 18 years of age) are defined and categorized by
their relationships with traveling companions and ultimate resettlement circumstances.
The following codes are used to identify the circumstances of refugee minor children.
Refugee Minor Codes:
M1: Minors attached to, traveling with, and resettling with biological or legally adoptive
parents;
M2: Minors attached to, traveling with, and resettling with blood relatives other than
biological or legally adoptive parents;
M3: Minors attached to, traveling with and resettling with non-relatives and minors
traveling alone to join non-relatives (only those agencies with refugee foster care
responsibilities as described in subsection 16.g.7 will have the authority to place refugee
children in this category unless otherwise approved by the Bureau);
M4: Minors destined for foster care (only those agencies with refugee foster care
responsibilities as described in the cooperative agreement will have the authority to place
refugee children in this category);
M5: Minors traveling apart from but destined to join biological or legally adoptive
parent(s). This includes minors traveling alone to join parent(s) in the U.S., minors
traveling with relatives other than parents to join parent(s) in the U.S. and minors
traveling with non-relatives to join parent(s) in the U.S.;
M6: Minors traveling apart from the blood relative(s) (other than parents) they are
destined to join. This includes minors traveling alone to join a relative (not parent) in the
U.S. and minors traveling with non-relatives to join a relative (not parent) in the U.S.;
M7: Minors who are married regardless of their traveling companions or U.S.-based
relatives.
With respect to any minor allocated to the Recipient under this agreement entering the
United States according to one of the minor codes listed above, the Recipient shall:
a) Have knowledge of the state and local child abuse and neglect mandatory
reporting requirements and follow such requirements during the R&P period;
b) Ensure that case files covering such minors can readily be identified and
segregated (codes M2-M7) and include a copy of the Best Interest Determination
(BID) of the child, if available;
c) In the case of a minor entering the United States unaccompanied by parents and
seeking to be united with relatives, or other caretakers, including parents (codes
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d)

e)

f)

g)

