Community Capacity Building Guidelines Series No. 1

 

GUIDELINES ON THE FORMATION OF A PROJECT PROPOSAL

(Version 1)

Prepared by Consolidation for Settlement Capacity Building

and Livelihoods Development Project in Sri Lanka

Funded by World Jewish Relief

2008

Contents 1.0 Introduction 1

2.0 The need for a project proposal 1

3.0 Basic components of a project proposal 2

3.1 Name of the project 2 3.2 Project proponent 2 3.3 Partners 2 3.4 Project area 2

3.5 Project beneficiaries 2

3.6 Need for the project 2 3.7 Objectives of the project 3 3.8 Project activities 3

3.9 Expected results 3 3.10 Cost estimate 3 3.11 Time frame 4 3.12 Progress review and reporting 4 3.13 Project evaluation 4

4.0 Points to be considered in submitting a project proposal

to a funding institution 4

Annex I Sample of Project Proposal 5 Annex II Agenda of Workshop on Proposal Writing 10 Photos on the cover page: 1) Proposal wiring workshop (Ampara District) 2) Drainage rehabilitation proposal prepared by a CDC in Jaffna District

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1.0 Introduction

The objective of this guideline is to create awareness among community leaders and mobilizers interested in the formulation of a simple project proposal necessary to be presented to raise funds for a community development council (CDC) established in a low income settlement. The funds raised will be used for the implementation of some activities identified by the community of the settlement.

2.0 The need for a project proposal

In urban areas of Sri Lanka, there are settlements occupied predominantly by low income earners. Half of the population of the city of Colombo, comprise of them. They live in these densely populated settlements without adequate basic amenities. The problems of such settlements get aggravated day by day. The complexity and acuteness of them are such that no government or non- governmental organizations (NGOs) have been able to address them successfully.

Villages and rural settlements too have their inherent problems. They were further aggravated by the tsunami disaster in 2004.These problems still exist, though their nature has witnessed changes in many fronts.

Although government and NGOs extended financial aid for tsunami projects and others to provide basic facilities including housing in these settlements and villages, due to limitations in such funding some essential work remain unimplemented. Thus various districts have a large number of low income settlements crying for basic amenities. There are active as well as inactive community councils in these settlements.

Due to lack of funds and ignorance about ways and means of raising funds, these CDCs are stuck with their problems creating dependency. Community leaders make requests for assistance from government and NGOs and also from the local political leadership and live with the hope that their requests will be granted early. This dependency on external agencies often results in dashing of their expectations.

Creation of the background required for fulfilling the needs of the community through CDCs is the only solution to this problem. This can be done by identifying the basic requirements of the community and finding the means to meet them. It will be very easy for a CDC to formulate a project proposal and present it to a funding institution seeking funds to provide these facilities.

The project can be implemented subsequently by following the “community contracting” method1.

1 Implementing an activity by a CDC after entering into a contract with the relevant

parties is referred to as the community contracting method. The office bearers of the CDC play a leading role in this activity.

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3.0 Basic components of a project proposal

Project proposals can be implemented at several levels. However this guideline is concerned with the methodology for the preparation of a simple project proposal to be formulated by the community to raise finances to implement the activities of the CDC of a low income community. It should be a proposal which invariably fulfils the requirements of the community and is beneficial to them.

3.1 Name of the project

The name of the project should provide some information with respect to its objective. Expression of the activities /objectives through its name will make it possible for the project to become more fruitful.

3.2 Project proponent

Project proponent is the party that presents the proposal to the Funding Institution. In this instance it is the CDC. The name of the CDC should be indicated very clearly. The District and the Divisional Secretary’s Division should also be clearly indicated.

3.3 Partners

Partners in the proposed project should be clearly indicated in this section. The funding institution to which a project proposal is being submitted is identified as one of the partners.

3.4 Project area

Project area should be clearly specified by indicating the name of the settlement and administrative area.

3.5 Project beneficiaries

Number of expected beneficiaries is important information for the proposed project. Number of households or individuals who will benefit from the project is written here. In some projects, the entire members of a CDC become the beneficiaries. In other projects, the selected member of a CDC, such as most vulnerable people like widows, become the beneficiaries. In the latter cases, selection criteria of the beneficiaries should be included in this section.

