Due Diligence Template

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New Office Shortlist – Due DiligenceTemplate

Questions for NGOs, multilateral organizations, and governments

Instructions

The questions described below are intended to guide you in conducting an open-ended but informative interview with refugee-serving NGOs, human rights organizations, the UN refugee agency and other UN bodies, and government departments that work directly or indirectly with refugees.

The questions are ordered such that the most specific and relevant information is included first. This structure is intended to ensure that, where interview time is limited, you address key questions. However, our experience is that interviewees tend to provide more candid and detailed answers toward the latter half of an interview; therefore, depending on time constraints and the interviewee’s openness, you may wish to begin with more general questions about the situation for refugees in the country (typically included at the end of each section of questions.)

Please be sensitive to three underlying factors at play in due diligence interviews:

1)Interviewee beliefs and agendas regarding refugees, refugee human rights, and rule of law. Please carefully read the following section, “Important Considerations,” before beginning interviews!

2)Varying cultural norms regarding “small talk” and inquiries into another’s well-being before getting down to business. The more your approach aligns with the interviewee’s cultural expectations, the more successful your interview will be.

3)The source matters. Different sources will provide different, often contradictory information about refugees and refugee human rights. When you hear contradictory information, try to tease out the reason for the discrepancy through follow-up questions (without cross-examining the interviewee!) When you write up the results of your interviews, please be clear about the sources of all information.

Important Considerations(PLEASE READ BEFORE BEGINNING INTERVIEWS!)

Asylum Access will benefit from a positive initial relationship with all other actors working on refugee issues. To maintain a positive relationship, please keep the following considerations in mind:

  1. For NGOs:
  • NGOs have a wide variety of attitudes toward refugees. Don’t assume that a refugee-serving NGO is pro-refugee rights or will be supportive of efforts to improve the rights of refugees in their country.
  • NGOs may rely on the good will of their government and/or a multilateral institution such as UNHCR in order to continue operating. Therefore, they may hesitate to be open about some of their activities, particularly those involving policy advocacy, or about the challenges involved in working with government or UN officials or departments. The questions below are designed to elicit useful information without putting NGOs in a position where they may hesitate to be honest for fear of retaliation by other actors. Please use your judgment about asking followup questions to elicit more detail.
  • NGOs may fear that the entry of another NGO within their space will adversely affect their own funding, operations, or advocacy. Emphasizing that your goal is not to duplicate their work, but rather to understand gaps and to consider whether your efforts could supplement and support theirs, can help to mitigate such fears. It’s important to convey that you respect the expertise of existing NGOs and are simply seeking to learn from them.
  • NGOs often are in communication with government officials and may speak with officials about your questions or what they assume you are planning. Particularly if an NGO sees your work as threatening, they may portray you as a troublemaker when speaking with government officials. One way to mitigate this is to frame your questions as developing a preliminary understanding of the landscape, not as preparation for opening an office or launching a new initiative. (You may also frame your questions in the context of understanding whether the Refugee Rights Toolkit would be helpful – please see note below.)
  • NGOs may assume that a US-based NGO interested in working in their country has funding available to distribute, or can easily access such funding. It’s important to be clear that Asylum Access is not a grantmaking institution and cannot fund other organizations.
  • Asylum Access has developed a Refugee Rights Toolkit for organizations interested in developing legal aid services or Know Your Rights trainings for refugees, engaging in policy advocacy to improve refugee human rights protections in law, or engaging in strategic litigation around refugee human rights. If you talk with an organization that would be interested in learning more about our Toolkit, please make note of this.
  1. For multilateral institutions:
  • UNHCR grants significant autonomy to its field offices. Just because UNHCR has promulgated a policy or guideline internationally does not mean its field office staff will agree with or adhere to that policy or guideline.
  • Some UNHCR field offices see policy advocacy as threatening because it can disrupt the status quo, potentially impacting UNHCR’s strategy of “quiet diplomacy” with refugee-hosting governments or, at a minimum, making a comfortable and highly-paid job more difficult and demanding. Be aware that you may be told there’s no need for policy advocacy.
  • Some UNHCR field offices see legal aid as threatening. UNHCR staff who serve in a decision-making capacity – for example, those who hear evidence and determine whether an applicant qualifies for refugee status – may believe there is no inherent conflict in playing both the role of decision-maker and the role of advocate. UNHCR staff who fear that legal advocates will be critical of their actions or will subject them to increased scrutiny by their superiors may tell you there is no need for legal aid.
  • UN agencies other than UNHCR may tell you that UNHCR already ensures that refugees’ rights are protected.
  1. For governments:
  • Few governments offer an unqualified welcome to human rights advocacy organizations. At a minimum, human rights advocates scrutinize governments’ behavior; at a maximum, they may publicly criticize governments or sue them. You should expect that any government official with whom you speak may be wary of questions about refugees’ human rights.
  • If a government agency or official believes a human rights advocacy organization may be planning to launch operations in their country, the agency or official may preemptively impose obstacles. It’s extremely important to be circumspect in your conversation with government officials.
  • Governments that conduct refugee status determination may see legal aid as threatening. Like some UNHCR staff, government officials may believe there is no inherent conflict in playing both the role of decision-maker and the role of advocate. Additionally, where an NGO is already involved in advising the government about decisions, the government may believe asylum-seekers already have access to “legal aid,” even if the NGO does not observe the ethical requirements of a legal advocate such as advocate-client confidentiality or the obligation to present the strongest possible case on behalf of the client.
  • Concepts of legal advocacy may be different in different jurisdictions. Some governments or government officials may not be familiar with the idea of a legal representative as this is understood in British common law or European civil law systems.

