Child Labor Beneficiary Monitoring Toolkit Solicitation for Grant Applications

U.S. Department of Labor

Bureau of International Labor Affairs

Child Labor Beneficiary Monitoring Toolkit

Announcement Type: Solicitation for Cooperative Agreement Applications (SCA).

Funding Opportunity Number: SCA-14-23

Catalog of Federal Domestic Assistance Number: 17.401

Total Funding Available for Award: $1 million

Number of Anticipated Funding Awards: One or more

Funding Period: Effective date of award through [three (3) years]

Executive Summary: In FY 2014, the U.S. Department of Labor’s (USDOL) Bureau of International Labor Affairs (ILAB) Office of Child Labor, Forced Labor and Human Trafficking (OCFT) will award up to $1 million for one or more cooperative agreements to develop a toolkit to support the design and implementation of beneficiary monitoring systems by child labor elimination projects around the world. Child labor elimination projects funded by USDOL/ILAB are required to implement a Direct Beneficiary Monitoring System (DBMS) to regularly monitor service provision and beneficiary children’s education and work status. DBMS data is critical for monitoring whether projects are successful in decreasing child labor among beneficiary children. Given this requirement and the importance of the data, there is a need for further resources to support project implementers in developing such systems to ensure they are both effective and minimally burdensome. The overall objective of this project is to develop a DBMS toolkit. Eligible Applicants may include any commercial, international, educational, or non-profit organization(s), including any faith-based, community-based, or public international organization(s), capable of successfully developing the toolkit. USDOL encourages Applicants to establish partnerships that capitalize on different competencies and advance the goals of the award. See Section III for detailed eligibility requirements.

Key Dates:

Issuance Date:	9/17/14
Closing Date and Time:	10/31/14, 4:00 PM Eastern Time
Technical Question Submission Deadline:	10/15/14
Date of Webinar:	Within 30 days after the SCA issuance date
Date of Award:	No later than December 31, 2014

Agency Contacts:

Primary: Bruce Yoon

Email: [email protected]

Applications will be accepted via electronic submission via Grants.gov (http://www.grants.gov) or by hardcopy (to include electronic copy/CD) hand delivered or mailed to the GO at the following address:

USDOL/ Employment and Training Administration (ETA)

Attn: Donna Kelly, Grant Officer

200 Constitution Avenue NW, Room S-4716

Washington, DC 20210

Reference: SCA-14-23

A list of frequently asked questions about USDOL’s SCA for ILAB grants and responses to technical questions received by e-mail will be posted on Grants.gov and www.dol.gov/ILAB/grants/main.htm. Transcripts of web chats will be posted on http://www.dol.gov/dol/chat/.

1. Funding Opportunity Description

1. Background

USDOL/ILAB intends to award up to $ 1 million for a cooperative agreement(s) to one or more qualifying organizations for a project to develop a Child Labor Beneficiary Monitoring Toolkit. The project will provide guidelines and resources for developing a direct beneficiary monitoring system (to track service provision and children’s education and labor status) for organizations implementing child labor elimination projects. The toolkit will include the following: (1) guidelines and tools on the types of data needed to effectively track service provision and children’s labor and education status, (2) guidelines on data sources and frequency of data collection, and (3) guidelines and tools for establishing a well-functioning data collection and reporting system, including proper data storage and tabulation and analysis capabilities. Finally, the toolkit will (4) identify good/innovative practices and lessons learned in beneficiary monitoring, and provide a menu of options for operationalization of such a system (available software options, database systems, etc.) and the necessary parameters (requirements) of such a system and (5) provide a prototype electronic-based system that grantees may utilize for beneficiary monitoring.

ILAB’s OCFT will technically manage cooperative agreement(s) awarded under this SCA, and USDOL’s Employment and Training Administration will administer the cooperative agreement(s). The duration of the project(s) funded by this SCA is three (3) years. The project start date will be negotiated upon award of individual cooperative agreement(s) but will be no later than December 31, 2014.

ILAB leads USDOL’s efforts to ensure that workers around the world are treated fairly and are able to share in the benefits of the global economy. ILAB’s mission is to use all available international channels to improve working conditions, raise living standards, protect workers’ ability to exercise their rights, and address the workplace exploitation of children and other vulnerable populations.

OCFT conducts and funds research, develops strategic partnerships, and funds an international technical cooperation program to eliminate the worst forms of child labor, forced labor, and human trafficking.

USDOL/ILAB is authorized to award and administer cooperative agreements by the Consolidated Appropriations Act, 2014, Pub. Law 113-76 (2014).

2. Problem Statement

USDOL/ILAB has a significant portfolio of ongoing child labor elimination projects (some $228 million in active funding for 34 projects) and plans to fund over $50 million in new projects in fiscal year 2014.  Many of these projects provide direct services (including education, training, and livelihoods assistance) to child beneficiaries and their families as part of pilot efforts to decrease prevalence of child labor among vulnerable populations.

Child labor elimination projects funded by USDOL/ILAB are required to develop and implement a DBMS. The purpose of the DBMS is to regularly monitor: 1) the provision of educational and livelihood services to direct beneficiaries and 2) children’s education and work status. The DBMS is a critical data source for tracking whether a project’s direct services are being provided as intended and to capture changes in work/education status over time. This data informs the degree to which projects are achieving their desired higher-level outcomes (e.g., a decrease in child labor rates among beneficiary children).

A DBMS consists of two major components. The first is a written set of guidelines (including definitions, procedures, and data collection instruments), and the second is an electronic-based database to store records on beneficiaries’ demographic information and status updates throughout the life of the project, and to provide capability to analyze and roll up the data.

While OCFT requires all projects to develop and implement a DBMS, there is a need for further written guidance on how to develop such a system and how to ensure that it is both effective and minimally burdensome to project implementers and partners. In the absence of such additional guidance, projects build their DBMS without fully benefiting from documented lessons learned and good practices from other projects. In some cases, projects may fall short of fully developing and implementing a DBMS, or spend an inordinate amount of time getting the system effectively operationalized. This results in redundancy of efforts across grantees and projects that may be utilizing time and resources that could instead be used to focus on project implementation.

Furthermore, while OCFT prefers to provide flexibility to project implementers in terms of how they develop and implement their DBMS, OCFT would like to ensure that projects’ DBMS follow some standard guidelines and parameters around the type of data they are collecting and how they are collecting it. In addition, for grantees that do not have a pre-existing database or system for building their DBMS and prefer not to build their own system, OCFT currently does not have a readily adaptable tool that they could use.

3. Objectives and Expected Outputs

The objective of the project is to develop a Child Labor Beneficiary Monitoring Toolkit. The toolkit will include two major components: 1) written guidelines and resources to be used by child labor elimination projects in their development and implementation of Direct Beneficiary Monitoring Systems, and 2) a prototype DBMS software/database tool for USDOL/ILAB to provide for grantees’ use in developing and implementing their project DBMS.

In addressing the overall project objectives, Applicants’ proposals must include a detailed narrative statement that addresses the following:

• Demonstrate an understanding of the direct beneficiary service components of ILAB/OCFT child labor elimination projects (e.g., education, training, and livelihood services). (Information on ILAB/OCFT projects is available on the ILAB website at: www.dol.gov/ilab/projects.)

• Demonstrate an understanding of the types of information that must be collected for a DBMS to effectively track the labor and education status of child beneficiaries and service provision to children and households.

• Demonstrate an understanding of contextual factors that influence projects’ ability to collect accurate data on children’s labor and education status (e.g., labor migration, child labor definition issues).

• Demonstrate an understanding of the data quality issues that could affect the integrity of a child labor project’s DBMS data collected and reported.

• Demonstrate a thorough knowledge of and proficiency in the components of systems (i.e., software, databases) that could be used to build a prototype DBMS.

Applicants must develop a proposal that presents a clear strategy to produce the following outputs:

1. Summary Assessment Report of DBMSs implemented by current/past OCFT grantees

Prior to producing the DBMS Toolkit Guidelines, Prototype, and Training, the Grantee must conduct an assessment of several existing OCFT grantee DBMSs. The Applicant must propose how it will conduct this assessment using methods such as document review, interviews, and site visits (to grantee headquarters, regional offices and/or project sites).

2. DBMS Toolkit Guidelines

The DBMS Toolkit will include written guidelines for OCFT projects implementing direct services to children and their families. These guidelines must include sections on data needs, data sources, frequency of data collection, and how to establish a well-functioning data collection and reporting system, as outlined below.

a. Data needs for an effective DBMS

The Applicant must propose how it will develop guidelines and tools relating to the types of data projects must collect to effectively track service provision and the labor and education status of children. This data will be used by projects as a key source for monitoring and reporting on education and livelihood service provision (as required by the USDOL Common Indicators) and to monitor and report on labor and education status of child beneficiaries. The Applicant must describe how it will use USDOL Common Indicators and Required Outcome Indicators and child labor definitions (both international and country-specific) to determine the types of data that must be collected to accurately and consistently report on children’s labor and education status. (See Appendix E, Companion Guide to the USDOL Common Indicators, and Appendix F, Current Required Outcome Indicators). Applicants must also describe how they will develop data collection tools (e.g., beneficiary intake and monitoring forms) for use in monitoring service provision and labor and education status.

b. Data sources and frequency of data collection.

The Applicant must propose a process for developing guidelines on reliable and appropriate data sources for tracking child beneficiaries’ labor and education status and the recommended frequency of data collection. These guidelines must include possible data sources and an assessment of their reliability/vulnerabilities. In developing strategies regarding frequency of data collection, the Applicant must relate this to the required semiannual Technical Progress Reports (TPR) (See Appendix G, Technical Progress Report template), which are submitted to ILAB/OCFT in April and October and must include results on all project indicators, including the Common Indicators and children’s labor and education status.

 

c. Guidelines for establishing a well-functioning data collection and reporting system.

The Applicant must describe how they would develop guidelines for developing a well-functioning data collection and reporting system, which will serve as the core of the project DBMS. These guidelines must include a framework for assigning data collection and reporting responsibilities starting from the point of initial collection to data storage in the DBMS and reporting out on results to USDOL and others. There are various strategies that have been used by projects to collect data on working status, and these guidelines should describe various possibilities in terms of human resource use (utilizing project staff, community or volunteer monitoring groups, government officials, labor inspectors, teachers, etc.) and technology use (from low-tech solutions to the use of mobile devices) along with their strengths and weaknesses. The guidelines must also include recommendations for data verification. The Applicant must also show consideration of how privacy concerns will be addressed (i.e., projects will need to securely store personal information on beneficiaries but should have the capacity to de-identify data for reporting purposes).

d. Good practices/lessons learned in beneficiary monitoring

The Applicant must propose a strategy for developing a set of good/innovative practices and lessons learned in child labor beneficiary monitoring. A primary interest of ILAB/OCFT is for the DBMS to be effective while imposing minimal burden (in terms of time and resources) on project implementers, data collectors, and beneficiaries. In proposing the strategy the Applicant must describe how it will interact with current or past ILAB/OCFT grantees to gather information on their DBMS, focusing on lessons learned, and good practices.  

3. Prototype Electronic DBMS system

The Applicant must propose a strategy for developing, testing, and refining a prototype electronic-based DBMS system that OCFT could provide to future grantees implementing child labor elimination projects. Applicants must describe how they will refine the list of requirements presented in Annex D, DBMS prototype baseline requirements, and how they will develop, test (in collaboration with two to three volunteer grantees), and refine a prototype DBMS system based on these requirements. This system must be built uniquely with open-source software.

4. Training on DBMS Toolkit and Prototype for OCFT and Implementers

The Applicant must propose a strategy for developing training materials for users of the toolkit and the prototype DBMS system. The training materials must include a virtual training for project staff and a train-the-trainer model for OCFT staff. In addition, the grantee will provide classroom training on the toolkit and prototype DBMS system to OCFT grantees during the third year of the grant; a training will be conducted in each region where OCFT operates projects. These classroom trainings will take place at the regional level in regions where OCFT projects are operating. The training materials must: 1) introduce the tools and facilitate their adoption by project staff responsible for developing and implementing a DBMS and 2) familiarize project staff with procedures for data quality checks on data to be collected through the DBMS tools.

D. Partners

USDOL encourages Applicants to establish partnerships that capitalize on different competencies and advance the goals of the award (i.e., child labor expertise, monitoring and evaluation/management information systems competencies, and expertise in software and database development). USDOL is open to a variety of applicants/partnerships with a range of experience that could bring helpful input and lessons learned to this project.

5. Project Components

Applicants must propose strategies that address the two main objectives of this SCA, as set forth in Section I.C. above, as well as the required outputs.

F. Requirements

1. Pre-Application

1. Desk Review

Applicants must read the “Companion Guide to USDOL Common Indicators” (see Annex A) and be familiar with the list of required outcome indicators (see Annex B). Applicants must be familiar with the DBMS-related requirements of ILAB/OCFT Solicitations for Cooperative Agreement Applications and the Technical Progress Report format used for reporting by direct action projects (see Annex C). Applicants must also review Annex D (Baseline requirements for a DBMS prototype).

To develop the guidelines relating to monitoring of children’s work status, Applicants must demonstrate an understanding of international conventions relating to child labor (particularly International Labor Organization (ILO) Conventions 138 and 182 and Recommendation 190) and have a good understanding of the common gaps in countries’ child labor-related legislation (a good source for this information is the U.S. Department of Labor’s 2012 Findings on the Worst Forms of Child Labor Report (TDA) available at: http://www.dol.gov/ilab/reports/child-labor/findings/.)

2. Post Award

Winning Applicants (or ‘Grantees’) must comply with the following post-award requirements. Grantees must adhere to all of the post-award requirements outlined in the Management Procedures and Guidelines (MPG) and this SCA.

1. Project Document

Grantees are required to carry out a review of the project strategy and project budget included in their proposal and produce a project document, in consultation with USDOL, within three months of award. Operating within the scope of the approved proposal, the Grant Officer’s Representative (GOR) will be involved in the development, review, and approval of the project document. The final project document (which may include refinements to the project strategy/budget) is subject to final approval by the GOR and GO. Following that review process, if further refinement of the project strategy or budget are determined to be needed by the recipient or USDOL, the Grantee must consult with the GOR in preparing and then submitting a modification to the GO proposing refinements to the project strategy and budget.

2. Subgrants and Subcontracts

Subgrants and subcontracts awarded after the cooperative agreement is signed, and not proposed in the application, must be awarded through a formal competitive bidding process (for subcontracts, this is in accordance with 29 Code of Federal Regulations (CFR) 95.40-48). Subgrants and subcontracts are subject to audit.

G. Project Deliverables

Grantees must submit the following project deliverables by the specified deadlines provided. Deadlines specified below refer to calendar days, unless otherwise specified. If a particular deadline falls on a weekend or holiday, the deadline will refer to the following business day.

