Project Design guiDance - childfundalliance.org

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Project Design guiDance

June 2012

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Project Design guidance

acknowleDgementsChildFund International’s Asia Region managed the production of the Project Design Guidance, working

in close collaboration with a group of ChildFund staff from all regions and the International Office. The

following ChildFund staff participated in an assessment that helped to develop the Project Design Guidance.

Geoffrey Petkovich

Evelyn Santiago

Guru Naik

Mark Dasco

Andy Moll

Marilou Suplido

Abhaya Behera

Mugita Gesongo

F. Diaz Albertini

Lamine Sonko

Karen Van Roekel

Charles Owusu

W. Oscar Fleming

Gail Bower

Davidson Jonah

Jason Schwartzman

Annie Locsin

Dola Mohapatra

Marilou Pia

Geoffrey Ezepue

Sunethra de Silva

Edna Jaurigue

Pedro Tamayo

Teresita Chua

Ismah Afwan

Joebel Gurang

Miel Nora

Anthony Princesa

Arif Khan

Lloyd McCormick

Sadia Parveen

Dev Miller

Mary Moran

Martin Hayes

Alberto Andretta

B. Basumatary

Devaka Amarasena

K.M. Thilakarathe

Dinantha Thambivita

Saman Hettiarachchi

Alfonso Rosales

Marlene Castillo

Agbessi Tchona

Dominic Mutabazi

Getachew Tesfaye

Penninah Kyoyagala

Mamadou Balde

Paul Ekwom

Chola Chifukushi

Argentina Sansone

Augusto Santos

Nurudeen Bah

Sam Adorowa

The following staff from ChildFund local partners also responded to the assessment

Ajay Chouhan

Satya Narayan Patnaik

Yesaya Sovianto Kila

Bernardina Dhana Siga

Silvester Seno

Ani Florentina

Paulus Mujiran

Josefina Deri

Fe Segismar

Cecilia Duenas

Asuncion Canonigo

Margie Auxtero

The following people gave helpful advice and feedback on Project Design Guidance drafts.

Geoffrey Petkovich

Evelyn Santiago

Guru Naik

Anjali Sakhuja

Arif Khan

Katherine Manik

Alfonso Rosales

Saleg Eid

Lamine Sonko

Mugita Gesongo

Agbessi Tchona

Josephine Marealle-Ulimwengu

William Oscar Fleming

Lloyd McCormick

Evelyn Santiago

Davidson Jonah

Craig Stein

Pedro Aguilar

Getachew Tesfaye

Joebel Garang

Marilou Suplido

Mark Dasco

Frederico Diaz-Albertini

Alberto Andretta

BJ Lasantha Sanjeewa

Irene Nafungo

Doras Chirwa

Paul Ekwom

Constant Tchona

Mustapha Kebbeh

Julia Campbell

Alavaro Monry

Salvador Vazquez

Arif Khan

Anthony Princesa

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Teams who reviewed Project Design Guidance drafts and gave helpful feedback include resource

mobilization staff from the Americas Region and the Program Development Team at ChildFund’s

International Office.

The Project Design Guidance was field-tested in the Bicol region of the Philippines, in the Mississippi Area of

the U.S. Program/Americas Region and in Addis, Ababa, Ethiopia.

The following staff from the Philippines and Regional Office provided excellent feedback and examples.

Evelyn Santiago

Malou Pia

Mark Dasco

Pedro Tamaya

Noel Feliciano

Evelyn Pascua

Mary Joy Ayupan

Jobeth Jerao

Maricor Bubos

Margarita Janiva

Gloria Senonsil

In Ethiopia, field-testing was led by a skilled training team composed of Mugita Gesongo, Josephine

Marealle-Ulimwengu and an outside consultant, Dr. Tom Barton. They contributed significantly to the

Guidance.

In the U.S. Program National Office, the following staff field-tested the Guidance and gave insightful

comments and lessons learned.

Julia Campbell

Elaine Wolverton

Patricia Wright

Rosaline McCorkle

Ada Robinson

Rukhsana Ayyub

Ray Livingston

Linda Ehrhardt

Fredrico Diaz-Albertini

Santiago Baldazo

Billie Besco

Alvin Clark (consultant)

This Project Design Guidance drew from earlier guidance entitled Project Design Document: Guidance

and Format and Monitoring and Evaluation Plans: Guidance Notes produced by ChildFund in 2008. The

Project Design Guidance was written by Valerie Stetson, consultant. Susan Hahn, consultant, contributed to

sections on monitoring and evaluation.

We would like to acknowledge:

• CRS,foruseoftheirProPack: The CRS Project Package/Project Design and Proposal Guidance for

CRS Project and Program Managers (2004)

• CARE,foruseoftheirProject Design Handbook (2002)

acknowledgements

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table of contents Acknowledgements 2

List of Acronyms 7

Preface 8

Chapter I Introduction to the Project Design Guidance 9-13Purpose and Use of the Project Design GuidanceProject Design Guidance Users

Why Project Design Guidance?

Content of the Project Design GuidanceFeatures of the Project Design GuidanceIntroducing the Project Design Guidance to Users

Chapter II Overview of Project Design 14-26Project Design and its Purpose

Project Design within the P-DIME Cycle

Purpose of Project Proposals

Project Design, Country Strategy Papers and Area Strategic Plans

Steps of Project Design

Project Proposal Format

Differences in Project Design and Proposal Writing

ChildFund’s Program Approach and Project Design

Chapter III Step 1: Engage and Prepare 27-34The Step and Its Importance

Key Terms

Step 1.1 Identify the project idea and write a concept note

Step 1.2 Meet with partners and develop agreements

Step 1.3 Identify members of the project design team and their roles

Step 1.4 Make a project design action plan and budget

Step 1.5 Orient and train the project design team

Linking Step 1 to the Project Proposal

Step 2: Conduct Focused Assessment and Analysis 35-54The Step and Its Importance

Key Terms

Step 2.1 Define a purpose, key questions and topics

Step 2.2 Conduct a stakeholder analysis

Step 2.3 Listen to children and youth

Step 2.4 Conduct the focused assessment

Step 2.5 Conduct the focused analysis

Step 2.6 Draw conclusions


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Chapter IV Step 3: Define the Project Strategy 55-61The Step and Its Importance

Key Terms

Step 3.1 Convert the problem tree into a success tree

Step 3.2 Review or draft the project strategy

Step 3.3 Write a concise project strategy statement


Step 4: Construct the Results Framework & Logical Framework 62-75The Step and Its Importance

Key Terms

Step 4.1 Refine and write clear objectives

Step 4.2 Construct the results framework

Step 4.3 Check the results framework for quality

Step 4.4 Construct the logical framework

Step 4.5 Check the logical framework for quality


Step 5: Develop the M&E Plan 76-81The Step and its Importance

Key Terms

Step 5.1 Develop an indicator matrix

Step 5.2 Consider project evaluations

Step 5.3 Consider knowledge management and learning

Step 5.4 Consider reporting and communicating M&E findings

Step 5.5 Consider how to monitor assumptions

Step 5.6 Consider M&E capacity, staffing and budgeting

Step 5.7 Look ahead to operationalize the M&E plan


Chapter V Step 6: Define Implementation Arrangements 82-86The Step and Its Importance

Key Terms

Step 6.1 Clarify implementation roles and responsibilities of project partners

Step 6.2 Identify project staffing

Step 6.3 Develop project management structure

Step 6.4 Review staff and organizational capacities

Step 6.5 Develop an activity schedule (Gantt chart)


table of contents

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Step 7: Prepare the Budget 87-92The Step and its Importance

Key Terms

Step 7.1 Know your revenue and funding sources and estimate accurately

Step 7.2 Calculate and estimate expenses for each activity designed to achieve objective

Step 7.3 Complete the budget template and write budget notes


Chapter VI Step 8: Finalize the Project Proposal 93-96The Step and its Importance

Key Terms

Step 8.1 Writing tips for the project proposal

Step 8.2 Project proposal format

Chapter VII Next Steps 97-98Review and Approval of the Project Proposal and Budget

Communicating the Project Proposal

Appendix 99-109A Concept Note FormatB Comparing Logical Framework TermsC AOPB template with six spreadsheetsD Instructions on how to use the AOPB templateE Reference List

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AOPB Annual Operational Plan and Budget

ASP Area Strategic Plan

CAP Community Action Plan

CARE Cooperative for Assistance and Relief Everywhere

CORE Child Survival Collaboration and Resources Group

CRS Catholic Relief Services

CSP Country Strategy Paper

DEV Deprivation, Exclusion and Vulnerability

ECD Early Childhood Development

GFMG Grants Financial Management Guide

ICRW International Center for Research on Women

INGO International Non-governmental Organization

IO International Office

M&E Monitoring and Evaluation

MoE Ministry of Education

MOU Memorandum of Understanding

NGO Non-governmental Organization

NO National Office

NSP Non-sponsorship Program

OSY Out-of-school Youth

PALS Planning, Accountability and Learning System

PAR Participatory Action Research

P-DIME Planning, Design, Implementation, Monitoring and Evaluation

PMI Project Management Institute

PDD Project Design Document

RO Regional Office

SCF Save the Children Federation

SSP Special Sponsorship Programs

SMART Specific, Measurable, Achievable, Relevant and Timebound

UNFPA United Nations Population Fund

UNICEF United Nations Children’s Fund

USAID United States Agency for International Development

list of acronyms

list of acronyms

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Knowledge and skills in project design are essential competencies for ChildFund staff and partners. The

Project Design Guidance provides a comprehensive approach to project design that is relevant to all

ChildFund supported projects. The processes and steps in this Guidance represent minimum standards for

project design. The Project Design Guidance will help ensure consistent quality of project design across all

ChildFund supported projects.

The Project Design Guidance is used in coordination with Area Strategic Planning Guidance and Country

Strategic Planning Guidance because projects should be linked to Country Strategy Papers (CSPs) and,

where applicable, to Area Strategic Plans (ASPs). Other complementary guidance includes ChildFund’s

Grants Financial Management Guide and guidelines, processes and tools from the Business Development

Unit on project design for specific donors.

