Proposal Development: Logical framework and project proposal

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The logical framework approach and the writing

of proposals

March 25, 2003

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GENERAL REMARKS

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A proposal is a crucial document: donors will decide whether or not to finance your project based on what you have written.

Any proposal should reflect thoughtful planning

What is a proposal?

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Identify the project idea

Demand from the community

Available resourcesNeeds as defined by experts

Project

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1. Make sure that you are addressing a genuine problem and that you are equipped for it.

2. Two-step approach:1. First define your project thoroughly and in a

participatory approach,2. Then adapt your project proposal according to

the targeted donor.

3. Use the logical framework which is a method to design a project in a systematic and logical way .

Some recommendations…

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LOGICAL FRAMEWORK APPROACH

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What is a logical framework ?

The Logical Framework Matrix provides a summary of :

• Why a project is carried out• What the project is expected to achieve• How the project is going to achieve it• Which external factors are crucial for its success• Where to find the information required to assess the success of

the project• Which means are required• How much the project will cost

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The Logical Framework Matrix

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The logframe and the project cycle

* NGO’s mandate* NGO thematic/geo. orientations* outcome : Programme strategy

* pre-feasibility project studies* outcome : decision YES/NO

* all significant aspects of the idea are studied* outcome : logical framework

* fundraising strategy * proposal writing for donors* outcome : financing contract(s)

* the agreed resources are used to achieve the project purpose* reports / contract amendments* outcome : decision to continue as planned or re-orient the project

* relevance and and fulfilment of objectives * outcome : how to use results in future programming

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Organisations using the logframe

• USAID, USA

• GTZ, Germany

• DfID, Great-Britain

• NORAD, Norway

• DANIDA, Denmark

• AUSAID, Australia

• Intercooperation, Switzerland

• Ministry of Foreign Affairs, France

• DGCD, Belgium

• European Commission

• DGCS - Min. of For. Aff., Italy

• ICAX - Min. of Industry, Spain

• SIDA, Sweden

• UNIDO, Vienna

• FINNIDA - Min. of For. Aff., Finland

• HELLASCO, Greece

• WWF

• Int. Federation of Red Cross

• UNDP

• FAO

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Advantages of the logical framework

Problems are analysed systematically The objectives are clearly formulated,

logical and measurable The risks and conditions for success of a

project are taken into account There is an objective basis for monitoring

and evaluation

Your project proposal will be coherent

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The logical framework approach

1. Problem analysis: identifying stakeholders, their key problems, constraints and opportunities, determining cause and effect relationships.

2. Analysis of objectives: developing objectives from the identified problems, identifying the relationships between the means and the ends.

3. Analysis of the strategy: identifying the different strategies to achieve objectives, determining the major objectives (overall objectives and project purpose or specific objective).

4. Logframe: defining the project structure, testing its internal logic and formulating objectives in measurable terms, determining means and cost.

5. Activity planning: determining the sequence and the relation between the activities, estimating their duration , setting the main stages in the process, assigning responsibility.

6. Resources planning: from the activity schedule, developing the input schedule and the budget.

Analysis phase Planning phase

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1. Problem analysis

1. Identify the major problem faced by the beneficiaries

2. Develop a problem tree

3. Identify the stakeholders affected in the proposed project

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How to proceed with problem analysis ?

Identify key problems existing within a given situation (brainstorming)

Select a starter problem Look for related problems to the starter problem Establish hierarchy of causes and effects

- problems which are directly causing the starter problem are placed below

- problems which are direct effects of the starter problem are placed above

Complete with all other problems accordingly Review the diagram and verify its validity and

completeness

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1. Problem analysis

EFFECTS

CAUSES

The system receives

no maintenance

The irrigation system is faulty

Some irrigation structureshave been destroyed

Support services for farmers are not

available in the area

The farmers have no

investment capacity

Rice production is insufficient for the population of village x

Agricultural practices are unsuitable

Problem tree

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1. Problem analysis

Identifying stakeholders

PUBLICPRIVATEMICRO

MACRO

Farmers

Agric. Ext.services

MoA

FAO

Farmers’groups

NGO

Irrigation

Dept.Fertiliser suppliers

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2. Analysis of objectives

Transforming Problems into Objectives

Rice production is insufficient for the population of village x

The irrigation system is faulty

Agricultural practices are unsuitable

The system receives

no maintenance

Some irrigation structures

have been destroyed

Support services for farmers

are not available

Farmers do not have

investment capacity

Rice production is sufficient for the population of village x

The irrigation system is working

Agricultural practices are appropriate

The system receives

proper maintenance

Support services for farmers are available

Damaged irrigation structures

are repaired

Farmers have the resources to

invest

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2. Analysis of objectives

Objectives’ tree

MEANS

ENDSRice production is sufficient for

the population of village x

The irrigation system is working Agricultural practices are appropriate

The system receives

proper maintenance


are repaired

Support services for farmers are available

Farmers have the resources to

invest

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3. Analysis of alternatives

Possible criteria to choose the intervention logic of your project among different project alternatives:

