guidelines on the formation of a project proposal - UN HABITAT

Community Capacity Building Guidelines Series No. 1GUIDELINES ON THEFORMATION OF A PROJECT PROPOSAL(Version 1)Prepared byConsolidation for Settlement Capacity Buildingand Livelihoods Development Projectin Sri LankaFunded by World Jewish Relief2008

Contents1.0 Introduction 12.0 The need for a project proposal 13.0 Basic components of a project proposal 23.1 Name of the project 23.2 Project proponent 23.3 Partners 23.4 Project area 23.5 Project beneficiaries 23.6 Need for the project 23.7 Objectives of the project 33.8 Project activities 33.9 Expected results 33.10 Cost estimate 33.11 Time frame 43.12 Progress review and reporting 43.13 Project evaluation 44.0 Points to be considered in submitting a project proposalto a funding institution 4Annex I Sample of Project Proposal 5Annex II Agenda of Workshop on Proposal Writing 10Photos on the cover page:1) Proposal wiring workshop (Ampara District)2) Drainage rehabilitation proposal prepared by a CDC in Jaffna District

1.0 IntroductionThe objective of this guideline is to create awareness among community leadersand mobilizers interested in the formulation of a simple project proposal necessaryto be presented to raise funds for a community development council (CDC)established in a low income settlement. The funds raised will be used for theimplementation of some activities identified by the community of the settlement.2.0 The need for a project proposalIn urban areas of Sri Lanka, there are settlements occupied predominantly by lowincome earners. Half of the population of the city of Colombo, comprise of them.They live in these densely populated settlements without adequate basicamenities. The problems of such settlements get aggravated day by day. Thecomplexity and acuteness of them are such that no government or nongovernmentalorganizations (NGOs) have been able to address them successfully.Villages and rural settlements too have their inherent problems. They were furtheraggravated by the tsunami disaster in 2004.These problems still exist, though theirnature has witnessed changes in many fronts.Although government and NGOs extended financial aid for tsunami projects andothers to provide basic facilities including housing in these settlements andvillages, due to limitations in such funding some essential work remainunimplemented.Thus various districts have a large number of low income settlements crying forbasic amenities. There are active as well as inactive community councils in thesesettlements.Due to lack of funds and ignorance about ways and means of raising funds, theseCDCs are stuck with their problems creating dependency. Community leaders makerequests for assistance from government and NGOs and also from the local politicalleadership and live with the hope that their requests will be granted early. Thisdependency on external agencies often results in dashing of their expectations.Creation of the background required for fulfilling the needs of the communitythrough CDCs is the only solution to this problem. This can be done by identifyingthe basic requirements of the community and finding the means to meet them. Itwill be very easy for a CDC to formulate a project proposal and present it to afunding institution seeking funds to provide these facilities.The project can be implemented subsequently by following the “communitycontracting” method 1 .1Implementing an activity by a CDC after entering into a contract with the relevantparties is referred to as the community contracting method. The office bearers of theCDC play a leading role in this activity.1

3.0 Basic components of a project proposalProject proposals can be implemented at several levels. However this guideline isconcerned with the methodology for the preparation of a simple project proposalto be formulated by the community to raise finances to implement the activities ofthe CDC of a low income community. It should be a proposal which invariably fulfilsthe requirements of the community and is beneficial to them.3.1 Name of the projectThe name of the project should provide some information with respect toits objective. Expression of the activities /objectives through its name willmake it possible for the project to become more fruitful.3.2 Project proponentProject proponent is the party that presents the proposal to the FundingInstitution. In this instance it is the CDC. The name of the CDC should beindicated very clearly. The District and the Divisional Secretary’s Divisionshould also be clearly indicated.3.3 PartnersPartners in the proposed project should be clearly indicated in this section.The funding institution to which a project proposal is being submitted isidentified as one of the partners.3.4 Project areaProject area should be clearly specified by indicating the name of thesettlement and administrative area.3.5 Project beneficiariesNumber of expected beneficiaries is important information for the proposedproject. Number of households or individuals who will benefit from theproject is written here. In some projects, the entire members of a CDCbecome the beneficiaries. In other projects, the selected member of a CDC,such as most vulnerable people like widows, become the beneficiaries. Inthe latter cases, selection criteria of the beneficiaries should be included inthis section.3.6 Need for the projectThe need for the project should be clearly sated by explaining the followingpoints: The current issue/s in the project area Steps taken so far to address the issues The need to implement this project2

