2023 Guidelines for Submitting TIP Office Full Project Proposals (3).pdf

Office to Monitor and Combat

Trafficking in Persons

2023 CPC Guidelines for Submitting TIP Office Full Project

Proposals

December 2022

Contents Purpose of Guidelines

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

SF-424 (Application for Federal Assistance)

SF-424A

SF-424B

Project Narrative

1. Background (required)

2. Problem Statement (required)

3. Project Description (required)

Vision Statement (required)

Project Goal (required)

Project Objectives (required)

Project Activities (required)

Survivor Inclusion

4. Sustainability (required)

5. Local Partnerships (required)

6. Coordination with Relevant Anti-Trafficking Actors (required)

7. Monitoring, Evaluation, Research, and Learning (MERL)

Proposal Narrative Annexes

Annex A: Visual Theory of Change (required)

Annex B: Results Monitoring Plan (RMP) (required)

Annex C: Timeline (required)

Annex D: Security, Risk Mitigation, and Contingency Planning (required)

Annex E: Budget Summary by Project Year (required)

Annex F: Line-Item Budget (required)

Annex G: Budget Narrative (required)

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

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

Annex J: Certification of Training Requirement for Victim Assistance Personnel

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

Annex L: Donor History Form

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 application documents. Applicants are responsible for reviewing the funding opportunity, required application templates, and the following guidelines when preparing applications.

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.

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

http://fedgov.dnb.com/webform

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 May 1, 2023, 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 blanks.

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.

Project Narrative Key Information

Applicants are required to use the project narrative template on SAMS-Domestic.

Project narratives must not exceed 35,000-characters and must use black-colored, Times New Roman font. Spaces, footnotes, and charts are included within the character limit. Applicants MUST type within the template’s grey box.

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

• Project alignment to the three “Ps” – Prevention, Protection and Prosecution

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 and experience in the selected sector, country, and/or region for programming. The applicant should briefly describe the relevance and significance of trafficking issues in the selected locale, including contextual (e.g., migration issues, economic instability, etc.) factors that may be contributing to the selected trafficking issues. The applicant should describe any relevant ongoing anti-trafficking efforts conducted by governments and relevant anti-trafficking actors in the chosen locale and how the project will complement or deconflict on-going efforts. The applicant should describe previous and on-going anti-trafficking-related programming implemented by their organization, and as appropriate, describe the results of these efforts. The applicant should demonstrate how their organizational resources, capabilities, and qualifications enable them to achieve the proposed goal and objectives in their proposal. The applicant should highlight the experience and expertise of staff and how they will support accomplishment of the program goal and objectives. Should the applicant not have necessary expertise on staff, they should describe how they will bring expertise into their organization. If the proposed project is an extension of a previous project

(either funded or not funded through the TIP Office), provide a brief explanation of the project being expanded, results to date, and how this funding opportunity will help the continuation of the project.

2. Problem Statement (required)

The problem statement should describe the specific problem(s) that the proposed project will address, including but not limited to: the problem’s causes, magnitude, and impact; who or what is being impacted by the problem; and relevant conditions (e.g., economic, political, social, environmental, etc.) affecting the problem. The problem statement provides applicants the opportunity to demonstrate their understanding of the specific problem(s) they will address, and their understanding of how addressing the identified problem(s) contributes and/or aligns to TIP Office priorities and national strategies and/or policies.

3. Project Description (required)

The project description should state a clear rationale for the project, including an evidence-based justification for the unique project approach, state the target population, and describe how the project will address the problem/s identified in the problem statement. The applicant should also include the project’s vision statement, goal, objective(s), sub-objective (s), and the activities proposed to accomplish stated goal and objective(s).

Vision Statement (required) The vision statement is a clear and concise, big-picture declaration of the systemic level or institutional change/s the applicant is contributing to through the proposed project in the long term, or outside the period of performance.

Systemic Change: Systemic changes are fundamental changes that require adjustments or transformations in policies, practices, power dynamics, social norms, or mindsets that underlie the issue you are addressing. Systemic change occurs when change reaches all or most parts of a system, in turn affect ing the general behavior of the entire system.

