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LEAD Pakistan Writing Project Proposals Training Module

Part Two: Assessing the Proposal

Part Two provides some basic steps you can follow to assess a proposal to ensure that it is
complete, correct and consistent with generally accepted guidelines for proposals.

It's important to provide key people with an opportunity to review the completed proposal before it
is finalized. Everyone involved the project proponents, partners, stakeholders and funders
should have the opportunity to verify that the project proposal is an accurate reflection of their
shared understanding of what the project entails.

A good project proposal must meet the following three groups of criteria:

1. it must describe a good project;

2. it must address the funders issues and concerns clearly and completely; and

3. it must be presented in a easy to read, straightforward style.

There are two possible options for reviewing the proposal for style and clarity:
i) Have an objective reader check the proposal for style, clarity, grammar and spelling. Ideally, the
person reviewing it at this point should be a good writer or editor, who can recommend
improvements without imposing his or her own style on the document.
ii) Another option is to have someone who is not familiar with the project read the document, and
then meet with you and tell you, in their own words, what they think each section says. This person
can also be asked to suggest improvements in presentation. This will highlight any issues of
clarity, but another reader should also check it for spelling and grammar.

Step 1: Review of the proposal by the relevant organizations


First, indicate how reviewers can provide feedback.
This very much depends on your working relationship with the particular reviewer, as well as
logistics. In some cases, it may be useful to have written comments, especially if the reviewer
does not live or work nearby and most communication is in writing (print or electronic). In other
situations, it may be most helpful to have a discussion with the reviewer to talk about each of the
issues raised. In any event, a dialogue about the issues, in person, on the phone or in writing, can
help to clarify questions and establish a common understanding.
If you suggest how the reviewer's feedback can be discussed, it gives him or her an idea of how
extensive you expect the review to be. For example, if you suggest that feedback can be
discussed in a one-hour meeting in a week's time, it conveys that a more thorough review is
expected than if you suggest a ten-minute phone conversation the day after you give the reviewer
the proposal.
1.1 Organizational review of the proposal

If your organization has a central role in the project, as the initiator or project
manager, there may be several people, representing different parts of the
organization, who want to review the proposal, for example, from the perspective
of its financial implications, management, and implementation.

It's a good idea to give ample opportunity for discussion of the project proposal
after people have reviewed it. Seeing a proposal in "black and white", in other
words, as a completed print document, can trigger questions and realizations that
were not previously evident, even for people who are well informed about the
project.

Click here to see some sample assessment questions to ask of a reviewer from
your own organization.

1.2 Partner review of the proposal

The representatives of each project partner should also have an opportunity to


review and comment on the project proposal at this stage. Partners are in a good
position to recognise any "design flaws" in the project, and their comments should
be taken seriously. Partners need to know that this is not simply an exercise to
include them as a matter of form, and that their comments will be considered
appropriately.

Partners may provide feedback on a number of levels: about the project itself,
about the specific partner's role in the project, and about the proposal as a
document that accurately presents the project.

The assessment questions used to guide the partners' review of the proposal are
similar to those for an organizational review, with some small differences. Click
here to refer back to the sample questions to ask of a project partner.

1.3 Stakeholder Review of the proposal

Project stakeholders should also have an opportunity to review the project


proposal. Stakeholders may have had less direct involvement than project
partners in the detailed preparation of the proposal. However, because they are
directly or indirectly affected by the project, stakeholders are in an ideal position to
assess whether or not the project will meet their needs and concerns. In particular,
stakeholders may be in the best position to judge how well the proposal describes
the context and issues, and conditions and risks. They can also identify gaps or
other issues around the project design and the project proposal.

Stakeholders need to know that their feedback will be taken into account.
Because they may have had less opportunity than project partners to provide
input at the various planning stages for the project, it is crucial to respond to any
concerns at this stage.

Click here to see some sample questions that can be used to guide a
stakeholders review of the proposal.

1.4 Funder review of the proposal

When assessing a proposal, funders generally distinguish between the three


different dimensions :

i. Assessment of the project concept - does the project meet standard criteria or
funders' criteria for a quality project?

ii. Assessment of the proposal content - does it provide clear and complete
information about the project that is responsive to funders' issues?

iii. Assessment of the proposal's presentation style - is the proposal well written,
without ambiguity or jargon?
i. Assessment of the project concept: Is this a good project for the funder to
support?

Unit 1, Project Concept Development, provides some general principles that


funders look for to determine whether a project is worthwhile to support. In brief,
these include:

a) Problem definition
b) Relevance
c) Scientific and technical merit
d) Capacity building
e) Gender considerations
f) Human and institutional resources
g) Complementarity
h) Sustainability
i) General research soundness
j) Development relevance
k) Ethical considerations
l) Assumptions and risks
m) Environment
n) Monitoring and evaluation

You can click here to refer to the tools section of this course, where these
principles are explained in more detail. These general principles are a guideline
only, and you will have to determine the criteria used by the funder you are
approaching when doing your assessment of your project concept.
ii. Project proposal assessment: Is this a good proposal?
Generally speaking, if a proposal is well-written and thorough, it should strongly
indicate that the project concept and its implementation have been clearly thought
out, and that partners and stakeholders have been involved in the process of
developing the proposal.
A good proposal clearly presents what the project proponents will do, how they will
do it, and why they will do it.
A funder will assess the content of your proposal based on whether it clearly
addresses the criteria identified above, under what constitutes a good project.
iii. Is the proposal presented in a clear, comprehensive and easy to read
style?
Part One provided some useful tips on good presentation and readability of a
project proposal. Click here to refer to these tips, which are also located in the
tools section of this course.
One author on fundraising suggests the following approach for assessing
readability of a proposal:

Does the first sentence of each paragraph introduce the idea?

If you took the first sentence of each paragraph in a section in sequence,


would the resulting paragraph make sense?

If you took the first and last sentence of each section in sequence, would
the resulting be a summary of the proposal?

<< Go back to MENU or Go to STEP 2 >>

Step 2: Project overview or summary


Some funders indicate they prefer to have an overview of the project as a whole, and then the
specific details. (Check the funders' guidelines).

The summary may be the only item read by those who conduct the preliminary review of many
proposals, so it must include essential proposal information, and a sound rationale that justifies
support. In addition, a summary serves to introduce the project, encourage the reader to continue
reading the entire proposal and give the reader a framework for understanding the details of the
proposal. The summary should also present the project in terms that are most relevant to the
funders' stated criteria. For this reason, you may decide to adapt your summary (along with other
elements of your proposal) to appeal to specific funders.

Although the summary appears near the beginning of the project proposal, it is best to finalize it
after all other elements of the proposal have been completed, when all the information required for
the summary has been compiled.

The proposal summary should, in one page:

identify all the project proponents and stakeholders


introduce the problem or issue the project is designed to address

explain why the project will address this problem effectively

outline the project objectives

outline in broad terms the project activities and timelines, and

list the expected long-term outcomes of the project.

In short, your overview will explain to the funder why this project is worth doing, and why your
project team is ideally placed to do it.

Activity 3.2

Write a project summary.


By the time you write the full proposal, you may have already approached a potential funder with a
letter of inquiry. If so, the information in your letter of inquiry should be sufficient for the summary.
(See Unit 2, Identifying and Approaching Funders)
<< Go back to MENU or Go to STEP 3 >>
Step 3: Functions of the proposal

The introductory section of the proposal includes information about the project context, rationale,
goals and objectives, and methodology.

3.1 The project context or background to the issue/problem

This section describes the issue or problem that the project intends to address. It
helps the potential funders to understand why the proposed project is a realistic
approach to dealing with the issue. In selecting what contextual information to
provide, you should be aware of the funders' expected prior knowledge.

This is also the section in which you briefly describe the project beneficiaries, those
who are expected to benefit from the project in some way. You should provide
information about both direct and indirect beneficiaries.

In this section, be sure to demonstrate that your proposal is based on sound local
research (whether conducted by the proponents or by others), extensive consultation
with stakeholders, and, where applicable, on research studies and/or best practice
from the field or academic disciplines relevant to the project.

Write a brief paragraph that outlines the project context in the case study example.
Write your answer in your file and save it.

When youre finished, click here to view the project context in the case study
proposal.

The project context should lead naturally into a project rationale.

3.2 The rationale

In a sentence or two, the rationale section outlines why the project is an appropriate
way of addressing the issue, and why it is the best fit with the available resources.

What is the rationale for the project in the case study?

Write and save your answer in your file.

When youre finished, click here to see the rationale for the case study proposal.

Activity 3.3
In a paragraph provide the rationale for your project.

3.3 The goal(s)

The goal describes in broad terms what the project hopes to achieve. The goal is
generally associated with an outcome. In other words, it describes how the situation
will change as a result of your project being implemented.

What is the goal of the project in the case study example?

When youre finished writing your answer in your file, click here to see our answer.
Note: A project may have more than one goal. Some may address the specific
situation, and others may refer to achievements of the project that can be applied in
other contexts after the project has been completed.

Can you think of a secondary goal in the case study? Think about whether there will
be additional benefits that will result from the project. (Hint: if the training program is
successful, could it be useful to other organizations or programs?)

Click here to see a secondary goal of the case study project.

Activity 3.4
In several sentences or in point form list the goals for your project.

