PCM-Module-03 - Volume - 01 Handout

Volume I
Module 3: Project Formulation/Preparation
Narrative Manual
Sidaroth KONG and Bunchhoeuth KENG
Reviewed by:
Songsatit KITTIKHUNWATCHANA
September, 2016
M3: Project Formulation/Preparation Page 1 of 47

Contents
1. General Introduction .................................................................................................................. 4

1.1. Self Introduction ................................................................................................................. 4
1.2. Objectives of the Module .................................................................................................... 4
1.3. Contents of the Module ...................................................................................................... 4
1.4. Module Pre-Test and Post-Test .......................................................................................... 5
2. Overview of Module .................................................................................................................. 6
2.1. What is Project Formulation/Preparation (PFP)? ................................................................ 6
2.2. Why is PFP important in Project Cycle Management (PCM)?............................................. 6
2.3. How to ensure obtaining effective PFP? ............................................................................. 7
2.4. Recommended techniques and tools to be used in PFP..................................................... 7
2.5. Reviewing summary report and the prioritized problems from PPI ...................................... 7
3. Detailing Step-by-step Instruction from Beginning to the End of the Module .............................. 8
3.1. Module Pre-Test ............................................................................................................. 8
3.2. Session I: Scoping the Project and Explore Possibilities ................................................. 8
3.3. Session II: Risk Assessment and Management ............................................................ 11
3.4. Session III: Objective Tree Analysis.............................................................................. 13
3.5. Session IV: Project Strategy and Goal .......................................................................... 15
3.6. Session V: Logframe .................................................................................................... 18
3.7. Session VI: Communication Plan .................................................................................. 20
3.8. Session VII: Formulation of Monitoring and Evaluation Plan ......................................... 23
3.9. Session VIII: Work Plan and Budget Plan ..................................................................... 25
3.10. Session IX: Elements of Project Proposal ................................................................... 27
3.11. Module Conclusion ..................................................................................................... 29
3.12. Module Post-Test ....................................................................................................... 33
4. References.............................................................................................................................. 33
4.1. Session Plan for the Module ............................................................................................. 34
4.2 All Resources and Materials Used for Developing the Manual........................................... 43
5. Glossary of Terminologies....................................................................................................... 47

List of Abbreviation
M&E Monitoring and Evaluation

PCM Project Cycle Management
PFP Project Formulation/Preparation
PPI Problem/Project Identification

1. General Introduction
1.1. Self Introduction
• Trainer warms up the training and greets participants in saying “good morning”, and
asks general questions about what they are doing or their well-being or travelling and
so on.
• Trainer briefly introduces him or herself and the team to the participants: name,
occupation, education, and relevant job experiences.
• Trainer invites participants to introduce themselves: name, occupation, organization.
• Trainer welcomes participants to the training by introducing the module name and its
objective.
1.2. Objectives of the Module
Trainer introduces the module and its objectives:

• Participants understand the importance of Project Formulation/Preparation in Project
Cycle Management.
• Participants understand in depth how various techniques and tools are used in
scoping the project and explore the possibilities, in assessing and managing risks, in
analyzing objective tree, in forming and selecting project strategy and goal, in
developing Logframe, in developing communication plan, in formulating of monitoring
and evaluation plan, in developing work plan and budget plan, and in examining
elements of project proposal.
• Participants are able to conceptualize and apply these techniques and tools in
formulating and preparing a project.
1.3. Contents of the Module
This module consists of scoping the project and explore the possibilities, risk assessment and
management, objective tree analysis, project strategy and goal, Logframe, communication plan,
formulation of monitoring and evaluation plan, work plan and budget plan, and elements of project
proposal.
Scoping the Project and Explore the Possibilities
Scoping
• What is project scoping?
• How important is project scoping?
• How to conduct project scoping?
o (Brief overview on resource mobilization – staff, finance, material, IT…etc)
o - If applicable (Reviewing, analyzing and responding to term of reference
made by the potential donors)
• Recommended tool for project scoping
Exploring the possibilities

• What is the exploring possibilities?
• How important is exploring possibilities
• How to conduct exploring possibilities?
• Recommended tools for exploring possibilities
Risk Assessment and Management

• What is risk assessment and management?
• Why the risk assessment and management is important in PFP?
• How to conduct risk assessment & management?

• Recommended tools to be used in risk assessment
Objective Tree Analysis

(Refer to problem tree in Problem/Project Identification)
• What is an Objective Tree Analysis?
• Reformulating problem statements into objective statements
• Steps in formulating an Objective Tree
• Examples of Objective Tree
Project Strategy and Goal

• Analysis of project strategy
• Criteria for choosing a project strategy
• Examples of project strategy selection
• SMART goal
Logframe
• What is Logframe?
• Why Logframe is important for PFP?
• How to develop Logframe?
• Recommended formats and tools for Logframe
Communication Plan
• What is communication plan and its key elements?
• Why communication plan is important?
• How to develop communication plan?
Formulation of Monitoring and Evaluation Plan

• What formulating M&E plan is?
• Why is it important for formulating M&E plan?
• How to formulate M&E plan?
Work Plan and Budget Plan

• What is a work plan?
• What types of work plan and its elements?
• Benefits of work plan
• Examples of different work plan formats
• What is a budget plan?
• How to develop a budget plan?
Elements of Project Proposal

• What are elements of project proposal?
• Why is it important to know about the elements of project proposal?
• How to develop a project proposal?
• Project proposal checklist
• Planning for project report
1.4. Module Pre-Test and Post-Test
This module contains two tests. The pre-test is a test that will assess the existing knowledge of
participants at the beginning of the training. The post-test is a test that will assess the knowledge
that participants will have acquired after the training.

2. Overview of Module
Trainer introduces the overview of the Project Formulation/Preparation (PFP) module, which
covers what is Project Formulation/Preparation (PFP), why is PFP important in Project Cycle
Management (PCM), how to ensure obtaining effective PFP, recommended techniques and tools
to be used in PFP, and reviewing summary report and the prioritized problems from PPI.
2.1. What is Project Formulation/Preparation (PFP)?
Project Formulation/Preparation (PFP) is the second phase of Project Cycle Management (PCM).
PFP covers:
• The scoping and exploring possibilities define broad parameters of a project and provide
foundation for subsequent analysis. A clear scope sets boundaries for what the project will
attempt to do.
• The risk assessment and management identify what are potential risks and obstacles the
project will likely encounter and how to manage them.
• The objective analysis facilitates the systematic identification and prioritization of
objectives and opportunities in a hierarchy or relationship of means-ends.
• The planning and organizing of project framework in the Logframe through the analysis of
activities, results, purpose or outcome, and overall objective or goal as a result of strategy
analysis and selection.
• The communication plan which describes how the project team is going to effectively
communicate with each other within the project and to those who engage with the project
externally.
• The monitoring and evaluation plan which develops a clear plan for monitoring and
evaluation.
• The work plan and budget plan which lay out detailed arrangements for technical and
operational aspects of project implementation such as the scheduling of project activities
and budget planning.
• The consolidation of the above results into a complete project document namely a project
proposal which is used to communicate with stakeholders and potential donors.
2.2. Why is PFP important in Project Cycle Management (PCM)?
According to Project Cycle Management, PFP is the second phase after the Problem/Project
Identification (PPI) phase. This phase uses results of analysis – project viability, context,
stakeholders, and identified problems – from the PPI as inputs for the next analysis in order to
create a coherent and convincing project proposal and to outline necessary plans for the Project
Implementation phase.
Therefore, the importance of PFP to PCM includes (see Constantini (2004)):

• Set a strong foundation for the implementation phase through systematic and
comprehensive analysis.
• Formulate a project that is capable of achieving its intended purpose, of addressing
identified problems, of managing potential risks, of designing activities and realistic time
frame.
• Maintain effective communication with internal and external stakeholders.
• Provide an estimate project cost.
• Prepare the project for monitoring and evaluation which is vital in assessing change or
impacts of the project at local and national level.
• Develop a strong project proposal through incorporating the principles of relevant
techniques, tools and contexts.

