Sustainable Economic Development of the Sudurnes                 region, Iceland         Preparation of Project Proposals ...
Contents1. Preparation of the project   application form2. Activity and resource planning                       2
1. Project Design        3
Project Design: definition of aProject• Economically indivisible series of activities  for a precise technical function• I...
Elements of project design• Why: the problem or need and wider objectives• What: activities, results and project purpose• ...
Project Design: TasksResponsibilities of Final Beneficiary:• Designing of project proposals and submitting them  to IBsRes...
The project application procedureshould:  • Promote high quality project preparation  • Asess if EU principles are met (ho...
Elements of a project proposal‘Project fiche’1)         Basic information2)         Objectives3)         Description4)    ...
Activities in Project DesignA. Information gathering for the problem   analysis and the elements of project designB. Decid...
A) Information gathering  – Outcome of previous projects / gaps  – Linked or other relevant activities  – Views of potenti...
B) Deciding the scope and scaleScope: type of activities to include should  depend on:- type of needs/problems- cost/feasi...
C) The project design elements and logframeD) Filling in the project fiche                        12
The logic of project design  Needs/Problems (t)  Overall objective  Project purpose  Expected results  Input  Activity    ...
14
1. Why: Start with problem or needidentification• Briefly explain the origins of the project  and outline why it is being ...
2. Objectives: Overall objective• The Overall Objective should explain why the  project is important to society, in terms ...
2. Objectives: Project PurposeThe single central objective of the project in  terms of sustainable benefits to be  deliver...
3a. ResultsThe results are what the project management is responsible for               achieving by its completion date. ...
3b. Activities• The specific tasks to be undertaken during  a project’s life to obtain results.Activities should indicate:...
3c. IndicatorsMeasurable indicators that will show whether or not  objectives have been achieved at each level of the  log...
Risks & assumptions andPre-conditionsRisks: factors which could affect the progress or  success of the projectIn LFA: risk...
4. Institutional Arrangements• Institutional framework within which the project  will operate.• Identify any constraints o...
5. Detailed Budget• Budget: estimation of investment costs• Clarify the cost estimation• Maintenance costs are not covered...
6. Implementation arrangements• Implementing agency of the project  (details)• Contracting parties                     24
7. Implementation schedule  A) Start of tendering/call for proposals  Give date, including when TORs and/or project  speci...
Project Fiche – Step by Step• Following the standard Project Fiche  format – contained in an Annex to the  Phare / Pre-Acc...
Project Fiche•       Introduction - Phare 2005 Project Fiche Format•       Period 2005-07: multi-annual PF for Economic   ...
Project Fiche• 1 Basic Information (using PF numbering  system)• 1.1 CRIS Number – allocated after FP  registered• 1.2 Tit...
Project Fiche2 Objectives2.1 Overall Objective(s)• Normally only one overall objective• Take from Logframe• Overall object...
Project Fiche2.2 Project Purpose• From logframe• Normally one purpose per project• Project purpose is the single central o...
Project Fiche2.3 Accession Partnership (AP) & NPAA Priority• Need to identify and outline AP/NPAA policy    priority addre...
Project Fiche2.4 Contribution to NDP (and/or Structural Funds   Dev Plan)• Normally applies to ESC projects only• Show rel...
Project Fiche3   Description•   Provide clear picture of the use of funding    sought3.1 Background and Justification• Cla...
Project Fiche3.2 Sectoral Rationale (sector programmes only)• Summarise how Govt strategy helps achieve overall    objecti...
Project Fiche3.3 Results• Need following information for each   project    –   Starting position (benchmark)    –   Projec...
Project Fiche3.4 Activities (including Means)• Describe activities during life of project (from    logframe) and means (sp...
Project Fiche3.5 Linked Activities• Describe earlier EU activities and projects in    this area• Show connections with eac...
Project Fiche3.6 Lessons Learned• Show that project design incorporates lessons    learned from all relevant sources of   ...
Project Fiche4. Institutional Framework• Identify project‘s institutional framework & any    constraints• Will project res...
Project Fiche•   IB Twinning Projects:•   Show how project fits IB plan•   Identify beneficiary institution and outline pr...