The Project Design Guidance draws from:

• ChildFundProject Design Document Guidance and Format (2008) and other ChildFund guidance for

project design

• Projectdesignguidancebysimilarinternationalnon-governmentalorganizations(INGOs)

• ProjectdesignguidancebymajordonorssuchasUnitedStatesAgencyforInternationalDevelopment

(USAID) and the European Union

• ReportsbytheChildFundMonitoringandEvaluation(M&E)WorkingGroup

The Project Design Guidance should be used in all ChildFund National and Field Offices to design projects

and write project proposals. The Guidance replaces Project Design Document (PDD) Guidance and Format

(March 2008).

ChildFund staff members at all levels, including partner representatives, were consulted in the development

of the Project Design Guidance. Staff and partners responded to surveys and were interviewed before the

first draft was written. ChildFund staff reviewed early drafts at two project design workshops in April and

December 2011 in Bangkok. Later drafts were reviewed by smaller working groups, including the Program

Development team in the International Office (IO) and resource mobilization staff in the Americas. The

Project Design Guidance benefitted from field-testing in the Philippines, Ethiopia and in the U.S. ChildFund

Asia through its Regional Program Manager, Evelyn Santiago supervised all work on the Project Design

Guidance which was supported by ChildFund’s Quality Improvement funding.

Preface

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Project design is a collaborative process with systematic steps. The steps allow a design team to define

a project’s rationale (the problems and opportunities affecting children and youth to be addressed), target

groups, strategy, objectives, measurement of progress and success, and needed resources. A project

proposal summarizes these ideas and decisions.

High quality project design is important. Bringing about positive change in the lives of project participants

depends on how well the project was identified and designed. Obtaining donor support depends on the

relevance of project design and the quality of the project proposal.

In this chapter, you will review:

• Thepurpose,useandcontentoftheProject Design Guidance

• WaystointroducetheProject Design Guidance

PurPose anD use of the Project Design guiDanceThe Project Design Guidance is a resource to carry out the steps of project design and write a clear,

concise project proposal. The Guidance sets standards for project design that apply to all project design

situations and funding sources including sponsorship and grants. Using the Guidance, along with training

and coaching, will enable ChildFund staff to apply best practices in project design and help ensure that all

projects contribute to program goals and ChildFund’s Core Intent and Core Outcomes.

In turn, National and Field Office staff are responsible for ensuring that local partners and other ChildFund

partners apply best practices for project design and proposal writing contained in this Guidance. Depending

on the skills of the partner, ChildFund staff may (a) give a partner a copy of the Guidance for their own use

and reference, (b) use the Guidance as learning support in a training session on project design, (c) read

relevant passages of the Guidance with partners or children and youth when working with them to design

projects.

This Guidance reflects ChildFund’s unique Program Approach including:

• Understandingofchildren’sexperiencesofpovertyalongdimensionsofdeprivation,exclusionand

vulnerability (DEV) throughout their life-cycle

• Workingwithchildrenandyouthtoreflecttheirvoicesandalignthislearningwithresearchandwider

knowledge

chapter i: introduction to the Project Design guidance

chaPter i: introDuction to the Project Design guiDance

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adapting and applying the Project Design guidance

ChildFund projects are funded in many ways: sponsorship, governments, institutional donors,

corporations, foundations, and the private sector. And ChildFund projects are designed and implemented

by many different partners and people: children and youth, local partners, international non-governmental

organizations (NGOs) and government agencies. All these ChildFund projects, partners and people will

benefit from use of the Project Design Guidance.

Quality project design is important for all ChildFund work, whether a $5,000 project implemented by a local

partner with sponsorship funds, a $50 million project implemented by ChildFund with international NGO

partners with US government funds, or a time-sensitive emergency response funded by an appeal. The

project design steps and processes in this Guidance apply to all of these project settings. What differs is

the time, effort and level of complexity. Use your judgment and seek advice to adjust the steps of project

design to your situation.

think about it!

• Comparetwoverydifferentprojectsthatyouhelpedtodesign.

• Youdidanassessmentforbothprojects.Indoingthis,whatwassimilar?Whatwas

different, and why?

For grants, donor requirements must be carefully addressed in project design and proposal writing. This

Guidance uses the term “grants” for all funds received outside of sponsorship, including contracts. Donors

may use different terms; the US government uses different instruments including grants and contracts.

Understanding the Project Design Guidance’s best practices will increase your confidence in meeting these

donor requirements.

Project Design guiDance usersThe Project Design Guidance is written for all ChildFund staff involved in project design, proposal writing

and proposal review. The Program Director at National Office (NO) level is the primary intended user of this

Guidance. Other users include NO and Field Office staff, such as project managers, technical specialists

and program officers. Regional and International Office staff, who support NO and field staff, will use the

Guidance when providing project design technical support.

Project Design challenges and capacity building

Carrying out the steps of project design and writing a project proposal1 is challenging. It requires:

• Analyticalandsystemsthinkingtolinktheideasanddecisionsfromeachstepofprojectdesign

• Creativityandcommunicationtoaligncommunityideaswithevidence-basedstrategies

1. In other ChildFund guidance, project proposals are called “Project Design Documents” or PDDs and used in areas with the Bright Futures approach. Because the Project Design Guidance applies to all project design situations, the term project proposal is used.

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• Knowledgeandskillsthatincludemonitoringandevaluationplanning,budgeting,etc.

• Abilitytoadaptprojectdesigntodifferentprojectsituations

• Knowledgeandskillstoengagechildrenandyouthinprojectdesign

• Writingskillstoproduceaclear,succinctandpersuasiveproposal

The Project Design Guidance addresses these challenges. The practical steps, checklists, and examples

will increase staff understanding and skills in project design. In turn, skilled users will feel more confident

to build capacity of partners, local partners2, and children and youth in project design.

why Project Design guiDance?The term “guidance” is chosen purposefully. The Project Design Guidance is not a set of rules to be

followed blindly. Use your own judgment, knowledge and creativity while applying the steps, formats, and

tools in the Guidance.

content of the Project Design guiDance Chapter I introduces the Project Design Guidance: its purpose, users, content and how to present it to

users

Chapter II defines project design and its purpose. It reviews all project design steps leading to a written

project proposal. The chapter also discusses how ChildFund frameworks and standards and Program

Approach relate to project design.

Chapter III provides detailed information on Step 1 (Engage and Prepare) and Step 2 (Conduct Focused

Assessment and Analysis).

Chapter IV provides detailed information on Step 3 (Define the Project Strategy), Step 4 (Construct the

Results Framework & Logical Framework) and Step 5 (Develop the M&E Plan).

Chapter V provides detailed information on Step 6 (Define Implementation Arrangements) and Step 7

(Prepare the Budget).

Chapter VI presents Step 8 (Finalize the Project Proposal) and includes a generic proposal format. The

chapter provides tips for writing a clear, concise and competitive project proposal.

Chapter VII discusses next steps including how proposals are reviewed and approved, and how to

communicate the information in the project proposal.

The Appendix includes a concept note format, budget format/template, and list of references used to write

this guidance.


2. Local partners are sometimes called Federations, Area Federations or affiliated entities. The Project Design Guidance uses the term local partners in this document.

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features of the Project Design guiDanceProject design steps are discussed in detail in Chapters III to VI. In each step, you will find:

• Abriefdescriptionofthestepanditsimportance

• Definitionofkeyterms

• Guidanceonthestep,includingtools(worksheets,tables,checklists),tipsandexamples

• Informationonhowtolinkworkfromtheprojectdesignsteptotheprojectproposal

Think about it! are open questions.

These questions help you to (a)

critically compare your own project

design practices to those in the

Guidance and (b) adjust steps and

ideas to specific project design

situations.

Lessons Learned come from

ChildFund’s experience in project

design.

Connecting the Dots links you to

reference documents to complement

and enrich information.

introDucing the Project Design guiDance to usersNever assume that staff will use guidance they have been given; many manuals end up on the shelf and

are never used. In the Philippines, ChildFund staff successfully learned to use the Guidance by reading

sections of it together, applying the tools and tips to design a youth employment project, and then reflecting

on their experience in small groups. Tips for introducing the Project Design Guidance follow in Table 1.

Table 1: Tips for introducing the Project Design Guidance

Orient new staff • Giveacopytonewstaffaspartoftheirorientation;reviewanddiscussitwiththem.

Train staff

• Identifywhoshouldbetrainedandfocusonthem.Trainstafforpartnersin project design, using the Project Design Guidance as the main learning support resource. Combine workshop-based learning with field-based practical application.

Time it right• IntroducetheGuidancetousersjustbeforetheybeginthenextprojectdesign

effort in the field work. This makes the content relevant and immediate. Timing it right increases user interest and motivation.

Walk the talk • ModeltheuseoftheProject Design Guidance, for example, consulting it when answering staff questions about project design.

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Link to learning• Useprojectreviewmeetingstodrawoutlessonslearnedabouthowproject

design steps were applied and link these lessons to information in the Project Design Guidance.

On-the-job coaching• UsetheProject Design Guidance during on-the-job coaching. For example, use

the Guidance when a NO is completing an ASP, or is starting to develop a grant proposal.

Reference • KeepacopyoftheProject Design Guidance at your side when designing a project and refer to it as needed.

think about it!

• Howwelldoyou,yourcolleaguesorstaffyousuperviseuseotherguidancedocuments?

What lessons have you learned?

• HowcantheseapplywhenintroducingtheProjectDesignGuidance?


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figure 1: chilDfunD’s core intent

childfund exists to:

• Helpdeprived,excludedandvulnerablechildrenhave

thecapacitytoimprovetheirlives,andtheopportunity

tobecomeyoungadults,parentsandleaderswhobring

lastingandpositivechangetotheircommunities

• Promotesocietieswhoseindividualsandinstitutions

participateinvaluing,protectingandadvancingtheworth

and rights of children.

In this chapter, you will:

• ExaminethedefinitionandpurposeofprojectdesignandhowitfitsintoChildFund’sPlanning,

Design, Implementation, Monitoring and Evaluation (P-DIME) cycle

• Reviewtheeightstepsofprojectdesignandtheprojectproposalformat

• Contrastknowledgeandskillsneededforprojectdesignandproposalwriting

• ConsiderChildFund’sProgramApproachandhowelementsrelatetoprojectdesign

Project Design anD its PurPoseA project is a set of planned, linked actions that achieve specific objectives for designated target groups

within a fixed timeframe and a defined budget or set of resources. Projects help to achieve program goals

and in turn, ChildFund’s core intent (Figure 1).

