00 - Guidelines for COVID Fund - Upd 6.23.2021.pdf

Office to Monitor and Combat

Trafficking in Persons

Guidelines for Submitting Annual Program Statement Full

Proposals to Address the Impacts of COVID-19

Updated June 22, 2021

Contents Purpose of Guidelines

Online Forms: Standard Forms 424, 424A, and 424B

SF-424

SF-424A

SF-424B

1. Background (required)

2. Problem Statement (required)

3. Project Description (required)

Project Goal (required)

Project Objectives (required)

Project Activities (required)

Gender Integration (optional)

Sustainability (required)

Local Partnerships (required)

Coordination with Other Anti-Trafficking Stakeholders (required)

Security, Risk Mitigation, and Contingency Planning (required)

Monitoring and Evaluation (required)

Considerations

Proposal Narrative Annexes

Annex A: Results Performance Monitoring Plan (required)

Annex B: Budget Summary by Project Year

Annex C: Line-Item Budget

Optional Annex: Chart or Graph Annex (Optional)

Annex D: Performance Monitoring Work Plan

Annex E: Monitoring and Evaluation Plan Narrative

Annex F: Budget Narrative

Annex G: Negotiated Indirect Cost Rate Agreement (NICRA)*

Annex H: Resumes/CVs for Key Personnel (5 pages per resume maximum)

Annex I: Certification of Training Requirement for Victim Assistance Personnel

Annex J: Letters of Agreement or Letters of Intent to Cooperate*

Program Design Standards:

Section I: Should the TIP Office and its implementers work on an issue?

Section II: What change on the issue does the TIP Office and its implementers seek through this project/program?

Section III: Is the change pathway likely to be effective?

Section IV: Are the activities likely to bring about the desired changes?

Section V: Are we planning for risk appropriately?

Purpose of Guidelines These guidelines are intended to support organizations in preparing proposed project documents for consideration for funding. Applicants should review the funding opportunity, required application templates, and the following guidelines on preparing applications.

To be considered under this funding announcement, applications must include the following documents in the required templates (on SAMS Domestic):

• Online Forms - SF 424, SF 424A, and SF 424B.

• Project Narrative – Required template available on SAMS Domestic (This has template 27,000 character limit and applicants must type within the grey box).

• Annex A: Results Performance Monitoring Plan – Required template available on SAMS Domestic (formerly known as the logical framework).

• Annex B: Budget Summary – Required template on SAMS Domestic.

• Annex C: Line-item Budget – Required template on SAMS Domestic.

• Optional Annex: Chart or Graphs Submitted in One Page (Optional) o Due to the format restrictions, applicants may submit an optional one-page annex to the project narrative for charts or graphs.

Applicants are not allowed to submit additional documents at this time. Any additional documents submitted will result in the failure of the technical review process and applications that submitted additional documents will not be reviewed programmatically.

If selected for funding and upon request from the TIP Office, applicants will be required to submit additional documents, including, but not limited to, a project performance monitoring workplan, project budget narrative, project common performance indicators, resumes/CVs for key personnel of the project, letters of intent to cooperate on project activities (if applicable), certification of training requirement for victim assistance personnel (is applicable), and NICRA (if applicable).

Online Forms: Standard Forms 424, 424A, and 424B There are three mandatory application forms that must be completed through SAMS Domestic (https://mygrants.service-now.com/grants):

• SF-424 (Application for Federal Assistance)

• SF-424A (Budget Information for Non-Construction programs)

• SF-424B (Assurances for Non-Construction programs)

When completing these forms, please use the below guidance to fill in all fields except where noted as “Leave Blank.”

SF-424

Application for Federal Assistance

1. Type of Submission: Application

2. Type of Application: New

3. Date Received: This will be assigned automatically.

4. Applicant Identifier: Leave blank.

5a. Federal Entity Identifier: Leave blank.

5b. Federal Award Identifier: Leave blank.

6. Date Received by State: Leave blank. This will be assigned automatically.

7. State Application Identified: Leave blank. This will be assigned automatically.

8a. Enter the legal name of the applicant organization: Do NOT list abbreviations or acronyms unless they are part of the organization’s legal name.

8b. Employer/Taxpayer ID Number: Non-U.S. organizations enter 44- 4444444.

8c. Enter organizational Unique Entity Identifier number (UEI).

Organizations can request a UEI number at: http://fedgov.dnb.com/webform.

Enter “0000000000” for organizations that do not yet have a UEI number.

8d. Enter the headquarters address of the applicant 8e. Enter the name of the primary organizational unit (and department or division) that will undertake the assistance activity as applicable.

8f. Enter the name, title, and all contact information of the person to be contacted on matters involving this application.