Due Diligence Interview Questions for NGOs

  1. What services are available to refugees?
  • What services does your organization provide to refugees?
  • Do you work with refugees in camps, in urban areas, or in rural areas (or some combination thereof)?
  • Do you work only with refugees? What portion of those you serve are refugees?
  • [If you provide legal services to refugees:]
  • Who on your staff provides the legal services (eg, lawyers, paralegals, refugees, etc)? What kind of training do frontline legal services staff receive?
  • Do you represent refugees as clients? In other words, do you provide independent, confidential legal advice to refugees? (Note: Many organizations that say they provide “legal services” to refugees actually function as refugee status decisionmakers – for example, they share refugee information with UNHCR or the government, participate in deciding whether a refugee has a valid claim, etc. Asylum Access seeks to distinguish between organizations that assist in the refugee status determination process, where refugees are beneficiaries, and organizations that provide legal representation to refugees, where refugees are the clients and are owed duties of confidentiality, zealous advocacy, protection from conflicts of interest, etc.)
  • Do you participate in decisionmaking with UNHCR, the government, or other actors to determine who qualifies as a refugee?
  • What percentage of the refugee population are you able to serve?
  • [If you provide Know Your Rights educationto refugees:]
  • Do you provide one-time Know Your Rights education or ongoing, in-depth training (or both)? How many refugees receive this education?
  • Do you facilitate refugee community organizing? For example, do you provide support for refugees to organize protests? Do you connect refugee leaders with local governmental leaders? Do you support refugees to providing refugee rights trainings in their communities?
  • What percentage of the refugee population are you able to serve?
  • Who else is providing services to refugees, and what services are provided? What percentage of the refugee population do these services reach?
  • Where do you see gaps in refugee assistance? Are there populations that are not receiving assistance? Are there types of assistance that are missing? What are the barriers to providing this assistance?
  • Is anyone assisting refugees or other migrants to obtain refugee status?
  • Is anyone assisting refugees to obtain work permits or otherwise to secure the right to formal-sector employment?
  • Is anyone assisting refugees to enroll their children in local schools?
  • Is anyone assisting refugees to access national public healthcare systems (not including medical care provided specifically to refugees by private NGOs or multilateral actors)?
  1. How do refugee-assistance NGOs interact with each other and with multilateral organizations and the government?
  • Do you work with other NGOs serving refugees? How do you interact (eg, bilateral cross-referral of clients; joint advocacy on trends affecting refugees; formal coalition of refugee-serving organizations to coordinate services)?
  • Do you interact with the local office of the United Nations High Commissioner for Refugees (UNHCR)? How do you work with UNHCR?
  • Do you interact with other UN entities or other international or regional multilateral bodies (such as the Organization of American States, the Association of Southeast Asian Nations, or the African Commission) on issues relating to refugees? How do you work with these groups?
  • Do you interact with government departments on issues relating to refugees? Which departments? How do you work with these departments?
  • Do you engage in policy advocacy – ie, do you actively seek changes in your country’s laws? On what topics? Have you been successful? What changes have you achieved?
  • [If you advocate for changes in law that would give refugees greater rights – eg, to freedom of movement or access to employment:]
  • Do you feel there is sufficient advocacy around refugee rights?
  • What are your greatest challenges in advocating for the rights of refugees?
  • Where do you see gaps in refugee rights advocacy?
  • Are there pending opportunities for increased, or more effective, refugee rights advocacy? For example, an upcoming election, a shift in public perceptions of refugees, etc?
  • What advice would you give to an organization that wanted to engage the government around improving the situation for refugees?
  1. Who is currently engaged in human rights advocacy?
  • Do you engage in human rights advocacy? What kind of activities do you engage in? (For example, media campaigns to change public opinion; private lobbying of government officials to change laws; community organizing and protests; etc.)
  • Do your efforts include refugees?
  • Is the government receptive to your advocacy? What policies or practices have you changed, and how did you change them?
  • Who else is engaged in human rights advocacy and what do they do?
  • Aside from other NGOs engaged in human rights advocacy, who else are your allies in advocacy efforts?
  • What do you think is the most effective way to change policy or practice in your country?
  1. What is the political and social situation of refugees in your country?
  • What are the prevailing attitudes toward refugees?
  • How does the public view refugees?
  • How does the government view refugees?
  • How do other thought-leaders view refugees? Who are these thought-leaders?
  • What factors influence these attitudes toward refugees?
  • Are you aware of refugee or migrant populations who are not recognized by the government and/or UNHCR as being refugees?
  • Are you aware of a significant number of refugees in detention? How do you know how many refugees are in detention?
  • Are refugees allowed to move freely throughout your country?
  • Can refugees live anywhere they choose in the country?
  • Can refugees travel throughout the country? Is this true for all people fleeing warfare or persecution, or is travel restricted for some groups?
  • If refugees are not allowed to move freely, why not? Are there any efforts currently underway to change policies or laws so refugees can move freely?
  • Are refugees allowed to work in the formal sector?
  • If so, do refugees work in the formal sector? Why or why not?
  • If not, do refugees work in the informal sector? Does this give rise to any problems?
  • If refugees are not allowed to work in the formal sector, why not? Are there any efforts currently underway to change policies or laws so refugees can work lawfully / obtain work permits?
  • Are refugees allowed to access regular public schools, public healthcare systems, and financial institutions?
  • If not, why not?
  • If so, can refugees access these services at the same cost as citizens? Or do refugees pay more?
  • Are there practical obstacles that prevent refugees from accessing public education, public healthcare or financial institutions? What are these obstacles?
  • If refugees are not allowed to access these institutions, are there any efforts currently underway to change policies or laws so refugees do have access?
  • In your view, what are the biggest problems facing refugees in your country?