Institutional Change: Institutional changes can only be solved by collaboration between multiple parties, whether that be individuals, departments, programs, institutions. Generally, this requires new or improved technology, policy, behaviors, and practices, including standard operating procedures, processes, and standards that impact how an entity operates.

Project Goal (required) A project goal is the highest-level outcome to be advanced and/or achieved through the project within the period of performance. The goal specifies the change the project will bring or contribute to. 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 to address this problem?”

The goal becomes the response to that question and is the desired end state.

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 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 realize, and implementing partners will be held accountable to demonstrate progress towards and achievement of the objectives 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; relevant to the project goal; and can be achieved within the timeframe of the project. Ask, “can I measure this objective?” Objectives are concrete and viewed as targets under the general goal. Objectives must be written as change statements, reflecting the desired end state following completion of activities.

In short, objectives should be clear, reflect changes, include a target population (i.e., the specific actors or groups to be impacted), be one concept per objective, and necessary and sufficient to – contribute to changes in the goal.

Project Sub-Objectives (optional)

Sub-objectives are the steps required to attain the main objective. They should be concrete and specific, whereas the objective can be somewhat broader. Sub-objectives should be reflective of changes that lead to the objective.

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 and sub-objective (when applicable). Provide evidence to justify why selected activities are 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 the TIP Office and cost share funds.

Considerations Applicants are expected to submit proposals that reflect an understanding of and integrate the following:

Diversity, Equity, Inclusion, and Accessibility Integration

The TIP Office requires that project activities fully address gender and relevant social inclusion considerations, ensuring that all individuals benefit from and contribute to anti-trafficking efforts, and that gender and social inclusion are built-in components of project activities.

Gender integration entails the identification and subsequent treatment of gender differences and inequalities around human trafficking issues during project design.

Social integration is achieved when all people, regardless of their sex, age, ethnicity, social status, income, religion, sexual orientation, ability, or disability etc., have the same rights and opportunities to contribute to and benefit from the proposed human trafficking project. Where applicable, this should be documented in the project narrative, specifically by addressing any relevant gender and/or social gaps and ways the proposed project activities will address those gaps.

Applicants should demonstrate how addressing relevant gender and/or social gaps will enhance the project’s goals and objectives. The purpose of including gender and social integration at the application stage is to assess the applicant’s awareness of gender and social integration in project design.

Applicants must conduct an analysis to identify, understand, and describe relevant gender or social differences and the impact of such inequalities in human trafficking at a country or project level. The analysis should examine 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 and social analysis should focus on the following (as relevant and applicable to the project):

1. Do all genders and social groups have equal access to resources and services?

2. How will anticipated outcomes affect genders or marginalized social groups differently?

3. Do gender or societal stereotypes function as either a facilitator or a barrier?

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

4. Search for recent gender or social inclusion assessments or analysis that have been conducted in the country/project location.

5. Consult with experts on gender or relevant marginalized groups at NGOs, donor, and other organizations who may be able to outline key issues in the country/project location.

6. Consult with partners and related anti-trafficking actors on the ground to inquire about any gender or marginalized groups issues they may have integrated into prior programming.

Survivor Inclusion Applicants must describe how survivors or persons with lived experience of human trafficking are meaningfully included in the design, implementation, and/or evaluation of the project. Applicants are highly encouraged to compensate persons with lived experience for any and all contributions made to the project. If and when persons with lived experience are compensated, this should be clearly articulated in the budget and budget narrative.

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 self-determination, and assisting victims in making informed choices; ensuring that restoring victims’ feelings of safety and security are a priority and safeguarding against policies and practices that may inadvertently re-traumatize victims. A victim-centered approach should also incorporate a trauma-informed, survivor-informed, and culturally competent approach.

Trauma-Informed Approach

A trauma-informed 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. This approach includes an understanding of the vulnerabilities and experiences of trauma survivors, including the prevalence and physical, social, and emotional impact of trauma. A trauma-informed approach places priority on restoring the survivor’s feelings of safety, choice, and control. Programs, services, agencies, and communities can be trauma-informed.