3.4 The project objective(s)

The objectives follow logically from the goal. They describe the benefits of the project
in specific, measurable terms. Project objectives should be able to be assessed, even
if not all of them lend themselves to quantitative analysis. This is because one
element of project evaluation is assessing how well it achieved its stated objectives.

Objectives are generally associated with 'outputs' -- in other words, they describe
exactly what you and your partners will do if funded. It is important to invest some
time and discussion in developing project objectives that will work over the long term.

As well, project objectives serve as an important reference for all the project
proponents for the duration of the project, especially if the project is complex. By
questioning which course of action is most likely to support the project objectives, you
can facilitate decision making throughout project implementation.

What are the objectives for the case study project? Consider whether your
objectives address the following questions:

Are the project objectives clear and easy to conceptualize in operational


terms?
Is each objective: clearly identified? Something that can realistically be
tackled?
Is it clear how meeting this objective will support the project's achievements?

Record your objectives in your file. When you are finished, click here to see some
examples from the case study, which illustrate how objectives are developed and
refined.
Activity 3.5
Prepare the objectives for your project.

<< Go back to MENU or Go to STEP 4 >>


Step 4: Staffing and Organizational Information

This section explains which organizations will be involved in the project as proponents, partners
and stakeholders, and how they will be involved. Proposal applications differ in terms of the
location in which they ask for information about those implementing the project, but wherever it is
located, it is a key element in establishing the credibility of the project and the proposal.

Unit 1 describes the roles of each of these actors. You may click here to refer back to it. If you
would like to review how to involve stakeholders and partners in your project, the tools section of
this course provides some tips on how to conduct stakeholder consultation, and how to
achieve effective collaboration with partners.

4.1 Information about the project proponents and partners

Funders need basic information about the organizations that will be responsible for
implementing the project (these organizations are sometimes called executing
agencies). This includes the project proponents and all partners.

Focus on the aspects of these organizations that are relevant to the project and that
establish their credibility and experience in related areas. In general, it is important to
include:

i) Factual information about each partner organization's mission, size,


main activities, the region and population it serves.

ii) A brief description of the organizations' particular achievements in


fields relevant to the project.

iii) An indication of the organizations' capacity to undertake the tasks


involved in the project.

Funders are also interested in the experience of project partners in working together,
and their capacity to share responsibility and communicate effectively.

You should also include the names and responsibilities of staff who will have key
roles in the project, including: project managers, team leaders, experts, and
consultants. Mention their areas of expertise relevant to the project and previous
experience relevant to the project. The full curricula vitae of key project staff can be
included as appendices to the proposal.

Click here to view the case study example.

4.2 Information about the project stakeholders

Many funders require that project stakeholders, including beneficiaries, are involved
in the project in some way (through consultations or in an advisory role, but not
necessarily in its management). Click here if you would like to review the section on
stakeholders in Unit 1.

When stakeholders have a role in the project, you should include the following
information:

i) a brief profile of each key stakeholder, emphasizing aspects


relevant to the project. For example, if an agricultural cooperative is a
stakeholder, include information about the length of time it has been
operating, number of members, achievements, operating structure,
and contributions to the development of the project concept.

ii) indicators of stakeholders' capacity to participate in the project;


people and resources relevant to the project, documentation of
decisions to support the project and to allocate staff and/or volunteer
time and resources.

Click here to view the case study example.


<< Go back to MENU or Go to STEP 5 >>
Step 5: Methodology

The methodology section describes how your project will be planned and implemented in order to
achieve your goals and objectives. It includes the strategies, activities, and timelines for the
project. This section also describes what will be done, by whom, and when.

The methodology section deserves special emphasis. It provides an opportunity to demonstrate


your knowledge of the field by explaining why certain activities were selected.

5.1 Strategies

The project strategies provide a broad picture of what will be done to achieve goals,
and generally include the main organizational approaches required for both program
management and program implementation.

For example, if two different components of a project are to be developed, there may
be two separate teams (and possibly separate partners) to develop each component.
The project would therefore require some means of ensuring communication among
all the teams, and there would be a need to ensure overall coordination of program
delivery among the partner institutions.

In a few short paragraphs, how would you describe the strategies that will be used
for the case study example? Record your answer in your file.

(Hint: Who will be responsible for general project administration? How might the
partner institutions collaborate, and communicate with one another? Who will design
and deliver the training programs?)

When youre finished, click here to see our example.

Activity 3.6
In a paragraph or point form describe the strategies planned for your
project, both for project management and for project implementation.

5.2 Project Activities and Timeframe

Project activities describe the specific actions that will be undertaken to achieve
objectives. These may be written in point form or as a work plan that includes these
subtitles: Action (to be taken), Responsibility (by whom), Date (by when).

In most cases, it will not be possible to use exact dates for the timelines, because it is
usually uncertain when the funding and administrative arrangements will be in place
so that the project can start. Timelines should indicate your best estimate of how long
it will take to complete the major activities of the project. Timelines can be included in
the activities section or they can be described separately, as a list of key dates when
activities will be completed, sometimes called milestones.

Click here to see an example of milestones for the Anduga case study proposal.

Although there is a tendency to be optimistic when developing timelines for a project,


it is important to be realistic and allow enough flexibility for unforeseen problems.
Creating a realistic project timeframe demonstrates to the funder that the project
proponents have relevant project experience.
The activity plan in the project proposal will be an outline of the major activities. A
more detailed work plan will be needed after the project is approved.

Based on the information you have so far, complete the following activity chart for the
case study example:

Responsibility Comments/to be
Activity By date
of: informed
Project Administration

Project
management

Project
implementation/
forestry practices
program

Project
Implementation/
Water quality
assessment
program

Project monitoring
Project evaluation

Activity 3.7

In point form or chart form, indicate the major timelines for


completion of the project activities.
Project partners: MU: Mainland University; EIC: East Island College; DFO: Department of
Fisheries and Oceans; WLA: Western Logging Association
Stakeholders: NS: Naturesavers; FAA: Fishworkers Association of Anduga; FWU: Forestry
Workers Union
When youre finished, click here to view an example from the case study.
You can use the activity chart in the tools section of this course to assist you when you prepare
your own project proposal. Click here to refer to it now.

Activity 3.8
In a paragraph, point form or chart form outline the major activities for
your project.
Responsibility Matrix
When a project entails a number of partners and stakeholders, it is sometimes useful to prepare a
responsibility matrix that outlines who is responsible for implementing specific categories of
activities, who is kept informed, who will advise, and the timeline for all of these. An example of a
responsibility matrix can be found in the tools section of this course. Click here to view it now.
When you've finished your methodology section, consider whether it meets the following criteria:

Describes clearly what the project will actually do


Flows naturally from the rationale and objectives

Clearly describes program activities

States reasons for selection of activities

Describes sequence, duration and timing of activities

Includes a realistic timetable for the project activities

Clearly describes management activities

Describes staffing of program

Describes management organization

Describes management roles and responsibilities

Presents a reasonable scope of activities that can be managed by the proponent.

<< Go back to MENU or Go to STEP 6 >>

Step 6: Project budget

Developing a project budget is one of the most time consuming aspects of preparing a project
proposal, because it entails obtaining financial information from all the project partners, estimating
costs as much as four to five years before they will be incurred, and if there is more than one
executing agency, assembling information generated by different financial reporting systems.

But the time invested in preparing a good, sound budget is worth it, because it can determine
whether your organization will receive funding. More than any other component, the budget will
highlight the quality of your planning. Your budget should demonstrate a realistic assessment of
the financial resources required to implement your project in a cost-effective manner.

Each funding agency has slightly different requirements for how budgets are presented, and
applicants must adapt their budget to conform to the format requested by the funder. Fortunately,
funders usually provide very specific directions about the kind of information they need in a
budget. Many funders will also answer questions from applicants about budget formats or the
meaning of particular terms in their guidelines.

This section provides some basic principles for organizing project budget information that are
common to many funding agencies. The differences tend to be in the details.

6.1 How to research budget information

When you first begin to develop a budget, there may be quite a few "unknowns".
Particular costs may be unknown for two reasons:

i) because some key planning has not yet been completed (for
example, perhaps the amount of staff time required for training has
not yet been estimated), or
ii) because you have not yet obtained the cost of a particular item (for
example, travel to certain project locations).