Project design is a collaborative

process with systematic steps that

define the rationale (problems

and opportunities of children and

youth to be addressed), target

groups, strategy, objectives, ways

of measuring success, and needed

resources. The collaborative

process of project design (a)

brings together local knowledge

of communities and partners with

evidence-based knowledge from

wider experience, and (b) helps

ensure that targeted groups, partners and other project stakeholders own project decisions and understand

their roles. The systematic steps of project design result in well-justified decisions and realistic plans and

budgets that are coherent and can be monitored. A project proposal is a formal description of the project

design. It summarizes the problem analysis, objectives, M&E plans, activity schedules and budgets.

chaPter ii: overview of Project Design

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Lessons Learned: In the Mississippi region of the America’s National Office, staff who field-tested this

Project Design Guidance said, “The project design process gave us opportunities to do our work differently

– we spent time listening to each other’s perspective; we deliberated, reflected, learned and worked together

to improve the quality of our projects. While this took time, it strengthened our capacities and relationships

and helped us focus on making an impact on children’s lives.”

lessons learned from Project Design experiences

ChildFund staff from around the world helped develop this Project Design Guidance and shared lessons

learned from their positive experiences in project design. According to these staff, excellent project design:

• AlignswithandevolvesfromtheCSPand,

where relevant, the ASP

• AddressesChildFund’sthreecoreoutcomes

• Ensuresthathighqualityandtimelytechnical

assistance is provided during project design,

especially for M&E and budget planning

• Considerstheresourcesandfundslikelytobe

available for the project

• Usesastructuredprojectdesignprocessand

involves stakeholders in that process

• Reflectsinputfromacross-sectionofstafffrom

program, finance, and sponsor relations

• Analyzesselectedproblemsandtheirroot

causes

• Reflectsdeepunderstandingofchildrenand

youth’s experiences of deprivation, exclusion

and vulnerability (DEV) in the project context

• Hearstheviewsofchildrenandyouththrough

their ethical, safe and meaningful participation

including those who are marginalized or

disadvantaged

• Promotesthesafetyandprotectionofchildren

and youth

• Selectsevidence-basedstrategiesthatare

adapted to the local context and situation

• Choosesstrategiesrelevanttothelifestages

and diverse situations of children

• Ensuresthatsponsoredandenrolledchildren

living in the project area benefit from the

project

• Ensuresthatchildandyouth-ledactivities

are included as appropriate in the project

strategy and in accordance with the project

requirements

• Developsaresultsframeworkwithclear

objectives and logical framework with

indicators and measurement sources

• Disaggregatesindicatorsbygenderandage

• IncludesanM&EplanforuseofM&Edatafor

decision-making, project learning, and project

outcome evaluation

• Clearlylinksandalignsneeds,objectives,

activities, human resources and funding

think about it!

What would you add to the list above from your own experience in project design?

ChapterII:OverviewofProjectDesign

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why is Project Design so important?

Bringing about positive change in the lives of targeted groups depends on how well the project was

identified and designed. Attention to project design fosters ownership by the target communities and

helps ensure sustainability so that positive change continues when the project ends. A carefully designed

project that aligns objectives, plans and resources paves the way for smooth implementation. Well-written

proposals are critical to securing grants from donors.

think about it!

Reflect on your own project management experience. What happened as a result of careful

attention to project design? What happened when project design was done in a rush?

Project Design within the P-Dime cycleProject design is one stage in ChildFund’s P-DIME cycle. Figure

2 shows the stages of the P-DIME cycle: planning, design,

implementation, monitoring, evaluation and reflection and learning.

These stages are linked.

Project Design Follows Program Planning.

Programs, such as those described in Country Strategy Papers

and Area Strategic Plans, provide broad directions and long-term

responses. Doing program planning before project design helps

ensure that projects contribute to ChildFund’s higher-level aims.

Project design influences the subsequent stages of the P-DIME

cycle. If objectives, human resources and funding are not well

aligned in the project design, implementers will likely face project

implementation obstacles and delays.

PurPose of Project ProPosals A well-written, clear and concise proposal helps NOs to gain approval from donors and in the case of

sponsorship funding, local partners to gain approval from NOs. Second, the proposal provides guidance to

those who will implement the project. It lists specific objectives and indicators against which success will

be evaluated and including plans and schedules to monitor progress and take action to keep the project on

track. Lastly, the project proposal enables stakeholders to understand their roles and responsibilities in the

project. The proposal is often included in agreements between the donor, partners and ChildFund. With

sponsorship funding, the project proposal should form part of ChildFund’s letter of agreement with local

partners.

Pla

nnin

g

Desi

gn Implementation M

onitoring Evaluation Ref ection & Learn

ing

P-DIME Cycle

Figure 2: P-DIME Cycle

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Pla

nnin

g

Desi

gn Implementation M

onitoring Evaluation Ref ection & Learn

ing

Don’t wait to complete all steps of project design before starting to write the proposal! Writing happens at

each step of project design. The last step in project design is to pull these elements together and edit into a

coherent, concise project proposal.

PrOjeCtDesIgn,COuntrystrategyPaPersanDarea strategic PlansProject design is linked to program planning. A CSP describes broad issues and trends affecting children’s

experiences of deprivation, exclusion and vulnerability across life-stages, and communicates the NO

priorities and long-term strategic objectives. The CSP aligns country specific issues and opportunities

with ChildFund’s core outcomes and core intent. Project design should link to CSP to ensure that project

objectives contribute towards CSP program goals and country-wide efforts to achieve core outcomes and

intent.

An ASP describes a series of three year programs that (a) respond to the causes of child poverty in a

specific geographic location, and (b) aim to bring lasting improvements in the lives of deprived, excluded

and vulnerable children. The ASP long-term program guides the design of shorter term projects, and ensures

that the voices of children and youth are carefully considered. ASPs ideally contain brief project profiles that

identify projects which are then designed using the steps described in this Guidance.

connecting the Dots

• ConsulttheASPGuidanceandtheCSPGuidanceformoreinformation.

stePs of Project DesignThe Guidance has organized the activities and tasks of project design into eight steps, outlined in Table 2.

Chapters III – VI describe the details of these steps. Steps are in chronological order but managing the steps

of project design depends on the project situation. Use your judgment and get advice to navigate these

eight steps.

Table 2: Eight Steps of Project DesignProject Design Step In this step, the project team will:

1. Engage and Prepare

1.1 Identify the project idea and write a concept note

1.2 Meet with partners and develop agreements

1.3 Identify members of the project design team and their roles

1.4 Make a project design action plan and budget

1.5 Orient and train the project design team


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Project Design Step In this step, the project team will:

2. Conduct Focused Assessment and Analysis

2.1 Define a purpose, key questions and topics

2.2 Conduct a stakeholder analysis

2.3 Listen to children and youth

2.4 Conduct the focused assessment

2.5 Conduct the focused analysis

2.6 Draw conclusions

3. Define the Project Strategy 3.1 Convert the problem tree into a success tree

3.2 Review or draft the project strategy

3.3 Write a concise project strategy statement

4. Construct the Results Framework & Logical Framework

4.1 Refine and write clear objectives

4.2 Construct the results framework

4.3 Check the results framework for quality

4.4 Construct the logical framework

4.5 Check the logical framework for quality

5. Develop the M&E Plan

5.1 Develop an indicator matrix

5.2 Consider project evaluations

5.3 Consider knowledge management and learning

5.4 Consider reporting and communication of M&E findings

5.5 Consider how to monitor assumptions

5.6 Consider M&E capacity, staffing and budgeting

5.7 Look ahead to operationalize the M&E plan

6. Define Implementation Arrangements

6.1 Clarify implementation roles and responsibilities of project partners

6.2 Identify project staffing

6.3 Develop project management structure

6.4 Review staff and organizational capacities

6.5 Develop an activity schedule (Gantt chart)

7. Prepare the Budget

7.1 Know your revenue and funding sources and estimate accurately

7.2 Calculate and estimate expenses for each activity designed to achieve objective

7.3 Complete the budget template and write budget notes

8. Finalize the Project Proposal8.1 Writing tips for the project proposal

8.2 Project proposal format

Lessons Learned: In Ethiopia, ChildFund staff, local partners and government staff were involved in project

design using these eight steps. Here is what they said: “The entire project design process was full of

excitement. The steps allowed us to engage stakeholders and we learned about their problems by digging

deep. Before, we tended to do superficial “shopping list needs” for project design. If we follow these steps

to design projects, our projects will bring about tangible change.”

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Project ProPosal formatTable 3 lists the main sections of the proposal. Detailed guidance to write the project proposal using this

format is found in Chapter VI. This format should be used in all ChildFund project proposals except when

the donor has given a format.

Table 3: Main Sections of the Project Proposal Section 1 Project Summary

Section 2 Project Rationale

Section 3 Project Strategy

Section 4 Description of Project Objectives

Section 5 M&E Plans

Section 6 Project Implementation Arrangements (including an activity schedule)

Section 7 Project Budget

On the next two pages, you will find a summary of the eight steps of project design and their relation to the

project proposal. You may wish to use these pages as a “pocket guide” when doing project design.


20


1.1 Identify the project idea and write a concept note

1.2 Meet with partners and develop agreements

1.3 Identify members of the project design team and their roles

1.4 Make a project design action plan and budget

1.5 Orient and train the project design team

Project design is a

collaborative process. In

Step 1, you identify and

engage stakeholders

who should be involved

in the project design.

In Step 1, you identify

and organize a project

design team with a

range of needed skills.

This project design team

will (a) plan for each

step of project design and

(b) gather and review

preliminary information,

such as donor guidelines

for the proposal.

2.1 Define a purpose, key questions and topics

2.2 Conduct a stakeholder analysis

2.3 Listen to children and youth

2.4 Conduct the focused assessment

2.5 Conduct the focused analysis

2.6 Draw conclusions

In this step, the project

design team conducts a

focused assessment and

analysis. Assessment helps

to understand problems

of deprived, excluded and

vulnerable children do not

exist in isolation, but are

embedded in family, social,

economic and political

systems, and influenced by

events such as disaster or

conflict. Assessment puts

problems into a specific

context. Analysis is a

process of deeply probing

into the problems identified

in the assessment to identify

underlying causes and how

these causes connect.