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.

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.

4. Sustainability (required) Sustainability is imperative for the TIP Office project and programs. Sustainability should be integrated into the project design. The applicant should address 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. Applicants are encouraged to 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 target populations 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 target populations?

In a limited number of cases, project 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.

Applicants are highly encouraged to use the table below as a tool to think through project sustainability on their own. For the purpose of this application, a written summary of the project’s sustainability should be included in the project narrative.

Objective OR Outcome:

Sustainability Factor Yes No N/A Comments

Is the objective/outcome written to reflect sustainability? *

Are there plans to replace resources provided by the project upon the end of the award? **

Is there a strategy to create ownership on the part of key actors, particularly in the government?

Are there strategies to build the management of technical capacity required for sustainability?

Is there a plan to establish critical linkages between partners and project participants and private or public institutions that can provide necessary support?

Is the objective/outcome integrated in existing systems, structures, policies, or laws?

Is the objective/outcome designed to demonstrate tangible results that partners and target populations can see?

If appropriate, have partnerships with the private sector or strong civil society organizations and government actors been incorporated in this outcome?

*Sustainability language does not mean using the word sustainability.

Sustainability language refers to writing objectives and outcomes in a way that measures sustainability such as linkages with resource organizations, 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.

5. Local Partnerships (required) Applicants should describe existing or proposed partnerships with anti-trafficking and other relevant actors to enhance the project’s ability to carry out activities effectively, meet the project’s objectives, and contribute to the project’s goal and sustainability. In cases where an applicant is not able to partner with a local organization or institution, does not consider it feasible to do so, or does not consider it in the project’s best interest, the application must clearly explain why.

Applicants are encouraged to work with survivor-led organizations as sub-grantees or partners. The TIP Office also encourages proposals that include partnerships with organizations that advance racial equity and support and promote equitable representation of underserved communities.

Applicants may partner with other organizations to implement and carry out project activities. 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 may be submitted in a foreign language, however, if selected for funding the applicant will be asked to submit an English translation.

In instances where the project works with a government entity, the applicant must demonstrate political will or their ability to secure a partnership with the government.

6. Coordination with Relevant Anti-Trafficking Actors (required) The TIP Office encourages coordination among donors, implementers, and relevant anti-trafficking actors to de-conflict activities, support knowledge and information exchange, and coordinate efforts to support broader anti-trafficking efforts. In cases where an applicant chooses not to coordinate with relevant anti-trafficking actors, the application must clearly explain why.

7. Monitoring, Evaluation, Research, and Learning (MERL) The project narrative should summarize illustrative MERL activities, including a brief description of mid-line and final assessments. Mid-line assessments are required with some exceptions when a project may not benefit from or be appropriate for one. If the project may not benefit from or be appropriate for a mid-term assessment, please provide a justification. Final assessments are required for all projects. The project narrative should briefly describe MERL budget allocations (ideally 3-5% of total budget).

If MERL 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 MERL costs are over 5% of the project’s budget, provide a justification for these costs. MERL costs should be included in the budget annexes. MERL plans are illustrative at the time of submission. Successful applicants will work with the Program Officers and M&E Specialists at the TIP Office during the negotiation process to co-design MERL plans.

What is it?

Monitoring Monitoring is a continuing process that involves systematic collection and analysis of data, including feedback from relevant actors and target populations to provide relevant information about the extent of progress and achievement of objectives.

This includes the monitoring of processes, outputs, and outcomes.

Evaluation An in-depth assessment of an on-going or completed project.

Evaluations include analysis of both qualitative and quantitative data and incorporate feedback from key actors and target populations.

Research An original investigation, undertaken in order to gain knowledge and understanding about issues critical for a project’s design, implementation, and influencing priorities, through the use of qualitative and quantitative research activities.

Learning An ongoing and continuous process of reflection and critical thinking with the purpose of developing new or modifying existing knowledge and practices. Learning processes should draw on data collected from monitoring, evaluation, and research activities, as well as the experiences and information that exist among those involved.

