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Prof. Dr. Md. Tajul IslamMember, UGC

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Proposal Formats (8)Selection of proper format is obligatory.

W i n d o w s: UAIFS UGCAIFS

Win-1 Teaching-Learning PP Anx-5 CP Anx-6

Self-Assessment CP Anx-11 CP Anx-11

Win-2 Research not Leading to Degree

PP Anx-7 CP Anx-8

Research Leading to Degree

PP Anx-9 CP Anx-10

Win-3 University wide CP Anx-12 CP Anx-12

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Window-1:

Probable Activities

for

Improvement of Teaching-Learning

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Teaching-Learning: Objectives

1. To enhance the professional skills of the academic staff in providing innovative and high quality teaching;

2. To modernize education by formulating a flexible and student-centered curricula design that emphasizes learning outcomes, competencies, interdisciplinary and multidisciplinary courses, and by facilitating lifelong learning and employability;

3. To improve the institutional academic infrastructure

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Teaching-Learning: Activities

a) Provisional/Contractual recruitment of qualified teachers holding PhD

b) Modernization of academic programs that meet demand of labour market and increase employability of graduates

c) Formulation of student centered curricula designs with emphasis on learning outcomes and competencies

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Teaching-Learning: Activities

d) Invitation to post-doctoral fellows & scholars to offer courses and doing research

e) Improvement of library services

f) Design and implement self-assessment exercise at program or department level

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Window-2:

Probable activities

for

Improvement of Research Capabilities

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Improvement of Research: Objectives

1. To enhance the professional skills of the academic and support staff in conducting research that will contribute to social and economic growth and national innovation, competitiveness and development;

2. To improve the institutional research facilities

3. To support the development of high quality PhD programs, national and international inter-departmental and inter-university cooperation, & collaboration.

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Improvement of Research: Activities

a) Modernization of postgraduate programs of national importance

b) Initiate joint academic-research programs with national and foreign universities and research organizations

c) Formulation of innovative research oriented to industries and market demands

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Improvement of Research: Activities

d) Development of laboratories to conduct innovative research

e) Collaborative initiatives between academics, researchers and industries

f) Professional development of academic and support staff for research activities

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PROJECT PROPOSAL

C O M P O N E N T S

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Proposal Components

Components PP CP

1. Proposal title √ √

2. Institutional information √ √

3. General objectives √ √

4. Specific objectives √ √

5. Sub-project summary √ √

6. Strategic Analysis √ √

7. Background Data Substantiating the Strategic Analysis (Tables-1, 2/3)

√

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Proposal ComponentsComponents PP CP

8. Table of Milestones √

9. Table Performance Indicators √

10. Relevance √ √

11. Benefits (Qualitative and Quantitative) √ √

12. Operation & Maintenance of Equipment/Instrument

√

13. Environmental effect/impact √

13. Summary of Estimated Budget √ √

14. Work/Activities Plan √ √

15. Financing Plan √

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Proposal Components

Components PP CP

16. Procurement Plan √ √

17. Training Plan √

18. Detail Budget √ √

19. Sub-project Management Team √ √

20. Technical assistance/consulting √

21. Linkages/collaboration √

22. Experience of similar project √

23. Effect/impact of the sub-project √

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Proposal Components

Components PP CP

24. Sustainability √

25. Safety Checklist & Mitigation Plan √

26. Name and address of two peers √

27. Signature of the SPM √ √

28. Signature of the Head of Proposal Submitting Entity

√ √

29. Institutional Commitment √

30. Signature of Vice-Chancellor √

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Proposal ComponentsAnnex PP CP

Milestones to Evaluate Sub-project Implementation √

Performance Indicators to Evaluate Sub-project Impact

√

Work plan √ √

Financing Plan √

Procurement Plan: Goods, Works & Services √ √

Training Plan √

Details of Estimated Budget √ √

Organogram of Sub-project Management Office √ √

Attachment-A: RESUME √ √

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Proposal title

Informative, not creative Brief, precise, informative, comprehensive Reflect objectives Should include well known “key words” Institutional and project responsibilities

should be well established

Complete “at the end of writing”

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Institutional information

Self-explanatory

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General objectives

Should reflectthe title; Repeat keywords if possible

Should be commensurate with vision, mission, goal of the University, entity

State main problem addressed by the proposal State objectives referred to medium-term

results and impact that the institution would like to achieve

In bullet form No overlapping

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Specific objectives

Should support the General Objectives Several specific objectives against one

General objective Identified and numbered Clear and specific Measurable, not necessarily quantified Achievable during lifetime of the project

but outreach beyond Relevant in the local context Should allow periodic M&E

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Proposal summary 150 for PP & 250 for CP A first concise view of the proposal Follow logical framework approach

a. Goal & Purpose General Objectives

b. Purpose & Output Specific Objective Expected Result Outcome

c. Output & Input Activities, Methods etc.

