Project Proposal and Concept Note Leonellha Dillon-Barreto seecon

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Project Proposal and Concept Note Leonellha Dillon-Barreto, seecon gmbh Project Proposal and Concept Note

Find this presentation and more on: www. sswm. info. Copyright & Disclaimer Copy it, adapt it, use it – but acknowledge the source! Copyright Included in the SSWM Toolbox are materials from various organisations and sources. Those materials are open source. Following the opensource concept for capacity building and non-profit use, copying and adapting is allowed provided proper acknowledgement of the source is made (see below). The publication of these materials in the SSWM Toolbox does not alter any existing copyrights. Material published in the SSWM Toolbox for the first time follows the same open-source concept, with all rights remaining with the original authors or producing organisations. To view an official copy of the Creative Commons Attribution Works 3. 0 Unported License we build upon, visit http: //creativecommons. org/licenses/by/3. 0. This agreement officially states that: You are free to: • Share - to copy, distribute and transmit this document • Remix - to adapt this document. We would appreciate receiving a copy of any changes that you have made to improve this document. Under the following conditions: • Attribution: You must always give the original authors or publishing agencies credit for the document or picture you are using. Disclaimer The contents of the SSWM Toolbox reflect the opinions of the respective authors and not necessarily the official opinion of the funding or supporting partner organisations. Depending on the initial situations and respective local circumstances, there is no guarantee that single measures described in the toolbox will make the local water and sanitation system more sustainable. The main aim of the SSWM Toolbox is to be a reference tool to provide ideas for improving the local water and sanitation situation in a sustainable manner. Results depend largely on the respective situation and the implementation and combination of the measures described. An in-depth analysis of respective advantages and disadvantages and the suitability of the measure is necessary in every single case. We do not assume any responsibility for and make no warranty with respect to the results that may be obtained from the use of the information provided. Project Preparation and Financing

Find this presentation and more on: www. sswm. info. Contents 1. Introduction to Projects in the Water and Sanitation Sector 1. 1 From Vision to Projects 1. 2 Definition of Project and the Project Cycle 2. Developing a Project Proposal and Concept Note 2. 1 Definition of Project Proposal and Concept Note 2. 2 Getting Ready to Start a Project 2. 3 Project Planning 2. 4 Writing a Concept Note 2. 5 Budget Allocation and Resources Planning References Project Preparation and Financing 3

Find this presentation and more on: www. sswm. info. 1. Introduction to Projects in the Water and Sanitation Sector 1. 1 From Vision to Projects A vision is an agreed long term projection of what the local water resource and sanitation situation will be ideally in 20 to 30 year’s time. Once the vision of the community has been defined and a long-term strategy has been written, strategic objectives should be agreed, which will provide a framework for planning future actions. Strategic Future Objectives Planning Community’s Vision Long-term Strategy Objective 1 Project 1 Objective 2 Project 2 Objective 3 Project 3 . . . Objective N Project N SOURCE: PHILIP, R. , ANTON, B. , BONJEAN, M. , BROMLEY, J. , COX, D. , SMITS, S. , SULLIVAN, C. A. , VAN NIEKERK, K. , CHONGUIÇA, E. , MONGGAE, F. , NYAGWAMBO, L. , PULE, R. , BERRAONDO LÓPEZ, M. (2008): Local Government and Integrated Water Resources Management (IWRM) Part III: Engaging in IWRM – Practical Steps and Tools for Local Governments. Freiburg: ICLEI European Secretariat Gmb. H. Project Preparation and Financing 4

Find this presentation and more on: www. sswm. info. 1. Introduction to Projects in the Water and Sanitation Sector So, the aim of the project should be: achieving one or a defined number of strategic objectives and ultimately the overall water and sanitation vision. For instances: Strategic Objectives • To eradicate open defecation in our town by 2015 • To increase the access to improved sanitation facilities to 90% by 2020. Actions to be taken: Awareness raising campaign. . . Demand creation & information campaign Construction of new toilet facilities. . . • To safely reuse 50% of treated Construction of a treatment wastewater in agricultural fields plant. . . by 2020. . But we also have to consider that: Project 1 Project 2 Projects may also be stand-alone initiatives, not necessarily integrated into a programme, with several projects contributing to one overall goal. Project Preparation and Financing 5

