Final 2024 Guidelines for Submitting TIP Office Full Project Proposals.pdf

Office to Monitor and Combat Trafficking in Persons

2024 Guidelines for Submitting TIP Office Europe and Eurasia Project Proposals

March 2024

Contents Purpose of Guidelines

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

SF-424 (Application for Federal Assistance)

SF-424A

SF-424B

Project Narrative

Background (required)

Problem Statement (required)

Project Description (required)

Vision Statement (required)

Project Goal (required)

Project Objectives (required)

Project Activities (required)

Considerations

Sustainability (required)

Local Partnerships (required)

Coordination with Relevant Anti-Trafficking Actors (required)

Monitoring, Evaluation, Research, and Learning (MERL)

Proposal Narrative Annexes

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

Annex B: Timeline (required)

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

Annex D: Budget Summary by Project Year (required)

Annex E: Line-Item Budget (required)

Annex F: Budget Narrative (required)

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

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

Annex I: Certification of Training Requirement for Victim Assistance Personnel .. 44

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

Annex K: 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 MyGrants (https://mygrants.servicenowservices.com/mygrants):

• SF-424 (Application for Federal Assistance)

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

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

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

SF-424 (Application for Federal Assistance)

1. Type of Submission: Application

2. Type of Application: New

3. Date Received: This will be assigned automatically.

4. Applicant Identifier: Leave blank.

5a. Federal Entity Identifier: Leave blank.

5b. Federal Award Identifier: Leave blank.

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

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

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

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

8c. Enter organizational Unique Entity Identifier number (UEI). Organizations can request a UEI number at: http://fedgov.dnb.com/webform. Enter “0000000000” for organizations that do not yet have a UEI number.

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

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

9. Select an applicant type (type of organization)

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

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

http://fedgov.dnb.com/webform

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

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

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

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

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

should enter congressional district. Foreign applicants should enter “90.”

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

17. Enter start date June 1, 2024, 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 the base phase of the project. Click Save.

3. Enter the amount of federal funds to be expended in the next phase (NCC

1) 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 MyGrants. 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 MyGrants.

Project narratives must not exceed 10 pages and must use black-colored, Calibri size 14. Spaces, footnotes, and charts are included within the page limit.

Applicants MUST type within the template’s grey box.

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

• Applicant Name

• Applicant Type

• Implementing Partners

• Project Title

• Priority Selected

• Countries Benefitting

• Contact Name

• Contact Email

• Project Duration in Months

• 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 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:

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.

Problem Statement (required)

The problem statement should describe the specific problem(s) that the proposed project will address to the extent possible, 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.

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 affecting 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, as relevant and appropriate to the context, in the design and implementation of project activities:

Diversity, Equity, Inclusion, and Accessibility In line with several Executive Orders of the Biden-Harris Administration, it is a U.S.

government-wide priority to expand and apply gender and inclusion analysis to improve the design and implementation of U.S. government-funded programs and consider gender norms, equity and equality for underserved communities and marginalized populations, power relations, and conflict dynamics in target countries. The TIP Office encourages organizations to tailor their projects to ensure perspectives based on religion, sex, disability, race, ethnicity, sexual orientation, gender identity, gender expression, sex characteristics, national origin, social economic status, immigration status, age, genetic information, marital status, parental status, pregnancy, and other relevant characteristics are meaningfully considered and included in the project budget, project design, and project implementation. As relevant, feasible, and appropriate to the project’s context, strong proposals will consider the unique needs of all groups represented in the target population.

As a starting point, applicants are encouraged to use the following questions to guide the integration of DEIA in their project design:

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

• Do barriers to participation in aspects of economic, social, and civic life exist for certain individuals in the target population? If so, how will these barriers impact their ability to meaningfully engage in the project? How will these barriers impact their ability to benefit from the project? How might some individuals in the target population affect and be affected by the project differently?

• Do gender or societal stereotypes function as either a facilitator or a barrier to the project outcomes?

• How are the unique needs of the target population represented in the project design?

