Logical Framework And Project Proposal

The logical framework approach and the writing of proposals March 25, 2003

GENERAL REMARKS

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?

Identify the project idea Project Demand from the community Available resources Needs as defined by experts

Make sure that you are addressing a genuine problem and that you are equipped for it.
Two-step approach:
First define your project thoroughly and in a participatory approach,
Then adapt your project proposal according to the targeted donor.
Use the logical framework which is a method to design a project in a systematic and logical way .
Some recommendations…

LOGICAL FRAMEWORK APPROACH

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

The Logical Framework Matrix

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

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

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

The logical framework approach
Problem analysis : identifying stakeholders, their key problems, constraints and opportunities, determining cause and effect relationships.
Analysis of objectives : developing objectives from the identified problems, identifying the relationships between the means and the ends.
Analysis of the strategy : identifying the different strategies to achieve objectives, determining the major objectives (overall objectives and project purpose or specific objective).
Logframe : defining the project structure, testing its internal logic and formulating objectives in measurable terms, determining means and cost.
Activity planning : determining the sequence and the relation between the activities, estimating their duration , setting the main stages in the process, assigning responsibility.
Resources planning : from the activity schedule, developing the input schedule and the budget.
Analysis phase Planning phase

1. Problem analysis
Identify the major problem faced by the beneficiaries
Develop a problem tree
Identify the stakeholders affected in the proposed project

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

1. Problem analysis EFFECTS CAUSES The system receives no maintenance The irrigation system is faulty Some irrigation structures have 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

1. Problem analysis Identifying stakeholders PUBLIC PRIVATE MICRO MACRO Farmers Agric. Ext. services MoA FAO Farmers’groups NGO Irrigation Dept . Fertiliser suppliers

2. Analysis of objectives Problems 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

2. Analysis of objectives Objectives’ tree MEANS ENDS Rice production is sufficient for the population of village x The irrigation system is working Agricultural practices are appropriate The system receives proper maintenance Damaged irrigation structures are repaired Support services for farmers are available Farmers have the resources to invest

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

3. Analysis of strategy SPECIFIC OBJECTIVE (or project purpose) EXPECTED RESULTS OVERALL OBJECTIVE 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 Damaged irrigation structures are repaired Support services for farmers are available Farmers have the resources to invest

4. The log-frame

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 Expected Results Activities Overall Objective(s) 4. The log-frame

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 … »

Example of a good indicator
Objective : The irrigation system is working
The indicator should be « SMART »:
S pecific = The irrigation pumps are functioning properly in the project area
M easurable = 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 ?
R elevant = Are the irrigation pumps the main problem?
T ime-bound = 100% of the irrigation pumps are functioning properly in the project area at the end of the project
4. The log-frame

Selection of sources of verification Administrative/ financial report Management report Monitoring data Adapted monitoring statistics Interviews of beneficiaries Specialised surveys Complexity Cost 4. The log-frame

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…

Is the RISK important to your project? Yes No What is its probability? Ignore Almost certain Unlikely Fairly Unlikely Can the project strategy be modified to eliminate the risk? Yes No Modify strategy, add activities STOP the project Formulate an assumption Risks/Assumptions 4. The log-frame

Intervention logic of project + Assumptions IN OUT Overall objective Project Purpose Results Activities + + + Assumptions Assumptions Assumptions Pre-conditions If the activities are carried out, and if assumptions are valid, then ... 4. The log-frame

Logical framework 5. Activity-planning Plan of action Activities

5. Resource-planning Plan of action Means/Budget Travel etc. Material/ Equipment Human resources Budget Means:

TIME FOR A SMALL GROUP EXERCISE!!
GROUP WORK

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

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

WRITING PROJECT PROPOSAL

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.

Select the right funding source
DONOR’ S MANDATE : Which donor has a mandate compatible with your project ?
ex. Humanitarian aid versus development (ECHO versus EuropeAid)
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…

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)

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

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

Executive summary
Presentation of the organisation
Project background
Problem statement
Goal and objectives
Beneficiaries
Proposed methodology:
Partners
Project implementation
Activities
Risks and assumptions
Means
Budget
Monitoring and evaluation
Sustainability
Annexes
General structure

1. Executive Summary
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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Proposed methodology
Budget
Sustainability
Annexes

Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
Contents
What do you propose to do?
Where?
Why?
For whom?
With whom?
For how long?

DO :
Write it only at the end
Do it carefully
Be concise
DON’T :
Cut and paste
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

2. Presentation of the organisation
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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

2. Presentation of the organisation
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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

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?
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

4. Problem Statement
Unless donors are convinced that there is a real problem , they will not agree to disburse money for our project !
Tips
A “good” problem should:
concern people
be concrete and demonstrated
be solvable
arise from a demand
be an emergency or priority
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

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?
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

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.
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

5. Goal and Objectives
Objectives should be SMART :
S pecific = they must meet the needs (problems) identified
M easurable = they should be measured by concrete indicators which should reflect the extent to which they have been attained
A cceptable = by all involved partners
R elevant = they must be adequate to the project socio-cultural environment
T ime-bound = must be reached by the end of the project
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

7. Proposed Methodology
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
Contents
Partners
Project implementation
Activities
Risks and assumptions
Means
Indicates how objectives will be achieved

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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

Project implementation :
Rationale for selecting a particular or unique methodology
Project implementation structure: roles and responsibilities of all the project stakeholders
Tip
Use a chart to describe the project implementation structure
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
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

Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
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?

Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
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
It helps assess the factors which could jeopardise your project
It helps examining the project for completeness and consistency

7. Proposed methodology
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
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

8. Budget
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
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

9. Monitoring& Evaluation
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
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?

10. Sustainability
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes
Contents
Institutional sustainability
Technical sustainability
Socio-cultural sustainability
Financial sustainability
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.

11. Annexes
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...
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

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
Executive summary
Project background
Problem statement
Goal and objectives
Beneficiaries
Budget
Sustainability
Annexes

Cover letter
(Use letterhead, mention project title, purpose, amount requested, contact person and list of enclosures)
Project proposal:
Title page with logo
Table of contents
Executive summary
Detailed proposal
Annexes
Requested attachments
(Submit all documents requested by the donor which are not already included in the annexes)
Proposal package

Ask someone exterior to the project to read it before any submission to a donor.
Final recommendation

CASE STUDY

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

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.

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

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: 2,534,935m 2 ( 58% of the total land cleared)
Roving Tasks: Villages visited: 939
Community Awareness : Villages visited: 561 out of more than 625

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.

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 objective
To 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.

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.

Checklist: all the « good questions » to bear in mind when drafting project proposal
1. 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 ?

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Logical Framework And Project Proposal

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