Mid-Term Assessment

The TIP Office requires all implementing partners to conduct an internal

(conducted by project staff) or external mid-term assessment. Some projects may not benefit from or be appropriate for a mid-term assessment. If the project may not benefit from or be appropriate for a mid-term assessment, please provide a justification. The applicant is expected to briefly discuss their plans for the mid-term assessment in the project narrative. A mid-term assessment aims to assess progress made towards achieving planned objectives. They provide an opportunity to make modifications (if necessary) to ensure the achievement of these objectives within the period of performance. In addition, mid-term assessments provide an opportunity to ascertain the project is relevant and useful to the key actors and target populations.

Mid-term assessments are often primarily qualitative in nature and will assess project performance and results achieved by the time of assessment. The assessment will be an opportunity to draw on lessons learned, good practices, and recommendations to help improve project performance and effectiveness moving forward. This involves identification of key project successes, challenges, and factors hindering and promoting the implementation of the project. Assessments, to the extent possible, should examine categories such as: relevancy, effectiveness, efficiency, sustainability, and impact.

Mid-term assessments should take place approximately halfway through project implementation. They are most useful when a number of planned activities have been delivered, and a considerable percentage of funds have been spent.

The mid-term assessment can take the form of an internal, informal review on behalf of the project staff.

It is good practice to develop specific questions for the mid-term assessment. The questions can be formulated based on what you want to know about the project design, project implementation, and its progress towards meeting the project goal, objectives, and outcomes.

Sample questions to consider for the mid-term assessment (where relevant/appropriate) include:

• Does the project design (i.e., inputs, activities, outputs, and outcomes) address the needs that were identified?

• Does the design need to be modified in the second half of the project?

• How appropriate and useful are the indicators described in the RMP in assessing the project’s progress? Are the targeted indicator values realistic and can they be tracked? If necessary, how should the indicators be modified to be more useful?

• Are the means of verification for the indicators appropriate?

• Is the project making sufficient progress towards its planned objectives?

• Will the project be likely to achieve its planned objectives upon completion?

What are the main constraints, problems, and areas in need of further attention?

• How have stakeholders been involved in project implementation?

• Has the project been appropriately responsive to the needs of the target populations, in particular individuals with lived experiences in human trafficking? Have the target populations had the opportunity to provide input on project design, implementation and/or research and have they been able to provide feedback in a secure and voluntary manner?

• Has the project been appropriately responsive to political, legal, economic, institutional changes in the project environment?

• Have resources (e.g., funds, human resources, time, expertise, etc.) been allocated strategically to achieve outcomes?

• Have resources been used efficiently? Have activities supporting the objectives been cost-effective? In general, do the results achieved justify the costs?

• Have project funds and activities been delivered in a timely manner?

• Are management capacities adequate?

• Does project management facilitate good results and efficient delivery?

• Is there a clear understanding of roles and responsibilities by all parties involved?

• How effectively does the project management monitor project performance and results?

• Have there been positive or negative unintended consequences and what recommended steps should be taken in response to them?

In this section, please describe your mid-term assessment plans, including but not limited to: who will conduct the mid-term assessment (will it be conducted internal, or externally?), how much time, personnel, and financial resources will be allocated to the mid-term assessment, timeline for the assessment, and anticipated assessment questions. Please describe how the results of the mid-term assessment will be incorporated to improve programming.

Final Assessment The TIP Office requires applicants conduct a final project assessment. Final assessments are due within 120 days of the end of the award.

A final assessment should address questions that focus on whether planned results and targets were achieved, as well as whether activities had unintended consequences. To the extent possible, they should consider results at all levels of the RMP, whether outputs were produced, to what degree the outcomes, objectives, and goal were achieved and why, and whether any change in the status of the goal could be detected.

When planning for the final assessment, consider the following:

What types of evaluation activities, and at what frequency, need to occur to respond to the final assessment questions (this may include a range of developing and administering quantitative and qualitative methods such as surveys, tracking of third-party indicators, direct observation, qualitative interviewing, focus groups, expert panels, administrative record keeping, review of project performance data, etc.)?

At a minimum, final assessment should consider the following questions (where applicable):

• How well did the project work?

