2023 PEMS 7 Guidelines for Submitting TIP Office Proposals.pdf

Office to Monitor and Combat Trafficking in Persons

Guidelines for Submitting TIP Office PEMS 7 Proposals

February 21, 2023

Purpose of Guidelines

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

SF-424 (Application for Federal Assistance)

SF-424A (Budget Information for Non-Construction Programs)

SF-424B (Assurances for Non-Construction Programs)

PROGRAMMING PRIORITY ONE: APPLYING INTERVENTION DEVELOPMENT

RESEARCH TO PRODUCE MODEL INTERVENTIONS ON HUMAN TRAFFICKING

I. Project Narrative Outline

1. Problem Statement

2. Why Intervention Development Research?

3. Contextual Analysis: Description of Target Population, Context and Contributing

Factors

4. Preliminary Review of Intervention Evidence

5. Project Description

5.1. Project Goal

5.2. Project Objectives and Activities

5.3. Illustrative Indicators, by Stage/Objective

6. Mapping the System

7. Implications and Contributions to Knowledge

8. Project Partnerships

9. Co-Creation

10. Organizational Capacity

10.1. Prime Applicant

10.2. Sub-Grantees or Sub-Contractors

11. Coordination with Relevant Programs and Stakeholders

12. Ethical Considerations

13. Diversity, Equity, Inclusion, and Accessibility Integration

14. Survivor Inclusion and Victim Centered Approach

15. Trauma Informed Approach

16. Monitoring, Evaluation, and Learning (MEL)

II. Proposal Annexes

Annex A: Intervention Evidence Review Table

Annex B: Timeline

Annex C: Summary of Proposed Research Methods, by Stage/Objective

Annex D: Results Monitoring Plan (RMP)

Annex E: Mapping the System

Annex F: Security, Risk Mitigation, and Contingency Plan

Annex G: Budget Summary, by Project Year

Annex H: Line Item Budget, by Project Year

Annex I: Budget Narrative

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

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

Annex L: Certification of Training Requirement for Victim Assistance Personnel

Annex M: Letters of Agreement or Intent to Cooperate

Annex N: Donor History Form

Annex O: Reference List

PROGRAMMING PRIORITY TWO: PROVIDE TAILORED AND ADAPTIVE LEARNING

AND EVALUATION COACHING AND SUPPORT TO IDR PARTNERS

I. Project Narrative Outline

1. Project Description

2. Activities, Approaches, and Methodologies

3. Illustrative Indicators

4. Organizational Capacity

5. Ethical Considerations

6. Diversity, Equity, Inclusion and Accessibility Integration

7. Survivor Inclusion and Victim Centered Approach

8. Trauma Informed Approach

II. Proposal Annexes

TEN GUIDING PRINCIPLES OF INTERVENTION DEVELOPMENT RESEARCH

Purpose of Guidelines

These guidelines are intended to support organizations in preparing proposed project documents for consideration for funding for the PEMS 7 Notice of Funding Opportunity released on February 21, 2023. Applicants should review the funding opportunity, required application templates, and the following guidelines on 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 http://fedgov.dnb.com/webform

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.

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 October 01, 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 (Budget Information for Non-Construction Programs)

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 (Assurances for Non-Construction Programs)

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 02, 2019 and completed the online representations and certifications.

PROGRAMMING PRIORITY ONE: APPLYING INTERVENTION DEVELOPMENT

RESEARCH TO PRODUCE MODEL INTERVENTIONS ON HUMAN TRAFFICKING

The TIP Office seeks applications for programs that aim to utilize Intervention Development Research (IDR) to conduct comprehensive research, with deep local engagement, to develop a whole-of system understanding of the selected human trafficking situation and identify modifiable elements. This knowledge will be used to design a preliminary intervention model based on a strong, evidence-based theory of change. The implementer will then pilot and refine the intervention model and synthesize and disseminate the evidence, including an intervention manual for potential adaptation and scale-up. Proposed projects should cover four main objectives, as discussed in further detail in Section 5.2:

Stage 1 Objective: Research and plan for the intervention development process

Stage 2 Objective: Design preliminary intervention model

Stage 3 Objective: Pilot test, refine, and finalize preliminary intervention model

Stage 4 Objective: Synthesize and disseminate evidence regarding intervention model

The end-product of the proposed projects should identify either:

1. An intervention model with guidance (e.g., an intervention manual) for potential adaptations for scale up and adaptation for other settings; or

2. Evidence of what does not work (e.g., specific components) and why. If the piloting uncovers the need for more research or exploratory programming, those recommendations should be included as well.

