PCM-Module-03 - Volume - 02 - Project Formation

Volume II
Module 3: Project Formulation/Preparation
Appendixes
Sidaroth KONG and Bunchhoeuth KENG
Reviewed by:
Songsatit KITTIKHUNWATCHANA
September, 2016
M3: Project Formulation/Preparation Page 1 of 100

Contents
1. The Module Pre-Test and Post-Test.......................................................................................... 4

Pre-Test .................................................................................................................................... 5
Post-Test................................................................................................................................... 8
2. Handouts................................................................................................................................. 10
Handout I: Scoping the Project and Explore the Possibilities ................................................... 11
Handout II: Risk Assessment and Management ...................................................................... 18
Handout III: Objective Tree Analysis ....................................................................................... 24
Handout IV: Project Strategy and Goal .................................................................................... 30
Handout V: Logframe .............................................................................................................. 36
Handout VI: Communication Plan............................................................................................ 48
Handout VII: Formulation of Monitoring and Evaluation Plan ................................................... 58
Handout VIII: Work Plan and Budget Plan ............................................................................... 63
Handout IX: Elements of Project Proposal............................................................................... 68
3. Exercises ................................................................................................................................ 74
Exercise for Session I: Scoping the Project and Explore the Possibilities ................................ 75
Exercise for Session II: Risk Assessment and Management ................................................... 76
Exercise for Session III: Objective Tree Analysis ..................................................................... 78
Exercise for Session IV: Project Strategy and Goal ................................................................. 83
Exercise for Session V: Logframe ........................................................................................... 84
Exercise for Session VI: Communication Plan ......................................................................... 85
Exercise for Session VII: Formulation of Monitoring and Evaluation Plan ................................ 89
Exercise for Session VIII: Work Plan and Budget Plan ............................................................ 90
Exercise for Session IX: Elements of Project Proposal ............................................................ 92
4. Detail of Games for Ice-Breaking Session or Warm-up Workshop .......................................... 93
5. Details of Tools ....................................................................................................................... 94
Session V: Logframe ............................................................................................................... 95
Session VII: Formulation of Monitoring and Evaluation Plan.................................................... 99
6. All Slides of Power Point Presentation .................................................................................. 100

List of Abbreviation
M&E Monitoring and Evaluation

PCM Project Cycle Management
PESTLE Politic, Economic, Social, Technology, Legal and Environment
PFP Project Formulation/Preparation
PPI Problem/Project Identification

1. The Module Pre-Test and Post-Test

Pre-Test
Training Date: ________/________/_______
Instructions
Please answer the questions below according to your knowledge and experience.
For questions that require additional explanation, please be very brief.
only one answer can be checked.
more than one answer can be checked, or checked all that apply.
1. What is Project Formulation/Preparation (PFP)?

It is the 1st phase in Project Cycle Management.
It covers analysis of stakeholders, feasibility, and objectives.
It involves numerous mandatory analysis– e.g. risk, strategy, communication, budget
plan... – in order to develop a coherent project proposal.
It deals with resource mobilization.
It outlines necessary plans in order for a project to be executable at the project
implementation phase.
2. Have you ever conducted scoping project and explore possibilities?
2.1. Yes
2.1.1. How did you do it: ………………………………………………………………….
………………………………………………………………………………………………..
………………………………………………………………………………………………..
2.2. No
2.2.1. But I know about it 2.2.2. I do not know about it either
3. Have you ever carried out a risk assessment and management for a project?
3.1. Yes
3.1.1. Why should it be carried out?
An increased understanding of the project How to handle risks
3.2. No
4. Have you ever analyze an objective tree?

4.1. Yes
4.1.1. Why do you use an objective tree?
To see relationship between means and ends.
To look at all objectives of a project.
To verify causes and effects of a project.

4.2. No
5. Have you ever selecting a project strategy?

5.1. Yes
5.1.1. When choosing a project strategy, what should be taken into consideration:
A project that is realistically doable.
The capacity of the organization to carry out the project.
Sufficient support from stakeholders.
5.2. No
6. Have you ever developed a Logframe table/matrix?

6.1. Yes
6.1.1. Purpose/Outcome is a result that is under the control of the project:
True False
6.1.2. The elements of Logframe are:

Activities, results, assumptions; Indicators, goal;
Outcome, means of verifications; Problems; costs.
6.2. No
7. Have you ever designed a communication plan?

7.1. Yes
7.1.1. Briefly describe what should be included in the communication plan
………………………………………………………………………………………………
………………………………………………………………………………………………
7.2. No
8. Have you ever formulated a monitoring and evaluation (M&E) plan?

8.1. Yes
8.1.1. Briefly describe what should be included in the M&E plan
………………………………………………………………………………………………
………………………………………………………………………………………………
8.2. No
9. Have you ever written a work plan (e.g. monthly or annually)?

9.1. Yes
9.1.1. A work plan of team helps team members to:
Who is responsible for what tasks; Meet the task deadlines.

9.2. No
10. Have you ever developed a budget plan?

10.1. Yes
10.1.1. Why a budget plan is important:
To estimate a project cost.
To use as a guide to control planned versus actual expenditures.
10.2. No
11. What can be included as elements of a project proposal?

Background of a project An annual work plan Detailed budget plan
Analysis of the problem Executive summary Profiles of project team
12. Have you ever written a project report?

12.1. Yes
12.1.1. What should be included in a project report:
Executive summary, achievements, attached financial report
Problem analysis, objectives of the project, annual work plan.
12.2. No
13. Anything else you would like to let us know

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………

Post-Test
Training Date: ________/________/_______
A little Medium Significant A lot

( about 25%) (26%-50%) (51%-75%) (76%-100%)
In general, can you estimate the
level of knowledge you acquire
from this training.
1. In you own words, explain briefly why Project Formulation/Preparation is important for
Project Cycle Management.
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
2. Why should we conduct a project scoping and explore possibilities?
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
3. Can you briefly explain how to conduct a risk assessment and management for a
project?
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
4. Why an objective tree is important? What analysis must be first carried out, and without
which there will be no objective tree analysis?
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
5. Why selection of project strategy is important?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
6. Why a project goal should be SMART?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………

7. Please name the following elements of the Logframe
Elements Description
The highest level result that a project contributes towards.
External and conducive factors that facilitate the project to progress.
Training reports, national survey, attendance list of participants.
Before obtaining the results, these have to be carried out
Change in behaviors or attitudes of the intended group, which is
under the control of the project.
The tangible results or services of the project
They are needed in order to measure progress or achievements at
various levels
8. What are needed in order to develop a communication plan?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
9. What should be included in a Monitoring and Evaluation Plan?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
10. Why an annual work plan is important for a project?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
11. What are needed in order to develop a budget plan?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
12. What are key elements of a project proposal?

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
13. Why do we need to write a project report? What should be included?
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………
14. Anything that you would like to let us know

…………………………………………………………………………………………………………………
…………………………………………………………………………………………………………………

2. Handouts

Handout I: Scoping the Project and Explore the Possibilities
1. What is Project Scoping?
• Project scoping is a key management practice for planning and delivering projects
successfully. Project scoping includes high level features or capabilities that the team
has committed to delivering to the beneficiaries as well as those they have not
committed to delivering.
• Project scoping is a part of project planning that determines and documents a list of
specific project objectives, deliverables, tasks, costs, and deadlines.
• It is also a process of identifying issues, concerns, and opportunities for enhancement
or mitigation associated with the proposed project activities (NAO, 2015).
2. How important is Project Scoping?
Project scoping is the first step in PFP. The reason is that prior to formulating and preparing a
project, there is a need to define broad parameters of project and to provide the foundation for all
subsequent steps or analysis. A clear scope sets approximate boundaries for what the project will
attempt to do (WWF, 2006).
3. How to conduct Project Scoping?
As mentioned above, a project cannot be successfully implemented without clear parameters and
boundaries. In light of that, project scoping helps in defining these two crucial aspects.
The processes of Project Scoping are:
• Identify a draft project goal. To have a draft project goal, turn a problem statement at the
branch level, from the Problem Tree in session Problem Analysis in Problem/Project
Identification phase – into a positive statement. A project goal is the highest level and
wider expectation of change to which the achievements of different projects will contribute
(see more of Project Goal in Objective Tree Analysis, Project Strategy and Goal, and
Logframe).
• Identify a project objective/purpose which is a positive statement of a desired future
condition to be achieved, and which contributes towards the project goal. To obtain a
project objective/purpose, turn the main problem, from the Problem Tree in session
Problem Analysis in Problem/Project Identification phase – into a positive statement (see
more of Project Objective/Purpose in Objective Tree Analysis and Logframe).
• Define name of a project: decide what is a title of the project.
• Identify a project period: define how long the project will be implemented.
• Identify geographic areas: define where and how large is the coverage of the project.
• Identify beneficiaries: define with and for whom the project will work, and how the project
will benefit to them.
• Identify collaborators: identify who have the potential to contribute to success of the
project, and how to engage them.
• Define project strategy for implementation; it is important to identify what are likely the
main activities for implementation (see more in Project Strategy and Goal, and Logframe).
• Identify resources: (i) what resources will be needed for project, (ii) what resources the
project or the organization already have, and (iii) what resources will be needed in order to
implement the project successfully.

Resource Mobilization
Varying resources require different mobilization strategies. An example on how to effectively

mobilize various resources – what the organization currently acquires, what are needed for the
project, what are the gaps or still missing for the project – in relation to a project is explained at
the next section through the use of a tool for project scoping, Project Scoping Framework.
Resources to be mobilized normally include (see Sera & Beaudry (2007)):
• Staff: there are two strategies to adequate number of staff for project implementation:
o Raise fund to recruit needed staff members. This can be incorporated in the
project proposal.
o Establish a volunteer component: this strategy allows project to have enough
required staff; but the challenge is that, at the first set, volunteers need to be
trained.
o The project should work in partnership with volunteer organizations, institutions or
universities in order to get qualified volunteers to support the project.
• Equipment and materials: the project can also propose, in the budget, to donors to
purchase necessary equipment and materials such as computers, vehicles, and so on. In
some cases, the project team can approach various stakeholders such as business,
NGOs, or relevant institutions as they may be willing to donate equipment and materials.
• Information Technology (IT): the project can propose to donor(s) to recruit IT expert(s) in
order to set up an IT system or to work in partnership with other NGOs or institutions who
already have this expertize in place.
• Legal documents: official registration with the state, agreements with government and so
on.
• Finance: monetary resources that enables productive implementation of the project.
Therefore, in order to have adequate resources to implement a project productively, there is a

need to have resource mobilization strategy and plan, which includes fundraising to donors or set
up small enterprise that can generate income for project implementation. In some cases, there
are calls for proposals with specific Term of Reference, ToR, that can be an opportunity for the
project to apply for funding (see more detail under exploring possibilities).
4. Recommended tool for Project Scoping
Project Scoping Framework is the tool recommended for project scoping.
Project Scoping Framework
Geographic Beneficiari Collaborators Strategies Resources

area es
What we What Gap

need we have
Project Title: Equality and Equity in Community Development
Project Period: 5 years (2016-2020)
Goal: To promote gender equality and equity in development of communities and to increase
participation of women in leadership in society.
Project Objective/Purpose: To develop capacity of women on leadership in order that they are
able to take leadership roles in their communities
100 All • Local • Develop 25 qualified 15 10
communities community staff

Geographic Beneficiari Collaborators Strategies Resources
area es
in 3 people, but government capacity of 15 laptops 8 7

provinces the main • Elders women
focus is • Religious and young 3 Desktops 2 1
women and institutions girls 1 IT expert 0 1
young girls. • Other NGOs • Educate Legal Have 0
• Training community documents:
intuitions people on official
• Research gender registration
institutions equality and
and equity agreements
• Cooperate with govt.
with Finance
relevant (USD):
ministries 1.000.000 50,000 50,00
and 0
institutions
5. What is the exploring possibilities?
Exploring possibilities is a process of analyzing and identifying new possible project ideas that
can contribute to addressing problem identified in problem/project identification phase.
Exploring possibilities is also a method of identifying new project opportunity, which responds to a
particular donors’ requirements or clients’ demands and which are well aligned with problem
identified in problem/project identification phase.
6. How important is exploring possibilities?
Mostly exploring possibilities for a project occurs when there is a need to respond to particular
funding opportunities or call for proposals from donors or to follow a specific Term of Reference
(ToR). Sometimes, there is also a need to develop various project ideas to sell to potential donors
as part of resource mobilization and fundraising strategy.
7. How to conduct exploring possibilities?
Exploring possibilities can be conducted through the following processes:

o Analyzing ToR: it is important to analyze how well the requirements and expectations in
the ToR of a call for proposal align with the current project goal and objective (see at the
next section, Tool 1: Expectations and Alignment Analysis Framework).
o Identify areas for research: what do you want to know about? How it benefits to people?
who can contribute, who else have potential to contribute and how can we engage them?
(see at the next section, Tool 2: Exploring Possibilities Framework) (Sewell, Smith,
Phillips, & Lane, 2011).
o Identify barberries or challenges: what are the obstacles and how we can cope with
them? (see at the next section, Tool 2: Exploring Possibilities Framework)
o Develop methods for data gathering and analysis, for example, literature review, semi-
structured interview, Focused Group Discussions (FGDs), online survey and so on (see
at the next section Tool 2: Exploring Possibilities Framework).

o Develop research question (see at the next section, Tool 2: Exploring Possibilities
Framework).
o Identify resources needed: what and how many staff members the project needs, what
qualifications and skills should they have? What training should be provided and when?
o Identify priorities or needs for intervention (see at the next section, Tool 3: Possibilities
Identification Framework).
o Identify current projects/activities responding to those priorities/needs (see at the next
section, Tool 3: Possibilities Identification Framework).
o Identify what gaps exist and need to be filled (see at the next section, Tool 3:
Possibilities Identification Framework).
o Identify potential projects who can fill the gaps and develop mechanism to get them
engaged (see at the next section, Tool 3: Possibilities Identification Framework).
o Identify the new possibilities for new project (see at the next section, Tool 3: Possibilities
o Recommendations for decision making (see at the next section, Tool 3: Possibilities
In order to ensure possibilities or new project ideas that can contribute to addressing problem
identified in Problem/Project Identification phase, it is recommended to use Tool 1: Expectations
and Alignment Analysis Framework; to be elaborated at the next section.
To explore possibilities towards designing a new project idea, which responds to a particular
donors’ requirements or clients’ demands and that is well aligned with problem identified in
Problem/Project Identification phase, it is recommended to use Tool 2: Exploring Possibilities
Framework and Tool 3: Possibilities Identification Framework at the next section; to be elaborated
at the next section.
8. Recommended tools for exploring possibilities
There are three tools which can be use to explore possibilities: Expectations and Alignment
Analysis Framework, Exploring Possibilities Framework, Possibilities Identification Framework.
Tool 1: Expectations and Alignment Analysis Framework
Using the example of Project Title: Equality and Equity in Community Development (from 4.
Recommended tool for Project Scoping) in order analyze how the project goal and objective meet
the expectations of Term of References, ToR, of a call for proposal from a donor.
Expectations Project Alignment Recommendations

in ToR Goal Objective/Purpose
Women can To promote To develop Women can The project should
better access gender capacity of women better access to consider exploring
to Natural equality and on leadership in NRM, and new project ideas to
Resources equity in order that they are increase number capture this funding
Management development able to take women in playing opportunity
(NRM) of leadership roles in role in decision
Increase communities their communities making are well
number of and to aligned with the
women in increase project goal and
playing role in participation objective. Both
decision of women in expectations
leadership in contribute well to