2.3. How to ensure obtaining effective PFP?
PFP uses information or analysis results obtained from Problem/Project Identification (PPI) phase
such as project viability, situation or context, stakeholders, and identified problems. In addition to
that, majority of information in PFP is generated from discussion or meetings with project team
and stakeholders. It is important, therefore, to maintain effective and two-way communication with
them in order to obtain necessary information or ideas or cooperation for relevant analysis of
PFP.
A good analysis normally requires enough time and the process is highly iterative. That is why
going back to a previous questioning or analysis step reveals necessary most of the time.
Although analysis in PFP can rely a lot on stakeholder consultation or participation, the analysis
should be evidence based – using observed or documented facts (EC, 2006).
In some cases, the project team can consult more information, secondary data, obtained from
original and reliable sources in electronic or in printing format for the reasons of:
• Improving the understanding on how to use relevant techniques and tools.
• Looking for examples on how various techniques or tools are used, in similar areas, to
formulate and prepare the project.
• Looking for opportunities for funding or calls for proposal or potential donors.
2.4. Recommended techniques and tools to be used in PFP
The following techniques, and their tools, are recommended to be used in PFP:
• Scoping the Project and Explore the Possibilities
o Tools: project scoping framework, expectations and alignment analysis framework,
exploring possibilities framework, possibilities identification framework
• Risk Assessment and Management
o Tools: risk analysis matrix, risk analysis and management framework, and risk
management plan
• Objective Tree analysis
o Tool: objective tree
• Project Strategy and Goal
o Tool: objective tree
• Logframe
o Tools: problem tree and objective tree
• Communication Plan
o Tools: communication analysis, communication activity, communication budget and
communication monitoring.
• Formulation of Monitoring and Evaluation plan
• Work Plan and Budget plan
o Tools: work plan and budget plan
• Elements of Project Proposal
2.5. Reviewing summary report and the prioritized problems from PPI
The results of analysis in Problem/Project Identification (PPI) allow the project team to see
viability or alternatives of a project, to understand national and local situation around which a
project evolves, to examine involvement or influences or interests of varying stakeholders, and to
appropriately select a main problem and its sub problems. These results are inevitable inputs for
subsequent analysis in PFP in which we will scope and explore possibilities of the project,
analyze and manage risks, turn problems into objectives, select strategy and formulate project
goal, develop a logical framework matrix (Logframe) and other relevant plans in order to create a
coherent and convincing project proposal.
The information obtained in PPI that is useful for PFP is:

• Potential geographic areas of a project.
• Understand the context, demography and situation of those geographic areas.
• Enabling factors that can contribute to the success of a project.
• Existing strengths of a project that can be used to address the problem.
• Opportunities to improve a project.
• Stakeholders who have interests in and influence the project.
• Identified main problem, including its causes and effects.
3. Detailing Step-by-step Instruction from Beginning to the End of the

Module
This module consists for nine consecutive sessions: scoping the project and explore the
possibilities, risk assessment and management, objective tree analysis, project strategy and goal,
Logframe, communication plan, formulation of monitoring and evaluation plan, work plan and
budget plan, and elements of project proposal. The following steps describe how to deliver each
session of this module. It does not, however, include all the detailed contents to be delivered
because these session instructions are to be used with slides of power point presentation for
trainer. A summary of the module instruction can be found at the session plan for the module.
3.1. Module Pre-Test
Objective of the Session
• To find out whether or not participants have had practical knowledge and experience
related to the contents of the module;
• If they have no practical experience, then it is also important to know whether they have or
not have theoretical knowledge related to the contents of the module.
Materials Needed
• For trainer: presentation, session notes, a laptop, an LCD projector, a pointer

• For participants: handout, flip chart, markers, color papers
Time Needed
Total duration: 45 minutes
Steps
1. Pre-Test (45 minutes)
1.1. Trainer distributes the pre-test to all participants, asks them to read through all the
questions, and ask for clarification before starting to work on the test.
1.2. Trainer allocates approximately 30 minutes to participants to work on the test.
1.3. Trainer collects the filled pre-test from participants.
3.2. Session I: Scoping the Project and Explore Possibilities
Participants will understand how to conduct project scoping and explore possibilities.
Materials Needed

Time Needed
Total duration: 210 minutes (3 hours and 30 minutes)

• Presentation and interaction: 140 minutes
• Exercise: 70 minutes
Steps
1. Session introduction (10 minutes)
1.1. Trainer introduces the session and its objective.

1.2. Trainer can ask one or more of the following questions in order to know if
participants have had any relevant experiences:
• Who have done scoping the project and explore possibilities?
• How did you do it?
• What can be obtained from scoping the project?
• Why should we do scoping the project and explore possibilities?
2. What is Project Scoping? (10 minutes)
2.1. Trainer asks a connecting question:

• What does project scoping mean to you?
2.2. Trainer will write down all answers on flipcharts in order to connect them with the
definition of project scoping.
2.3. Trainer presents the definition of 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 the 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.
2.4. Trainer encourages participants to reflect on which definition is the most

applicable/relevant to their work.
3. How important is Project Scoping? (10 minutes)
3.1. Trainer presents the importance of project scoping.
Project Scoping is the first step in Project Formulation/Preparation (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.
4. How to conduct Project Scoping? (15 minutes)
4.1. Trainer asks participants to share their experiences related to “how to conduct
project scoping”, and “how to mobilize project resources” – covering staff,
equipment and materials, IT, legal documents, and finance.
4.2. Trainer explains a process on how to conduct project scoping, and resource
mobilization.
5. Recommended tool for Project Scoping (15 minutes)
5.1. Trainer links the explanation of “how to conduct project scoping” and resource
mobilization with Project Scoping Framework as the tool to conduct project
scoping.
5.2. Trainer encourages participants to share their experience on what tools they have
used to conduct project scoping.
6. What is the exploring possibilities? (10 minutes)
6.1. Trainer explains what are 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 particular donors’ requirements or clients’ demands and
which are well aligned with problem identified in problem/project identification
phase.
7. How important is exploring possibilities? (10 minutes)
7.1. Trainer explains the importance of 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.
8. How to conduct exploring possibilities? (20 minutes)
8.1. Trainer can ask what participants do when they want to explore possibilities for
their project.
8.2. Trainer presents the process to conduct exploring possibilities with linkage to
relevant tools to be used.
9. Recommended tools for exploring possibilities (40 minutes)
9.1. Trainer presents the tools and examples for exploring possibilities: Expectations
and Alignment Analysis Framework, Exploring Possibilities Framework, and

Possibilities Identification Framework. They are used to explore possibilities of
funding, or of responding to Term of Reference in a call for proposal, or of seeing
likelihood of launching new project ideas.
9.2. Trainer asks participants to share other tools that they use for exploring
possibilities.
10. Exercise (70 minutes)
10.1. The exercise in this session, exercise #1: Scoping Project Framework provides an
opportunity to participants to practice on project scoping. Trainer presents a list of
project purposes according to which participants will group themselves:
• 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 excessive alcohol consumption,
smoking, poor hygiene…).
• To reduce the incidence of HIV/AID infection by 30% in 2018.
• To improve sexual and 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.
10.2. Trainer distributes the exercise sheet and related materials to the groups, let them
read and ask for clarification.
10.3. Trainer allocates an appropriate time, approximately 30 minutes, to the group.
10.4. The groups start to work on the exercise and write down their discussion.
10.5. Depend on the remaining time, trainer can ask the groups to do a brief
presentation of their discussion or to conduct a gallery walk in order to learn about
the results of all groups.
10.6. Trainer asks participants to reflect on the exercise, “how it helps you to understand
scoping project?”, then adds if they have any questions or would like to make any
remarks.
10.7. Trainer concludes scoping and exploring possibilities session.
3.3. Session II: Risk Assessment and Management
Objective of the session
Participants understand how to conduct risk assessment and management.
Materials Needed

Time Needed
Total duration: 180 minutes (3 hours)

Steps

1.2. Trainer can ask the following question in order to interact with participants:

• How many of you have had experiences in conducting “risk assessment and
management”?
2. What is risk assessment and management? (15 minutes)
2.1. Trainer continues with a warm up question:

• What does risk assessment and management mean to you?
2.2. Trainer writes down all answers on flipcharts in order to connect with the
explanation of risk assessment and management.
2.3. Trainer presents risk assessment and management, risks, risk assessment, and
risk management
Risk Assessment and Management 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.
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.
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.
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.
3. Why risk assessment and management is important to PFP? (10 minutes)
3.1. Trainer presents the importance of risk analysis and management in PFP
• 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.
4. How to conduct risk assessment and management? (25 minutes)
4.1. Trainer asks if participants have ever conducted risk assessment and
management, and how they did it.
4.2. Trainer presents the five steps on how to conduct risk assessment and
management: risk identification, risk livelihood assessment, risk prioritizing, risk
management, and risk management plan.
4.3. Trainer encourages participants to share their experience on how they conducted
risk assessment and management.