Projects should focus on one type of trafficking in one population, e.g., forced begging of children in Kampala. For human trafficking that involves movement, projects can focus on the source, transit, and/or destination locations., i.e., sex trafficking of women from to Nigeria to Italy via Libya. The TIP Office reserves the right to use all, some, or none of the IDR projects funded under this funding opportunity to fund larger projects in the future.

I. Project Narrative Outline

Key Information

Applicants are required to use the specific Project Narrative template for Programming Priority One on SAMS-Domestic. The template complies with requirements including text being black-colored and Calibri font. Spaces and charts are included within the character limit. NOTE: Applicants MUST use the provided template with section headers. The section headers provided in the Project Narrative template WILL count against the total character count. The total number of characters in the section headers is approximately 750.

Applicants must cite and reference all sources using endnotes. Please place endnote numbers at the end of a sentence after the punctuation. References are excluded from the word count and should be listed in numerical order according to their order of appearance in Annex O: Reference List. Any other text included in this annex will count against the total character count. A standard citation style (e.g., APA, MLA) must be used throughout the proposal.

The Project Narrative must list the following information in the table on Page 1 of the template:

• Project Region(s)

• Country or countries that the project will benefit

• Name of prime applicant organization

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

• Name of partner organization(s) (as defined in the Notice of Funding Opportunity)

• Project title

• Project summary (provide a brief 2-3 sentence summary of the proposed project, including human trafficking focus and potential impact that can be understood by a variety of readers)

• 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 Project Narrative should include the following components and should not exceed the 30,000 character limit (approximately 14 pages). Note that the contents of the table above are not included in the character count.

Overarching Guidance for the Project Narrative

Applicants must clearly articulate an understanding of the problem and its significance and provide justification for new research and intervention development (i.e., that there are identified evidence gaps that justify conducting research to develop a replicable intervention model in a specific context).

Applicants’ knowledge of the problem and the possibilities for an intervention should be based on a range of sources, including, but not limited to, published research or theory; a needs assessment or other diagnostic tools; experience working as practitioners, policymakers, researchers, etc., in the human trafficking (or related) field; and stakeholder consultations, including with survivors of human trafficking. Applicants must support their support statements with evidence. As noted above, they must use footnotes to cite sources and provide a complete list of references in Annex O: Reference List.

It is expected that applicants’ problem statements and ideas for the intervention will be refined as they proceed through the subsequent stages of the intervention development process. At the proposal stage, applicants should not hypothesize or predict the intervention design. Rather, they must demonstrate a strong understanding of the problem and target population/s and that they are knowledgeable about evidence-based interventions that exist to address it in the same or similar contexts (e.g., low- and middle- income countries) and/or populations (e.g., survivors of gender-based violence). The information that applicants provide in this section is critical in determining the content and structure of the intervention and will be further developed and refined as they proceed through the various stages of the IDR process.

As noted in the Notice of Funding Opportunity (NOFO), applicants are expected to move beyond traditional thinking of interventions as a set of components described in isolation from their context. This requires applying a systems lens, a core principle of IDR (see figure below), to the intervention development process in order to better understand which interventions work for whom and under what circumstances. A systems framework encompasses the whole picture, highlights the broader context, considers interaction among multiple levels and actors, recognizes the dynamic shifts that occur over time, and encourages collaboration among stakeholders from a variety of disciplines.

IDR identifies the modifiable determinants—the elements that can be changed— among specific target populations and potential mechanisms that will lead to the desired outcomes. It examines how the context will interact with the intervention to influence how it will work with the target population. In doing so, it generates the specific evidence necessary to design activities that will be most effective in preventing and responding to human trafficking.