To answer these questions, the applicant may do one or more of the following (as applicable):

• Search for recently completed DEIA related assessments in the country, project location, or target population, including but not limited to gender and social inclusion analysis.

• Consult with in-country experts or relevant civil society organizations, donor, and academic institutions that may be able to outline key DEIA issues.

• Consult with partners and related anti-trafficking actors on the ground to inquire about DEIA related issues they have addressed or integrated into previous 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 Approaches 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 Approaches

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 Approaches 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.

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.

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.

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.

Monitoring, Evaluation, Research, and Learning (MERL)

The project narrative should summarize the project’s monitoring, evaluation, research, and learning activities and deliverables. The narrative should also describe MERL budgets, which should be at least seven percent of the total budget and include MERL staff dedicated to the project. MERL staff dedicated to the project can be personnel or hired consultants. A justification must be provided if MERL expenses are less than seven percent of the project’s total budget. MERL costs should be included in budget annexes (annex D, E, and F), and MERL activities should be included in the project timeline (annex B). Please see the budget section for instructions on filling out MERL budgets.

The MERL summary will be evaluated based on how well it addresses the MERL requirements below. Applicants must confirm in their proposal their commitment to strong project MERL. They must also confirm their agreement to collaborate with the TIP Office in building upon required MERL deliverables, including the project’s MERL plan and Results Monitoring Plan (RMP). MERL requirements include:

o Conducting a rigorous process for establishing baseline values for Common

Performance Indicators (CPIs) and unique project indicators, as applicable.

o Implementation of a monitoring system to collect data for all indicators.

o Collaboration with the TIP Office on the project evaluation design and other

MERL related activities.

o Ensuring adequate MERL staffing capacity to support MERL activities throughout the project’s period of performance.

o Conduct an externally commissioned final project evaluation. Under certain circumstances, the TIP Office may allow for an internal evaluation. A justification for an internal evaluation should be provided.

MERL summaries are illustrative at the time of submission. Successful applicants will work with the Program Officers and MERL Specialists at the TIP Office within the first 90 days of the award to update the RMP and build upon the MERL Plan.

Successful applicants will be expected to submit the first iteration of these documents within 120 days of award as applicable.

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.

MERL related activities can include but are not limited to: baseline and follow up surveys, institutional surveys, Knowledge, Attitude, and Perception (KAP) surveys, and any other qualitative and/or quantitative studies that directly relate to setting project baselines and targets, tracking project results, or informing project strategy. Assessments and studies for the purpose of contributing to the refinement of a project’s post-award activities and strategies are also considered MERL activities. This can include but is not limited to: asset mapping, needs assessments, situational analysis, market assessments, participatory rapid appraisals, formative research, etc. Specific learning activities can include but is not limited to pause and reflect sessions, after action reviews, stocktaking, learning events, communities of practice, learning networks, etc. Each MERL activity should be included in the project budget and timeline.

Strong proposals will reflect complementary Complexity Aware Monitoring, Evaluation, and Learning (CAMEL) approaches to traditional M&E approaches.

CAMEL is appropriate for projects where cause and effect relationships are poorly understood, thereby making it difficult to identify solutions and draft detailed outcomes in advance. Expected results may also require refinement and revision as projects unfold. Projects (or parts of projects) that rely heavily on adaptive management to steer effectively in dynamic contexts, and projects that seek to influence social change or innovate to discover solutions are likely candidates for complexity-aware monitoring. Below are examples of CAMEL approaches best suited to specific monitoring questions.

Question Illustrative Example

What outcomes might be missing from the initial RMP? While some approaches begin with a theory of change against which information is then gathered, other approaches begin gathering information and then draw the theory of change. The ability of these approaches to capture unintended outcomes is among the most appreciated aspects of CAMEL. In complex projects and interventions, staff often realize that accomplishments have occurred but that they do not fit neatly with the confines of the traditional performance M&E system. In uncertain environments, the outcomes might be difficult to accurately predict.