3.1 Convert the problem tree into a success tree

3.2 Review or draft the project strategy

3.3 Write a concise project strategy statement

A project strategy,

(sometimes called an

intervention or approach),

describes clearly and

succinctly what and how.

Who, what and how are

linked:

•Whoisthetargetgroup–

whose problems will be

addressed? (from Step

2)

•Whatarethegoods,

services or changes that

the project will provide

or deliver to this group to

address these problems?

•Howwillthesebeprovided

or delivered?

4.1 Refine and write clear objectives

4.2 Construct the results framework

4.3 Check the results framework for quality

4.4 Construct the logical framework

4.5 Check the logical framework for quality

In this step, information from

previous steps is used to

develop a results framework

and the logical framework.

With these two frameworks,

you develop a hierarchy

of objectives, indicators

to measure progress and

impact, related measurement

methods and data sources,

and identify critical

assumptions for project

success. These frameworks

are important components in

your M&E plan.

Step Four:Construct the Results

Framework & Logical

Framework

Step Three:Define the Project

Strategy

Step Two:Conduct Focused

Assessment and Analysis

Step One:Engage and Prepare

Goal

Project Objective

Outcome 1 Outcome 2

Outputs Outputs

Results FrameworkProblem tree success tree

High rates of infant mortality

High rates of diarrhea and malnutrition among infants younger

than six months

Mothers discard colostrum and give a purge

Mothers give water and porridge to infants starting at one month of age.

Mothers do not know that unclean water will make infants sick

Reduced infant mortality rates

Reduced rates of diarrhea and malnutrition among infants younger

than six months

Infants benefit from colostrum

Mothers exclusively breastfeed infants until six months of age

Mothers understand the dangers of unclean water.

Mothers believe that breast milk alone is not nutritionally sufficient for infants

younger than 6 months

Mothers believe that breast milk is sufficient for baby’s nutritional needs for

first six months

Mothers believe that infants under six months are thirsty and need to

be given water.

Mothers believe that breast milk provides all needed liquid for infants

less than six months.

Problem/Success Tree

21


5.1 Develop an indicator matrix

5.2 Consider project evaluations

5.3 Consider knowledge management and learning

5.4 Consider reporting and communicating M&E findings

5.5 Consider how to monitor assumptions

5.6 Consider M&E capacity, staffing and budgeting

5.7 Look ahead to operationalize the M&E plan

The M&E plan allows proposal

reviewers and donors to (a)

assess the quality of project

M&E and (b) check that M&E

has been accurately planned

and budgeted. Project M&E:

1. Collects and summarizes reliable data and information

2. Analyzes data and information

3. Uses analysis and findings to support project decisions and determine effectiveness

4. Communicates the analysis and findings in multiple ways.

6.1 Clarify implementation roles and responsibilities of project partners

6.2 Identify project staffing

6.3 Develop project management structure

6.4 Review staff and organizational capacities

6.5 Develop an activity schedule (Gantt chart)

In this step, you plan how the

project will be implemented.

The project design team will

discuss project management,

roles and responsibilities and

required capacities.

Planning for implementation

helps ensure that all elements

of the project are aligned: the

strategy and objectives are

clearly linked to staff, systems

and structures, and budget.

The purpose is to (a) show

that what is being proposed

can be realistically done

within the project timeframe

and (b) prepare an accurate

project budget.

7.1 Know your revenue and funding sources and estimate accurately

7.2 Calculate and estimate expenses for each activity designed to achieve objective

7.3 Complete the budget template and write budget notes

Project design team members tasked with preparing the budget work according to this guiding principle: “A project budget establishes the estimated revenues and the expenses required to deliver a set of outputs and activities over a specified period of time.” This guiding principle helps ensure that the project budget, other required resources and project activities are aligned.

During project implementation, the budget provides a tool to monitor the project’s financial activities over the life of the project. Once the project is completed, a cost/benefit analysis of the budget and project achievements will help you understand whether funds were adequate to achieve outputs and whether there was effective and efficient use of funds.

8.1 Writing tips for the project proposal

8.2 Project proposal format

Throughout all steps of

project design, selected team

members were tasked with

capturing and writing up key

elements of the proposal format

using the ideas and outputs

generated from each step. Now

is the time to edit and finalize

the project proposal and add

any missing information.

Use an eye-catching

project title

Use action verbs. Avoid

vague verbs.

Emphasize a results-

oriented management style

Use factual, convincing

language. Ensure that

you have data that backs

up any claims.

Highlight what the project

will do, not what should

be done “in general” to

address the problem.

Write so that the reader

can understand.

Do a final edit and invite

an outsider to proofread.

Make sure information

repeated across proposal

sections is consistent.

Step Eight:Finalize the Project

Proposal

Step Seven:Prepare the Budget

Step Six:Define Implementation

Arrangements

Step Five:Develop the M&E Plan

ChildFund Area Manager

Technical Advisor Administrator

Finance OfficerM&E OfficerChild Protection

Officer

22


Differences in Project Design anD ProPosal writingYou will be better able to organize your work if you understand the difference between project design and

proposal writing. Different sets of knowledge, skills, and attitudes are required for each effort. Table 4

shows these differences.

Table 4: Differences in project design and proposal writingProject Design Proposal Writing

• Undertakenasateamandbenefitsfrominvolvingmultiple project stakeholders

• Writtenbyafewpeoplefamiliarwiththerequirements of the prospective funding source

• Emphasizesanidea-driven,creative,participatory process

• Emphasizesaclear,concisecommunicationofideas

• Usesjudgmentinnavigatingtheeightsteps• Followsprojectproposalformatofdonoror

ChildFund

Project design knowledge, skills and attitudes include:• Creativeandanalyticalthinking• Respectforothers’perspectives• Abilitytolistentochildrenandyouth• Technicalknowledgeoftheprojectsubjectmatter• Skillsindatacollection,analysisandlogical

frameworks• Experienceorlocalknowledgeoftheproject

environment and target groups• Teamfacilitation

Project proposal writing knowledge, skills and attitudes include:

• Understandingdonor’sperspectives

• Knowledgeofproposalformatrequirements

• Experienceusingadonor’sterminology

• Stronglogicandwritingskills

• Abilitytomeetdeadlines

roles and responsibilities in Project Design

Assigning roles and responsibilities in project design (for example who manages the overall project design

effort and who makes final decisions) helps make the process efficient. In all cases, the NO Program

Department is accountable for the quality of the project design process and for encouraging ownership by

partners and community stakeholders. ChildFund staff should delegate responsibility for project design

in a way that builds the capacity of field staff and local partners over time. Roles and responsibilities in

project design are discussed in detail in Chapter III in Step 1. In project design and proposal development

for grants coming from a donor call for proposals, ChildFund’s Global Grants Team has developed a

compliance matrix that outlines specific roles and responsibilities for developing all sections of the project

proposal.

Project Design timeframe

The time required for the eight steps of project design varies: it may take a few days to one year depending

on the scope (size, budget and complexity), urgency, or the experience of the design team. If the project

emanates from an ASP, much project design work may already be done.

23

while the process of

project design may

be short or long – all

projects should be

designed using the 8

steps to ensure quality!

The timeframe for grant applications is usually determined by the donor and you

must conform to their instructions for submitting the proposal. Donor timeframes

are often short. In ChildFund, NOs prepare a grants pipeline of brief proposals or

concept notes, based on information gathered about donor interest and potential

funding. See Step 1, Chapter III for more information about concept notes.

chilDfunD’s Program aPProach anD Project Design

In ChildFund, project design always considers the organization’s core intent and outcomes and its Program

Approach, including frameworks and standards. This section summarizes key elements of ChildFund’s

Program Approach relevant to the eight steps of project design and refers you to complementary documents

for further reading.

core intent and core outcomes

Project design is linked to program plans that are described

in the CSP and ASP. The ASP identifies the overarching

program objective and key issues coming from the child

poverty analysis. Projects contribute to achievement

of program objectives and help to address these key

issues. All projects should contribute to ChildFund’s three

core outcomes portrayed in Figure 3. This in turn help

ChildFund achieve its core intent (Figure 1).

Program approach

ChildFund’s Program Approach defines agency-wide principles and practices concerning programs.

ChildFund’s Program Approach includes the following:

• Program Principles that outline the approach

to every element of our work

• AnorganizationalTheory of Change that

explains how we intend to support change to

achieve our core intent and core outcomes

• Guidance for the three core program areas

including life stage-specific theories of change,

examples of good practice, and program

standards that can be tracked and measured

• Programming processes that support good

practice leading to intended goals. Project

design is one of these key processes.

• A Knowledge Management and Learning

Framework that builds and continuously

improves strong core programs


Figure 3: ChildFund’s Core Outcomes

of supporters dedicated

to the well-being and rights of childrena broaD constituency

networked in their communities promote the

development and protection of children

fam

ilies anD local organizatio

ns

Skilled and Involved Youth

Educated and Confident Chidren

Healthy and Secure Infants

24


The Program Approach is not a fixed, static resource. ChildFund is learning and evolving. The Program

Approach will continue to evolve to achieve program goals. The Theory of Change for each of the

life-stages will be introduced to selected NOs in FY 13 and will influence project design and proposal

development.

connecting the Dots

• AllProgramApproachresourcesareupdatedandavailableontheChildFundProgram

Approach Hubsite. The toolkit being developed for the Theory of Change for life-stages

will complement the Project Design Guidance

Dev framework and area of excellence

ChildFund’s strength is a deep understanding of children’s

experiences of poverty within three dimensions: deprivation,

exclusion and vulnerability (DEV). Deprivation is the lack

of materials or services essential to children’s well-being.

Exclusion involves ways in which individual children or

children from certain groups are marginalized from full

participation. Vulnerability refers to difficulties that poor

children face in recovering from harmful impacts of factors

that disrupt their lives. These dimensions are at the center of

ChildFund policy and practice (Figure 4).

ChildFund recognizes the importance of engaging children

and youth. To that end, ChildFund has defined standards of

practice for working with young people, and has identified

Areas of Excellence in child and youth participation, agency,

and leadership.

Children and youth participate throughout the stages of developing ASPs. During child and youth-led

reflections, trained youth leaders use child-friendly Participatory Action Research (PAR) methods to enable

children identify issues, problems and needs. Children see things that adults do not and know their risks

and resources. Involving children in program planning and project design improves the quality and

relevance of the project. The very act of participating contributes to children’s development.