Available resources (especially HR) Probability of achieving the project purpose and its results Cost Timeframe Risks

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3. Analysis of strategy

SPECIFICOBJECTIVE

(or project purpose)

EXPECTED RESULTS

OVERALLOBJECTIVE

CHOSEN STRATEGY

Rice production is sufficient for the population of village x

The irrigation system is working

Agricultural practices are appropriate

The system receives

proper maintenance


are repaired

Support services for

farmers are available

Farmers have the

resources to invest

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4. The log-frame

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Levels of objectives

The broader impact(s) to which your project will contribute to, but will not enable to reach entirely

The outcome of your project, what should be achieved at the enf of the project.

Specific outputs which will contribute to the realisation of your project purpose

Concrete activities that will be undertaken during the project

Project Purpose

ExpectedResults

Activities

Overall Objective(s)

4. The log-frame

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4. The log-frame

Define objectively verifiable indicators (OVI):

– !!! Do not make the confusion between « criteria » and « indicators » !!!

• A criteria is for instance: « number of… », « increase in… »

• Whereas an indicator is « 150 persons per month », « 34% of increase in … »

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Example of a good indicator

Objective: The irrigation system is working

The indicator should be « SMART »:

Specific = The irrigation pumps are functioning properly in the project area Measurable = 50 of the irrigation pumps are functioning properly in the project area Acceptable = Is the indicator accepted by all the partners involved in the implementation of the project ? Relevant = Are the irrigation pumps the main problem? Time-bound = 100% of the irrigation pumps are functioning properly in the project area at the end of the project

4. The log-frame

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Selection of sources of verification

Administrative/ financial

report

Management report

Monitoring data

Adapted monitoring statistics

Interviews of beneficiaries

Specialised surveys

Complexity

Cos

t

4. The log-frame

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4. The log-frame

Consider the various risks and assumptions on your project:

= external factors that may affect the projects’ implementation and long-term sustainability

= synergetic activities made by other actors

Do not define assumptions that are endogenous to the project and the scheduled activities !!

Only mention relevant hypothesis…

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Is the RISK important to your project?

Yes No

What is its probability? Ignore

Almost certainUnlikely Fairly Unlikely

Can the project strategy be modified to eliminate the risk?

YesNo

Modify strategy, add activitiesSTOP the project

Formulate an assumption

Risks/Assumptions

4. The log-frame

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Intervention logic of project + Assumptions

IN OUT

Overall objective

Project Purpose

Results

Activities

+

+

+

Assumptions

Assumptions

Assumptions

Pre-conditionsIf the activities are carried out,and if assumptions are valid, then ...

4. The log-frame

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Logical framework

5. Activity-planning

Plan of action

Year Year 1 By whom?

Month 1 2 3 4 5 6 etc.

Activity 1

Activity 2

Activity 3

Activity 4

Activities

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5. Resource-planning

Year Year 1 By whom?

Month 1 2 3 4 5 6 etc.

Activity 1

Activity 2

Activity 3

Activity 4

Plan of action

Means: Budget

Human resources

Material/ Equipment

Travel etc.

Means/Budget

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TIME FOR A SMALL GROUP EXERCISE!!

GROUP WORK

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The logical framework :Two case studies

Case study Bangladesh:

Advocacy project in Bangladesh to promote the rights of persons with disabilities

Case Study Nepal

Project in Nepal to provide orthopaedic appliances and services to disabled persons

Identify among the cards given:· Goal (1)· Project purpose (1)· Expected results (4)· Corresponding indicators for each (6)· Assumptions (5)Group work: 15 minutes – Presentation: 5 minutes

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10 frequently made errors in log-frame:

Make sure to…1. Have only one specific objective.2. Have a coherence in the hierarchy between objectives and

results.3. Formulate objectives and results as they were already achieved.4. Define “SMART indicators” (no activity, no vague indicator like

criteria).5. Do not transpose the activities as indicators of the results.6. Do not define indicators next to the general objectives (they are

irrelevant in most cases).7. Do not define sources of verification that are too expensive or

impossible to get. In any case, if an expensive source of verification is mentioned, be sure to integrate it in the activities and within the budget.