Project Fiche5 Detailed Budget• See budget model in Fiche format• Make sure figures add up, are consistent with   Section ...
Project Fiche6 Implementation Arrangements6.1 Implementing Agency: Contact details of  CFCU6.2 Twinning: imp. Arrangements...
Project Fiche7 Implementation Schedule7.1 Start Tendering / Call for Proposals:• Date (also, when will TOR / Tech Specs be...
Project Fiche8 Equal Opportunity• How will equal opportunity by women and   men be assured and how will women‘s   particip...
Project Fiche9 Environment• Has initial environmental screening or EIA been   carried out? When? Copy available?      •   ...
Project Fiche10 Rates of Return (applies to all ESC projects)•   Need to follow Commission Guide to Cost-   Benefit Analys...
Project Fiche11 Investment Criteria (applies to all investments)11.1 Catalytic Effect• Project must catalyse a priority ac...
Project Fiche11.3 Additionality• EC funds must not displace other funding   (esp from private sector)• Demonstrate by refe...
Project Fiche11.5 Sustainability• Investment must be sustainable in long run• Complies with EU norms and standards and   i...
Project Fiche12 Conditionality and Sequencing• Must be completed for all projects• Describe specific and achievable   cond...
Annexes to Project Fiche•       Logframe•       Detailed implementation chart (year one at least)•       Contracting and d...
2. Activity and resource schedules                 52
Activity and resource schedules                 (see examples)•   Logframe: broad description of activities•   Operational...
Resource schedule  Activities, inputs                              Cost per  -Equipment                                   ...
Contracting and disbursement schedule  • Show for project period contracting    points  • Show for project period expected...
Conclusions• Good project design starts with a sound  problem analysis (problem tree) and make  use of logframe• Project d...
Exercise: project fiche and activity plan Trainer will present background information on a real case Project Fiche Trainer...
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3.3 project fiche

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3.3 project fiche

  1. 1. Sustainable Economic Development of the Sudurnes region, Iceland Preparation of Project Proposals ‘The project fiche’ JOSE MATEOS MORENO Ásbrú, January 2012
  2. 2. Contents1. Preparation of the project application form2. Activity and resource planning 2
  3. 3. 1. Project Design 3
  4. 4. Project Design: definition of aProject• Economically indivisible series of activities for a precise technical function• Identified outputs and objectives• Clearly defined beginning and end• A programme is a heterogeneous group of measures and projects 4
  5. 5. Elements of project design• Why: the problem or need and wider objectives• What: activities, results and project purpose• How: internal and diagonal logic: - Indicators for monitoring and evaluation - Risk analysis and assumptions - Preconditions - Finance: costs and co-financing - Implementation schedule 5
  6. 6. Project Design: TasksResponsibilities of Final Beneficiary:• Designing of project proposals and submitting them to IBsResponsibilities of Lead Ministry (Sectoral Offices):• Compliance with the sectoral strategic documents• Verifies technical quality of the project proposal• Verifies if the project proposal meets the eligibility criteria for IPA measures• Ensures the national financial contribution for the project 6
  7. 7. The project application procedureshould: • Promote high quality project preparation • Asess if EU principles are met (horizontal issues) • Check for availibility of all necessary documents (feasibility studies, EIA, permits etc) • Show main results of EIA and feasibility/CBA studies • The format (project fiche or application form) is a tool for uniform communication of relevant key project information 7
  8. 8. Elements of a project proposal‘Project fiche’1) Basic information2) Objectives3) Description4) Institutional Framework5) Detailed Budget6) Implementation Arrangements7) Implementation Schedule8) Cross cutting issues 1) Equal Opportunity 2) Environment9) Rates of Return10) Investment Criteria11) Conditionality and SequencingAnnexes: Logframe, implementation chart, contracting and disbursement schedule, list of preparation studies, laws, plans. 8
  9. 9. Activities in Project DesignA. Information gathering for the problem analysis and the elements of project designB. Deciding the scale and scope of the projectC. Assembling the project design elementsD. Filling in the project proposal (fiche) 9