M2, M3, M5, M6), conduct a suitability determination of the family unit, taking
into account the principle that children should be reunited with relatives whenever
possible and appropriate. The suitability determination shall be conducted prior
to submitting a sponsorship assurance for minors whose designated caregivers are
already in the U.S. (codes M5, M6, M3) and within seven (7) days of arrival for
minors who are traveling with relatives or other caretakers (codes M2, M3), in
accordance with subsection 16.g.1.d above and will include, but need not be
limited to:
i. An assessment of the nature and extent of any previous relationship
between the child and the family unit prior to the minor’s arrival in this
country;
ii. An assessment of the nature and extent of the current relationship between
the child and others in the family unit;
iii. An assessment of whether the family unit is willing and able to provide
ongoing care and supervision of the child, and how the family plans to
provide for the child;
iv. An assessment of the family unit’s understanding of and intentions
regarding securing legal responsibility for the child; and
v.
An assessment of the requirements of state law, including whether the
family unit must be licensed as a foster care provider or must acquire legal
custody or guardianship so that the child may legally remain in the
household.
If the Recipient’s professional resettlement staff determine that the placement is
not suitable, the Recipient shall immediately notify the Bureau and return the case
to the RPC so that the minor (codes M3, M6,) can be reclassified to enter the
United States as an unaccompanied minor requiring foster case. In the event that
a caseworker deems a parent unsuitable to receive a minor (code M5), the State
Refugee Coordinator and the Bureau must be immediately notified. If the
Recipient’s professional resettlement staff determines that the placement is not
suitable during a post-arrival suitability determination (M2, M3), the Recipient
shall immediately notify the Bureau and the State Refugee Coordinator. A copy
of the statement of suitability determination shall be retained in the minor’s case
file (codes M2, M3, M5, M6);
If the minor is traveling with non-relatives to be resettled with the same or other
non-relatives (code M3), the Recipient shall undertake the assessment as
described above within seven (7) days of arrival of the family. If the Recipient’s
professional resettlement staff determines that the child’s placement with the nonparental unit is not suitable, the Recipient shall notify the Bureau immediately in
order to coordinate transfer of the unaccompanied minor to foster care;
In the case of a minor entering with or coming to join non-relatives (code M3),
the Recipient, other than those referenced in subsection 16.g.6 above, shall obtain
the Bureau's agreement to the placement before assuring the case;
For unaccompanied minors resettling with non-relatives or non-parental relatives
(code M2, M3, M6), the Recipient shall orient the family unit to the nature and
expectations of U.S. practices and legal requirements respecting child care using
appropriate language interpretation as necessary, and provide the family unit with
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a written statement, provided or approved by the state, county, or local child
welfare bureau, and translated as necessary, of its responsibilities and legal
obligations in caring for the child. This statement shall include requirements for
guardianship, licensing as a foster care provider if relevant, or other forms of legal
responsibility. The acknowledgement of understanding and commitment to carry
out such responsibilities in the written statement shall be documented by having
the responsible adult(s) in the family unit sign the statement. Copies of the signed
statement shall be given to the family unit and retained in the case file covering
the minor. In the case of a minor entering the United States alone, this will be
done at the time of the suitability determination described in subsection 16.g.6.c
above. In the case of a minor traveling with relatives, this will be done during the
orientation described in subsection 16.g.6.e above;
h) For minors described as codes M2, M3, M5, M6 and M7, the Recipient shall:
i. Advise, encourage, and assist the family in regard to the above-mentioned
responsibilities and legal obligations in caring for the child under the
requirements of the state;
ii. Provide regular and personal contact with the minor for ninety (90) days
following arrival, and maintain in the case file covering the minor records
of assistance to the minor and of the minor's needs during the ninety (90)day period;
iii. Within fourteen (14) days after the ninetieth (90th) day after arrival,
conduct a follow-up home visit to determine the continued suitability of
the placement and to assess the need for continued services and arrange
for such services, if needed and feasible; and
iv. Within thirty (30) days after the ninetieth (90th) day after arrival submit a
minor follow-up evaluation report, including an assessment of the family
unit's understanding and intentions regarding the securing of legal
responsibility for the minor under state law. Copies of this evaluation
shall be retained in the case file covering the minor and sent to the
Recipient's headquarters and the State Refugee Coordinator so that further
action may be taken by the state if the state deems it necessary.
Headquarters should maintain the completed Minor Follow-up Evaluation
Forms for no less than one year after the minor’s arrival to the U.S.
Responsibilities enumerated in section 16.g.6. may not be delegated beyond an affiliate
and may only be performed by professional resettlement staff.
7) Foster Care
a) General
i. The services performed by the Recipient under this section shall be
performed for the purposes of (a) ensuring that foster care minors (minor
code M4) approved for admission to the United States are sponsored as
required by law, (b) facilitating Department of Health and Human
Services/Office of Refugee Resettlement (HHS/ORR) efforts to place such
children under the laws of the states pursuant to section 412(d)(2)(B) of
the INA, and (c) ensuring that foster care minors are admitted and moved
to their resettlement locations in a manner that takes due regard of their
special circumstances;
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ii. The Recipient shall perform the program services specified in subsection
16.g.7.(b) through 16.g.7.(d) below on behalf of foster care minors who
are assigned to it under this agreement; and
iii. The program services shall be performed by paid staff of the Recipient's
operational headquarters.
b) Pre-arrival Services
The Recipient shall, with respect to foster care minors assigned to it by the RPC,
prior to their arrival in the United States:
i. Provide for such foster care minors the sponsorship assurances required
for their admission to the United States;
ii. Prepare and submit on behalf of such foster care minors sponsorship
assurances and other documents required for admission to the RPC for
transmission to appropriate overseas processing offices of the Department
of Homeland Security, the Department of State, or their designees;
iii. After a careful review of the case (including, but not necessarily limited
to, consideration of the minor's ethnicity, educational level, medical status,
family relationships, reunification potential, age, and religion), and in
consultation with the appropriate overseas processing post and Agency,
assign the case to one of the state-authorized providers of foster care