Expectations Project Alignment Recommendations
in ToR Goal Objective/Purpose
making society the achievement
of the project
goal and
objective
Tool 2: Exploring Possibilities Framework
The exploring possibilities framework attempts to resolve five questions: what to ask, what are the
research questions, what are the priorities/needs, who are the informants, what are the methods.
In this exploring possibilities framework, we will look at “local governance” as the area of
research” and “what is the current status of local governance in relation to natural resources
management (NRM)” as the research question or the main research question.
Research Questions to Ask Priorities/ Informants Methods

Question needs
Area for research: 1- Local governance
What is the How well local governance Capacity Organic laws Literature
current status policy and framework, and of local and legal review
of local NRM laws are being authorities framework
governance implemented? in NRM
in relation to
NRM? How well local authorities Advocacy • Community Semi-
(commune and district offices) capacity people structured
respond to the needs of • NGOs interview and
people? • Private Focused
sectors Group
Discussions
(FGDs)
How have women been • Community Semi-

playing role in NRM? people structured
• NGOs interview and
• Private FGDs
sectors
What leadership roles that • Community Semi-

women have been playing in people structured
communities? • NGOs interview and
• Private FGDs
sectors
What support do women need • Community Semi-

so that you are able to people structured
challenge local authorities to • NGOs interview and
perform their role in NRM? • Private FGDs
sectors
What roles have commune • Local Semi-

office been playing to protect authorities structured
NRM? • Relevant interview
Ministries/

Research Questions to Ask Priorities/ Informants Methods
Question needs
departments
What challenges or obstacles 1. Local Semi-

commune office faced in authorities structured
NRM? 2. Relevant interview
Ministries/
departments
Tool 3: Possibilities Identification Framework
The identifying possibilities framework attempts to resolve four questions: what are the priorities
or needs, what are the current project, what are the gaps, what are the possibilities, what can be
the recommendations.
In this possibilities identification framework, we will look at the “capacity of local authorities in
natural resources management (NRM)” and “advocacy capacity” as priorities/needs.
Priorities/ Current projects Gaps Possibilities Recommendat

needs ions
Capacity • Two NGOs • Commune • Capacity Should

of local have been leaders do not development consider it as a
authorities providing understand the to commune high priority as
in NRM training to connection leaders and it fits very well
commune between the councilors with the project
authorities on forestry as well on what objectives.
forestry and as fishery laws roles they
fishery laws. and their roles should play
• Forestry and as commune in protecting
fishery leader in NRM
departments protecting NRM. • Facilitate
sometime also • Cooperation dialogue
provide the between among
same training to commune commune
local leaders and leaders and
authorities. department relevant
office is still departments
limited. on NRM.
Advocacy One NGO provides • Communities • Develop • Should be

capacity training to often confront capacity of done in
communities on with local communities cooperation
advocacy authorities when on forestry with the
strategies they advocate and fishery existing
local people to laws. NGO
participate in • There is a
project related to need to
NRM. It seems study in
that they lack of detail about
Non-Active cooperation
Violence

Priorities/ Current projects Gaps Possibilities Recommendat
needs ions
approach. between
• Communities do NGOs and
not understand local
forestry and authorities
fishery laws so it
is hard for them
to protect illegal
logging and
fishing activities.
Is the project formulation completed? The answer is “not yet” as the project team has yet
attempted to identify what risks they will likely face. Therefore, they need to carry out the next
step which is to do risk assessment and management.

Handout II: Risk Assessment and Management
1. What is Risk Assessment and Management?
Risk Assessment and Management is the second in PFP, after scoping the project and explore
possibilities. It is a process of analyzing and identifying potential obstacles or hazards that may
prevent project from being successfully implemented, and of identifying possible solutions to
mitigate and manage those obstacles and hazards.
What are the risks?
Risks are obstacles or hazards that potentially harm project implementation. They are strategic
risk/reputation risk, economic/financial risk, political risk, legal risk security risk, environmental/
climate change risk, technology risk (Taylor (2012), FlexStudy (n.d.), Deloitte (2013), Wikinvest
(2009)).
No Risks Brief Definition

1 Strategic risk/ It is about potential obstacles that hinder the achievement and success
reputation risk of project goal and objectives. Key obstacles are:
• Developed goal and objectives are not well-responded to the
problems and situation
• Inappropriate planning
• Time constrain
• Change of context and situation
2 Economic/ A project cannot be implemented successfully unless there is sufficient

Financial risk fund or financial support. Therefore, potential risks are:
• Lack of funding support from donors due to economic downturn.
• High inflation that affects negatively the project budget.
3 Political risk Enabling environment and safe space for project implementation
depends on political situation in particular context. In light of that,
potential risks include:
• Political instability
• Political change
4 Legal risk In some case, the project may not be able to secure enough legal
support. If that is the case, the project cannot successfully be
implemented.
5 Security risk If in a country where political situation is not stable, personnel security
would become a problem.
6 Environmental It is a concern everywhere in the world. The major disasters that

/climate change prevent a project from effectively implementing:
risk • Draught
• Flood
• Storm
7 Technology risk Technology is very useful. However, it could potentially harm the project
implementation, if:
• The project does not have enough capacity to deal with
technology problems, and/or
• The project doe not have capacity to absorb new technology.

What is Risk Assessment?
Risk Assessment is a simple proper examination of what, in your work, could cause harm to
people, so that you can weigh up whether you have taken enough precautions or should do more
to prevent harm. It is all about measuring and prioritizing risks so that risk levels are managed
within defined tolerance thresholds without being over-controlled or forgoing desirable
opportunities.
What is Risk Management?
Risk Management is a process which enables the analysis and management of the associated
risks. It is designed to remove or reduce the risks which threaten the achievement of the project
objectives.
2. Why the Risk Assessment and Management is important to PFP?
As mentioned at the scoping the project session, the project team has designed a project to
respond to a specific problem. They will not be able to implement their project successfully unless
they can identify what are the potential risks or obstacles they will encounter and how can they
manage them. Thus, the project team absolutely needs to conduct risk analysis and
management.
The purpose of risk assessment and management is to assess how big the risks are, both
individually and collectively, in order to focus management’s attention on the most important
threats and opportunities, and to lay the groundwork for risk response.
The main benefits of conducting risk assessment and management are (Norris, Perry, & Simon,
2000):
• An increased understanding of the project;
• An increased understanding of the risks;
• An independent view of the project risks to justify decision and to enable more efficient
and effective management of the risks;
• Facilitation of greater, but more rational, risks taking, thus increasing the benefits gained
from risk taking.
3. How to conduct Risk Assessment and Management?
Risk Assessment and Management can be conducted through the following process: risk
identification, risk livelihood assessment, risk prioritizing, risk management, and risk management
plan.
Risk Risk
Risk Risk Risk
Livelihood Management
Identification Prioritizing Management
Assessment Plan

The process of risk assessment and management is explained in the following table:
Steps What How

1 Risk The first activity within Identifies and produces a comprehensive list of
Identification the risk assessment risks, in the risk analysis matrix, for the
process is to identify preceding risk livelihood assessment. The
risks identified risks can be rated from low to medium
and to high according to their level of livelihood
and impact.
Impact (consequence): refers to the extent to

which a risk event might affect the organization.
Some entities define impact scales for
opportunities as well as risks. Impact
assessment criteria may include: financial,
reputational, regulatory, health, safety, security,
environmental, employee, customer, and
operational impacts.
See three examples in Risk Analysis and

Management Framework (column a)
2 Risk Analyzes and assesses Risk assessment is often performed as a two-

Livelihood the level of each risk stage process qualitative (identify main risk
Assessment that will impact sources or factors) and quantitative (identify
negatively on the preventive measures, establishing contingency
project using risk plan, initiating further studies, considering risk
analysis matrix below. transfer, considering risk allocation, and setting
contingencies in cost estimate) studies.
Measurements of risks assessments include:
- Analyzing existing data
- Interviews and cross-functional
workshops
- Survey
- Benchmarking
- Scenario analysis
Both qualitative and quantitative techniques

have advantages and disadvantages (Curtis &
Carey, 2012).

Management Framework (column b)
3 Risk Risk prioritization is the Once the risks have been assessed and their
Prioritizing process of determining interactions documented, it’s time to view the
risk management risks as a comprehensive portfolio to enable the
priorities by comparing next step – prioritizing for risk response and
the level of risk against reporting to different stakeholders.
predetermined target
risk levels and See three examples in Risk Analysis and
tolerance thresholds. Management Framework (column c)

Steps What How
4 Risk Uses the information To be effective in risk management, the risk
Management collected during the risk assessment process needs to be simple,
identification and practical, easy to understand and manageable.
livelihood assessment Success depends upon executive commitment
in order to make and resources. The process must be performed
decisions on how to by people with the right skills supported by
improve the probability technology that is correctly sized for the task at
of the project towards hand.
achieving its cost, time,
and performance Review your risks assessment and update if
objectives. necessary. During the year, review if there is a
significant change and there are improvements
you still need to make (HSE, 2012).

Management Framework (column d)
5 Developing In this stage, there is a • Risks: what are the potential risks of a
Risk need to develop a clear project.
Management risk management plan. • Priorities: prioritize the risks, low, medium,
Plan high.
It is also important to • Actions: identify what to do to manage the
review risk risks.
management plan on a • Resources: identify what resources will
regular basis (e.g. need to manage the risks.
quarterly). • Lead: identify the staff, who will take the
lead in each risk.
• Timeframe: identify timeframe for managing
the risks.
See Risk Management Plan
4. Recommended tools to be used in Risk Assessment
There are three tools that can be used in risk assessment: risk analysis matrix, risk analysis and
management framework, and risk management plan.
Risk Analysis Matrix: use to rank identified risks from low to high in relation to livelihood and
impact (Monti, 2012).
For example, in an advocacy project, the project team identified: “local authorities do not support
advocacy work” as a risk. According to their discussion, this risk has high impact and medium
livelihood. The impact is high because if this advocacy work requires support from local
authorities, it can pose significant challenge when local authorities do not support it. This risk has
medium livelihood level because it can interrupt this particularly advocacy work; the project team,
however, can continue to do other work or activities. Even though there is no serious security
threat to the project team, they should be careful too as the livelihood level is medium. Local
authorities can arrest them or they can confront violence reactions from local authorities if they
continue the advocacy work. The team, therefore, uses this information to place in the Risk
Analysis Matrix as in the following:

High
Local authorities2do2not2
support2advocacy2work
Medium
Livelihood
Low
Low2 Medium High
Impact
Risk Analysis and Management Framework: use to analyze and manage risks, which consists
of risks, livelihood and impact, priority and reasons, and management.
a. Risks b. Livelihood & c. Priority & Reasons d. Management

impact
Developed goal Low livelihood, The livelihood is low, but it • Ensure proper
and objectives high impact possibly happens because of two problem,
are not well- reasons: objective and
responded to • Inadequate information for strategy analysis
the problems problem, objective and • Do context
and situation strategy analysis analysis on a
• Unpredictable situation and regular basis, for
context changes in the target example, every
areas quarter.
If one or both reasons occur, a

project can not be implemented
successfully because key
stakeholders, particularly the
beneficiaries loose interest and
do not participate.
Government Medium Local authorities will not allow Continue to develop

restricts the livelihood, communities to do any advocacy and strengthen
space of CSOs high impact activities which are sensitive to relationships with
with the the government’s performances. local authorities,
implementation using soft advocacy
of Law on Local authorities will not support approach.
NGOs communities in natural resources
(LANGO) management (NRM) as it affects
their benefits; they just use the
LANGO as pretext.

a. Risks b. Livelihood & c. Priority & Reasons d. Management
impact
Political Medium It is possible that political Keep key
instability livelihood, polarization will lead to a war or stakeholders updated
high impact violence that affects the entire on political situation
project implementation and staff and seek their
security. advices.
Risk Management Plan: use to develop a plan in risk management, which covers risks, priority,
actions, resources, lead or responsible person and timeframe.
Risks Prio Actions Resources Lead Timeframe

rity (every two months)
2 4 6 8 10 12
Developed goal 1 • Ensure Staff Assigned x x x x

and objectives are proper Finance Project
not well-responded problem, Stationery Manager
to the problems objective
and situation and strategy
analysis
• Do context
analysis on
a regular
basis, for
example,
every
quarter.
Government 2 Continue to Staff Head of x x X

restricts the space develop and Finance project/
of CSOs with the strengthen Stationery organization
implementation of relationships
Law on NGOs with local
(LANGO) authorities,
using soft
advocacy
approach.
Political instability 3 Keep key Staff Admin x x x x x x

stakeholders Finance officer
updated on Stationery
political situation
and seek their
advices.

Handout III: Objective Tree Analysis
1. What is an Objective Tree Analysis?