5. Recommended tools to be used in risk assessment (30 minutes)
5.1. Trainer explains three tools can be used in risk assessment: risk analysis matrix,
risk analysis and management framework, and risk management plan.
5.2. Trainer asks participants to share tools that they have used in risk assessment.
6.1. There are two exercises, exercise #1: Risk Analysis and Management Framework
and exercise #2: Risk Management. Trainer can decide which one participants will
do in group work, or s/he can ask which exercise participants prefer to work on –
i.e. closely related to their work.
6.2. Trainer forms participants into small group, 3-5 participants per group, according to
similar work area, for example, natural resources management, health, youth,
agriculture, and so on, so that the group can analyze or manage common risks of
their projects.
6.4. Trainer allocates an appropriate time, approximately 20 – 30 minutes, to the group.
risk assessment and management?”, then adds if they have any questions or
would like to make any remarks.
6.8. Trainer concludes risk assessment and management session.
3.4. Session III: Objective Tree Analysis
Participants will be able to transform a problem tree into an objective tree.
Materials Needed

Time Needed

Steps
1. Session Introduction (10 minutes)

participants have had any experiences related to objective tree analysis:
o Who have had experience in formulating an objective tree?
o Why objective tree analysis is important?
o What inputs are inevitable for objective tree analysis?

2. What is Objective Tree Analysis? (20 minutes)
2.1. Trainer presents the definition of Objective Tree.
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))
2.2. Trainer emphasizes that before being able to work on the objective tree analysis,
we need to have problem statements and a problem tree from the Problem/Project
Identification (PPI) phase. Without a problem tree, we will not be able to analyze an
objective tree, therefore:
• Analysis of problems in the Problem Tree from PPI is the basis and starting
point for the Objective Tree analysis in PFP.
2.3. Trainer explains the importance of Objective Tree Analysis
• 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
3. Reformulating Problem Statements into Objective Statements (20 minutes)
3.1. Trainer explains how to formulate problem statements into objective statements
and provides some relevant examples.
3.2. Trainer works with participants to formulate objective statements from the following
problem statements.
Problem Statements Objective Statements

Farmers lack know-how in organic Farmers acquire know-how in organic
farming farming
Community members are not aware Community members are aware of
of HIV/AIDS prevention HIV/AIDS prevention
High rate of alcohol consumption Reduced/low rate of alcohol consumption
High illiteracy rate of children from Low illiteracy rate of children from poor
poor family background family background
Youth do not participate in Youth participate in community activities
community activities
Local community do not understand Local community understand their roles
their roles and responsibilities in and responsibilities in natural resources
natural resources management management
People do not save money for use in People save money for use in health
health care or emergency situation care or emergency situation
Youth do not like to read Youth starts to read or improve reading
habit
Community members do not want to Community members start to buy health
buy health insurance insurance
4. Steps in Formulating an Objective Tree (30 minutes)
4.1. Trainer elaborates three steps in formulating an objective tree.

4.2. Trainer shows an example in brief on how to transform a problem tree into an
objective tree.
4.3. Trainer summarizes formulating of objective tree from problem tree.
Problem Tree Objective Tree

Relationship: Causes-Effects Relationship: Means-Ends
Negative
Branches: Effects Ends: Objectives
statements are
Trunk: Main problem rewritten into Trunk:
positive statements Purpose/Objective/Outcome
Roots: Causes Means: Objectives
5. Examples of Objective Tree (20 minutes)
5.1. Trainer further presents two examples of problem tree transformation into objective
tree on the cases of “bus accident” and “river water pollution”.
6.1. There are five exercises on the transformation of a problem tree into an objective
tree, which aims towards grouping participants coming from similar backgrounds or
work area to have an opportunity to share and to learn from each other. Each
exercise covers:
• Exercise #1: Farming and Agriculture
• Exercise #2: Reproductive Health
• Exercise #3: General Health Care
• Exercise #4: Natural Resources Management
• Exercise #5: Strengthening Community Network
6.2. Trainer divides participants according to their exercise group, consisting of 3-5
participants per group.
objective tree analysis?”, then adds if they have any questions or would like to
make any remarks.
6.8. Trainer concludes objective tree analysis session.
3.5. Session IV: Project Strategy and Goal
Participants will know how to select project strategy and to formulate SMART goal.
Materials Needed

Time Needed

Steps
1.1. Trainer introduces the session and its objective

participants have had experiences related to project strategy and goal:
• Who have had experiences in selecting project strategy?
• Who knows what SMART goal is?
2. Analysis of Project Strategy (20 minutes)
2.1. Trainer briefly presents what is a strategy what is 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)
2.2. Trainer explains analysis of project strategy:

• 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.
• There are key questions to consider when analyze a project strategy.
2.3. Trainer emphasizes that the starting point for strategy analysis is the objective tree
– which is transformed from the problem tree.
3. Criteria for Choosing a Project Strategy (15 minutes)
3.1. Trainer presents key criteria that can be used when selecting a project strategy:
• 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 projects or programs.
• 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.
4. Examples of Project Strategy Selection (25 minutes)

4.1. Before presenting the examples of project strategy selection, trainer emphasizes:
• After agreeing on the criteria, as mentioned in “3. 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; this will also be
illustrated in a diagram namely “project strategy selection”.
4.2. Trainer provides two examples on how project strategy can be selected in the
cases of “improve the quality of river water” and “reduced infant and maternal
mortality rates”.
4.3. Trainer emphasizes that the results from strategy selection will be further used in
Logframe at the next step.
5. SMART Goal (20 minutes)
5.1. Trainer firstly explains what a project goal is.
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. Goals
are conceptual and abstract. Generally, each project should have only one
goal (Sinclair Community College, 2003).
5.2. Trainer asks participants: “how or from where can a project goal be obtained?”,
then connects their answers to the next point.
5.3. Trainer explains that “a project goal can be obtained from the objective tree. A goal
is the objective at 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.” Next,
trainer shows its diagram to illustrate the explanation.
5.4. Trainer asks participants, “what are examples of project goal?”, and shows them
some examples of project goal.
5.5. Trainer explains what SMART is.
• Specific
• Measurable
• Appropriate or Attainable or Achievable:
• Realistic or Relevant:
• Time-based or Time-bound
5.6. Trainer shows various examples of normal and SMART goals so that participants
can compare and understand their differences.
5.7. Trainer asks participants to reflect: why a project goal should be SMART?
6.1. There is one exercise, exercise #1: Project Strategy and Goal, for all participants.
This exercise provides an opportunity to participants to learn from each other on
project strategy and goal.
6.2. Trainer forms participants into a group of two: work in pair.
6.3. Trainer distributes the exercise sheet, let them read and ask for clarification.
6.4. Trainer distributes three color papers to the groups and decides which color is for
project name, which color is for project goal, and which color is for factors to select
project strategy.
6.5. Trainer allocates an appropriate time, approximately 20 minutes, to the groups.
6.6. The groups start to work on the exercise and write down their discussion

6.7. The trainer divides a big whiteboard as shown in the table below and asks the
groups to stick their color papers.
Project Name Project Goal Factors to Select Project Strategy

Color paper 1 Color paper 2 Color paper 3
6.8. Depend on the remaining time, trainer can ask one to two participants to voluntarily
present the exercise results very briefly, or trainer can proceed directly to the next
point.
6.9. Depend on the remaining time, trainer can observe the goals presented, chooses
some among them, and encourages participants to consider formulating those
goals into SMART goals.
project strategy and goal?”, then adds if they have any questions or would like to
make any remarks.
6.11. Trainer concludes project strategy and goal session.
3.6. Session V: Logframe
Participants will know how to use the Logframe for a well-design project.
Materials Needed

Time Needed

Steps

participants have had experiences related to Logframe:
o Who have developed a project by using Logframe?
o What are the benefits of using Logframe from your experiences?
o What do we need in order to develop Logframe?
2. What is Logframe? (50 minutes)
2.1. Trainer presents a brief history of Logical Framework/Logframe as a popular tool

which has been widely used in the development sector.
2.2. Trainer explains the definition of the Logframe