8. Do not define hypothesis endogenous to the activities you should implement.

9. Next to activities, mention the means (HR and material) and the costs.

10. Do not forget pre-conditions

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WRITING PROJECT PROPOSAL

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Preliminary remarks

Proposal = is often the only tool for the donor to assess your project (e.g. reject it or not)

Write a proposal only when your project idea is already well defined!

Be sure to stick to the donor’s criteria and values.

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Select the right funding source

DONOR’ S MANDATE: Which donor has a mandate compatible with your project ?1. ex. Humanitarian aid versus development

(ECHO versus EuropeAid)2. ex. Refugees (ex. Austcare)

DONOR’S PREFERENCES: What are your potential donors preferences? – Ex: Mines victims (Irish Aid)

SELECTION CRITERIA: How do donors evaluate project proposals and are you likely to be selected?– Existence of an evaluation grid ?– Consortium required?, etc…

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Follow a logical thread: Background -> Problem -> Solution

-> Sustainability

Ensure internal coherence between:Problem - Objectives - Means

Many donors follow the LFA

Package your project into an attractive proposal (1)

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Coherence checklist Don’t leave a problem unsolved Don’t identify objectives that do not

correspond to a problem Don’t identify objectives for which you don’t

have appropriate means Don’t propose activities that are not related

to problems and objectives Don’t list human resources that are

disproportionate to the objectives you aim to achieve


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Editing and layout

Pay attention to the language:- Use simple language- Use future tenses- Be concise and logical - Avoid spelling mistakes- Find a catchy title

Pay attention to the layout/ presentation:- Use your organization’s logo on the first page- Use headers and footers- Clear titles and paragraphs- Break the monotony- Add table of contents- Print on standard format paper


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1. Executive summary2. Presentation of the organisation3. Project background4. Problem statement5. Goal and objectives6. Beneficiaries7. Proposed methodology:

PartnersProject implementationActivitiesRisks and assumptionsMeans

8. Budget 9. Monitoring and evaluation10. Sustainability11. Annexes

General structure

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Why is it important:

It is the first thing that is read

Sometimes, it is the only thing that is read…

It can be used by the donor to communicate about your project

1. Executive Summary

1. Executive summary

2. Presentation of the organisation

3. Project background

4. Problem statement

5. Goal and objectives

6. Beneficiaries7. Proposed

methodology8. Budget 9. Monitoring

and evaluation

10. Sustainability11. Annexes

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and evaluation



Contents

What do you propose to do?

Where?

Why?

For whom?

With whom?

For how long?

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DO :

Write it only at the end Do it carefully Be concise

DON’T :

Cut and paste








and evaluation


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Why is it important?

Purpose: to establish credibility and image of a well-managed organization that meets critical needs in its area of work

Tips Should not be too long If you are approaching a new

donor, attach in appendix a presentation brochure and/or the last activity report








and evaluation


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Contents Who are you? Philosophy/ mandate? History and significant

interventions/track record Expertise in addressing the

problem/need Organizational structure Major sources of support Affiliations/accreditations/

linkages








and evaluation


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3. Project Background

Contents Who took the initiative? Does the project fit into an existing

development plan or programme? Is this the first phase of the project, or

the continuation of an activity already

undergoing? If this is the case, which have been

the main result of the previous phase? What studies have been done to

prepare the project? Who else operates in this field?








and evaluation


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3. Project Background

Tips You need to demonstrate that : The project arises from the

beneficiaries and/or the local

partners You know very well the local

context You have the experience needed

to run the project successfully You have been successful before








and evaluation


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4. Problem Statement

Why is it important?Unless donors are convinced that there is a real problem, they will not agree to disburse money for our project !

TipsA “good” problem should: concern people be concrete and demonstrated be solvable arise from a demand be an emergency or priority








and evaluation


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4. Problem Statement

Contents Description of the scope and

magnitude of the problem What are the immediate causes

of the problem? What are the underlying causes

of the problem? What are the effects of the

problem? How does it affect people? Why does it have to be

addressed? Why now and not later?








and evaluation


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5. Goal and Objectives

Goals (or overall objectives):

Describes the long-term goals, your project will contribute to.