9. Select an applicant type (type of organization)

10. Enter: Office to Monitor and Combat Trafficking in Persons

11. Enter: 19.019. This should be automatically entered.

http://fedgov.dnb.com/webform

12. Enter the Funding Opportunity Number and title. This number will already be entered on electronic applications.

13. Enter the Competition Identification Number and title. This number will already be entered on electronic applications.

14. Areas Affected by Project: Enter country or region.

15. Enter the title of proposed project: Enter project title.

16. (16a) Congressional districts of Applicant: Applicants based in the U.S.

should enter congressional district. Foreign applicants should enter “90.” 16(b) All applicants should enter “90.”

17. Enter start date and projected end date.

18. (18a) Enter the amount requested for the project described in the full proposal under “Federal”; (18b) enter any cost-share under “Applicant.” If not proposing cost-share, enter zeros.

19. Select “c. Program is not covered by E.O 12372.”

20. Select the appropriate box. If the answer is “yes” to this question, provide an explanation.

21. Enter the name, title, and all contact information of the individual authorized to sign for the application on behalf of the applicant organization.

SF-424A

Applicants often say this form is confusing. Please review the detailed instructions below BEFORE completing this form online.

Section A - Budget Summary – Complete Tab 1

a. Enter: Anti-Trafficking Program (This is the only grant program that needs to be entered). Click Save to refresh the page.

b. Click the Anti-Trafficking Program link and enter: 19.019.

c-d. Leave these fields blank.

e. Enter the amount of federal funds requested for this project.

f. Enter the amount of any other funds the applicant will receive towards this project.

g. The total cost of this project will automatically be calculated. Click Save &

Return

Section B - Budget Categories – Complete Tab 2 – Enter total project costs in each category in Column 1 as described below. In Column 5 the form should automatically show the sum. Columns 2, 3, and 4 leave blank.

a-h. Click into each category to enter the amount for each object class category (Include cost sharing).

i. Enter the sum of 6a-6h.

j. Enter any indirect charges.

k. Enter the sum of 6i and 6j.

Program Income. Enter any program income that will be earned as a result of the project. If none, leave this section blank.

Section C - Non-Federal Resources – Complete Tab 3 – (Only complete this section if the proposal includes funds from other sources)

1. Click into Anti-Trafficking Program.

2. Enter cost share amount in the Applicant field, if applicable.

3. Leave the State field blank.

4. Enter the amount of any other funding sources for this project.

5. The total amount for all non-federal resources should automatically be calculated.

Section D - Forecasted Cash Needs – Complete Tab 4

1. In the first column, enter the total amount of federal funds requested for the project. Forecasted cash needs by quarter are not required.

2. In the first column, enter the total amount of non-federal funds you expect to expend during the project. Please list total cost share in this column.

Forecasted cash needs by quarter are not required.

3. The form should automatically calculate the sum. Forecasted cash needs by quarter are not required.

Section E - Budget Estimates of Federal Funds Needed for Balance of the

Project – Complete Tab 5

1. Click Anti-Trafficking Program.

2. Enter the amount of federal funds to be expended in year one of the project.

Click Save.

3. Enter the amount of federal funds to be expended in year two of the project

(if applicable).

4. Enter the amount of federal funds to be expended in year three of the project

(if applicable).

Section F - Other Budget Information – Complete Tab 6

1. Enter: Direct Charges – Leave Blank.

2. Enter: Indirect Charges – If Indirect Charges are shown in Tab 2 (Budget

Categories), enter the type of Indirect Rate used (Provisional, Predetermined, Final, or Fixed).

3. Enter any comments.

SF-424B

This form must be signed online in SAMS Domestic. Please note, the SF-424B is now required only for those applicants who have not registered in SAM.gov or recertified their registration in SAM.gov since February 2, 2019 and completed the online representations and certifications.

Full Proposal Narrative

Key Information

Applicants are required to use the project narrative template on SAMS-Domestic, which is set to a 27,000 character limit (including spaces, footnotes, graphs, and charts) with 12 Times New Roman font. Applicants must type within the grey box.

Any application that does not submit the required template or submits documents other than those required will fail the technical review. The template automatically complies with the character limit and black-colored, Times New Roman font.

The project narrative must list the following key information in the cover page:

• Country or countries that the project will benefit

• Project Title

• Name of applicant organization

• Name and email address of point of contact for the application (this should be the same contact that is listed on the SF-424 in 8f)

• Funding amount requested in U.S. dollars. If applicants include a cost share it should also be in U.S. dollars. No other figures are requested at this time.

• Project duration in months

The remaining area of this section will make up the foundation of the project narrative.

Project Narrative

The project narrative should include the following components:

1. Background (required)

The background serves as an opportunity for the applicant to demonstrate their breadth of knowledge (including but not limited to knowledge of the country’s institutions and organizational structures, laws/policies around anti-trafficking issues, etc.) in the selected sector based on prior experience and/or institutional and experiential knowledge, as well as their understanding of the impacts of the COVID-19 pandemic.