Developing the project activities and the project budget often happens concurrently.
Identifying a cost item may require clarifying certain aspects of a project activity, in
discussions that involve both project design and budget decisions.
A systematic approach is to review the list of project activities year by year, and
determine the cost categories associated with each activity. Some funders require
that the budget outlines each year's expenses for the duration of the project, and that
the totals for each category are also presented in summary form.
It's useful to deal with the major expenses first. Typically, the most significant part of a
project is the costs for people; staffing, consultancies, honoraria, and associated
benefits. When you are working with partner organizations, you will need to obtain
information about salary ranges for staff who will be engaged with the project. Even
though it can sometimes be difficult to obtain this information, it is essential. Unless
you have information to the contrary, it is prudent to ask for a salary range for the
positions involved, and then use the midpoint of that range for determining staff costs
for the budget. If staff salaries tend to increase each year, include this increase as a
factor in the budget.
Travel and accommodation can also represent a significant proportion of a budget,
especially for a project requiring international travel. This will require obtaining
information about current costs for travel between the specific locations, and some
predictions about the estimated increase in travel costs over the duration of the
project. Travel agencies that regularly serve the project partners are usually able to
provide this kind of information.
It is important to keep all of the working documents used to prepare the budget, so
that the budget can be readily reviewed and updated if necessary. Computer
spreadsheets are useful for organizing and updating budget information.
The next sections review some of the more common organizing categories:
6.2 The expense budget
Funding guidelines may require that applicants create two major expense budget
segments, one for the costs of project management/administration, and one for the
costs of project implementation.
i) Project management and administration costs
Project management and administration costs are the costs directly associated with
coordinating the project. Typically these costs include staff time and communications
costs for:
a) communication and meetings with project team members and other stakeholders
about project management issues,
b) overhead costs associated with accounting and record keeping, including utilities
and supplies, and
c) travel related to project management.
In many cases, project proponents are asked to contribute to a share of the project
cost. In these situations, it is common for project proponents to contribute some or all
of the project administration costs, especially if the regular staff of an organization
handles project administration. This is sometimes called an in-kind contribution.
ii) Project implementation costs
Project implementation costs include the costs directly associated with the project
activities. These would typically include:
a) salary and benefit costs for staff hired especially for the project;
b) consultancy fees for project work;
c) training costs; for staff involved in the project, for participants in the project,
including the costs of instructors, travel, accommodation and supplies.
d) costs of production of resource materials or reports.
e) equipment and supplies required to implement the project. (Many funders place
limitations on expenditures for capital equipment for a project.)
Note: When the expense budget must be segmented into project management/
administration costs and project implementation costs, it sometimes means setting up
duplicate categories for some expense items. For example, there might be an
expense category for "travel-management" and an expense category for "travel-
implementation". If you are required to distinguish between project management and
project implementation costs, you will need to refer to the funder's definition of what
belongs in each category. You should check with the funder if it is not clear to you
where a major budget item belongs.
Click here to see a sample budget format for documenting annual expenses under
project management and implementation categories. This template is located in the
tools section of this course.
Using the activity chart for the case study as a guideline, and the sample budget
format you referred to above, what would you consider to be the major expenses for
project management and implementation in the case study?
When youre finished your answer and written it in your file, click here to see how we
recorded the annual expenses for project management and implementation for Year 1
of the Anduga case study project.
iii) Capital costs and operating expenses
Capital costs for a project include major equipment, such as vehicles, computers,
furniture, etc. Many funders will not cover the cost of acquiring capital, unless it can
be demonstrated that acquisition of this capital equipment is essential to the
successful operation of the project. For example, if a project involves computer-based
training, and the location for the training is not equipped with the necessary hardware
and software, equipment acquisition and some facilities upgrades may be essential to
the project.
The ongoing expenses required to ensure the sound functioning of the project are
sometimes called operating expenses. Definitions of operating expenses vary widely,
but may include certain administrative or overhead costs, such as the cost of a
telephone line or an internet service provider that is required for the duration of the
project. It is important to consult with the funder to determine how to categorize this
type of expenditure.
6.3 Budget Revenue
Project revenue can include:

i) financial contributions from other sources;

ii) in-kind contributions of services or facilities from project partners or


others associated with the project;

iii) income, such as tuition income from participants in training


programs.

The revenue budget should list all confirmed financial contributions from other
sources: these serve to indicate broader support for the project. These can include
government grants, contributions from corporations, non-government or non-profit
organizations.
In-kind contributions, as discussed above, include provision of staff time, use of
facilities and equipment by organizations involved in the project. In-kind contributions
can also include the donation of services by another organization, for example the
use of a long distance phone network at no charge. Values of in-kind contributions
should be calculated as accurately as possible and should be consistent with costs
for these services in the expense budget.
If the project is designed to generate income that will be returned to the project, rather
than to any of the project partners, this should be shown in the revenue budget.
Income may come from interest paid by financial institutions, from sale of products or
licensing fees for the use of materials developed by the project, from tuition fees, and
so on. If the revenue generated during the project is an indicator of continuing
revenue generation after the project is over, this should be highlighted if it points to
continued sustainability of the project initiative.
In project proposals developed in response to a funders' announcement that it will
provide a certain amount of money for specific types of projects, it is quite acceptable
to include this amount in the revenue budget, and to identify it as the funders'
contribution. In other situations, the amount requested should simply be designated
as "Requested Funding."
The revenue budget is less detailed, and shows the major sources of income and
amounts.
What are the sources of revenue in the Anduga case study project? Record your
answer.
When youre finished, click here to see an example of the YEAR 1 revenue for the
Anduga case study project.
6.4 Budget presentation
The total budget shows both the expense and the revenue side, and, of course, they
must balance. The budget should be presented so that it is clear that it follows the
pattern of activities listed in the proposal. In addition to the spreadsheet that shows
the entire budget, most funding applications also have a section entitled "notes to
accompany budget". This is where you provide the detailed information.
When presenting background information to the budget, it's important to explain the
basis for estimated costs and revenues; prior experience, current costs, reasonable
estimates, and so on. As well, the budget presentation should indicate confidence in
the information provided. Funders are uneasy with vague budgets or those that
include categories that do not really identify expenditures- such as "contingency", or
"unforeseen expenses". Unless there is a separate line item in the funder's budget
form for contingency expenses, it is better to leave it out, and instead allocate a small
additional margin (5% to 10%) to the other expense categories. Although it is
reasonable to expect that not everything will go as planned in a project, the budget is
not the place to convey this expectation. In many cases, there are provisions in
contracts between funders and project proponents to enable a revision of the budget
if there is a significant change in circumstances.
You will find another example of a budget template in the tools section of this course.
It provides an example of an expense budget template for projects that involve project
coordination, technical assistance, training and student participation. Click here to
view it now.
In summary, the budget section of your proposal must conform to the requirements of
each individual funding application that you complete. Generally speaking, your
budget section should meet the following basic requirements:
Respects all funding agency financial regulations and standard rates
Uses unit costs based on current prices
Relates directly to input quantities and scheduling
Distinguishes program from management costs
Reflects a proportionate balance between program and management costs
Provides sufficient financial resources to manage the project effectively
Provides sufficient detail without compromising financial reporting ability
Presents an attractive cost/benefit package

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Step 7: Project results

The results section of a project proposal answers the question: what will happen as a result of this
project? It is sometimes broken down into project outputs, project outcomes and project impact.

7.1 Project Outputs

The outputs are the short-term, or immediate results of the project, and the easiest
results to formulate. They indicate whether the partners successfully achieved each
objective. Determine how the anticipated results of each completed objective will
effect the situation the project addresses.
For example, if your objective is to train 8,500 forestry workers in improved logging
practices in riparian areas,

then the output would be written as:

8,500 forestry workers trained in improved logging practices in riparian areas.

What are some other outputs of the case study project?

When youre finished writing your answer, click here to view the example from the
case study proposal.

7.2 Project Outcome

The outcome of the project addresses how the outputs are expected to change the
situation the project addresses. The outcome of the project is therefore reflected in
the project goal.

What is an expected outcome in the case study project?

Record your answer and then, click here to view our answer.

Activity 3.9
Prepare your project outcome statement.

7.3 Project Impact

The impact of the project refers to the broader development, research or policy
implications that result from the project. For example, how might the project influence
policy formulation and implementation? How might it impact development processes
at the local, national and regional levels? How might it affect the sustainability of the
local economy over the longer term? Could the results be used in other settings?
What contribution could they make to existing technical and scientific knowledge?

Note: Many funders indicate that projects must consider the needs of specific target
populations, for example, those who are typically under-represented in society, such
as, minorities, women, and low-income earners. Results statements should identify
how target populations will benefit from the project.

Provide some impact statements for the case study, and include some examples of
how the case study project will positively effect specific target populations.

When youre finished, click here to see our answer.

If you have a complex project with several objectives and activities, it may be useful
to create a results chart that can be used to organize your results in a logical
framework. Click here to see an example of a results chart for the case study
proposal.

There is a generic template for a results chart in the tools section of this course. Click
here to view it now.

<< Go back to MENU or Go to STEP 8 >>


Step 8: Conditions and risks

This section describes the conditions that are necessary for the project activities to take place, and
for them to achieve their intended goals. These conditions should be immediately relevant to the
project and fall within the project's scope.

By including information about conditions and risks, you indicate to funders that your proposal
gives careful consideration to the implications of factors that may be beyond the control of project
proponents. Not all plans proceed as expected, particularly when the project extends several years
into the future.

Can you think of an example of a condition for project success in the case study?

When youre finished writing your answer, click here for an example from the case study proposal.

The section on risks identifies known factors that may have a direct impact on the project.

What is a risk that could effect project implementation in the case study? Write your answer in your
file and save it.

When youre finished, click here for an example from the case study proposal.

Activity 3.10
Prepare conditions and risks statements for your project.

<< Go back to MENU or Go to STEP 9 >>

Step 9: Monitoring and evaluation

Project proposals usually include a section on monitoring and evaluation, because they are
considered by most funders to be integral to a sound project.

Monitoring enables project partners to assess how well the project is going, for the purposes of
adjusting project plans if necessary. These activities are conducted throughout the duration of the
project. (This is sometimes also called interim or formative evaluation).