  10. 10. A) Information gathering – Outcome of previous projects / gaps – Linked or other relevant activities – Views of potential beneficiaries / recipients – Monitoring/evaluation recommendations – OPs and any other government strategies or plans – Financial information – national funds available – Statistics available for Indicators of Achievement – Gender information – Institutional ‗audit‘ of staffing / capacity / resources – Environmental Impact Assessment (EIA) / feasibility studies (CBA) – Material for Fiche annexes 10
  11. 11. B) Deciding the scope and scaleScope: type of activities to include should depend on:- type of needs/problems- cost/feasibility issues- dependency of success on specific activitiesSize (capacity) of the project should depend on:- market demand/need for the services of the project (feasibility study) 11
  12. 12. C) The project design elements and logframeD) Filling in the project fiche 12
  13. 13. The logic of project design Needs/Problems (t) Overall objective Project purpose Expected results Input Activity 13
  14. 14. 14
  15. 15. 1. Why: Start with problem or needidentification• Briefly explain the origins of the project and outline why it is being undertaken• Problem or need analysis: causes of the problems and size of the problemExample: High level of unemployment because of low economic activity 15
  16. 16. 2. Objectives: Overall objective• The Overall Objective should explain why the project is important to society, in terms of the longer-term benefits to beneficiaries and the wider benefits to other groups.• The Overall Objective will not be achieved by the project alone, but will require the impacts of other programmes and projects (and probably other actions) as well.• Example: to improve business environment in a region 16
  17. 17. 2. Objectives: Project PurposeThe single central objective of the project in terms of sustainable benefits to be delivered to the project beneficiaries.• Example: to improve business infrastructure for new start-ups.• To improve tourist infrastructure in a region. 17
  18. 18. 3a. ResultsThe results are what the project management is responsible for achieving by its completion date. Results impact and sustainability What is achieved what changes what lasts 18
  19. 19. 3b. Activities• The specific tasks to be undertaken during a project’s life to obtain results.Activities should indicate:• what the person or organisation responsible for the project should do.• how the project’s goods and services will be delivered 19
  20. 20. 3c. IndicatorsMeasurable indicators that will show whether or not objectives have been achieved at each level of the logframe hierarchy and at defined timesIndicators provide the basis for designing an appropriate monitoring (and evaluation) systemSources of Verification: the means by which the indicators or milestones will be recorded and made available to project management or those evaluating project performance. 20
  21. 21. Risks & assumptions andPre-conditionsRisks: factors which could affect the progress or success of the projectIn LFA: risks should always be expressed as assumptionsRisk analysis and risk management strategy for larger projectsPre-conditions: constraints that have to be met before the project starts 21
  22. 22. 4. Institutional Arrangements• Institutional framework within which the project will operate.• Identify any constraints or changes that can have impact on results• Chain of command• (a) who will be appointed as the "Engineer―• (b) who will be the "Employer" — the institution responsible for providing the site and for paying the contractor• (c) who will be or become "Owner" of the asset after project completion 22
  23. 23. 5. Detailed Budget• Budget: estimation of investment costs• Clarify the cost estimation• Maintenance costs are not covered by EU funds: make reservation in national budget• Specify co-financing of national budget, municipalities, loans etc. (column funding source in resource schedule) 23
  24. 24. 6. Implementation arrangements• Implementing agency of the project (details)• Contracting parties 24
  25. 25. 7. Implementation schedule A) Start of tendering/call for proposals Give date, including when TORs and/or project specifications will be ready B) Start of project activity Expected date of commencement of first contract/grant scheme C) Project completion Expected date of last payment under last contract/grant 25
  26. 26. Project Fiche – Step by Step• Following the standard Project Fiche format – contained in an Annex to the Phare / Pre-Accession Instrument 2005 Programming Guide – Note: the format is very similar to Phare 2004 – Fiche format can be found just after blue tab (Day 1) in the training manual 26