The first component of the background section should briefly describe the country/ies context describing information that may directly tie into the rest of the proposal. This could include information about the geographical positioning, population demographics, security concerns (if any) and should include an overview of trafficking in persons (TIP) issues in the country/ies.

The second component should be the main focus of the background section and describe the impact of COVID-19 on human trafficking trends in the country/ies.

This announcement is specifically focused on addressing short-term, targeted needs related to COVID-19 and human trafficking. This may include the increase of general vulnerabilities, but should go beyond the increase in vulnerabilities to clearly articulate specific impacts to the identified country/ies as it relates to geographic areas and populations.

The third component of the background section should describe ongoing anti-trafficking efforts conducted by governments and other anti-trafficking stakeholders and organizations, relevant previous and/or ongoing anti-trafficking work implemented by these entities, and the impact the COVID-19 has had on these anti-trafficking efforts.

The fourth and final component of the background section should demonstrate institutional record and capacity by describing relevant ongoing and prior anti-trafficking projects and efforts implemented by the organization, and the results of these efforts. Applicants should describe their relevant programming experience and human trafficking expertise, if any. If preferred, the applicant can weave this section into the first three sections of the background. If an applicant does not have prior anti-trafficking experience, this section should also include details on why the applicant proposes to work on this issue and how they will build their knowledge on human trafficking.

2. Problem Statement (required)

Building off the background, and to the extent possible, the problem statement should narrow the focus to describe the specific problem(s) that this project will address beyond general increased vulnerabilities, including but not limited to: the problem’s causes, magnitude, and impact; who or what is being impacted by the problem; relevant conditions (e.g., economic, political, social, environmental, etc.)

affecting the problem; and why the problem(s) need to be resolved. The problem statement provides applicants the opportunity to demonstrate their understanding of the specific problem(s) they will tackle, and their understanding of how resolving the identified problem(s) contribute and/or align to TIP Office priorities, national, and international conventions, strategies, and/or policies. The problem statement should clearly articulate the anticipated duration of the problem as it relates to the impacts of COVID-19. This announcement is specifically focused on addressing short-term, targeted needs related to COVID-19 and human trafficking.

3. Project Description (required)

Based on the specific problem(s) that will be addressed through the project, clearly state the proposed solutions and a clear rationale for the solutions. Provide a clear narrative of your project’s goal, objective(s), and the activities you are proposing to undertake to accomplish your objective(s). This information should be directly related to your Performance Results Monitoring Plan (Annex A) and. In some cases, the problem statement may require longer a longer intervention that the proposed project can offer. Therefore, applicants should also provide detail on why the proposed timeline was chosen and how it relates to the anticipated timeline of the problem.

Project Goal (required) A project goal is the highest level outcome to be advanced and/or achieved through the project. The goal specifies the change the project will bring or contribute to bringing about. The goal statement should be clear: it should state specific accomplishments, define ambiguous terms, and define the target population. To develop the project goal, consider the problem statement and ask, “What is the overall intent or purpose of the project that will address this problem?” The goal becomes the response to that question and is the desired end state of what success for the project would look like.

Words like “increase,” “strengthen,” “improve,” and “enhance” should be avoided or clearly defined. When describing “training or capacity building,” describe the concrete knowledge and skills the project will impart.

The stated goal should also be possible to reach in the given context with the allotted time and resources within the period of performance of the award.

Project Objectives (required) Project objectives are the most ambitious results that the project will materially affect and be held accountable to demonstrate impact within the period of performance. The objectives are the steps that will guide the project in the attainment of the goal. Be certain each objective is clear and concise; measurable;

feasible considering program funding, time, human capital, and other resources; is relevant to the project goal; and can be achieved within the timeframe of the project. Ask, “can I measure this objective in the final assessment?” Objectives are concrete and viewed as targets under the general goal. Objectives should also be written as changes and not as activities.

Project Activities (required) Provide descriptions of the activities the applicant will undertake to achieve each objective. Note the main activities that will need to occur to achieve each objective. Provide evidence why that kind of activity is likely to bring about the desired change, and how often the activity will be conducted. Identify who has power to support or block reaching relevant objectives and discuss how the activities will engage those people. If you have committed cost share to this award, activities you report should include what is undertaken by both J/TIP and cost share funds. The hiring and training of key personnel do not need to be articulated as activities.

Gender Integration (optional) The TIP Office encourages that project activities fully address gender considerations, ensuring that all individuals benefit from support where applicable, and that gender awareness is a built-in component of project activities.