• To what extent did the project produce or contribute to the intended outcomes?

• For whom, in what ways and in what circumstances? What unintended outcomes (positive and negative) were produced?

• To what extent can changes from baseline be attributed to the project?

• What were the particular features of the project and context that made a difference?

• What factors influenced the results?

• To what extent were the targets, outcomes, and objectives met? If some targets, outcomes, and objectives were not met, why not?

• To what degree were the changes transformational? Sustainable?

• Describe lessons learned about the project, the target population, and the context in which the project was implemented.

While no single evaluation design or approach will be privileged over others, the selection of method/s for a particular evaluation should principally consider the appropriateness of the evaluation design for answering the assessment questions as well as balance cost, feasibility, timing, and the level of rigor needed to inform specific decisions.

Research and Learning Applicants may choose to conduct research and learning related activities to help inform project activities and strategies, measure project baseline values, and help set indicator targets and measure results. The applicant may include learning activities that go beyond traditional M&E and beyond the requirements (e.g., quarterly performance reports, RMP, mid-term assessment, final assessment), but are not required to. Should the applicant decide to conduct other planning, learning, and M&E activities, the timing for each of these components should be included in the Timeline.

Research and learning activities can be useful when attempting to generate, analyze, and synthesize project design and learning throughout the period of performance. Some research and learning activities may include: qualitative interviews (e.g., Focus Group Discussions, Key Informant Interviews, and In-

Depth Interviews); direct participant and Knowledge, Attitudes and Perceptions

(KAPs) surveys; organizational assessment; gap analyses; literature reviews or syntheses of existing research; needs assessments; situational analyses; baseline assessments; participatory action research, including social and community mapping, application of diagnostic tools, etc. The findings from these activities aim to inform project design, strategies, baselines and targets, and to some extent, project results.

Applicants are encouraged to (but not required to) determine what mix of research, learning, and other M&E activities could best help with the monitoring and evaluation of the project. In determining priority research and learning activities, consider when learning is needed to make decisions (and at what frequency) to support project activities, project design, and project outcomes.

Proposal Narrative Annexes

All applicants are required to submit the following annexes, completed to the extent possible. Panel members will use the annexes (unless noted otherwise) along with the project narrative to evaluate applications. Please note that additional documents beyond what is listed in the NOFO will be thrown out and not considered. Please only submit what is clearly requested below.

Annex A: Visual Theory of Change (required) A theory of change (ToC) demonstrates the causal process through which change comes about. The ToC makes explicit how an applicant thinks outputs from the project’s activities will stimulate or enable a series of outcomes that ultimately lead to the achievement of desired objectives and outcomes. The ToC is founded on responding to assumptions based on what is known about the problem and the relevant conditions around it. In practice, the ToC development process enables a reflection exercise that unpacks underlying assumptions about the intended change, and preconditions that need to exist for the change to occur.

The ToC helps identify project design assumptions and connects the process of change between outputs and outcomes. Assumptions are often taken for granted and may be based on opinions or beliefs. However, they can also be founded on research, experiential knowledge, or best practice.

Assumptions identify the locally specific risks and conditions that are present in the project’s context. While applicants might have an idealized model for how change will occur, in reality there are all sorts of risks that can interrupt the change process from output to goal. Assumptions attempt to manage these risks by identifying what conditions must hold true for change to occur.

In the long-term, assumptions that turn out to be incorrect can lead to mistakes. It is therefore very important in developing a ToC that assumptions are identified, analyzed, and challenged as part of the change process. This will lead to an increased understanding of any refinements that need to be made to project activities to mitigate or test the assumptions.

ToCs can be developed through a range of processes and templates (e.g., diagnostic tools/diagram/chart/table/other visual forms). There is no “perfect” example, as all ToCs should vary depending on the context and nature of the project. When developing your ToC visual, consider the following:

• Analysis of the context: Does the theory of change make sense as a response to analysis of the context, the problem and the changes stated?

• Clear Hypotheses of Change: Are causal pathways well mapped in a diagram?

o Are there any missing links?

o Are there preconditions that must exist for change to occur from output to outcome, outcome to objective, and objective to goal?