Evaluation enables project partners, stakeholders and funders to determine how well the project
met its objectives after the project has been completed. (This is sometimes called summative
evaluation).

It is generally expected that both project partners and stakeholders are involved in the evaluation
process.

The monitoring and evaluation plan should describe:

i) how the project process itself will be reviewed and adjusted if necessary;

ii) how the progress towards project milestones will be assessed, what indicators will
be used, who will be involved, and at what points in the project;
iii) how the results of project activities will be assessed, what indicators will be used,
who will be involved in the evaluation, and what decisions will be affected by these
results; and

iv) how the end point evaluation will be conducted, and how it will determine the
project's effectiveness and sustainability.

Some funders require external evaluations of projects they support, conducted by people who are
not directly involved in the project. The evaluation plan in the project proposal should take into
account any external evaluation, but should also describe evaluation strategies that project
partners will undertake.
In your file write a brief two to three paragraph monitoring and evaluation plan for the case study
project.
When youre finished, click here to view an example from the case study proposal.
The tools section of this course provides a template that you can use to help you organize your
monitoring and evaluation plan. Click here to refer to it now.

Activity 3.11
Prepare a short description of the evaluation plan for your project.

<< Go back to MENU or Go to STEP 10 >>

Step 10: Linking the project to organizational goals and funding goals

It is important to know how funders priorities match the issues addressed by your project. Funders
often require a statement that links the proposed project to the goals of your organization, and to
goals of the funding organization. This statement can help funders to determine how well the
project relates to your organizations priorities and to theirs.

Click here for an example from the case study proposal.

The tools section of this course provides some common priorities of funding organizations. Click
here to view them now. (Unit 2 provides information on how to identify and approach potential
funders.)

Assembling Elements into a Complete Proposal


Proposals may need to be reorganized in order to follow a specific funders format or guidelines.
Following is a commonly used order for proposals.

The Project Proposal


1. Contact information about the organization (This may appear on a cover sheet)
2. Introduction/Overview of the Project
3. Project Summary
4. Project Rationale
a. Context (including information on beneficiaries)
b. Issue(s)
5. Goals
6. Objectives
7. Strategies, Activities and Timelines
8. Conditions/Risks
9. Results and Outcomes
10. Evaluation Plan
11. Project Partners
a. Profile of Partners
b. Outline of Partners Roles
c. Relationship of Project to Partners Priorities
12. Project Budget
13. Relationship of Project to Funders Priorities
Activity 3.12
Organize the draft proposal into the order above, or into the order required by the funding
agency guidelines, if you have identified the funding agency where you will submit the
proposal.
Conclusion to Part One
You have now reviewed all the elements required to draft a full project proposal.
Part Two of this unit reviews how to assess your proposal and finalize it.
<< Go back to MENU
ANNEX
INSTRUCTIONS

Please read the introduction to this course first.

The course uses a simulated context to help you learn the steps involved in proposal writing.
Each unit follows the same sample case study of a proposed project in the fictional country of
Anduga, located somewhere in southern Africa. Whichever unit you begin with, your first step will
be to read the case study.

You will see that certain words are highlighted in pink. If you click on the pink words, their
definitions will pop up on the screen. They can also be found in the course glossary, located on
the sidebar on your screen.

Words or phrases highlighted in yellow are links to other sections of the unit, or to answers to
questions, or to other parts of the course. To return to your original location after viewing the link,
press the back button on your browser.

Some words or phrases are highlighted in purple. They are highlighted for emphasis only they
are not links.

There are a number of questions, or activities, that you will be asked to complete as you follow the
units. The questions relate to the case study of Anduga while the activities relate to the project
you are working on. It is a good idea to create a file on your computer where you can record and
save all of your answers. You can continue to add more answers to this file as you complete the
course. Once you have taken the time to answer the questions to the best of your ability, you can
click to retrieve the answers provided.

In order to view the deadlines for the activities please visit:


http://www.lead.org.pk/wpp/schedule.htm. The activities will be submitted via e-mail to the mentor
on the following address: wpp@lead.org.pk.

The Discussion Board http://www.lead.org.pk/dbunit1/ provides a forum where you can participate
in interactive discussions covering a wide range of topics. The Discussion Board enables you to
post messages for each Unit. In addition using the Reply option you can respond to messages
and questions posed by the mentor.

Important note: Your learning will be greatly enhanced if you take the time to answer the
questions on your own before viewing the answers, and if you then try to do the activities for an
actual project proposal that you are working on.

Keep in mind that just reading the course will provide information, but will not enable you to
develop skills. If you read the course and answer the questions, you will become more aware of
the language used about projects and proposals, and of the steps involved in developing a project
and writing a proposal.

Going a step further if you read the course, answer the questions, and apply what you have
learned by working on your own proposal, you will be able to practice and assess your skills in
proposal writing. During the course of this training you will receive feedback on each stage of the
proposal, develop your skills and learn to recognise strengths and weaknesses in project
proposals.

There are a number of resources available in the Tools section of this course, located on your
sidebar. The tools section includes templates and charts that will help you to organize your work
when developing an actual project proposal. It also includes web resources and guidelines on
different elements of proposals. When you click on the Tools icon on the sidebar, you will see the
menu with the list of documents. As you proceed with the course, you will be referred to the Tools
section quite often.

You are now ready to begin!


Schedule for PPW Training
Duration: October 25- December 6, 2003

Unit 1
Task/Activity Start Date End Date
Review questions with 25 October 7 November
answers
Submit answers to activities 25 October 2 November
Discussion board questions 1 November 7 November

Unit 2
Task/Activity Start Date End Date
Review questions with 8 November 14 November
answers
Submit answers to activities 8 November 12 November
Discussion board questions 10 November 14 November

Unit 3
Task/Activity Start Date End Date
Review questions with 15 November 6 December
answers
Submit answers to activities 15 November 5 December
Discussion board questions 25 November 6 December

Submit the draft of the proposal by the 6 December 2003. Feedback will be provided to the
participants by the 15 December 2003.
Project Proposal Template
The following template represents a commonly used framework for a project proposal application.
The headings represent the essential information to include in a project proposal. Use this
template as the basis for a customized project proposal and expand each section to meet your
needs. You may refer to Unit 2 if you require more information about any of the sections.

Section 1. Basic information

1.1 Information about your organization

Organization Name:

Address:

Date established:

Hours of operation: Website:

Contact information:

Name of primary contact: Job title:

Phone: Fax: e-mail:

Name of additional contact Job title:

Phone: Fax: e-mail:

1.2 Basic Information about the Proposed Project:

Project Title:

Section 2. Project overview or summary


(One page in length)

Section 3. Functions of the Proposal


3.1 Project context or background to the issues/problem:

3.2 Project rationale:

3.3 Project goal(s):

3.4 Project objectives:


Section 4. Staffing and Organizational Information
4.1 Information about the project proponents and partners

4.2 Information about the project stakeholders

Section 5. Project Methodology


5.1 Strategies

5.2 Activities and timeframe

The following activity chart may be expanded and used to develop an outline of activities and
timelines:

Project
Responsibility Comments/to be
management Date
of: informed
actions

Project
Responsibility Comments/to be
implementati Date
of: informed
on actions

Responsibility Matrix
The Responsibility Matrix can be used to outline how each partner and stakeholder is involved in
the project. Expand it if necessary to accommodate your project information.

ACTIVITY RESPONSIBILITY

Partners
and
Stakehold
ers

Project
Admin

Project
Managem
ent

Program
Developm
ent

Project
Monitorin
g

Project
Evaluatio
n

L=Lead J=Joint Responsibility I=Implement S= Support A=Advise

Section 6. Project Budget:


Following are two sample outlines for a project budget. If you are working with a specific funder's
guidelines, use that funder's budget format.
Sample 1: A budget listing annual expenses for project management and implementation.

Staffing costs-
Year one

PROJECT
Salary Benefits Subtotal
MANAGEMENT

Project manager

Admin assistant
-1/2 time
Subtotal, project
mgmt

PROJECT
IMPLEMENTATIO
N

Partner 1 staffing Salary Benefits Subtotal

Forestry
specialists

Distance ed
specialists

Computer
specialist

Subtotal, project
implement

Year 1 staffing
subtotal

Travel costs,
Year 1

PROJECT
Fares Per Diem Comments
MANAGEMENT

Project
manager

PROJECT
IMPLEMENTATI Fares Per Diem Comments
ON

Forestry
specialist

Distance ed
specialist

Subtotal travel,
implemtn.

Year 1 travel
subtotal
Materials and services Year 1 Comments

PROJECT MANAGEMENT

Item Cost

Materials and supplies

Phone, fax, courier

Freight

Printing

Subtotal:
management

PROJECT IMPLEMENTATION

Item Cost

Materials and supplies

Phone, fax, courier

Freight

Printing

Subtotal:
implementation

Year 1 materials and


services subtotal

A budget is worked out for each year of


Year 1 subtotals the project, and then the totals are
compiled under separate expense
PROJECT MANAGEMENT categories and under separate activity
categories; in this case, project
management, and project
Item Cost implementation.

Staffing Overhead is often calculated as a fixed


percentage
of project management costs.
Travel
Materials and
services

Overhead

Subtotal: project
management

PROJECT IMPLEMENTATION

Item Cost

Staffing

Travel

Materials and
services

Subtotal: project
implementation

Yr 1 subtotal

The total of each year's expense budget is then assembled into an expense budget for the entire
duration of the project.