The Logframe, Logical Framework Matrix, consists of a table which usually has
four columns and four rows (ITAD, 1999). It is a vehicle for organizing a large
amount of information in a coherent and concise manner, assisting with the
formulation or preparation, implementation and evaluation of projects (USAID,
2012).
We know about various components of a project such as overall objective/goal,

purpose/outcome, results, activities, indicators, means of verification, and
important assumptions. The Logframe helps in connecting all these components
in one framework, and presents the tight relationship among them
(FundsForNGOs, 2010).
2.3. Trainer presents the Logframe table in order to elaborate the definition.
2.4. Trainer shares an observation on the different terminologies used for elements of
Logframe.
2.5. Trainer can briefly ask participants to explain elements of Logframe: overall
objective, purpose, results, activities, indicators and means of verification. Trainer
can then present their definitions and examples accordingly.
2.6. Trainer explains the relationship of “if and then” in relation to elements of
Logframe.
3. Why Logframe is important for PFP? (20 minutes)
3.1. Trainer explains why Logframe is important in Project Formulation/Preparation

(PFP): facilitate common understanding, logical analysis, core reference document,
continuity of approach, and as a summary of project information.
3.2. Trainer can ask participants to add more ideas.
4. How to develop Logframe? (80 minutes)
Process to develop Logframe
4.1. Trainer encourages participants to interact by asking:

• What are needed in order to develop a Logframe?
• How can we develop Lograme?
4.2. Trainer then explains that the results of problem, objective and strategy analysis
are used as the basis to prepare for Logframe development.
4.3. Trainer presents a diagram which shows the 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.
4.4. Trainer explains the Logframe development process step-by-step, including
relevant tool in each step, and a table that summarizes this whole process.
• During the explanation of Logframe development, trainer emphasizes that
“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)”.
4.5. Trainer asks participants, “what project information can be included in Logframe?”,
and then recaps on elements of Logframe in relation to a project.
4.6. Trainer explains level of control that project manager can have over the different
objective levels of Logframe.
Examples on Logframe development
4.7. In order to elaborate on how to develop a Logframe, trainer can choose to present
one or two practical examples, “improve the quality of river water” or “reduced

infant and maternal mortality rates”, depending on the available time and the
detailed level of explanation to be given. The explanation starts from results of
strategy selection continuing from the “Project Strategy and Goal” session, with
which trainer will show how different selected objectives and relevant information
are organized in the Logframe table.
4.8. Trainer can ask participants if they have followed this process in developing
Logframe for their project or how the example(s) helps them in understanding
Logframe development.
4.9. Trainer asks if participants have any questions or want to share some ideas on
Logframe.
5. Recommended formats and tools for Logframe (30 minutes)
5.1. Trainer presents the different formats of Logframe used by organizations. Trainer
emphasizes that the change in the number of rows and columns in the Logframe
table depends on practical use and necessity of each organization.
5.2. Trainer refers “recommended tools for Logframe” to “how to develop Logframe?”
that covered in details all tools and steps required for Logframe development.
Trainer can also ask participants “what tools can be used to develop Logframe?” in
order to refresh what were explained in the previous section. In brief, the
recommended tools are problem tree and objective tree.
6.1. The exercise in this session, exercise #1: Develop a Logframe, provides an
opportunity to participants to practice on developing a Logframe. Trainer presents
a list of project purposes or outcomes according to which participants will group
themselves:
contribute to poor health can include excess alcohol consumption, smoking,
poor hygiene, and so on).
• To improve reproductive health of young people aged 16 – 30.
Logframe?”, and then adds if they have any questions or would like to make any
remarks.
6.7. Trainer concludes Logframe session.
3.7. Session VI: Communication Plan
Participants will understand and be able to develop communication plan for a project.
Materials Needed

Time Needed

Steps

1.2. Trainer asks the following question:
• How many of you have had experiences in developing “communication
plan”?
2. What is communication plan and its key elements? (20 minutes)
2.1. Trainer continues to ask a connecting question:

• What do you understand when you see “communication plan”?
2.2. Trainer writes down all answers on flipcharts in order to connect them with the
definition of communication plan and its key elements.
2.3. Trainer presents the definition of communication plan.
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.
2.4. Trainer presents two types of communication plan: internal communication plan
and external communication plan.
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.
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.
2.5. Trainer encourages participants to reflect: what do they think about the definitions.
2.6. Trainer presents briefly the key elements of communication plan: communication
objectives, audiences: internal or external, key messages, communication means
and approaches, communication activities and time frame, and responsible
persons. Trainer adds that they will be explained more in section “how to develop
communication plan.
3. Why communication plan is important? (10 minutes)

3.1. Trainer presents the importance of communication plan
• Ensure the success of project planning by engaging stakeholders
• Show respect to the people, to whom the project serves, will make it more
likely successful
• Ensure systematic information sharing and two-way communication.
4. How to develop communication plan? (30 minutes)
4.1. Trainer presents the process that can be used to develop both internal and
external communication plan.
The process to develop communication plan: internal and external
1. Develop communication objectives: the main purpose of the

communication, which also contributes to the success of the project.
2. Identify audiences: internal and/or external; they are the people with
whom the project wants to communicate.
3. Design key messages: should be clear, benefit-oriented, and written in a
language that the target audiences can understand and relate to.
4. Select communication methods and approaches: verbal, or written, or
the combination of the two.
5. Plan for a two-way communication: promote dialogue, gather feedback
while sharing information.
6. Identify communication activities and develop time frame: decide tasks
to be done, and their timelines.
7. Implement communication activity: use a variety of activities in order to
roll out communication plan, and who will be responsible for those
activities.
8. Develop a communication budget: estimate and allocate costs for
communication.
9. Develop a communication monitoring: for reviewing communication plan
during and after its implementation.
4.2. In relation to the process of developing communication plan, trainer explains that
there are four tools can be used: communication analysis, communication activity,
communication budget, and communication monitoring. Trainer elaborates the use
of the tools with examples for internal and external communication plan.
4.3. Trainer encourages participants to reflect what were presented with their
experiences.
5.1. Trainer can choose to assign the group work on internal or external communication
plan, or ask if participants prefer to work on internal or external communication
plan – i.e. most closely related to their work or project.
5.2. Trainer can give one of the following four exercises for the group work:
• Exercise #1: Develop a Communication Analysis
• Exercise #2: Develop a Communication Activity
• Exercise #3: Develop a Communication Budget
• Exercise #4: Develop a Communication Monitoring

communication plan?”, then adds if they have any questions or would like to make
any remarks.
5.8. Trainer concludes communication plan session.
3.8. Session VII: Formulation of Monitoring and Evaluation Plan
Participants will know how to formulate a monitoring and evaluation plan.
Materials Needed

Time Needed

Steps
2. What formulation M&E plan is? (20 minutes)
2.1. Trainer asks two warm up questions:

• How many of you have had experiences in formulating a monitoring and
evaluation (M&E) plan?
• What do you know about M&E plan?
• Why it is important?
2.2. Trainer will write down all answers on flipcharts in order to connect with the next
point.
2.3. Trainer explains formulation of M&E plan.
Formulation of monitoring and evaluation 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 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.

3. Why is it important for formulating M&E plan? (10 minutes)
3.1. Trainer presents the importance and added values of formulation of monitoring and
evaluation plan in PFP. For example, ensuring planned results are achieved,
improving and supporting management, generating shared understanding,
generating new knowledge and support learning, helping in determining what
success will look like.
3.2. Trainer asks if participants have more ideas to add.
4. How to formulate M&E plan? (50 minutes)
4.1. Trainer presents eight steps in formulating M&E plan in detail

Step 1: Develop project intervention and framework which includes:
• Project goal
• Project objective/purpose/outcome
• Project results/outputs
• Project activities
• Project inputs
Step 2: Develop SMART indicators
Step 3: Identify information/data needed for monitoring
Step 4: Identify informants
Step 5: Identify data collection methods and tools
Step 6: Identify responsible persons and time
Step 7: Identify data analysis methods
Step 8: Identify report writing process
4.2. Trainer encourages participants to reflect the steps with their experiences.
4.3. Trainer presents an example of a Monitoring and Evaluation plan, and elaborates
on internal versus external reporting as part of the M&E plan.
5.1. The exercise, exercise #1: Develop an M&E Plan, provides an opportunity to
participants to formulate an M&E plan.
5.2. Trainer can ask participants to choose from the following list of projects and to
group themselves accordingly:
• Farming and Agriculture
• Reproductive Health
• General Health Care (e.g. reduce alcohol consumption, reduce smoking,
hygiene, …)
• Natural Resources Management
• Strengthening Community Network
formulation of M&E plan?”, then adds if they have any questions or would like to
make any remarks.
5.8. Trainer concludes formulation of M&E session.