  27. 27. Project Fiche• Introduction - Phare 2005 Project Fiche Format• Period 2005-07: multi-annual PF for Economic and Social Cohesion (ESC) investments and for Institution Building (IB) and associated investment (if feasible)• PF can be for: – Stand-alone projects – Sectoral / sub-sectoral projects – Single-year / multi-annual projects• PF has several annexes including: list of laws, list of relevant strategic plans and studies 27
  28. 28. Project Fiche• 1 Basic Information (using PF numbering system)• 1.1 CRIS Number – allocated after FP registered• 1.2 Title – accurate, few words & full meaning!• 1.3 Sector – to be defined by DG ENLARG• 1.4 Location – country/region/city for investment project – Institutional location for IB project• 1.5 Duration 28
  29. 29. Project Fiche2 Objectives2.1 Overall Objective(s)• Normally only one overall objective• Take from Logframe• Overall objective should explain why project is important to society and refer to longer term benefits. Remember: the project will only partially achieve the overall objective. 29
  30. 30. Project Fiche2.2 Project Purpose• From logframe• Normally one purpose per project• Project purpose is the single central objective of the project. 30
  31. 31. Project Fiche2.3 Accession Partnership (AP) & NPAA Priority• Need to identify and outline AP/NPAA policy priority addressed by project• Include implementing measures from Action Plan for AP priorities related to strengthening administrative and judicial capacity 31
  32. 32. Project Fiche2.4 Contribution to NDP (and/or Structural Funds Dev Plan)• Normally applies to ESC projects only• Show relevant parts of NDP/SFDP and project contribution2.5 Cross Border Impact• CBC projects only• ―Impact‖ = what changes as result of project• Write ―not applicable‖ if not a CBC project 32
  33. 33. Project Fiche3 Description• Provide clear picture of the use of funding sought3.1 Background and Justification• Clarify Civil Society involvement and consultation• Stand-Alone Project – project origins and reasons• Sector Programmes – show link with government sector strategy & concentrate on legislative / administrative deficiencies 33
  34. 34. Project Fiche3.2 Sectoral Rationale (sector programmes only)• Summarise how Govt strategy helps achieve overall objective• Describe how EU project will be programmed3.2.1 Identification of Projects• Section based on ―Gap Analysis‖3.2.2 Sequencing• Projects sequenced into the three funding years (2005/6/7)• Key decisions: which project is dependent on earlier one; and, should any project be split into stages? 34
  35. 35. Project Fiche3.3 Results• Need following information for each project – Starting position (benchmark) – Project purpose – Description of activities proposed – Rational for breakdown of projects into contracts – Sequencing and timing imposed• ―Results‖ must correspond with logframe 35
  36. 36. Project Fiche3.4 Activities (including Means)• Describe activities during life of project (from logframe) and means (specific contracts / grants / subsidies – matched with budget breakdown)• Means should show starting position (contract aim) and final position (assets in place & competencies acquired) 36
  37. 37. Project Fiche3.5 Linked Activities• Describe earlier EU activities and projects in this area• Show connections with each other and to the project• Describe relevant current activities by other parties (government, private sector, donors, IFIs) 37
  38. 38. Project Fiche3.6 Lessons Learned• Show that project design incorporates lessons learned from all relevant sources of experience• ―Cast the net widely‖ e.g. look at other Candidate Countries under Phare pre- Accession schemes• The description must be detailed and convincing! 38
  39. 39. Project Fiche4. Institutional Framework• Identify project‘s institutional framework & any constraints• Will project results lead to change in institutional framework?• Describe chain of command to ensure project implementation (who is responsible for what?) 39
  40. 40. Project Fiche• IB Twinning Projects:• Show how project fits IB plan• Identify beneficiary institution and outline project scope• Investment Projects:• Need to identify the ―engineer‖, ―employer‖ and ―owner‖• Sector Programmes:• Describe donor coordination and monitoring system 40
  41. 41. Project Fiche5 Detailed Budget• See budget model in Fiche format• Make sure figures add up, are consistent with Section 11 (Investment Criteria) and Annex 3 (Contracting and Disbursement Schedule)• Quantify co-financing from national sources and state degree of certainty (also IFI co-financing)• Investment Projects (ESC): require national public co-financing. Not IB.• Twinning: expected budget of twinning covenant 41