PROJECT EXPENSES:

PROJECT Sometimes the


$ FIGURE
EXPENSES: management percentage
of the total budget is
required. This is used to
$ (000) % demonstrate that the
management cost does
PROJECT
not exceed a certain
MANAGEMENT
percentage of the total.

Staffing Costs

Travel

Materials and
services

Overhead costs

MANAGEMENT
SUBTOTAL
PROJECT
IMPLEMENTATION

Staffing costs

Travel

Materials and
services

Other direct costs

Evaluation

IMPLEMENTATION
SUBTOTAL

PROJECT TOTAL

The revenue budget is less detailed, and shows the major sources of income and amounts.

Contributors Year 1 Year 2 Year 3 Year 4 Year 5 Totals

Partner 1

Partner 2

Other

Total
Contributions

FUNDING
REQUEST

Sample 2: An expense budget template for projects that involve project coordination, technical
assistance, training and student participation.

Expenses are grouped for each category of activity, and contributions are listed for each partner. It
illustrates how budget information is organized and presented in categories.

IN KIND
Total Total Total Total Total CONTRIBUTION
Budge Budge Budge Budge Budge S
t t t t t
2000/2 2000/2 2001/2 2003/2 2004/2
005 001 002 004 005 Partner 1
Partner 2
TOTAL

2000/2005
2000/2005
1998/2002

PROJECT
COORDINAT
ION

Human
Resources

Overhead

Travel

Per Diem

Direct Costs

Total
Coordination

TECHNICAL
ASSISTANC
E

Human
Resources

Overhead

Local
Human
Resources

Allowances

Travel

Per Diem

Direct Costs

Total
Technical
Assistance

TRAINING
PROGRAM
Human
Resources

Overhead

Local
Human
Resources

Allowances

Travel

Training
Costs

Direct Costs

Total
Training
Program

STUDENT
PARTICIPATI
ON

Human
Resources

Overhead

Other
expenses

Total Student
Participation

CAPITAL
ITEMS

Equipment

TOTAL
BUDGET

Section 7. Project results

List the major project results and link them to project goals and activities:

7.1 Project Outputs

7.2 Project Outcome


7.3 Project Impact

Results Chart
You may want to expand and use the results/critical conditions chart listed below. A results chart
completed for the case study is on the following page as an example.

Critical
Expected Performance
Activities Conditions(Assumpti
Results Indicators
ons and Risks)

Section 8. Conditions and Risks

Section 9. Monitoring and Evaluation


Describe how the project will be evaluated, by whom, and at what stages of the project. The
following chart can be used to develop evaluation plans in an outline form. The evaluation plan can
then be expanded with more detailed explanations.

Project
Comments/to be
monitoring Responsibility of: Timelines
informed
activities
Program
Comments/to be
evaluation Responsibility of: Timelines
informed
activities

Project
Comments/to be
evaluation Responsibility of: Timelines
informed
activities

Section 10. Linking the project to organizational goals and funding goals
Describe how this project meets broader goals of each of the partners:
Describe how this project meets broader goals of the funding organization:

Appendices
Some funders recommend against the use of appendices. Others stipulate that this is the
appropriate location for supplementary materials, such as indications of support from other
agencies- donors, government, etc. The main project document should list the appendices.

Secondary Goal for the Anduga case study project


To develop effective prototypes for workplace based training provision in resource-related
occupations in remote areas: these prototypes can be used for continued training in areas related
to environmental protection as well as in a range of economic development activities

Activity Chart Template


You can use the following chart to guide you in recording the major activities and timelines for your
proposed project. You can also record this information in a spreadsheet, which can be easily
modified as the planning for your project becomes more refined.
Comments/to be
Responsibility of: By date
Activity informed

Project Administration

Project
management

Project
implementation

Project monitoring
Project evaluation

Expense budget template for projects that involve project


coordination, technical assistance, training and student participation
Note: This is a sample only. The budget section of your proposal must conform to the
requirements of each individual funding application that you complete.

The expenses in this template are grouped for each category of activity, and contributions are
listed for each partner. It illustrates how budget information is organized and presented in
categories.

IN KIND
CONTRIBUTIONS
Total Total Total Total Total Partner 1 Partner
Budget Budget Budget Budget Budget 2 TOTAL
2000/2005 2000/2001 2001/2002 2003/2004 2004/2005 2000/2005
2000/2005
2000/2005
PROJECT
COORDINATION
Human
Resources
Overhead
Travel
Per Diem
Direct Costs
Total
Coordination
TECHNICAL
ASSISTANCE
Human
Resources
Overhead
Local Human
Resources
Allowances
Travel
Per Diem
Direct Costs
Total Technical
Assistance
TRAINING
PROGRAM
Human
Resources
Overhead
Local Human
Resources
Allowances
Travel
Training Costs
Direct Costs
Total Training
Program
STUDENT
PARTICIPATION
Human
Resources
Overhead
Other expenses
Total Student
Participation
CAPITAL ITEMS
Equipment
TOTAL BUDGET

Click here for printer-friendly version


Budget template with project management and project implementation
categories
Note: This is a sample only. The budget section of your proposal must conform to the
requirements of each individual funding application that you complete.

This sample budget template lists annual expenses for project management and implementation. It
is typical of a fairly complex, multi-year project. The project proposal would usually also include
detailed information under each budget category. These details are usually included in a notes to
the budget section at the end of the budget section. Although the final budget presentation may be
in summary form, it is based on reasonable estimates of the costs associated with managing and
implementing the project.

In this template, we have included three main categories of expenses that fall under both project
management and project implementation. These include: 1) Staffing 2) Travel 3) Materials and
services costs.

1) Staffing Expenses Table

STAFFING COSTS - YEAR 1


PROJECT
Salary Benefits Subtotal
MANAGEMENT
Project manager
Admin assistant -1/2
time
Subtotal
PROJECT
Salary Benefits Subtotal
IMPLEMENTATION
Partner 1 trainer
Partner 2 consultant
Partner 2 researcher
External evaluator
Subtotal
Year 1 staffing
subtotal

2) Travel Expenses Table

TRAVEL COSTS YEAR 1

PROJECT
Fares Per Diem Comments
MANAGEMENT

Project manager

PROJECT Fares Per Diem Comments


IMPLEMENTATIO
N

Trainer travel

Participant travel

Subtotal

Year 1 travel
subtotal

3) Materials and Services Expenses Table

MATERIALS AND SERVICES YEAR 1

PROJECT MANAGEMENT Comments

Item Cost

Materials and supplies

Phone, fax, courier

Freight

Printing

Subtotal

PROJECT IMPLEMENTATION

Item Cost

Materials and supplies

Phone, fax, courier

Freight

Printing

Subtotal

Year 1 materials and


services subtotal

YEAR 1 MANAGEMENT AND IMPLEMENTATION COSTS

PROJECT MANAGEMENT

Item Cost

Staffing

Travel

Materials and services

Overhead A budget is worked out for each year of


the project, categories and under separate
activity categories; in this case, project
Subtotal management, and project
implementation.
PROJECT IMPLEMENTATION
Overhead is often calculated as a fixed
percentage of project management costs.
Item Cost

Staffing

Travel

Materials and services

Subtotal

YEAR 1 TOTAL
The total of each year's expense budget is then assembled into an expense budget for the entire
duration of the project.

$ FIGURE
PROJECT EXPENSES: Sometimes the management
$ (000) % percentage of the total budget is
required. This is used to demonstrate
that the management cost does not
PROJECT MANAGEMENT exceed a certain percentage of the total.
Staffing Costs
Travel
Materials and services
Overhead costs
MANAGEMENT SUBTOTAL
PROJECT
IMPLEMENTATION
Staffing Costs
Travel
Materials and services
Other direct costs
Evaluation
IMPLEMENTATION
SUBTOTAL
PROJECT TOTAL

Click here for printer-friendly version


LEAD House, F-7 Markaz, Islamabad, Pakistan
Tel: 092-51-2651511, Fax: 092-51-2651512, Email: trainings@lead.org.pk , Website: http://www.lead.org.pk

(Best viewed in Internet Explorer 5.0 or above at 800 x 600 pixels)

How to collaborate with partners

Step 1: Assess the partnership capacity of your organization

The following questions can assist you in assessing your organizations capacity to work in
partnerships. Many of these questions do not readily lend themselves to yes/no answers, but they
should stimulate discussion and reflection that leads to a sense of your organization's "partnership
capacity".

To what extent:

Has your organization worked successfully with other organizations on initiatives that were
about the same size and scope as the proposed project?

Are there individuals in leadership positions who are committed to working in partnership
with other organizations?

Is there a commitment to clarity in dealings with partners and a willingness to share


decision making?

Are there mechanisms that support communication and information sharing with partners?
For example, can staff involved in the project be assigned the authority to undertake
activities without always obtaining prior approval from senior staff?

Is the organization open to alternative ways of doing things that were not developed within
the organization?