Item-wise paragrapgh captions

Strategic Analysis (SWOT)

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Strategic Analysis

- Basically SWOT analysis (Annex 1-B)

- Should clearly indicate that all categories of stakeholders participated in the exercise

- Both internal (strength & weaknesses) and external (opportunities & threats) factors should be analyzed & highlighted

- Link SWOT results with objective, activity, outcome, performance indicator

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Background Data

- Should link the background data with SWOT (S & W part)

- Should generate extra relevant information along with the given questions

- Data should relate to the sub-project issues

- Some quantitative facts about the entity

- Some important items not to be omitted: Basic academic indicators (input, output, outcomes); physical facilities, institutional tendencies

Note: SWOT analysis & background data should be related

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Research Area (non-degree)

• For Window-2 CPs only

• Conceptual framework of research

• Narrow down topic

• With necessary technical jargons

• Hypothesis expected results and outcomes

• Link between facilities to be created and research

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Research area (Degree)

For Window-2 CPs only

Conceptual framework of broad research field

With necessary technical jargon

Identify specific areas for students

Link between facilities to be created and research

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Project Indicators

Level 1. Milestones. Describe progress in sub-project implementation Expressed in terms of critical activities/outcome

Level 2. Performance indicators. key variables that affect beneficiaries

Refer to Annex-2 of AIFOM (2nd ed)

Essential for M&E, measurement of achievement of results, effectivity in resource’s use and improvement of project design.

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Milestones Level 1

Achievement of critical activities / Results Only critical activities & critical results Activity-Result relation should be well visible

and self explanatory

• Should indicate a new level in implementation Must be objectively verifyable Relate to work plan, procurement plan,

financing plan

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Performance Indicators (level 2)

Relation between milestones & performance indicators, log frame

Log-frame: Input →Output → Purpose →Goal

Milestone Performance Indicator

- May be within the sub-project period, some may go beyond

- May be quantitative and qualitative (but verifiable) - Assumptions should be realistic - Verification methods clear, operational- Refer to general objective, specific objectives,

benefits, University characteristics etc.

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Table of Milestones (example from HEQEP)

Milestone Specific Objective

Critical activities

Verification method

Assumption

AIFOM published

Teaching – learning, research

Manuscript printing contract

Physical Sufficient no. of tenders

AIF startup -Do- Proposal call evaluation contract sign

List of subprojects

All time schedule maintained

BDREN first phase

High speed Internet

Design Fiber laying NOC creation

Physical No administrative hindrance Univ. coop-n

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Table of PI (example from HEQEP)

PI Space objective

Cal. method

Assump-tion

Verif. method

Cal. base value

Base value 2011

Desired value 2014

Devt. of new curriculum

Teach-g learning

% Academic Council Approval

MNE report

% **** ****

Student access to Internet

High speed Internet

% Sufficient internal connec-tivity

Survey % **** ****

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Relevance

Explicit:

University & Entity relevance (eg. Agri Univ. projects should be agri related)

Regional relevance

National relevance

Relate to sub-project activities, specific objective, SWOT results

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Benefits (qualitative and quantitative)

• Be imaginative but objective• Direct and indirect benefit

• Relate to general objective, specific objective• Relate to performance indicators Some examples

Better R&D infrastructure and capacity Wider Ph.D. disciplinary coverage, enrolment

and graduation Higher research outputs, productivity and

international linkages

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Operation and Maintenance of equipment and instruments

Institutional capacity in operation and maintenance of equipment and instruments that will be used in the project:

In-house preventive maintenance In-house servicing Repair parts Externaly procured servicing

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Budget (Aggregate and Detail)

• Detail and aggregate are structurally related

• Detail first and Aggregate will follow

• Employ economic code

• Comply ceiling and rates e.g.– SPM incentive, no. of Assoc. SPM, Civil work, etc.– Ph.D., MPhil scholarship, Foreign visit etc.