Due Diligence Interview Questions for UNHCR / other multilateral agencies

  1. How does Refugee Status Determination (RSD) work in the country?
  • Who conducts RSD?
  • UNHCR, the government, or both?
  • Who is the primary RSD decisionmaker?
  • If the government conducts RSD:
  • What role, if any, does UNHCR play in government RSD decisions?
  • If UNHCR is the primary RSD decisionmaker:
  • What role, if any, does the government play in UNHCR RSD decisions?
  • Does UNHCR have any plans to transition RSD to the government in the near future?
  • Do refugees currently have legal counsel in RSD proceedings?
  1. How do you interact with NGOs/civil society?
  • Do you interact with other NGOs serving refugees? How do you interact (eg, bilateral cross-referral of clients; joint advocacy on trends affecting refugees; collaboration in decisionmaking about refugees; formal coalition of refugee-serving organizations to coordinate services)?
  • Do other UN entities or other international or regional multilateral bodies (such as the Organization of American States, the Association of Southeast Asian Nations, or the African Commission) deal with issues relating to refugees? What do they do, and how does it relate to your work?
  • Do you interact with government departments on issues relating to refugees? Which departments? How do you work with these departments?
  • Are you currently seeking to influence or change anything about the way the government addresses refugees?
  • What are you seeking to influence or change?
  • Are you collaborating with NGOs/civil society organizations? How?
  • What are you doing to persuade the government to change?
  • Are there ways that the NGO community could be more helpful in supporting your efforts if they had greater capacity?
  • Are there pending opportunities for increased, or more effective, engagement with the government? For example, an upcoming election, a shift in public perceptions of refugees, etc?
  • What advice would you give to an organization that wanted to engage the government around improving the situation for refugees?
  1. What is the political and social situation of refugees in your country?
  • What are the prevailing attitudes toward refugees?
  • How does the public view refugees?
  • How does the government view refugees?
  • How do other thought-leaders view refugees? Who are these thought-leaders?
  • What factors influence these attitudes toward refugees?
  • Are you aware of a significant number of refugees in detention? How do you know how many refugees are in detention?
  • Are refugees allowed to move freely throughout the country?
  • Can refugees live anywhere they choose in the country?
  • Can refugees travel throughout the country? Is this true for all people fleeing warfare or persecution, or is travel restricted for some groups?
  • If refugees are not allowed to move freely, why not? Are there any efforts currently underway to change policies or laws so refugees can move freely?
  • Are refugees allowed to work in the formal sector?
  • If so, do refugees work in the formal sector? Why or why not?
  • If not, do refugees work in the informal sector? Does this give rise to any problems?
  • If refugees are not allowed to work in the formal sector, why not? Are there any efforts currently underway to change policies or laws so refugees can work lawfully / obtain work permits?
  • Are refugees allowed to access regular public schools, public healthcare systems, and financial institutions?
  • If not, why not?
  • If so, can refugees access these services at the same cost as citizens? Or do refugees pay more?
  • Are there practical obstacles that prevent refugees from accessing public education, public healthcare or financial institutions? What are these obstacles?
  • If refugees are not allowed to access these institutions, are there any efforts currently underway to change policies or laws so refugees do have access?
  • In your view, what are the biggest problems facing refugees in the country?

Due Diligence Interview Questions for Government