Gender integration entails the identification and subsequent treatment of gender differences and gender inequalities around human trafficking issues during project design. Where applicable, this should be documented in the project narrative, specifically by addressing any relevant gender gaps and ways the proposed project activities will address those gaps. Applicants who choose to respond to gender integration should demonstrate how addressing relevant gender gaps will enhance the project’s goals and objectives. The purpose of including gender integration at the application stage is to assess the applicant’s awareness of gender integration in project design. This component of the proposal narrative is optional. Applicants will not be evaluated for gender integration.

On their own, applicants are encouraged to conduct a gender analysis to identify, understand, and describe gender differences and the impact of gender inequalities in human trafficking at a country or project level. Gender analysis examines the different roles, rights, and opportunities of individuals, as well as relations between them. It identifies disparities, examines why such disparities exist, determines whether they are a concern, and determines to what extent these disparities can be addressed in the project design. A gender analysis should focus on the following (as relevant and applicable to the project):

• Do all genders have equal access to resources and services?

• How will anticipated outcomes affect genders differently?

• Do gender stereotypes function as either a facilitator or a barrier?

To answer these questions, the applicant may do the following (as applicable):

• Search for recent gender assessments or sectoral gender analysis that have been conducted in the country/project location

• Consult with gender experts at NGOs, donor, and other organizations who may be able to outline key gender issues in the country/project location

• Consult with partners and other anti-trafficking stakeholders on the ground to inquire about any gender issues they may have integrated into prior programming

• Incorporate experiential knowledge

Sustainability (required) Sustainability may be relevant for some project proposals as it relates to the impacts of COVID-19 and TIP. Sustainability explains how the project’s specific outcomes will be sustained after the project ends. Sustainability is the ability of a local system to produce desired outcomes over time. Discrete projects contribute to sustainability when they strengthen the system’s ability to produce valued results and its ability to be both resilient and adaptive in the face of changing circumstances. In the project narrative, and to the extent possible (and as relevant), briefly describe how the project specific outcomes will be sustained after the project ends. Consider describing the following elements of sustainability:

• Replacement Resources: how will the applicant identify resources to replace project resources to continue implementation of activities to sustain outcomes? Sources of replacement resources could include government budgets, funding from NGOs, etc.

• Ownership and Political Will: how will the applicant identify or demonstrate a high level of commitment from government partners to sustain project outcomes?

• Capacity: how will the applicant use the project to build the capacity of the organization/government to ensure outcomes are sustained?

• Institutional Linkages/Partnerships: how will the applicant create links between project partners and beneficiaries and public or private institutions?

• Project Integration within Existing Systems: how will the applicant integrate the project within existing systems, structures, policies, or laws?

• Addressing Felt Needs: how will the applicant ensure that the project is addressing real or felt needs of project partners and beneficiaries?

In a number of project proposals that respond to short-term urgent needs, the objectives/outcomes may not need to be sustained. In that case, explain why sustainability of these components should not be built into the project’s design.

*Sustainability language does not mean using the word sustainability.

Sustainability language refers to writing objectives/outcomes in a way that measures sustainability such as linkages with resource organizations or markets or skills and capacities needed to sustain outcomes once the project ends.

**Replacement resources should be sustainable, such as government or private centers that can provide capacity building.

In a limited number of cases, the goal/objectives/outcomes need not be sustainable.

In that case, explain why sustainability of those components should not be built into the project’s design. If you are proposing additional analysis before finalizing project design, describe how you anticipate that information will inform potential revisions to the design, and timelines for the analysis and for the incorporation of the analysis in project design.

Local Partnerships (required) Public International Organizations and/or applicants not based in the proposed region should describe existing or proposed partnerships with either government or civil society in-country stakeholders. Applications must demonstrate a clear understanding of the role that local organizations and institutions play in combating human trafficking and describe how they will coordinate with local partners to increase sustainability and to ensure programming is context appropriate. In cases where an applicant chooses not to partner with a local organization or local governmental stakeholder, the application must clearly explain why.

Applicants may partner with other organizations in submitting proposals. Each application must clearly identify the applicant, and the applicant may designate one or more partner organizations as sub-recipients. If an applicant applies for an award under this funding opportunity with partner organizations, this section must demonstrate a partnership approach that clearly delineates the respective roles and responsibilities of the applicant and of each partner. Applicants should submit a copy of any signed partnership agreements. All letters of partnership from intended sub-recipients must be submitted in English. Other letters of endorsement may be submitted in a foreign language with an informal English translation.

Coordination with Other Anti-Trafficking Stakeholders (required) The TIP Office encourages coordination among donors and implementers. The application should identify related projects or activities that the applicant may already be implementing or planning. Information shall include a brief description of the programming, information on its funder, and a description of how the proposed project would complement and avoid duplicating current or planned activities. In cases where an applicant chooses not to coordinate with other anti-trafficking stakeholders, the application must clearly explain why.