3.9. Session VIII: Work Plan and Budget Plan
Participants will know how to formulate a work plan and a budget plan.
Materials Needed

Time Needed
Total duration: 210 minutes (3 hours and 30 minutes)

Steps

1.2. Trainer can ask quickly one or more of the following questions in order to know if
participants have had any experiences related to work plan and budget plan:
• Who have created a work plan? An annual work pan?
• Why a work plan is important for a project?
• What are elements of a work plan?
• Who have created a budget plan?
• Why a budget plan is important for a project?
2. What is a work plan? (10 minutes)
2.1. Trainer explains briefly 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).
3. What types of a work plan and its elements? (20 minutes)
3.1. Trainer asks participants “what types of work plan” they have used.
3.2. Trainer presents different types of a work plan and its use: weekly, monthly, and
annually.
3.3. Trainer explains key elements of a work plan: project objective, personnel, tasks,
and time frame; or trainer can ask participants to share their ideas on this point.
4. Benefits of work plan (10 minutes)
4.1. Trainer shows the importance of work plan, for example, define required resources,
define roles and responsibilities, clarify expectations and can be used as
monitoring tool.

4.2. Trainer asks participants to add more ideas.
5. Examples of different work plan formats (30 minutes)
5.1. Trainer asks participants: “what do we need in order to develop an annual work
plan?”
5.2. Trainer emphasizes that 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. Then arrange
them in a format of Gantt chart by using MS Excel or MS. Project.
5.3. Trainer provides three examples/formats of annual work plan.
5.4. Trainer can ask participants to briefly reflect if the example work plans share
common points with theirs.
6. What is a budget plan? (10 minutes)
6.1. Trainer explains what a budget plan is.
A budget plan is a document that outlines planned and estimated expenditures

of a project for a specific period of time. It reflects on project activities and
resources required in order to implement a project.
6.2. Trainer links the usage of budget plan in Project Formulation/Preparation phase to
Project Implementation phase: a budget plan is also a principal document that
project team needs to use at the project implementation phase before making any
actual expenditures as they have to check whether the items were included in the
budget and for which amount.
7. How to develop a budget plan? (30 minutes)
7.1. Trainer presents key points to consider when develop a budget plan: use a
previous budget plan as a basis, update items with current costs, and consult with
relevant team member and partners.
7.2. Trainer explains types of costs that can be included in a budget plan: core or
administrative costs and project costs.
7.3. Trainer advises participants to check budget guidelines and format from a donor in
case of applying for a grant or funding.
7.4. Trainer emphasizes that before actually starting to develop a 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. Then, use
activities from the Logframe matrix or work plan as items to be listed in the budget
plan.
7.5. Trainer presents two examples of budget plan.
7.6. Trainer asks participants to reflect on the examples of budget plan.
8. Exercises (90 minutes)
8.1. There are two exercises, exercise #1: Develop a Work Plan and exercise #2:
Develop a Budget Plan. Trainer can decide which exercise to give to participants,
or ask them if they prefer to work the one that is closely related to their area of
work; for example, some may need to practice more on work plan than budget plan
and vice versa.
8.2. Trainer divides participants into different groups, consisting of 3-5 participants per
group, according the exercise that they choose to do.

8.5. The groups start to work on the exercise and write down their discussion
work plan/budget plan?”, then adds if they have any questions or would like to
make any remarks.
8.8. Trainer concludes work plan and budget plan session.
3.10. Session IX: Elements of Project Proposal
• Participants will understand what elements are required for a project proposal and know
the different steps related to development of project proposal.
• Participants will understand and be able to identify appropriate elements for writing a
project report.
Materials Needed

Time Needed

Steps
2. What are elements of project proposal? (20 minutes)
2.1. Trainer asks the following questions in order to warm up the session
• In your opinion, what are elements of a project proposal?
2.2. Trainer writes down all answers on flipcharts in order to connect with the next
point.
2.3. Trainer presents definition of elements of project proposal and a project proposal
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.
A project proposal is a detailed description of a series of activities to be

implemented in response to particular problems and context.

2.4. Trainer emphasizes the integration of cross-cutting issues such as gender, climate
change, natural resources management, and people with disability in a project
proposal.
2.5. Trainer encourages participants to reflect on the above points and to add more
ideas.
3. Why is it important to know about elements of project proposal? (10 minutes)
3.1. Trainer presents the importance and added value of knowing elements of project
proposal
• Provide a comprehensive and complete picture of the entire project.
• Provide instructions and guidance on how to implement the project.
• A tool for communicating and presenting the details of a particular project to
stakeholders and donors in order to attract their interest and support.
3.2. Trainer asks participants if they would like to add more ideas.
4. How to develop a project proposal? (50 minutes)
4.1. Trainer illustrates three main steps in developing a project proposal: pre-proposal
writing, during proposal writing, post-proposal writing.
4.2. Trainer encourages participates to add more ideas during the illustration.
5. Project Proposal Checklist (10 minutes)
5.1. Trainer presents a checklist of items that are commonly included in project
proposal.
6. Planning for Project Report (30 minutes)
6.1. Trainer can ask two warm up questions:

• How many of you have experiences in writing project report?
• What do you need in order to write a project report?
6.2. Trainer presents the definition of project report.
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.
6.3. Trainer explains why do we write a project report, types of project report, and
common elements of project report.
6.4. Trainer asks if participants have something to add.
7.1. This exercise, exercise #1: Develop an Executive Summary of a Project Proposal,
gives an opportunity to participants to develop a very brief executive summary of a
project proposal.
7.2. Trainer presents the following list of project goals so that participants can form the
group accordingly:

contribute to poor health can include excess alcohol consumption, smoking,
poor hygiene, and so on).
• To improve reproductive health of young people aged 16 – 30.
elements of project proposal”, then adds if they have any questions or would like to
make any remarks.
7.8. Trainer concludes elements of project proposal session.
3.11. Module Conclusion
In this session, trainer has 60 minutes to summarize this module and to take questions or
comments from participants. Trainer can choose to present the summary or invite participants to
reflect on what they have learnt and add more points below in order to complete the summary.
This session will summarize key points of scoping the project and explore the possibilities, risk
assessment and management, objective tree analysis, project strategy and goal, Logframe,
communication plan, formulation of monitoring and evaluation plan, work plan and budget plan
and elements of project proposal.
Scoping the project and explore the possibilities
Project scoping and explore the possibilities is the first step in project
formulation/preparation (PFP). By using information from problem/project identification
phase, project scoping helps in:
• Defining broad parameters of a project that provide the foundation for subsequent
steps or analysis, and setting approximate boundaries for what the project will
attempt to do.
• Defining what resources will need to be mobilized: staff, equipment and materials,
information technology, local documents, and finance.
• Designing a project framework that responds to particular problem with clear
objectives, expected results and activities.
There are two main purposes of conducting project scooping and explore possibilities:
• When there is a need to respond to particular funding opportunities or call for
proposals from donors.
• When there is a need to explore more possibilities that can be aligned with key
priorities of donors’ areas of work.
Risk Assessment and Management
After project scoping, it is important to do risk assessment and management in order to

identity what are the risks and how to manage them. Therefore, the main ideas of risk
assessment and management are:

• Identify all potential risks that will negatively impact project implementation.
• Analyze the level of each risk and its effect on the project.
• Identify what to do in order to manage those risks in a risk management plan.
Objective Tree Analysis
Before being able to work an Objective Tree, we need to have a Problem Tree and problem
statements from Problem/Project Implementation phase. The analysis of Objective Tree is
important for a number of reasons:
• Reformulate problem statements into objective statements.
• Verify the hierarchy of objectives.
• Illustrate the means-ends relationships in a diagram.
Once complete, the objective tree provides a summary picture of the desired future
situation. 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. Its main strength is
that it keeps the analysis of potential project objectives firmly based on addressing a range
of clearly identified priority problems.
Project Strategy and Goal
Project Strategy
It is a very important step in PFP because “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.
The choice of one ore more strategies is made on the basis of criteria which have to
be agreed upon with the stakeholders and/or project team, which could include, but
not limited to:
• Expected contributions to a broad or national policy;
• Provide benefits to target groups including women and men, young and old,
disabled and able people;
• Financial and economic cost-benefit: costs produce deserving benefits;
• Capital and operational cost implications, and local ability to meet recurrent
costs;
• Technical feasibility: strategy that is technically doable.
In the strategy selection, objectives responding to the agreed strategy selection

criteria are selected while others will be dropped. The selected objectives will then be
used for Logframe development.
Project Goal
A Goal is very important for a project because it is a broad statement of the overall
purpose or outcome that the proposed project is expected to achieve. A project goal
derives from objective(s) at “ends” level of the objective tree.
Normally, a project goal 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. It
is, however, cannot be achieved by the project alone or directly but through

contribution of other projects. The goal should be SMART as it is specific,
measurable, appropriate, realistic and time-bound.
Logframe
The Logframe consists of a table which usually has four columns and four rows, and is a
vehicle for organizing a large amount of information in a coherent and concise manner,
assisting with the formulation/preparation, implementation, monitoring and evaluation of
projects. We know about various components of a project such as overall objective,
purpose, results, activities, indicators, means of verification, and important assumptions.
The Logframe helps in connecting all these components in one framework, and presents
the tight relationship among them.
Logframe is important for PFP for a number of reasons:

• The use of Logframe or shared terminologies facilitates common understanding
and better communication among project staff and stakeholders.
• It provides systematic information and logical analysis, which 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 the planning.
• Some donors require a summary of project information in Logframe to be
submitted with the project proposal.
The development process of Logframe starts from problems in the problem tree, then to
objectives in the objective tree, after to strategy selection through the use of the objective
tree, and finally to the Logical Framework Matrix.
Although the format of Logframe usually has four columns and four rows, the number of
columns and rows can be added or removed according to the practical use and necessity of
each organization.
Communication Plan
In order to implement a project successfully, it is very crucial to get all key stakeholders to
actively engage during the entire project implementation period. They will be interested in
involving in the project when they understand it well. Therefore, there is a need to
communicate all project aspects to internal and external key stakeholders:
• It is important to develop internal and external communication plan.
• Communication plan should be reviewed regularly in order to keep everyone
updated and to improve whenever needed.
• The four tools can be used to develop communication plan are communication
analysis, communication activity, communication budget and communication
monitoring.
Formulation of Monitoring and Evaluation Plan
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.
A clear monitoring and evaluation plan enables a project team to know:

• How far a project can achieve its goal and objectives.
• Challenges they have encountered and how to deal with them.

• Relevant measures that a project should do or change to become more effective
and efficient in utilizing time, money and resources.
• How to mitigate and manage crises, and ensure smoother implementation.
Work Plan and Budget Plan
Work Plan
Work Plan or 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. To do a work plan, activities from the Logframe are needed. There are
several types of a work plan: a weekly work plan, a monthly work plan, and an annual
work plan.
A work plan provides the following benefits:

• 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 the 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 has started.
Budget Plan
A budget plan outlines planned and estimated expenditures of a project for a specific
period of time. To develop a budget plan, activities from Logframe or work plan are
needed. A budget plan is important because:
• A plan that reflects on project activities and resources required in order to
implement a project.
• A proper and well planned budget is required to convince project donors –
when there is a need to request for funding.
• A principle document that project team needs to use at the project
implementation phase before making any actual expenditures as they have
to check whether the items were included in the budget and for which
amount.
Elements of Project Proposal
The final step in PFP is elements of project proposal. It is very important to incorporate all
project aspects in one document that can be used to communicate with supporters and
donors.
In addition to focusing on identified problems, contexts, and stakeholders, the project

aspects should also include cross-cutting issues: gender, climate change, natural resources
management, and people with disability.
There are three main steps in developing elements of project proposal:

• Pre-proposal writing: formulating a project that responds precisely to a problem
and its context.
• During proposal writing: putting all project aspects together and explain how the
project will be implemented successfully.
• Post-proposal writing: communicate the project proposal to supporters and donors.

It should be noted that when a project proposal is successful to secure funding support from
donors, you will be asked to submit a project report so that they can learn how well the
project has been implemented.
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.
There are different types of project report, depending also on the time frame of the project,
which can be quarterly report, mid-year report, annual report, mid-term report, and final
project report. The common elements to be included in a report, in spite of different types,
are report title, author(s), table of contents, executive summary, introduction, achievements,
operation, and annexes.
At the end of this session, trainer can proceed to the post-test session in order to assess the level
of knowledge participants have acquired through training of this module.
3.12. Module Post-Test
• To know at what level participants understand the contents of the training.

• To determine the level of knowledge that participants acquire after the training.
Materials Needed

Time Needed
Total duration: 60 minutes
Steps
1. Post-Test (60 minutes)
1.1. Trainer distributes the post-test to all participants, asks them to read through all the
questions, and ask for clarification before starting to work on the test.
1.2. Trainer allocates approximately 40 – 50 minutes to participants to work on the test.
1.3. Trainer collects the filled post-test from participants.
4. References

4.1. Session Plan for the Module
Module Objectives:
• Participants understand the importance of Project Formulation/Preparation in Project Cycle Management.
• Participants understand in depth how various techniques and tools are used in scoping the project and explore the possibilities, in
assessing and managing risks, in analyzing objective tree, in forming and selecting project strategy and goal, in developing Logframe, in
developing communication plan, in formulating of monitoring and evaluation plan, in developing work plan and budget plan, and in
examining elements of project proposal.
• Participants are able to conceptualize and apply these techniques and tools in formulating and preparing a project.
Sessions Contents Objectives Methodologies Training Materials Time Required

Overview of • What is project • To provide an • Trainer introduces the session • Presentation 45 minutes
Project formulation/preparation? overview of and its objective. • Laptop
Formulation/ • Why is PFP important to PFP • Trainer presents the contents • LCD projector
Preparation Project Cycle of the session. • Pointer
Management (PCM)? • During the presentation, • Flip charts
• How to ensure effective trainer encourages • Markers
obtaining information for participants ask or share • Color papers
PFP? ideas or to participate in the
• Contents of PFP plenary discussion as much
• Objectives of PFP as possible.
module
• Recommended
techniques and tools to
be used in PFP
Module Pre-Test • Scoping the project and • To find out Trainer distributes the pre-test Pre-test sheet for 45 minutes
explore the possibilities whether or not sheet for module 2, and helps module 2
• Risk assessment and participants participants with any of their
management have had questions
• Objective tree analysis practical
• Project strategy and goal knowledge and
• Logframe experience
• Communication plan related to the

• Formulation of contents of the
monitoring and module.
evaluation plan • To know
• Work plan and budget whether they
plan have or not
• Elements of project have theoretical
proposal knowledge
related to the
contents of the
module.
Scoping the Scoping Participants will • Trainer introduces the session • Presentation 210 minutes
project and • What is project scoping? understand how to and its objective. • Handout • Presentation
explore the • How important is project conduct project • Trainer presents the contents • Exercise and interaction:
possibilities scoping? scoping and of the session. sheets 140 minutes
• How to conduct project explore • During the presentation, • Pre-test • Exercise: 70
scoping? possibilities. trainer encourages • Post-test minutes
participants to share ideas, • Laptop
Exploring the possibilities stories, experiences from their • LCD projector
• What is the exploring work, or to participate in the • Pointer
possibilities? plenary discussion as much • Flip charts
• How important is as possible. • Markers
exploring possibilities • Trainer divides participants • Color papers
• How to conduct exploring into different groups in order
possibilities? to work on the exercises.
• Before concluding the
session, trainer asks if
participants have any
questions or would like to
make any remarks, and
encourages them to do a
learning reflection of the
session.
Risk • What is risk assessment Participants • Trainer introduces the session • Presentation 180 minutes

Assessment and management? understand how to and its objective. • Handout • Presentation
and • Why the risk assessment conduct risk • Trainer presents the contents • Exercise sheet and interaction:
Management and management is assessment and of the session. • Pre-test 90 minutes
important in PFP? management. • During the presentation, • Post-test • Exercise: 90
• How to conduct Risk trainer encourages • Laptop minutes
Assessment & participants to share ideas, • LCD projector
Management? stories, experiences from their • Pointer
work, or to participate in the • Flip charts
plenary discussion as much • Markers
as possible.
• Color papers
• Trainer divides participants
into different groups in order
to work on the exercises.
session.
Objective Tree • What is an Objective Participants will be • Trainer introduces the session • Presentation 180 minutes
Analysis Tree Analysis? able to transform a and its objective. • Handout • Presentation
• Reformulating Problem problem tree into • Trainer presents the contents • Exercise and interaction:
Statements into an objective tree. of the session. sheets 100 minutes
Objective Statements • During the presentation, • Laptop • Exercise: 80
• Steps in Formulating an trainer encourages • LCD projector minutes
Objective Tree participants to share ideas, • Pointer
• Examples of Objective stories, experiences from their • Flip charts
Tree work, or to participate in the • Markers
plenary discussion as much • Color papers
as possible.