  42. 42. Project Fiche6 Implementation Arrangements6.1 Implementing Agency: Contact details of CFCU6.2 Twinning: imp. Arrangements, beneficiary etc.6.3 Non-Standard Aspects: describe N-SA (e.g. grant or fund) or confirm PRAG will be followed6.4 Contracts: expected # and value of contracts by project / year / phase 42
  43. 43. Project Fiche7 Implementation Schedule7.1 Start Tendering / Call for Proposals:• Date (also, when will TOR / Tech Specs be ready?)7.2 Start of Project Activity:• date first contract / grant scheme starts7.3 Project Completion:• date of last payment under last contract / grant 43
  44. 44. Project Fiche8 Equal Opportunity• How will equal opportunity by women and men be assured and how will women‘s participation be measured?• Description should be precise and concrete 44
  45. 45. Project Fiche9 Environment• Has initial environmental screening or EIA been carried out? When? Copy available? • EIA may be required by int. / national law, or be pre-condition for funding, for project proposals of a particular type or size • Directive 85/337/EC requires MS to adopt legislation to ensure projects likely to have significant env. impact subject to EIA• Describe major anticipated environmental effects of project 45
  46. 46. Project Fiche10 Rates of Return (applies to all ESC projects)• Need to follow Commission Guide to Cost- Benefit Analysis of Major Projects – Economic Rate of Return? – Financial Rate of Return (where applicable)? – Pre-Feasibility / Feasibility studies completed? When? By whom? Copy available? 46
  47. 47. Project Fiche11 Investment Criteria (applies to all investments)11.1 Catalytic Effect• Project must catalyse a priority accession activity which would not have occurred / been delayed11.2 Co-financing• All investment projects (and inv. associated with IB projects) need co-financing from national public funds• EC will fund up to 75% of eligible public expenditure 47
  48. 48. Project Fiche11.3 Additionality• EC funds must not displace other funding (esp from private sector)• Demonstrate by referring to low rates of return (as shown in Section 10)11.4 Project Readiness and Size• Project ready for contracting - all studies complete (for year 1 at least)• EUR 2m EC contribution – minimum inv. project size 48
  49. 49. Project Fiche11.5 Sustainability• Investment must be sustainable in long run• Complies with EU norms and standards and is in line with the Acquis for relevant sector• No adverse environmental impact• Financially sustainable11.6 Compliance With State Aids Provisions• Respects state aid provision of Europe Agreement 49
  50. 50. Project Fiche12 Conditionality and Sequencing• Must be completed for all projects• Describe specific and achievable conditionalities showing what should be done by when and by whom• Exclude general conditionalities outside project control• Most effective conditionality = action that must be carried out / approved before project starts (e.g. institutional restructuring plan)• Include most important project milestones 50
  51. 51. Annexes to Project Fiche• Logframe• Detailed implementation chart (year one at least)• Contracting and disbursement schedule, by quarter, for project duration• Studies – All Projects: list of (pre-) feasibility studies, ex-ante evaluations, other preparatory work – Investment Projects: exec. summaries of economic & financial studies, EIAs etc.• Reference list of relevant laws and regulations• Reference list of relevant strategic plans and studies 51
  52. 52. 2. Activity and resource schedules 52
  53. 53. Activity and resource schedules (see examples)• Logframe: broad description of activities• Operational detail necessary 53
  54. 54. Resource schedule Activities, inputs Cost per -Equipment planning period -Salaries etc. Units, cost per unit, funding source 54
  55. 55. Contracting and disbursement schedule • Show for project period contracting points • Show for project period expected payments in time 55
  56. 56. Conclusions• Good project design starts with a sound problem analysis (problem tree) and make use of logframe• Project design should be logical and have measurable objectives (logframe)• The project fiche and logframe can help you to draft a good proposal 56
  57. 57. Exercise: project fiche and activity plan Trainer will present background information on a real case Project Fiche Trainer will lead a group discussion covering: - problem/need - overall objective - project purpose - results and activities for the project Trainer will go through PF documentation and comment it together with WG Members 57

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