Security, Risk Mitigation, and Contingency Planning (required) To the extent possible, identify those facts about the operating environment that are true at the time of the proposal and will need to stay true for the project’s logic to remain valid. How likely is it that each will remain true? What are the implications if they do not? Based on that analysis, how risky is the project from the perspective of whether it will meet its goal?

Separately, describe how the project could cause inadvertent harm and how the project and implementation strategy are designed to mitigate that risk. If applicable, describe the safety and security risk to personnel involved in implementing the project and how that risk will be mitigated.

Applicants are highly encouraged to use the table below as a tool to identify, analyze and plan for risk on their own. For the purpose of this application, a written summary of the security, risk mitigation, and contingency planning should be included in the project narrative. If the table is included in the project narrative, the table contents will count towards the overall character limit

Risk Factor Consequence Likelihood and Timeline

Risk Mitigation Plan

EXAMPLE:

Natural disaster

EXAMPLE:

Complete hold on project implementation

EXAMPLE:

High, especially during raining seasons

EXAMPLE:

Tolerate the risk without further treatment

EXAMPLE:

Partners not willing to share training needs with organization

EXAMPLE:

Will impact project design and could cause a delay in training start dates

EXAMPLE:

First and third quarter

EXAMPLE:

Begin building relationships with partners prior to project start, create agreements that clearly outline roles and expectations of each party throughout the project cycle

Monitoring and Evaluation (required) The project narrative should summarize illustrative monitoring and evaluation

(M&E) activities (e.g., data collection, data analysis, and data reporting for the Results Performance Monitoring [RPM] Plan), how M&E activities will be carried out, and who will be responsible for carrying them out. Include sample indicators developed in the RPM, including Common Performance Indicators (CPIs). All awards as per the Foreign Assistance Directive (FAD) require a final assessment.

The TIP Office will provide guidance on final assessment expectations to successful applicants within 120 days of award. The project narrative should also briefly describe M&E costs (ideally 3-5% of total budget, however this can vary greatly depending on the technical approach of the application).

If M&E costs are below 3% of the project’s total budget, provide a justification for why M&E costs fall below 3% of total budget. If costs for M&E are over 5% of the project’s budget, provide a justification for these costs.

Considerations Applicants are expected to submit proposals that reflect an understanding of victim-centered survivor-informed approaches to anti-trafficking activities, and identify and provide victims with trauma-informed and comprehensive services.

Victim-Centered Approach

Placing the crime victim’s priorities, needs, and interests at the center of the work with the victim; providing nonjudgmental assistance, with an emphasis on client self-determination, where appropriate, and assisting victims in making informed choices; ensuring that restoring victims’ feelings of safety and security is a priority and safeguarding against policies and practices that may inadvertently re-traumatize victims; ensuring that victims’ rights, voices, and perspectives are incorporated when developing and implementing system- and community-based efforts that impact crime victims.

Trauma-Informed Approach A trauma-informed approach includes an understanding of the vulnerabilities and experiences of trauma survivors, including the prevalence and the physical, social, and emotional impact of trauma. This approach recognizes signs of trauma in individuals and the professionals who help them and responds by integrating knowledge about trauma into policies, procedures, practices, and settings.

Trauma-informed approaches place a priority on restoring the survivor’s feelings of safety, choice, and control. Programs, services, agencies, and communities can be trauma-informed.

Comprehensive Services An array of services that should be made available to a trafficking victim. At a minimum, these services include shelter; intensive case management; safety planning; crisis intervention; victim advocacy; legal assistance; mental health treatment, including individual and group counseling; support in family reunification and community reintegration; medical care; dental care; substance abuse treatment; assistance with educational and/or vocational needs; life skills training; transportation; and other necessary services. These services should be made available for victims identified under this initiative in coordination with other existing governmental resources.

Survivor-Informed Approach A program, policy, intervention, or product that is designed, implemented, and evaluated with intentional leadership, expertise and input from a diverse community of survivors to ensure that the program, policy, intervention, or product accurately represents their needs, interests, and perceptions.

Proposal Narrative Annexes All applicants are required to submit the following illustrative annexes, completed to the extent possible. Panel members will use the annexes (unless noted otherwise) along with the project narrative to evaluate applications.

Annex A: Results Performance Monitoring Plan (required) *This document was formerly known as the logical framework.

All applicants are required to submit a Results Performance Monitoring Plan.

(RPM). Select successful applicants will be asked to work with their TIP Office Program Officer to input the RPM within the SAMS-D RPM module, and will be asked to report indicator results on a quarterly basis within the SAMS-D system.

The Results Performance Monitoring (RPM) Plan will list collectible indicators for each objective, developed by the applicant. Indicators in the RPM will be used to measure project outputs and short-term and medium-term outcomes. Outputs and outcomes listed should have indicators assigned (as relevant/appropriate) to measure progress towards the objective.

