Guidelines for Submitting TIP Office Full Project Proposals - CPC.pdf

Office to Monitor and Combat

Trafficking in Persons

Guidelines for Submitting Full Project Proposals – Child

Protection Compact (CPC) Partnership

June 1, 2021

Contents Purpose of Guidelines

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

SF-424 (Application for Federal Assistance)

SF-424A

SF-424B

Document Name: Full Proposal Narrative

1. Background (required)

2. Pre-Gap Analysis (required)

3. Problem Statement (required)

4. Project Description and Theory of Change (required)

Theory of Change (ToC) (required)

Project Goal (required)

Project Objectives (required)

Project Activities (required)

Gender Integration (optional)

Sustainability (required)

Local Partnerships (required)

Coordination with Other Anti-Trafficking Stakeholders (required)

Security, Risk Mitigation, and Contingency Planning (required)

Monitoring and Evaluation (required)

Considerations

Proposal Narrative Annexes

Annex A: Theory of Change (required)

Annex B: Results Performance Monitoring Plan (required)

Annex C: Performance Monitoring Work Plan (required)

Annex D: Monitoring and Evaluation Plan Narrative (required)

Annex E: Budget Summary by Project Year

Annex F: Line-Item Budget

Annex G: Budget Narrative

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

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

Annex J: Certification of Training Requirement for Victim Assistance Personnel

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

Annex L: Prevalence Research Methodology

Program Design Standards:

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

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

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

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

Section V: Are we planning for risk appropriately?

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

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

• SF-424 (Application for Federal Assistance)

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

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

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

SF-424 (Application for Federal Assistance)

1. Type of Submission: Application

2. Type of Application: New

3. Date Received: This will be assigned automatically.

4. Applicant Identifier: Leave blank.

5a. Federal Entity Identifier: Leave blank.

5b. Federal Award Identifier: Leave blank.

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

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

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

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

4444444.

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

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

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

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

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

9. Select an applicant type (type of organization)

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

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

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

http://fedgov.dnb.com/webform

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

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

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

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

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

17. Enter start date October 1, 2021 and projected end date.

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

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

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

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

SF-424A –Applicants often say this form is confusing. Please review the detailed instructions below BEFORE completing this form online.

Section A - Budget Summary – Complete Tab 1

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

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

c-d. Leave these fields blank.

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

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

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

Return

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

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

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

j. Enter any indirect charges.

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

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

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

1. Click into Anti-Trafficking Program.

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

3. Leave the State field blank.

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

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

Section D - Forecasted Cash Needs – Complete Tab 4

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

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

Forecasted cash needs by quarter are not required.

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

Section E - Budget Estimates of Federal Funds Needed for Balance of the Project – Complete Tab 5

1. Click Anti-Trafficking Program.

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

Click Save.

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

(if applicable).

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

(if applicable).

Section F - Other Budget Information – Complete Tab 6

1. Enter: Direct Charges – Leave Blank.

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

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

3. Enter any comments.

SF-424B

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

Document Name: Full Proposal Narrative Key Information

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

Applicants must begin typing in the grey box within the template. The template automatically complies with the character limit and black-colored, Times New Roman font. Spaces, footnotes, and charts are included within the character limit.

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

• Country or countries that the project will benefit

• Project Title

• Name of applicant organization

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

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

• Project duration in months

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

Project Narrative

The project narrative should include the following components:

1. Background (required)

This component generally describes the relevance and significance of trafficking in persons (TIP) issues in the country/ies. The background should describe ongoing anti-trafficking efforts conducted by governments and other anti-trafficking stakeholders and organizations and should describe relevant previous and/or ongoing anti-trafficking work implemented by these entities. The background serves as an opportunity for the applicant to demonstrate their breadth of knowledge (including but not limited to knowledge of the country’s institutions and organizational structures, laws/policies around anti-trafficking issues, etc.) in the selected sector based on prior experience and/or institutional and experiential knowledge. It is also an opportunity to demonstrate institutional record and capacity to implement the project. The applicant should also describe relevant ongoing and prior anti-trafficking projects and efforts implemented by the organization, and the results of these efforts. Organizations should demonstrate how their resources, capabilities, and qualifications enable them to achieve the proposed goal and objectives in their proposal. Applicants should describe their relevant programming experience and human trafficking expertise, if any.