Using Most Significant Change (MSC) to evaluate a capacity building activity may show that some participants were able to make improvements in their work beyond what was anticipated, while others used their new skills in ways to counter the intent of the intervention. Neither outcome would have been included in the original theory of change.

What outcomes might be yet to emerge? Typical project timeframes are often inadequate to capture the full realization of outcomes using traditional measures. For instance, achieving a policy change or moving an innovation to scale can take years of advocacy and related work. In situations where the time between outputs and outcomes is long, complexity-aware monitoring can help identify interim milestones that mark

Outcome mapping can be used to monitor the progress of scaling a larger intervention. If the intended outcome is to have the intervention implemented at scale in a country, the progress markers monitored in outcome mapping might include the percentage of districts implementing the intervention and the existence of national-level policy documents to support implementation.

progress towards outcomes that are yet to fully emerge.

How do stakeholders perceive the project or intervention? Many complexity-aware monitoring approaches are participatory, meaning that they engage project staff and stakeholders in their design and implementation. There are many benefits to participatory monitoring, including the collection of stakeholder feedback. Feedback, particularly from a project’s intended clients, can be used to support the causal pathway from the project to an outcome and/or to provide an additional source of information to enhance the credibility of a finding (i.e., triangulation).

Complexity-aware monitoring approaches also offer opportunities to gather and consider the perspectives of marginalized and underrepresented groups.

A quality improvement intervention is conducted in a region’s victim-service facilities. Ripple effects mapping can be implemented to better understand how stakeholders (e.g., regional leadership, front line workers, other staff, victims, and community members) feel about the intervention and what they believe its outcomes to

be. The resulting map and qualitative data can be used to validate findings from a quantitative review of routine service statistics.

What factors contributed to the observed outcomes? While experimental-design evaluations seek to attribute change to an intervention, complexity-aware monitoring approaches can build the argument for a project’s contribution to a change.

While there may be less rigor, the upside of a contributions perspective is that it also acknowledges the important contributions of external stakeholders and context. In development, it is rare that one project works alone to achieve change, Outcome harvesting can be used to identify outcomes indicating successful mitigation, such as changes in policies or improvement in victim-service facility statistics, and then to trace those outcomes back to the specific interventions that likely contributed towards those outcomes.

especially as ministries of health, community groups, and other stakeholders are commonly cooperating on the same interventions and/or engaged in similar interventions.

The TIP Office encourages applicants to reference the United States Agency for International Development’s (USAID) CAMEL Resources:

o Guide to Complexity-Aware Monitoring:

https://usaidmomentum.org/resource/a-guide-to-complexity-aware-monitoring-approaches-for-momentum-projects/ o Discussion Note: Complexity Aware Monitoring:

https://usaidlearninglab.org/sites/default/files/resource/files/dn_- _complexity-aware_monitoring_final2021_1.pdf

Final Project Evaluation

The TIP Office strongly recommends that all awards undergo an externally commissioned evaluation. Under certain circumstances, the TIP Office will allow internal evaluations. A justification for an internal evaluation should be provided in the project narrative.

The evaluation should be conceptualized during the project design stage, and data collection activities for the evaluation should be integrated into the project timelines. This will ensure data availability for the final evaluation.

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

When designing an evaluation, consider the following:

o What types of evaluation activities, and at what frequency, need to occur to respond to the evaluation questions (this may include a range of https://usaidmomentum.org/resource/a-guide-to-complexity-aware-monitoring-approaches-for-momentum-projects/ https://usaidmomentum.org/resource/a-guide-to-complexity-aware-monitoring-approaches-for-momentum-projects/ https://usaidlearninglab.org/sites/default/files/resource/files/dn_-_complexity-aware_monitoring_final2021_1.pdf https://usaidlearninglab.org/sites/default/files/resource/files/dn_-_complexity-aware_monitoring_final2021_1.pdf 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.)?

The following questions can serve as conversation starers to help teams identify their own project evaluation questions and identify the most appropriate evaluation method:

• Did the project do the right things (relevance)?

o To what extent were the goal, objectives, and outcomes aligned with stakeholder needs, the priorities underpinning the project?