The purpose of including indicators at this stage is to assess the applicants’ monitoring capacity. Please include illustrative, collectible indicators in the RPM.

Successful applicants will have an opportunity to revise indicators upon award.

The RPM provides the TIP Office with an understanding of how the applicant intends to measure progress toward the project’s stated objectives, as well as the details of each indicator.

What is an indicator? An indicator is a particular characteristic or dimension used to measure intended changes. Indicators are used to observe progress and measure actual results compared with expected results. Indicators answer “how” or “whether” a project is progressing toward objectives. Indicators can be expressed quantitatively and should be objective and measurable (e.g., numeric value, percentages, indices). Although indicators are mainly expressed in quantitative terms, the methods used to collect data can often be qualitative in nature (e.g., qualitative survey questions, observation).

Examples of indicators include: number of trafficking survivors provided social support services and percent change in knowledge about investigative journalism from workshop participants.

To the extent possible, indicators must be SMART:

• Specific: The indicator clearly and directly relates to the objective. It is described without ambiguities. The indicator is written in concrete and clear terms such that anyone reading it should interpret it in the same way.

• Measurable: Can be evaluated and/or assessed against some standard such that it is possible to know when the objective is met. The indicator has the capacity to be counted, observed, analyzed, tested, or challenged. If one cannot measure an indicator, then progress cannot be determined. How will one know if the outcome has been achieved? Once an indicator is clear and specific, it can be measured in numerous ways; almost any indicator is in one way or another, measurable.

• Achievable: The indicator is attainable within allotted time and resources.

The indicator is achievable if the performance target accurately specifies the amount or level of what is to be measured in order to meet the objective.

The indicator should be achievable both as a result of the project activities and as a measure of realism. The target attached to the indicator should be achievable.

• Relevant: Linked to achieving the program objective and goal. An indicator should be a valid measure of the result/outcome and be linked through research and professional expertise. The best way to think about relevance is to ensure that there is a relationship between what the indicator measures and the theories that help create the outcomes.

• Time-Bound: Indicators must be timely in several aspects. First, they must be timely in terms of the time spent in data collection. This relates to the resources that are available - staff and partner time being critical. Second, indicators must reflect the timing of collection. Finally, the time-lag between output delivery and the expected change in outcome and impact indicators must also be reflected in the indicators that are chosen.

Results Performance Monitoring (RPM) Plan – Components and Definitions

Goal (Row 4): The goal should be a brief statement of the change the project will bring about. The goal statement should be clear: it should state specific accomplishments, define ambiguous terms, and define the target population. Use the goal you identified for the project in the logic model and project narrative.

Objectives (Row 5 and throughout, as necessary): A statement that describes the intended results or incremental changes that a project intends to achieve by implementing specific activities. Objectives are concrete and viewed as targets under the general goal. Objectives should also be written as changes and not as activities. Use the objectives you identified for the project in the logic model and project narrative.

Activity (Column B): A specific action or process undertaken over a period of time to convert resources to products or services to achieve results. If you have committed cost share to this award, activities you report should include what is undertaken by both the TIP Office and cost share funds. Use the activities you identified for the project in the logic model and project narrative.

Indicator (Column C): A characteristic or dimension used to measure intended changes. Indicators are used to observe progress and measure actual results compared with expected results. Indicators answer “how” or “whether” a project is progressing toward objectives. Indicators can be expressed quantitatively and should be objective and measurable (e.g., numeric value, percentages, or indices).

Although indicators are mainly expressed in quantitative terms, the methods used to collect data can often be qualitative in nature (e.g., qualitative survey questions, observation).

Examples of indicators include: number of trafficking survivors provided social support services, and percent change in knowledge about investigative journalism from workshop participants. The components and definitions below should be included within an applicant’s RPM.

Indicator Definition and Unit of Measure (Column D): Define how the indicator will be measured to ensure it is reliably calculated throughout the life of the project. Terms within the definition should be defined. For example, if your project is providing training, the applicant should define what constitutes a full training cycle. Ambiguous terms often included in the RPM, but which should be further defined, include: ‘appropriate’ ‘sufficient’, ‘increased capacity’, ‘stakeholders’. The unit of measure defines what you are measuring (e.g., prosecutors, civil society organizations, recommendations incorporated into law or policy). Within this section, you can also include data collection methods.

Indicator Type and Source (Column E): Define the level of expected change (e.g., input, output, or outcome). At this current time, CPIs are not required and this column should be left blank, but if selected for funding the applicant will need to complete this at a later date.