Applicants should highlight the experience and expertise of any individual members of the organization’s leadership team who will not be designated key personnel and how they will support accomplishment of the program goal and objectives. If this project is an extension of a previous project (either funded or not funded through the Trafficking in Persons [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. If relevant, please describe how the project links to local/national systems. This component of the project narrative should clearly establish the applicant’s ability to implement the anti-trafficking project in the specific country or sub-region.

2. Pre-Gap Analysis (required)

A pre-gap analysis serves as a preliminary examination of the current state of relevant human trafficking issues in the desired project location and facilitates discussions in the identification of critical gaps between the current state and desired state (or change) of human trafficking issues in the project location. In essence, the pre-gap analysis helps unpack the core issues contributing to the current state of human trafficking issues, and the changes required to lead to the desired end state.

To the extent possible (and as applicable), a pre-gap analysis should:

1. establish the current state of local, regional, or national responses to human trafficking;

2. define the desired state of local, regional, or national responses to human trafficking;

3. identify gaps between the current state and the desired state;

4. analyze and explain what is driving these gaps; and

5. develop proposed solutions for closing these gaps.

Applicants are highly encouraged to use the table below as a tool to help develop their project’s pre-gap analysis. For the purpose of this application, a written summary of the pre-gap analysis should be included in the project narrative. If the table is included in the project narrative, the table contents will count towards the overall character limit.

Pre-Gap Analysis

Area Under

Consideration:

EXAMPLE: Community-level efforts to implement and adapt national laws, policies, protocols, and procedures (in alignment with international standards) as they relate to: [victim identification and protection / efforts to investigate and prosecute / support for prevention / building partnerships and creating cooperation.] Current State Desired

State

Gap What and/or who is driving the gap?

Will the project contribute to closing the gap? If so, how?

Will the project contribute to existing efforts? If so, please describe.

EXAMPLE:

Police are not investigating trafficking cases

EXAMPLE:

Police recognize and proactively investigate trafficking cases

EXAMPLE:

Police are not recognizing trafficking nor are they investigating cases

There are several factors driving the gap, including political will to focus on trafficking cases, internal incentives for doing so, knowledge and skills to recognize trafficking, and investigate it, and a trafficking law that lacks some critical factors making the trafficking crime explicit

Diplomatic work to increase the political will;

legislative work to improve the law; training to develop the knowledge and skills to recognize and crime

Yes, the project will build on an ongoing effort by the applicant to improve the legislative framework in the country and on diplomatic work done by several governments to increase the country’s political will

Front-line officers are not identifying potential victims of officers recognize and proactively identify potential victims of trafficking

EXAMPLE:

Front-line officers are not identifying potential victims of officers do not receive training or guidance on trafficking and victim identificatio

n. The local government receives minimal resources to train officers due to lack of understandin g/knowledge of trafficking issues in depth

EXAMPLE:

Train front-line officers on human trafficking;

develop/adap t standard operating procedures (SOPs) for victim identification

; socialize use of SOPs among front-line officers

Build relationships with government stakeholders to build political will and buy-in to addressing trafficking issues

EXAMPLE:

No, the project is a new initiative in the targeted region for the targeted beneficiaries.

As applicable, the summary pre-gap analysis should also describe how this project will fit and contribute to existing/ongoing anti-trafficking efforts where there is an unmet need. To the extent possible, it should detail what has been done to assess the current states/issues described (this could include prior discussions with people in country, a completed assessment, a prior desk or literature review, discussions with host government personnel, reference to other anti-trafficking assistance programs, experiential knowledge, etc.), including all possible facets of why the current states have not changed, and how this project will help contribute to changes to the current state.

If the project could benefit from additional analysis (not included in the application) before project activities commence, to the extent possible, please explain why current available information is insufficient in this case, and outline the primary questions the analysis would seek to answer, identify necessary data sources to answer those questions, and provide an estimated timeline for completion. The pre-gap analysis component of the proposal narrative provides applicants an opportunity to demonstrate their understanding of specific weaknesses in measures to address human trafficking within the context and location of the project, and their ability to design projects that respond to these causes and/or current unmet needs.

Successful applicants will be required to submit an updated gap analysis (or other related assessments that respond to the pre-gap analysis questions, including but not limited to: situational analysis, needs assessments, desk and literature reviews, discussions with host government personnel and other stakeholders, etc.), specific to the objectives (and location, target beneficiaries) of the project, within 90 days of award. See page 10 for more details.