Applicants must ensure that the Guiding Principles of IDR listed below are reflected throughout their proposals. Please refer to the detailed explanation of each principle on page 63.

Ten Guiding Principles of IDR1

1. Co-Creation

2. Systems Framework

3. Tailored Engagement with a Range of Stakeholders

4. Accountability to the Target Population

5. Context Specific

1 Adapted from: 1) O'Cathain, Alicia, et al. "Guidance on how to develop complex interventions to improve health and healthcare." BMJ open 9.8 (2019): e029954. 2) O’Cathain, A., Croot, L., Sworn, K., Duncan, E., Rousseau, N., Turner, K., ... & Hoddinott, P. (2019). Taxonomy of approaches to developing interventions to improve health: a systematic methods overview. Pilot and feasibility studies, 5(1), 1-27. 3) Wight, D., Wimbush, E., Jepson, R., & Doi, L.

(2016). Six steps in quality intervention development (6SQuID). J Epidemiol Community Health, 70(5), 520-525.

6. Iteration, Continuous Feedback, and Response

7. Flexibility and Openness

8. Rigor and Multiple Methods

9. Forward Thinking and Planning

10. Cost Considerations

1. Problem Statement

Applicants should provide a short (no more than a few sentences), clear explanation of the human trafficking issue or challenge to be addressed, summarizing what they want to change. It should identify who it impacts and why it is important. Please also briefly discuss how the project will impact the human trafficking field at-large, including how it will address a key knowledge gap and lead to increased evidence-based anti-trafficking programming and/or policy.

Referencing the PEMS-funded Human Trafficking Research Initiative Research and Learning Agenda is encouraged.

2. Why Intervention Development Research?

As discussed in the NOFO, IDR is typically conducted when there is a need for a new or improved intervention to address a specific problem or issue. Please provide a justification for the need for IDR to address the selected human trafficking scenario and why this would or could be transformational in reducing the prevalence of human trafficking. As specified in the NOFO, a non-exhaustive list of key motivations for utilizing IDR are as follows:

• The problem is not well-understood and there is a lack of evidence

• Current interventions are not effective

• Evidence on interventions or technologies that have been effective for similar populations or problems could be useful to adapt

• New population or context

In their justification, applicants should also consider the overall impact or influence of the project on the anti-trafficking field.

https://mcas-proxyweb.mcas.ms/certificate-checker?login=false&originalUrl=https%3A%2F%2Fwww.poverty-action.org.mcas.ms%2Fpublication%2Fresearch-and-learning-agenda-human-trafficking-research-initiative%3FMcasTsid%3D15600&McasCSRF=f8e247f05e4bfb697648c42668bb488f939432c1887f0b66e142138d0d764eb6 https://mcas-proxyweb.mcas.ms/certificate-checker?login=false&originalUrl=https%3A%2F%2Fwww.poverty-action.org.mcas.ms%2Fpublication%2Fresearch-and-learning-agenda-human-trafficking-research-initiative%3FMcasTsid%3D15600&McasCSRF=f8e247f05e4bfb697648c42668bb488f939432c1887f0b66e142138d0d764eb6

3. Contextual Analysis: Description of Target Population, Context and Contributing Factors

PEMS is focused on funding transformational programs, with the potential for systemic and sustainable results. Therefore, please provide a description and justification for the selection of the target population(s) and geographic location for the project. Explain the scope of the human trafficking issues and why this population/location was strategically chosen. Please include information on the factors that are contributing to the existence of the human trafficking problem selected.

Applicants must provide evidence that they have begun to look comprehensively at the target population, and provide a summary of their understanding, such as who comprises the target population, their characteristics, needs, and preferences and which sub-groups may be disproportionately impacted by the identified problem or excluded from existing interventions. This section should identify which groups are most in need of an intervention, the largest prevalence of individuals impacted by the selected form of trafficking, and those groups you hypothesize are most amenable to responding to an intervention. Descriptions may be based on prior experience, existing research and theory, stakeholder consultations, and/or institutional and experiential knowledge. Applicants should also describe the geographic location they anticipate the intervention will be implemented in.