▪ Input / Process Indicators: measure activities or the necessary components for an activity to occur. These are often represented as milestones, with measurement ending when the process is completed. Milestones are often used to progress toward enabling factors or significant tasks (i.e., would the project progress in the same way if these activities, events, or decisions did not take place). Often, rather than using a specific quantity as a target, milestones are reported as “yes or no,” “will be met/will not be met,” “meets target/does not meet target.” This is useful if the quantity is one (i.e., one product is developed; one set of curricula is developed). Examples of project inputs or processes, as well as potential milestones, include: training curriculum developed, product developed, working group established, recommendations drafted by working group.

▪ Output Indicators: are products and services delivered from the project activities, often stated as an amount. Output indicators track the delivery of these products and services. Output data show the scope or size of project activities, but they cannot replace information about progress toward the project’s outcomes or impact. Examples of project outputs include: 100 paralegals trained in providing legal assistance to labor trafficking victims, and 60 radio programs produced.

▪ Outcome Indicators: represent the specific, realistic results of a project and are often measured as a degree of change. Outcomes may include progress toward expected project objectives or other results of the project. Outcome indicators measure the degrees of change. For example, a project’s objective could be to increase the number of victims identified at a port of entry. One outcome of the project would be that after receiving training on victim identification, there is a 40% increase in the number of victims identified at that port.

Data Source, Disaggregation (Column F): Indicates where data come from.

Data can be sourced from project materials (e.g., training attendance sheets) or external sources (e.g., government administrative records).

Disaggregates are various levels of analysis. If the unit of analysis is training participants, project staff will generally disaggregate by gender or role. Other units of analysis may include age, actual victim of trafficking versus potential victim of trafficking, and type of trafficking (i.e., sex or labor).

Timing, Frequency or Schedule (Column G): This section details the frequency or timing of data collection, analysis and reporting. The frequency should meet the needs of project staff, to allow them to make program management decisions and report both internally and externally.

Responsibility (Column H): Outline those who are responsible for data collection, analysis and reporting. Data may be collected or analyzed by in-country staff, an organization’s M&E Specialist, or program staff and managers.

Known Data Limitations (Column I): Measures often include limitations, such as: self-reporting bias, obtaining follow-up surveys (low response rates), or determining demographic information from administrative files that are inconsistent in a country. Outlining limitations helps to understand the feasibility in collecting and measuring data and controlling for data quality.

Baseline (Column J): Outlines the starting point for your project. The baseline for projects that have been implemented for some time (e.g., cost amendments, subsequent phases of a project) would include previous project figures (the number of individuals previously trained or supported). If your data source includes government administrative records, you can include data from the previous year or period prior to project implementation. Baselines for training sessions or workshops are generally zero. Please specify the data source for the baseline, and how many years/months of data are included in the figure. If data sources are unavailable, the baseline may be N/A. The TIP Office may ask successful awardees to conduct a baseline assessment for certain indicators, depending on the feasibility, timeliness, and level of effort required to obtain data.

Progress (Column K): Report on the quarterly and cumulative progress of this indicator here. If there has been no progress on this indicator during this quarter, mark zero.

Target (Column L): Targets indicate what you would like to achieve (e.g., training 20 prosecutors, organizing three workshops). When setting targets, please remember it is fine if you do not always reach these figures or milestones during implementation. Targets are set to provide an indication of what you would like to achieve. Targets may be updated throughout the project cycle as context changes on the ground. Target updates must be approved by the Grants Officer Representative (GOR) and Program Officer.

Applicants must set targets for each indicator in the RPM. Successful applicants will be able to revise indicators and targets during project implementation, when relevant. If a target cannot be set until a baseline is complete, the applicant must clarify what date the target will be set.

Developing Indicators

Performance Indicators: Performance indicators measure degrees of progress and show whether a project is on track. Each indicator measures a characteristic of a project. Indicators are included to measure actual results compared with expected results (targets). Indicators should connect to the activities, objectives, and goal of the project. Output-level performance indicators should measure a tangible, immediate and intended product or service from a proposed project activity (e.g., number of awareness-raising efforts, number of reports disseminated, number of prosecutors trained). Outcome-level performance indicators should measure the short-, medium-, or long-term results or benefits of one or a combination of outputs (e.g., number of investigations started, number of victims identified).

Applicants should also separately track (disaggregate) participant data by demographic categories relevant to the project—e.g., gender, age, type of trafficking. Grantees are encouraged to find responsible and ethical ways to collect this type of data (e.g., voluntary self-identification forms), in ways that do not limit project participation, retraumatize victims and survivors or infringe upon privacy or security.

When developing indicators, it is important to understand that the indicator will depend on the project scope, operating environment, and budget. This will influence the type of indicators selected.

Performance Indicator Types

Indicator Type Definition Usually measures Example

Quantitative Measure numeric or statistical results;

represented as #s, %s, or other amounts.

Outputs # of police trained in investigative techniques

Qualitative Represent attitudes, perceptions or behaviors; can be

Outcomes % of people with decreased stigma towards victims of trafficking articulated as #s or %s, but also as narrative.