3.7 Objectives of the projectMain objectives of the project should be listed clearly in this section.3.8 Project activitiesHere we have to clearly state the specific activities to achieve the abovementionedobjectives. The institutions responsible for each activity are alsostated in this section. The following table can be made use of for it.Objectives Activities Responsibilities3.9 Expected resultsHere we have to state the end product (= expected results) of each activity.It is recommendable to set “indicators” to measure the achievement of“expected results”. The indicator will be useful for monitoring andevaluating the performance of the project. The following table can be puttogether with the above table, and named as “Plan of Activities”.Activities Expected results Indicators3.10 Cost estimateThis refers to the expenditure expected to be incurred for implementing theproject. The important fact to be borne in mind is that funds should berequested from the funding institution only in respect of the absolutelyessential items of the project. Contribution from the CDC should beitemized separately as land, labour, building etc. Value of these should alsobe added to the cost estimate. The following table can be used for this. Thecontribution from partner agencies should also be indicated.ActivitiesContributionby the CDC(LKR)Contribution bypartner agency –A(LKR)Contribution bypartner agency-B(LKR)Total Cost(LKR)3

3.11 Time frameTime frame for each activity should be clearly indicated. This should beprepared in consultation with other stakeholders. Following table can bemade use for it.ActivitiesTime FrameJan Feb Mar Apr May June July Aug Sept3.12 Progress review and reportingProcedure for reviewing progress and for reporting progress should beclearly described. The period for which reports are prepared may beidentified as monthly, quarterly etc. The manner in which progress reportsetc are to be sent to the funding institution should be described in thissection. Steps to be taken in respect of any shortcomings observed duringthe reviewing of progress should also be indicated.3.13 Project evaluationTo measure the success of a project, it is necessary to carry out anevaluation. By considering the project objectives, results, positive andnegative impacts, it will be possible to identify the success, shortcomingsand specifically lessons learnt. The way of evaluation should be indicatedin the proposal.4.0 Points to be considered in submitting a project proposal to a funding institutionThe project proposal formulated by the CDC can be submitted to a fundinginstitution. However the CDC should not act on the premise that the fundinginstitution will extend financial assistance on the mere presentation of a proposal.(1) Formulate proposals to suit the requirements of a funding institution.CDCs should be aware that there are norms adhered to by a fundinginstitution. When the project proposal is presented to a funding institution,they will consider whether it has been formulated in a manner that satisfiesits requirements as well as those of the main funding sources. If they do notmeet the requirements fully, the project proposal will either be rejected orinstruction will be given to amend it.Rejection will be inevitable when there is failure to provide information asrequired. It is important that the formulation of the project proposal iscarried out after obtaining appropriate advice from a knowledgeable person.If possible, it is useful to discuss with an appropriate officer from the funding4

institution and to obtain the necessary information before formulating theproposal.Some institutions have standard formats for presentation of projectproposals. In such instances invariably such forms have to be used.(2) Refrain from objections or reacting emotionally in case of refusalThe general response of a CDC to a rejection of a project proposal is reactingwith anger and protesting about the decision. Reacting emotionally to arefusal may result in losing the opportunity to obtain assistance from theinstitution in the future.Therefore the leaders who are delegated to discuss with the fundinginstitution should invariably be individuals with understanding, patience,knowledge and wisdom. What should happen is not to respond by raisingobjections or protest at the other party, but to bring the proposal to a stateof being accepted for funding by identifying any shortcomings and byrectifying them or presenting it to another institution.5

Annex I: Sample of Project Proposal1. Name of the project: Solid Waste Management Project for Galle District2. Project proponent: Walauwatte Community Development Council (CDC)in Galle Divisional Secretary’s Division, Galle District3. Partners:(1) Central Environmental Authority (Waste Management Project)(2) Department of Agriculture4. Project area: Walauwatte Community Development Council (CDC) in GalleD.S. Division, Galle District5. Project beneficiaries: 250 households in the Walauwatte CDC6. Need for the project:Walauwatte CDC located in Galle D.S. Division, Galle District is a low incomesettlement with high density of population. The local government authority, namelyGalle Municipal Council, does not have a proper system for collecting of the waste insettlements. As a result, garbage gets accumulated as big dumps in various placeswhich become breeding grounds for flies and mosquitoes. The residents have to facethe inconvenience of the stench as well as health problems arising from theunhygienic conditions.Walauwatte CDC requested Galle Municipal Council to deliver a proper service to solvethe above issue. However, the Municipal Council did not have an immediate countermeasure.UN-HABITAT introduced the CDC to the Waste Management Project by the CentralEnvironmental Authority (CEA). The CDC decided to write a proposal to the CEA toassist the CDC in establishing a waste management programme within the settlement.7. Objectives of the project:This project is formulated to achieve the following objectives.(1) Create awareness among the community regarding a solid waste managementprogramme, and train them on sorting out the waste.(2) Introduce bio-degradable waste management by training in composting the wasteand making use of it for home gardening.(3) Introduce non-degradable waste management by establishing a system of sortingthe waste and selling to buyers.(4) Create awareness among school children about these programmes and makethem participate in implementation.6