An evidenced-based understanding is critical to determining the ways in which interventions can reduce risks and capitalize on protective factors. Therefore, applicants should describe the various factors that influence the presence, prevalence, and severity of the proposed human trafficking problem they seek to address among the target population. In doing so, they should consider factors at multiple levels (e.g., the individual, family, community, and societal). They should identify not only risk factors, such as poverty and limited employment opportunities, but also psychological aspects as well as societal or cultural norms, government behavior and capacity, etc. Please also explain protective factors at these various levels as well, that are reducing vulnerability to trafficking.

4. Preliminary Review of Intervention Evidence

Understanding and building upon interventions that have worked in the past, for whom, and in what circumstances offers a better chance of intervention success.

Thus, at the proposal writing stage, applicants are expected to use the knowledge from the contributing factors and contextual analysis to identify some potential target interventions, to be further explored and refined during the IDR process.

At the proposal writing stage, applicants must demonstrate an understanding of the evidence-base for potential intervention components. They are expected to have reviewed the evidence to identify evaluations of the same or similar intervention types, particularly those conducted in similar contexts (e.g., low- and middle- income countries). They should search for evidence both within and outside of the human trafficking field (e.g., public health, migration, gender-based violence, etc.).

Applicants should also look for and consider evidence that the proposed or similar interventions may not have worked in the way intended and examine any unintended consequences. If multiple interventions have been developed and failed for their identified problem and/or target population, then understanding why failure has occurred is important. Lastly, if a cost-effective intervention exists for another context, then applicants may want to consider adapting this intervention rather than starting from scratch.

Applicants are not expected to conduct a systematic evidence review at this point in the process. Rather, they may choose to conduct a literature review or even a rapid review of the evidence. Regardless of the type of review conducted, applicants are required to document the results of in the Intervention Evidence Review Table (Annex A). If the review identifies many studies, applicants should include only the ten (10) studies that they consider to be the highest quality in the table.

This section of the Project Narrative should begin with a brief overview of the evidence review process undertaken and how that has guided the development of this proposal. Applicants should then synthesize the findings from the relevant interventions identified, including those listed in Annex A. In doing so, they should reflect on their utility, applicability, affordability, and feasibility. They should also discuss the various methods and techniques used to evaluate them and their implications for the quality of the evidence produced.

5. Project Description

5.1. Project Goal

The applicant should develop a project goal contextualized to their proposed project. A project goal is the highest-level outcome to be advanced and/or achieved through the project. The goal speaks to broader changes the project will bring or contribute to bringing about. The goal statement should be clear and specific: it should state what will be achieved over the entire project period and be directly related to the problem statement. It should define the target population and any ambiguous terms. Words like “increase,” “strengthen,” “improve,” and “enhance” should be avoided or clearly defined. The stated goal should also be achievable in the given context, with the allotted resources, and within the period of performance of the award.

To develop the project goal, applicants should consider their problem statement and ask, “What is the overall intent or purpose of the project and how will it address the identified problem as it exists in its operating environment and among the target population?” The goal becomes the response to that question and is the desired end state. In crafting the goal statement, consider the purpose of intervention development research, specifically this Programming Priority One funding call to: build the evidence base on ‘what works’ (and ‘what doesn’t’) to address human trafficking and identify model interventions that 1) can be reasonably expected to produce impact and 2) can be adapted for other settings and scaled-up. The goal refers to the desired outcome of the proposed project (i.e., production of an intervention model), and should be tailored to the specific population and setting. The following is an example of what a goal statement should look like: Develop an evidence-based intervention model to improve the health and well-being of sex trafficking survivors in northern Vietnam.

5.2. Project Objectives and Activities

Project objectives are the most ambitious outcomes that the project will materially affect and be held accountable to demonstrate results within the period of performance. The objectives are the steps that will guide the project in the attainment of the goal.