Direct Provides a direct measure of an intended result.

Outputs/ Outcomes

% of beneficiaries with increased awareness of how to obtain legal assistance [by surveying target communities]

Indirect / Proxy Often used when the most direct indicator is not practical (e.g., data collection is too costly; project is being implemented in a closed society or conflict zone).

Outputs/ Outcomes

Number of new shelters opened [Assumption:

physical access to shelters is inhibiting access]

Common Common Performance Indicators

Outputs/ Outcomes

Number of protection trainings and number of calls to a trafficking hotline Custom Project specific indicators used to capture progress toward a project’s specific objectives.

Outputs/ Outcomes

Number of case management systems implemented;

number of laws, policies or procedures stalled, revised or changed.

Indicator Design Strategies

Determine if indicator data would provide useful information: The TIP Office would like applicants to focus on useful indicators (see below for our checklist on determining if indicators are beneficial). If the indicator does not provide useful information—i.e., if staff or the TIP Office cannot use it for program management or it does not provide an indication of performance—then the applicant should reconsider its inclusion in the RPM.

Emphasize quality over quantity: Including more indicators within the RPM does not necessarily make the plan better, especially if those indicators are not useful to project staff, your organization, or the TIP Office. It is fine to have just a few indicators under each objective, if those indicators are relevant and useful.

Cost vs. benefit: Applicants should consider how they plan to collect the data and the amount of time it would take for project staff to collect, analyze and report on indicator data. Determine if it is possible to collect the data and whether the cost and time are worth the level of information generated by the proposed indicators.

RPMs can change: RPMs should be considered working documents. Grantees should aim to not change indicators frequently, in order to measure change throughout the life of the project. However, a grantee may find that, after project implementation has begun, a certain indicator is not providing useful data. If that is the case, it is fine to replace or delete the indicator.

What might need to be changed within the RPM? Grantees can modify an indicator, or the RPM as a whole, if it is not providing useful information.

Generally, indicators will be deleted, or indicator components (e.g., definition, target, frequency of reporting, data collection methods) will be modified.

How can grantees modify their RPM? This is a relatively easy process.

Grantees should speak to their TIP Office Program Officer first. After the grantee and the Program Officer agree on changes to the RPM, the grantee must then upload the revised RPM to SAMS Domestic.

Checklist: Performance Indicators

Performance indicators should be identified and defined carefully, as it takes time and resources to collect, analyze and report on data. Applicants should review indicators carefully when establishing a project RPM; this can eliminate unnecessary reporting burdens and make the most of project resources.

While outputs can be measured with one indicator, outcomes may need to be measured with several to show that project activities are contributing to the achievement of project objectives. If a particular indicator does not provide the data an organization needs, there are several options, including:

1. developing a set of indicators to measure one condition;

2. revising the indicator to improve its quality;

3. deciding that this indicator represents the best option available, and noting its limitations;

4. identifying a new indicator; or,

5. considering whether it is necessary to have an indicator and whether the activity or result could be evaluated using other methods (e.g., case studies, Most Significant Change).

Indicators are not perfect. If limitations exist within the performance indicators selected for a project, applicants should document these in the project RPM (in the ‘Known Data Limitations’ column).

Applicants are highly encouraged to use the table below as a tool to help design indicators on their own but should not incorporate the table in the project narrative.

For the purpose of this application, indicators should be included in the RPM, and a sample list of indicators should be included in the project narrative.

Criteria Criteria

Description Rating (Yes/ Somewhat/

No)

Comments

Specific Is the indicator defined so that it is clear what is being measured? Have disaggregates been specified?

Measurable Would two or more project staff members measure it in the same way?

For percentages, are the numerator and denominator defined? Can data be collected to report on the indicator?

Achievable Are indicator targets achievable, given the time and resources for the project?

Relevant After collecting data, does it give an indication of whether progress has been made toward activities, outputs, outcomes, and objectives? Will the data be used for decision-making?

Time-bound Has the frequency for data collection, reporting, and analysis been set?

Are targets set on a quarterly or other time-frame (e.g.

fiscal year, cumulative project)?

Annex B: Summary Budget and Annex C: Line-Item Budget Applicants must use the required templates for each budget on SAMS Domestic.

The budgets must be presented in Microsoft Word or Microsoft Excel with black-colored, Times New Roman font.

The budget must be presented in the two separate formats described below: Budget Summary and Line-Item Budget. The two budget formats must be submitted in separate documents to be considered for funding. If your application has voluntary cost share, please be sure to list it in the appropriate columns as demonstrated below.

Applicants submitting a summary budget and line-item budget must specify the total amount of funding requested and the amount spent per year and must be in

U.S. dollars. The budget narrative is not required at this stage, however if selected for further funding an applicant must submit this upon request.

Annex…