(Refer to problem tree in Problem/Project Identification)
An Objective Tree is a Problem Tree that is transformed into a set of future solutions to the
problems. Each negative problem is converted into an objective by rewriting it as a positive future
statement (see Johns Hopkins University (2013), Groenendijk, (2003)).
As the Objective Tree is transformed from the Problem Tree, the analysis of problems in the
Problem Tree from Problem/Project Identification (PPI) phase is the basis and starting point for
the Objective Tree analysis.
Problem Statements Objective Statements

Low agricultural production High agricultural production
Lack of medical staff in rural areas The number of medical staff in rural areas has
increased
The positive statements are in fact objective statements that can be presented in a diagram
showing a means – ends hierarchy, the objective tree. The analysis of objective tree aims (EC,
2004):
• Provide a clear overview of the desired future situation once problems have been
identified and reformulate into objectives;
• Verify the hierarchy of objectives;
• Illustrate the means-ends relationships in a diagram.
Problem Tree Objective Tree
Effects Ends
Causes Means
Negative Statements Positive Statements

Tree Image source: Clipartpenda
2. Reformulating Problem Statements into Objective Statements
Reformulating the problems into objectives has to be done very carefully. If a statement makes no
sense after rewording, write a replacement objective, or delete it, or leave the problem
unchanged. It is important to review the formulated objectives and the resulting objective tree

(Groenendijk, Planning and Management Tools: a Reference Book, 2003). This formulation is
further elaborated in the following examples:
• Problem statement: “lack of adequate rain levels” cannot be transformed into “adequate
rain levels available” because it is an unrealistic objective. We cannot intervene into the
natural phenomenon by predicting or hoping that there will be adequate rain. This
problem, however, could be rewritten as “irrigation system established and operational”
which sounds more realistic and can be intervened (Groenendijk, Planning and
Management Tools: a Reference Book, 2003).
• Problem statement: “river water quality is deteriorating” can be reformulated into “quality of
river water is improved”.
• Problem statement: “loss of confidence in public services” can be transformed into
“people’s confidence in public services is restored”.
• Problem statement: “public transportation is in bad condition” can be reformulated into
“public transportation is kept in good condition”.
Formulate the following problem statements into objective statements:
Problem Statements Objective Statements

Farmers lack know-how in organic farming
Community members are not aware of
HIV/AIDS prevention
High rate of alcohol consumption
High illiteracy rate of children from poor family
background
Youth do not participate in community
activities
Local community do not understand their roles
and responsibilities in natural resources
management
People do not save money for use in health
care or emergency situation
Youth do not like to read
Community members do not want to buy
health insurance
3. Steps in Formulating an Objective Tree
There are three main steps in formulating an Objective Tree (EC, 2004):
• Step 1: reformulate all negative statements of the problem analysis into positive
statements that are desirable and/or realistically achievable.
• Step 2: check the means-ends relationships to ensure validity and completeness of the
hierarchy; cause-effect relationships in the problem tree are turned into means-ends
linkages in the objective tree.
• Step 3: If necessary
▪ Revise objective statements
▪ Add new objectives if these seem to be relevant and necessary to achieve the
objective at the next higher level
▪ Delete objectives which are not apparently suitable or necessary

The following diagram illustrates a brief transformation of a problem tree into an objective tree
which uses “high staff turnover” as the main problem. It will be rewritten into a positive statement
as “reduced staff turnover” in the objective tree.
Delay in High rate of Unstable Project Low rate of Stable

project recurring team delivery meets recurring team
delivery recruitment members the deadline recruitment members
High staff turnover Reduced staff turnover
Unattractive Very Less

salary high Authoritarian Better salary Reduced
Authoritarian
package workload managers package workload
managers
Formulating of Objective Tree from Problem Tree can be summarized as:

Relationship: Causes-Effects Relationship: Means-Ends
Branches: Effects Negative statements are Ends: Objectives
rewritten into positive
Trunk: Main problem statements Trunk: Purpose/Objective/Outcome
Roots: Causes Means: Objectives
Once complete, the objective tree provides a summary picture of the desired future situation,
including the indicative means by which ends can be achieved. As with the problem tree, the
objective tree should provide a simplified but robust summary of reality. It is a tool to aid analysis
and presentation of ideas/objectives. Its main strength is that it keeps the analysis of potential
project objectives firmly based on addressing a range of clearly identified priority problems (EC,
2004).
4. Examples of Objective Tree
The following pages look at examples that transform problem tree into objective tree for the cases
of bus accident and river pollution.

From Problem Tree to Objective Tree
An Example of Bus Accident (adapted from Norad (1989) in Groenendijk (2003))

From Problem Tree to Objective Tree
An Example of River Water Quality (EC, 2004)
Problem Tree

Objective Tree

Handout IV: Project Strategy and Goal
1. Analysis of Project Strategy
“A strategy is a broad approach that has to be followed to achieve a goal.”

(WHO, 2011)
“Project strategy is a direction in a project that contributes to success of the project

in its environment.”
(Artto, Kujala, Dietrich, & Martinsuo, 2008)
During the strategy analysis, a decision is being made on which objectives can or will and which
objectives cannot or will not be pursued within the frame of the project. The starting point for
strategy analysis is the objective tree – which is transformed from the problem tree. The choice of
one ore more strategies is made on the basis of criteria which have to be agreed upon in the
project team and/or with the project stakeholders (EURIDA, 2014).
The following interrelated questions can be used to guide the analysis of project strategy (EC,
2004):
• Should all identified objectives be selected or only a few?
• What is the combination of interventions that most likely brings about the desired results
and promotes sustainability?
• What are the costs implications of different possible interventions, and what can
realistically be afforded?
• What is the most cost effective option?
• Which strategy will impact most positively the needs or rights of the poor and other
identified vulnerable groups?
• How can local ownership of the project be best supported, including capacity development
of local organizations?
• How can potential negative environmental impacts be best mitigated or avoided?
2. Criteria for Choosing a Project Strategy
In practice, a number of compromises often have to be made in order to balance different

interests of stakeholders or project team, project context, and practical constraints such as the
likely available resources. Nevertheless, choosing a project strategy can be tactically processed if
there is an agreed set of criteria against which to assess the merits of different intervention
options. A set of criteria could include ( (EC, 2004)and (EURIDA, 2014)):
• Expected contributions to a broad or national policy or goal such as in the area of poverty
reduction, economic integration, education, health, gender equality, environment, and so
on.
• Provide benefits to target groups including women and men, young and old, disabled and
able people.
• Complementary to other ongoing or planned programs or projects.
• Capital and operational cost implications, and local ability to meet recurrent costs.
• Financial and economic cost-benefit: costs produce deserving benefits.
• Contributions to institutional capacity building.
• Technical feasibility: strategy that is technically doable.
• Environmental impact: more environmental friendly or mitigate adverse affects.

Using these criteria will help to determine what should or can be included within the scope of the
project, and what should not or cannot be included. The selected strategy will then be used to
help formulate the first column – intervention logic or project summary – of the Logframe,
particularly in helping to identify the overall objective or goal, purpose or outcome, and results or
outputs (EC, 2004).
3. Examples of Project Strategy Selection
After agreeing on the criteria for choosing a project strategy, the project team and stakeholders
can start to look at the objective tree, apply the criteria, and then arrive at a selected objectives
path for the project, which is called project strategy selection.
Project Strategy Selection
Objective
Objective
Objective
Objective Objective
Ends
Objective Tree
Objective: Purpose
Objective: Positive
Statement
Means Objective Objective
Objective
Objective
Objective Tree Image source: Clipartpenda
We will look at two examples of project strategy selection in the cases of “improve the quality of
river water” and “reduced infant and maternal mortality rates”.
From the following diagram of a large scale project that aims to improve the quality of river water,
we can observe that:
• Use the objective tree as the basis of the strategy selection process.
• Some clusters in the objective tree can be formed or grouped as a theme.
• Not all objectives in the objective tree will be selected.
• In this strategy selection, the organization chose to intervene in “wastewater strategy” and
drop “waste or solid strategy”.
• The objectives obtained from the strategy selection will be further used in Logframe at the
next step.

Note: The Problem Tree of this example is already presented the “Example of Objective Tree” in
“Objective Tree Analysis”.
Source: (EC, 2004)
The next example looks at “high infant and maternal mortality rates” as the main problem:
• The analysis starts with a problem tree, then transformed it into an objective tree.
• Different objectives in the objective tree are clustered into corresponding themes.
• Objectives that do not match criteria of strategy selection of the organization are removed.
• The objectives obtained from the strategy selection will be further used in Logframe at the
next step.

Problem Tree Analysis: High Infant and Maternal Mortality Rates (ITAD, 1999)
Objective Tree Analysis: Reduced Infant and Maternal Mortality Rates (ITAD, 1999)

Strategy Analysis and Selection: Reduced Infant and Maternal Mortality Rates (ITAD, 1999)
Not Selected
Not Selected Not Selected
Not Selected
4. SMART Goal
A goal is a broad statement of the overall outcome(s) that the proposed plan is expected
to achieve (WHO, 2011).
A goal is a view of the end result of the project or anticipated outcome/purpose. Goals are
conceptual and abstract. Generally, each project should have only one goal (Sinclair Community
College, 2003).
A project goal can be obtained from the objective tree. A goal is the objective that is the “ends”
level. There can be a lot of goals at the “ends” level of the objective tree, the project team should
choose one or several among them. If more than one goals are chosen, they will be reformulated
into a new goal.
Objective
Objective Tree Objective
Objective Objective: Goal/Overall Objective
Ends
Objective: Purpose/Outcome
Means
Objective Objective Tree Image source: Clipartpenda

Some examples of project goal are:
• To reduce infant and maternal mortality rates.
• To improve public health services.
• To reduce traffic road accidents.
• To improve quality of general education.
• To strengthen food security in rural communities.
• To promote gender equality and empower women.
What is a SMART Goal?
According to WHO (2011), SMART refers to:

• Specific: identifies concrete events or actions that will take place.
• Measurable: quantifies the amount of resources, activity, or change to be expended and
achieved.
• Appropriate or Attainable or Achievable: logically relates to the overall problem
statement and desired effects of the program.
• Realistic or Relevant: provides a realistic dimension that can be achieved with available
resources and plans for implementation.
• Time-based or Time-bound: specifies expected time to be achieved.
When we have a goal, we can transform it into a SMART goal by using SMART in the above
explanation.
Transform the following Goals into SMART Goals

Goals SMART Goals
To assist countries in reducing
effects of soil erosion.
To develop institutional capacity
for organizations in the Lower
Mekong Sub-region.
Mobile network operator will
provide access to essential
information to low or middle-
income country.
To improve health services in
Thailand.
To increase access to education
and employment opportunities
for young people in rural
communities.

Handout V: Logframe
1. What is Logframe?
The Logical Framework is one of the principal tools used by the international development
community to help design projects to achieve measurable results. It was pioneered for USAID in
the 1970s and has since been widely adopted by multilateral and bilateral agencies, NGOs, and
governments (USAID, 2012).
The Logical Framework, or Logframe, or Logical Framework Matrix, consists of a table which has
usually four columns and four rows. The vertical logic identifies what the project intends to do,
clarifies the causal relationships and specifies the important assumptions and uncertainties
beyond the project manager's control. The horizontal logic relates to the measurement of the
effects of, and resources used by, the project through the specification of key indicators of
measurement, and the means by which the measurement will be verified (ITAD, 1999).
The Logframe is a vehicle for organizing a large amount of information in a coherent and concise
manner, assisting with the formulation, implementation, and monitoring and evaluation of projects
(USAID, 2012). The Logframe combines various components of a project such as overall
objective or goal or impact, purpose or outcome, results or outputs, activities, indicators, means of
verification, and important assumptions. Moreover, it helps in connecting all these components in
one framework, and presents the tight relationship among them (FundsForNGOs, 2010).
Logframe
Project Objectively Means of Assumptions

what the project intends to do.
Clarify the casual relationship
Summary Verifiable Verification (MoV)

Indicators (OVI)
Vertical Logic
Overall
Objective
Purpose
Results
Activities
Logframe: USAID (2012)
Horizontal Logic
The measurement of the effects of and resources used by the project
through the specification of key indicators of measurement (OVI), and the
means by which the measurement will be verified (MoV).
Different Terminologies Use for Elements of Logframe
Some organizations use different terminologies for elements of Logframe. The table below
summarizes these different uses. However, it should not cause any confusion because what
should be observed is the placement of those terminologies in relation to the levels of objective in
the Logframe.

Project Summary OVI MoV Assumptions
Objective: Impact Goal Overall
long-term Objective
Objective: Outcome Specific Purpose
short-term/immediate Objective
Results Outputs Results Results
Activities Activities Activities Activities
Different Terminologies Used
Elements of Logframe: Understanding the Terminologies
The Overall Objective should explain why the project is important to society in terms of the long
term benefits to beneficiaries and of the wider benefits to other groups (ITAD, 1999). It should
show how the project fits into sectorial or national goal or plan or policy, macro-level context, to
which the activities are designed to contribute ( (AusAID, 2005), (ITAD, 1999)). The Overall
Objective will not be achieved by the project alone, but will require the impacts of other projects
as well (ITAD, 1999). Examples of project’s overall objective are increased income, improved
nutritional status, reduced crime (AusAID, 2005).
The Purpose should address the main problem, and be defined in terms of the benefits to be
received by the project beneficiaries or target group as a result of utilizing the services provided
by the project (ITAD, 1999). Examples of project purpose include increased agricultural
production, higher immunization coverage, cleaner water, or improved legal services (AusAID,
2005).
Results refer to the tangible products such as goods and services produced by undertaking a
series of tasks as part of the planned work of the activity. The delivery of results or outputs should
be largely under management’s control (AusAID, 2005). The results should address the main
causes of the problems the target group faces (ITAD, 1999), and provide the conditions
necessary to achieve the project purpose (DFID, 2011). To ensure relevance of results, the
problem analysis should therefore have identified a beneficiary demand for project services
(ITAD, 1999). Examples of project results are irrigation systems or water supplies constructed,
children immunized, buildings or other infrastructure built, policy guidelines produced, and staff
effectively trained (AusAID, 2005).
Activities are the specific tasks to be undertaken in order to achieve the results. For example, for
a community to have a new water supply, the activities may include: forming and establishing a
water-user committee, writing water supply maintenance procedures, site preparation, collection
of local materials, tank construction and pipe laying, digging soak pits, and so on. However, the
Logframe should not include too much detail on activities, otherwise it will become too lengthy
and potentially prescriptive. If detailed specification is required, this should be presented
separately in a work plan but not all in the Logframe (AusAID, 2005).
Objectively Verifiable Indicators (OVI) or Indicators are measure of progress or lack of

progress used to assess progress towards meeting stated results or objectives. An indicator
should provide, where possible, a clearly defined unit of measurement and a target detailing the
quantity, quality and timing of expected results (AusAID, 2005). Examples of indicators are:
• Percentage of the population who live below the poverty line.
• Percentage of employment or unemployment of a particular group of the population.
• Number of training or workshop conducted.
• Number of promotional campaign materials (e.g. posters, fliers…) distributed.
• Percentage of the population who are infected by a particular disease (e.g. HIV/AIDS,
malaria)
• Number of children who are vaccinated.