Step 2: Assess the potential benefits of a project partnership


To what extent does each partner:

expand the resources available for the project? (e.g. provide additional human resources,
institutional capacity, financial resources that are needed for the project)?
provide complementary resources that add elements needed but not currently available to
the project?

enable the project to act in a specific area, either geographically or through a particular
disciplinary expertise (i.e. to what extend do they bring agency to the project)?

connect the project with other organizations or networks that could support the project?

add to the project's capacity to reach populations or constituencies?

Can you think of any other types of partner institutions that could contribute additional resources to
the project?

Step 3: Identify the leadership commitment among the partners


For project partnerships to work effectively, there must be leaders in the partner organizations who
have the time and commitment to see it through someone who can "champion" the project.
Partnerships often develop when key people within both organizations have made a connection,
for example, if they have already worked together on a committee or a smaller scale initiative. The
quality of these working relationships is an essential element in a partnership, but it is more difficult
to assess and quantify the relationship. When there are people who can provide leadership in a
collaborative project, it becomes evident by the way in which others become committed to
accomplishing the project goals. Click here if you would like to read an example from a
collaborative project in eastern Canada.
Funders are also interested in evidence of effective working relationships among partner
organizations, including the history of the project staff in working together on other initiatives.
You will find a framework to record your previous work with partners when you plan an actual
project in the tools section of this course. Click here to view it now.

Step 4: Clarify the operating principles of the partnership


It is essential to establish operating principles when developing a partnership arrangement. These
operating principles provide a framework for working together. These guiding principles help to
avoid delays in project activities that arise because there is no agreed policy to deal with an
impasse.
The following kinds of issues need to be agreed among partners:
a) Decision making:

What will be the form of project decision making: Will decisions be made by
consensus or by majority vote?

Will some or all decisions require unanimity, and what kinds of decisions will
require unanimity?

Who will participate in project decision making, and how will they participate? Will
they provide input only; will they be full participants in the discussion; will anyone
have the right of veto over certain decisions?

b) Planning

Who will participate in project planning and how will they participate: will they
provide input only; will they actively participate in the discussion; will anyone have
the right of veto about certain elements of project planning?
c) Project implementation

Who will participate in project implementation, and how? Will they take part in
project activities and at what level? In management or "on the ground"?

d) Project evaluation

Who will participate in project evaluation, and how?

Will they be consulted on evaluation design and implementation?

Will they take part in implementing the evaluation; will they be involved in
reviewing project progress; will they be invited to provide input, formally or
informally?

A discussion of these key issues around partnership is part of a well planned project development
process. Resolution of these issues should take place before proceeding with developing a project
proposal.

Responsibility Matrix Template


The Responsibility Matrix can be used to outline how each partner and stakeholder is
involved in the project. Expand it if necessary to accommodate your project
information.

ACTIVITY PARTNERS AND STAKEHOLDERS

Project
Admin
Project
Management
Program
Development
Project
Monitoring
Project
Evaluation
L=Lead J=Joint Responsibility I=Implement S= Support
A=Advise

Developing and refining objectives for the Anduga case study


proposal

Example 1

By the end of the project, forestry workers and environmental monitors will have received further
training in their field.
Example 1 gives the basic idea, but does not provide any specific information that indicates the
dimensions of the project. Example 2 gives more details:

Example 2

By the end of five years, approximately 8500 forestry workers, or 85% of the total forestry
workforce in the region, will have received training in logging practice in riparian areas.

By the end of three years, 200 full time government monitors and 1500 short term monitors (former
fisheries workers) will have received training in water quality assessment for fish habitats.

Example 2 gives the basic numerical information, but does not provide details that indicate what
this training will achieve. Example 3 gives a great deal more information about this.

Example 3

By the end of the first year that training is offered, approximately 60 forestry workers will have
been trained in logging practice in riparian areas and will be equipped to serve as mentors for
subsequent cohorts in the program.

By the end of the project term of five years, 8500 forestry workers, 85% of the forestry workers in
the region, will have received sufficient training to enable them to implement environmentally
sound logging practice in riparian areas.

By the end of three years, approximately 500 forestry workers will have sufficient training and
mentoring experience to enable them to lead crews implementing environmentally sound logging
practice in riparian areas.

By the end of the first year training is offered, 40 environmental monitors will have received
training in water quality assessment and will be equipped to serve as mentors for subsequent
cohorts.

By the end of three years, 200 full time government monitors will have received training in water
quality assessment that will enable them to determine the viability of fish habitat in freshwater
streams and rivers, to assess when remedial action is required and to direct that remedial action.

By the end of three years, 1500 short term environmental workers will have sufficient training in
water quality assessment to enable them to use and implement water quality assessment tools
and to take appropriate remedial action to repair damaged fish habitat under the direction of a
government monitor.

Examples 1 to 3 provide increasingly specific information, by including numbers of participants and


the anticipated results of the training. More specific information makes objectives more
measurable and makes it easier to demonstrate that the objective is achievable. But Example 3
has added so much detail that it becomes difficult to grasp the point. Example 4 outlines what all
these numbers mean in broader terms.

Example 4

Within a five year period, to provide the majority of forestry workers in the East Island/West
Mainland district with sufficient training to equip them to practice environmentally sound logging,
thereby strengthening the capacity of the forestry industry to operate in a sustainable manner that
does not conflict with the needs of other resources, notably, fisheries.
Within a five year period, to increase the capacity for improved environmental monitoring in the
East Island/West Mainland District by 500%, by training both government monitors and former
fisheries workers in monitoring environmental practice and strengthening local capability to prevent
environmental damage.

However, all these examples focus on just one aspect of the project, the training program, and
there are several other aspects.

So far, none of the objectives address the second project goal, "to develop effective prototypes for
workplace based training provision in resource-related occupations in remote areas". As well, the
project represents a partnership among a number of agencies, and is intended to be of benefit to a
range of stakeholders. How should these aspects be addressed in project objectives?

Here is an objective based on the second goal, developing a prototype for workplace training in
remote areas.

Example 5

At the end of three years, workplace-related training that uses open and distance learning and
train-the-trainer principles will have been used for three different programs and over 5000 learners,
establishing operating principles and successful strategies that will serve as the basis for other
workplace based training programs that use open and distance learning and a train-the-trainer
approach.

An operational objective can be developed for the working relationships among the project
partners.

Example 6

The four project partners (District Ministry of Environment, National Ministry of Fisheries, East
Island College and Mainland University) will, as a result of working cooperatively on the design,
development and delivery of the project training programs, have established effective collaborative
strategies for assessing and responding to workplace training needs that are related to
environmental practice.

Information about the project proponents and partners in the Anduga


case study proposal
Mainland University was established in 1962 and is Andugas most reputable academic institution
in the biological sciences and natural resource management. Three of Mainland Universitys senior
faculty will form the core management team for the project. Mainlands School of Sustainable
Forestry Management was established in 1994. The Dean of the School, Dr. Helio Figtree, has
over 25 years experience as a researcher and practitioner in agroforestry. Dr. Tamara Fir, the
Associate Dean, has served as an Advisor to the Minister of the Environment on community-based
natural resource management. Mainland University has several years experience consulting
widely for government and the private sector, particularly in providing adult training related to
natural resources management. Dr. Enya Waterstar of Mainlands Marine Biology department has
nine years experience in fish habitat restoration. She worked for several years as an Advisor to
Demeers Mining Company and has recently engaged in a project with the Chopfor Logging
Company in the interior of Anduga.

East Island College is Andugas only open university and is widely recognized in the region as the
expert on new media communications and distance learning for students living in remote areas.
Since 1991, East Island College has developed a highly skilled consulting arm, through which it
delivers first rate new media communications services. Two senior faculty will participate in the
project management team. Dr. Nelson Afar is a senior expert in e-learning and has consulted
widely for the government and private sectors in Anduga since 1993. Dr. Yumiko Airwave joined
the East Island College team in 1998 as the resident expert on creating effective distance learning
programs for learners with very little technical knowledge.

The Western Logging Association was established in 1993 to represent the three major forestry
companies with operations in Anduga: Chopfir, Cutterlog, and Leafdown. Two Senior Program
Officers at the Association have agreed to help manage and implement the project. Mr. Joseph
Logfarm is the Program Manager responsible for promoting standards and assisting companies in
meeting legislative requirements. He has been working in forest management for the past 12 years
and has considerable knowledge of the working conditions and responsibilities of loggers. His
colleague, Ms. Angelique Forrest, is the environmental affairs specialist at Western Logging
Association. Her area of expertise is in reconciling conflicting interests at the community level as
they relate to the operations of forestry companies.

Andugas Department of Fisheries and Oceans was created as a separate government


department in 1972 and has a highly qualified team of professionals responsible for aquatic
management in coastal areas. Ms. Anthea Shark is a geologist who has been working in the area
of water quality assessment for the past six years, particularly in areas affected by developments
such as mining and logging. Mr. Momo Fisherking has been working on a number of re-training
and general support programs to support unemployed or underemployed fishermen and women.
He has been a social worker by profession for the last 8 years.

Project Activities and Timelines


This is a sample activity chart for the case study of Anduga. It has been simplified to include a
selection of the major activities that would be involved in the project. During the project planning
process, the chart would be further refined to include specific activities. A spreadsheet may be
used to organize the information and update it regularly.