session.
Project Strategy • Analysis of Project Participants will • Trainer introduces the session • Presentation 180 minutes
and Goal Strategy know how to select and its objective. • Handout • Presentation
• Criteria for Choosing a project strategy and • Trainer presents the contents • Exercise sheet and interaction:
Project Strategy to formulate of the session. • Laptop 90 minutes
• Examples of Project SMART goal. • During the presentation, • LCD projector • Exercise: 90
Strategy Selection trainer encourages • Pointer minutes
• SMART Goal participants to share ideas, • Flip charts
stories, experiences from their • Markers
work, or to participate in the • Color papers
plenary discussion as much
as possible.
session.
Logframe • What is Logframe? Participants will • Trainer introduces the session • Presentation 300 minutes
• Why Logframe is know how to use and its objective. • Handout • Presentation

important for PFP? the Logframe for a • Trainer presents the contents • Exercise sheet and interaction:
• How to develop well-design project. of the session. • Laptop 190 minutes
Logframe? • During the presentation, • LCD projector • Exercise: 110
• Recommended formats trainer encourages • Pointer minutes
and tools for Logframe participants to share ideas, • Flip charts
stories, experiences from their • Markers
work, or to participate in the • Color papers
plenary discussion as much
as possible.
session.
Communication • What is communication Participants will • Trainer introduces the session • Presentation 180 minutes
Plan plan understand and be and its objective. • Handout • Presentation
• Why communication able to develop • Trainer presents the contents • Exercise sheet and interaction:
plan is important? communication of the session. • Pre-test 90 minutes
• How to develop plan for a project. • During the presentation, • Post-test • Exercise: 90
communication plan? trainer encourages • Laptop minutes
participants to share ideas, • LCD projector
stories, experiences from their • Pointer
as possible.
• Color papers

session.
Formulation of • What formulating M&E Participants will • Trainer introduces the session • Presentation 180 minutes
Monitoring and plan is know how to and its objective. • Handout • Presentation
Evaluation Plan • Why important formulate a • Trainer presents the contents • Exercise sheet and interaction:
formulating M&E plan is monitoring and of the session. • Pre-test 90 minutes
• How to formulate M&E evaluation plan. • During the presentation, • Post-test • Exercise: 90
plan trainer encourages • Laptop minutes
participants to share ideas, • LCD projector
stories, experiences from their • Pointer
as possible.
• Color papers
session.

Work Plan and • What is a work plan? Participants will • Trainer introduces the session • Presentation 210 minutes
Budget Plan • What types of work plan know how to and its objective. • Handout • Presentation
and its elements? formulate a work • Trainer presents the contents • Exercise sheet and interaction:
• Benefit of work plan plan and a budget of the session. and result 120 minutes
• Examples of different plan. • During the presentation, • Laptop • Exercise: 90
work plan formats trainer encourages • LCD projector minutes
• What is a budget plan? participants to share ideas, • Pointer
• How to develop a budget stories, experiences from their • Flip charts
plan? work, or to participate in the • Markers
plenary discussion as much • Color papers
as possible.
session.
Elements of a • What are elements of • Participants will • Trainer introduces the session • Presentation 240 minutes
Project project proposal? understand what and its objective. • Handout • Presentation
Proposal • Why is it important to elements are • Trainer presents the contents • Exercise sheet and interaction:
know about the elements required for a of the session. • Pre-test 130 minutes
of project proposal? project proposal • During the presentation, • Post-test • Exercise: 110
• How to develop a project and know the trainer encourages • Laptop minutes
proposal? different steps participants to share ideas, • LCD projector
• Project Proposal checklist related to stories, experiences from their • Pointer
• Planning for project report development of work, or to participate in the • Flip charts
project proposal. plenary discussion as much • Markers
• Participants will as possible.
• Color papers
understand and • Trainer divides participants

be able to into different groups in order
identify to work on the exercises.
appropriate • Before concluding the
elements for session, trainer asks if
writing a project participants have any
report. questions or would like to
session.
Module • Scoping the project and • To provide a • Trainer summarizes key • Presentation 60 minutes
Conclusion explore the possibilities summary on points of nine sessions in this • Laptop
• Risk assessment and key points of module, or trainer can ask • LCD projector
management the nine participants to reflect on what • Pointer
• Objective tree analysis sessions in this they have learnt and add • Flip charts
• Project strategy and goal module more points to complete the • Markers
• Logframe summary. • Color papers
• Communication plan • Trainer asks participants if
• Formulation of they have something to add or
monitoring and have any questions.
evaluation plan
• Work plan and budget
plan
• Elements of project
proposal
Module Post- • Scoping the project and • To know at Trainer distributes the post-test Post-test sheet for 60 minutes
Test explore the possibilities what level sheet for module 2, and helps module 2
• Risk assessment and participants participants with any of their
management understand the questions.
• Objective tree analysis contents of the
• Project strategy and goal module.
• Logframe • To determine
• Communication plan the level of

• Formulation of knowledge that
monitoring and participants
evaluation plan acquire after
• Work plan and budget the training.
plan
• Elements of project
proposal

4.2 All Resources and Materials Used for Developing the Manual
Örstengren, K. (2004). The Logical Framework Approach. Swedish International Development

Cooperation Agency.
Akerkar, S. (2001). Gender and Participation. Institute of Development Studies.
Artto, K., Kujala, J., Dietrich, P., & Martinsuo, M. (2008). What is Project Strategy? International
Journal of Project Management(26), 4-12.
AusAID. (2005). The Logical Framework Approach. AusGuideline. Australian Government.
Brignani, N. (2013). Project Cycle Management for International Development Cooperation.
Università degli Studi di Macerata.
BSR. (2011). Stakeholder Mapping. BSR.
CARE. (2007). The Basics of Project Implementation: a Guide for Project Managers. (N. Hussein,
Ed.)
CFNG. (n.d.). Elements of a Strategic Communications Plan. Center for First Nations Governance.
Chambers, R. (1992). Rural Appraisal: Rapid, Relaxed and Participatory. IDS Discussion Paper.
(311, Ed.) Institute of Development Studies.
Chambers, R., & Blackburn, J. (1996). The Power of Participation: PRA and Policy. IDS Policy
Briefing, 7. (G. Barnard, Ed.) Institute of Development Studies.
Chatty, D., Baas, S., & Fleig , A. (2003). Participatory Processes Towards Co-Management of
Natural Resources in Pastoral Areas of the Middle East. Food and Agriculture Organization
of the United Nations.
Chazaly, C. (2011). Beneficiary Communications Evaluation. International Federation of Red Cross
and Red Crescent Societies.
CIP. (n.d.). SWOT Analysis. CIP and European Commisstion Enterprise and Industry.
CoMindWork. (2015). Primary and Secondary Stakeholders of Organization. CoMindWork.
Constantini, G., & Quinti, G. (2004). SARD Project Toolkit: a Resource Guide for Promoting SARD
in Projects and Programmes. Food and Agriculture Organization of the United Nations.
Crawford, I. (1997). Chapter 8: Rapid Rural Appraisal. In Marketing Research and Information
Systems. (Marketing and Agribusiness Texts - 4). Food and Agriculture Organization of the
United Nations.
CRS. (2013). Communication Toolbox: Practical Guidance for Program Managers to Improve
Communication With Participants and Community Members. Catholic Relief Services.
Curtis, P., & Carey, M. (2012). Risk Assessment in Practice. Committee of Sponsoring
Organisations of the Treadway Commission.
Deloitte. (2013). Exploring Strategic Risk: 300 executives around the world say their view of
strategic risk is changing. Deloitte.
DFID. (2011, January). Guidance on using the revised Logical Framework. A DFID Practice Paper:
How to Note. Department of International Development.
EC. (2004). Aid Delivery Methods: Project Cycle Management Guidelines. European Commission.
EC. (2006). Elements of the Cycle of Operations and Introduction to the Logical Framework
Approach. European Union.
EURIDA. (2014). The Logical Framework Approach – an Introduction. EURIDA.
Evaluation Toolbox. (2010). Problem Tree/Solution Tree Analysis. Evaluation Toolbox.
FAO. (1990). The Community's Toolbox: The idea, Methods and Tools for Participatory
Assessment, Monitoring and Evaluation in Community Forestry.
FAO. (2002). The Group Savings Resource Book: a Practical Guide to Help Groups Mobilize and
Manage their Savings. Food and Agriculture Organization of the United Nations.