The TIP Office has identified four objectives (see Table 1 below) that applicants must include in their proposals. Drawing upon existing frameworks for intervention development research, each objective is associated with a specific stage of the intervention development process.2 3 4

Applicants should organize this section of the Project Narrative by objective/stage, as described in Table 1 below. This table also identifies the required deliverables for each objective/stage. Applicants are encouraged to identify additional deliverables relevant to each objective/stage. These should be clearly noted in the Timeline (Annex B) along with key milestones (See guidelines for Annex B for further instructions).

Please note that Table 1 provides an overview of the TIP Office’s required objectives and deliverables that must be incorporated into applicants’ Project Narratives. They are not required to develop a table for this section nor does the required Project Narrative template allow for the inclusion of a table.

Table 1: Objective/Stages in the Intervention Development Process and Associated Deliverables

Stage 1 Objective: Research and plan for the Intervention Development Process Deliverables:

• Finalized team structure and decision-making process

• Assessment of local resources and intervention partners (i.e., asset map)

• Refined work plan for Stage 1, including the co-creation plan and MEL plan5

• Refined problem statement

• Refined causal/contextual analysis, including risk and protective factors and those that are modifiable

2 Wight, D., Wimbush, E., Jepson, R., & Doi, L. (2016). Six steps in quality intervention development (6SQuID).

J Epidemiol Community Health, 70(5), 520-525.

3 O'Cathain, A., Croot, L., Duncan, E., Rousseau, N., Sworn, K., Turner, K. M., ... & Hoddinott, P. (2019).

Guidance on how to develop complex interventions to improve health and healthcare. BMJ open, 9(8), e029954.

4 Skivington, K., Matthews, L., Simpson, S. A., Craig, P., Baird, J., Blazeby, J. M., ... & Moore, L. (2021). A new framework for developing and evaluating complex interventions: update of Medical Research Council guidance. bmj, 374.

5 To be submitted within 90 days of the award

• Refined systems map, including the identification of other agents of change and potential causal pathways

• Potential delivery mechanisms and avenues for engagement with the target population

• Refined framework/work plan for implementation of subsequent stages of the IDR process

Stage 2 Objective: Design preliminary intervention model

Deliverables:

• Preliminary theory of change (ToC) co-produced with local partners with input from members of the target population, including survivors

• Preliminary intervention model (e.g., content, core components, and features of intervention) that aligns with the TIP Office’s Program Design Standards

• Identification of feedback loops to iterate and innovate their intervention delivery and ensure mechanisms for feedback, engagement, and use by the target population

• Costing of preliminary intervention model

• Updated Results Monitoring Plan (RMP) to include intervention goals, objectives, indicators, outputs, outcomes, etc. for Stage 3 (i.e., piloting of the intervention)

Stage 3 Objective: Pilot, refine, and finalize intervention model Deliverables:

• Description of pilot and adaptation processes

• Description of adaptations, monitoring processes, and adaptation feedback loops

• Design for monitoring intervention (including contextual influences, delivery, participation, etc.) and feedback processes

• Report synthesizing intervention model evidence (positive and negative) and a determination of whether there is sufficient evidence to scale-up and/or adapt it

• Economic evaluation that assesses the cost and impact of the intervention to inform decisions around future adaptation and scale-up

Stage 4 Objective: Synthesize and disseminate evidence regarding the intervention model

Deliverables:

If sufficient evidence for scale-up and/or adaptation of the intervention model:

• Finalized program theory/ToC

• Intervention model manual, including identification of core components and guidance for adaptations to other settings and/or scale-up

• Journal publications and white papers

• Plan for disseminating findings and providing feedback to the target population (e.g., What went wrong? What went right? Were there any unintended consequences?)

If insufficient evidence for scale-up and/or adaptation of the intervention model:

• Final program theory/ToC

• Report providing an analysis of what went wrong and identification of other possible intervention points

• Journal publications and white papers

• Plan for disseminating findings and providing feedback to the target population (e.g., What went wrong?; What went right? Were there any unintended consequences?)

In this section, applicants must clearly describe the main activities that will need to occur to achieve each objective. This includes who is involved and plans for engaging them as well as strategies to collect feedback and how it will be used to refine research and/or intervention design.

In this section, they must also describe their proposed research methods for each stage/objective and explain why the proposed method is most appropriate.