For projects linked to an ASP, project design must take care to safeguard the views and issues of children

and youth that surfaced during the ASP process. Additional suggestions to involve children and youth in

project design are listed below.

Figure 4: DEV Framework

Deprivation

exclusionvulnerability

25

Checklist:Waystoinvolvechildrenandyouthinprojectdesign

Ensure that difficult-to-reach groups (e.g. excluded and marginalized out-of-school children), who

may not have participated in ASP reflections, are involved in the focused assessment and analysis to

define their problems and causes.

Consider project strategies where children and youth play key roles; for example, a youth

reproductive health project that includes a peer education strategy.

Budget for visible, quick-start, action-oriented projects that help children and youth develop

confidence and skills to plan, implement and monitor, such as leadership training or school

gardening.

Value children and youth’s perspectives and creativity in M&E planning. For example, children can

make murals, take photos, or write newsletters to share information on newly-designed projects and

their goals and objectives.

Lessons Learned: In Ethiopia, a project design team made sure to carefully listen to street children in

a project concerning child protection. A government official who participated, and who did not have

experience facilitating child involvement in project design said: “We learned that children were full of

information about their environment and that they have the capacity to prioritize problems and help come up

with solutions. This was an eye-opener!”

connecting the Dots

• SeeWe’veGotSomethingtoSayformoreinformationonwaystoinvolvechildrenand

youth in project design.

child Protection Practice standards

All ChildFund projects support the healthy development of children. This is challenging because many

children face tremendous obstacles and live in places where they are not protected from abuse, exploitation

and neglect. ChildFund’s child protection practice standards (Table 5) focus efforts on children living in

difficult and vulnerable situations. These standards have many implications for project design – especially

for Step 2 (Conduct Focused Assessment and Analysis) and Step 3 (Develop Project Strategy).

Table 5: ChildFund’s Child Protection Practice Standards

1. Accurate understanding of child and youth vulnerability to better inform programs

ChildFund promotes robust methods for understanding children and youth’s vulnerability in order to better meet their needs through quality programs.

2. Children and youth participating in their protection

ChildFund promotes ethical, safe, meaningful, and appropriate participation of children and youth for reducing protection risks.

3. Communities networked for children and youth’ protection

ChildFund promotes locally led partnerships between children, families, and local organizations critical for fostering a protective environment for children and youth.


26


connecting the Dots

For more information, consult ChildFund’s Handbook on Planning Children and Youth’s

Protection Through the Area Strategic Planning’ and the facilitation guide Applying Basic

Child Protection Mainstreaming: Training for Field Staff in non-Protection Sectors. Both are

available on the Hub.

the sponsorship Promise and Project Design

Sponsorship funding is the major resource for most ChildFund projects. In sponsorship-covered areas,

project design enables ChildFund to keep its promise to sponsors especially in making sure that:

• Projectsprovidebenefitstoenrolledchildren

• Projectsincludeanobjectiverelatedtobuildingpositiverelationshipsbetweenthechild,parents,and

community with the sponsor

• Sponsorshipfundsareusedtosupporteffective,evidence-basedcoreprogramsforchildren

• Projectssupportedthroughgrantsandimplementedinsponsorship-coveredareaswillcomplement

the sponsorship-funded projects to have greater impact on children and youth

27

Chapter III reviews the first two steps of project design in detail.

Step 1: Engage and prepare Step 2: Conduct focused assessment and

analysis

In this chapter you will learn how to:

• Identifyandprepareaprojectdesignteam

• Makearealisticactionplanandbudgetfor

project design

• Definethepurpose,keyquestionsandtopics

of a focused assessment and analysis

• Useappropriatemethodsandanalyticaltools

for a focused assessment and analysis

steP 1: engage anD PreParethe steP anD its imPortanceProject design is a collaborative process. In Step 1, you identify and engage stakeholders who should be

involved in the project design. Engaging stakeholders includes:

• Meetingwithpartnerswhowillbeinvolvedinprojectimplementation

• Contactingregionaltechnicalspecialiststoscheduleassistanceandreviews

• Makingplanstoappropriatelyinvolvechildren,youthandprojectbeneficiaries

• DevelopingateamingagreementoraMemorandumofUnderstandinginthosecaseswhere

stakeholder engagements are formal

In Step 1, you identify and organize a project design team with a range of needed skills. This project

design team will (a) plan for each step of project design and (b) gather and review preliminary information,

such as donor guidelines for the proposal.

Lessons Learned: The Americas region ChildFund staff clearly recognize the importance of identifying a

project design team and working collaboratively on during the process of project design. In the past, a

project with little input from community-level stakeholders led to lack of ownership and difficulties in project

implementation. Working as a team demonstrates that project design is everyone’s business (program,

finance and sponsorship) and benefits from multiple perspectives.

chaPter iii: steP 1 & steP 2steP 1: engage anD PreParesteP 2: conDuct focuseD assessment anD analysis

chapter iii: step 1 and step 2

28


Budgeting for project design is part of the planning process. Project design is a cost to ChildFund that

includes staff time, vehicle use, stakeholder meetings, consultants and other.

Step 1 ensures that key people and organizations are engaged and committed and that the project design

effort is well organized and planned. Why invest in this step? Failure to plan is planning to fail! A good

action plan helps ensure that the project design effort goes smoothly. This can be crucial if you are writing

a grant proposal with a tight deadline.

Lessons Learned: Clearly defined and assigned roles and responsibilities are essential for successful

project design! In Honduras, a project design team for a large child survival grant included representatives

from IO, Field Office, NO and partners. Each team member had a specific role, for example, the IO was

responsible for the budget section and compliance questions. In Senegal, for a nutrition consortium grant,

the NO hired a consultant to write the proposal and the regional team was tasked with costing the budget.

Assigning clear roles and responsibilities to project design team members made for efficient project design

and resulted in good quality proposals. In contrast, for a ChildFund youth empowerment project, the team’s

roles and responsibilities were unclear and no team leader was designated. This resulted in frustration and

much wasted time. Although the proposal was submitted on time, the quality was poor and the proposal

was not funded.

think about it!

• Comparetheselessonslearnedtoyourownexperienceidentifyingandorganizing

project design teams and assigning roles and responsibilities.

• Whatworkedwellandwhy?Whatwouldyouhavedonedifferentlyandwhy?

key termsTable 6: Definition of Key Terms for Step 1

Project design team A carefully selected group of people tasked with planning and carrying out the steps of project design, and writing the project proposal.

Project stakeholders

Individuals or groups with an interest in or influence over the project being designed. They usually include youth, children, community members, local partners, local government, community-based NGOs, other international NGOs, and of course ChildFund itself. Stakeholders play an active role in designing the project or are informed and consulted as required.

Concept note A 1-2 page document with initial or summarized project design ideas. Concept notes help test ideas and gain approval before investing further in project design.

Partners Groups or organizations that implement the project or selected project activities; may be involved in identifying and designing the project.

29

steP 1.1 iDentify the Project iDea anD write a concePt note

Projects are identified in many ways. A recently completed ASP will have project outlines for the three

years of the program cycle. Or you may have identified a funding opportunity for a project that links well to

strategic objectives of your CSP.

At this early stage, consider writing a concept note with initial project ideas. Concept notes enable you to

share project ideas to ensure you are on the right track and get approval before investing further in project

design. Some donors require a concept note and may use them to short-list competing organizations. In

this case, you will want to skip ahead and do a quick and short assessment (Step 2). Writing a concept

note is optional. It may not be needed if you have (a) a project outline from the ASP or (b) a pipeline of

relevant, ready-to-submit project proposals.

If you write a concept note, keep it short. Typically one to two pages in length, a concept note answers

these questions:

• Whoisthetargetedgroup?

• Whataretheidentifiedproblemsorissues,

and why are they important?

• Whatistheproposedprojectstrategyto


• Whataretheproposedprojectobjectives?

Show these in a draft results framework.

• Whataretheproject’smajoractivities?

• Whatistheestimatedbudget?

Lessons Learned: With or without a concept note, always consider the likely available project budget from

the start! This ensures that the project scope is realistic. Budget planning starts at the beginning of project

design – and this is especially important for grants.

A sample concept note format is included in the Appendix. If a donor has a concept note format, use that.

steP 1.2 meet with Partners anD DeveloP agreements

Meeting with partners – those who will implement the project – is a key task in Step 1. If the project links

to an ASP, you may have a Memorandum of Understanding (MOU) between local partners (Federations or

other organizations) and ChildFund. If have not yet done during Area Strategic Planning, confirm the local

Area partner who will design and manage the project as well as the implementing partners (government

agencies, community-based organizations, etc.)

These meetings are key to the quality of both project design and eventually implementation. The result

is that partners will clearly understand their role and ChildFund will have a clearer understanding of the

partners’ contribution


30


In some situations, you may need to develop a project agreement, or more formal teaming agreement

with partners you plan to collaborate with on a project, bid or contract. For a large grant with primary and

sub-recipients, refer to the Hub for detailed information and guidelines on agreements. For competitive

grants funded by bilateral and multilateral government agencies (e.g. USAID, United Nations Children’s Fund

- UNICEF) or foundations, the Global Grants Team has decision-making guidelines specifying (a) who is

responsible, (b) who is accountable for final decision-making, (c) who should be consulted, and (d) who

should be informed. Consult the Hub for further information.

steP 1.3 iDentify members of the Project Design team anD their roles

Analyze what skills are needed to design the project before identifying the design team members. The

composition of a design team and the definition of roles depend on the project scope (size, scale and

complexity); existing Field or NO capacity; funding source; and proposal due date. In general, project

design teams include members with technical, finance, M&E, and writing skills. Ensure the integration of

the promise to sponsors by including a sponsorship coordinator on the team.

Name a team leader with good organizational and facilitation skills to make certain that project design is

effective and efficient. Team leaders vary depending on the context.

• Foraverylargegrant,ChildFundstaffmembersorhiredconsultants/proposalwritersmaylead

project design.

• ForprojectsthatarelinkedtoanASPandfundedthroughsponsorship,theteamisusuallyledbythe

local partner (Federation) Manager or Technical Officers, supported by the ChildFund Area Manager.

In this case, ChildFund NO staff may play more of a coaching role.