FAO. (2004). Rural Households and Resources: a Pocket Guide for Extension Workers. Food and
Agricultural Organization of the United Nations.
Fellows, P. (1997). Guidelines for small-scale fruit and vegetable processors. Conducting a
feasibility study. Food and Agriculture Organization of the United Nations.
FFI. (2013). Seasonal Calendar. Fauna & Flora International.
FlexStudy. (n.d.). Financial Risk Management. FlexStudy.
Freudenberger, K. (2008). Rapid Rural Appraisal and Participatory Rural Appraisal: A Manual for
CRS Field Workers and Partners. Catholic Relief Services.
FRP. (2011). Communicating Internally and Externally. The Future Ready Project.
FundForNGOs. (2011). Types of Costs to be included in the Budget . FundForNGOs.
FundForNGOs. (2011). What is a Budget – for NGOs? . FundForNGos.
FundForNGOs. (2011). What should not be done with a Budget – for NGOs? . FundForNGOs.
FundsForNGOs. (2010). What is Logical Framework Analysis (LFA) and why is it important? Funds
for NGOs.
Groenendijk, L. (2003). Planning and Management Tools: a Reference Book. The International
Institute for Go-Information Science and Earth Observation.
Groenendijk, L. (2003). Planning and Management Tools: a Reference Book. The International
Institute for Geo-Information Science and Earth Observation.
Gómez-Jauregui, J. (2004, Nov). The feasibility of government partnerships with NGOs in the
reproductive health field in Mexico. Reprod Health Matters, 12(24), pp. 42-55.
Gumpert, D. (1998). Chapter 5: Conducting a Feasibility Study. In M. Myers , G. Lawless, & E.
Nadeau, Cooperatives: A Tool for Community Economic Development. University of
Wisconsin Center for Cooperatives.
Hovland, I. (2005). Toolkit Successful Communication: a Toolkit for Researchers and Civil Society
Organisations. Overseas Development Institute.
HSE. (2012). Health and Safety Executive Five steps to risk assessment. Health and Safety
Executive.
IFC. (2007). Stakeholder Engagement: a Good Practice Handbook for Companies Doing Business in
Emerging Markets. International Finance Corporation.
ITAD. (1999). Project Cycle Management Training Handbook. Information Training and
Agricultural Development.
IUCN. (n.d.). Situation Analysis - an Approach and Method for Analyzing the Context of Projects
and Programme.
Johns Hopkins University. (2013). Module 4: Designing a Program. Johns Hopkins University.
LA GRA, J. (1990). Annex 13 - The logical framework. In A Commodity Systems Assessment
Methodology for Problem and Project Identification. University of Idaho.
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Monti, G. (2012). Resilience Engineering #30: Balance and Perspective. Active Garage.
Mukhejee, N. (1993). Participatory Rural Appraisal: Methodology and Applications. Concept
Publishing Company.
Mukund. (2012). Feasibility Study – an Important aspect of Project Management. Mukund.
NAO. (2015). Scoping Document. Norwest Aviation Operations.
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Development Mission for Asia.
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Pacific Regional Environment Programme.
Nebiu, B. (2002). Project Proposal Writing. Regional Environmental Center for Central and
Eastern Europe.

Norris, C., Perry, J., & Simon, P. (2000). Project Risk Analysis and Management. The Association
for Project Management.
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Administration.
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Scientific Writing. McGraw-Hill Higher Education.
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Sera, Y., & Beaudry, S. (2007). Resource Mobilization. (Y. S. Beaudry, Ed.) World Bank.
Sewell, B., Smith, P., Phillips, C., & Lane, M. (2011). Scoping Exercise to Identify Areas for
Research, Evaluation and Audit in Relation to the Practice and Delivery of Cardiac
Rehabilitation. Swansea University.
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Modifying PRA Tools to Your Needs. An Example from a Participatory Household Food
Security and Nutrition Project in Ethiopia. Food and Agriculture Organization of the United
Nations.
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Task Force.
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Networking for International Development.
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cycle management. Washington, DC: World Bank.
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5. Glossary of Terminologies
Gantt charts
A Gantt chart is a type of bar chart, devised by Henry Gantt in the 1910s, that illustrates a project
schedule. Gantt charts illustrate the start and finish dates of the terminal elements and summary
elements of a project1.
Logical Framework Approach (LFA) (see Örstengren (2004))
LFA was developed during the 1960s and has been widely spread all over the world since the
1970s. Today it is used by private companies, municipalities and by all most all international
development organizations, when identifying, preparing, assessing, and making follow-ups and
evaluations of projects or programs.
LFA is:
• An instrument for logical analysis and structured thinking in project planning.
• A framework, a battery of questions which, if they are used in a uniform way, provide a
structure for the dialogue between different stakeholders in a project.
• A planning instrument, which encompasses the different elements in a process of change
(problems, objectives, stakeholders, plan for implementation, and so on). The project plan
may be summarized in a Logical Framework Matrix, the Logframe.
• An instrument to create participation/accountability/ownership.
• Common sense.
LFA is used to:

• Identify problems and needs in a certain sector of society.
• Facilitate selecting and setting priorities between projects.
• Plan and implement development projects effectively.
• Follow-up and evaluate development projects.
1
https://en.wikipedia.org/wiki/Gantt_chart

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Volume I

Module 3: Project Formulation/Preparation

Sidaroth KONG and Bunchhoeuth KENG

M3: Project Formulation/Preparation Page 1 of 47

1. General Introduction .................................................................................................................. 4

M3: Project Formulation/Preparation Page 2 of 47

M&E Monitoring and Evaluation

M3: Project Formulation/Preparation Page 3 of 47

1.1. Self Introduction

1.2. Objectives of the Module

Trainer introduces the module and its objectives:

1.3. Contents of the Module

Scoping the Project and Explore the Possibilities

Exploring the possibilities

Risk Assessment and Management

M3: Project Formulation/Preparation Page 4 of 47

Objective Tree Analysis

Project Strategy and Goal

Formulation of Monitoring and Evaluation Plan

Work Plan and Budget Plan

Elements of Project Proposal

1.4. Module Pre-Test and Post-Test

M3: Project Formulation/Preparation Page 5 of 47

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

2.2. Why is PFP important in Project Cycle Management (PCM)?

Therefore, the importance of PFP to PCM includes (see Constantini (2004)):

M3: Project Formulation/Preparation Page 6 of 47

2.4. Recommended techniques and tools to be used in PFP

The information obtained in PPI that is useful for PFP is:

M3: Project Formulation/Preparation Page 7 of 47

3. Detailing Step-by-step Instruction from Beginning to the End of the

3.1. Module Pre-Test

Objective of the Session

• For trainer: presentation, session notes, a laptop, an LCD projector, a pointer

Total duration: 45 minutes

1. Pre-Test (45 minutes)

3.2. Session I: Scoping the Project and Explore Possibilities

Objective of the Session

M3: Project Formulation/Preparation Page 8 of 47

Total duration: 210 minutes (3 hours and 30 minutes)

1. Session introduction (10 minutes)

1.1. Trainer introduces the session and its objective.

2. What is Project Scoping? (10 minutes)

2.1. Trainer asks a connecting question:

Project scoping is a key management practice for planning and delivering

It is also a process of identifying issues, concerns, and opportunities for

2.4. Trainer encourages participants to reflect on which definition is the most

3. How important is Project Scoping? (10 minutes)

3.1. Trainer presents the importance of project scoping.

Project Scoping is the first step in Project Formulation/Preparation (PFP). The

5. Recommended tool for Project Scoping (15 minutes)

6. What is the exploring possibilities? (10 minutes)

6.1. Trainer explains what are exploring possibilities.

Exploring possibilities is a process of analyzing and identifying new possible

Exploring possibilities is also a method of identifying new project opportunity,

7. How important is exploring possibilities? (10 minutes)

7.1. Trainer explains the importance of exploring possibilities.

Mostly exploring possibilities for a project occurs when there is a need to

Sometimes, there is also a need to develop various project ideas to sell to

8. How to conduct exploring possibilities? (20 minutes)

9. Recommended tools for exploring possibilities (40 minutes)

M3: Project Formulation/Preparation Page 10 of 47

10. Exercise (70 minutes)