DELIVERABLE	DEADLINE	SUBMIT TO
Negotiated Indirect Cost Rate Agreement (NICRA) Proposal	Submit within 90 days of award;	Cognizant Agency
Draft Project Document: The Grantee is required to carry out a review of the project strategy and budget and detailed work plan, in consultation with USDOL’s GOR within three months of award	Within 60 days of award	GOR
Federal Financial Report (FFR) Standard Form (SF) 425	Quarterly: January 30, April 30, July 30, October 30	E-grants
TPR, with all relevant attachments including updated work plan, as described in the MPG.	Semi-annually: April 30 and October 30	GOR
Contact information for Grantee provided to USDOL, including name, address, phone, and email of point of contact at Grantee headquarters	Within 30 days of award	GOR
Written notification that key personnel have begun to work on the project	Within 45 days of award	GOR
Summary assessment of OCFT direct service project DBMS	Within 4 months of award	GOR
Final Project Document	Within 5 months of award	GOR
Draft written toolkit	Within 12 months of award	GOR
Draft version of prototype DBMS	Within 15 months of award	GOR
Draft Final written toolkit and prototype DBMS	Within 18 months of award	GOR
Final written toolkit and prototype DBMS (ready for testing)	Within 24 months of award	GOR
Draft training materials (virtual training, classroom materials for train-the-trainer and regional trainings)	Within 27 months of award	GOR
Final classroom materials for train-the-trainer and regional trainings	Within 30 months of award	GOR
Summary Report on completion of all classroom training (train-the-trainer and regional) and delivery of final virtual training	Within 34 months of award	GOR
Summary report on completion of prototype DBMS testing	Within 34 months of award	GOR
Final prototype DBMS (including post-testing refinements)	Within 36 months of award	GOR
Government Property Inventory Disposition Request; inventory list of all real property, equipment with an acquisition value of $5,000 or more per unit, and supplies if aggregate value exceeds $5,000	At least 120 days prior to the end of the Cooperative Agreement period	GOR
Closeout Documents Checklist; Final TPR; Final Quarterly FFR/SF-425; Closeout Financial Form; Recipient’s Release Form;	Within 90 days after the end of the Cooperative Agreement period	GOR GO

H. Required Staffing

a. Key Personnel

Key personnel positions are deemed essential to the successful operation of the project and completion of all proposed activities and deliverables. USDOL retains the authority to approve all key personnel changes throughout the life of the cooperative agreement. Applicants’ budget should take into account the estimated amount of time key personnel will need to devote to this project. Applicants must ensure that proposed key personnel will be available to staff the project within 45 days of award should the Applicant be selected for award (See Section IV.B.1.d(4) for additional details). Proposed key personnel candidates must sign letters indicating their commitment to serve on the project for a stated term of the service and their availability to commence work within 45 days of cooperative agreement award.

Applicants must propose candidates with qualifications to successfully implement the proposed strategy. Applicants must address candidates’ level of competence, past experience relevant to this solicitation and qualifications to perform the requirements outlined in the Funding Opportunity Description and the strategies proposed by the Applicant.

Grantees assume full responsibility for ensuring that all key personnel have a clear and thorough understanding of USDOL policies, procedures, and requirements and that all documents submitted to USDOL are in fluent English.

USDOL has designated the following position(s) as key personnel. Requirements for each individual position follow:

Project Manager

• Minimum of five years of experience in project management, supervision, administration, and implementation of cooperative agreement and/or contract requirements (including meeting deadlines, achieving targets, and overseeing the preparation and submission of required reports).

• Must be employed by the Grantee (not subgrantees/subcontractors).

• Minimum of seven years of experience in the field of monitoring and evaluation and management information systems for international development projects.

• Significant experience designing and managing beneficiary monitoring and database systems.

• Experience with performance measurement and reporting.

• Knowledge of data collection and analysis methodologies.

• Experience developing and refining data collection tools.

• Experience with data quality assessments and oversight.

• Experience in producing requirements documents for software development projects.

• Knowledge and experience in database development and management.

Software/Database Developer

• Minimum 5 years prior experience in database and software development .

• Significant experience in developing web-based systems with database back-end.

• Excellent command of one of the technologies listed in Annex D (Django/Python, php, or Ruby on Rail, as well as a database management system (MySQL).

• Excellent full software development lifecycle practices (from collecting end-user requirements, to documenting design, to development and testing, including beta testing).

• Strong command of cyber-security requirements.

Professional Trainer

• Minimum 2 years prior experience in software/database training.

• Experience conducting such trainings in a developing country context.

b. Other Professional Personnel

Applicants may include other personnel positions deemed necessary to the implementation of the project.

2. Award Information

Award information is provided on the cover page (page 1) of the SCA.

3. Eligibility Information

1. Eligible Applicants

Any commercial, international, educational, or non-profit organization(s), including any faith-based, community-based, or public international organization(s), capable of successfully fulfilling the objectives identified in the Funding Opportunity Description is eligible to apply. This SCA is for the award of one or more new cooperative agreements with the specific objectives and outputs outlined in this SCA. As such, Applicants may not submit applications to renew or supplement an existing project.

Public International Organizations (PIOs) are eligible to apply. However, USDOL requires that PIOs and all other entities that elect to apply for this grant opportunity adhere to the specific requirements outlined in this SCA concerning monitoring and evaluation, audits and counter-terrorism. In negotiating an award with a PIO, USDOL will discuss the inclusion of appropriate language acknowledging the rights and privileges as currently established and afforded to PIOs by the U.S. Government in accordance with U.S. law.

Applicants and any proposed subgrantees or subcontractors must comply with all audit requirements, including those established in the relevant Office of Management and Budget (OMB) Circular.

The following Applicants (including subgrantees/subcontractors) will not be considered:

• Foreign governments and entities that are agencies of, or operated by or for, a foreign state or government.

• Organizations designated by the U.S. Government to be associated with terrorism or that have been debarred or suspended.

• Applicants charging a fee (profit) associated with a project funded by USDOL under this award.

2. Cost Sharing or Matching

Cost sharing or matching funds (including in-kind contributions) are not required as a condition for application. However, USDOL welcomes applications that include cost share or matching funds. Applicants that propose cost sharing or matching funds must indicate the nature; source(s) of funds and/or in-kind contributions; the amount in U.S. dollars; and the proposed project activities to be performed with these resources. Applicants must also explain how these activities will complement or enhance project objectives. Grantees that have proposed cost sharing or matching funds will be required to report on those funds in the FFR or SF-425 and are liable for the full amount of the funds.

Cost sharing, including from subgrantees and/or subcontractors, must be used to support the work of the project or defray its costs. Applicants may not award a subgrant or subcontract contingent upon the provision of matching funds from those entities.

3. Other

All applications will be screened for responsiveness. If deemed non-responsive, the Applicant will be notified of the reason(s) for the determination of non-responsiveness.

Applicants will be considered non-responsive and will not be eligible for this solicitation for any of the following reasons:

1. Failure to submit timely application by Grants.gov or hard copy via the U.S. Postal Service or other delivery service, such as Federal Express, DHL, or UPS;

2. Failure to register with and maintain an active account in the System for Award Management (SAM) (http://www.sam.gov);

3. Failure to submit both a complete Technical Proposal and a complete Cost Proposal as specified in Section IV;

4. Failure to include all of the required documents and annexes in the Technical Proposal and Cost Proposal;

5. Submission of an application with an accompanying budget that exceeds the ceiling amount as specified on the cover page (page 1) of the SCA;

6. Failure to designate key personnel candidates, if required under this SCA, and failure to include résumés and signed letters of commitment for key personnel candidates;

7. Failure to include an English language copy of the opinion letter(s) and a summary of audit findings for the Applicants and subgrantee/subcontractors providing services related to project intervention strategies (see Section I.D.) For U.S.-based non-profit organizations that are subject to the Single Audit Act, failure to submit their most recent single audit or to demonstrate compliance with single audit submission timeframes established in OMB Circular A-133. For non-U.S.-based and for-profit entities, failure to submit opinion letters of the most current independent financial audit and a summary of audit findings in English.

4. Application and Submission Information

1. Address to Request Application Package

All information needed to apply for cooperative agreement funding is included in this solicitation. The SCA package and any amendments can be downloaded and viewed from Grants.gov by referencing the Funding Opportunity Number.

2. Content and Form of Application Submission

Applications must consist of two separate parts: a Technical Proposal and Cost Proposal. Unless specified as “optional” or “as applicable,” all documents identified in this section must be included in the application package for it to be considered complete and responsive.

Applicants’ Technical and Cost Proposals must address the project objectives and requirements outlined in the SCA. Applications must be organized as outlined below. All pages of the application must be numbered. All required documents (including annexes) must be submitted in English. Any additional documentation submitted that is not required or specifically requested under this solicitation will not be considered. Technical Proposals must be no more than 50 single-sided, double-spaced pages (8-1/2” x 11” with 1” margins). Font size must be no less than 12-point Times New Roman. The Abstract, Table of Contents and required annexes to the Technical Proposal do not count toward the page limit.

1. Technical Proposal (50 page limit)

1. Abstract (Executive Summary)

The Abstract must not exceed two pages and must include: project title; name of the Applicant; any proposed subgrantee(s) or subcontractor(s); summary of the proposed project design and key project activities; funding amount requested from USDOL; and total dollar value of cost share (if applicable). If using Grants.gov for submission, this document must be attached under the Mandatory Other Attachment section and labeled “Abstract.”

2. Table of Contents

The Table of Contents must list all required documents and include their corresponding page numbers.

3. Project Design Narrative

The Project Design Narrative must describe in detail the Applicant’s response to the Funding Opportunity Description. At minimum, the Project Design Narrative must contain the following sections:

1. Background and Problem Statement

This section must not exceed three (3) pages. Applicants are expected to describe relevant factors contributing to the problem to be addressed by the project. Applicants must identify significant gaps that contribute to the identified problem and that need to be filled by the project.

2. Objectives and Expected Outputs

Applicants must outline a project strategy that fully responds to the project objectives and expected outputs discussed in Section I. Applicants must explain how their proposed strategies will fill identified gaps and achieve project objectives.

3. Partners

Applicants must include a brief description of all project partners (as applicable), including a description of the project partners’ role and capacity to implement specific aspects of the project, and how proposed partners strengthen the overall proposal. Applicants should specifically reference partners’ background and expertise in their area of contribution.

4. Project Activities

Applicants must describe all major areas of project activities. In describing project activities, Applicants are expected to describe specific activities and how such activities will lead to the project’s expected outputs, outcomes, and objectives.

5. Progress Reporting

Applicants should outline their capacity and commitment to produce and submit quarterly FFRs, bi-annual (twice per year) TPRs, and their plans for close engagement with USDOL in designing and developing deliverables outlined in this SCA. An appropriate format for the TPRs will be provided by USDOL.

6. Work Plan

The Work Plan must identify major project activities, deadlines for completing these activities, and person(s) or institution(s) responsible for completing these activities for the entire life of the project. The work plan must be included as an annex and correspond to activities identified in the project design narrative. Applicants may choose an appropriate format for their work plan.

4. Organizational Capacity

This section must describe the qualifications of the proposed Applicant(s) and/or any proposed subgrantees and/or subcontractors to implement the project. Applicants may demonstrate this either independently or through a relationship with proposed subgrantees and/or subcontractors that will be directly involved in project implementation.

1. International and U.S. Government Grant and/or Contract Experience

Applicants must describe any experience they have with implementing projects relevant to the stated objective(s) and outputs of this SCA (see Section I) and provide references for past performance (no more than a total of six (6) references/projects, see Appendix C for a sample format). Applicants should prioritize submission of references related to the objectives of the project. References should be included for all the Applicants and subgrantees and/or subcontractors providing services related to project outputs (see Section I.C.). Projects included in the table must have been active within seven years of the issuance date of the SCA.

2. Project Management Plan

Applicants must discuss their project management plan. It must include a narrative description of the structure of the project’s management team, key personnel roles and responsibilities and the lines of authority between key personnel and any other project staff. If any of the project’s personnel would be employed by a subgrantee/subcontractor, the Applicant must provide a rationale for this arrangement and an explanation of the staffing structure.

Applicants must also include (as an annex) a project management organization chart that provides a visual depiction of the project’s management structure and lines of authority among all key personnel, other professional personnel, and other project staff being proposed. Applicants may choose an appropriate format for their project management organization chart.

3. Personnel

Applicants must include (as an annex) signed letters of commitment from all proposed key personnel (as identified in this SCA) indicating their commitment to serve on the project. Applicants must include as an annex a one-page personnel description outlining roles and responsibilities for each key personnel and professional personnel position specified in their proposal. Applicants must also submit as an annex a two-page résumé for all positions designated as key personnel in this SCA and any other professional personnel being proposed by the Applicant in the SCA. Each résumé must include:

• Educational background, including highest education level attained;

• Work experience covering at least the last five years of employment to the present, including such information as the employer name, position title, clearly defined duties, and dates of employment;

• Special experience, capabilities, or qualifications related to the candidate’s ability to implement the proposed strategy and perform effectively in the proposed position; and

• English and other relevant language skills (speaking, listening, reading, writing).

4. Audit Reports

Applicants must include (as an annex) a copy of the opinion letter(s) and a summary of audit findings for the Applicant and all subgrantees/subcontractors providing services related to project outputs. The Applicant must include a cover sheet for its audit attachments. The following audit attachments are required, depending on the organization’s status:

• Applicants from U.S.-based non-profit organizations and all proposed U.S.-based, non-profit, subgrantees and/or subcontractors that are subject to the Single Audit Act must include the summary of audit findings and opinion letter of the most recent single audit and demonstrate compliance with single audit submission timeframes established in OMB Circular A-133. Organizations with audit findings that include qualified or adverse opinions must also include a summary of corrective actions undertaken to address the findings.

• Non-U.S. based and for-profit Applicants must submit an English version of opinion letters and a summary of audit findings from their most current independent financial audit report.

• For all proposed subgrantees and/or subcontractors that are for-profit or non-U.S.-based organizations, Applicants must submit English versions of the summary of their audit findings and opinion letters for their most current independent financial audit.

• Upon request, Applicants/Grantees will be required to submit full audit reports and/or official translations of audit reports.

2. Cost Proposal

Applicants must prepare a cost proposal as Part II of the application. Applicants must provide a narrative description and supporting documentation that demonstrate their organization has a sound financial system in place to effectively manage the funds requested under this solicitation.

The cost proposal must reflect consistency between the proposed costs and the work to be performed as outlined in the project design narrative of the Applicant’s technical proposal. The cost proposal must contain the following: (1) an SF-424 Supplemental Key Contacts Information; (2) an SF-424 Application for Federal Assistance; (3) an SF-424A Budget Information; (4) a detailed outputs-based budget and an accompanying budget narrative; (5) an indirect cost form and supporting documentation; and (6) cost sharing information, if applicable.

1. Dun & Bradstreet (DUNS) Number and SAM Registration

Applicants must include their unexpired DUNS number in the organizational unit section of Block 8 of the SF-424. Applicants proposing subgrantees or subcontractors must submit each organization’s DUNS number as an attachment to the Cost Proposal.

Organizations that do not have a DUNS number can receive a DUNS number at no cost by using the web-based form available at http://fedgov.dnb.com/webform.

In addition to having a current DUNS number, Applicants must be registered with the SAM website prior to submitting an application to this solicitation. Instructions for registering with SAM can be found at https://www.sam.gov. An awardee must maintain an active SAM registration with current information at all times during which it has an active Federal award or an application under consideration. To remain registered in the SAM database after the initial registration, the Applicant is required to review and update the registration at least every 12 months from the date of initial registration or subsequently update its information in the SAM database to ensure it is current, accurate and complete.

2. Required Standard Forms

1. SF-424 Supplemental Key Contacts Information

This form must include name, position title, address, telephone and fax numbers, e-mail address, and other relevant information for the Applicant’s designated key contact person.