Find this presentation and more on: www. sswm. info. 1. Introduction to Projects in the Water and Sanitation Sector A world of opportunities: Projects vary in scale, purpose and duration. Ideally in our SSWM approach, they are to be initiated with the participation of the community, but it also may be generated within an NGO or a municipality. Small projects require modest inputs and produce tangible outputs within a relatively short timeframe. At the other extreme, projects may require substantial financial resources and only generate benefits in the long term. SOURCE: L. Barreto Dillon Despite the difference in scale and nature of projects, there aspects of sound project management that are universal. Project Preparation and Financing 6

Find this presentation and more on: www. sswm. info. 1. Introduction to Projects in the Water and Sanitation Sector 1. 2 Definition of Project and Project Cycle A project is a unique venture to produce a set of outputs within clearly specified time, cost and quality constraints. Projects differ from standard business operational activities as they: • Are distinctive in nature, not involving a repetitive process. • Have a define time-plan, with a specified start and end dates to meet the beneficiaries or funding agency’s requirements. • Have an allocated budget, which should be spent to produce the deliverables. • Have limited resources, such as labour, material and equipment. • Involve a risk, as there is a level of uncertainty whether the objectives will be attained. SOURCE: METHOD 123 (2003): Project Management Guidebook. URL: www. method 123. com. [Accessed: 20. 05. 2010] Project Preparation and Financing 7

Find this presentation and more on: www. sswm. info. 1. Introduction to Projects in the Water and Sanitation Sector The Project Cycle In SSWM Five stages are typically identified in the project cycle: Exploring I Identification: generation of the initial project idea Demand Creation II Definition and design: detailed design of the project addressing technical and operational aspects Participatory Decision Making, Analysis and Planning III Proposal preparation, approval and financing: writing the project proposal, securing approval for implementation and arranging sources of finance IV Implementation: implementation of project activities, with on-going checks on progress and feedback V Evaluation: periodic review of project with feedback for next project cycle. Project Preparation and Financing Implementation Ensuring Sustainability 8

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 1 Definition of Project Proposal and Concept Note A project proposal is a detailed description of a series of activities aimed at solving a certain problem. The proposal should contain a detailed explanation of the: • justification of the project; • activities and implementation timeline; • methodology; and • human, material and financial resources required. SOURCE: NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. Project Preparation and Financing 9

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 1 Definition of Concept Note A concept note is a summary of a proposal containing a brief description of the idea of the project and the objectives to be pursued. Concept notes are prepare for: üsome financing programs, funding agencies require a concept note before the submission of a full proposal. üdonors without a formal call for proposals. Project Preparation and Financing 10

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 2 Getting Ready to Start a Project Tips to start successfully your project writing: üIdentify potential funding options üBuild a team for proposal development: -Leader: coordinate all inputs and write core sections. -Technical experts: brainstorming, give input in technical issues. -Administrative staff: give accurate information related to budget. üReview carefully the Community Action Plan or the Vision Statement of the Community. üHold a kick-off meeting and share your ideas Project Preparation and Financing 11

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: a part of the Project Design The project design is one phase of the project cycle. It consists of two elements: • project planning (formulation of project elements); and • project proposal writing (converting the plan into a project document). Project design is a result of both project planning and the project proposal. Both steps are essential to forming a solid project design. Project Preparation and Financing 12

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Developing a Project Idea In order to identify the project idea, different aspects have to be considered: ü Community vision of how the situation should be in a long term: Desired situation gap Current situation need Project SOURCE: L. Barreto Dillon Community needs assessment is a key step to project design, as it helps addressing the problems of the targeted local community. Project Preparation and Financing 13

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note üSetting priorities: out of all the goals to be achieved, priorities have to be set to decide which project to carry out first. Priority problems falling into the scope of the stakeholders, your organisation, the State policy and the donor shall be selected. Actor/Problem 1 Problem 2 Problem 3 Stakeholders 3 1 2 State 2 1 3 Donor 3 2 1 Organisation 2 3 1 Project Preparation and Financing 14

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note üThematic area of the potential donor: Each external funding agency, private donor and governmental office defines a set of thematic areas for the funding activities in a period of time. It is important to thoroughly read and understand the Guide for Applicants of the different sponsoring programs, before you embark in a proposal preparation. üYour own capacity and experience: As the development of a project proposal takes a lot of efforts, it is better to concentrate in those areas in which your organisation has the most experience with. Project Preparation and Financing 15