• Foraprojectdesignedandimplementedbychildrenandyouth,theteamleadershouldbea

facilitator specialized in working with children and youth.

Lessons Learned: ChildFund staff from the Mississippi Area of the U.S. NO said that the facilitator’s role in

a project design team is essential, especially when staff are unfamiliar with project design processes. A

facilitator helps manage and structure the design process so that team members do not feel overwhelmed.

Outside expertise may be needed. This may include technical advice from the RO or IO level during key

project design steps. Consultants are often hired in cases when there is a tight proposal deadline, or when

the design team needs specific knowledge of donor requirements, technical expertise, or English proficiency

for the proposal writing.

31

For example, in Ethiopia, staff had weak skills in project design and in particular data collection. In light of

this, they hired a consultant with data collection skills to coach the project design team during the focused

assessment and analysis. In the Philippines, staff had strong knowledge and skills in data collection, but

lacked technical expertise for the project being designed. Thus, they contacted the ChildFund global expert

on youth employment for advice.

Decide how children and youth should be involved on the team. Involve project implementers, if

available, in the project design team because this fosters ownership and motivation.

Use the worksheet (Table 7) to record the roles and responsibilities of project design team members,

outside experts, partners and children and youth. Tip: For a small project, a few project design team

members may take on all several of these roles.

Table 7: Worksheet to identify project design team members, roles and responsibilities

Project design team member role and related responsibilities

Who? Name(s) and specify if (a) full-time team member, (b) periodic input and advice, (c)

outside consultant.

Project design team leader and facilitator • Structuresandcoordinatestheprojectdesigneffort• Conductsnegotiationswithexternalstakeholders(donors,partners,govern-

ment)• Accountableforthequalityofprojectdesignandthefinalprojectproposal

Sector or theme technical advisor(s) • Ensurestheteamhasaccesstoknowledgeandbestpracticesfortheproject

theme (conceptual frameworks, relevant policies, data, etc.)• Identifiesoutsidesupportneeded• Linkswithothertechnicalstaff(donor,partner,government)

M&E specialist • Advisesonresultsframeworkandlogicalframework• Ensuresthatsoundindicatorsareselected• Helpsdeveloptheproject’sM&Eplan

Finance specialist (budget/compliance issues)• Ensuresthatbudgetplanningisdonefromthestart• Monitorsthatprojectscopeisappropriateforthisbudget• Helpsidentifycosts• Helpstowriteupbudgetandbudgetnarratives

Sponsorship advisor• Ensuretheprojectstrategyandactivitiesreflectthesponsorshippromiseas

appropriate

Proposal writer• Captureskeyideas,decisionsandoutputsduringallstepsofprojectdesign• Monitorsthatallneededinformationiscollectedthatfulfillstheneedsofthe

proposal format, any attachments or donor requirements• Draftsandfinalizestheprojectproposal


32


Project design team member role and related responsibilities

Who? Name(s) and specify if (a) full-time team member, (b) periodic input and advice, (c)

outside consultant.

Children and youth/ child and youth facilitator • Involveschildrenandyouthinvariousstepsofprojectdesignasappropriate• Ensuresthatthevoicesofchildrenandyoutharereflectedinprojectdesign

ideas and decisions

Project manager/implementer • Assistsasneededinallstepsofprojectdesign• Facilitatesfieldworkincommunitiesforthefocusedassessmentandmeet-

ings with stakeholders as appropriate

Other team members as required for the project’s scope• Listresponsibilitieshere:

steP 1.4 make a Project Design action Plan anD buDget

The plan enables you to (a) schedule all of the design steps, (b) identify who is involved, and (c)

determine the cost. A small project can be designed in a few days with costs for refreshments and a

meeting room. A large project may require months of project design work, costs for consultant fees and

travel, supplies such as laptops and printers, and vehicles for site visits.

The eight steps of project design are roughly chronological, but in some cases you should launch several

steps at once. A large grant with a tight deadline requires a Finance Manager to prepare the project budget

(Step 7) with information at hand from the start, and then correct and fill it in as the team works through

Steps 1-6.

The format in Table 8 can be used for the action plan. (Line 4 is filled out as an example.) Always begin

by identifying the proposal due date! Then “plan backwards” so that the proposal will be done on time.

After the project team completes this plan, inform other project stakeholders as appropriate.

Table 8: Sample Project Design Action PlanProject Design Step and Major

Activities Major Outputs Timeframe Budget, support or resources needed

1. Engage and prepare

2. Conduct focused assessment and analysis

3. Define the project strategy

33

Project Design Step and Major Activities Major Outputs Timeframe Budget, support or resources

needed

4. Construct the results framework and logical framework

Review and revise the results framework drafted in concept note. Complete the logical framework.

2 days; complete by March 30.

• Noadditionalcostsexcept time.

• RegionalorGlobalM&E advisor to provide technical assistance.

5. Develop the M&E Plan

6. Define implementation arrangements

7. Prepare the budget

8. Finalize the project proposal

Proposal Due Date: Fill this in first and plan backwards!

Lessons Learned: Project design isn’t free! In the Philippines, project design involved costs for travel,

meeting rooms, lodging and food for the project design team and the cost of a consultant. In Ethiopia,

a project design was carried out in an urban area without an ASP. In this case, more time was needed

especially for Step 2.

steP 1.5 orient anD train the Project Design team

Projects are often launched through a kick-off meeting. During this meeting, be sure to orient the project

design team members to the project theme, scope and situation. Below is a checklist of possible

orientation topics.

checklist of topics for Project Design team orientation

Review the project proposal format (Step 8, Chapter VI) or the

donor’s proposal format and guidelines

Review strategic documents, such as the CSP, ASP, and any donor

strategic plans (country, project technical area) to understand the

wider policy and sector-specific context

Ensure a common understanding of the purpose, importance and

steps of project design (Chapter II)

Discuss and clarify roles and responsibilities of team members.

(Step 1.3 above)


read the proposal format and guidelines —several

times! knowing the desired

“end result” will help to focus

project design team members

and keep all discussions

relevantandefficient.

34


Lessons Learned: In the Philippines, a ChildFund team designing a project on youth employment spent

one afternoon in an orientation where they reviewed

• A2-pageconceptnotedevelopedtheweekbefore

• Theprojectproposalformatand8stepsofprojectdesign

• Arecent,importantstudyonyouthemploymentinthePhilippines,donebyarespectedresearcher

• Theprojectdesignteammatrixofrolesandresponsibilities

• AconceptualframeworkforyouthemploymentandentrepreneurshipdevelopedbyImagineNations

along with ChildFund’s DEV framework

• ProgramdocumentssentbyChildFund’sglobaladvisoronyouthemployment

Project design team members found this orientation to be valuable. It allowed them to launch the project

design with a better understanding of the wider policy and sector-specific context for youth employment.

In the Americas, a team designing a Cultural Pilgrimage project oriented team members to the steps of

project design and organized a presentation on an existing, similar project. This helped ensure all team

members were on the same footing for knowledge of project design and provided a foundation on key

elements of the Cultural Pilgrimage.

Depending on the skills of the project design team and the project design situation, formal training may be

needed. Training and coaching can be an excellent opportunity to improve staff project design skills in an

“on-the-job” setting.

Lessons Learned: In Ethiopia, staff participating in project design for a child protection project needed

formal training to ensure valid and reliable qualitative data collection. They were trained in how to establish

rapport and ask questions, how to conduct a key informant interview and focus group discussions, how to

take and label notes, and how to handle difficult and sensitive situations.

linking steP 1 to the Project ProPosalKeep a record of the work of the project design team: names and positions of members, and meeting dates

and topics. You will include some of this information in the project proposal format, Project Rationale,

Section 1.

35

steP 2: conDuct focuseD assessment anD analysis

the steP anD its imPortanceIn Step 1, you identified the main project ideas, perhaps in a concept note. You have initial information

on the project’s intended target group(s), the issue or problems to be addressed, and the geographic

location. In this step, the project design team conducts a focused assessment and analysis. You will

gather additional information and gain deeper understanding of underlying causes of identified issues and

problems.

Assessment is a process of inquiry to gather information in order to identify and understand problems and

their causes. Problems of deprived, excluded and vulnerable children do not exist in isolation, but are

embedded in family, social, economic and political systems, and influenced by events such as disaster

or conflict. Assessment puts problems into a specific context. An assessment includes both secondary

and primary data gathering. Analysis is a process of deeply probing into the problems identified in the

assessment. Analysis investigates underlying causes and how these causes connect. Analysis is often

done with the help of tools, diagrams or questions that promote critical, analytical thinking.

The quality of a project rests largely on the quality of the

focused assessment and analysis. Why? Because, the way

you identify and analyze problems determines the possible

project strategies to be implemented. Superficial assessment

and analysis leads to inappropriate or irrelevant project

strategies that may even harm the children and youth they are

meant to help.

Lessons Learned: In the Bicol area of the Philippines a project design team gathered and reviewed

secondary data, collected primary data through interviews and focus groups and analyzed their findings

using a variety of analytical tools and frameworks. This focused assessment and analysis, along with a

review of best practices, enabled the team to develop a solid, context-specific project strategy: to reinforce

existing government efforts to train unemployed youth, organize youth in groups to promote leadership

and initiatives, and link these actions to market opportunities. Without this information, the team might

have ignored key information – and developed a wasteful project strategy that duplicated the government’s

existing efforts.


some think that assessment and

analysis can be skipped in a time-

sensitiveemergencyproject.think

again! assessment is a core standard

of the sphere Project humanitarian

charter and minimum standards.

36


think about it!

• Thinkofaprojectdesignsituationwhenanassessmentandanalysiswasdone

superficially.

• Whathappenedasaresult?Howdidthisaffectprojectsuccess?

ChildFund uses special methods and frameworks in this step to hear the voices of children and youth,

and to understand problems and causes from their perspectives. We’ve Got Something to Say provides

a range of tools to encourage children and youth to share their experiences and ideas and should be

consulted for use during the focused assessment. Use of the DEV framework in a focused assessment and

analysis will help the project design team to identify issues related to all aspects of child poverty: children’s

deprivation (of essential material conditions and services), exclusion (on the basis of age, gender, class,

caste) and vulnerability (threats in their social and physical environments). It also helps analyze (a) power

differences within communities and how they affect children’s access to services, and (b) how children and

youth vulnerability changes over time.