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Budget AIF: Eligible Expenditures (Article-13)

1. Training, conference, scholarship2. Academic collaboration, visit, remuneration3. Self assessment4. Procurement of goods, TLM, ICTs, chemicals5. Procurement of small works (renovation)6. Procurement of services: consulting fees7. Operational cost (2% of costs)8. Non-eligible recurring expenditures

Works Salaries Other costs

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Budget

AIF: Non-Eligible Expenditures (Article 13.10) Salary and allowances for permanent

academic and support staff of university Any expenditure of the office other than

the sub-project Large civil works Cost not related to the sub-project

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Workplan should be progressive and realistic

Activities should be logically sequenced Where, when and who questions should be

answered! Clear milestones should be set Duration of preparation versus

implementation should be realistic

Workplan: Actions in time chart (Gantt chart)

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Training PlanTwo types:

(a) Training for implementation of the SP

(b) Training as specific objective of the SP

Should be logically sequenced

Academic staff upgrading

Academic staff development. Post-graduate degrees, local and abroad. New qualified staff

Support/ management staff. Technicians

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Procurement Plan Goods, Works and Services separately

Use World Bank format Useful management tool for project activity planning and

implementation of purchases

Links to budget and work plan. Coherence

On time adjustments for delays and contingencies will allow on time updates of work-plan and efficiency improvements

Careful management of procurement will normally produce project savings that can be used to support other project purposes

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Sub-project management team

Sub-project Team includes SPM, ASPM & Associate SPMs

Human resources behind a project Responsibilities and challenges Institutional role Academic role Project organization Technical committee

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Institutional linkages

Links with other improvement programs in the institution

Links with other universities. Links with other organizations; example: industry If possible, consider their participation in the first

design stages

University-1 Development Plan

Proposal Proposal Proposal Proposal

Other institutions Other institutions University-2

Development Plan

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Effects and Impacts

Environment Women and children Employment and poverty reduction Institutional performance Human resource development Academic program Research Food security Productive innovation Governance Disaster management

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Proposal Sustainability Continuation after the contract can be

foreseen and is realistic Capitalisation on previous experiences

Medium/long term impact can be expected

Long-lasting effect on institutions/target groups

Environmental, safety hazard protection and risk mitigation have been considered

Institutional commitments on implementation and sustainability are clear and convincing

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ANNEXES

1. Table of (a) Milestones & (b) Performance Indicators

2. Work / Activity Plan3. Financing Plan4. Procurement Plan (Goods)5. Procurement Plan (Works)6. Procurement Plan (Services)7. Training Plan8. Details of Estimated Budget9. Indicative Organogram of SPM office10. Attachment-A: Resume of SPM & ASPM

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AIF preliminary proposal evaluation

A: Coherence with AIF & institutional objectives: 50 point

1. Clarity of proposal defined/presentation2. Clarity of the proposal objectives3. Compatibility of the proposal with the

mission/development plan of the: University/ faculty/ department/center/institute; & national development goal

4. Innovative nature of the project5. Clarity of engagement of the University/faculty/

department/center/institute

(Excellent=10, Good=8, Fair=6, Weak=4, Deficient=2 & Incomplete=0)

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AIF preliminary proposal evaluation

B: Benefits and viability; Quality of drafting: 50 point

1. Quality of the strategic analysis2. Quality of the presentation of the problem/

hypothesis and expected results3. Quality of the analysis of data4. Reasonability of budget5. Overall proposal viability

(Excellent=10, Good=8, Fair=6, Weak=4, Deficient=2 and Incomplete=0)

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CP Evaluation Criteria

Strategic analysis and proposal design (4) 20

Milestones and performance indicators (2) 10

Relevance to the national need & benefits 4) 20

Justification of the budget (2) 10

Quality of the management plan (2) 10

Institutional engagement & sub-project management (2)

10

Clarity of impact analysis (2) 10

Sustainability (2) 10Excellent=5, Good=4, Fair=3, Weak=2, Deficient=1 and Incomplete=0

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Experience from 1st Round

• Date-line was not maintained strictly by UAIFS• CP format selection was wrong• Mixed up Window-1& 2 items• Paragraphs were disorganized in some CPs• Detailed budget was absent in many CPs• Budget & item cost limit exceeded • Budget & other plans was not given in xls format• Environment Safety Checklist … ignored• Too many foreign visit included• Single person signed in more than one CPs• CP binding and CD marking was not proper• ………

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Precautions for 2nd Round• Date-line will be maintained strictly• Strict scrutiny by UGCAIFS/UGCBAIF • All paragraphs should be organized & filled• Justification of budget asked for• Detailed budget format added in all Annexes• Budget & all plans should be given in xls format• Justification needed if vehicle is included in CP• Environment Safety Checklist … must• UGCBAIF will apply complementary selection criteria• Fatty budget will be a disqualification• Foreign visit made restricted• Single person in more than one CP not allowed

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Questions ???? Comments !!!!!