3. Problem Statement (required)

Building off the pre-gap analysis, and to the extent possible, the problem statement should describe the specific problem(s) that this project will address, including but not limited to: the problem’s causes, magnitude, and impact; who or what is being impacted by the problem; relevant conditions (e.g., economic, political, social, environmental, etc.) affecting the problem; and why the problem(s) need to be resolved. In addition, the problem statement should define how the problem(s) the applicant seeks to resolve are relevant, and how they contribute to and align with TIP Office priorities and contribute to and/or align with national or international conventions, strategies, and/or policies. The problem statement provides applicants the opportunity to demonstrate their understanding of the specific problem(s) they will tackle, and their understanding of how resolving the identified problem(s) contribute and/or align to TIP Office priorities, national, and international conventions, strategies, and/or policies.

4. Project Description and Theory of Change (required)

Based on the pre-gap analysis and the specific problem(s) that will be addressed through the project, clearly state the proposed solutions and a clear rationale for the solutions. Provide a clear narrative of your project’s theory of change (ToC), goal, objective(s), and the activities you are proposing to undertake to accomplish your objective(s). This information should be directly related to your Results Performance Monitoring Plan (Annex B) and Performance Monitoring Work Plan

(Annex C).

Theory of Change (ToC) (required) A theory of change (ToC) is an “if, then” statement of the causal process through which change comes about. The ToC makes explicit how an applicant thinks outputs from the project’s activities will interact with the project’s contextual conditions to stimulate or enable a series of outcomes that ultimately will lead to the achievement of desired objectives. The ToC is founded on responding to assumptions based on what is known about the problem and the relevant conditions around it. In practice, the ToC development process enables a reflection exercise that unpacks underlying assumptions about the intended change, preconditions that need to exist for the change to occur, and what the process of change means for the targeted beneficiaries. For the purpose of the project narrative, please describe the ToC as an “if, then” statement along with an accompanying explanation describing why the goal of the project is feasible, why the objectives are necessary and sufficient to meet the goal, and to the extent possible, how relevant project assumptions will be tested or mitigated.

The TIP Office also requires a ToC visual (diagram/chart/table/other visual format in PDF or Word, no longer than one page) to be submitted as Annex A. See page 23 for details.

The example below illustrates an acceptable “if, then” ToC submission. Please note that this table was created for illustrative purposes only. The applicant need not submit this table within the project narrative.

ToC Example Project Goal: Country X becomes more capable of successfully implementing a sustainable and inclusive peace process Acceptable “If, then” TOC Statement:

If motivations and incentives for violence and participation in armed groups are changed among disengaged child soldiers and ex-combatants to mitigate recidivism, and community members are engaged in the reintegration process, then ex-combatants are more likely to become law-abiding members of society accepted by their communities.

It is assumed that outputs for project activity X will change motivations and incentives for violence and participation in armed groups, and it is assumed that community members will be interested in participating in the reintegration process. The project will test assumptions for activity X by holding meetings with project beneficiaries and community members to inquire on their perceptions and value of the project. This information will be used to design activities that will bring about change.

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

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

In the long-term, assumptions that turn out to be incorrect can lead to mistakes. It is therefore very important in developing a ToC that you identify, analyze, and challenge assumptions of the change process. This will lead to an increased understanding of any refinements that need to be made to project activities to mitigate or test the assumptions. The ToC development process is a useful exercise to help define the links between the problem being addressed and the activities designed to address it.

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

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

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

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

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

Project Activities (required) Provide descriptions of the activities the applicant will undertake to achieve each objective. Note the main activities that will need to occur to achieve each objective. Provide evidence why that kind of activity is likely to bring about the desired change, and how often the activity will be conducted. Identify who has power to support or block reaching relevant objectives and discuss how the activities will engage those people. If you have committed cost share to this award, activities you report should include what is undertaken by both J/TIP and cost share funds.

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

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

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

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

• How will anticipated outcomes affect genders differently?

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

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

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

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

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

• Incorporate experiential knowledge

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

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

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

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

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

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

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

In a limited number of cases, the objectives/outcomes may not need to be sustained. In that case, explain why sustainability of these components should not be built into the project’s design.

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.

If the table is included in the project narrative, the table contents will count towards the overall character limit.

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 stakeholders, 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 beneficiaries can see?