3.6 Need for the project

The need for the project should be clearly sated by explaining the following points:

The current issue/s in the project area Steps taken so far to address the issues The need to implement this project

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3.7 Objectives of the project Main objectives of the project should be listed clearly in this section.

3.8 Project activities

Here we have to clearly state the specific activities to achieve the above-mentioned objectives. The institutions responsible for each activity are also stated in this section. The following table can be made use of for it.

Objectives Activities Responsibilities

3.9 Expected results Here 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 and evaluating the performance of the project. The following table can be put together with the above table, and named as “Plan of Activities”.

Activities Expected results Indicators

3.10 Cost estimate This refers to the expenditure expected to be incurred for implementing the project. The important fact to be borne in mind is that funds should be requested from the funding institution only in respect of the absolutely essential items of the project. Contribution from the CDC should be itemized separately as land, labour, building etc. Value of these should also be added to the cost estimate. The following table can be used for this. The contribution from partner agencies should also be indicated.

Activities Contribution by the CDC

(LKR)

Contribution by partner agency –A

(LKR)

Contribution by partner agency-B

(LKR)

Total Cost (LKR)

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3.11 Time frame Time frame for each activity should be clearly indicated. This should be prepared in consultation with other stakeholders. Following table can be made use for it.

Activities Time Frame

Jan Feb Mar Apr May June July Aug Sept

3.12 Progress review and reporting Procedure for reviewing progress and for reporting progress should be clearly described. The period for which reports are prepared may be identified as monthly, quarterly etc. The manner in which progress reports etc are to be sent to the funding institution should be described in this section. Steps to be taken in respect of any shortcomings observed during the reviewing of progress should also be indicated.

3.13 Project evaluation

To measure the success of a project, it is necessary to carry out an evaluation. By considering the project objectives, results, positive and negative impacts, it will be possible to identify the success, shortcomings and specifically lessons learnt. The way of evaluation should be indicated in the proposal.

4.0 Points to be considered in submitting a project proposal to a funding institution

The project proposal formulated by the CDC can be submitted to a funding institution. However the CDC should not act on the premise that the funding institution 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 funding institution. When the project proposal is presented to a funding institution, they will consider whether it has been formulated in a manner that satisfies its requirements as well as those of the main funding sources. If they do not meet the requirements fully, the project proposal will either be rejected or instruction will be given to amend it. Rejection will be inevitable when there is failure to provide information as required. It is important that the formulation of the project proposal is carried out after obtaining appropriate advice from a knowledgeable person. If possible, it is useful to discuss with an appropriate officer from the funding

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institution and to obtain the necessary information before formulating the proposal. Some institutions have standard formats for presentation of project proposals. In such instances invariably such forms have to be used.

(2) Refrain from objections or reacting emotionally in case of refusal

The general response of a CDC to a rejection of a project proposal is reacting with anger and protesting about the decision. Reacting emotionally to a refusal may result in losing the opportunity to obtain assistance from the institution in the future. Therefore the leaders who are delegated to discuss with the funding institution should invariably be individuals with understanding, patience, knowledge and wisdom. What should happen is not to respond by raising objections or protest at the other party, but to bring the proposal to a state of being accepted for funding by identifying any shortcomings and by rectifying them or presenting it to another institution.

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Annex I: Sample of Project Proposal

1. Name of the project: Solid Waste Management Project for Galle District 2. Project proponent: Walauwatte Community Development Council (CDC)

in Galle Divisional Secretary’s Division, Galle District 3. Partners:

(1) Central Environmental Authority (Waste Management Project) (2) Department of Agriculture

4. Project area: Walauwatte Community Development Council (CDC) in Galle D.S. Division, Galle District

5. Project beneficiaries: 250 households in the Walauwatte CDC 6. Need for the project:

Walauwatte CDC located in Galle D.S. Division, Galle District is a low income settlement with high density of population. The local government authority, namely Galle Municipal Council, does not have a proper system for collecting of the waste in settlements. As a result, garbage gets accumulated as big dumps in various places which become breeding grounds for flies and mosquitoes. The residents have to face the inconvenience of the stench as well as health problems arising from the unhygienic conditions. Walauwatte CDC requested Galle Municipal Council to deliver a proper service to solve the above issue. However, the Municipal Council did not have an immediate counter-measure. UN-HABITAT introduced the CDC to the Waste Management Project by the Central Environmental Authority (CEA). The CDC decided to write a proposal to the CEA to assist 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 management programme, and train them on sorting out the waste.