• Number of students’ enrollments at primary or secondary education
• Number or percentage of women and men who are graduated from university.
In the Logframe table, we can also observe varying types of indicators which are related to
results/outputs, purpose/outcome and overall objective/impact.
Logframe Terminology Indicator Terminology

Overall Objective/Impact Impact indicators
Purpose/Outcome Outcome indicators
Results/Outputs Output indicators
Source: EC (2004)
Means of Verification (MoV) should clearly specify the expected source of the information we
need to collect. We need to consider how the information will be collected, who will be
responsible, and the frequency with which the information should be provided (AusAID, 2005).
Data sources can include:
• Project documentation such as training reports, partner meeting minutes, event reports,
field visit reports, campaign reports, workshop reports, and reports from focus group
meetings or key informant interviews.
• Government documents such as the national development plan or policies, sectorial
development plan, national statistics or surveys.
• Other documents from non-governmental organizations, donors, or the United Nations.
Assumptions refer to perceptions made about conditions which could affect the progress or
success of the activity, but over which activity managers may have no direct control. For example,
price changes, rainfall, land reform policies, non-enforcement of supporting legislation. An
assumption is a positive statement of a condition that must be met in order for objectives to be
achieved, while a risk is a negative statement of what might prevent objectives from being
achieved (AusAID, 2005).
The Logframe should provide a summary of the project design, the length of which will depend on
the scale and complexity of the project (EC, 2004).
Intervention Logic Objectively Means of Verification Assumptions

(Project Summary) Verifiable Indicators (MoV)
(OVI)
Overall Objective IF the purpose/outcome is achieved,
(Goal/Impact) THEN this should contribute towards the
goal/impact
Purpose
(outcome) IF outputs are produced, And assumptions
THEN the purpose/outcome will be achieved
Results
(outputs) IF the activities are undertaken, And assumptions
THEN outputs can be produced
Activities
IF adequate inputs are provided,
THEN activities can be undertaken And assumptions
Adapted from EC (2004) and USAID (2012)

The first column of the Logframe summarizes the ‘means-ends’ logic of the proposed project (also
known as the ‘intervention logic’). When the objective hierarchy is read from the bottom up, it can
be expressed in terms of (EC, 2004):
• IF adequate inputs or resources are provided, THEN activities can be undertaken;
• IF the activities are undertaken, THEN results can be produced;
• IF results are produced, THEN the purpose will be achieved; and
• IF the purpose is achieved, THEN this should contribute towards the overall objective.
The Progressive Relationship of Overall Objective

“if” and “then” from “inputs” to (long-term benefits)
“overall objective”
Purpose
(change resulting from results)
Results
(direct deliverables of activities)
Activities
(specific tasks)
Inputs
(resources, people, knowledge) Concept adapted from (UNODC, 2008)
If reversed, we can say that (EC, 2004):

• IF we wish to contribute to the overall objective, THEN we must achieve the purpose;
• IF we wish to achieve the purpose, THEN we must deliver the specified results;
• IF we wish to deliver the results, THEN the specified activities must be implemented; and
• IF we wish to implement the specified activities, THEN we must apply identified inputs or
resources.
2. Why Logframe is important for Project Formulation/Preparation (PFP)?
Logframe is important for PFP for a number of reasons (see EC (2004), Team Technologies
(2005), FundsForNGOS (2010), USAID (2012)):
• The use of Logframe or shared terminologies facilitate common understanding and better
communication among project staff and stakeholders – decision-makers, managers,
government, project partners, community members.
• It provides systematic information and logical analysis of a project through a framework
consisting of key interrelated elements, which as a result constitutes a well-designed
project.
• It is the core reference document to be used throughout the entire Project Cycle
Management. Project team normally uses Logframe in order to know what were planned,
what have to be implemented, what are the expected results, and to monitor whether
implementation follows planning.
• It ensures continuity of approach when the original project member resigns or is replaced.
• Some donors require a summary of project information in Logframe to be submitted with
the project proposal.

3. How to develop Logframe?
The results of problem, objective and strategy analysis are used as the basis for preparing the
Logframe.
Problem Tree Objective Tree Strategy, Goal – Logframe
Effects Objectives
Main Main
Problem Objective
Cause 1.1 Objective 1.1
Cause 1.1.1 Obj 1.1.1
Cause 1.1.2 Obj 1.1.2
Cause 1.1.3 Obj 1.1.3
The diagram above presents a development process from problems in the problem tree, to
objectives in the objective tree, to strategy selection through the use of the objective tree, and to
Logframe. The development process is elaborated in the following steps:
• Step 1: With project stakeholders, problems are identified and analyzed in the Problem
Analysis in Problem/Project Identification (PPI) phase. Many causes or problems at root
level contribute to a core or main problem, this main problem then creates other problems
at the branch level. All of these present a causes-effects relationship in the Problem Tree.
• Step 2: The Problem Tree is then transformed into the Objective Tree through rewriting of
problem statements into positive or objective statements. Causes-and-effects relationship
in the Problem Tree is transformed into means-ends relationship in the Objective Tree in
Project Formulation/Preparation (PFP). It is possible to restructure the objective hierarchy
if the ideas are good and the logic is sound. The number of levels in the objective
hierarchy or the exact formats used should not be of any great concern (EC, 2004).
• Step 3: The Objective Tree is next used for strategy selection where relevant objectives
are kept and non-related objectives are removed based on criteria of strategy selection
agreed among the project team and stakeholders.
• Step 4: The selected objectives after the strategy selection will be used in the Logframe
matrix or table.
The development process is summarized in the next table:
Step 1 Step 2 Step 3 Step 4

Session: Problem Session: Objective Session: Project Session: Logframe
Analysis Tree Analysis Strategy and Goal Tool: Logical
Tool: Problem Tree Tool: Objective Tree Tool: Objective Tree Framework Matrix
Phase: PPI Phase: PFP Phase: PFP Phase: PFP

Step 1 Step 2 Step 3 Step 4
Effects Objectives Objectives Overall Objective
Problems which are Objectives which are Selected objectives: Selected objective:
one or two levels one or two level above one or two level one or two level above
above the main the main objective. above the main the main objective. If
problem. objective choosing more than
one objectives,
combine them into one
new overall objective.
Main Problem Main Objective Main Objective Purpose or Outcome
Problem which Objective which arrives Selected one main One main objective.
arrives from many from many objectives, objective.
causes, roots, and means, and contributes
contributes towards towards other
the effects, objectives, ends.
branches.
Causes: level 1 Objectives: level 1 Objectives Results or Outputs
Problems which are Objectives which are Selected objectives: Selected objectives:
one level closer to one level closer to the one level closer to one level closer to the
the main problem, or main objective, or the main objective, main objective, or
direct causes to the direct objectives to the or direct objectives direct objectives to the
main problem. main objective. to the main main objective.
objective.
Causes: level 2 and Objectives: level 2 Objectives Activities
further down and further down
Problems which are Objectives who are two Selected objectives: Selected objectives:
two levels or further levels or further down two levels or further two level or further
down from the main from the main down from the main down from the main
problem. objective. objective. objective.
The Logframe summarizes ( (Taylor, Thin, & Sartain, 2003) and (LA GRA, 1990)):
• What are the specific tasks to be carried out?  Activities
• What the project is going to deliver?  Results
• Why a project is being proposed?  Purpose/Outcome
• How the progress or success of the project can be determined or measured? 
Indicators
• Where the information required to assess the progress of the project can be found or
verified?  Mans of Verification
• What are the potential issues which could affect the success of the project 
Assumptions
The Logframe also helps to indicate the degree of control managers have over the different levels
of the project’s objectives. Managers should have significant direct control over inputs, activities
and the delivery of results, and should be held appropriately accountable for effectively managing
theses elements of the project. However, managers can only exert influence over the
achievement of the project purpose or outcome through the way in which the delivery of results is
managed. Project managers generally have no direct influence over the contribution the project
makes to the overall objective or goal, and can only be expected to monitor the broader policy
and program environment to help ensure the project continues to be contextually relevant (EC,
2004).

Examples of Logframe Development
We will illustrate the development of Logframe on two examples: “improve the quality of river
water” and “reduced infant and maternal mortality rates” using results from strategy selection
step. These examples are also shown in the Project Strategy and Goal session.
Example 1: “improve the quality of river water” (EC, 2004)
In this example, the overall objective is formulated from the combination of “incidence of water
borne diseases and illnesses is reduced, particularly among poor families and under 5s1” and “to
improve the general health of the riverine eco-system”. The new overall objective becomes: “to
contribute to improved family health, particularly the under 5s, and to improve the general health
of the riverine eco-system”. The objectives marked in red are transformed into the Logframe table
as the following:
Project Summary Indicators MoV Assumptions

Overall Objective
To contribute to Incidence of water Municipal hospital and
improved family borne diseases, skin clinic records,
health, particularly the infections and blood including maternal
under 5s, and to disorders caused by and child health
improve the general heavy metals, reduced records collected by
health of the riverine by 50% by 2008 project teams.
eco-system. specifically among low
income families living
1
5s refers to families with children aged 5 and under.

along the river.
Purpose/Outcome
Improved quality of Concentration of heavy Monthly water quality The pubic
river water. metal compounds (Pb, surveys, jointly awareness
Cd, Hg) and untreated conducted by the campaign
sewerage reduced by Environmental conducted by the
25% (compared to Protection Agency Local
levels in 2003) and and the River Government
meets established Authority, and impacts positively
national health or reported monthly to on families’
pollution control the Local sanitation and
standards by end of Government Minister hygiene
2007. for Environment. practices.
Results/Outputs
Volume of waste-water 70% of waste water Annual sample survey Upstream water
directly discharged into produced by factories of households and quality remains
the river system by and 80% of waste water factories conducted stable.
households and produced by by Municipalities
factories reduced. households is treated in between 2003 and
plants by 2006. 2006.
Activities
1.1. Conduct baseline 1.1. Number of 1.1. Report of 1.1. Households
survey of households and baseline survey and
households and businesses who of households businesses
businesses. received and/or and businesses. respond to
1.2. Complete responded to the 1.2. Engineering the survey.
engineering survey. specifications
specifications for 1.2. Consultative document.
expanded Meetings 1.3. Tender
sewerage network. conducted with documents, call
1.3. Prepare tender stakeholders on for tender
documents, tender engineering announcement,
and select specifications. contract signed
contractor to 1.3. The number of with the
expand the tender applications rewarded
sewerage network. submitted, and the contractor.
1.4. Identify finally rewarded 1.4. Findings report
appropriate contractor. on appropriate
incentives for 1.4. Discussion forums incentives for
factories to use with factories on factories to use
clean the incentive of clean
technologies. using clean technologies.
1.5. Prepare and technologies. 1.5. Campaign
deliver public 1.5. Public information reports from TV,
information and campaign on TV, radio, social
awareness radio, social media. media.
program.

Example 2: “reduced infant and maternal mortality rates” (ITAD, 1999)
Strategy selection
Not Selected
Not Selected Not Selected
Not Selected
In this example, a new project purpose will be formed from the combination of “rates of infection
among babies & infants reduced”, “reduced incidence of acute birth complications”, and “rates of
postpartum & neonatal infection reduced”. The new project purpose becomes: “health status of
pregnant & nursing mothers, infants & babies improved”. Some elements marked in red are
transformed into the Logframe below.
Note: It is possible to restructure the objective hierarchy if the ideas are good and the logic is
sound. The number of levels in the objective hierarchy or the exact formats used should not be of
any great concern (EC, 2004).

Overall Objective
Infant & maternal Mortality rates reduced for National statistics
mortality rates reduced. under-1s, under-5s & from the Ministry of
pregnant & nursing Health before
mothers from X to Y by starting of the
2016. project, at mid-
term, and end
project evaluation.
Purpose/Outcome
Health status of • Incidence of post- • Hospital & Incidence of
pregnant & nursing partum & neonatal clinic records, infectious
mothers, infants & infection within health analyzed at diseases in the
babies improved. centers reduced from X the beginning, household
to Y by 2016. mid-term, and reduced.
• Rates of infectious the end of the

diseases (polio, project.
measles, tetanus) • Sample
among under-5s survey of
reduced from X to Y by target group
2016. conducted &
• Incidence of acute birth analyzed in
complications reduced years 1, 3 & 5.
from X to Y by 2016.
Results/Outputs
Quality & efficiency of • Number of patients • Hospital Pregnant &
secondary healthcare treated increased from records, nursing
improved. X to Y by 2016. analyzed mothers able to
• Average cost of quarterly. access cash to
treatment per patient • Client pay for
reduced from X to Y by satisfaction treatment.
2016. survey,
• Increased patient conducted
satisfaction with annually.
standards of care
Activities
1. Design & implement 1. The new procedures 1. Reports or Department of
new procedures for: that are in place and logs from the Health
• Personnel used. use of new maintains level
management procedures. of funding at
• Vehicle & pre-project
equipment levels in real
maintenance terms.
• Drug storage &
control Suitably
• Financial control qualified staff
& cost recovery willing to work
2. Design & implement 2. Number of training 2. Training in rural areas.
staff training program programs conducted. reports;
for: attendance
• Patient care lists.
• Hygiene
maintenance
• Basic accounting
• Data collection &
analysis
4. Recommended Formats and Tools for Logframe
Recommended Formats for Logframe
Some organizations, in relation to its size and/or scale of their project or program, use different
formats of Logframe. Although the Logframe matrix usually has four columns and four rows
(ITAD, 1999), which is already presented in the above sections, the number of columns and rows
can be added or removed according to the practical use and necessity of each organization.

Format four columns and three rows: no activity is included
In some cases, the Logframe should not include too much detail on activities, otherwise it
will become too lengthy and potentially prescriptive. If detailed specification is required, this
should be presented separately in a work plan but not all in the Logframe (AusAID, 2005).
In this case, the format can be used is four columns and three rows. To see an example of
this format filled with project information, see “Details of Tools, session V: Logframe”.

(1) (2) (3) (4)
(1)
Overall Objective
(2)
Purpose
(3)
Results
This format can also be presented as:

(1) (2) (3) (4)
(1)
Overall Objective
(2)
Purpose
(3)
Results
Format four columns and five rows: include activities and inputs
Some organizations add inputs – such as personnel, finance, equipment, infrastructure, and
so on – to show what are needed in order to carry out the activities. To see an example of
this format filled with project information, see “Details of Tools, session V: Logframe”.

(1) (2) (3) (4)
(1)
Overall Objective
(2)
Purpose
(3)
Results
(4)
Activities
(5) Personnel, finance, equipment, infrastructure, and so on.
Inputs

Recommended Tools for Logframe
Recommended tools that can be used in order to analyze information so that their results can be
used to develop Logframe are already presented in details, with their steps, in “3. How to develop
Logframe?”. In brief, the recommended tools are problem tree and objective tree.

Handout VI: Communication Plan
1. What is communication plan and its key elements?
Communication plan is the sixth step in PFP after Logframe development. Communication plan is
an activity plan describing how the project team is going to effectively communicate with each
other within the project and to those who engage with the project externally. There are two
communication plans: for internal communication and for external communication.
A communication plan that defines communication approaches the organization or program uses
to communicate with each other among all team members in order to keep them on track and
become more effective in their work is called internal communication plan (FRP, 2011).
The communication plan that defines communication means and approaches the organization or
program uses to communicate with communities and other stakeholders is called external
communication plan (CRS, 2013). It provides the project team guidance on how they can
effectively and productively communicate and inspire their stakeholders to become interest in
engaging in the project effort.
Key elements of communication plan are: communication objectives, audiences: internal or

external, key messages, communication means and approaches, communication activities and
time frame, and responsible persons; they will be explained in section “how to develop
communication plan.
2. Why communication plan is important?
According to various analysis in this module, from project scoping to Logframe, the project team
is able to:
• Identify relevant resources, context, and priority needs.
• Formulate an appropriate project’s Logframe project with clear strategy, goal, objectives,
and results, which responds to the identified problem and its root causes and effects from
the problem/project identification phase.
However, a project will not be able to proceed successfully unless all key stakeholders
understand it and support the project idea. That is why there is a need to communicate the results
of the above analysis to all relevant stakeholders in order to:
• Ensure the success of the project planning by engaging stakeholders in the process and
shaping the way in which the effort is perceived by everyone interested in and affected by
certain issues.
• Show respect to the people, to whom the project serves, will make it more likely
successful.
• Ensure systematic information sharing and two-way communication. Sharing information
helps establish trust and ownership among project team, partners, and the community;
manage expectations; encourage participation and collaboration; and ensure stakeholders
informed about program’s services and entitlements (CRS, 2013).
3. How to develop communication plan?
According to identified stakeholders in stakeholder analysis exercise in problem/project

identification phase, it is important to develop two communication plans: one for internal
communication and the other for external communication. It is recommended that the
communication plan should be updated regularly (Wallace Foundation, n.d.).