2. SF-424 Application for Federal Assistance

This form must reflect the entire amount of funds being requested under this solicitation and, if applicable, the amount of any cost sharing proposed by the Applicant must be shown in Section 18.b.

3. SF-424A Budget Information (Non Construction Programs)

This form must include all costs for proposed activities. If applicable, line 6 must include construction activities that are: 1) over $5,000; and/or 2) for the construction of a permanent structure (latrines, wells, etc.)

3. Outputs-Based Budget

The Cost Proposal must include a summary outputs-based budget, along with specific outputs-based budgets for the Applicant and each proposed subgrantee/subcontractor. The outputs-based budget must correspond to the SF-424 and SF-424A. The outputs-based budget (including USDOL funds and any cost sharing funds reported on the SF-424 and SF-424A) must comply with Federal cost principles. Allowable costs are defined in OMB Circular A-122. The budget will become part of the cooperative agreement in the event of award and any costs omitted by the Applicant may not be allowed after award. Applicants may not rely on other contracts, grants, or awards that are pending at the time of application to implement the Applicant's proposed strategy. Applicants should only rely upon funds that have been secured prior to application. The budget submitted with the application must include all necessary funds to implement the proposed project strategy. USDOL will not provide any additional funding to cover unanticipated costs.

The detailed outputs-based budget must present costs in a manner that is linked to activities, objectives, and outputs reflected in the project design narrative and work plan, and demonstrate cost-effective allocation of project funds. In addition, it must provide a breakdown of total administrative costs into direct and indirect administrative costs and allocate the largest proportion of project resources to direct intervention rather than to direct and indirect administrative costs.¹

Applicants must use the following guidance in preparing their outputs-based budget:

1. Travel

Applicants must allocate sufficient funds to finance appropriate in-country and international travel. At a minimum, applicants must allocate funds for:

• Travel by the Project Manager and/or another key personnel staff member to Washington, D.C. to attend a post-award meeting (either a New Grantee Orientation or other designated meeting); and

• Travel by the Project Manager and/or other key personnel deemed necessary to conduct the summary assessment of DBMS implemented by current/past OCFT grantees. This may include visits to grantee headquarters, regional offices, and/or project sites.

2. Project Oversight

All USDOL funded projects must allocate funds to cover the costs associated with project oversight activities. Applicants must allocate funds to meet all progress reporting and deliverable requirements.

3. Single Audits / Attestation Engagements

Include costs for single audits as direct or indirect costs, whichever is appropriate, in accordance with the cost allocation procedures approved by the U.S. Federal Cognizant Agency (FCA). Attestation engagements are conducted at USDOL’s expense to supplement the coverage provided by the single audits. There should be no costs included in the budget for attestation engagements.

4. Allowance for Unforeseen Costs

Applicants must include five percent of the project’s total direct costs to address unforeseen circumstances beyond the Grantee’s control that affect specific budget lines related to:

• Inflation affecting specific project costs;

• United Nations System or foreign government-mandated salary scale or benefits revisions; and

• Exchange rate fluctuations.

USDOL also recognizes that certain unforeseen circumstances may arise and result in a need for exceptions to these uses of Allowance for Unforeseen Costs funds and a need for budget modifications or time extensions. These include (1) changes in a country’s security environment; (2) natural disasters; (3) civil or political unrest/upheavals or government transitions; or (4) delays related to loss of or damage to project property. Use of these funds must be approved by the GO. The MPG gives guidelines for requesting approval of a budget modification to re-allocate funds under the Allowance for Unforeseen Costs budget line, as well as guidance on the timeline by which such re-allocations should be completed.

4. Budget Narrative

The cost proposal must include a budget narrative that corresponds to the outputs-based budget. The budget narrative must include a detailed justification, broken down by line item, of all of the Applicant’s costs included in the outputs-based budget.

5. Indirect Cost Information

According to Federal regulations, indirect costs are those that have been incurred for common or joint objectives and cannot be readily identified with a particular final cost objective. Indirect cost charges must be based on allowable, allocable, and reasonable costs based on the applicable cost principles.² Indirect cost support for allocated charges to the grant and the closeout process is validated using a federally approved NICRA. The NICRA is issued by the FCA based on annual indirect cost proposal submissions from grantees. Typically, the agency providing the preponderance of direct Federal funds to the organization is the FCA.

1. Indirect Cost Form for the Applicant

The cost proposal must contain information on the Applicant’s indirect costs, using the Indirect Cost Form provided on Grants.gov and on the USDOL/ILAB’s Web site at http://www.dol.gov/ilab/grants/SGAguidelines.htm.

2. Indirect Cost Supporting Documentation

For organizations with a current rate approved by the FCA: provide a copy of the NICRA in the proposal.

For organizations with no budgeted/claimed indirect costs: provide a Certificate of Direct Costs. See the Indirect Cost Form for details and a sample certificate.

3. Indirect Cost Proposal Submission Requirements

For organizations with an expired rate or a rate not previously approved by the FCA: For evaluation purposes, applicants without an approved NICRA must submit an indirect cost rate or ceiling amount that they propose be incorporated into the resultant cooperative agreement award. An indirect cost proposal must be submitted to the FCA within 90 days of grant award to establish a provisional NICRA. This provisional rate may be effective for a period up to two years until a final NICRA is established.

For organizations with a current rate: Indirect cost proposals must be submitted on an annual basis to the FCA to obtain federally approved NICRAs for the life of the grant, unless the FCA instructs otherwise. These proposals are based on incurred costs and are due six months after the end of each fiscal year.

4. Indirect Cost Ceilings

The proposed/approved NICRA rate, or indirect rate proposed in response to the SCA for those organizations with no rates approved, will be used to set a ceiling for indirect costs in the cooperative agreement. The Government will not be obligated to pay any additional amount should the final indirect cost rates exceed the negotiated ceiling rate(s).

3. Survey on Ensuring Equal Opportunity for Applicants (Optional)

All Applicants are requested, but not required, to complete and include the Survey on Ensuring Equal Opportunity for Applicants (OMB No. 1890-0014) in their applications; this form is provided on USDOL/ILAB’s Web site at: http://www.dol.gov/ilab/grants/SGAguidelines.htm.

3. Submission Dates and Times

All applications must be received by the closing date and time on the cover page of this announcement. Late applications will be considered non-responsive and will not be reviewed.

4. Intergovernmental Review

This funding opportunity is not subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.”

5. Funding Restrictions

All Applicants must adhere to requirements concerning restrictions, unallowable activities, and specific prohibitions, as identified in OMB Circular A-122, OMB Circular A-21, 29 CFR Part 95, 29 CFR Part 98, and USDOL/ILAB policies outlined in the MPG, for all USDOL-funded technical cooperation projects. Applicants should take particular note of and must adhere to the funding restrictions/administrative requirements in the USDOL/ILAB MPG (available on Grants.gov as a document accompanying this SCA).

6. Other Submission Requirements

Applications may be submitted electronically via Grants.gov or in hard copy. Applications submitted by other means, including e-mail, telegram, or facsimile (FAX) will be not be accepted.

1. Electronic Submission

Applicants electing to submit electronically must submit one electronic copy of the complete application via Grants.gov. Applicants submitting via Grants.gov are responsible for ensuring that their application is received by Grants.gov by the deadline.

Applicants submitting their application electronically through Grants.gov should note the following submission instructions: (1) an individual with authority to legally bind the Applicant must be responsible for submitting the application on Grants.gov, (2) applications submitted through Grants.gov do not need to be signed manually; the form will automatically affix an electronic signature for the authorized person identified, and (3) when submitting on Grants.gov, Applicants must save all attachments as a .doc, .pdf, .txt, or .xls file. If submitted in any other format, the application bears the risk that compatibility or other issues will prevent USDOL from considering the application. USDOL will attempt to open the document, but will not take any “corrective” measures in the event of issues with opening the document. In such cases, the non-conforming application will not be considered for funding.

To avoid unexpected delays that could result in the rejection of an application, Applicants should immediately initiate and complete the registration steps at http://www.grants.gov/Applicants/get_registered.jsp as registration can take multiple days to complete. Applicants should consult the Grants.gov Web site’s Frequently Asked Questions and Applicant User Guide, available at http://www.grants.gov/help/general_faqs.jsp, and http://www.grants.gov/assets/ApplicantUserGuide.pdf. Within two business days of application submission, Grants.gov will send the Applicant two email messages to provide the status of application progress through the system. The first, almost immediate, email will confirm receipt of the application by Grants.gov. The second email will indicate the application has been successfully submitted and successfully validated or has been rejected due to errors. Only applications that have been successfully submitted and successfully validated will be considered. It is the sole responsibility of the Applicant to ensure a timely submission, therefore sufficient time should be allotted for submission (two business days) and, as necessary, additional time should be allotted to address errors and receive validation upon resubmission (an additional two business days for each ensuing submission). It is important to note that if sufficient time is not allotted and a rejection notice is received after the due date and time, the application will not be considered.

Applicants can contact the Grants.gov Contact Center at 1-800-518-4726 or [email protected] to obtain assistance with any problems related to using Grants.gov, including difficulties downloading the application package; software compatibility questions; and questions on how to assemble electronic application packages. USDOL bears no responsibility for data errors resulting from transmission or conversion processes.

2. Hardcopy Submissions

Applicants electing to submit hard copies must submit one (1) signed original, complete application, plus one (1) copy of the application, along with a CD that includes the Technical and Cost Proposals saved as .doc, .pdf, .txt, or .xls files. Hard copy applications must be delivered to the address on the cover page of this announcement. Applicants are advised to submit their applications in advance of the deadline. Applications may be hand delivered or submitted via the U.S. Postal Service or non-U.S. Postal Service delivery services, such as Federal Express or UPS. Regardless of the type of delivery service selected, Applicants bear the responsibility for timely submission. The application package must be received at the designated place by the date and time specified or it will be considered non-responsive and will be rejected. Note: Please be advised that U.S. mail delivery in the Washington D.C. area can be slow and erratic due to security concerns. Applicants must consider this when preparing to meet the application deadline.

Any application received at ETA after the deadline will not be considered unless it is received before the award is made and:

1. It is determined by the Government that the late receipt was due solely to mishandling by the Government after receipt at USDOL at the address indicated; and/or

2. It was sent by registered or certified mail not later than the fifth calendar day before the deadline; or

3. It was sent by U.S. Postal Service Express Mail Next Day Service-Post Office to Addressee, no later than 5:00 p.m. at the place of mailing two (2) working days, excluding weekends and Federal holidays, before the deadline.

4. It was sent by non-U.S. Postal Service Next Day Service-carrier facility to Addressee, no later than 5:00 p.m. at the place of mailing two (2) working days, excluding weekends and Federal holidays, before the deadline.

The only acceptable evidence to establish the date of mailing sent by registered or certified mail is the U.S. Postal Service postmark on the envelope or wrapper and on the original receipt from the U.S. Postal Service. The only acceptable evidence to establish the date of mailing sent by U.S. Postal Service Express Mail Next Day Service-Post Office to Addressee is the date entered by the Post Office clerk on the "Express Mail Next Day Service-Post Office to Addressee" label and the postmark on the envelope or wrapper on the original receipt from the U.S. Postal Service. For Applications submitted through other delivery services such as Federal Express or UPS, the only acceptable evidence to establish the date of the mailing is the tracking number, which contains detailed information about the mailing.

If the postmark is not legible, an application received after the above closing time and date will be treated as if mailed late. "Postmark" means a printed, stamped, or otherwise placed impression (not a postage meter machine impression) that is readily identifiable without further action as having been applied and affixed by an employee of the U.S. Postal Service on the date of mailing. Therefore, Applicants should request that the postal clerk place a legible hand cancellation "bull’s-eye" postmark on both the receipt and the envelope or wrapper.

5. Application Review Information

1. Evaluation Criteria

Procedures for assessing the technical merit of applications have been instituted to provide for an objective review of applications and to assist the applicant in understanding the standards against which each application will be judged. The evaluation criteria are based on the information required in the application as described in Section IV.

CRITERIA	REFERENCE	POINTS
Objectives and Expected Outputs	IV.B.1.c.2	25
Partners	IV.B.1.c.3	10
Project Activities	IV.B.1.c.4	20
Work Plan	IV.B.1.c.6	15
International and US Government Grant and/or Contract Experience, Project Management Plan	IV.B.1.d.1 IV.B.1.d.2	5
Personnel	IV.B.1.d.3	15
Budget (Outputs-Based Budget and Budget Narrative)	IV.B.2.c	10
Total =		100

2. Review and Selection Process

A technical review panel will evaluate each responsive application against the criteria described in this SCA. Reviewers will award points based on the extent to which the Applicant’s proposal provides a clear and strong response to requirements in the SCA related to each of the criteria above.

Applicants are advised that panel recommendations to the GO are advisory in nature. The GO may elect to select a Grantee on the basis of the initial application submission or the GO may establish a competitive or technically acceptable range from which a Grantee will be selected.

If deemed appropriate, the GO may call for the preparation and receipt of final revisions of applications, following which the evaluation process described above may be repeated, in whole or in part, to consider such revisions. The GO will make final selection determinations based on panel findings and may consider other factors that represent the greatest advantage to the Federal Government, including cost, the availability of funds, and the Applicant’s past performance on Federal awards. USDOL reserves the right to: (1) solicit information from Federal sources and/or non-Federal sources about the Applicant’s past performance on any awards—including evaluations, audits, attestation engagements, and questionnaires; (2) assess the Applicant’s past performance on awards with respect to its potential effect on grant implementation; and (3) consider this information as part of its selection process. If USDOL does not receive technically acceptable applications in response to this solicitation, it reserves the right to terminate the competition and not make any award. The GO’s determinations for awards under this solicitation are final.

Before the actual cooperative agreement is awarded, USDOL may enter into discussions with one or more selected Applicants for any reason deemed necessary, including negotiating components of the project design/strategy; budget; project duration; staffing; funding levels; and financial and administrative systems in place to support implementation of the cooperative agreement [including relevant issues raised in submitted audit report(s)]. If negotiations do not result in a mutually acceptable submission, the GO reserves the right to terminate the negotiation and decline to fund the application.

Award of a cooperative agreement under this solicitation may also be contingent upon an exchange of project support letters between USDOL and the relevant host government ministries.

3. Anticipated Announcement and Award Dates

Information on the anticipated award date is provided on the cover page of the SCA. USDOL is not obligated to make any awards as result of this solicitation.

6. Award Administration Information

1. Award Notices

The GO will notify Applicants of designation results as follows:

1. Notice of Award

The notice of award signed by the GO serves as official notice of an Applicant’s designation as Grantee. The notice of award will be accompanied by a cooperative agreement and the most current MPG, which is available on Grants.gov (as a document accompanying this SCA). The MPG provides general management procedures and guidance for recipients of ILAB’s Grants and/or Cooperative Agreements in areas that may not be explicitly detailed in the solicitation.

2. Notice to Unsuccessful Applicants

Applicants not selected for award will be provided notification. Unsuccessful Applicants that wish to be debriefed by the GO must submit a written request within 10 business days after receipt of notification of non-selection. The GO is not required to provide debriefings if written requests are not received within the specified timeframe.

Notification of designation by a person or entity other than the GO is not valid.