Responsibility Comments/to be
By date
Activity of: informed

Project Administration
Project
Project
management Ongoing;
management
team (MU, EIC, quarterly
team meetings
WLA, DFO)
Project Project
Ongoing; Note: regular
management Stakeholder management
quarterly consultation with key
consultation team, NS, FAA,
forums individual stakeholders
FWU
Ongoing; By Email and phone;
Communications MU and EIC
weekly web site for outreach
Project Ongoing; bi-
Team meetings MU, EIC, WLA Consult with FWU
implementation/ weekly
forestry practices
program Curriculum By end of six
MU, WLA
development months
By end of year
Training design MU, WLA, EIC Consult with FWU
one
Training delivery MU By end of year Consult with FWU and
three WLA
On-line technical Years two and
EIC
support three
Ongoing; bi-
Team meetings MU, EIC, DFO
weekly
Curriculum By end of six
MU, DFO
development months

Project Consult with FAA for


By end of year
Implementation/ Training design MU, DFO, EIC appropriateness for
one
Water quality fisheries workers
assessment By end of year
program Training delivery MU Coordinate with DFO
three
On-line technical Years two and
EIC
support three
Monitoring
Year Two
begins
Project monitoring WLA and DFO
External
Project evaluation Annually
evaluator
Project partners: MU: Mainland University; EIC: East Island College; DFO: Department of
Fisheries and Oceans; WLA: Western Logging Association

Stakeholders: NS: Naturesavers; FAA: Fishworkers Association of Anduga; FWU: Forestry


Workers Union

Project management and implementation costs for the Anduga case


study project proposal.
This sample budget template lists annual expenses for project management and implementation.
It is typical of a fairly complex, multi-year project. The project proposal would usually also include
detailed information under each budget category. These details are usually included in a notes to
the budget section at the end of the budget section. Although the final budget presentation may
be in summary form, it is based on reasonable estimates of the costs associated with managing
and implementing the project.

We have included three main categories of expenses that fall under both project management and
project implementation. These include: 1) staffing, 2) travel, and 3) materials and services costs.

STAFFING COSTS- YEAR ONE


Project Management Salary Benefits Subtotal

Project manager, MU $40,000 $15,000 $55,000


Project manager time, EIC $18,000 $5,000 $23,000
Project Manager, DFO, time $22,000 $8,000 $30,000
Admin assistant -1/2 time $10,000 $3,000 $13,000
Subtotal $90,000 $31,000 $121,000
Project Implementation Salary Benefits Subtotal

WLA , time, curriculum development $26,000 $9,000 $35,000


Forestry specialist, MU $16,000 n/a $16,000
Water quality specialist, DFO $13,000 n/a $13,000
Distance ed specialist, EIC $8,000 n/a $8,000
Computer specialist, time, EIC $20,000 $7,000 $27,000
Subtotal $83,000 $16,000 $99,000
Year 1 staffing subtotal $173,000 $47,000 $220,000

TRAVEL COSTS YEAR 1


Project management Fares Per Diem Comments

Project manager, MU $1,700 $800 See budget notes


Project manager, EIC $1,700 $800
Subtotal $3,400 $1,600
Project Fares Per Diem Comments
implementation
Stakeholder meetings $3,500 $5,000 4 quarterly meetings with 5
stakeholders
Forestry practices $28,000 $42,000 Travel to remote areas,
program accommodation and lodging of
trainees for pilot program
Water quality $14,000 $21,000 Travel to remote areas,
assessment program accommodation and lodging of
trainees for pilot program
Subtotal $45,500 $68,000
Year 1 travel subtotal $48,900 $69,600

Materials and services Year 1 Comments


Project management
Item Cost
Meeting rooms $2,300
Materials and supplies $3,600
Phone, fax, courier $1,200
Freight n/a
Printing $1,000
Subtotal: management $8,100
Project implementation
Item Cost
Internet support services $1,400 Provided by EIC
Materials and supplies $8,500 Training materials; water quality
testing devices
Conference facilities $9,200
Phone, fax, courier $2,800
Freight $600
Printing $6,000
Subtotal: implementation $28,500
Year 1 materials and $36,600
services subtotal

Year 1 subtotals
Project management

Item Cost
Staffing $121,000
A budget is worked out for each year of the
Travel $5,000
project, and then the totals are compiled under
Materials and $8,100 separate expense.
services
Overhead $13,410 Categories and under separate activity
Subtotal $147,510 categories; in this case, project management,
Project implementation and project implementation.

Item Cost Overhead is often calculated as a fixed


Staffing $99,000 percentage of project management costs. In
this case, it was fixed at 10% of project
Travel $113,500
management costs.
Materials and $28,500
services
Subtotal: proj $241,000
implementn
Yr 1 subtotal $388,510

Project context (background to the issue or problem)


Communities in the coastal regions of the small (fictional) country of Andagu
have historically been dependent on the fisheries industry, and more recently, on
the forestry industry.

Over the past five years, people who catch fish in Andagus coastal regions,
particularly in the East Island and Mainland Districts, have noticed an alarming
decline in the amount and size of the major species of fish they catch. Their
income from commercial fishing has dropped by one half, threatening their
livelihoods and their communities prosperity. Similarly, the forestry industry has
suffered serious declines in the past decade. The resulting 40% drop in average
income threatens the viability of the 25 major communities of the region and the
economic security of its 500,000 residents. Some of this income drop is related to
lower prices for fish and lumber, due to world economic factors. However, a
serious decline in fish stocks presents an additional challenge.

The government agency responsible for the fisheries, the Department of Fisheries
and Oceans (DFO), has checked the usual factors that cause decline in fish
stocks; ocean water temperature, currents, extent of fishing activity, changes in
fishing practice, and so on. None of these factors, independently or collectively,
can account for the dramatic decline in these species of fish.

However, researchers from Mainland University (which has an innovative School


of Sustainable Forestry Management) make the connection between increased
logging of riparian areas (the areas close to rivers and streams) and reduced
spawning and survival rates of the major fish species. Heavy equipment and
logging debris have been destroying fish habitat.

Ten years ago, forestry companies, facing declining prices for wood products,
began logging in regions where it was cheaper to cut trees and transport them to
market. They began logging intensively in areas close to streams and rivers that
fed directly into the ocean. These streams and rivers were the major spawning
grounds where several major fish species hatched before travelling downstream
to the ocean.

Recent legislation requires forestry companies to change their logging practice to


preserve riparian areas, and to restore those areas they have damaged by
logging.

After considerable research and negotiation among the stakeholders, including


DFO, the Western Logging Association (representative of the major forestry
companies in the area), the local environmental group, Naturesavers Anduga, and
the Fisheries Workers Assocation of Anduga, it appears that the most viable
solution is to change logging practice so that the riparian areas are not damaged.
This means that the logging companies can still take trees from the general
region, but must leave intact the areas adjacent to streams and rivers. This in turn,
entails a number of strategies to change logging practices, to monitor logging
practices and to observe the results in terms of improved water quality in rivers
and better fish survival rates.

At the present time, forestry workers are not aware of or equipped to deal with
new logging regulations or to participate in the restoration of riparian areas.
Therefore, changing logging practice requires re-education of forestry workers.
The situation is complicated by the fact that many forestry workers have limited
prior education and are working in remote areas.

Training is also required for the government staff at DFO who will monitor the
quality of fish habitat. The staff need additional knowledge and skills in order to
monitor the results of changes in terms water quality in fish spawning areas. As
well, the government monitors may not be familiar with forestry, geographical and
geological concepts, since their training was primarily in biology. The monitors
also work in remote areas.

In addition, research indicates that it will take an estimated five years for the fish
stocks to recover. Those most affected by the loss of fish stock are the fisheries
workers, many of whom are now unemployed. These workers desperately need
short-term work opportunities to provide for their families. A national and district
government initiative will provide several income generating opportunities for the
fisheries workers for an initial period of five years. These include provisions for
wage subsidies to forestry companies to hire unemployed fishery workers for
riparian area restoration, and a district government program to hire former
fisheries workers as environmental monitoring assistants. These workers will also
need training, and share many characteristics with the forestry workers and the
environmental monitors.
The proposed project aims to deliver the training needs of the forestry workers,
the government monitors and the fisheries workers over a period of five years.
Two educational institutions, Mainland University and East Island College, have
agreed to design and deliver the training in cooperation with DFO and the Western
Logging Association.

The direct beneficiaries of this project will include the forestry workers, the
government monitors, and the unemployed fisheries workers who receive the
training. The fisheries workers will also directly benefit from the project through the
recovery of fish stocks. The indirect beneficiaries include the 500,000 inhabitants
of the 25 communities in Mainland and East Island Districts, whose economy will
benefit from the recovery of fish stocks and the continued prosperity of the forestry
industry.

Goal for the Anduga case study project


To restore and protect fish habitat in the coastal areas of Anduga, particularly in the East Island
and Mainland districts, by improving forestry practice in riparian areas and monitoring water
quality.

Example of the Impact of the Anduga case study project


It is expected that the project will have a significant impact in the region and beyond in a number of
ways.

1. The project will enable fishery and forestry workers who are at risk of job loss to develop
additional skills that will prepare them for continued employment.

2. The project will demonstrate the viability of cooperative practices that enable sustainable
operation of both fisheries and forestry in a shared watershed region.