How to develop internal communication plan
An internal communication plan can be developed through the following steps:
1. Develop communication objectives: what do we want to achieve within the project,

in the communication analysis tool.
2. Identify internal audiences who engage directly within the project. In principal, they
include staff, management team, board of directors, advisory committee, and so
on; in the communication analysis tool.
3. Design key messages: what messages need to be communicated within a project,
in the communication analysis tool.
4. Select communication means and approaches: how can we communicate with
each other within a project, and what communication means we need to use, in the
communication analysis tool.
5. Make sure that it is a two-way communication: which of your communication
methods allow dialogue and feedback from each other?
6. Identify communication activities and develop their time frames: what need to be
done, and when in the communication activity tool.
7. Implement communication plan: what to do, when and who will do in the
communication activity tool.
8. Develop a budget: what budget will be required for the developing and
implementing the communication plan in the communication budget tool.
9. Monitor the results and look for ways to improve: what can we do to make sure
that we can achieve the communication objectives within a project effectively in
communication monitoring tool.
How to develop external communication plan
The following steps show the process of developing an external communication plan (CRS,
2013):
1. Develop communication objectives: what do we want to achieve in term of external
communication, in the communication analysis tool.
2. Identify external audiences: who do we want to influence and how can we reach
them, in the communication analysis tool.
3. Design key messages: what message we want to send to them, in the
4. Select communication methods: how can we send message to them in the
5. Plan for a two-way communication: which of your communication methods allow
dialogue and opportunities for feedback, in the communication analysis tool.
6. Identify communication activities and develop time frame: what need to be done?
And when, in the communication activity tool.
7. Implement communication plan: what to do, when and who will do, in the
communication activity tool.
8. Draft a budget: what budget will be required for the developing and implementing,
in the communication budget tool.
9. Monitor the results and look for ways to improve: what can we do to make sure that
we can achieve the communication objectives effectively, in the communication
monitoring tool.

The following table summarizes the nine steps of conducting communication plan, which can be
applied to both internal and external communication.
Steps What How

1 Identify Stating identifying objectives will The questions below will help the team
objectives keep the communication plan to identify communication objectives:
focused. Written objectives can • What is main purpose for
be shared among team communicating key program
members so they understand messages? What do the project
why the communication plan is want to accomplish?
important to the project’s
success. The key to developing objectives is to
use SMART: Specific, Measureable,
Achievable, Realistic, and Time-bound.
2 Choose target Target audiences are the groups Think about the project’s audiences.
audiences of people that the team wants to Which groups of people may (1) have
receive the messages. an effect on the activities or (2) be
affected by the activities. Identify which
Sometimes the target audiences groups exist at the community level
can be a single, homogenous and which group exist outside the
group of people. In other cases, community.
a project may have multiple
audiences.
3 Design key Key messages are the most Identifying key messages will help the
messages concise statement of the project team extract essential
message the project wants the information that is essential to achieve
target audience to receive. the objectives:
• What are the key messages the
Key messages should be clear, project wants to communicate to
benefit-oriented, and written in a their audiences?
language that the target • What do people need to
audiences can understand and understand in order for the project
relate to. to succeed?
• What would the project want to
Key message are important know about the audiences?
because they help everyone to • Is there any information that should
focus on exactly what is being not be shared, given the context?
communicated.
Make sure the team knows their
audiences: their current awareness,
knowledge and attitudes. Keep the
messages short, simple, concise and
consistent (CFNG, n.d.)
4 Select Context, objectives and target Selecting communication methods:

communication audiences will determine what • What methods will the team use to
methods and communication methods will be communicate the messages to the
approaches most suitable. Ideally, the target audience?
project should aim to prioritize • How will each method work?
two to four key methods, with a • Do the selected methods pose any
combination of oral and written risks to staff or community
methods. members?
Written options: leaflets and flyers,

Steps What How
posters, distribution cards, SMS,
newspapers, and social media.
Oral options: phone call, community

meeting, community committees, radio,
theater, hotlines or help desks, and
door-to-door community mobilizers.
Reflect on the factors that will affect

different communication methods:
• Local situation: existing
communication channels and
accessibility means in the
community.
• Target audiences: methods
preferred by community members
(consult with the community as
soon as the situation allows),
information needs of different
audiences, level of literacy among
men and women, and ways to
reach out to vulnerable groups.
• Risk management: if there’s a risk
that information will be
misunderstood, and if
communication methods could put
staff or community members at
risk.
• Available resources: human and
financial resources available for the
communication.
Two-way communication: gathering

feedback while sharing information.
5 Plan for a two- Two-way communication The team can informally gather
way promotes dialogue and allows feedback as part of other activities.
communication organizations to gather ideas, • Which communication method
suggestions and feedback from allows dialogue with the community
target communities. This can and opportunities for feedback?
help the team adjust the project • How will the project team
to better fit people’s needs. communicate and provide feed
back to each other?
• How will the field team collect and
document feedback?
• How will program receive the
feedback? How often?
• How will the program communicate
its responses to the community?
6 Identify A key component of the Communication at all stages of the

communication communication plan is to set out project is important:
activities and tasks to be done, timelines, and • What are the key activities in
develop time responsible person. project? Which ones need to be
frame preceded by information sharing?

Steps What How
People need to be informed • When will the project share
about key developments so they updates with the different
will be able to make the most of audiences?
the program.
The project should communicate

with community members
throughout the project,
especially before starting key
activities, before making
changes to the project and upon
encountering delays.
7 Implement the The team may need to use a Consider the order in which different
plan variety of activities in order to stakeholders will need to know
roll out communication plan. information. For example, the team
needs to be informed before informing
the key stakeholders.
• What key activities will the team
need to complete in order to roll out
this communication plan?
• Do certain target groups need to be
informed before others?
• Who will take the lead for each
activity?
Think about who will be responsible: to

manage the communication plan,
develop communication materials, to
share messages and gather feedback
from the community, to communicate
with stakeholders, and to review
whether the communication approach
is effective.
8 Draft a budget Depending on the budget, the Sometimes the project budget has a
team may need to be more budget line available for media or
strategic in order to invest in external relation expenses,. Check
communication plan that is whether that is available.
effective and efficient. • What is in the budget?
• Can costs be integrated into the
project budgets as it is being
developed?
• How much the team expect the
plan to cost?
9 Monitor the Review communication plan Before implementing the plan, the
results and look during and after its team should decide how and when to
for ways to implementation in order to review it. This reminds staff that it’s
improve ensure: important to learn and improve over
• Accountability: to know time.
achievements and areas for • What methods will the team use to
improvement. decide whether each
• Improvement: to know what communication approach is
worked and what did not. effective?

Steps What How
• Who will be responsible for
developing the review criteria and
making the review happen?
Methods for Reviewing

If the communication approach is
effective, the review can be brief:
observation, talking to staff, and talking
to the community members (Chazaly,
2011).
Recommended tools in developing communication plan consists of communication analysis,

communication activity, communication budget, and communication monitoring; they can be used
for both internal and external communication.
Communication Analysis: objective, list of internal audiences, level of influence,

messages and methods.
N Internal Influence Messages Methods

Audiences on project
Objective: all staff in the entire project communicate effectively with each other.
1. Between Primary • Work plan and budget • Regularly team
staff and stakeholders • Project progress report meeting
manager • Situation update • Regular individual
• Financial report meeting
• Update from target • Hard copy
communities • Electronic copy
• Roles and • Email
responsibilities • Smart phone Skype
• Scope of decision
making
• Cooperation with
others

N Internal Influence Messages Methods
2. Between Primary • Strategic plan • Regularly team
staff and stakeholders • Work plan and budget meeting
head of • Project progress report • Regular individual
project/ • Situation update meeting
organization • Update from target • Hard copy
communities • Electronic copy
• Cooperation with • Email
others • Smart phone
• Relationship with
donors
• By-law and policies
• Financial management
• Government policies
and regulations
3. Between Primary • Situation update • Regularly team

staff and stakeholders • Update from target meeting
staff communities • Individual and case
• Cooperation and by case meeting
coordination plan • Email
• Smart phone
4. Between Primary • Strategic plan • Regularly meeting

head of stakeholders • Roles and • Case by case
project/ responsibilities meeting
director and • Scope of decision • Email
Board of making • Smart phone
Directors • Proposal and master • Skype
budget plan
• Work plan and budget
• Project progress report
• Situation update
• Financial management
system and report
• Update from target
communities
• Project evaluation
report
• By-law and policies
• Cooperation with
others
5. Between Primary • Situation update • Regular meeting

staff/project stakeholders • Brief project progress • Email
manager update • Smart phone
and Board of
Directors

Communication Analysis: list of key external audiences, levels of influence, messages,
and methods of communication.
N External Influence Messages Methods

Objective: to strengthen communication and relationship with donors and relevant
government ministries.
1 Donors Primary • Project proposal and • Hard copy
stakeholders budget • Electronic copy
• Project progress report • Email
and update • Smart phone Skype
• Story of changes • Facebook
• Financial report
• Project evaluation
report
• Financial audit report
2 Target Primary • Brief and simple project • Hard copy
communities stakeholders plan • Pictures for people
• Brief project evaluation who cannot read
report nor write
3 National Secondary • Proposal and budget • Hard copy
government stakeholders • Project progress report • Email
and update • Smart phone
• Brief financial report
4 Local Secondary • Brief and simple project • Hard copy

authorities stakeholders plan • Smart phone
• Brief project progress
report
• Brief project evaluation
report
5 Social media Secondary • Case by case • Press conference
stakeholders • Brief relevant texts • Email
• Smart phone
6 Public Secondary • Work plan • Hard copy

sectors stakeholders • Relevant cooperation • Electronic
plan • Email
• Project progress report • Smart phone
7 Private Secondary Cooperation plan • Hard copy
sectors stakeholders • Electronic
• Email
• Smart phone

Communication Activity: includes activities, lead person, and timeline. The example
below is for internal communication; the audience is internal to the organization.
Activities Lead Timeline 2017

(1: January,… 12: December)
1 2 3 4 5 6 7 8 9 10 11 12
Staff submit Project 15th

project annual manager
report for 2016
to Head of
organization
Communication Activity: includes activities, lead person, and timeline. The example
below is for external communication; the audiences are external to the organization.
Activities Lead Timeline 2017

(1: January,… 12: December)
1 2 3 4 5 6 7 8 9 10 11 12
Submit Head of 5th

annual report project/
to Ministries organization
Regular Assigned 30th 30th 30th 30th
Skype manager
meeting
between
management
team and
donors
Communication Budget: covers items, cost per unit, no of units, and total cost. The
following example can cover both internal and external communication.
No Items Cost per Unit No of Units Total cost
1 IT support UDS150 12 USD1,300
2 IT services USD30 12 USD650
3 Materials USD10 12 USD120
4 Transportation USD20 12 USD240
Total UDS2,210

Communication Monitoring: includes internal and external audiences, key messages, source of data, data collection, frequency, and
responsibility.
Objective 1: To ensure effective internal and external communication
Audiences
Data collection
Key messages
Source of data
Responsibility
Frequency
Indicators
Internal
Staff and head • Financial Staff understand and • Reports • Review report Every 3 moths Assigned manager
of project/ policy adhere to policies • Staff • Interview staff
organization • Staff policy • survey
• By-law
External
Report to Achievements The understand the Feedback from • Feed back Annually Assigned manager
Ministries and challenges of project achievement Ministries • Follow up by email or head of the
project and challenges or phone organization
• Meeting
Report to Achievements The understand the • Feed back 6 monthly Head of
donors and challenges of project achievement Feedback from • Follow up by email project/organization
project and challenges Donors and Skype
meeting

Handout VII: Formulation of Monitoring and Evaluation Plan
(Additional Comments: Consultant number 2 should follow consultant number 4)
1. What formulating M&E plan is?
Formulation of monitoring and evaluation (M&E) plan is a process of developing a clear plan for
monitoring and evolution of a project. Planning for monitoring and evaluation is also a part of
overall project planning process.
Monitoring is an ongoing process by which stakeholders obtain regular feedback on the progress
being made towards achieving their goals and objectives. A monitoring plan acts as a tool to
develop the logical framework into a practical, deliverable plan. It allows gaps in the plan to be
identified, it allows the practicalities of the monitoring approach to be assessed, and it ensures
that the responsibility for monitoring each indicator has been defined (Natural Solutions Pacific,
2013)
Evaluation is a rigorous and independent assessment of either completed or ongoing activities to

determine the extent to which they are achieving stated objectives and contributing to decision
making. Regarding an evaluation plan, you will need to do at least two evaluations in the course
of the project or program – mid-term evaluation and final evaluation. Key aspects of evaluation
are: relevance, effectiveness, efficiency, impact, and sustainability.
Monitoring and Evaluation Plan concerns setting up the systems and processes necessary to
ensure the intended results are achieved as planned. In addition, M&E plan provides the
information needed to assess and to guide the project strategy, to ensure effective operations, to
meet internal and external reporting requirements, and to inform future programming (UNDP,
2009).
2. Why is it important for formulating M&E plan?
Formulation of monitoring and evaluation plan is the sixth step in PFP. It is important to have a
clear plan for monitoring and evaluating the progress, achievements and results of a formulated
project prior to project implementation.
Monitoring and evaluating a project with clear monitoring and evaluation plan enables a project
team to know whether the intended results are being achieved as planned, what corrective action
may be needed to ensure delivery of the intended results, and whether initiatives are making
positive contributions towards human development – effectiveness, efficiency, and impact. It is an
essential management tool to support a project team to commit to accountability for results,
resources entrusted to it, and organizational learning. In other words, it aims at:
• Ensuring planned results are achieved;
• Improving and supporting management;
• Generating shared understanding;
• Generating new knowledge and support learning;
• Developing the capacity of those involved
o Motivate stakeholders
o Ensure accountability
o Foster public and political support (Woodhill, 2000)
• Enabling a project team to know what and when should be done;
• Helping in mitigating and managing crises, and ensuring smoother implementation.
• Improving focus on priorities and leading towards more efficient use of time, money
and other resources;
• Helping in determining what success will look like.