services (hereinafter referred to as an "approved provider") listed in the
proposal;
iv. Notify the approved provider that the case has been assigned to it, transmit
available information (including appropriate documentation) concerning
the foster care minor to the approved provider, respond to inquiries from
the approved provider and other appropriate state or local social service
providers concerning the foster care minor, and obtain additional
information as needed from the appropriate processing post and Agency;
v. Upon request, consult with and provide advice to the approved provider
concerning problem cases, including cases that may require transfer to
another core provider; prepare the necessary paperwork for cases that
require transfer; and accept appropriate pre-arrival transfer cases and
assign them to an approved provider;
vi. Provide orientation on the initial reception and placement of foster care
minors as needed to the staffs of approved providers; and
vii. Assist in the preparation of documents needed to process applications for
the parents of foster care minors for admission to the United States as
refugees.
c) Post-arrival Services
The Recipient shall, with respect to foster care minors assigned to it under this
agreement, after their arrival in the United States:
i. Facilitate refugee travel to resettlement sites in the United States;
ii. Upon request, consult with and provide advice to the approved provider
concerning difficult cases;
iii. When the Recipient deems it appropriate, provide funding for emergency
needs of foster care minors that cannot be met through other social service
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programs and that arise within ninety days of a minor's arrival in the
United States; and
iv. Initiate preparation of the Interstate Compact Form and prepare documents
that are required to transfer a foster care minor to another state, if
necessary.
d) Case Files
The Recipient shall establish and maintain a case file on each arriving foster care
minor assigned under this agreement that includes a written confirmation of
sponsorship, biographic data, and other information pertinent to managing the
minor's initial resettlement. The Bureau, the Inspector General of the Department
of State, and any of their authorized representatives shall have the right to
examine at any reasonable time the case files maintained by the Recipient. It is
expected that all case files will be treated as confidential.
8) Loan Services (Varies for ECDC)
a) Recipient hereby confirms that it will operate in accordance with all the terms of
the current Memorandum of Understanding (MOU) entered into by the Recipient
or its representative with IOM for servicing refugee transportation loans, and also
confirms that it will actively participate in all meetings organized by the IOM, in
consultation with the Bureau, to discuss methods, policies and procedures for
standardizing services among all participating organizations. These meetings are
intended to provide information and guidance that will improve loan services.
b) In accordance with the MOU, entered into by the Recipient or its representative
with IOM, the Recipient is required to use its best efforts for transportation loan
services through the establishment and maintenance of a computerized system
that permits the initial bill to be sent within six (6) months of the refugee's arrival
in the U.S.; the regular mailing of bills and reminder notices to encourage
repayments to be made according to schedule; the management of the loan billing
and repayment records; and full accounting and appropriate transfer of funds to
IOM. In accordance with the terms, criteria, policies and procedures of the MOU,
entered into by the Recipient or its representative with IOM, the Recipient's
efforts shall include:
i. developing and maintaining a loan tracking system that provides for the
prompt billing of refugees within six (6) months of arrival, provided
required loan information has been received;
ii. billing refugees monthly provided a valid address is available;
iii. maintaining a system that actively seeks refugees' current addresses and
social security numbers for use in billing activities;
iv. maintaining a system that records and calculates balances on individual
refugee loan accounts;
v.
establishing and maintaining a procedure for reviewing and determining
the appropriateness of requests for deferral, in accordance with
established criteria;
vi. maintaining a procedure for transferring funds to IOM on a monthly
basis with required accounting details;
vii. reporting accounts status and fund transfers on a quarterly basis to IOM
and to the Bureau;
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transferring to IOM all loan notes becoming in default;
submitting requests to IOM as needed for approval to forgive (“cancel”)
loans for humanitarian reasons; and
x.
reporting monthly to a consumer reporting agency ("CRA").
c) In addition, the Recipient will ensure that each affiliate, during the Reception and
Placement period informs each refugee who signed an IOM loan note that the
loan is a legal debt that must be repaid in accordance with the terms of the note,
and documents this notification in the case file; reports to the Recipient
headquarters on a monthly basis any known change in the address of an adult
refugee; and requests and maintains a record of the Social Security number
obtained by each refugee in connection with the assistance provided under section
16.g.4 of the Cooperative Agreement.
d) The Recipient agrees to cover all expenses of loan services activities from the
twenty-five percent (25%) amount that is authorized to be retained from the funds
repaid by refugees and to transfer the remaining seventy-five percent (75%)
promptly to IOM.
e) In the event Recipient provides resettlement services to a refugee but is not
designated by IOM as the billing agency for the refugee’s transportation loan or
has returned the loan to IOM, Recipient shall assist IOM or any other entity
assigned responsibility for providing loan services to refugees being resettled
under this Cooperative Agreement. The assistance shall continue during the
Reception and Placement period and include: informing each adult refugee having
signed a loan note of their legal responsibility to fully repay the loan in
accordance with the schedule set forth in their loan note, unless revised in writing
by the loan servicing agency; reporting each adult refugee's initial resettlement
address or subsequent address change; responding to inquiries from the loan
servicing agency for address information; and providing the social security
number of each adult refugee holding a loan.
viii.
ix.

OR (for ECDC)
The Recipient shall assist the Agency or IOM assigned responsibility for
providing loan services to refugees being resettled under this Cooperative
Agreement. This assistance shall include: informing each adult refugee having
signed a loan note of their legal responsibility to fully repay the loan in
accordance with the schedule set forth in their loan note, unless revised in writing
by the loan servicing agency; reporting each adult refugee's initial resettlement
address or subsequent address change; responding to inquiries from the loan
servicing agency for address information; and providing the social security
number of each adult refugee holding a loan.
17. Special Provision for Performance in a Designated Combat Area (SPOT): N/A
18. State Department Leahy Amendment Vetting Requirements: N/A
19. Statutory Deviations: N/A
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Bartlett Declaration
Attachment 3