Assessment and analysis also look at strengths and assets. Children, youth and their communities have

capacities, resources and local knowledge that should be considered in developing the project’s strategy.

Lessons Learned: In Ethiopia, staff used the DEV framework and added the idea of resilience. They found

that vulnerable children had many capacities and resources (e.g. being a member of a family, participation

in a social group, problem-solving abilities, etc.) that were important to recognize and then strengthen.

Triangulation

The quality of information from assessments and analyses will be more valid and accurate if it is

triangulated. This involves using a mix of methods, multiple sources of information, and comparing

perspectives from different groups, especially the perspectives of deprived, excluded and vulnerable children

themselves.

Ethical Considerations

Ensure that ethical guidelines are applied for all assessment and analysis, especially for those with

children and youth. These guidelines include informed consent, confidentiality, and preparing a protection

referral plan. See page 40, of the Child and Youth Friendly Participatory Action Research Toolkit for more

information.

37

Why a focused assessment and analysis?

ASP community reflections are a type of assessment done to gain a broad

understanding of children’s experiences of deprivation, exclusion and

vulnerability in a specific geographic area. An ASP is a valuable source

of broad, general information. In project design, the assessment and

analysis must be focused on specific issues and problems of an identified

target group who will benefit from the project.

Lessons Learned: In Ethiopia, a focused assessment allowed partners to discover problems concerning

child protection unique to each slum community. This local partner said, “Before we used to copy and

paste information about issues from one area to another. We don’t deny that needs are similar but we

learned from doing project design that assuming problems were identical was wrong.”

Table 9 compares assessment and analysis for ASPs and project design.

Table 9: Comparison of Assessment and Analysis in an ASP and in Project Design

ASP Community Reflection Project Design Focused Assessment & Analysis

Purpose

• Assessesandanalyzesthebroad situation of children and youth experiences of deprivation, exclusion and vulnerability, and factors that contribute to or perpetuate these experiences.

• Assessesadefinedsetofproblems or needs affecting a specific group of deprived, excluded and vulnerable children and youth (e.g. malnourished infants or out-of-school children or disaffected youth) targeted by the project.

Scope

• Studiesalllifestages:healthyand secure infants; educated and confident children, skilled; and engaged youth

• Includesanin-depth,project-specific analysis of the factors that contribute to or perpetuate these specific problems or needs.

Methods

• IncludesArea-widesecondaryand primary information collection with an emphasis on community reflections

• Includessecondaryandprimaryinformation collection specific to the project context

Focus • Identifiesandprioritizesissuesand causes

• Identifiesspecificproblemsandcauses that the project strategy will address

Timeframe• Providesinformationtodevelopa

long term vision and goals, along with program objectives.

• Providesinformationtodefineobjectives to be achieved within the project’s time-frame.


never copy and paste the

asP‘scommunityreflection

section into the project

proposal!Itwillbeoverly

general and too long.

38


key termsTable 10: Definition of Key Terms for Step 2, Conduct Assessment and Analysis

Assessment A process of inquiry to gather information in order to understand a situation and explore issues, problems and opportunities.

Analysis A process of deeply probing into identified problems or issues to understand underlying causes and gain deeper insights.

Triangulation Viewing data from several perspectives and using multiple methods to ensure that data are valid, reliable and reflect reality.

Beneficiaries Those who benefit from the implementation of the project.

Target groups The group(s) that is directly and positively affected by the project.

Root causes

Causes are underlying factors that exist in the household, community, organization or external environment that have brought about a problem. Root causes underlie other causes and are usually related to cultural or social norms, inequities or unequal distributions of power and resources.

Need/gap analysis Difference between a current, undesirable situation and a desired future state.

Problem A specific, negative situation that describes who, what and where.

steP2.1 DefIneaPurPOse,keyquestIOnsanDtoPics

Gathering too much information is a common problem in this step of project design. Define purpose,

key questions3 and topics to avoid collecting overly general or too much information. Start by reviewing

the information you already have on the target group(s), the issue or problems to be addressed, and the

geographic location. This may include the CSP, ASP, proposals for similar projects and the concept note if

that exists.

Focus on problems affecting the specific target group! Ensure that the issues or problems to be assessed

and analyzed are situation-specific to the project site and target group. For example, if the project is to

work with youth living with HIV in a specific district, but only national level data is available, focus the

assessment’s primary data collection to explore problems experienced by the specific target group in that

district. For example, do youth aged 15-25 in that district have access to quality HIV/AIDS services? How

does this compare to national data and norms? And ask: what else do we need to know to develop an

appropriate project strategy and objectives?

3. Key questions are the broad questions that help organize information from the entire exercise and relate to the overall purpose of the focused assessment and analysis. Don’t confuse key questions with questions contained in interview or focus group questionnaires.

39

Lessons Learned: For a project to improve Koranic schools in the Thies region of Senegal, the project

team described the problems and situation using national-level economic data and population figures from

the national census. This information was too general to be of much use in project design that requires

understanding of local needs, issues and gaps.

Use Table 11 to help plan a focused assessment and analysis with a clear purpose, a set of key questions

and topic areas. Below is a sample done for a child protection project in West Africa. Table 11 also

includes columns for data sources. Secondary resources4 include existing relevant reports, evaluations and

studies. Primary data8 are usually collected from interviews, observations, focus group discussions and

participatory action research (PAR) methods.

Table 11: Focused assessment and analysis Project background: In Country X in West Africa, ChildFund is designing a project to address the protection of street children living in a slum area of the capital. The project is to be submitted to a donor who wants to strengthen child protection services for these children.

Purpose: To identify strengths, needs and gaps of formal and informal child protection services in the X slum area of the capital.

Key Questions and Topic AreasData Sources

Secondary Sources Primary Data Sources

What is the incidence and profile of street children in this community?

• CountryXSurvey on Street Children

Who provides child protection prevention and response services, where and to whom? How does this compare to the need for these services?

• NGOinventoryof available services for children

• Focusgroupwithstreetchildren• Interviewwithchildprotectiondistrict

officer• Interviewswithgrandmothers,who

informally provide care for street children

How do formal (government, INGO, community-based organizations) and informal (grandmothers who have opened their homes or spontaneously care for street children) child protection services and systems intersect?

• InterviewswithgovernmentandNGO service providers

• Focusgroupwithstreetchildren• Interviewswithgrandmothers,who

informally provide care for street children

How do children experience these child protection services? How does this differ by age, sex, or other factors?

• UNICEFreportonstreet children

• Focusgroupswithgirls(ofdifferentages)

• Focusgroupswithboys(ofdifferentages)

• Communitytransectwalk


4. See Step 2.4.1 Collect and review secondary resources for more information5. See Step 2.4.2 Collect primary data as needed for more information

40


Lessons Learned: The Philippines

project design team realized the

importance of developing key questions

for a focused assessment. Before, they

tended to jump straight into developing

interview questionnaires – and then

ended up with too much jumbled

information. Key questions and topic

areas act as “advance organizers” – they

help improve the quality of information

and then help to manage collected

information.

To help develop key questions and

topic areas, consider using assessment

standards for the theme or sector in

question or an appropriate conceptual

framework. They help trigger thinking

about possible key questions and

assessment topics and also provide

categories to organize data once it is

collected. Start by using the DEV framework to develop key questions and assessment topics. Depending

on the sector (e.g., nutrition) or target groups (e.g., street children, child laborers) related to the project

being designed, other conceptual frameworks may also be useful. ChildFund’s life-stage theories of change

should also be considered in developing key questions and topic areas for the focused assessment.

Lessons Learned: A project design team developed key questions for a child nutrition project. The

regional technical advisor for health and nutrition noted that all topic areas concerned inadequate access to

food. She introduced the team to the UNICEF conceptual framework (Figure 5) for malnutrition. With this

framework, the team realized a number of gaps in their thinking. In addition to access to food they also

needed to assess care for mothers and children, insufficient health services, and unhealthy environments.

Collecting information on all three causal factors enabled the team to develop more effective strategies to

address child malnutrition.

Malnutrition and death

Inadequate diatary intake Disease

Inadequate access to food

Inadequate care for mothers and children

Insufficient health services and unhealthy

environment

Inadequate education

Formal and informal institutions

Political and ideological infrastructure

Economic structure

Political resources

Figure 5 (Source: UNICEF)

41

steP 2.2 conDuct a stakeholDer analysisStakeholder analysis is useful for all projects and especially those tackling changes in deep-rooted cultural

beliefs or practices. Stakeholders are individuals, groups and institutions with an interest in or influence

over the project. These stakeholders can potentially support or undermine a project. Stakeholder analysis

identifies these people or groups, increases the design teams’ understanding of power relationships and

hidden influences and helps make decisions about how each stakeholder

should be involved throughout the life of the project. This includes the

steps of project design. For example, the team will have a better idea who

to interview during the focused assessment. Knowing what groups may

potentially threaten the project’s activities helps to strategize how these

stakeholders can be involved and become project supporters.

Examples of stakeholder analysis

• Inaprojecttoincreasegirls’education,school-agedgirlsareanobviousstakeholdergroup–they

will benefit directly from project activities. However, other stakeholders have powerful interest and

influence on girls’ education such as parents, elders, religious leaders, teachers, and government

education officers. If these stakeholders are not sensitized or involved, they may block project

activities. In southern Senegal, a project to increase girls’ enrollment involved grandmothers and

elders in the school curriculum to share cultural knowledge. This created a space for dialogue,

engaged these influential decision-makers and lowered community resistance to sending girls to

school.

• Inaprojecttoimproveyouth-friendlyreproductiveservices,religiousleaderswereidentifiedasa

stakeholder group. The leaders were consulted to develop an appropriate and culturally-acceptable

behavior change communication strategy.

• InaprojectonyouthemploymentinthePhilippines,powerfulsugarcaneplanterswereidentifiedasa

stakeholder group who could potentially block project activities if their labor pool was affected.

Lessons Learned: In the Mississippi Area of the U.S. National Office, staff found stakeholder analysis

very useful. In a past project involving youth, parents of teens had not been adequately involved and this

caused misunderstandings.

2.2.1 identify and list stakeholders

Stakeholders include the intended beneficiaries of the project and then individuals or groups who are

potential supporters or opponents of the project. Be as specific as possible and avoid general categories.


stakeholder analysis studies

power relationships that

should be managed to ensure

project success.