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Defining the Problem A problem is a negative undesired situation. It might create imbalance. It requires adaptation with the social, economic, educational, health or environmental conditions in the community. When formulating the problem, you should clearly specify: 1 - Reasons 2 - Results 3 - Magnitude (number or percentage of impacted persons) Example: • 50% of the citizens of village (X) suffer from the garbage scattered everywhere in the streets. • 100% of the citizens of village (z) drink contaminated water. 4 - Place of the problem 5 - The impact of the problem on other problems especially poverty environment, women and unemployment. Project Preparation and Financing SOURCE: NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. 16

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Analysing the Problem This means placing and organising the collected data and information in a logical sequential easily understandable manner that breaks down the problem into root and secondary causes; thus facilitates pinpointing the problem, the causes and implications. In order to do this, you should use the tool “Problem Tree Analysis” Results from the problem Main Problem Main and direct cause Indirect and secondary cause SOURCE: L. Barreto Dillon Project Preparation and Financing 17

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Defining Beneficiaries and Target Groups Beneficiaries: are those who benefit from the project. Target Group: the groups which would be positively affected by the project at the “goal level”. This might include the team from the partner organisation. Final Beneficiaries: are those who would benefit from the project at the long run at the group or community level, eg. Children, as a result of spending on health and education; or consumers due to improving agricultural production and marketing. SOURCE: L. Barreto Dillon The project should provide a detailed description of the size and characteristics of the beneficiaries, target groups and final beneficiaries of the project. The criteria for target group analysis may be ethnic composition, gender, age, etc. Project Preparation and Financing 18

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Defining the Goal of the Project It is a long term goal (mostly at the national level) this particular project together with other projects contribute to its achievement Tips for Setting a Project Goal 1. There should be only one goal per project. 2. The goal should be connected to the vision for development. 3. It is difficult or impossible to measure the accomplishment of the goal using measurable indicators, but it should be possible to prove its merit and contribution to the vision. Example: • improving the quality of life in the community Z The goal is defined as “it contributes to …” SOURCE: NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. Project Preparation and Financing 19

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Defining the Objectives of the Project The objectives should address the core problem in terms of the benefits to be received by the project beneficiaries or target group as a direct result of the project. Project objectives provide a more detailed breakdown of the project goal. A project will likely have multiple objectives. SOURCE: NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. Example: Characteristics: Requirements of drafting the project objective: • Specific • percentages or figures • Measurable • place specified • Applicable • target group specified • Realistic • time-specific • Timely • positive desired state Project Preparation and Financing • Increase the number of families from village Z in quantity X who live in a clean garbage-free environment within Y years. • Improve the water supply in quantity X and quality Y for the population of village Z in the next N years. 20

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Defining the Results of the Project Results describe the services or products to be delivered to the intended beneficiaries. This is what the project management is promising to deliver. The results are more detailed than the objectives and the goal, and should be possible to measure through the use of objective indicators. SOURCE: NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. An indicator is the signal indicating the achievement of the set goal. An indicator is used to judge the level of success, it is mostly a figure, percentage or ration. An indicator is the unit measuring how far a certain result is achieved using a benchmark or a standard, yet it doesn’t demonstrate the trend or the change. Example: -Number of new water taps in the village Project Preparation and Financing Example of Results: • Increase number of families living in a clean garbage-free environment. • Increased number of households connected to the water supply system; and • Increased number of water taps in the village. 21

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Defining the Activities of the Project The tasks to be undertaken to achieve the aspired results. Selection criteria of the activities: 1 - Proper (practical): the organisation and the community have the financial, administrative, and technical ability to carry out the planned project. 2 - Acceptable: the activity should be acceptable to the community and official bodies. 3 - Effectiveness: it leads to achieving the aspired results. 4 - Efficiency: the less the cost of the activity and the more the number of people it serves, the better. 5 - Sustainability: to continue throughout the period specified to reach the result and solve the problem. 6 - Has no negative impact on the environment. “Activities are defined using an action verb in a present tense, eg. Design, draw up, search, construct…” 22 Project Preparation and Financing