• How well did the intervention fit (coherence)?

• Will the benefits last (sustainability)?

• Did the intervention achieve its objectives (effectiveness)?

• How well were resources used (efficiency)?

• What difference does the intervention make (impact)?

• 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?

• What are the lessons learned about the project, the target population, and the context in which the project was implemented?

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.

Annex A: 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 MyGrants RMP module and will be asked to report indicator results on a quarterly basis within the MyGrants 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.

The purpose of submitting illustrative indicators in the RMP at this stage is to provide the TIP Office an understanding of how the applicant intends to monitor progress toward the project’s stated objectives, as well as the details of each indicator. Successful applicants will have an opportunity to revise indicators once the award has been obligated.

What is an indicator? An indicator is a particular characteristic or dimension used to monitor project progress, measure intended and unintended changes, 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 qualitatively, and should be objective and measurable.

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 monitor progress towards objectives in the third tab. To the extent possible, complete the RMP with a few high-quality examples of indicators you intend to track over the course of the project, including 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 program design standards, objectives should also be written as changes and not as activities.

Sub-objectives (Row 7 and throughout as necessary): 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. Sub-objectives are optional.

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, clarify when activities are undertaken by both the TIP Office and cost share funds. Please note, not ALL project activities require an indicator.

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.

Milestone (Column C): A milestone is an important event or marker in a project that signifies that the project has reached a certain stage that indicates it is progressing as planned. Milestones must be objectively verifiable and about action, i.e., completing a task, completing a deliverable. Milestones don’t provide continuous feedback; they’re an end state of an important activity or sets of activities that are instrumental for the continued advancement of the project’s objectives. Milestone examples include: completion of standard operating procedures (SOPs), completion of training curriculum, integration of lessons learned, the publication of a manual, etc.

Indicator Definition (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’. Clearly define the target population. Describe how the indicator will be calculated. For example, if your project measures the percent of referrals that result in victims accessing services, the data points required to calculate this indicator (# of referrals/# of victims receiving services) should be described.

Milestone Definition (Column D): Define when the milestone is intended to be completed, and how the milestone demonstrates progress towards the objective, and how it demonstrates that the activities and project implementation are working.

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

Indicator Purpose (Column D): Briefly describe how the data will be used and why. For example, if measuring the percent of referrals that result in victims accessing services, the purpose of this indicator could be that it is one of several indicators to monitor the quality of referral services provided by an organization.

The indicator results may describe the anticipated effect on longer-term outcomes resulting from a positive or negative shift in the indicator, or why the indicator is a good representation of progress towards desired outcomes.

Indicator Type (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: are the financial, human, and material resources used for the development of the activities. These indicators are relevant when evaluating cost-effectiveness or processes against the project outcomes.

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

▪ Outcome Indicators: are the intended changes, benefits, or results that a project is expected to achieve, and they are critical for measuring the effectiveness and impact of the project. They represent the specific, realistic results of a project and are often measured as a degree of change.

Outcomes are the changes in the behavior of individuals, organizations, and systems that the project hopes to achieve, or at least influence as a result of the project or cluster of activities the project is delivering. For example, a project’s objective could be to increase the number of victims identified at a port of entry. One outcome of the project would be that after receiving training on victim identification, there is a 40% increase in the number of victims identified at that port.

Outcome Category (Column E): For outcome indicators only, identify whether the outcome indicator is measuring changes, progress towards the objectives, or results in the short, medium, or long-term. Short-term outcomes are the immediate and direct changes that result from project activities, while medium-term outcomes are the intermediate changes that occur as a result of sustained project interventions. Long-term outcomes are the ultimate goals or impacts that the project is intended to achieve over a longer period of time. A short-term outcome could be increased knowledge and awareness of indicators of trafficking and recruitment strategies within a community. A medium-term outcome could be an increase the number of TIP hotline calls within a community. A long-term outcome could be the establishment of resilient social and community networks to prevent TIP.

CPI (Column E): See below under “Common Performance Indicators (CPI)”section

Data Source (Column F):…