3. How to formulate M&E plan?
There are nine steps in formulating an M&E plan:
Step 1: Develop project intervention and framework which includes:

• Project goal: a highest level and wider expectation of change to which the successful
achievement of different projects will contribute. The goal is normally written as a
statement of the long-term impact of a project.
• Project objectives: positive statements of a desired future condition to be achieved and
which contribute towards project goal.
• Project outputs: a set of products or results of activities. They are written as immediate
or intermediate results of a project.
• Project activities: an action or set of actions, which are to be carried out to achieve the
project objectives. They are written in a way that express as processes.
• Inputs: resources for implementing activities.
Example of Project Intervention
Inputs Activities Outputs Objective Goal

(outcome level) (Impact level)
• Funding • Select • 3 gender To develop To promote

• Time communities trainings capacity of women gender equality
• Training/ • Select focal provided to 60 on leadership in and equity in
meetings persons men and order that they are development of
• Human • Train focal women in 5 able to take communities
• Materials persons communities leadership roles in and to increase
• …. • Train • 10 Gender their communities participation of
communities focal persons, women in
5 of whom are leadership in
women society
selected and
trained
Indicators (SMART indicators)
• 3 trainers • Number of For example: 35 • By the end the Increase in
• 3 trainings activities out of 56 project, 50% of number of
on gender achieved participants, 20 of women in the communities
and • Number of whom are target areas who
leadership trainers women, would be are more vocal demonstrate
• 60 provide able to apply in decision respect for
trainees, trainings what they have making in their women
30 of • Record of learnt to the families and in
whom were expenditures communities. communities
women. • 30% of men in
• Budget target areas
plan helped their
wives in doing
domestic work.

Step 2: Develop SMART indicators of the project intervention for monitoring and evaluation
purpose (see example of these indicators in the example of project intervention above).
• Input indicators: resources or activities devoted to the project.
• Activities indicators: a set of activities that are carried out.
• Output indicators: identify immediate or intermediate results of the project.
• Outcome Indicators: refer to changes as a result of the project.
• Impact Indicators: long term results and changes of a program/project.
Step 3: Identify information or data needed for monitoring, what information do we need? It mainly
focuses on outcome/purpose and impact/goal.
Step 4: Identify informants, who can provide us information we need?
Step 5: Identify data collection methods, how do we collect data?
Step 6: Identify responsible persons and time: who is responsible for what and when?
Step 7: Identify data analysis methods, how to analyze data
Step 8: Identify report writing process, how to write report and how to disseminate it?
See an example of an M&E plan at the next page.

Example of a Monitoring and evaluation plan
Information informants Data collection Responsibility Frequency Data analysis Reporting

needed
What do we Who can How to collect data? Who will do? How often? How to analyze How to
need? provide? data? report?
• Significant Women • Semi-structured • Field staff • Ongoing (for • Quantitative See internal
changes that who interview • Trainers monitoring) data analysis versus
enable more received • Focused group • External • When there is • Qualitative external
women to training discussions consultants external data analysis reporting
participate in • Observation in (if evaluation) evaluation • Analyze on a
decision communities quarterly
making • Informal dialogue basis for
• Significant Community • Semi-structured • Field staff • Ongoing (for monitoring
changes that people interview • Trainers monitoring) purposes
occurred at • Observation in • External • When there is • Periodically
national and communities consultants external analyze
local levels • Informal dialogue (if is evaluation) evaluation according to
such as Focal • Semi-structured • Trainers • Ongoing (for evaluation
policies that persons interview • External monitoring) plan.
promote • Focused group consultants • When there is
increased discussion (if evaluation) external
leadership • Observation in evaluation
roles communities
• Informal dialogue
Local Semi-structured interview • Field staff • Every 6 moths (for
authorities • Trainers monitoring)
• External • When there is
consultants external
(if evaluation) evaluation
Authorities Semi-structured interview • Trainers • Annually (for
at national • Senior staff monitoring)
level • External • When there is
consultants external

Information informants Data collection Responsibility Frequency Data analysis Reporting
needed
Relevant Semi-structured interview • Trainers • Annually (for
department • Senior staff monitoring)
and • External • When there is
ministries consultants external
Internal versus External Reporting
Internal Reporting External Reporting

Primary audience is the project/program team and the Primary audiences are stakeholders outside of the immediate team/organization
organization in which it operates. (e.g. donors, beneficiaries, partner organizations, international NGOs, and
governments).
Primary purpose is to inform ongoing project management and Primary purpose is typically for accountability, credibility, to solicit funds, to
decision-making (monitoring reporting). celebrate accomplishments and to highlight any challenges and how they are
being addressed.
Frequency is on a regular basis according to project monitoring Frequency is less often, in the form of periodic assessments (evaluations).
needs.
Content is comprehensive in content, providing information that Content is concise, typically abstracted from internal reports and focused on
can be extracted for various external reporting needs. communication points (requirements) specific to the targeted audiences.
Format is typically determined by the project team according to Format is often determined by external requirements or preferences of intended
what will best serve the project/ program needs and its audiences.
organizational culture.
There will be a detail discussion on monitoring report in Module 4: Project Monitoring & Evaluation.

Handout VIII: Work Plan and Budget Plan
1. What is a work plan?
A work plan, sometimes called a project plan, outlines in specific detail how a project will be
conducted, who will work on which part, and when and in what order each part will be
accomplished (Perelman, Barrett, & Para, 2001).
Work plans, often shown as Gantt charts, show all the tasks involved in a project, who is
responsible for each task, and when the tasks will be completed (Tools4dev, 2014).
2. What types of a work plan and its elements?
There are several types of a work plan: a weekly work plan, a monthly work plan, and an annual
work plan.
• A weekly work plan is a short-time work plan for one-week duration. This work plan is
normally done by a team member. It is used when small scale activities need to be
monitored closely.
• A monthly work plan is a one-month basis work plan which is normally used at team level
or at a project level. A team member can do a monthly work plan, and the project
coordinator or manager will consolidate all of them in order to form a team or a project
monthly work plan.
• An annual work plan is a work plan that is used at a project level or at an organizational
level. At a project level, it looks at all activities and resources that a project need for a
period of one year. At an organizational level, it combines all projects and resources that
the organization needs for a period of one year.
An annual work plan is a detailed plan of activities to achieve a specific set of results
during a particular year. A well prepared annual work plan provides a clear plan of action
that links resources, activities and responsibilities to results. It should identify who does
what, why, when, how, where and with what resources (CARE, 2007).
When you prepare an annual work plan, it is essential to involve project management,
program support and relevant project stakeholders as you determine what needs to be
implemented during the year, the time frame and the cost involved. The produced work
plan should indicate the principle activities that will be carried out during the fiscal year,
with a timeline or schedule for execution (CARE, 2007).
In some organizations, an annual work plan also includes expected results and planed
budget. An annual work plan can be as complex as or as simple as the organization want
it to be. It is created in order to oversee planned activities, expected results, the allocation
of human and financial resources, all of which have to be carried out or achieved within a
limited time frame.
Whether it is a weekly or monthly or annual work plan, an organization should have agreed on a
work plan template, so that different work plans across the organization can be consolidated, and
be easily understood by all staff members.
Most work plans of a project include the following elements (Perelman, Barrett, & Para, 2001):
• A short description of the project's objective.
• A list of personnel participating in the project.

• A breakdown of the project into specific tasks, with indications of which tasks are
dependent upon the completion of others.
• A schedule indicating when each task will be started and when it will be completed and
who will perform it; this information may be represented as an annotated bar chart.
3. Benefits of work plan
A work plan provides the following benefits (see Ridely (2012), Tools4dev (2014)):
• Define required resources in terms of persons and time: who are required to do the tasks
or activities, how many persons or team members are needed, how much time is needed
or can be allocated.
• Define roles and responsibilities: who is doing which tasks and therefore s/he is
responsible for their tasks.
• Clarify expectations: which results can be expected and from whom.
• It can be used as a monitoring tool to check whether the project is on-track, once it is
started.
4. Examples of different work plan formats
We will look at various examples of different work plan formats. Firstly, however, in doing or
designing a work plan, we need to:
• Use identified activities, possibly with purpose or outcome, from the Logframe in order to
plan what will be carried out and the time frame of the project.
• Arrange identified activities and the time frame in a format of Gantt chart by using MS
Excel or MS. Project.
Example 1: “Improve the Quality of River Water” from Logframe session.

• List main and sub activities to be carried out and set corresponding the time frame.
Example 2: An annual work plan listing activities a team must carry out from January to
December in 2016 of Capacity Development Project:
• Accompany by each activity is the number of days that a team member has in order to
complete their assigned activities.

• An activity can be jointly implemented by different team members and is assigned to a
lead person who has the overall responsibility.
• By having the number of days, this annual work plan presents also the total workload of
all team members in a year.
Example 3: This example from Tools4dev presents a work plan in multiple years. Each task has
an assigned person and can be tracked as not started, or in progress, or complete, or overdue.
5. What is a budget plan?
A budget plan is a document that outlines planned and estimated expenditures of a project for a
specific period of time. In some cases, a budget plan can include money that organization
expects to generate, which is listed as “expected incomes”. This is important for organizations
who have income generation activities from providing of services such as health or restaurant, or
from selling handcrafts or agricultural products. In this case, the budget plan will also show how
much an organization estimates to generate, and how much is needed to cover all expenses in
order to carry out the planned activities within a period of time (FundForNGOs, 2011)).

The budget plan is also a principle document that project team needs to use at the project
implementation phase before making actual expenditures as they have to check whether the
items were included in the budget and for which amount. A budget plan normally reflects on
project activities and resources required in order to implement a project. A proper and well
planned budget is required to convince a project donor when you need to request their funding
(adapted from FundforNGOs (2011)).
6. How to develop a budget plan?
There are some points to consider when starting to develop a budget plan (adapted from
FundForNGOs (2011)):
• It should be developed upon a certain base. In most cases, the basis should be the
previous year’s budget plan with updated costs and items for the current year.
• It is a joint team work. If you are a project manager, you will need to develop a budget
plan at least with a financial officer who can provide you with updated information that you
need and who can ensure that it also complies with internal financial policy, if exists. If
your project is jointly implemented with other partners, you will need to develop a budget
plan with their consultation.
Types of costs that can be included in a budget plan (adapted from (FundForNGOs, 2011)):
• Core or Administrative Costs: they are costs occurring towards the operational expenses
of the organization, which include administration staff, office rental, stationery, utilities, and
other office maintenance expenses.
• Project Costs: they are expenses that have to be met in order to implement activities of a
project. For example, organizing a village meeting, conducting a training or workshop,
policy lobbying and meeting, radio talk shows, conducting awareness campaign,
publishing research findings, materials or equipment that need to be bought for a project,
and so on.
In case of applying for a grant from a donor, you will need to check their budget guidelines, and
correctly follow their budget plan template or format, in order to know:
• The total amount of funding that can be asked.
• The duration of the funding: on one year or multiple year basis.
• What items and costs can be or cannot be included?
• The maximum percentage or ceiling amount that you can ask for administrative or core
costs and project costs.
After considering the above points, in order to develop an actual budget plan, there is a need to
check if “inputs” information is included in the Logframe matrix or not. If it is included, it would
indicate at least some main costs and their items. The activities listed in the Logframe or in a work
plan are needed to use as items in the budget plan.
Example 1: “Reduced infant and maternal mortality rates” from the Logframe or work plan, the
activities of which will be used to develop a brief budget plan as in the following:
• The budget plan contains two main costs: administrative costs and project costs.
• Items: lists all items on which the project needs to spend.
• The unit: elaborates type of item which can be person, month, or days.
• Frequency per year: explains how often a payment must be made for an item in one year.
• Shared %: this project can ask for 20% of cost sharing for administration while items
under the project costs can be covered until up to 100%.

Example 2: The following example shows a brief budget plan of Capacity Development Project
for 2016:
• The budget plan contains two main costs: administrative costs and project costs.
• Items: lists all items on which the project needs to spend.
• The unit: elaborates type of item which can be person, month, or days.
• Frequency per year: explains how often a payment must be made for an item in one year.
• Shared %: this project has 25% shared cost for administration while items under the
project costs can be covered until up to 100%.

Handout IX: Elements of Project Proposal
1. What are elements of project proposal?

(keep in mind gender-mainstreaming and other cross-cutting issues)
The elements of project proposal are the final step in project formulation/preparation because it
packages all information and analysis identified in problem/project identification and project
formulation/preparation for communicating with stakeholders and selling to potential donors and
supporters.
The elements of project proposal are a document which explains a clear strategic direction of
project, why the project exists in a particular situation, what kind of problems the project attempts
to address, what make the project successful, and what are the required resources.
It is also important to consider gender integration in all aspects and processes of Project
Formulation/Preparation, for example, in making sure that the project goal and objectives aim
towards bringing positive impacts on women and girls. This can be clearly seen through having
the number of women and girls included in the ultimate results and represented at the different
levels in the Logframe. Additionally, other cross-cutting issues such as climate change, natural
resources management, and people with disability should be considered and/or included.
A project proposal is a detailed description of a series of activities to be implemented in

response to particular problems and context (Nebiu, 2002).
2. Why is it important to know about the elements of project proposal?
Since a project proposal is a tool for communicating and presenting the details of a particular
project to stakeholders and donors in order to attract their interest and support, it is important to
know what key elements, which have to be included, could be of interest to them.
It is important to know about the elements of project proposal as they provide a comprehensive
and complete picture of the entire project to be implemented within a certain timeframe. They also
contain instructions and guidance on how to implement a project successfully with high standard
of quality. Elements of proposals are important that can be compared to a compass and a map for
a ship in the ocean.
3. How to develop a project proposal?
A proposal is a detailed description and conceptualization of all information and analysis from
problem/project identification and project formulation/preparation. A project proposal development
process, therefore, includes:
a. Pre-Proposal Writing
• Step 1: Analyze situation

• Step 2: Conduct a feasibility study (it can be optional for small projects)
• Step 3: Analyze stakeholders
• Step 4: Analyze problems
• Step 5: Conduct project scoping
• Step 6: Conduct risk analysis and management
• Step 7: Analyze objectives
• Step 8: Develop project goal and strategy
• Step 9: Develop a project logical framework (Logframe)