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

*Sustainability language does not mean using the word sustainability.

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

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

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

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

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

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

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

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

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

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

Risk Factor Consequence Likelihood and Timeline

Risk Mitigation Plan

EXAMPLE:

Natural disaster

EXAMPLE:

Complete hold on project implementation

EXAMPLE:

High, especially during raining seasons

EXAMPLE:

Tolerate the risk without further treatment

EXAMPLE:

Partners not willing to share training needs with organization

EXAMPLE:

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

EXAMPLE:

First and third quarter

EXAMPLE:

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

Monitoring and Evaluation (required) The project narrative should summarize illustrative monitoring and evaluation (M&E) activities (e.g., data collection, data analysis, and data reporting for the Results Performance Monitoring [RPM] Plan), how M&E activities will be carried out, and who will be responsible for carrying them out. Include sample indicators developed in the RPM, including Common Performance Indicators (CPIs). In addition, include a brief description of mid-term and final assessment plans. Mid-term assessments are required for all awards, however, some projects may not benefit from or be appropriate for a mid-term assessment. If the project may not benefit from or be appropriate for a mid-term assessment, please provide a justification. All awards as per the Foreign Assistance Directive (FAD) require a final assessment. The TIP Office will provide guidance on final assessment expectations to successful applicants within 90 days of award. The project narrative should also briefly describe M&E costs (ideally 3-5% of total budget).

If M&E costs are below 3% of the project’s total budget, provide a justification for why M&E costs fall below 3% of total budget. If costs for M&E are over 5% of the project’s budget, provide a justification for these costs. The Monitoring and Evaluation Plan Narrative instructions (on page 39) provides further guidance on mid and final assessment expectations.

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

Victim-Centered Approach Placing the crime victim’s priorities, needs, and interests at the center of the work with the victim; providing nonjudgmental assistance, with an emphasis on self-determination, and assisting victims in making informed choices; ensuring that restoring victims’ feelings of safety and security are a priority and safeguarding against policies and practices that may inadvertently re-traumatize victims. A victim-centered approach should also incorporate a trauma-informed, survivor-informed, and culturally competent approach.

Trauma-Informed Approach A trauma-informed approach recognizes signs of trauma in individuals and the professionals who help them and responds by integrating knowledge about trauma into policies, procedures, practices, and settings. This approach includes an understanding of the vulnerabilities and experiences of trauma survivors, including the prevalence and physical, social, and emotional impact of trauma. A trauma-informed approach places priority on restoring the survivor’s feelings of safety, choice, and control. Programs, services, agencies, and communities can be trauma-informed.

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

Proposal Narrative Annexes

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

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

The TIP Office requires a ToC visual (diagram/chart/table/other visual format in PDF or Word, no longer than one page) to be submitted as Annex A. The applicant is welcome to create the ToC visual as it best suits the project.

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

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

In the long-term, assumptions that turn out to be incorrect can lead to mistakes. It is therefore very important in developing a ToC that you identify, analyze, and challenge assumptions of the change process. This will lead to an increased understanding of any refinements that need to be made to project activities to mitigate or test the assumptions. The ToC development process is a useful exercise to help define the links between the problem being addressed and the activities designed to address it.

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

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

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

o Are there any missing links?

o Are there preconditions that must exist for change to occur?

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

o about implementation?

o about context and external factors?

Below is an example of a partially built-out theory of change for an intervention that aims to improve livelihoods of internally displaced persons in the Delta River Region. The example includes a statement of the desired goal, one domain of change, multiple preconditions, and two assumptions:

Annex B: Results Performance Monitoring Plan (required)

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

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

Successful applicants not selected to use the RPM module in SAMS-D will be expected to report quarterly data via Annex C, and via a Common Performance Indicator (CPI) specific data collection tool, which will be distributed post-award.

The Results Performance Monitoring (RPM) Plan will list collectible indicators for each objective, developed by the applicant. Indicators in the RPM will be used to measure project outputs and short-term and medium-term outcomes. In addition, CPIs should be included in the RPM as applicable (see page 27 for details).

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

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

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

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

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

To the extent possible, indicators must be SMART:

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

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

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

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

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

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

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

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

Results Performance Monitoring (RPM) Plan – Components and Definitions

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

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

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

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

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

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

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

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

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

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

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

Indicator Type and Source (Column…