2. Administrative and National Policy Requirements

1. General Requirements

Grantees under this SCA shall be subject to the terms outlined in this solicitation, the cooperative agreement, and the MPG. They are also subject to applicable U.S. Federal laws (including appropriations laws) and regulations, Executive Orders, applicable OMB Circulars and USDOL policies. If, during project implementation, a Grantee is found in violation of any of the foregoing, remedies may include modification of the terms of the cooperative agreement awarded under this solicitation; disallowance and recovery of costs; termination of the cooperative agreement; and any other action permitted by law.

For the purposes of this solicitation and cooperative agreement awards, Grantees will be the sole-entity:

• to act as the primary point of contact with USDOL to receive and respond to all inquiries, communications and orders under the project;

• with authority to withdraw or draw down funds through the Department of Health and Human Services-Payment Management System ;

• responsible for submitting to USDOL all deliverables, including all technical and financial reports related to the project;

• that may request or agree to a revision or amendment of the cooperative agreement or the Project Document; and

• responsible for working with USDOL to close out the project. Each Grantee must comply with all applicable Federal regulations and is individually subject to audit.

2. Project Audits and External Auditing Arrangements

U.S.-based non-profit Grantees whose total annual expenditure of Federal awards is more than $500,000 must have an organization-wide audit conducted in accordance with 29 CFR Parts 96 and 99, which codify the requirements of the Single Audit Act and OMB Circular A-133, and must comply with the timeframes established in those regulations for the submission of their audits to the Federal Audit Clearinghouse. Grantees must send a copy of each single audit conducted within the timeframe of the USDOL-funded project to their assigned GOR at the time it is submitted to the Federal Audit Clearinghouse.

In accordance with 29 CFR Parts 96 and 99, USDOL has contracted with an independent external auditor to conduct project-specific attestation engagements at USDOL’s expense to supplement the coverage provided by the annual audits that Grantees are required to arrange, which are referenced in the preceding paragraph. All Grantees, including non-U.S.-based and private for-profit Grantees, are subject to attestation engagements during the life of the cooperative agreement. Attestation engagements will be conducted in accordance with U.S. Government Auditing Standards, which includes auditors’ opinions on (1) compliance with USDOL regulations and the provisions of the cooperative agreement and (2) the accuracy and reliability of the Grantee’s financial and performance reports.

3. Administrative Standards and Provisions

Cooperative agreements awarded under this solicitation are subject to all applicable Federal laws, regulations, and applicable OMB Circulars. Awards under this SCA will be subject to the following administrative standards and provisions:

• 29 CFR Part 2 Subpart D – Equal Treatment in Department of Labor Programs for Religious Organizations; Protection of Religious Liberty of Department of Labor Social Service Providers and Beneficiaries.

• 29 CFR Part 31 – Nondiscrimination in Federally Assisted Programs of the Department of Labor— Effectuation of Title VI of the Civil Rights Act of 1964.

• 29 CFR Part 32 – Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving Federal Financial Assistance.

• 29 CFR Part 33 – Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Department of Labor.

• 29 CFR Part 35 – Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance from the Department of Labor.

• 29 CFR Part 36 – Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance.

• 29 CFR Part 93 – New Restrictions on Lobbying.

• 29 CFR Part 94 – Government-wide Requirements for Drug-Free Workplace (Financial Assistance).

• 29 CFR Part 95 – Grants and Agreements with Institutions of Higher Education, Hospitals and other Non-Profit Organizations, and with Commercial Organizations, Foreign Governments, Organizations Under the Jurisdiction of Foreign Governments, and International Organizations.

• 29 CFR Part 96 – Audit Requirements for Grants, Contracts and Other Agreements.

• 29 CFR Part 98 – Government-wide Debarment and Suspension (Non-procurement).

• 29 CFR Part 99 – Audits of States, Local Governments, and Non-Profit Organizations.

• OMB Circular A-21 – Cost Principles for Educational Institutions.

• OMB Circular A-110 – Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations.

• OMB Circular A-122 – Cost Principles for Non-Profit Organizations.

• OMB Circular A-133 – Audits of States, Local Governments, and Non-Profit Organizations.

On December 26, 2013, OMB published the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Final Rule, 78 Fed. Reg. 78590, which can be found at:  http://www.gpo.gov/fdsys/pkg/FR-2013-12-26/pdf/2013-30465.pdf.  These new rules will supersede the requirements of OMB Circulars A-21, A-87, A-110, A-122, A-89, A-102, and A-133, and the guidance on Circular A-50 on Single Audit Act follow-up.  Federal agencies are required to promulgate a regulation applying the rules by December 26, 2014, at which point the rules will be applied to awards to non-Federal entities.  Awards made prior to promulgation of the new regulations will be governed by the terms and conditions contained in that award.

For more information about the Final Rule and uniform guidance, please visit www.cfo.gov/COFAR.  Crosswalks and side-by-sides with old guidance next to the new language are available at http://www.whitehouse.gov/omb/grants_docs.

4. Transparency

USDOL is committed to conducting a transparent grant award process and publicizing information about program outcomes. Posting grant applications on public Web sites is a means of promoting and sharing innovative ideas. For this grant competition, USDOL will publish all proposal Abstracts on the Department’s public Web site or similar publicly accessible location. Additionally, USDOL will publish a redacted version of the Technical Proposal required by this solicitation for all Awardees, on the Department’s Web site or a similar location. Except for the sections listed above, none of the Attachments to the Technical Proposal described in Section IV will be published. The Technical Proposals and Abstracts will not be published until after the cooperative agreements are awarded. In addition, information about Cooperative Agreement progress and results may also be made publicly available.

USDOL recognizes that grant applications sometimes contain information that an Applicant may consider proprietary or business confidential information, or may contain personally identifiable information. Proprietary or business confidential information is information that is not usually disclosed outside an organization and the disclosure of which is likely to cause the Applicant substantial competitive harm. Personally identifiable information is any information that can be used to distinguish or trace an individual’s identity, such as name, social security number, date and place of birth, mother‘s maiden name, or biometric records; and any other information that is linked or linkable to an individual, such as medical, educational, financial, and employment information.³

Abstracts will be published in the form originally submitted, without any redactions. Applicants should not include any proprietary or confidential business information or personally identifiable information in this summary. In the event that an Applicant submits proprietary or confidential business information or personally identifiable information, USDOL is not liable for the posting of this information contained in the Abstract. The submission of the grant application constitutes a waiver of the Applicant’s objection to the posting of any proprietary or confidential business information contained in the Abstract. Additionally, the Applicant is responsible for obtaining all authorizations from relevant parties for publishing all personally identifiable information contained within the Abstract. In the event the Abstract contains proprietary or confidential business or personally identifiable information, the Applicant is presumed to have obtained all necessary authorizations to provide this information and may be liable for any improper release of this information.

By submission of this grant application, the Applicant agrees to indemnify and hold harmless the United States, USDOL, its officers, employees, and agents against any liability or for any loss or damages arising from this application. By such submission of this grant application, the Applicant further acknowledges having the authority to execute this release of liability.

In order to ensure that proprietary or confidential business information or personally identifiable information is properly protected from disclosure when USDOL posts the winning Technical Proposals, Applicants whose Technical Proposals will be posted will be requested by the Grant Office to submit a redacted version of their Technical Proposal, with any proprietary or confidential business information and personally identifiable information redacted. All non-public information about the Applicant’s and subgrantee or subcontractor members’ staff (if applicable) should be removed as well.

Submission of a redacted version of the Technical Proposal will constitute permission by the Applicant for USDOL to make the redacted version publicly available. USDOL will also assume that by submitting the redacted version of the Technical Proposal, the Applicant has obtained the agreement of all persons and entities whose proprietary, confidential business information, or personally identifiable information is contained in the Technical Proposal to publish any unredacted information which fits under either category. If an Applicant fails to provide a redacted version of the Technical Proposal by the deadline established by USDOL, USDOL will publish the original Technical Proposal in full, after redacting only personally identifiable information. (Note that the original, unredacted version of the Technical Proposal will remain part of the complete application package, including the Applicant’s proprietary and confidential business information and any personally identifiable information).

Applicants are encouraged to maximize the grant application information that will be publicly disclosed, and to exercise restraint and redact only information that clearly is proprietary, confidential commercial/business information, or capable of identifying a person. The redaction of entire pages or sections of the Technical Proposal is not appropriate, and will not be allowed, unless the entire portion merits such protection. Should a dispute arise about whether redactions are appropriate, USDOL will follow the procedures outlined in the Department’s Freedom of Information Act (FOIA) regulations (29 CFR Part 70).

Redacted information in grant applications will be protected by USDOL from public disclosure in accordance with federal law, including the Trade Secrets Act (18 U.S.C. § 1905), FOIA, and the Privacy Act (5 U.S.C. § 552a). If USDOL receives a FOIA request for an application, the procedures in USDOL’s FOIA regulations for responding to requests for commercial/business information submitted to the government will be followed, as well as all FOIA exemptions and procedures. 29 CFR § 70.26. Consequently, it is possible that application of FOIA rules may result in release of information in response to a FOIA request that an Applicant redacted in its “redacted copy.”

5. Transparency Act Requirements

Applicants must ensure that necessary processes and systems are in place to comply with the reporting requirements of the Federal Funding Accountability and Transparency Act of 2006 (Pub. Law 109-282, as amended by section 6202 of Pub. Law 110-252). Complete information on the reporting requirements of the Transparency Act, as described in 2 CFR Part 170, Appendix A, can be found at the following Web site: http://edocket.access.gpo.gov/2010/pdf/2010-22705.pdf.

3. Reporting

Grantees must submit copies of all required reports to USDOL by the specified due dates, unless otherwise indicated. More information on the reports and exact timeframes for their completion will be included in the cooperative agreement.

7. Agency Contacts

Agency contact information is available on the cover page of the SCA.

8. Other Information

1. OMB Information Collection

This SCA requests information from Applicants. This collection of information is approved under 1225-0086 OMB Information Collection No 1225-0086 (expires January 31, 2016). According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 40 hours per response. These estimates include time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, completing and reviewing the collection of information, and drafting the proposal. Any comments about the burden estimated or any other aspect of this collection of information, including suggestions for reducing this burden, should be directed to the ETA.

This information is being collected for the purpose of awarding a cooperative agreement. The information collected through this SCA will be used by the USDOL to ensure that cooperative agreements are awarded to the Applicant(s) best suited to perform the functions of these cooperative agreements. Submission of this information is required in order for the Applicant to be considered for award of a cooperative agreement.

2. Privacy Act and FOIA

Any information submitted in response to this solicitation will be subject to the provisions of the Privacy Act and the FOIA, as appropriate.

9. Appendices

1. Acronyms

CFR Code of Federal Regulations

DBMS Direct Beneficiary Monitoring System

DUNS Dun and Bradstreet

ETA Education and Training Administration

FCA U.S. Federal Cognizant Agency

FFR Federal Financial Report

FOIA Freedom of Information Act

GO Grant Officer

GOR Grant Officer's Representative

ILAB Bureau of International Labor Affairs

ILO International Labor Organization

MPG Management Procedures and Guidelines

NICRA Negotiated Indirect Cost Rate Agreement

OCFT Office of Child Labor, Forced Labor, and Human Trafficking

OMB Office of Management and Budget

PIO Public International Organization

SAM System for Award Management

SF Standard Form

SCA Solicitation for Cooperative Agreement Applications

TDA Trade and Development Act

TPR Technical Progress Report

USDOL U.S. Department of Labor

2. Definitions

1. “Acceptable work,” while not specifically defined in the ILO Conventions, is work that is performed by children who are of legal working age, in accordance with national legislation and international standards, namely ILO Conventions 182 and 138; non-hazardous; non-exploitative; and does not prevent a child from receiving the full benefit of an education. For example, “acceptable work” would generally include light work that is compatible with national minimum age legislation and education laws.

2. A “Child” or “children” are individuals under the age of 18 years. For the purposes of this solicitation, the term “youth” will be used for older children who are age 15 to 18 years. “Child labor” is defined by a combination of three international conventions and individual countries’ legal frameworks. U.N. Convention on the Rights of the Child (1989) and its option protocols provide an overall framework of human rights for children, including their right to protection from economic exploitation and hazardous work. ILO Convention number 138 on the Minimum Age (1973) sets age 15 as the minimum age for ordinary work, age 18 as the minimum age for hazardous work, and age 13 as the minimum age for light work. ILO Convention 182 on the Worst Forms of Child Labor (1999) prohibits the use of children in slavery, commercial sexual exploitation, and other illicit activities (such as drug trafficking), and hazardous work, or “work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children.” While ILO’s Worst Forms of Child Labor Recommendation, 1999 (No. 190) attempts to further define the Worst Forms, according to Article 4 of Convention 182, countries are able to define hazardous work in their own context, meaning that there is no single legal definition of child labor that can be used around the world. Taken together, ILO Conventions 182 and 138 and ILO Recommendation 190 provide the definitional basis for the following terms: exploitative child labor, worst forms of child labor, and hazardous work for children. Child labor is therefore a narrower concept than “children in employment”, excluding children who are working only a few hours a week in permitted light work and those above the minimum age whose work is not classified as a worst form of child labor, including those in “hazardous work”, in particular. Child Labor includes those children (minors under age 18) working in the worst forms of child labor as outlined in ILO Convention 182 and children engaged in work that is exploitative and/or interferes with their ability to participate and complete required years of schooling, in line with ILO Convention 138. ILO Convention 182 defines the worst forms of child labor as:

1. all forms of slavery or practices similar to slavery, such as the sale and trafficking of children, debt bondage and serfdom and forced or compulsory labor, including forced or compulsory recruitment of children for use in armed conflict;

2. the use, procuring or offering of a child for prostitution, the production of pornography or for pornographic performances;

3. the use, procuring or offering of a child for illicit activities, in particular for the production and trafficking of drugs as defined in the relevant international treaties; and

4. work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children.

Grantees are encouraged to consult Recommendation 190 accompanying C. 182 for additional guidance on identifying hazardous forms of work. According to ILO Convention 182, hazardous work “shall be determined by national laws or regulations or by the competent authority, after consultation with the organizations of employers and workers concerned, taking into consideration relevant international standards…” As this suggests, forms of work identified as “hazardous” for children [Article 3(d)] may vary from country to country. ILO Recommendation No. 190, which accompanies ILO Convention 182, gives additional guidance on identifying “hazardous work.” ILO Recommendation No. 190 states in Section II, Paragraph 3 that, “[i]n determining the types of work referred to under Article 3(d) of the Convention [ILO Convention 182], and in identifying where they exist, consideration should be given, inter alia to:

1. work which exposes children to physical, psychological, or sexual abuse;

2. work underground, under water, at dangerous heights or in confined spaces;

3. work with dangerous machinery, equipment and tools, or which involves the manual handling or transport of heavy loads;

4. work in an unhealthy environment which may, for example, expose children to hazardous substances, agents or processes, or to temperatures, noise levels, or vibrations damaging to their health;

5. work under particularly difficult conditions such as work for long hours or during the night or work where the child is unreasonably confined to the premises of the employer.

ILO Recommendation No. 190 goes on to state in Paragraph 4 that, “[f]or the types of work referred to under Article 3(d) of the Convention and Paragraph 3 above, national laws or regulations or the competent authority could, after consultation with the workers’ and employers’ organizations concerned, authorize employment or work as from the age of 16 on condition that the health, safety and morals of the children concerned are fully protected, and that the children have received adequate specific instruction or vocational training in the relevant branch of activity.”