• Step 10: Develop communication plan
• Step 11: Formulate M&E plan
• Step 12: Develop work plan and budget plan
b. During Proposal Writing
• Step 13: Proposal Narrative (YC, n.d.)
o Write a project tittle: the project title should be short, concise, and preferably
refer to a certain key project result or the leading project activity. Project titles
that are too long or too general fail to give the readers an effective snapshot of
what is inside.
o Project period: give a brief information about when the project will start and
end.
o Write a project justification: write a brief description of the rationale; why the
project is needed; problem statement and priorities the project is striving to
address; a short explanation about key interventions and approaches to be
implemented using information and analysis from step 1, 2, 3, 4, 5, 7 and 8;
and how the project aligns with the vision and mission of organization. It is also
very important to provide briefly on how to monitor and evaluate the project.
o Write project goal: using information from step 8, write a short description
about highest level and wider expectations of change to which the successful
achievement of different projects will contribute. It is normally written as a
statement of the long-term impact of the project (LRC, n.d.).
o Write project objectives: using information from step 7, write short description
of positive statements of a desired future condition to be achieved. It
contributes to the goal. Objectives have to be SMART2. It doesn’t mean that
the objective itself has to cover every thing to become SMART, but to ask
question and consider the following points:
▪ Specific: what are specific things to achieve?
▪ Measurable: can the desired achievements be measured and how?
▪ Achievable: can the desired achievements can be reached?
▪ Relevant: how well is the project relevant to the needs and the
context?
▪ Time bound: can the objectives be achieved within a set timeframe?
o Write a description of project activities: using information from step 8,
describe a set of actions to be carried out. They express as a process and
have to be done in order to achieve the objectives. The key question to ask in
order to identify activities is “what to do to achieve the objectives?”
o Write a description of project results: using information in step 9, describe a
set of objectives the project will bring at the end of the implementation period. It
is important to provide a brief description of the impact as the ultimate results,
what will positively happen, after the project ended. Using the theory of change
to explain the results chain would also be helpful.
o Write a project implementation plan: using information from step 8 & 9,
provide a brief description of how the project activities will be carried out within
a clear time frame. It is also important to provide some information which
explain how the project activities can be achieved.
o Write previous experience of similar project: it is very crucial to provide a
brief description of previous similar experience of the project staff and explain
2
How to set Performance Objectives, May 2012: http://www.workingatmcmaster.ca/med/document/HRLinc-How-to-Set-Performance-
Objectives-1-73.pdf

how they are going to apply their experience and lessons learnt to make the
proposed project to be successful.
o Write a short resource mobilization description: write a brief description of
resource mobilization strategy and plan, which is to ensure that the project will
have enough resources to achieve its objectives. It is vital to remember that
resources mobilization is more than proposal writing and requires assigned
responsible person(s). The resource mobilization strategy also needs to be
reviewed on a regular basis.
o Write project sustainability: it is important to explain briefly how the project
will continue after the proposal period ended or if the project will be able to
secure funding support from other funding agencies; this is to ensure that the
project will be carried out in the long run. Related information to use is from
step 1.
o Write project personnel: it is very crucial to provide a description of staff
management plan which consists of the number of staff, and skills and
qualifications required for the entire project. Ideally, structure follows strategy.
In other other words, firstly, there is a need to develop a clear strategic plan
and project implementation plan, and then, based on the project
implementation plan, identify the number of staff and qualifications required.
Related information to use is from step 1 (SWOT analysis).
o Write project cooperation partners: it is important to list individuals and
NGOs or institutions that the project will cooperate in order to maximize the
impact. Use related information from step 3 (stakeholder analysis).
o Project budget: there is a need to present a budget required in order to
implement the project, which includes how much the project costs, how much
is asking for the funding, how much is secured from other donors or sources.
Use related information in step 12 (develop a budget plan).
o Project accountability and structure: in order to gain trust and confidence
from the proposed funding agencies, it is fundamental to provide a depiction of
a mechanism in order to ensure that the project is accountable to key
stakeholders such as community people that the project aims to serve and
staff, and has a clear structure, governing body and so on. It is important to
present clearly how the the funding will be used, who will make decision, and
who are responsible for check and balance.
o Monitoring and evaluation plan: provide a short description of how the
project is going to be monitored and evaluated in the last part of the project
proposal.
• Step 14: write project staff capacity development plan: staff members have
different skills and expertise, but it is important to development their capacity
throughout the project so that they are able to perform their work effectively and to
support to each other. The capacity development activities can be done in
internally and/or externally.
• Step 15: write an executive summary: finally, using information from step 13
(proposal narrative), write a brief description of the purposed project. It is equally
important to add vision and mission statements of the organization and a brief
description of how the project aligns with them.
c. Post-Proposal Writing
• Write a cover letter: write a letter addressing to specific funding agency to which
the project proposal is to be submitted. This includes their name, tittle/position and
address. The letter should also provide:

o A brief overview of the organization;
o A short description of the proposed project;
o Skills, qualifications and experiences of the project staff.
• Submit the proposal to donors: assign relevant person to submit the project
proposal to identified donors.
• Sign agreement with specific donors; report writing is normally included in the
agreement.
3. Project Proposal Checklist
A checklist of project proposal is as followed (Zonn, 2008):
1. Cover letter
2. Executive Summary
3. Proposal Narrative
• Project tittle
• Project period
• Project justification
• Project goals
• Project objectives (SMART)
o Specific
o Measurable
o Achievable
o Relevant
o Time bound
• Description of project activities
• Description of project results
• Project implementation plan
• Previous experience of similar project
• Resource mobilization
• Project sustainability
• Project personnel
• Cooperation partners
4. Project Budget
5. Project Accountability and Structure
6. Monitoring and Evaluation
7. Project Staff Capacity Development Plan
4. Planning for Project Report

(what is it? Why do we do it, what kind of reports – quarterly, progress report….)
What is a project report?34
A project report is a brief description of achievements of a project within a specific period of time
and to be developed according to the agreement with the project donors. Information contains in
the project report has to respond precisely to the project proposal submitted to donors,
particularly the results, purpose/outcome and goal stated in the Logframe.
3
Guide to Writing a Project Report by © W. L. Barnes November 2000: https://newton.ex.ac.uk/handbook/PHY/forms/WLB010919-
4.pdf
4
Report Writing by Academic Skills Advice service, University of Bradford: http://www.bradford.ac.uk/academic-
skills/media/academicskillsadvice/documents/academicskillsresources/writing-reports/Infosheet-Report-Writing-for-UGs.pdf

Why do we write project report?
Once a project has secured funding from a donor or multiple donors, the project is responsible for
submitting their project report alongside with financial report to project donors according to
requirements stated in the the agreement.
Through project report, the project team is able to learn how far they can achieve their project
goal and objectives, what went well and what not, and how they can improve. It can also be
useful for internal learning and improvement.
In addition to that, a project report helps donors to understand how the project produces
achievements in comparison with the project proposal, expectations and agreement. They can
also learn what challenges the project has encountered, and what they, as donors, can support or
contribute towards addressing those challenges. In many cases, the project report is intended to
report in a more positive way in order to attract donors and other stakeholders’ attentions.
Types of project report
Different donors may require different types of project reports. However, the common ones are:
N Length of Project Reports to Donors

1 One-year project • Quarterly report or mid-year report
• One-year report
2 Three-five year project • Mid-year report

• Annual report
• Mid-term report
• Final project report
For long-term project, donors also require mid-term and final project evaluation report. The format
for evaluation report are different from project report. Evaluation report format is not discussed in
this session.
Common elements of project report
Although varying donors require different report formats, the common elements are presented in
the following checklist:5
N Elements Description
1 Title This should convey the area and scope of the project.
2 Author Name of the author(s) and the date.
3 Table of The table of contents is an outline of all subjects and ideas covered in the
contents whole report. It provides clear headings, sub headings, and page numbers
that readers can pick up main ideas before reading through each section in
detail.
4 Executive The abstract or executive summary provides a brief summary of most
summary important information in the entire report so that readers are able to
capture main ideas of what the report is about.
5 Introduction This section provides a short description of project history, problem
statement, and why the project is important to the identified problems. It is
also important to provide information of all donors who support the project.
5
Format for Project Reports: http://carmaux.cs.gsu.edu/~mweeks/project.html

N Elements Description
6 Project This section provides detail information about the achievements
achievements responding to the project proposal and Logframe. The structure should be:
• Main activities: provide very brief information regarding some
main activities, but not all activities or too detail.
• Results: provide some key results/outputs which are relevant to
objectives and goal.
• Purpose/Outcome: this is the most important part of the report.
Given that the report needs to provide information relating to
purpose/outcome as much as possible.
• Goal/Impact: it is also very important and it should be included as
much as possible. In some case, however, it is difficult to find
goal/impact during a one-year implementation period. Stories of
change and case studies are effective in showing purpose/outcome
and goal/impact.
• Challenges: it is crucial to provide information related to
challenges or difficulties that the project have encountered and how
it addressed them.
• Lessons Learnt: it is important to provide key lessons learnt the
project gained during the implementation period.
• Future plan: finally, it is useful to provide key activities that the
project will carry out in the next step after the report period.
7 Operations There is also a need to provide information related to operation and
administration, which should include:
• Human resources management
• Administration
• Networking
8 Annexes This provides a list of documents containing additional or detailed
information of particular section(s) in the report.

3. Exercises

Exercise for Session I: Scoping the Project and Explore the Possibilities
Exercise #1: Scoping Project Framework
Materials: flip chart, markers, color papers.
Exercise type: work in group, the group assigns a member as time keeper.
The ground rule for team work:

• Brain storming all possible ideas.
• Respect each other’s opinion.
• Encourage everyone to participate.
List of Project Purposes:

1. To increase organic agricultural productions by 50% in 2020.
2. To increase youth participation in community development by 30% in 2017.
3. To improve general health and well-being of community members (factors contribute to
poor health can include excessive alcohol consumption, smoking, poor hygiene…).
4. To reduce the incidence of HIV/AID infection by 30% in 2018.
5. To improve sexual and reproductive health of young people aged 16 – 30.
6. To promote sustainable use of natural resources.
7. To increase the consumption of clean water from 40% to 80% by 2018.
Tasks: Conduct project scoping by using the tool “scoping project framework”:
• Choose one of the above list of project purposes.
• Decide the project title, time frame, and the goal.
• Geographic area: define where and how large is the coverage of the project.
• Beneficiaries: for whom the project will work, and how the project will benefit to them.
• Collaborators: identify who have the potential to contribute to success of the project, and
how to engage them.
• Strategies: identify what are likely the main activities for implementation.
• Resources: what resources we need, what resources we have, and what are the gaps or
will be needed. Resources are: staff, equipment and materials, information technology,
legal documents, and finance.
Tool: Scoping Project Framework
Geographic Beneficiaries Collaborators Strategies Resources

area
What we What we Gap

need have
Project Title:
Project Period:
Goal:
Project Purpose:

Exercise for Session II: Risk Assessment and Management
Exercise #1: Risk Analysis and Management Framework

• Brain storming all possible ideas
• Respect each other’s opinion
• Encourage everyone to participate
Task: Develop a risk analysis framework

1. Identify risks: what are the potential risks of your project(s)?
2. Assess the level of risk on livelihood and impact: low, medium, high? And why?
3. Decide the priority and provide reason(s)
4. Identify what to do to manage the identified risks
Risk Analysis and Management Framework
Risks Livelihood & impact Priority & Reasons Management

Exercise for Session II: Risk Assessment and Management
Exercise #2: Risk Management

Task: Develop a plan to manage risks:

1. Identify risks: what are the potential risks of your project(s)?
2. Prioritize the risks: low, medium, high.
3. Identify what to do to manage the risks.
4. Identify what resources will need to manage the risks.
5. Identify staff who will take the lead in each risk.
6. Identify timeframe for managing the risks.
Risk Management
Risks Priorities Actions Resources Lead Timeframe
1 2 3 4 5 6

Exercise for Session III: Objective Tree Analysis
Exercise #1: Farming and Agriculture
Materials: flip chart, markers, color papers
Exercise type: work in group, the group assigns a member as the time keeper.

• Respect each other’s opinions
Task: Arrange the following problems and transform them into an objective tree
Farmers lack new knowledge, Import agricultural products

technique, and equipment from other countries
Agricultural land becomes less Low local agricultural

fertile production
Adverse changes in weather

Farmers earn less income
conditions

Exercise #2: Reproductive Health

Youth are not interested in Parents do not talk to their

learning about reproductive children about reproductive
health health
Incidences of sexually
Youth are shy to learn about
transmitted diseases among
reproductive health
youth are on the rise
Youth face long-term and

Youth are very prone to
adverse impacts of untreated
reproductive health infection
sexually transmitted diseases

Exercise #3: General Health Care

People eat unhealthy

People cannot be fully
food: too sweet, too
productive at work
fat, too salty
People smoke People drink too much

cigarette heavily alcohol
People cannot enjoy People have poor

living a healthy life health

Exercise #4: Natural Resources Management

Lack of
Excessive protection for
use of natural natural resources
resources
Clearing of
forests to acquire
land for mass
agriculture and
industry
Certain trees
Community
and plants
members who rely
are in danger
on the natural
of extinction
resources are Natural
highly affected Resources
become
scarce

Exercise #5: Strengthening Community Network

Community members
Community network
do not have a plan to
becomes inactive
maintain their network
Community members Community members

lack financial start to leave the
resources to maintain network
the network
Community members Community members

do not have a structure lack commitment to
for their network maintain their network

Exercise for Session IV: Project Strategy and Goal
Exercise #1: Project Strategy and Goal
Materials: color papers, markers
Exercise type: work in pair
Tasks:
• Take turn to learn from each other about project goal and strategy by using the guided
questions below.
• Then, write one answer in one color paper.
Guided Questions:
1. What is the name of a project you are working on?
2. What is the project goal?
3. What factors were taking into consideration when choosing strategy for this project?

Exercise for Session V: Logframe
Exercise #1: Develop a Logframe

List of project purposes/outcomes:

8. To increase organic agricultural productions by 50% in 2020.
9. To increase youth participation in community development by 30% in 2017.
10. To improve general health and well-being of community members (factors contribute to
poor health can include excessive alcohol consumption, smoking, poor hygiene…).
11. To reduce the incidence of HIV/AID infection by 30% in 2018.
12. To improve sexual and reproductive health of young people aged 16 – 30.
13. To promote sustainable use of natural resources.
14. To increase the consumption of clean water from 40% to 80% by 2018.
Task: Choose one project purpose from the list above, give it a name, and develop a Logframe
accordingly.
Tips: You should aim to work, first, with 2 results and complete the different sections of the
Logframe. The idea is to have a filled-in Logframe rather than having only one or two sections
fully completed while leaving other sections blank. If you still have time, you can add more results.
Project Summary Indicators Means of Assumptions

Verification
Overall Long-term How to What are the
Objective achievement measure? sources of
information?
Purpose
Results What are the specific, How to What are the (An assumption is a
direct deliverables of measure? sources of positive statement of a
the project? information? condition that must be
met.
(these will provide the
conditions necessary Conditions which
to achieve the could affect the
purpose) progress or success
of the activity, but over
which the project may
have no direct
control.)