• Are assumptions made explicit (in the diagram or text) about the causal links?

o about implementation?

o about context and external factors?

Below is an example of a partially built-out theory of change for one of three objectives in an intervention that aims to improve protection mechanisms for trafficking victims from marginalized communities. The example includes the project goal, one domain of change (listed as an objective), four preconditions that must exist to achieve the objective, and four assumptions that must be mitigated in order to achieve the objective:

The TIP Office requires a ToC visual (diagram/chart/table/other visual format in PDF or Word, no longer than one page) to be submitted as Annex A. The applicant is welcome to create the ToC visual as it best suits the project, so the TIP Office will not provide a standard template.

Annex B: Results Monitoring Plan (RMP) (required) All applicants are required to submit a Results Monitoring Plan (RMP) using the template provided. Successful applicants will be asked to work with the TIP Office to input the RMP within the SAMS-D RMP module and will be asked to report indicator results on a quarterly basis within the SAMS-D system.

The RMP will list collectible indicators for each objective, developed by the applicant. Indicators in the RMP will be used to measure project outputs and short-term and medium-term outcomes. In addition, the applicant should set targets for the Common Performance Indicators (CPIs) they intend to report against in Tab One of the RMP.

Please include illustrative, collectible indicators in the RMP. The purpose of including indicators at this stage is to provide the TIP Office an understanding of how the applicant intends to measure progress toward the project’s stated objectives, as well as the details of each indicator. Successful applicants will have an opportunity to revise indicators during the negotiation process.

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 project 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.

The RMP contains details for each indicator used to measure progress towards objectives in the third tab, including: a definition; the indicator type (e.g., output, outcome; CPI, custom); data source(s); how data will be disaggregated (e.g., location, age, ethnicity, etc.); the frequency of measurement; those responsible for data collection, analysis and reporting; baselines (if available); and targets for indicators. To the extent possible, complete the RMP with a few indicator examples you intend to track over the course of the project, including Common Performance Indicators (CPI’s [as relevant and appropriate for the project]) listed in the first tab.

Results Monitoring Plan (RMP) – Components and Definitions

Vision (Row 4): The vision statement is a clear and concise, big-picture declaration of the systemic level or institutional change/s the applicant is contributing to through the proposed project in the long term, or outside the period of performance.

Goal (Row 5): The goal should be a brief statement of the change the project will bring about within the period of performance. The goal statement should be clear:

it should state specific accomplishments, define ambiguous terms, and define the target population.

Objectives (Row 6 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 and should be met within the period of performance. In line with the project/program design standards, objectives should also be written as changes and not as activities.

Objective-level Outcome Indicator (Row 7 and throughout, as necessary):

Outcomes can be changes in behavior or conditions that reflect a positive impact.

Various levels of outcomes can exist within a project, with short-term outcomes leading to long-term outcomes. For example, a human trafficking survivor who receives vocational training may gain new skills (short-term outcome), which may lead to a sustainable livelihood (longer-term outcome). Objective-level outcome indicators are specific items of information that track a project’s success against the overall objective, and describe observable, measurable, characteristics or changes that represent the achievement of an objective. They represent how the culmination of outputs and activity-level outcomes lead to the desired change in behavior or condition represented in the objective. For example, a project whose desired objective is to reduce a population’s trafficking risk factors may measure the number or percent of individuals who demonstrate reduced risk factors as an outcome indicator of how well the project is doing with respect to the objective.

Each project must have at least ONE measurable objective-level outcome indicator.

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.

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). You can have multiple indicators per an activity; simply add a row to include another indicator.

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

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 RMP, but which should be further defined, include: ‘appropriate’ ‘sufficient’, ‘increased capacity’, ‘actors’.

The unit of measure defines what you are measuring (e.g., prosecutors, civil society organizations, recommendations incorporated into law or policy).

Indicator Type and Source (Column E): Define the level of expected change

(e.g., input, output, or outcome). If using CPIs, please include the CPI number (the CPI number is listed in the first tab). For non-CPI indicators that an applicant develops, please write ‘custom’.

▪ 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.