3. “Child labor monitoring system” CLMS involves the identification, referral, protection, and prevention of child labor through the development of a coordinated multi-sector monitoring and referral process that aims to cover all children living in a given geographical area.

Progress in this field can be demonstrated if one or several of the following systems has been established:

• A comprehensive plan and/or pilot program to develop and establish national, local or sector specific CLMS.

• A CLMS covering various forms of child labor at the national level;

• A CLMS covering various forms of child labor at the local level:

• A CLMS in any formal or informal sector, urban or rural.

A comprehensive and credible CLMS includes the following characteristics:

• The system is focused on the child at work and/or in school;

• It involves all relevant partners in the field, including labor inspectors if appropriate;

• It uses regular, repeated observations to identify children in the workplace and determine risks to which they are exposed;

• It refers identified children to the most appropriate alternative to ensure that they are withdrawn from dangerous work;

• It verifies whether the children have actually been removed and/or shifted from dangerous work to an appropriate situation (school or other);

• It tracks these children after their removal, to ensure that they have satisfactory alternatives; and

• It keeps records on the extent and nature of child labor and the schooling of identified child workers.

4. “Children at high-risk of entering child labor” refers to children who experience a set of conditions or circumstances (family environment or situation, proximity to economic activities prone to employ children, etc.) under which the child lives or to which the child is exposed that make it more likely that the child will be employed in child labor (e.g. siblings of working children). The definition of high-risk should be defined by the project and used in the baseline survey.

5. “Cooperative agreement” refers to an award instrument where substantial involvement is anticipated between the donor (USDOL) and the Grantee during the performance of project activities. The level of monitoring and accountability required by USDOL under a cooperative agreement is less than what is required under a contract, but more than what is required under a regular grant.

6. “Cost sharing” means any method by which the Grantee accomplishes the work of the grant, or work that supports or enhances the goals of the grant, with funds or other things of value obtained from the Grantee and/or non-Federal third parties. These methods may include “matching funds” and “in-kind contributions.”

7. “Decent work” is an initiative led by the ILO that promotes higher productivity and fair income for all workers. It is based on four components: (1) job creation, (2) exercise of labor rights, (3) expansion of social protection programs, and (4) social dialogue.

8. “Direct beneficiaries” are children and households that have been provided with educational and livelihood services.

9. “Direct beneficiary monitoring system” monitors provision of educational and livelihood services provided to direct beneficiaries as well as monitoring of children’s education and work status.

10. “Direct educational services” may involve either of the following:

The provision of goods and/or services (if lack thereof is a barrier to education) that meets direct beneficiaries’ specific needs and results in their enrollment in at least one of the four categories of educational activities listed below. Examples of goods and/or services that may meet the specific gaps/educational needs of targeted children include tutoring, school meals, uniforms, school supplies and materials, books, tuition and transportation vouchers, or other types of non-monetary incentives.

The four categories of educational activities that qualify are:

• Non-formal or basic literacy education- This type of educational activity may include transitional, leveling, or literacy classes so that a child may either be mainstreamed into formal education and/or can participate in vocational training activities;

• Vocational, pre-vocational, or skills training- This type of training is designed to develop a particular, marketable skill (i.e., mechanics, sewing);

• Formal education - This is defined as the formal school system within the select country; or

• Mainstreaming - This type of educational activity involves transitioning children from non-formal education into the formal education system. Generally, mainstreaming involves the provision of goods and/or services that may assist in placement testing and enable a child to attend and stay in school.

OR

The direct provision of at least one of the following two educational activities by the project to its direct beneficiaries:

• Non-formal or basic literacy education; or

• Vocational, pre-vocational, or skills training.

Grantees must be able to match a particular service or educational or training opportunity to an individual child. Therefore, project interventions such as infrastructure improvements to schools and other learning environments, teacher training, construction of latrines, inclusion of child labor modules in teacher curriculum, or the provision of classroom chalkboards are not considered “direct educational services” as defined above (see definition of “other project interventions”).

11. “Direct services” are interventions that include educational and livelihood services provided by the project.

12. “Educational services” refers to formal or non-formal education:

• Formal education services refer to education provided and/or recognized by the government. Formal education may include government schools, private schools, religious schools, etc. The support of formal education may involve the provision of goods and/or services including direct costs such as school fees and teaching and learning materials and indirect costs such as school uniforms, transportation costs, etc. These goods and/or services are intended to ensure that the child will attend and stay in school.

• Non-formal education services refer to education provided by any organization or body outside of the formal school system. This education may include literacy, mainstreaming education, accelerated learning, community-based education, bridge courses, remedial education, life skills, etc. Non-formal education services may lead to mainstreaming into formal education or equivalent school certificates.

• Vocational education services refer to education and/or training related to a specific vocation, trade or occupation. For the purposes of a project(s) funded under this solicitation, a child under the age of 18 who receives vocational education services will be counted as having received an educational service. Vocational education services may also be provided to individuals 18 years of age and older in a household, including older siblings of working or at-risk children under the age of 18, if the provision of such services is intended to reduce the likelihood of child labor for a child in that household as a result of improvements to the household’s livelihood. In such cases, the Grantee will report this vocational service to DOL as a livelihood service provided by the project.

13. “Forced labor” refers to all work or service that is exacted from any individual under menace of any penalty for nonperformance of the work or service, and for which the work or service is not offered voluntarily; or the work or service is performed as a result of coercion, debt bondage, or involuntary servitude. This definition is derived from ILO Convention 29 (Forced Labor). For a more detailed description of indicators of forced labor, Applicants also should review “Hard to See, Harder to Count: Survey Guidelines to Estimate Forced Labor of Adults and Children.”⁴

14. “Hazardous work” The worst forms of child labor referred to in Article 3(d) of Convention 182 are known as “hazardous work.” According to ILO Convention 182, hazardous work “shall be determined by national laws or regulations or by the competent authority, after consultation with the organizations of employers and workers concerned, taking into consideration relevant international standards…” As this suggests, forms of work identified as “hazardous” for children [Article 3(d)] may vary from country to country. ILO Recommendation No. 190, which accompanies ILO Convention 182, gives additional guidance on identifying “hazardous work.” ILO Recommendation No. 190 states in Section II, Paragraph 3 that, “[i]n determining the types of work referred to under Article 3(d) of the Convention [ILO Convention 182], and in identifying where they exist, consideration should be given, inter alia to:

1. work which exposes children to physical, psychological, or sexual abuse;

2. work underground, under water, at dangerous heights or in confined spaces;

3. work with dangerous machinery, equipment and tools, or which involves the manual handling or transport of heavy loads;

4. work in an unhealthy environment which may, for example, expose children to hazardous substances, agents or processes, or to temperatures, noise levels, or vibrations damaging to their health;

5. work under particularly difficult conditions such as work for long hours or during the night or work where the child is unreasonably confined to the premises of the employer.”

ILO Recommendation No. 190 goes on to state in Paragraph 4 that, “[f]or the types of work referred to under Article 3(d) of the Convention and Paragraph 3 above, national laws or regulations or the competent authority could, after consultation with the workers’ and employers’ organizations concerned, authorize employment or work as from the age of 16 on condition that the health, safety and morals of the children concerned are fully protected, and that the children have received adequate specific instruction or vocational training in the relevant branch of activity.”

15. “Indirect beneficiaries” are individuals who may benefit from “other direct services” and/or “other project interventions” provided by the project but who do not receive a “direct educational service.” Such individuals would not qualify as direct beneficiaries.

16. “In-Kind contributions” means goods or services committed to the project by the Grantee and/or a non-Federal third party. A Grantee will be responsible for obtaining such goods or services from the third party and applying them to the work of the grant. Failure to do so may result in USDOL’s disallowance of costs in the amount of the committed in-kind contributions.

17. “Key stakeholders” can include, but are not limited to: parents, educators, community leaders, national policy makers, and key opinion leaders.

18. “Livelihood” is defined as a means of living, and the capabilities, assets (including both material and social resources, such as, food, potable water, health facilities, educational opportunities, housing, and time for participation in the community), and activities required for it. A livelihood encompasses income, as well as social institutions, gender relations, and property rights required to support and sustain a certain standard of living. It includes access to and benefits derived from social and public services provided by the state, such as education, health services, and other infrastructure. Sustainable livelihood programs seek to create long-lasting solutions to poverty by empowering their target population and addressing their overall well-being. USDOL child labor elimination projects focus on ensuring that households can cope with and recover from the stresses and shocks and maintain or enhance present and future capabilities and assets in a way that helps them overcome the need to rely on the labor of their children to meet basic needs.

19. “Livelihood services” may include, but are not limited to, the provision or linkage to education and training, employment services, economic strengthening services, improved access to savings and credit, and social capital services. Definitions of livelihood services include, but are not limited to, the following categories:

• Livelihood education and training services aim to provide adult participants with the basic skills and knowledge necessary to benefit from social services, financial services, and higher education. Education and training services may include the provision or linkage to life skills, leadership training, financial education, and literacy and numeracy programs. Only adults⁵ may be counted in this category as receiving education and training services.

• Improved access to savings and credit aims to mitigate economic shocks by leveling out the income of participants over time. These services may include village savings and loan programs, micro-insurance, micro-savings, (un)conditional cash transfer programs, health services, food programs, housing, and initiatives that aim to diversify the income sources of participants. Adults and children may receive these services.

• Social capital services aim to expand a participant’s connection within and between social networks. Social capital services may include the provision or linkage to support groups and labor sharing arrangements. Adults and children may receive social capital services.

• Employment services aim to increase employment, job retention, earnings, and occupational skills of participants. Employment services may include the provision or linkage to employment assistance programs, vocational and business training, business start-up packages, occupational safety and health training, micro-franchise programs, job placement, apprenticeships and public works programs. Adults and children of the legal working age may receive employment services.

• Economic strengthening services aim to increase the economic well-being of participants. Economic strengthening services may include the provision or linkage to micro-credit, productivity transfers, and cooperatives. Adults and children of the legal working age may receive economic strengthening services.

• Productivity transfers are inputs aimed at improving the productivity and/or efficiency of processes and may include, for example, training, seeds, fertilizers, fuel, and labor-saving technologies.

• Cooperatives are groups owned and operated by individuals, organizations, or businesses for their mutual benefit. For example, agricultural cooperatives or farmers' cooperatives may provide services, such as training, to individual farming members; pool production resources (land, machinery) so that members can farm together; provide members with inputs for agricultural production, such as seeds, fertilizers, and machinery; and engage in the transformation, distribution, and marketing of farm products.

20. “Matching Funds” means cash or cash equivalents committed to the project by the Grantee and/or a non-Federal third party. A Grantee will be responsible for obtaining such funds from the third party and applying them to the work of the grant. Failure to do so may result in USDOL’s disallowance of costs in the amount of the committed matching funds.

21. “Monitoring and evaluation” M&E consists of two basic components —performance monitoring and evaluation— each of which serve distinct purposes. Performance monitoring of changes in performance indicators reveals whether desired results are occurring and whether implementation is on track. In general, the results measured are the direct and near-term consequences of project activities. Evaluation is the systematic collection and analysis of information about the characteristics and outcomes of programs and projects as a basis for judgments, to improve effectiveness, and/or to inform decisions about current and future programming.

22. “Occupational safety and health” encompasses issues related to safe and healthy working environments and efforts to prevent workers from occupational injuries, diseases, and deaths.

23. “Other direct services” are services (1) considered essential for ensuring reduction of children in child labor and (2) provided directly to the project’s direct beneficiaries. Some examples of “other direct services” would include extracurricular activities during school breaks and psychosocial counseling or medical care (e.g., for children withdrawn from commercial sexual exploitation, child soldiering). Another example would be providing direct beneficiaries who meet minimum age requirements for employment (particularly children 15-17 years) with occupational safety and/or health interventions that promote safe, acceptable work (e.g., protective masks, goggles, gloves) or job placement services to facilitate children’s transition from a vocational or skills training program into acceptable work. If the project provides children with one or more “other direct services” but does not provide them with a “direct educational service,” then the project cannot count these children as “direct beneficiaries.” However, such children may be considered “indirect beneficiaries.”

24. “Public International Organization (PIO)” is an international organization composed mainly of countries. As defined by the International Organizations Immunities Act, 22 U.S.C. § 288, et. seq, PIOs are eligible to apply for award.

25. “Social protection programs” include government interventions that seek to mitigate the impact of economic shocks, promote equity, and reduce poverty by providing social assistance to vulnerable populations. These can include cash transfers, microloans, health insurance, scholarships, savings, vocational training, and temporary jobs. Some of USDOL-funded projects have worked with governments to include project beneficiaries in social protection programs, provide project services to social protection beneficiaries, or conduct joint initiatives to combat child labor within the social-protection programs’ framework.

26. ”Youth” means persons between the ages of 15 and 24 years. However, for the purposes of this solicitation, USDOL defines youth as ages 15 to 18 unless otherwise specified in the text.

27. “Youth development” is defined as a process which prepares young people to meet the challenges of adolescence and adulthood through a coordinated, progressive series of activities and experiences which help them to become socially, morally, emotionally, physically, and cognitively competent. Positive youth development addresses the broader developmental needs of youth, in contrast to deficit-based models which focus solely on youth problems.

28. “Youth employment” seeks to provide employment opportunities for youth ages 15 to 24 who currently lack decent work and face underemployment, temporary and involuntary work with few benefits, and limited opportunities for advancement. USDOL projects recognize the value of safe work for youth and their families and may support efforts to (1) promote youth employment opportunities that ensure youth can access educational, developmental, vocational, economic, and social opportunities, and (2) protect working children from hazards in the workplace.

3. Sample Past Performance Table

Name of Applicant/ Subgrantee/ Subcontractor	Agency/ Donor/ Organization	Agency/ Donor/ Contact Information (Name, telephone, fax, e-mail)	Name of the Project and Instrument Number	Funding Amount (in $)	Country of Implementation and Period of Performance	Brief Summary of Work Performed and Accomplishments

4. Documents Required for Application Submission

Required Documents	SCA Reference	Applicant	Subgrantee (providing services related to project intervention strategies)	Subcontractor (providing services related to project intervention strategies )
Technical Proposal	Section IV.B.1	√
Cost Proposal	Section IV.B.2	√
Past Performance Table	Section IV.B.1.d.1 Appendix C	√	√	√
Copy of the opinion letter(s) and a summary of audit findings	Section IV.B.1.d.5	√	√	√
Documentation of Host Country Presence and Host Government Support	Section IV.B.1.d.2	√
Key Personnel Signed Letters of Commitment	Section IV.B.1.d.4	√	√	√
Outputs-Based Budget	Section IV.B.2.c	√	√	√
SAM Registration	Section IV.B.2.a	√
SF-424	Section IV.B.2.b	√
SF-424A	Section IV.B.2.b	√
Indirect Cost Form	Grants.gov and ILAB Web site	√	√	√

Appendix E. Companion Guide to the USDOL Common Indicators

1. Introduction to the USDOL Common Indicators

In an effort to collect comparable information related to the outputs and outcomes of its child labor projects, OCFT has developed a series of common indicators. The OCFT common indicators are:

• the number of children engaged in or at high-risk of entering child labor provided education or vocational services (Education Indicator 1, E1),

• the number of households receiving livelihood services (Livelihood Indicator 1, L1), and

• the number of countries with increased capacity to address child labor or forced labor (Country Capacity Indicator 1, C1).