3. The project will establish best practices for training in natural resource management that
can be demonstrated to other parts Anduga and globally. In addition, the project will build
the training capacity of the two educational institutions in Anduga. The operating principles
and successful strategies that are established will serve as the basis for other workplace
based training programs that use distance learning and a train-the-trainer approach.

4. The project will provide research data on the how training can support implementation of
environmentally sound practice.

Example of milestones from the Anduga case study project proposal


By the end of the first six months, all project management and communication systems will be in
place, program teams selected, and pilot program development will be underway.

By the end of the first year, pilot program development will be completed, assessment plans
developed, administrative arrangements established for the pilot offering, and a pilot cohort will
have been selected.

After 18 months, the pilot offering will have been delivered and assessed.
Project Outcomes: example from the case study of Anduga

By the end of five years, riparian areas in the Mainland and East Island Districts will be restored,
and fish stocks will have recovered to their 1993 levels.

After three years, two prototypes for workplace based training provision in resource-related
occupations in remote areas will have been developed. These prototypes will be able to be used
for continued training in areas related to environmental protection as well as in a range of
economic development activities

Example of project outputs for the Anduga case study proposal


In the case study, one set of the draft objective statements that was not used in the objectives
section can be used here because it provides specific results information (click here to refer back
to it now):

By the end of the project term of five years, 8500 forestry workers, 85% of the forestry
workers in the region, will have received sufficient training to enable them to implement
environmentally sound logging practice in riparian areas.

By the end of three years, 200 full time government monitors will have received training in
water quality assessment that will enable them to determine the viability of fish habitat in
freshwater streams and rivers, to assess when remedial action is required and to direct
that remedial action.

By the end of three years, 1500 short term environmental workers will have sufficient
training in water quality assessment to enable them to use and implement water quality
assessment tools and to take appropriate remedial action to repair damaged fish habitat
under the direction of a government monitor.

Rationale for the Anduga case study proposal


The educational institutions, DFO and the Western Logging Assocation have agreed that the
training needs for the forestry workers and the government monitors would be best addressed
using a train-the-trainer approach and distance learning techniques. This means that a small
cohort of participants will be trained first, and will then serve as trainers for others.

The two educational institutions involved in the project, Mainland University and East Island
College, have specific expertise in natural resources management and distance learning,
respectively, and therefore have sufficient capacity to design and deliver the training. Directors of
both institutions are in full support of the project and will take a leading role in its management.
The educational institutions have worked together in the past and have agreed to work together on
this project to ensure a well-coordinated project and resource sharing, where possible

Results chart for the Anduga case study project proposal


Critical
Performance Conditions
Activities Expected Results
Indicators (Assumptions and
Risks)

Increased Government
Development of 8500 forestry awareness of monitors, loggers
distance learning workers, 85% of sound logging and former fisheries
training programs the forestry workers practice workers available to
on logging in in the region, are both participate in
riparian areas. trained to and facilitate
implement Less logging
damage to fish training programs.
environmentally
sound logging habitat
practice in riparian Employers remain
areas. Increased supportive of
spawning and improved logging
survival rates of practice
fish over long term
Those who
complete the
program continue in
their occupation.

Development of 200 full time Improved


open and distance government monitoring of
training program on monitors trained to logging practices
environmental determine the and of fish habitat
monitoring for viability of fish
government habitat in Restoration of
monitors. freshwater streams damaged fish
and rivers. habitat

1500 short term


environmental
monitors trained to
use water quality
assessment tools
and restore
damaged fish
habitat.

Organizational
Development of results Development of Continued
open and distance additional training government and
training program on programs based on employer interest in
environmental Training programs this model on-the-job training
monitoring for serve as templates
government for worksite training
monitors. in resource based
regions.

Organizational
Collaboration results Continued Continued
among collaboration commitment to
government, among all partners collaborative
employers and Development of to work on other approaches among
educational collaborative environmental all partners.
institutions processes for initiatives.
addressing
environmental
problems

Revenue budget for the Anduga case study project


The revenue budget is less detailed, and shows the major sources of income and amounts. This
example shows the YEAR 1 contribution only.

Year Year Year Year


Contributors Year 1 Totals
2 3 4 5

Mainland
$13,180
University

East Island
$27,000
College

Western Logging
$35,000
Assocation

Forestry
Companies(Fees
$42,000
for training forestry
workers)

Department of
Fisheries and $48,000
Oceans

STAKEHOLDERS $2,000

SUBTOTAL $167,180

FUNDING
$221,330
REQUEST

Strategies for the Anduga case study proposal


Here's an example from the case study that addresses both project management and project
implementation:

Project Management:
In the initial stages of the project, a team will be established from among all four project partners, to
undertake the following tasks:

project management and administration


development of the forestry practices program
development of the water quality assessment program

The project management team will include two senior DFO staff, two representatives from Western
Logging Association, three representatives from Mainland University and two representatives from
East Island College. This team will manage committees responsible for the development of the
specific forestry practices program and water quality assessment program.
Communication and information sharing among all teams will be facilitated by regular use of e-mail
and website conferences, by quarterly face to face meetings, and by including an administrative staff
member on every team.
Communication with stakeholders and other representatives of the East Island/West Mainland district
will be facilitated by quarterly community forums, publicly accessible website conferences, and regular
meetings with key representatives of stakeholder groups. Stakeholders will be represented on the
program review committees that will review each program in its pilot stage.
Project Implementation:
Two separate project implementation teams will be created for the forestry practices program and the
water quality assessment program. The forestry practices program implementation team will consist of
two representatives of Mainland Universitys School of Sustainable Forestry Management Program,
one representative of East Island College, and two representatives of the Western Logging
Association. The water quality assessment program implementation team will consist of one
representative of Mainland Universitys Department of Marine Biology, two representatives of DFO
and one representative of East Island College. Staff from media services units of both educational
institutions will provide support for the program development process at their respective institutions.
Training will be delivered using a train-the-trainer model and distance learning techniques. Initially a
core group of loggers and water quality monitors will be trained, and each of these core groups will
subsequently serve as mentors to the next group of learners, who will in turn assist the subsequent
group; providing effective on site training and rapid growth in the numbers of people who are trained

Common priorities of funders for projects related to


environment and development.

1. Broad participation and consultation in project design and implementation.

2. A follow-on effect from the project, which means the project extends beyond
the immediate project context and timeframe. This is sometimes termed
building capacity. An example is a project to train staff that are then able to
train others.

3. Sustainability, which means that activities undertaken as part of the project


will be able to continue after the project is concluded.

4. Inclusion of minorities and under-represented groups, such as women, in


project design and implementation

5. Respect for human rights in all aspects of project design and implementation,
especially research with human subjects.

6. Environmental soundness. Even projects that are not directly addressing


environmental issues are normally required to demonstrate that the
environmental impact has been considered, and if it is determined there will
be an environmental impact, steps are included to mitigate any negative
effects.
Project Evaluation
Describe how the project will be evaluated, by whom, and at what stages of the
project. The following chart can be used to develop evaluation plans in an outline
form. The evaluation plan can then be expanded with more detailed explanations.

Project monitoring
Responsibility of: Timelines Comments/to be informed
activities

Program evaluation
Responsibility of: Timelines Comments/to be informed
activities

Results Chart
When you are writing your project proposal, you may want to expand and use the
results/critical conditions chart listed below to help you develop a logical framework
for your project.

Critical Conditions
Performance
Activities Expected Results (Assumptions and
Indicators
Risks)

Conditions: example from the case study of Anduga


Two required conditions are that:
1. The Department of Fisheries and Oceans continue its commitment to give its staff study leave to
take part in the water quality assessment program, and

2. The district government provides the wage subsidies and support for training of the unemployed
fisheries workers

Monitoring and evaluation plan for the Anduga case study project
All project partners and stakeholders are committed to including evaluation as part of the project
implementation. This will be accomplished in several ways.

Ongoing project monitoring

The project management team will take responsibility for monitoring timelines and achievements of
identified tasks by all of the project teams. Each program team will be responsible for reporting
progress on program development and any concerns to an identified member of the project
management team: that member of the project management team will be responsible for assessing
any problems and working with the program team and the management team to develop appropriate
solutions.

The project management team will maintain records of meetings and a file of progress reports for the
use of the external evaluator conducting the summative evaluation.

A stakeholder survey will be conducted at the midpoint of the second year of the project to determine
their response to the project processes to date, and to identify any further steps needed to ensure the
project is inclusive of and responsive to stakeholders.

Evaluation

All program development teams will work together with an external evaluator to develop a common
evaluation framework to assess, for each training program, its appropriateness, accessibility,
effectiveness and sustainability. The evaluation design will be in keeping with accepted practice in
assessing training programs provided by open and distance learning. The evaluation framework will
be reviewed by the project management team.

As well, at identified stages of the development of each program, members of another program team
will review and assess the program design and materials to date, and provide feedback to the
development team.

The pilot offering of each program will be evaluated by reviewing learner progress, interviewing
learners and mentors, and assessing learner competence on the job after completing the training.

The programs will be revised based on evaluation input. Each offering of the program for the duration
of the project will track numbers of learners, progress and outcomes

An example of a risk that could affect successful implementation of the


Anduga case study project

If there is a dramatic drop in lumber prices worldwide, it may affect the lumber
companies' commitment to contributing to training costs, and reduce incentives to
continue with environmentally sound logging practice.

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