Exercise for Session VI: Communication Plan
Exercise #1: Develop a Communication Analysis

Task: Develop a communication analysis.
Communication Analysis: list of internal audiences, level of influence, messages and methods.
Decide if the audiences are internal or external.
N Internal or External Influence on Messages Methods

Audiences project
1
2
3

Exercise #2: Develop a Communication Activity

Task: Develop a communication activity.
Communication Activity: list of activities, who will take the lead, and time frame.
Decide if the communication activity is for internal or external audiences
Communication Activity
Timeline
Activity Lead
1 2 3 4 5 6 7 8 9 10 11 12

Exercise #3: Develop a Communication Budget

Task: Develop a communication budget.
Communication Budget: list of items, cost per unit, no of unit, and total cost.
Decide if the communication budget is for internal or external audiences.
Communication Budget
No Items Cost per Unit No of Units Total cost
Total

Exercise #4: Develop a Communication Monitoring

Task: Develop a communication monitoring.
Communication Monitoring: who are your audiences, what are the key messages, what are the
indicators, what is the baseline, what is the target, what are the sources of data, how data is
collected, how often it is collected, and who is responsible for that.
Decide if the communication monitoring is for internal or external audiences.
Objective 1:
Audiences
Data collection
Key messages
Source of data
Responsibility
Frequency
Indicators
baseline
Target

Exercise for Session VII: Formulation of Monitoring and Evaluation Plan
Exercise #1: Develop an M&E Plan

Type of projects:
• Farming and Agriculture
• Reproductive Health
• General Health Care (e.g. reduce alcohol consumption, reduce smoking, hygiene, …)
• Natural Resources Management
• Strengthening Community Network
Task: Choose one of the above type of project and develop an M&E plan accordingly.
Data informants Data Responsibility Frequency Data analysis Reporting

needed collection
What do Who can How to collect Who will do? How often? How to How to
we need? provide? data? analyze data? report?

Exercise for Session VIII: Work Plan and Budget Plan
Exercise #1: Develop a Work Plan
Materials: flip chart, markers
Exercise type: work in group; the group assigns a member as the time keeper.

Task: develop a work plan for a one-day consultative meeting which will be participated by 10
local stakeholders or partners of your project. This meeting will take place in two months from
now at a venue not far from your office.
Issues to consider:
• Who has the overall responsibility of this consultative meeting?
• What tasks are to be carried out in order to achieve this meeting?
• Who are responsible for those tasks?
• Anything else that you want to add

Exercise for Session VIII: Work Plan and Budget Plan
Exercise #2: Develop a Budget Plan

Task: develop a budget plan for a one-day consultative meeting which will be participated by 10
local stakeholders of your project. This meeting will take place in two months from now at a venue
not far from your office. The budget cannot exceed 2000 USD.

Exercise for Session IX: Elements of Project Proposal
Exercise #1: Develop an Executive Summary of a Project Proposal

List of project goals

• To increase organic agricultural productions by 50% in 2020.
• To increase youth participation in community development by 30% in 2017.
• To improve general health and well-being of community members (factors contribute to
poor health can include excess alcohol consumption, smoking, poor hygiene, and so on).
• To reduce the incidence of HIV/AID infection by 30% in 2018.
• To improve reproductive health of young people aged 16 – 30.
• To promote sustainable use of natural resources.
• To increase the consumption of clean water from 40% to 80% by 2018.
Task: Chose one project goal from the list above and develop a very brief executive summary of
its project proposal.
Guided questions:
• Give your project a name?
• Why the project is needed?
• Where is/are the project site(s)?
• Who will benefit from the project? Can you give the number? How many are
men/women/children/people with disability?
• What activities will be carried out? What is the time frame? What are the results?
• Demonstrate the competences of your organization in carrying out this project.
• Estimate how much does the project cost?
Tips:
• You would not need to write a narrative executive summary but bullet points.
• You can choose one or two activities, and then complete the different points of the
executive summary as much as possible.

4. Detail of Games for Ice-Breaking Session or Warm-up Workshop
Countdown6
• Ask participants to form a circle. Explain that the group needs to count together from 1 to
30.
• There are a few rules: they are not to say ‘five’ or any number which is a multiple of five.
Instead, they have to clap their hands. Once someone claps their hands, the next person
continues to count.
• If someone says five or a multiple of five, s/he will drop out from the circle and the next
person must count the numbers in reverse.
Mirror image7
• Arrange participants into pairs.

• Each pair decides which one of them will be the ‘mirror’. This person then copies (mirrors)
the actions of their partner.
• After some time, ask the pair to swap roles so that the other person can be the ‘mirror’.
6
Adapted from 100 ways to energise groups: games to use in workshops, meetings and the community,
http://www.icaso.org/vaccines_toolkit/subpages/files/English/energiser_guide_eng.pdf
7
Adapted from 100 ways to energise groups: games to use in workshops, meetings and the community,
http://www.icaso.org/vaccines_toolkit/subpages/files/English/energiser_guide_eng.pdf

5. Details of Tools

Session V: Logframe
a. Format four columns and three rows: no activity is included

In some cases, the Logframe should not include too much detail on activities, otherwise it will
become too lengthy and potentially prescriptive. If detailed specification is required, this should be
presented separately in a work plan but not all in the Logframe (AusAID, 2005). In this case, the
format can be used is four columns and three rows.

(1) (2) (3) (4)
(1)
Overall Objective
(2)
Purpose
(3)
Results
Example of “reduced infant and maternal mortality rates” (ITAD, 1999)

(1) (2) (3) (4)
(1)
Overall Objective Mortality rates reduced National statistics from

Infant & maternal mortality for under-1s, under-5s & the Ministry of Health
rates reduced. pregnant & nursing before starting of the
mothers from X to Y by project, at mid-term,
2016. and end project
evaluation.
(2)
Purpose/Outcome • Incidence of post- • Hospital & clinic Incidence of

Health status of pregnant partum & neonatal records, analyzed infectious
& nursing mothers, infants infection within health at the beginning, diseases in
& babies improved. centers reduced from mid-term, and the the household
X to Y by 2016. end of the project. reduced.
• … • …
(3)
Results/Outputs • Number of patients • Hospital records, Pregnant &

Quality & efficiency of treated increased from analyzed nursing
secondary healthcare X to Y by 2016. quarterly. mothers able
improved. • Average cost of • Client satisfaction to access
treatment per patient survey, conducted cash to pay
reduced from X to Y annually. for treatment.
by 2016.
• …

This format can also be presented as:

(1) (2) (3) (4)
(1)
Overall Objective
(2)
Purpose
(3)
Results

(1) (2) (3) (4)
(1)
Overall Infant & maternal Mortality rates National statistics
Objective mortality rates reduced for under- from the Ministry
reduced. 1s, under-5s & of Health before
pregnant & nursing starting of the
mothers from X to project, at mid-
Y by 2016. term, and end
project evaluation.
(2)
Purpose Health status of • Incidence of • Hospital & Incidence of
/Outcome pregnant & post-partum & clinic records, infectious
nursing mothers, neonatal analyzed at diseases in
infants & babies infection within the the household
improved. health centers beginning, reduced.
reduced from X mid-term, and
to Y by 2016. the end of the
• … project.
• …
(3)
Results Quality & • Number of • Hospital Pregnant &
/Outputs efficiency of patients treated records, nursing
secondary increased from analyzed mothers able
healthcare X to Y by 2016. quarterly. to access
improved. • … • … cash to pay
for treatment.

b. Format four columns and five rows: include activities and inputs
Some organizations prefer to add inputs – such as personnel, finance, equipment, infrastructure,
and so on – to show what are needed in order to carry out activities. To see an example of this
format filled with project information, see “Details of Tools, session V: Logframe”.

(1) (2) (3) (4)
(1)
Overall Objective
(2)
Purpose
(3)
Results
(4)
Activities
(5)
Inputs

(1) (2) (3) (4)
(1)
Overall Objective Mortality rates National statistics
Infant & maternal mortality reduced for from the Ministry of
rates reduced. under-1s, under-5s & Health before
pregnant & nursing starting of the
mothers from X to Y project, at mid-term,
by 2016. and end project
evaluation.
(2)
Purpose /Outcome • Incidence of post- • Hospital & Incidence of
Health status of pregnant & partum & neonatal clinic records, infectious
nursing mothers, infants & infection within analyzed at the diseases in the
babies improved. health centers beginning, mid- household
reduced from X to Y term, and the reduced.
by 2016. end of the
• Rates of infectious project.
diseases (polio, • Sample survey
measles, tetanus) of target group
among under-5s conducted &
reduced from X to Y analyzed in
by 2016. years 1, 3 & 5.
• Incidence of acute
birth complications
reduced from X to Y
by 2016.

(1) (2) (3) (4)
(3)
Results/Outputs • Number of patients • Hospital Pregnant &
Quality & efficiency of treated increased records, nursing
secondary healthcare from X to Y by analyzed mothers able
improved. 2016. quarterly. to access cash
• Average cost of • Client to pay for
treatment per satisfaction treatment.
patient reduced survey,
from X to Y by conducted
2016. annually.
• Increased patient
satisfaction with
standards of care.
(4)
Activities
1. Design & implement new 1. The new 1. Reports or logs Department of
procedures for: procedures that from the use of Health
• Personnel are in place and new maintains level
management used. procedures of funding at
• Vehicle & equipment pre-project
maintenance levels in real
• Drug storage & control terms.
• Financial control &
cost recovery Suitably
2. Design & implement staff qualified staff
training program for: willing to work
• Patient care in rural areas.
• Hygiene maintenance 2. Number of training 2. Training
• Basic accounting programs reports;
conducted. attendance
• Data collection &
lists.
analysis
(5)
Inputs • Personnel: 10 staff members.
• Finance: USD xxx, xxx.
• Training fees: external contractor.
• …

Session VII: Formulation of Monitoring and Evaluation Plan
Key Notes
Monitoring: monitoring should be carried by project team members on a

regular basis. In order to do that, there is a need to develop a monitoring
plan including clear roles and responsibilities of individual staff. Each
relevant project staff should take responsibility for collecting data
continuously-any time they go to communities, analyzing through monthly
team meeting or through regular data analysis as agreed within the project,
and to ensure that indicators are being measured and in cooperating into
reports for internal learning and external communication.
Evaluation: the evaluation will be carried out periodically, for example, mid-
term evaluation, which will be conducted when the project went through its
half ways of implementation, and external evaluation. Mid-term evaluation
can be done internally or by internal and external consultant, while a final
project evaluation will be done at the end of the project period. It normally
carried out by external and independent consultants. The lessons learnt and
recommendations from external evaluation will be used to review or develop
a new strategic plan for the next project phase.
In light of that, formulation of monitoring and evaluation helps a project team

to become more effective and timely decision making requires information
from regular and planned monitoring and evaluation activities. Planning for
monitoring and evaluation must start at the time of project design, and they
must be planned together. The monitoring and evaluation plan should be
review on a yearly basis.
The other point is that a project staff, using information from monitoring
process, should review their project work plan every 6 months in order to
reflect together what went well, what went not well, what challenge they
faced, what lessons they have learnt, what need to be improve and planning
for next steps. The project team should use the insights come out from this
sort of meeting to put into reports. All project staff should be encouraged to
write case study on an on going basis that reflects to the outcomes of the
project.
As senior management staff are responsible for quality assurance, they

should make sure the the monitoring plan and approaches as well ass tools
are developed and used by the team effectively. They are also responsible
for ensuring that all project staff are able to perform their job with a high
standard of quality.
A project should also designate M&E focal person to coordination and

ensure smooth process of data collection, analysis & measuring, and
producing reports for donors on a timely basis.
A project team need to conduct baseline survey at start of the project in order
to develop realistic indicators for measuring.

6. All Slides of Power Point Presentation
▪ Power Point Presentation #0: Overview of the Module (Project Formulation/Preparation)

▪ Power Point Presentation #1: Scoping the Project and Explore the Possibilities
▪ Power Point Presentation #2: Risk Assessment and Management
▪ Power Point Presentation #3: Objective Tree Analysis
▪ Power Point Presentation #4: Project Strategy and Goal
▪ Power Point Presentation #5: Logframe
▪ Power Point Presentation #6: Communication Plan
▪ Power Point Presentation #7: Formulation of Monitoring and Evaluation Plan
▪ Power Point Presentation #8: Work Plan and Budget Plan
▪ Power Point Presentation #9: Elements of Project Proposal

PCM-Module-03 - Volume - 02 - Project Formation

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

PCM-Module-03 - Volume - 02 - Project Formation

Uploaded by

Copyright:

Available Formats

Volume II

Module 3: Project Formulation/Preparation

Sidaroth KONG and Bunchhoeuth KENG

M3: Project Formulation/Preparation Page 1 of 100

1. The Module Pre-Test and Post-Test.......................................................................................... 4

M3: Project Formulation/Preparation Page 2 of 100

M&E Monitoring and Evaluation

M3: Project Formulation/Preparation Page 3 of 100

M3: Project Formulation/Preparation Page 4 of 100

Module 2: Project Formulation/Preparation

Training Date: ________/________/_______

1. What is Project Formulation/Preparation (PFP)?

4. Have you ever analyze an objective tree?

M3: Project Formulation/Preparation Page 5 of 100

5. Have you ever selecting a project strategy?

6. Have you ever developed a Logframe table/matrix?

6.1.2. The elements of Logframe are:

7. Have you ever designed a communication plan?

8. Have you ever formulated a monitoring and evaluation (M&E) plan?

9. Have you ever written a work plan (e.g. monthly or annually)?

M3: Project Formulation/Preparation Page 6 of 100

10. Have you ever developed a budget plan?

11. What can be included as elements of a project proposal?

12. Have you ever written a project report?

13. Anything else you would like to let us know

M3: Project Formulation/Preparation Page 7 of 100

Module 2: Project Formulation/Preparation

Training Date: ________/________/_______

A little Medium Significant A lot

5. Why selection of project strategy is important?

6. Why a project goal should be SMART?

M3: Project Formulation/Preparation Page 8 of 100

8. What are needed in order to develop a communication plan?

9. What should be included in a Monitoring and Evaluation Plan?

10. Why an annual work plan is important for a project?

11. What are needed in order to develop a budget plan?

12. What are key elements of a project proposal?

14. Anything that you would like to let us know

M3: Project Formulation/Preparation Page 9 of 100

M3: Project Formulation/Preparation Page 10 of 100

1. What is Project Scoping?

2. How important is Project Scoping?

3. How to conduct Project Scoping?

The processes of Project Scoping are:

M3: Project Formulation/Preparation Page 11 of 100

Varying resources require different mobilization strategies. An example on how to effectively

Therefore, in order to have adequate resources to implement a project productively, there is a

4. Recommended tool for Project Scoping

Project Scoping Framework is the tool recommended for project scoping.

Project Scoping Framework

Geographic Beneficiari Collaborators Strategies Resources

What we What Gap

M3: Project Formulation/Preparation Page 12 of 100

in 3 people, but government capacity of 15 laptops 8 7

5. What is the exploring possibilities?

6. How important is exploring possibilities?

7. How to conduct exploring possibilities?

Exploring possibilities can be conducted through the following processes:

M3: Project Formulation/Preparation Page 13 of 100

8. Recommended tools for exploring possibilities

Tool 1: Expectations and Alignment Analysis Framework

Expectations Project Alignment Recommendations

M3: Project Formulation/Preparation Page 14 of 100

Training Date: __//_

Training Date: __//_