The common indicators are global, in that they are measured by all OCFT-funded projects from FY2010 onward, as applicable.⁶ Taken together, the indicators broadly measure the contribution and outcomes of OCFT projects as part of international efforts to combat child labor through education, improved livelihoods, and increased country capacity. Supplemental to these three common indicators, where applicable, projects will report on required sub-indicators designed to capture more specific information about various aspects of a project’s work in each of the three areas of education, livelihoods, and capacity building .

Each project will report data on the three common indicators in their Technical Progress Reports (TPR). The project will provide information on the increased capacity of countries directly into Section II.B of their TPR. The education and livelihood indicators will be reported in the USDOL Common Indicator Spreadsheet in Annex A. Each submission of Annex A should include data from all prior reporting periods, in addition to the current reporting period data.

In addition to reporting on the above common indicators, each project will also be responsible for reporting on all project-specific indicators contained in their Performance Monitoring Plans (PMPs), including on the work status of beneficiary children. Results for these indicators must be reported in TPR Annex C (Data Reporting Form).

Education Indicators (definitions of key terms are included in the “Education Definitions” section)

The USDOL education common indicator requires the project to track and record the number of children engaged in or at high-risk of entering child labor provided education or vocational services (E1). In addition, projects will also be required to track three sub-indicators for the relevant specific service being provided by the project: (E2) the number children provided formal education services; (E3) the number of children provided non-formal education services; and (E4) the number of children provided vocational services.

For projects that target children who have been trafficked, that engage in commercial sexual exploitation, or are considered vulnerable to commercial sexual exploitation or trafficking, these children are to be reported on in both:

• E1: “Number of children engaged in or at high-risk of entering child labor provided with educational or vocational services” reporting sheet; and

• E1.1: “Number of children trafficked or in commercial sexual exploitation, or at high-risk of being trafficked or entering commercial sexual exploitation, provided with educational or vocational services” reporting sheet.

The children reported in E1.1 are a subset of the children reported in E1.

For E1.1, USDOL does not require separate reporting on these children broken down by formal education, non-formal education, and vocational services. Such a breakdown is only required for E1 total as described above (E2, E3, E4).

Livelihood Indicators (definitions of key terms are included in the “livelihoods definitions” section below)

Livelihood service provision will be tracked by recording the number of households receiving livelihood services (L1). In addition, projects will track three sub-indicators for the relevant specific service being provided by the project: (L2) the number of adults provided with employment services, (L3) the number of children of legal working age provided with employment services, (L4) the number of individuals provided with economic strengthening services; and (L5) the number of individuals provided with livelihood services other than employment and economic strengthening.

Capacity Building Indicators

Projects will also report on their efforts to increase a country’s capacity to address child labor or forced labor at the local, regional, national, or sectoral level (C1). For the purposes of reporting on this indicator, such efforts include: (1) adaptation of legal framework to meet international labor standards; (2) formulation of policies, plans, or programs to combat child labor or forced labor; (3) inclusion of child labor or forced labor in relevant development, social, and anti-poverty policies and programs ; (4) establishment of a child labor monitoring system; (5) institutionalization of child labor and forced labor research (including evaluation and data collection); and (6) institutionalization of child labor or forced labor training within government agencies.

Instructions and Definitions to Complete the Common Indicator Spreadsheet

Education Indicator E1

Number of children engaged in or at high-risk of entering child labor provided education or vocational services.

(This number should include trafficked or CSEC children, where applicable.)

This table collects data on the number of children provided educational or vocational services. The measurement of E1 is at the child level and aims to count the total number of children who have been provided an educational or vocational service. For the purposes of this indicator, the term “provided” refers to the point at which a child begins receiving his/her first educational or vocational service as a result of the project’s direct support. A child is to be counted as provided with an educational service at the point in time that he/she begins their specific educational service. A child may only be counted once under this indicator during the life of the project. In addition, any service counted as “provided” under this indicator must be linked to a needs assessment that identified the lack of these goods and/or services as a barrier to accessing education for child laborers and at-risk children.

* For definitions of key terms please refer to education indicator definitions.

Education Indicator E1.1

Number of children trafficked or in commercial sexual exploitation, or at high-risk of being trafficked or entering commercial sexual exploitation, provided education or vocational services

Education Indicator E1.1 CSEC & Trafficked Children
E1.1: Number of children trafficked or in commercial sexual exploitation, or at high-risk of being trafficked or entering commercial sexual exploitation, provided education or vocational services
Reporting period		Girls	Boys	Total Children
PERIOD 1 1 Oct. 2011 - 31 Mar. 2012	CAHR Trafficked: Children at High-Risk of being Trafficked.			0
	Trafficked: Children who have been trafficked (not including those in CSEC).			0
	CAHR CSEC: Children at High-Risk of Entering Commercial Sexual Exploitation.			0
	CSEC: Children in Commercial Sexual Exploitation (and not counted as trafficked).			0
	TOTAL Period 1	0	0	0

(Only projects addressing trafficking and CSEC need to report on this indicator.)

This table collects a subset of the data reported in E1. Projects are required to fill out the E1.1 table if their project has direct beneficiaries that are victims of trafficking and/or CSEC or direct beneficiaries that are at high risk of being trafficked or entering into CSEC. After calculating the overall numbers for all direct beneficiaries (including trafficking and CSEC) and reporting them in Table E1, projects should then disaggregate the trafficking and CSEC beneficiaries and report them in Table E1.1. The data collected will represent children provided with services in the current reporting period. Note that the same child should not be reported as both trafficked and in CSEC – they can be counted in only one category.

To report a child that has been a victim of trafficking or CSEC as having been provided education or vocational services in Table E1.1, please consider the following:

• If a child has been trafficked into CSEC, then that child should only be counted as trafficked, NOT CSEC.

• If the child is in CSEC, but has not been trafficked into that situation, then they should only be counted in the CSEC row.

• If a child is in CSEC, but it is unclear whether or not trafficking was involved, only count that child in CSEC.

• If a child is trafficked into any other form of labor exploitation (i.e. non-CSEC), they should be counted as trafficked.

If a project reports a child under E1.1, the project should as a minimum standard have in place and offer to such children specific education and/or non-educational services tailored to the specific needs of these children(e.g., awareness-raising and education focusing on CSEC and trafficking prevention, protection services, counseling, health education, and re-integration). It is recognized that many of the children receiving services may be considered at high risk for being trafficked or entering CSEC. However, for the purpose of reporting beneficiary data on sub-indicator E1.1 through the TPRs, projects should report only on those direct beneficiaries that were successfully targeted (with appropriate services) to prevent them from being trafficked or entering CSEC. In other words, if beneficiaries are not being provided with services tailored to the needs of CSEC/trafficking victims or potential victims, they should not be counted under E1.1.

Education Indicators E2, E3, E4

E2. Number of children engaged in or at high-risk of entering child labor provided formal education services.

E3. Number of children engaged in or at high-risk of entering child labor provided non-formal education services.

E4. Number of children engaged in or at high-risk of entering child labor provided vocational services.

*Please note that in most cases the total for E1 will not equal the totals for E2, E3 and E4. E1 counts the number of individual children provided with educational or vocational services. E2, E3, & E4 count the number of children enrolled in a specific type of service. As it is possible for a child to be enrolled in more than one type of service, the child will need to be reflected in the different categories of services.

These tables collect data on specific types of services provided to the beneficiaries. The objective of these sub-indicators is to identify the number of children who have been provided a particular type of educational or vocational service (e.g. formal education service, non-formal education service, and vocational service).

The data in Tables E2, E3, and E4 are at the level of the number of children. A child is to be counted as provided at the point in time that he/she begins receiving a specific educational service. A child may receive multiple types of educational services if appropriate. However, a child can only be counted once under each of the three types of education services. In other words a child that received services initially in non-formal education and afterwards received formal education will be counted once in E2 and once in E3.

The E2, E3, & E4 tables also require information on the number of children completing the type of educational service. Completion should be marked during the reporting period when graduation occurred or at the conclusion of the project. Each project should have an USDOL-approved definition of completion that is specific to their project and interventions. That approved definition should be the basis for reporting on completion in these tables.

It is USDOL’s expectation that projects will provide the necessary support to assist children in succeeding in their respective educational programs, including transitioning successfully to the appropriate next level or type of service (for example, from non-formal to formal or vocational training to decent work).

Education Definitions (E1, E2, E3, E4)

Child labor under international standards very generally refers to all work performed by a person below the age of 15, as described in ILO Convention 138. It also includes all work performed by a person below the age of 18 in the following practices as described in ILO Convention 182 on the Worst Forms of Child Labor: (A) all forms of slavery or practices similar to slavery, such as the sale or trafficking of children, debt bondage and serfdom, or forced or compulsory labor, including forced or compulsory recruitment of children for use in armed conflict; (B) the use, procuring, or offering of a child for prostitution, for the production of pornography or for pornographic purposes; (C) the use, procuring, or offering of a child for illicit activities in particular for the production and trafficking of drugs; and (D) work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety, or morals of children. The work referred to in subparagraph (D) should be determined consistent with international standards, including ILO Recommendation 190, and is generally determined by the laws, regulations, or competent authority of the country involved.

Children at high-risk of entering child labor refers to children who are not yet in child labor and who experience or are exposed to a set of conditions or living circumstances (family environment or situation, proximity to economic activities prone to employ children, etc.) that make them more likely to be working in child labor (e.g. siblings of working children). The definition of high-risk should be defined by the project and utilized in the baseline survey.

Light Work refers to work by children from 13 to 15 years of age that is permissible if defined as so by national laws or regulations. Light work, as stated in Convention 138, must not be harmful to children’s health or development nor prejudice their attendance at school or participation in approved vocational orientation or training programs. National laws may also permit such work for children who are at least 15 years of age but not yet completed compulsory schooling.

Child trafficking is defined based on international standards and conventions. The UN Protocol to Prevent, Suppress and Punish Trafficking in Persons, Especially Women and Children, defines trafficking as: “…the recruitment, transportation, transfer, harboring or receipt of persons, by means of the threat or use of force or other forms of coercion, of abduction, of fraud, of deception, of the abuse of power or of a position of vulnerability or of the giving or receiving of payments or benefits to achieve the consent of a person having control over another person, for the purpose of exploitation.” The ILO has developed the following criteria and guidelines to help identify the trafficking of children specifically. The following elements should be considered:

• A child is a person under the age of 18 years;

• Recruitment, transportation, transfer, harboring or receipt, whether by force or not, by a third person or group;

• The third person or group organizes the recruitment and/or these other acts for exploitative purposes;

• Movement may not be a constituent element for trafficking in so far as law enforcement and prosecution is concerned. However, an element of movement within a country or across borders is needed – even if minimal – in order to distinguish trafficking from other forms of slavery and slave-like practices enumerated in Art 3 (a) of ILO Convention 182, and ensure that trafficking victims separated from their families do get needed assistance;

• Exploitation includes:

1. all forms of slavery or practices similar to slavery, debt bondage and serfdom and forced or compulsory labor, including forced or compulsory recruitment of children for use in armed conflict (ILO Convention No. 182, Art. 3(a));

2. the use, procuring or offering of a child for prostitution; for the production of pornography or for pornographic performances (ILO Convention No. 182, Art. 3 (b));

3. the use, procuring or offering of a child for illicit activities, in particular for the production and trafficking of drugs as defined in the relevant international treaties (ILO Convention No. 182, Art. 3(c));

4. work which, by its nature or the circumstances in which it is carried out, is likely to harm the health, safety or morals of children (ILO Convention No. 182, Art. 3(d) and ILO Convention No. 138, Art. 3);

5. work done by children below the minimum age for admission to employment (ILO Convention No. 138, Arts. 2 & 7).

• Threat or use of force or other forms of coercion, abduction, fraud or deception, or the abuse of power or a position of vulnerability at any point of the recruitment and movement do not need to be present in case of children (other than with adults), but are nevertheless strong indications of child trafficking.⁷

Commercial Sexual Exploitation of Children (CSEC), covered by category (b) in ILO Convention 182 described above, can be more specifically defined as “sexual abuse by an adult accompanied by remuneration in cash or in kind to the child or third person(s).” The remuneration dynamic distinguishes CSEC from the sexual abuse of a child where commercial gain is absent although sexual exploitation is also abuse. CSEC includes:

• Prostitution in the streets or indoors, in such places as brothels, discotheques, massage parlors, bars, hotels, restaurants, among others;

• Child sex tourism;

• The production, promotion and distribution of pornography involving children; and

• The use of children in sex shows (public or private).⁸

The term completed refers to either a child’s graduation from or the conclusion of a particular education service. A more project-specific definition of completion should be determined by the project and USDOL.

Education services refer to formal and non-formal education services as described below.

Formal Education services refer to education provided and/or recognized by the government. Formal education may include government schools, private schools, religious schools, etc. The support of formal education may involve the provision of goods and/or services including direct costs such as school fees and teaching and learning materials and indirect costs such as school uniforms, transportation costs, etc. These goods and/or services are intended to ensure that the child will attend and stay in school. For education goods and/or services to be counted under the education common indicators, they must be linked to a needs assessment that identified the lack of these goods and/or services as a barrier to accessing education for child laborers and at-risk children.

Non-formal Education services refer to education provided by any organization or body outside of the formal school system. This education may include literacy, mainstreaming education, accelerated learning, community-based education, bridge courses, remedial education, life skills, etc. Non-formal education services may lead to mainstreaming into formal education or equivalent school certificates.

Vocational services refer to education, apprenticeships, and/or training related to a specific vocation, trade or occupation. Vocational education is differentiated from formal or non-formal education and should not be counted under formal and non-formal education services. Vocational services provided by a project should reflect a market assessment to determine appropriate skills needed for securing decent work in a given geographic area.

Livelihood Indicator L1

Number of households receiving livelihood services

This table collects data on livelihood services. The measurement of L1 is at the household level and aims to count the total number of households receiving livelihood services. A household should be counted as receiving a livelihood service when any member of a household is supplied with their first livelihood service. A household may only be counted once in this table even if more than one person in the household receives a livelihood service during consecutive reporting periods (note: at the sub-indicator L2, L3, L4, and L5 level, an individual may be counted under multiple services).

A household is eligible to receive livelihood services if any child in the household is engaged in or at high-risk of entering child labor. The purpose of providing a livelihood service must be to help withdraw or prevent a child from involvement in child labor. An individual may receive multiple livelihood services. (Please refer to the definitions of child labor and high-risk). Please note that a household should be counted as one unit.