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 3 Project Planning: Project Tree Hierarchy of Goal, Objectives, Results and Activities Objective 1 Result 1 Activity 2 Problem Goal Objective 2 Result 3 Activity 4 SOURCE: NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. Project Preparation and Financing 23

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 4 Writing a Concept Note: Purpose A concept note is a brief outline of your proposed project. The purpose of a concept paper: For the funding agency: is to help applicants develop more competitive proposals and to save time by eliminating proposals that are not likely to be funded. For the applicant: is to capture the interest of the funding agency and demonstrate that the idea they are proposing is worthy of further consideration. Therefore, the first sentences of a concept paper are very important. You want the funding agency representatives or board members to continue reading! Project Preparation and Financing 24

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 4 Writing a Concept Note: Length and Format of the Document The length and the format for writing a concept note actually depend upon the donor agency. Usually donors do not have a format for a concept note as they have for a full proposal. Most donor agencies request a minimum of three pages to a maximum of five pages. So, the shorter the better! Project Preparation and Financing 25

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 4 Writing a Concept Note: Template 1. Title: it should be snappy, informative, and distinctive. It may be divided into two parts with the first one being short and catching the readers’ attention and the second one more ‘serious’ and informative. 2. Background: include your problem and its analysis, together with the following two guiding questions: • Why it is crucial to address the problem identified? • What has already been done to solve the problem? 3. Objectives: they should relate to the more general aim as previously agreed and entered into the local action plan. (Keep in mind the Project Tree!) Project Preparation and Financing 26

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 4 Writing a Concept Note: Template 4. Outputs: they should be directly related to the project objectives. Typically they are tangible items, such as a newly constructed technical facility, the publication of information materials, or events, such as workshops or stakeholder meetings. Depending on the project in question, intangible items might also be mentioned, such as a rise in awareness. 5. Activities and duration: a summary of the planned activities to achieve the project objectives should be included here. Project Preparation and Financing 27

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 4 Writing a Concept Note: Template 6. Beneficiaries and impacts: this section will be important for getting “buyin” from the donor. It should contain: • The expected benefits, both in quantitative and qualitative terms, and when and where they will occur. • The underlying assumptions and the reasons why these benefits can be expected for a specific group of beneficiaries. • Considerations concerning how and by whom the impacts will be assessed. 7. Project management (includes monitoring and evaluation): this section should explain how the objectives will be achieved and how the project will be managed and evaluated. It should become clear who will lead the project and what roles and responsibilities the various people in charge of tasks such as financial management, monitoring and evaluation will have. 8. Budget Project Preparation and Financing 28

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 4 Writing a Concept Note: More tips üDon’t overwhelm the reader with details! üConsider your audience. üConsider your language. üOnly include budgetary information if it is specifically requested. üAppearance is important. üIdentify a door opener if you are not writing your concept note for an announced call from the organisation. submission. Project Preparation and Financing 29

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 5 Budget Allocation and Resource Planning: Definition A budget is defined as patterns of expenditure and revenue over the life of the project. Realistic planning of finances is key to the implementation of a project or program. Generally, the budget has mainly two functions. 1. it estimates, as realistically as possible, the cost of completing the objectives identified in the project proposal. 2. It provides a means to monitor the project's financial activities over the life of the project. Project Preparation and Financing 30

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 5 Budget Allocation and Resource Planning: How to start? Typical categories may be, for example: ● people ● travel costs ● vehicles ● equipment ● consumables and supplies ● Sub-contracts Project Preparation and Financing 31

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 5 Budget Allocation and Resource Planning: Identifying the Resources needed SOURCE: L. Barreto Dillon Project Preparation and Financing 32

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 5 Budget Allocation and Resource Planning: Direct costs “Direct costs are all those eligible costs which can be attributed directly to the project and are identified by the beneficiary as such, in accordance with its accounting principles and its usual internal rules”. Direct costs can be: ● Personnel costs: they should reflect the total remuneration, including salaries plus social security charges (holiday pay, pension contribution, health insurance, etc). ●Travel and subsistence allowances: first determine what travel expenses the granting agency will allow, and then itemize the cost of each trip, e. g. , roundtrip airfare, lodging and meals, taxis, visa, etc. ●Vehicles: usually this cost will be included in the travel and subsistence item. ●Durable equipment: any item which will retain its usefulness beyond the grant period is considered capital equipment. ●Consumables and supplies: stationery, duplicating supplies, typing/computing supplies, and software. Project Preparation and Financing SOURCE: EUROPEAN COMMISSION (2009): Guide to Financial Issues relating to FP 7 Indirect Actions. Seventh Framework Programme. URL: ftp: //ftp. cordis. europa. eu/pub/fp 7/docs/financialguide_en. pdf [Accessed: 08. 05. 2010] 33