Project Purpose or Specific Objective:

Describes the objective of your project in response to the core problem.

Expected Results: Describes the outputs or concrete results of your project.








and evaluation


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Objectives should be SMART:

Specific = they must meet the needs (problems) identified

Measurable = they should be measured by concrete indicators which should reflect the extent to which they have been attained

Acceptable = by all involved partners Relevant = they must be adequate to

the project socio-cultural environment Time-bound = must be reached by

the end of the project








and evaluation


5. Goal and Objectives

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6. Beneficiaries

Contents Clearly identify direct and

indirect beneficiaries:• Directly receiving support• Indirectly benefiting • How many?• Where?• Characteristics?

Specify how and at what stage they will be involved in the project







methodology8. Budget 9. Monitoring and

evaluation10. Sustainability11. Annexes

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7. Proposed Methodology









Contents Partners Project implementation Activities Risks and assumptions Means

Why is it important? Indicates how objectives will

be achieved

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Partners: Clearly distinguish between main

partners and other partners Provide background information:

Goals/philosophy? Area of intervention? Relationship with beneficiaries? Cooperation track-record? Role in the project

Type of partnership you set up Specify each partner’s role










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Project implementation: Rationale for selecting a particular

or unique methodology

Project implementation structure: roles and responsibilities of all the project stakeholders

TipUse a chart to describe the project

implementation structure










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Activities: What will be done? How? By whom? Where? By when?

Tips Be as precise as possible Cluster activities by expected

result Use a work plan to summarise

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Example: Training: How many persons? For how long? Starting when? Which methodology will be used

(seminars, in-house training, ad hoc courses, etc.)

Why is the training necessary? Which new skills will the trainees

acquire?Year Year 1 Phase Two

Month 1 2 3 4 5 6 7

Activity 1

Activity 2

Activity 3

Activity 4

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Risks/Assumptions: Risks are external factors that could

potentially jeopardise your project and are beyond the control of the project management

Assumptions are what you are supposing regarding those risks

Why is it important? It helps assess the factors which could

jeopardise your project It helps examining the project for

completeness and consistency

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7. Proposed methodology









Means: Human resources:

Explain the responsibilities and tasks of each key person in the project.

Justify the need for expatriate personnel

Material resources: Give an explanation of the most

important budget lines Justify vehicles

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8. Budget









Contents Budget itself Budget explanations and

justifications Tips

Prepare it using your plan of action

Don’t inflate the budget Follow carefully donor’s

requirements Disaggregate your budget for

each year

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9. Monitoring& Evaluation








and evaluation


Why is it important? Monitoring: to assess whether

your project activities are on track Evaluation: to assess whether

your project is effective, efficient, has an impact, is relevant, sustainable…

Contents What will be monitored and why? By whom? How often? Using which tools and methods?

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10. Sustainability









Contents Institutional sustainability Technical sustainability Socio-cultural sustainability Financial sustainability

Why is it important?Because donors want to be sure that their investment will not be lost at the end of the project and that you are already planning the phasing out of the project.

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Contents Glossary Maps Statistics/ policy documents Proof of registration and tax benefits

for donors Financial statement Composition of Board of Directors List of major donors Annual report, brochures &

publications Specific studies or evaluation reports Memorandum of agreement with

partners Letters of support Pictures Others...









11. Annexes

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11. Annexes

Tips Refer to the annexes (see annex xy) in the proposal, but.... If something is crucially important, write it in the proposal! Add a table of content for the annexes Write the annex number on the top of each page “annex n°xy” Separate each annex by a coloured page









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1. Cover letter(Use letterhead, mention project title, purpose, amount requested, contact person and list of enclosures)

2. Project proposal: •Title page with logo•Table of contents•Executive summary•Detailed proposal•Annexes

3. Requested attachments(Submit all documents requested by the donor which are not already included in the annexes)

Proposal package

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Ask someone exterior to the project to read it before any

submission to a donor.

Final recommendation

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CASE STUDY

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Case study: Laos project

Targeted donor: ECHO (European Community Humanitarian Office)

– ECHO mandate: humanitarian and emergency actions

Context: Need of gap funding between two contracts with EuropeAid ( budget line B7-661 « mines »)

– EuropeAid mandate: long-term development oriented

Project rationale: training of deminers in Laos, Savannakhet Province

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Version I: what would you

change/improve ?1. GENERAL INFORMATION

Title of operation:Technical support for the maintenance of Lao National Unexploded Ordnance (UXO LAO) activities in Savannakhet. Province of Lao PDR while preparing the consolidation of a 24 month final phase of the project.