Applicants must complete the table found in Annex C: Summary of Proposed Research Methods, also pasted below, to provide a snapshot of the research methods to be employed at each stage of the IDR process. In the table, they must explain the purpose of the research (e.g., to better understand victims’ experiences and perspectives of available services), the target population (e.g., who will be interviewed, surveyed, etc.), estimated sample size (e.g., number of focus groups, household surveys, etc.) and recruitment strategy for each proposed method.

Table 2: Summary of Proposed Research Methods

Stage Research Methods

Purpose Target Population(s)

Est. Sample Size

Recruitment Strategy

1.1

1.2 1.3

2.1

2.2

2.3

3.1 3.2

3.3

4.1

4.2 4.3

Applicants should propose a range of scientifically rigorous research methodologies to inform the design of the intervention model and establish evidence on its potential for adaptations for other settings and/or scale-up. They must ensure that their proposed research methods (study design, sampling plan, participants, setting, etc.) are clear and capture the context in which the intervention operates (e.g., social, environmental, and economic) and diverse perspectives of the target population, including human trafficking survivors, and other key stakeholders. They are highly encouraged to incorporate participatory research to challenge and disrupt power relations found in more traditional research that draws a distinction between researchers (i.e., expertise) and members of the target population (i.e., experience). Participatory research emphasizes direct engagement of local priorities and perspectives. It is an umbrella term for research designs, methods, and frameworks that use systematic inquiry in direct collaboration with the target population for the purpose of action or change (Cornwell & Jewkes, 1995; Cargo & Mercer, 2008).6 7

6 Cornwall, A., & Jewkes, R. (1995). What is participatory research? Social Science & Medicine, 41(12), 1667–

1676.

7 Cargo, M., & Mercer, S. L. (2008). The value and challenges of participatory research: Strengthening its practice.

Annual Review of Public Health, 29(1), 325–350.

It prioritizes co-creation research by engaging those who are who are not necessarily trained in research but belong to or represent the interests of the people are the focus of the research (e.g., community members, including human trafficking survivors). They are also encouraged to utilize behavioral science theories and concepts to improve the design of their interventions in ways that reflect a deeper understanding of human behavior (e.g., how individuals make and act on decisions that influence their risk of human trafficking).

PEMS understands that, while useful in some instances, prevalence measurement is not the only indicator of intervention effectiveness and encourages applicants to use indicators that measure harms associated with the crime. The use of such proxy or outcome indicators should clearly represent a logical connection to prevalence. As a reminder, applicants should continue to use and reference existing and newly published research for different purposes throughout the intervention development process. They should also describe how evidence will be integrated with knowledge from various sources, such as theory, input of beneficiaries and stakeholders, etc.

Lastly, as noted earlier in this document, it is critical that this section and all other sections of the Project Narrative reflect the Ten Guiding Principles of IDR, as described on page 63.

5.3. Illustrative Indicators, by Stage/Objective

For each objective/stage, applicants must include a sample of indicators (no more than five per objective/stage) along with quantitative targets within the Project Narrative (e.g., X number of focus group discussions with survivors, number of mapping exercises completed, etc.). The indicators and associated targets should be taken directly from Annex D: Results Monitoring Plan (RMP) which requires applicants to specify indicators for each objective/stage along with the relevant activities.

As IDR focuses largely on the development of an effective intervention, particularly in the first two stages, the indicators should measure project outputs and short- and medium- term outcomes using a complexity-aware monitoring approach. Although applicants are expected to include indicators and targets for each objective at the application stage, they will be asked to update the RMP at the end of Stage 2 with input from the Developmental Evaluation staff (See Table

1 above). For specific guidance regarding indicators, please refer to the guidelines for Annex D.

6. Mapping the System

In this section, applicants should describe their process (i.e., the how) for building the map and who was involved, starting with how they determined what level or scale to focus the map. It is important not to select too large of a system, which can be difficult to map or too broad for an intervention. There is also a risk of identifying too narrow of a system, which leads to context being ignored. They should also describe their process for reviewing and refining their systems map as well as how they will incorporate feedback from relevant stakeholders in Stage 1 of the IDR process and beyond.