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 5 Budget Allocation and Resource Planning: Indirect costs are all those eligible costs which cannot be identified by the beneficiary as being directly attributed to the project, but which can be identified and justified by its accounting system as being incurred in direct relationship with the eligible direct costs attributed to the project. Indirect costs, also called overheads, F&A and Facilities & Administrative Costs, typically are costs of: • operating and maintaining buildings (electricity/gas/water bills), • grounds and equipment, • depreciation, • general and departmental administrative salaries and expenses • library costs. Project Preparation and Financing SOURCE: EUROPEAN COMMISSION (2009): Guide to Financial Issues relating to FP 7 Indirect Actions. Seventh Framework Programme. URL: ftp: //ftp. cordis. europa. eu/pub/fp 7/docs/financialguide_en. pdf [Accessed: 08. 05. 2010] 34

Find this presentation and more on: www. sswm. info. 2. Developing a Project Proposal and Concept Note 2. 5 Budget Allocation and Resource Planning: More tips! üIt is important that the budget is realistic. üBefore preparing a budget, determine what would be an appropriate amount to request. üThe numbers should be specific. üYour planning should allow for contingencies. üSome donors require that some part of the cost of a project be borne by the applicant institution. Project Preparation and Financing 35

Find this presentation and more on: www. sswm. info. References EUROPEAN COMMISSION (2009): Guide to Financial Issues relating to FP 7 Indirect Actions. Seventh Framework Programme. URL: ftp: //ftp. cordis. europa. eu/pub/fp 7/docs/financialguide_en. pdf [Accessed: 08. 05. 2010] METHOD 123 (2003): Project Management Guidebook. URL: www. method 123. com. [Accessed: 20. 05. 2010] NEBIU, B. (2002): Developing Skills of NGOs, Project Proposal Writing. Szentendre: The Regional Environmental Centre for Central and Eastern Europe. URL: http: //documents. rec. org/publications/Proposal. Writing. pdf [Accessed: 07. 08. 2010] NETSSAF (2008): The NETSSAF Participatory Planning Approach. A Tutorial for Sustainable Sanitation. URL: http: //www. netssaftutorial. com [Accessed: 14. 05. 2010] PHILIP, R. , ANTON, B. , BONJEAN, M. , BROMLEY, J. , COX, D. , SMITS, S. , SULLIVAN, C. A. , VAN NIEKERK, K. , CHONGUIÇA, E. , MONGGAE, F. , NYAGWAMBO, L. , PULE, R. , BERRAONDO LÓPEZ, M. (2008): Local Government and Integrated Water Resources Management (IWRM) Part III: Engaging in IWRM – Practical Steps and Tools for Local Governments. Freiburg: ICLEI European Secretariat Gmb. H. PPIAF –PUBLIC-PRIVATE INFRASTRUCTURE ADVISORY FACILITY- (2010): What are Public-Private Partnerships. URL: http: //www. ppiaf. org [Accessed on 14. 05. 2010] SONI, P. (2005): Solution Exchange for WES-NET India -Water & Environmental Sanitation Network-. URL: http: //www. solutionexchange-un. net. in/environment/cr-public/cr-se-wes-29070501 -public. pdf [Accessed on 16. 05. 2010] TRÈMOLET, S. , PEREZ, E. and KOSLKY, P. (2007): WSP Sanitation Financing Study. Methodological Note. URL: http: //www. susana. org/images/documents/07 -cap-dev/a-material-topic-wg/wg 02/tremolet-et-al-2007 a-methodologicalnote-sanitation-wsp-en. pdf [Accessed on 16. 05. 2010] Project Preparation and Financing 36

“Linking up Sustainable Sanitation, Water Management & Agriculture” SSWM is an initiative supported by: Compiled by: Project Preparation and Financing 37

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