(2) Introduce bio-degradable waste management by training in composting the waste and making use of it for home gardening.

(3) Introduce non-degradable waste management by establishing a system of sorting the waste and selling to buyers.

(4) Create awareness among school children about these programmes and make them participate in implementation.

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8. Plan of Activities:

Objectives Activities Responsibilities Expected results Indicators (1) Creating awareness on

a solid waste management programme

(1-1): Conduct 2 workshops for awareness raising among the CDC members

• Central Environmental Authority

• Walauwatte CDC

• CDCs understand the need and for sorting out solid waste and how to do it.

• No. of participants of the workshops will be not less than 150.

(2) Introducing bio-degradable waste management

(2-1): Conduct a training programme on how to use compost bins

(2-2): Provide 100 compost bins (2-3): Conduct a training programme

on home gardening by using compost made from bio-degradable waste

(2-4): Supply seeds and seedlings to the beneficiaries

• Central Environmental Authority

• Walauwatte CDC • Department of

Agriculture

• Bio-degradable waste is not dumped but converted to compost.

• Beneficiaries grow plants by using the compost.

• Decrease in the amount of bio-degradable waste dumped in open areas

• No. of compost bins distributed

• No. of compost bins utilized • No. of households engaged in

home-gardening

(3) Introducing non-degradable waste management

(3-1) Introduce buyers to the community by conducting two special meetings

(3-2) Provide the bags to sort out plastic, polythene and bins.

• Central Environmental Authority

• Walauwatte CDC

• Conversion of non- degradable waste to cash

• Decrease in the amount of non-degradable waste dumped in open areas

• Income of households by selling non-degradable waste to buyers

(4) Creating awareness among school children

(4-1) Conduct one special meeting to create awareness among children in the community

(4-2) Hold an essay competition

• Central Environmental Authority

• Walauwatte CDC

• Children understand the importance of solid waste management

• No. of participants of meeting will be not less than 100.

• Level of understanding

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9. Cost estimate

Activities Community Contribution

(LKR)

Central Environmental Authority

(LKR)

Department of

Agriculture (LKR)

Total Cost (LKR)

(1-1) Conduct 2 workshops for awareness raising among the CDC members

2.000.00 30,000.00 32,000.00

(2-1) Conduct a training programme on how to use compost bins

1,000.00 15,000.00 16,000.00

(2-2) Provide 100 compost bins

230,000.00 230,000.00

(2-3) Conduct a training programme on home gardening by using compost

1,000.00 15,000.00 16,000.00

(2-4) Supply seeds and seedlings to the beneficiaries

100,000.00 100,000.00

(3-1) Introduce buyers to the community by conducting two special meetings

500.00 10,000.00 10,500.00

(3-2) Provide the bags to sort out plastic, polythene and bins

25,000.00 25,000.00

(4-1) Conduct one special meeting to create awareness among children in the community

500.00 10,000.00 10,500.00

(4-2) Hold an essay competition 1,000.00 1,000.00 Total cost for each institution 6,000.00 320,000.00 115,000.00 441,000.00 10. Time frame:

Year 2008

Activities 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 X

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11. Progress review and reporting:

• The secretary of Walauwatte CDC is responsible to review the progress of the project monthly.

• The secretary of the Walauwatte CDC is responsible to report the progress of the programme to the funding institution monthly.

• The reporting items include the followings: Progress of activities (Plan and Actual) Expenditure Difficulties faced

12. Project evaluation:

• Upon the completion of the project, the CDC office bearers will conduct an evaluation.

• Achievement of objectives will be measured by checking the “Indicators” written in the “Plan of Activities”.

• Through a discussion with the CDC members, any issues and countermeasure will be discussed.

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Annex II: Agenda of Workshop on Proposal Writing Time Activity 09.00 a.m. - 09.10 a.m. Welcome speech 09.10 a.m. - 09.20 a.m. Self introduction 09.20 a.m. - 09.30 a.m. Objective of the workshop 09.40 a.m. - 10.10 a.m. Need for a project proposal 10.10 a.m. - 10.30 a.m. Tea 10.30 a.m. - 1.00 p.m. 13 steps of proposal formulation

<Group Work> Break into 3 groups and prepare

A draft proposal

01.00 p.m. - 01.30 p.m. Presentation by groups

01.30 p.m. - 01.45 p.m. Discussion and winding up