This section should also provide a high-level summary of the information provided in Annex E, including any key take-aways from visual diagrams or tools if they choose to use them (e.g., fishbone diagram, process flow diagram, causal loop diagram, etc.).

At the proposal writing phase, applicants are only expected to produce a very preliminary systems map. In Annex E, they should also begin to identify the evidence that underpins the various elements of their system, citing specific studies and sources or information. At this proposal writing stage, applicants will likely be reliant on existing evidence. Therefore, they should also highlight particular areas of the system for which there is no evidence and specify proposed methods to generate it (e.g., participatory action research, focus group discussions, key informant interviews, household surveys, etc.). Applications should briefly summarize the state of the evidence in this section of the Project Narrative.

7. Implications and Contributions to Knowledge

In this section, applicants should describe how their intervention model will: 1) enhance, inform, or expand current knowledge on human trafficking and 2) impact the broader anti-trafficking field. Applicants should describe the steps that they will take throughout the course of the project to ensure findings from this project influence future policy, programming, or widespread adoption of the proposed innovation (in the specific context or elsewhere). In doing so, applicants must identify the various stakeholder groups and explain how they intend to reach them and why this is a good method. This section should also describe how the applicant will decide when and how to include community members, including survivors, in any dissemination activities. In addition, this section should reflect the fact that knowledge varies across stakeholder groups and their capacity to provide information are unequal. For these reasons, adaptation of messages must be considered when presenting results with the community.

8. Project Partnerships

Applicants should describe existing or proposed partnerships with anti-trafficking organizations and other actors, such as academics, 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

Applicants may partner with other organizations to implement and carry out award activities or contribute to the co-creation and feedback processes of the project. Applications must clearly identify the lead applicant, and the applicant may designate one or more partner organizations as sub-recipients. This section must lay out a partnership approach that clearly delineates the respective roles and responsibilities of the applicant and of each partner. Given the significance of local perspective and input in the IDR process, in instances where the lead applicant is not based in the intervention area, applications must include at least one identified local partner engaged in the project from its inception. Applicants are not required to list an identified partner to support the implementation of interventions that will be further refined or designed in Stage 2.

Applicants should submit a copy of signed letters of agreement or intent to cooperate under Annex M. All letters 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.

9. Co-Creation

In this section, applicants should describe how they will design the intervention using a co-production process, specifically who they plan on working with to generate ideas about potential interventions, why they were selected, and how they will make decisions together throughout the process about its content, format, style, and delivery.

Applicants must also identify a preliminary list of the specific stakeholder groups to be involved, ensuring that they reflect diverse backgrounds. They should identify how they will go about building these relationships over time to facilitate understanding of the problem, generate new ideas for the intervention, and refine it over time. Particular attention should be played to the role of members of the target population, including human trafficking survivors, in the co-creation process.

In this section, applicants must specify their plan for integrating the various stakeholders from start to finish of the IDR process, including the methods for collecting and using their feedback to refine the intervention (e.g., feedback loops). We recognize that there are many ways of working with stakeholders and different ways may be relevant for specific stakeholders at the various stages of the IDR process, so justify the selected approach. They should also identify any potential contextual challenges (e.g., trust, power differentials, etc.) and plans for addressing them.

10. Organizational Capacity

This section should provide evidence of applicants’ and, if relevant, their sub-grantees’ and/or sub-contractors’ capacities and qualifications that enable them to address the identified problem and ultimately achieve the project goal. In this section, applicants must:

• Describe their relevant programming experience in human trafficking or other related field(s)

• Demonstrate their expertise and experience carrying out the proposed research methodologies

• Outline any prior experience working in the target country and/or sub-region

• Demonstrate their ability and track record of working with stakeholders in governments, academia, civil society, human trafficking survivors, the private sector, other funders, and international organizations

• Provide demonstrable experience in administering projects of similar size and scope, and experience administering projects within similar or related subject matter areas

• Highlight the experience and expertise of any individual members of the applicant’s team who will not be designated key personnel and how they will support the project, including those with specific technical experience needed to implement some component, such as the cost-benefit analysis