Livelihood Indicators L2, L3, L4, L5

L2: Number of adults provided with employment services

L3: Number of children provided with employment services

L4: Number of individuals provided with economic strengthening services

L5: Number of individuals provided with services other than employment and economic strengthening

Livelihood Indicators L2 and L3 and L4 and L5
L2: Number of adults provided with employment services L3: Number of children provided with employment services L4: Number of individuals provided with economic strengthening services L5: Number of individuals provided with services other than employment and economic strengthening
Reporting period	Number of adults provided with employment services		Number of children provided with employment services		Number of individuals provided with economic strengthening services		Number of individuals provided with services other than employment and economic strengthening
	Female	Male	Girls	Boys	Female	Male	Female	Male
PERIOD 1 1 Oct. 2011 - 31 Mar. 2012
PERIOD 2 1 Apr. 2012 - 30 Sept. 2012
TOTAL Fiscal Year 2012	0	0	0	0	0	0	0	0

*Please note that in most cases the total for L1 will not equal the totals for L2, L3 L4, and L5. L1 counts the number of households receiving livelihood services. L2 and L3 count the number of adults and children provided with employment services. L4 counts the number of individuals provided with economic strengthening services. L5 counts the number of individuals provided with services other than employment and economic strengthening. Please also note that OCFT understands (as noted below) that there are many livelihood services outside of employment services and economic strengthening services. USDOL is not placing a special emphasis on providing these specific services by requiring reporting data on them. USDOL does not require or prioritize projects that provide employment or economic strengthening services. Households receiving any livelihood service (including those not classified as employment or economic strengthening, but not including educational or vocational training services for children under the age of 18) should be reported in L1. Projects should follow their proposed livelihood strategy as described in their project proposals.

The data in Tables L2, L3, L4, and L5 are at the individual (adult/child) level. An individual is to be counted at the point in time that he/she is provided with their specific livelihood service. An individual may be provided with multiple types of livelihood services if it is applicable to the individual. However, an individual can only be counted once under each of the types of livelihood services. For example, an adult who is provided with an employment service and subsequently/simultaneously provided with an economic strengthening service, will be counted once in L2 and once in L4.

It is USDOL’s expectation that projects will provide the necessary support to assist individual children and families in succeeding with their respective livelihood programs. USDOL intends to assess the relative success of projects in linking livelihood promotion to reduced child labor when evaluating overall project effectiveness.

Livelihoods Definitions (L1, L2, L3, L4, L5)

An adult is any person equal to or above the age of 18 years.

A child is any person below the age of 18 years.

A household consists of all persons—related family members and all unrelated persons—who occupy a housing unit and have no other usual address. A house, an apartment, a group of rooms, or a single room is regarded as a housing unit when occupied or intended for occupancy as separate living quarters (see http://www.bls.gov/cps/eetech_methods.pdf). Depending on the implementing environment, each project may also have a more detailed definition of a household. Such a project-specific definition must be approved by USDOL.

A Livelihood is defined as a means of living, and the capabilities, assets (including both material and social resources, such as, food, potable water, health facilities, educational opportunities, housing, and time for participation in the community), and activities required for it. A livelihood encompasses income, as well as social institutions, gender relations, and property rights required to support and sustain a certain standard of living. It includes access to and benefits derived from social and public services provided by the state, such as education, health services, microfinance, and other infrastructure. Sustainable livelihood programs seek to create long-lasting solutions to poverty by empowering their target population and addressing their overall well-being. USDOL child labor elimination projects focus on ensuring that households can cope with and recover from the stresses and shocks and maintain or enhance present and future capabilities and assets in a way that helps them overcome the need to rely on the labor of their children to meet basic needs.⁹

Livelihood services may include, but are not limited to, the provision or linkage to education and training, employment services, economic strengthening services, consumption smoothing services, and social capital services. Definitions of livelihood services include but are not limited to the following categories:

• Employment services for adults aim to increase employment, job retention, earnings, and occupational skills of participants. Employment services may include the provision or linkage to employment assistance programs, occupational safety and health training, micro-franchise programs, job placement, apprenticeships and public works programs. For the purposes of reporting on USDOL-funded projects, Grantees may report employment services received by adults¹⁰ under sub-indicator L2. Education and training services for adults will also fall under this sub-indicator. Education and training services aim to provide adult participants with the basic skills and knowledge necessary to benefit from social services, financial services, and higher education. Education and training services may include the provision or linkage to life skills, business or leadership training, financial education, and literacy and numeracy programs. Only adults may be counted in this category as receiving education and training services. Children who receive education and training services are to be counted under E1.

• Employment services for children of legal working age aim to increase employment, job retention, earnings, and occupational skills of participants. Employment services may include the provision or linkage to employment assistance programs, business start-up packages, and occupational safety and health training. Employment services for children do NOT include the provision or linkage to vocational training or apprenticeships as that is captured under E4. For the purposes of reporting on USDOL-funded projects, Grantees may only report employment services received by children of legal working age as a livelihood service under sub-indicator E3.

• Economic strengthening services aim to increase the economic well-being of participants. Economic strengthening services may include the provision or linkage to micro-credit/loan programs, productivity transfers, cooperatives, and consumption smoothing services. For the purposes of reporting on USDOL-funded projects, Grantees may report economic strengthening services received by adults and children of legal working age as livelihood services under sub-indicator L4 [as noted below, children under age 18 may not receive microcredit/loans].

  • Linkage to micro-credit or loan programs means providing target groups with access to financial services via linkages or through a network/association of small-scale finance providers. USDOL-funded projects must assess and safeguard against possible negative impacts of micro-finance on the livelihoods of target beneficiaries or other possible unintended consequences such as the potential of encouraging child labor. Under USDOL-funded projects, children under age 18 may not receive any micro-credit/loan services, though they may receive other micro-finance services.

  • Productivity transfers are inputs aimed at improving the productivity and/or efficiency of processes and may include, for example, training, seeds, fertilizers, fuel, and labor-saving technologies.

  • Cooperatives are groups owned and operated by individuals, organizations or businesses for their mutual benefit. For example, agricultural cooperatives or farmers' co-ops may provide services, such as training, to individual farming members; pool production resources (land, machinery) so that members can farm together; provide members with inputs for agricultural production, such as seeds, fertilizers, and machinery; and engage in the transformation, distribution, and marketing of farm products. Please also see ILO Recommendation 193 on Promotion of Cooperatives for further guidance.

  • Consumption smoothing services aim to mitigate economic shocks by leveling out the consumption of participants over time. Consumption smoothing services may include community-based village savings and loan programs (loans must be used for consumption purposes i.e., medicine, food, or funeral expenses), micro-insurance, micro-savings, remittance services, government cash transfer programs, health services, food programs, housing, and other initiatives that aim to smooth consumption over time.

• Livelihood services other than employment and economic strengthening (L5) include any project-specific interventions that do not fit under the other sub-indicators. Social capital services, for example, aim to connect a participant with networks or groups for purposes including promoting sustainable livelihoods and reducing vulnerability to child labor. Social capital services facilitate the coordination resources for the mutual benefit of the participants. Social capital services may include the provision or linkage to support groups, farmer organizations and labor sharing arrangements. For the purposes of reporting on USDOL-funded projects, Grantees may report social capital services received by adults and children of legal working age as a livelihood service.

• Receiving refers to when any member of a household is supplied with their first livelihood service by the project, as defined by the project’s strategy. Please note that households may receive multiple livelihood services.

Livelihood Indicator L2

Number of adults provided with employment services.

The objective of this sub-indicator is to identify and record data on the specific number of adults provided with employment services. Adults should only be counted in the reporting period within which they were initially provided with their employment service (Provided refers to the point of time when a specified service is given to an individual by the project).

An adult will be eligible to receive livelihood services if they are a member of a household with children that are engaged in or at high-risk of entering child labor. An individual may receive multiple employment services but should only be counted once within this indicator category (though they may also be counted in L4 if they receive economic strengthening services or in L5 if they receive other services). Please refer to the definitions of child labor and high-risk.

*Please note that L2 counts the number of adults provided with employment services. An adult may also be counted under L1 if the employment service is the first livelihood service received by that adult’s household as a result of a project intervention (see definition of receiving).

Livelihood Indicator L3

Number of children of legal working age provided with employment services.

The objective of this sub-indicator is to identify and record data on the specific number of children of legal working age provided with employment services. Children should only be counted in the reporting period within which they were provided their employment service by the project (Provided refers to the point of time when a specified service is initially given to an individual by the project).

A child of legal working age will be eligible to receive livelihood services if they are engaged in or at high-risk of entering child labor. An individual child may receive multiple types of employment services but will be counted only once in this indicator category (though they may also be counted in L4 if they receive economic strengthening services or in L5 if they receive other services). (Please refer to the definitions of child labor and high-risk).

*Please note that L3 counts the number of children of legal working age provided with employment services. A child may also be counted under L1 if the employment service is the first livelihood service received by that child’s household (see definition of receiving).

Livelihood Indicator L4

Number of individuals provided with economic strengthening services.

The objective of this sub-indicator is to identify and record data on the specific number of individuals provided with economic strengthening services. Individuals should be only counted in the reporting period within which they were initially provided their economic strengthening service (Provided refers to the point of time when a specified service is given to an individual by the project).

An individual includes adults and children of legal working age. An individual will be eligible to receive livelihood services if they are a child engaged in or at high-risk of entering child labor or an adult member of a household with children that are engaged in or at high-risk of entering child labor. An individual may receive multiple economic strengthening services but will be reported on only once in this Table.

* Please note that L4 counts the number of individuals provided with economic strengthening services. An individual may also be counted under L1 if the economic strengthening service is the first livelihood service received by that individual’s household (see definition of receiving).

Livelihood Indicator L5

Number of individuals provided with services other than employment and economic strengthening.

The objective of this sub-indicator is to identify and record data on the specific number of individuals provided with all other livelihood services not captured under L2, L3, and L4 (employment and economic strengthening services). Individuals should only be counted in the reporting period within which they were initially provided their service (Provided refers to the point of time when a specified service is transferred to an individual by the project).

An individual includes adults and children of legal working age. An individual will be eligible to receive livelihood services if they are a child engaged in or at high-risk of entering child labor or an adult member of a household with children that are engaged in or at high-risk of entering child labor. An individual may receive multiple services other than employment and economic strengthening, but will be reported on only once in this Table.

* Please note that L5 counts the number of individuals provided with services other than employment and economic strengthening services. An individual may also be counted under L1 if the other service is the first livelihood service received by that individual’s household (see definition of receiving).

Country Capacity Indicator C1

The project has increased the country’s capacity to address child labor or forced labor.

The measurement of C1 is at the local, regional, national, or sectoral level within a country and aims to measure the increased capacity of a country to combat child labor and forced labor. For the purposes of reporting increased country capacity, such efforts will include:

1. adaptation of legal framework to meet international labor standards;

2. formulation of policies, plans, or programs to combat child labor or forced labor;

3. inclusion of child labor or forced labor in relevant development, education, anti-poverty, and other social policies and programs ;

4. establishment of a child labor monitoring system;

5. institutionalization of child labor and forced labor research (including evaluation and data collection); and

6. institutionalization of child labor or forced labor training within government agencies.

The project will provide a narrative description of the efforts made to increase country capacity in Table IIB of the TPR.

Guidance on counting increased capacity:

• To meet the capacity indicator criteria, a project must have played a substantive role in assisting countries in reaching one or more of the outcomes in the capacity categories. The substantive role can include direct technical inputs in drafting or designing policies or programs, consultative discussions with policy makers and stakeholders, financial support, provision of data and statistics, etc. Projects reporting on a capacity outcome must describe (in Table IIB of the TPR) the role of the project in achieving the outcome.

• Actors involved can include government, private sector, industries, international organizations, and civil society organizations, including workers’ and employers’ organizations.

• Under criteria #3, at least one of the following is required: child laborers or forced laborers must be an explicit target group; reduction of child labor must be mainstreamed throughout; or reduction of child labor is made an explicit goal/objective, in any social, educational, and anti-poverty programs.

• Efforts can be on the local, regional, national, and sectoral (e.g., mining, coffee, sugar) levels. For global/regional projects where capacity was increased in multiple countries, the outcome should be counted for each individual country.

• Copies of adopted legislation, policy and program documents/agreements must be included with the corresponding TPR submission.

• Increased capacity will be counted at the point of the final outcome (e.g. child labor policy adopted, legislation amended, etc.) and not at various intermediate stages leading to that outcome. While projects are encouraged to report on updates concerning the progress and process leading to the final outcome, such activities will not count toward the indicator until the final outcome is achieved. Additional examples of accepted types of outcomes are described in the table below.

• In cases where a grantee has more than one project in a single country, and more than one project contributing to a single capacity outcome, the grantee must specify each project’s contribution.

Increased Country Capacity Definitions (C1):

For a definition of child labor, please refer to the definition in the “Education Definitions” section.

Forced labor is all work or service exacted from any person under the menace of any penalty for its nonperformance and for which the worker does not offer himself voluntarily. “Compulsory labor,” “slavery,” “debt bondage,” “bonded labor,” “serfdom,” and “involuntary servitude” are considered to be types of forced labor. 

Increased capacity refers to the enhanced knowledge and ability of governments, individuals, communities, and organizations to effectively achieve goals and develop laws, policies, programs, systems, etc. and sustain in those achievements.

Examples of Country Capacity activities follow in the table below.

Country Capacity to Address Child Labor or Forced Labor

NOTE: The activities under each heading below are illustrative examples and are not intended to be an exhaustive list of possible results.

1. The adaptation of the legal framework to meet international labor standards

Examples of progress in this area include the following:

• Adoption of revised labor code which increases minimum age for work, harmonizing the country’s legal framework with international standards.

• Adoption of new penal code, creating new prohibitions against child pornography and child sex tourism.

• Adoption of local-level ordinances establishing regulations to inspect businesses for child labor;

• Adaptation of labor code or education laws to address child labor concerns;

• Adaptation of criminal code to prohibit certain criminal worst forms of child labor (WFCL);

• Development and adoption of a list of hazardous occupations for children.

• Adoption of new law prohibiting forced labor.

2. Formulation and adoption of specific policies, plans or programs to combat child labor or forced labor

Examples of progress in this area include the following:

• The National Steering Committee has adopted a policy, plan or program on WFCL or a specific WFCL;

• The Ministry of Education has adopted a policy on combating child labor within the education system;

• Social Partners have formally established a policy or program on WFCL or forced labor;

• Private sector businesses develop a code of conduct to prohibit a specific WFCL (e.g.; tourism association creates code of conduct against child sex tourism).

3. The inclusion of child labor or forced labor concerns in relevant development, education, anti-poverty, and other social policies and programs

Examples of progress in this area include the following:

• National or local-level private entities, such as microfinance banks, include child labor reduction as a requirement for loan approval.

• Reduction of child labor is included as an indicator in poverty reduction, development or educational strategies, etc. (e.g., UN Development Assistance Framework, Poverty Reduction Strategy Paper, Education for All, Millennium Development Goals);

• The elimination of child labor or forced labor has been included as an explicit objective in government, private sector, and civil society livelihood programs.

• Child laborers have been considered as a priority target group in the poverty reduction, development or educational strategies, etc.

• Ensuring that children go to school and do not work has been set as a condition for families that wish to benefit from social and stipend programs.

4. Establishment of a child labor monitoring system (CLMS)

To meet this indicator, the CLMS or CLMS plan is established, and all stakeholders have formally agreed to support the CLMS plan and implementation.

A CLMS involves the identification, referral, protection, and prevention of child labor through the development of a coordinated multi-sector monitoring and referral process that aims to cover all children living in a given geographical area.

Progress in this field can be demonstrated if one or several of the following systems has been established:

• A comprehensive plan and/or pilot program to develop and establish national, local or sector specific CLMS.