8. Plan of Activities:Objectives Activities Responsibilities Expected results Indicators(1) Creating awareness ona solid wastemanagementprogramme(1-1): Conduct 2 workshops forawareness raising among theCDC members• CentralEnvironmentalAuthority• Walauwatte CDC• CDCs understand theneed and for sortingout solid waste andhow to do it.• No. of participants of theworkshops will be not lessthan 150.(2) Introducing biodegradablewastemanagement(2-1): Conduct a training programmeon how to use compost bins(2-2): Provide 100 compost bins(2-3): Conduct a training programmeon home gardening by usingcompost made from biodegradablewaste(2-4): Supply seeds and seedlings tothe beneficiaries• CentralEnvironmentalAuthority• Walauwatte CDC• Department ofAgriculture• Bio-degradable wasteis not dumped butconverted tocompost.• Beneficiaries growplants by using thecompost.• Decrease in the amount ofbio-degradable waste dumpedin open areas• No. of compost binsdistributed• No. of compost bins utilized• No. of households engaged inhome-gardening(3) Introducing nondegradablewastemanagement(3-1) Introduce buyers to thecommunity by conducting twospecial meetings(3-2) Provide the bags to sort outplastic, polythene and bins.• CentralEnvironmentalAuthority• Walauwatte CDC• Conversion of nondegradablewaste tocash• Decrease in the amount ofnon-degradable wastedumped in open areas• Income of households byselling non-degradable wasteto buyers(4) Creating awarenessamong school children(4-1) Conduct one special meeting tocreate awareness amongchildren in the community(4-2) Hold an essay competition• CentralEnvironmentalAuthority• Walauwatte CDC• Children understandthe importance ofsolid wastemanagement• No. of participants of meetingwill be not less than 100.• Level of understanding7

9. Cost estimateActivities(1-1) Conduct 2 workshops forawareness raising amongthe CDC membersCommunityContribution(LKR)CentralEnvironmental Authority(LKR)DepartmentofAgriculture(LKR)Total Cost(LKR)2.000.00 30,000.00 32,000.00(2-1) Conduct a training1,000.00 15,000.00 16,000.00programme on how to usecompost bins(2-2) Provide 100 compost bins 230,000.00 230,000.00(2-3) Conduct a training1,000.00 15,000.00 16,000.00programme on homegardening by using compost(2-4) Supply seeds and seedlings100,000.00 100,000.00to the beneficiaries(3-1) Introduce buyers to the500.00 10,000.00 10,500.00community by conductingtwo special meetings(3-2) Provide the bags to sort out25,000.00 25,000.00plastic, polythene and bins(4-1) Conduct one special500.00 10,000.00 10,500.00meeting to createawareness among childrenin the community(4-2) Hold an essay competition 1,000.00 1,000.00Total cost for each institution 6,000.00 320,000.00 115,000.00 441,000.0010. Time frame:Year 2008Activities Jul Aug Sep Oct Nov Dec(1-1) ...... X(2-1) ...... X(2-2) ...... X(2-3) X(2-4) X(3-1) X(3-2) X(4-1) X(4-2) X X8

11. Progress review and reporting:• The secretary of Walauwatte CDC is responsible to review the progress of theproject monthly.• The secretary of the Walauwatte CDC is responsible to report the progress of theprogramme to the funding institution monthly.• The reporting items include the followings: Progress of activities (Plan and Actual) Expenditure Difficulties faced12. Project evaluation:• Upon the completion of the project, the CDC office bearers will conduct anevaluation.• Achievement of objectives will be measured by checking the “Indicators” writtenin the “Plan of Activities”.• Through a discussion with the CDC members, any issues and countermeasure willbe discussed.9

Annex II: Agenda of Workshop on Proposal WritingTimeActivity09.00 a.m. - 09.10 a.m. Welcome speech09.10 a.m. - 09.20 a.m. Self introduction09.20 a.m. - 09.30 a.m. Objective of the workshop09.40 a.m. - 10.10 a.m. Need for a project proposal10.10 a.m. - 10.30 a.m. Tea10.30 a.m. - 1.00 p.m. 13 steps of proposal formulationBreak into 3 groups and prepareA draft proposal01.00 p.m. - 01.30 p.m. Presentation by groups01.30 p.m. - 01.45 p.m. Discussion and winding up10