Start-up date: March 2002.

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VERSION II:What was written in the final

version

VERSION 2

1. GENERAL INFORMATION Title of operation:Maintenance of Handicap

International Technical Assistance to UXO Clearance Operations in Savannakhet Province, Lao PDR

Start-up date: 01 March 2002

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change/improve ? VERSION 1 :Number of direct beneficiaries:

UXO Lao staff in Savannakhet Province. Currently UXO Lao assisted by HI have 160 deminers, surveyors, community awareness (CA) members and supporting staff in the province.The general population on the four most UXO affected districts of Savannakhet Province will also directly benefit of the clearance operations undertaken by UXO Lao.

The quantitative outputs of UXO LAO Savannakhet in the key activities since the HI project started are:Area Clearance: Agriculture land cleared: 2,534,935m2 ( 58% of the total land cleared)Roving Tasks: Villages visited: 939Community Awareness: Villages visited: 561 out of more than 625

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version Number of direct beneficiaries:The general population on the seven most UXO affected districts of Savannakhet Province will directly benefit of the clearance operations and awareness activities undertaken by UXO Lao. The direct beneficiaries are more specifically, the populations of the districts of Phine, Xepon, Vilabuly, Nong, Atsaphanthong, Phalan Xai and Atsaphone. The number of direct beneficiaries is estimated to over 22 000 people. The vast majority of the beneficiaries are subsistence farmers from ethnic minority groups in remote areas Through activities undertaken in this programme, the local population will benefit from improved land accessibility, improved land availability, a safer working and living environment and an improved ability to avoid accidents caused by unexploded ordnance.

Equally, UXO LAO staff in Savannakhet Province is a direct beneficiary of this programme. Currently UXO Lao staff assisted by HI includes de-miners, surveyors, community awareness (CA) workers and support staff in the province. The number of beneficiaries equals 160 employees of UXO LAO. Through activities undertaken in this programme, UXO LAO employees will benefit from training aimed at safer, more efficient and more diverse unexploded ordinance identification, removal and destruction.

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change/improve ?4.1. Overall objective(s)Phase 4 – Transfer of knowledge, skills and capacities to UXO LAO Savannakhet in respect of the application of comprehensive national procedure across all aspects of the programme leading to the complete withdrawal of HI technical assistance.

4.2. Project purpose/ Specific objectiveTo provide reduced technical support to UXO LAO Savannakhet for UXO area clearance and disposal in order to allow UXO LAO to maintain limited activities to national standards.

This is an interim arrangement of six months that will allow limited continuity of operations for UXO LAO in Savannakhet until implementing partner funding becomes available. This will allow UXO LAO Savannakhet to conduct its full range activities (community awareness, survey, roving and area clearance) to national standards under the technical supervision of Handicap International technical advisor as described in the phase four financing proposal.

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version

4.1. Overall objectives:

The populations of Phine, Xepon, Vilabuly, Nong, Atsaphanthong, Phalan Xai and Atsaphone of Savannakhet Province, Lao PDR live in a safer environment.

4.2. Project purpose/ Specific objective:

The negative impacts of UXOs in the districts of Phine, Xepon, Vilabuly, Nong, Atsaphanthong, Phalan Xai and Atsaphone of Savannakhet Province, Lao PDR are reduced.

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Checklist: all the « good questions » to bear in mind when drafting project

proposal1. Before writing the proposal:- Is the stakeholder analysis done and complete ?- Have I established a coherent objective tree and a concrete problem ?- Have objectives, results and activities been discussed with all partners and accepted ?- Do I know the donor to whom I will send my proposal (e.g. mandate, criteria, specific format, etc.)?- Is there an internal organisation that has been set up within HI around this proposal ? and does each person know her tasks ?

2. When drafting the proposal: - Is my proposal coherent (identified problem/suggested activities/proposed mean)?- Is my proposal precise enough (e.g. explanation of expected results ad intended activities, definition of SMART indicators)?- Is my proposal understandable by everybody (not to much technical terms, explanation of them, etc.)?- Do I have really respected the donor’s criteria ?- Have I put the information in the correct place ?- Have I corrected all the spelling mistakes ?

Proposal Development: Logical framework and project proposal

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