• Discuss their experience with adaptive management, strategic evaluation, and innovation

• If the proposed project is an extension or expansion of an existing or past project (funded or not funded through the TIP Office), provide a brief explanation of why an IDR approach is needed and appropriate, plans for expansion/extension, and results to date

Please provide the above information as relevant, organized by:

10.1. Prime Applicant

10.2. Sub-Grantees or Sub-Contractors

Lastly, if additional partners are not yet identified or finalized, please discuss how you will secure their participation and risks to the overall project associated with identifying partners during the award period or if these partnerships are not secured.

11. Coordination with Relevant Programs and Stakeholders

The applicant should identify how they will cooperate and coordinate with anti-trafficking and other relevant stakeholders, including, but not limited to, government entities, international organizations, non-governmental organizations, donors, and civil society. If relevant, please describe how the project links to existing local/national systems. The application should also identify how the applicant will coordinate and collaborate with other related projects or activities relevant to the context, including projects the applicant and partners are engaged in as well as projects involving other groups. At a minimum, information shall include a brief description of related programming, with information on any institutional funders, and a description of how the proposed project would complement and avoid duplicating current or planned activities.

Relevant projects implemented by the prime applicant should also be included in Annex N: Donor History Form. Coordination should go further than deconflicting activities and may include how other current or planned activities enhance and leverage each other, including through learning and information exchange. In cases where an applicant chooses not to coordinate with other stakeholders, the application must clearly explain why.

12. Ethical Considerations

Applicants must demonstrate that proper consideration has been given to ethics.

Ethical considerations should be identified, examined, and addressed from the project’s inception. Ethics is not an annex to be added onto the intervention once it has been designed and ready to be implemented. Applicants must consider the ethical implications for all individuals involved. They should discuss the measures that will be taken to ensure informed consent, confidentiality, and respect for the rights and dignity of all individuals involved. At every stage of the IDR process, decisions are made that have ethical dimensions. Applicants should identify any issues that are likely to raise ethical concerns throughout the project and what mechanisms will be put in place for identifying and addressing emergent ethical concerns, including, but not limited to, conflicts of interest, equity and inclusion, power dynamics, and cultural sensitivity. They should also discuss how research findings will be disseminated, particularly among the target populations.

Applicants should also discuss the risk and benefit to researchers, participants and others, including potentially stigmatized or marginalized groups (e.g., LBQTIA+, undocumented migrants, etc.) as a result of the research. Although applicants are not required to secure ethical approval prior to submission of their proposals, they should provide information on how and from whom ethical approval will be sought and when it will be obtained. All must comply with the ethical rules of the country in which the research is conducted.

A thorough review of the literature should be conducted to identify challenges and limitations in prior research in similar contexts. Applicants must pay careful attention to choosing the best methods for the research in question, both scientifically and ethically. This should lead to higher quality research and reduce the incident of mistakes. Although research ethics is not primarily about methodology, an invalid design results in unreliable or invalid results. Such projects are unethical because they waste limited resources and disrespect the beneficiaries and the commitment made by others.

13. 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 should include the identification and subsequent treatment of gender differences and inequalities around human trafficking issues during project design and implementation and throughout the IDR process. 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 and ensure inclusion and access by all intended groups to the IDR research and the intervention.

Applicants must conduct an analysis to identify, understand, and describe gender or social differences and the impact of gender or other societal dynamics or 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 dynamics and disparities, examines why they exist, determines whether they are a concern, and determines to what extent they can be addressed in the project design. A gender and social analysis should focus on the following (as relevant and applicable to the project):

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

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

• 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):

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

• 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.

• Consult with partners and other stakeholders on the ground to inquire about any gender or marginalized groups issues they may have integrated into prior programming.

• Incorporate experiential knowledge.

14. Survivor Inclusion and Victim Centered Approach

Applicants must describe how survivors or persons with lived experience of human trafficking are meaningfully included in all stages of the intervention development research process. Applicants are highly encouraged to compensate survivors or persons with lived experience for any and all contributions made to the project.