• A CLMS covering various forms of child labor at the national level;

• A CLMS covering various forms of child labor at the local level:

• A CLMS in any formal or informal sector, urban or rural; or

A comprehensive and credible CLMS includes the following characteristics:

• The system is focused on the child at work and/or in school;

• It involves all relevant partners in the field, including labor inspectors if appropriate;

• It uses regular, repeated observations to identify children in the workplace and determine risks to which they are exposed;

• It refers identified children to the most appropriate alternative to ensure that they are withdrawn from hazardous work;

• It verifies whether the children have actually been removed and/or shifted from hazardous work to an appropriate situation (school or other);

• It tracks these children after their removal, to ensure that they have satisfactory alternatives; and

• It keeps records on the extent and nature of child labor and the schooling of identified child workers.

5. Institutionalization of child labor and forced labor research (including evaluation and data collection)

Examples of progress in this area include the following:

• Government has designed a national or sector or area-based child labor or forced labor survey and has an implementation plan.

• Government (at any level), social partners, or other key stakeholder conduct child labor or forced labor research or data collection on one or several specific forms of child labor or forced labor at the national, regional, or local level.

• Government or social partners or other key stakeholders commission, design or implement a program or impact evaluation of a child labor program or other relevant development program that covers child labor.

• Child Labor outcomes and indicators are an area of analysis in impact evaluations, institutional monitoring and evaluations systems, and evaluations/assessments of poverty reduction, development or educational strategies.

• Data has been collected for national child labor (or forced labor) surveys.

• A national child labor (or forced labor) survey report has been published.

6. Institutionalization of training on child labor or forced labor issues within government agencies

Examples of progress in this area include the following:

• The adoption of curriculum by the Ministry of Education to train teachers on child labor prevention;

• The creation of a training program and budget on the identification of and assistance to child laborers or forced for government officials in social service agencies;

• The development of an annual child labor or forced labor training program and budget for labor inspectors.

• The establishment of a training program and budget for judicial and law enforcement officials on the criminal worst forms of child labor and their identification.

• Annual line item budgetary allocations to implement child labor or forced labor training programs for labor inspectors.

Appendix F. Current Required Outcome Indicators

This list of current required outcome indicators for project CMEPs may be subject to change.

• % of target households with child laborers

• % of target households with children in hazardous labor

• % of target households with children in other WFCL*

• % of target households with all children of compulsory school age attending school

• % of project beneficiary children in child labor

• % of project beneficiary children in hazardous labor

• % of project beneficiary children in other WFCL*

* Only if applicable

Appendix G. Technical Progress Report Template

Technical Progress Report

Report Date:

Month and Year

Technical Progress Report Cover Sheet

1. Federal Agency and Organization Element to Which Report is Submitted USDOL/ILAB/OCFT	2. Federal Grant Number			3. DUNS Number
4. Country and Project Name
5. Recipient Organization Contact Information Headquarters		Field
6. Project/Grant Period Start Date: (Month Day, Year) End Date: (Month Day, Year)		7. Reporting Period End Date (Month Day, Year)			8. Final Report? Yes No
					9. Report Frequency
					semi-annual other
10. Attachments (Please mark the checkboxes below to indicate the annexes attached.) Technical Progress Report Annex A: USDOL Common Indicator Spreadsheet (attach the Excel file provided separately) Annex B: Country Capacity Targets (submitted with each October TPR for the following fiscal year) Annex C: Status of Project Performance Against Indicators Annex D: Response to Donor Comments from Last Technical Progress Report Annex E: Update on Project Activities in Response to Evaluation and Audit Recommendations Annex F: Updated Project Work Plan Annex G: Status of VAT Exemption Annex H: Other Documents Annex I: Acronym List
12. Certification: I certify to the best of my knowledge and belief that this report is correct and complete for performance of activities for the purposes set forth in the award documents.
12a. Printed Name and Title of Authorized Certifying Official			12c. Telephone
			12d. Email Address
12b. Signature of Authorized Certifying Official			12e. Date Report Submitted (Month Day, Year)

1. Country information and developments

Summarize the country context and events during the reporting period that are relevant to issues of child labor, education, and livelihoods. This section should also include relevant information on new or proposed changes to national legislation, policies, or plans of action. If relevant, please include links to relevant laws and policies or submit as attachments.

2. progress of the project

   1. Project Status and Overview

Provide the project’s overall status, including whether it is on schedule, and explain any major delays or challenges. Briefly summarize significant efforts undertaken during the reporting period in 3-5 sentences.

2. Assessment of Progress towards Strategic Goals, Objectives, and Indicators

In each of the categories below, describe the project activities in comparison with the established work plan for the reporting period. Include descriptions of the implementation process, changes to the planned strategy or approach, progress made, activities implemented, results accomplished, and explanations for delays or problems encountered.

1. Direct Beneficiary Service Provision: Direct beneficiaries are to be tracked in Annex A – USDOL Common Indicator Spreadsheet. This spreadsheet must be filled out and submitted electronically as a separate document with each TPR. Individual fiscal year targets must be submitted for the full project implementation period in each October TPR.¹¹ Instructions for how this spreadsheet is to be used, along with relevant definitions can be found in Companion to the USDOL Common Indicators Spreadsheet.

1. Provision of Educational Opportunities to Children

2. Provision of Livelihood Interventions to Households

2. Strengthening Legislation and Policies, Building Capacity of National Institutions: Note that the table below will be considered as the project’s contribution to the USDOL Common Indicator for Country Capacity. Please refer to the Companion to the USDOL Common Indicator Spreadsheet for instructions. In the left column, please describe relevant project activities implemented during the reporting period toward achieving the overall capacity objective even if the final outcome is not yet realized. In the right column, list only the resulting final capacity outcomes achieved, per the Companion definitions.

USDOL Common Indicator: Country Capacity to Address Child Labor or Forced Labor (C1)
1. The adaptation of the legal framework to meet international labor standards
Project Efforts:	Final Outcomes Achieved:
2. Formulation and adoption of specific policies, plans or programs to combat child labor or forced labor
Project Efforts:	Final Outcomes Achieved:
3. The inclusion of child labor or forced labor concerns in relevant development, education, anti-poverty, and other social policies and programs
Project Efforts:	Final Outcomes Achieved:
4. Establishment of a child labor monitoring system (CLMS)
Project Efforts:	Final Outcomes Achieved:
5. Institutionalization of child labor and forced labor research (including evaluation and data collection)
Project Efforts:	Final Outcomes Achieved:
6. Institutionalization of training on child labor or forced labor issues within government agencies
Project Efforts:	Final Outcomes Achieved:

1. Raising Awareness

2. Research

3. Sustainability: Describe the key activities which the project hopes to make sustainable and steps which have been taken to facilitate sustainability.

1. Monitoring and Evaluation: Please provide an update on the project’s monitoring efforts. For projects with impact evaluation components, please report on any major activities or issues.

2. Other: Describe any other project activities or accomplishments not addressed above.

3. ISSUES AFFECTING THE ACHIEVEMENT OF PROJECT OBJECTIVES

Describe problems or issues which have been encountered, are currently emerging, or are anticipated over the next 6 months. Items listed may include technical, administrative, or financial issues, as well as concerns with stakeholders or partner agencies or external factors affecting the project.

Problem or Issue	Proposed Solution/Actions Taken
1.	1.
2.	2.
3.	3.
4.	4.

4. Lessons learned

Describe lessons learned, from both positive and negative experiences, which may include (but are not limited to) methods of implementation of program objectives, project management, communication, partnerships, engagement of stakeholders, or partner capacity building.

5. emerging good practices

Describe in detail any emerging good practices in your program.

6. LIST OF ACTIVE SUBGRANTS AND SUBCONTRACTS

Please list current subawards to corporations, individuals, nonprofits, and government agencies. Note that all subcontracts to government entities must receive a separate prior approval from USDOL.

Recipient/ Contractor	Activity Description	Dollar Amount	Start Date	Anticipated Completion Date	Date(s) of all Oversight and Field Visits

7. Anticipated Activities During the Next Reporting Period

List each of the project-specific objectives and provide a description of the planned activities and accomplishments per the updated work plan for the upcoming reporting period. Include descriptions of the implementation process, changes to the planned strategy, and explanations for any changes.

1. Direct Beneficiary Service Provision

1. Provision of Educational Opportunities to Children

2. Provision of Livelihood Interventions to Households

2. Strengthening Legislation and Policies, Building Capacity of National Institutions

1. The adaptation of the legal framework to meet international labor standards

2. Formulation and adoption of specific policies, plans or programs to combat child labor or forced labor

3. The inclusion of child labor or forced labor concerns in relevant development, education, anti-poverty, and other social policies and programs

4. Establishment of a child labor monitoring system (CLMS)

5. Institutionalization of child labor and forced labor research (including evaluation and data collection)

6. Institutionalization of training on child labor or forced labor issues within government agencies

3. Raising Awareness

4. Research

5. Sustainability

6. Monitoring and Evaluation

7. Other

8. PROJECT HIGHLIGHT

Highlight one achievement, revelation, or experience of the project during the reporting period. To facilitate information sharing, these highlights will be included in an email to all OCFT Grantees. Examples of highlights could include: engaging in a new partnership; success of a new and innovative training; or a case study of a beneficiary.

9. LIST OF REQUIRED ANNEXES TO SUBMIT WITH REPORT

Attach the following documents to every technical progress report.

Annex A: USDOL Common Indicators Spreadsheet (Excel)

See the Companion to the USDOL Common Indicator Spreadsheet for definitions and instructions. (Submit results with every TPR, and update current and future fiscal year targets in each October TPR only.)¹²

Annex B: Current and Long-Term Targets for Improving Country Capacity to Address Child Labor or Forced Labor (Submit with each October TPR)

See the Companion to the USDOL Common Indicator Spreadsheet for definitions and examples for Country Capacity.

Annex C: Status of Project Performance Against Indicators

Report using the project-specific tracking tool developed within the comprehensive monitoring and evaluation plan of the project.

Annex D: Response to Donor Comments from Last Technical Progress Report

Also include any responses already submitted to USDOL.

Annex E: Update on Project Activities in Response to Evaluation and Audit Recommendations

Annex F: Updated Project Work Plan

Annex G: Status of VAT Exemption (Required until VAT Exemption is received)

Use the provided format below to report on the project’s status of obtaining VAT exemption.

Annex H: Other Documents

Include documents requested by USDOL, or external reports, project research, draft legislation, press clippings, awareness-raising materials, project photographs, etc.

Annex I: Acronym List

If all acronyms are not defined in the body of the document, include a reference list of acronyms and abbreviations used in this report and annex

TPR Annex B: Current and Long-Term Targets for Improving Country Capacity to Address Child Labor or Forced Labor

(see Table in TPR Section II. B.)

The table below should be updated once a year in the October progress reports. Please provide a brief statement under the corresponding criteria. An example of the “formulation of specific policies and programs at the national, regional, or sectoral level within a country…” might include “elaboration and adoption of national plan for child protection including the worst forms of child labor.” If regional project, include separate country specific targets.

Please see the Companion to the USDOL Common Indicator Spreadsheet for definitions and examples.

Fiscal Year Targets	Adaptation of the legal framework to the international standards	Formulation and adoption of specific policies, plans or programs to combat child labor or forced labor	The inclusion of child labor or forced labor concerns in relevant development, education, anti-poverty, and other social policies and programs	Establishment of a child labor monitoring system (CLMS)	Institutionalization of child labor and forced labor research (including evaluation and data collection)	Institutionalization of training on child labor or forced labor issues within government agencies
FY2014
FY2015
FY2016
FY2017
FY2018
FY2019

TPR Annex E: Update on Project Activities in Response to Evaluation and Audit Recommendations

This table provides suggestions for follow-up and status of recommendations made during an evaluation or audit. It contains only recommendations relevant to this project. It should not contain recommendations addressed to other stakeholders. Follow-up outlines the way that the Grantee is addressing the recommendation.

No.	Review/ Evaluation (including date)	Recommendation	Recommendation addressed to	Follow-up Action(s) taken or to be taken by project based on Recommendations (Status of follow-up actions already taken; including by whom, when and how; follow-up actions that project plans to undertake, including by whom, when and how; if no follow-up is proposed or has been taken, project should provide a clear explanation of why this is, with a focus on demonstrating that the recommendations has been considered)
	Implementation Evaluation Month, 20xx
	Implementation Evaluation Month, 20xx
	Implementation Evaluation Month, 20xx
	Audit Month, 20xx

TPR Annex G: Status of VAT exemption

Name of Project:
Project Pursued VAT Exemption Yes No	Project Obtained VAT Exemption Yes No
Please provide a status update of actions being taken by the project to receive VAT exemption during the reporting period.

Annex II: Common Indicator Tracking Form (sample)

An Excel file will be provided separately, the images below serve as an example only.

1 The GO reserves the right to negotiate project and administrative cost levels before award.

2 OMB Circular A-122 for non-profit organizations or OMB Circular A-87 for State and local organizations; and OMB Circular A-21 for Educational Institutions. These cost principles are available at http://www.whitehouse.gov/omb/circulars/index.html. Federal Acquisition Regulations, 48 CFR Part 31, for for-profit organizations are available at: http://www.arnet.gov/far/.

3 Office of Management and Budget, OMB Memorandum 07-16 and 06-19. GAO Report 08-536, Privacy: Alternatives Exist for Enhancing Protection of Personally Identifiable Information, May 2008; available from http://www.gao.gov/new.items/d08536.pdf.

4 http://www.ilo.org/public/libdoc/ilo/2011/111B09_351_engl.pdf

5 A legal adult is a person who has attained the age of 18.

6 For example, a project offering no direct services would not report on either E1 or L1.

7 International Labor Organization’s International Program on the Elimination of Child Labor (ILO-IPEC), “Child Trafficking: The ILO’s Response through IPEC”, Geneva, 2007.

8 UNICEF, Child Protection Information Sheet: Commercial Sexual Exploitation (May 2006), available from http://www.unicef.org/protection/files/Sexual_Exploitation.pdf. See also: ECPAT International, CSEC Definitions, available from http://www.ecpat.net/ei/Csec_definition.asp. Additional definitional aspects above provided by ILO-IPEC.

9 Chambers and Conway, 1992, and Masanjala, 2006, see also http://pdf.usaid.gov/pdf_docs/PNADR399.pdf)

10 A legal adult is a person who has attained the age of 18.

11 The E1 and L1 annual fiscal year targets must be updated once a year in the October technical progress report to reflect implementation realties; however current and prior fiscal year targets cannot be modified. Annual targets are not required for E1.1, E2, E3, E4, and for L2, L3, L4, and L5. The total life of project targets should reflect the targets stated in the Project Proposal unless these targets have been formally revised and approved by the USDOL Grant Officer. If the life of project targets have been formally revised, please include the revised number in the indicator reporting sheet and include information that the target has been formally revised in the ‘Notes’ section.

12 The E1 and L1 annual fiscal year targets must be updated once a year in the October technical progress report to reflect implementation realties; however current and prior fiscal year targets cannot be modified. Annual targets are not required for E1.1, E2, E3, E4, and for L2, L3, L4, and L5. The total life of project targets should reflect the targets stated in the Project Proposal unless these targets have been formally revised and approved by the USDOL Grant Officer. If the life of project targets have been formally revised, please include the revised number in the indicator reporting sheet and include information that the target has been formally revised in the ‘Notes’ section.

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