42


2.2.2 Identifyeachstakeholder’sinterests,influenceandrelationships

These questions will help the team to identify interests, influences and relationships.

• Whatisthisstakeholder’sinterestinorinfluenceovertheprimarybeneficiariesinthecontextofthis

project?

• Howmighteachstakeholderbeaffectedpositivelyornegativelybytheproject?

• Whataretheirrelationshipswiththebeneficiariesandotherinfluentialstakeholders?Arethere

potential conflicts?

• Whatmaybetheimpactoftheprojectontheirinterests?

2.2.3 summarize the information

Use charts and drawings, such

as a Venn diagram to capture

results of the stakeholder

analysis. Diagrams and charts

make the results easier to

understand; children and youth

can draw them.

2.2.4 Draw conclusions

Ask the project design team

to identify a small set of

key conclusions from the

stakeholder analysis and think

about implications for other steps of project design. These questions will help:

• Whatarethethreemostimportantthingswelearnedfromourstakeholderanalysis?

• Howshouldstakeholdersbeinformed,consultedorinvolvedinthefocusedassessmentand

analysis?

• Howshouldstakeholdersbeconsideredinotherstepsofprojectdesignsuchasthedevelopingthe

project strategy, defining the project budget, etc.?

Parents

Local Government

Local Partners

Peer INGOs

Pre-school Children

Community Members

ECD Workers

ECD Trainers

Figure 6 Venn Diagram

43

steP 2.3 listen to chilDren anD youth After identifying information needs, listening to deprived, excluded and vulnerable children and youth is an

integral part of a focused assessment; their opinions and ideas must be carefully considered. If the project

comes from an ASP, extensive consultations with children and youth should have already been done. In

this case, focus on filling needed information gaps. Consult ChildFund’s extensive literature on child-

friendly methods for assessment and analysis. These documents provide a wealth of practical guidance

including sample questionnaires, how to conduct focus groups and semi-structured interviews of children

and youth, and planning for children’s safety.

Lessons Learned: For a child protection project in urban Ethiopia, a project design team listened to children

separated from parents, street children, orphans, children heading households, children with disabilities,

adolescents working as sex workers, and children living with HIV/AIDS.

connecting the Dots

• We’ve Got Something to Say! Promoting Child and Youth Agency: A Facilitator’s Manual

(May 2010) includes a chapter on preparing a child-friendly enabling environment

(including how to train adults to value child and youth agency) and a chapter on

involving children and youth in planning which is relevant to project design.

• Talking to Youth About Leadership Livelihoods and Health: We’ve Got Something to Say!

Part II (May 2010) has sample assessment topic questions and for projects that target

youth employment, sexual and reproductive health and civic engagement and leadership.

• Child and Youth Participatory Action Research Toolkit (May 2010) provides practical,

participatory methods for all steps in P-DIME, including project design.

think about it!

1. How have you gathered information from different types and ages of children? What

worked well?

2. What are the lessons for this project’s focused assessment and analysis?


https://www.ccfhub.org/Groups/GlobalPrograms/CSPsASPs/Planning%20Processes/ASP_CSP%20Overview/Weve_Got_Something_To_Say.pdf

https://www.ccfhub.org/Groups/GlobalPrograms/CSPsASPs/Planning%20Processes/ASP_CSP%20Overview/Weve_Got_Something_To_Say_Part2.pdf

https://www.ccfhub.org/Groups/GlobalPrograms/CSPsASPs/Planning%20Processes/ASP_CSP%20Overview/Weve_Got_Something_To_Say_Part2.pdf

https://www.ccfhub.org/Groups/GlobalPrograms/CSPsASPs/Planning%20Processes/ASP_CSP%20Overview/Child_Friendly_PAR_Toolkit.pdf

44


steP 2.4 conDuct the focuseD assessment2.4.1Collectandreviewsecondaryresources

Identifying existing secondary resources has many benefits. First, it can save you time and money – you

can identify what is already known and what information gaps remain. Second, it serves to triangulate data

from other sources. Third, you can use it to identify potential informants for primary data gathering.

Secondary resources include existing relevant reports, evaluations and studies. Review the CSP and any

donor strategic plans to understand the larger context and the interests of other organizations. The CSP

may reference studies or reports relevant to the project. Donor

proposal guidance often includes project-specific information and

references. If you have an ASP relevant to the project topic, be

sure to review it. The checklist below gives specific instructions for

pulling project-specific information from an ASP.

checklist for pulling information from the asP for a focused project design assessment and analysis

Demographic Information (Section 2.2)

Community Reflections (Section 2.3)

Prioritize Issues of Children’s Experiences of DEV (Section 4.1)

Program Outlines (“Issues and Related Causes” section)

Project Outline (“Location and Target Groups” section)

Depending on the project scope and donor, the CSP and ASP may suffice as secondary resources. But in

most cases, you will need to gather more documents. The checklist below will help.

checklist for secondary resources for assessments in Project Design

Studies, assessment reports or policy papers by the UN, government and other NGOs relevant to the

target group and geographic location

• Forhealthyandsecureinfants,consultreportsbyUNICEF,theCOREgroup,USAID,theMinistryofHealth

and other INGOs

• ForeducatedandconfidentchildrenconsultreportsbyUNICEF,theMinistryofEducationandotherINGOs

• Forskilledandinvolvedyouth,consultUNICEF,theWorldBank,theSEEPnetwork(for

livelihoods), USAID and United Nations Population Fund (UNFPA) (for reproductive health),

relevant government Ministries, and other INGOs

Whataboutabaselinesurvey?as part of secondary data

collection,reviewthebaseline

surveyfindingsfromtheasP,

if one exists for your project.

However,collectingbaseline

surveydataisnotusuallypartof

a focused assessment for project

design due to time and costs

required.

45

ChildFund program models and standards relevant to the sector, theme or life-stage

Project evaluation findings and lessons learned from similar projects done by ChildFund or other

INGOs

Evaluation reports from earlier phases of the project

Example of secondary data collection: For a project concerning street children and child protection

services, these secondary resources were collected:

• UNICEFsituationanalysisonchildprotectioncontainingdistrict-leveldata

• Arecently-publishedHumanRightsWatchreportonstreetchildrenwithacasestudydoneinthe

project district

• MinistryofSocialWelfareplansandreportsfortheprojectdistrict

2.4.2 collect primary data as needed

After considering information from secondary resources,

collect primary data. In project design, primary data is

usually collected using qualitative methods. Choose the

most appropriate data collection methods, considering

available time and resources. Table 12 lists methods

commonly used in project design assessments.

Table 12: Menu of Methods for a Focused Assessment Primary Data CollectionMethod Brief description

Semi-structured interviews A short list of open questions, asked in a logical sequence to individuals or small groups. The questions guide the discussion and additional questions can be asked as the discussion flows.

Key informant interviews Questions asked of individuals with excellent insights on a specific topic.

ObservationGathering data on practices or services by observing. This might be done through a transect walk or guided observation in the community or looking at service delivery using an observation checklist.

Focus group discussionsLoosely structured discussion among 6-10 individuals to gather information on a particular topic. A moderator guides the discussion and encourages participants to talk freely and express ideas and beliefs. Another person takes careful notes.

Participatory Action Research

A relative of Participatory Rapid Appraisal (PRA), Participatory Action Research (PAR) refers to an approach and related methods to promote dialogue and participatory, collective research to enhance people’s awareness, confidence and empower their action (Chambers 1994).


qualitativedatacapturesparticipants’

experiences in their own words and helps

identifyproblemsandissues.thevalidity

andreliabilityofqualitativedatadependson

the skills of the people collecting it.

46


Lessons Learned: For a child protection project in an urban setting in Ethiopia, the project design team

did guided walk-abouts in the community. This revealed issues related to housing, sanitation and areas of

risk. These issues – visible during the walk-about – would not have come from interviews or focus group

discussions.

Sampling

The information needs identified in Table 11 will determine sampling methodologies. Assessments

commonly use qualitative methods and purposive sampling. An M&E or technical specialist can help

you to choose the appropriate number and types of groups or key informants to be interviewed, specific

characteristics, and the process for selection. Carefully prepare for the primary data collection by identifying

community gatekeepers to identify respondents, making a schedule with respondents and preparing semi-

structured questionnaires or focus group questions. Decide who will ask questions or moderate and who

will take notes.

connecting the Dots

• ConsulttheASPGuidance,pages42-44formoreinformationonsamplingappropriate

for qualitative methods and PAR methods that can be adapted to project design.

• ConsulttheArea-basedurbansituationanalysisStudyFieldManual–operationsmanualincluding

tools, guidelines, workplans and forms produced by the Africa Region for information on sampling

relevant to project design.

Gender Considerations

The focused assessment should encourage understanding of gender issues within a program. You may

wish to review these analytical frameworks: the Harvard framework, Moser Methodology and Longwe

Framework. Project design assessments typically look at these issues to ensure that gender is considered:

• Genderdivisionoflaborandwork

• Communityandsocialnormsforgenderroles

• Accesstoandcontroloverresources(land,

money, education, health, etc.)

• Genderparticipationindecision-making

• Viewsandexpectationsofgirlsandboysand

men and women concerning the proposed

project

Example of primary data collection: For a project to strengthen community-based child protection systems

in a peri-urban area of Dakar, the project design team:

• Held4focusgroupdiscussionswithgirlsandboysusingcriticalincidents

• Conducted11keyinformantinterviewswiththegovernmentfrontlinesocialworkers,grandmothers

identified as providing informal services to street children, traditional chief, public school teachers,

Islamic school teachers, and local NGO representatives

47

• Visitedthegovernmentchildprotectionservicecenter

• Conducted4transectwalksinthecommunity

2.4.3Considerresources,strengthsandassets

During the focused assessment and analysis, do not forget to identify community resources, strengths and

assets. The project strategy will benefit by building on or strengthening these community resources. PAR,

positive deviance and appreciative inquiry are methods to identify and map community resources, strengths

and assets.

connecting the Dots

• Formoreinformationonpositive deviance, consult the Basic Field Guide to the Positive

Deviance (PD) Approach (http://powerofpositivedeviance.com/pdf/fieldguide.pdf).

• Formoreinformationonappreciative inquiry, consult http://appreciativeinquiry.case.edu/intro/

default.cfm

steP 2.5 conDuct the focuseD analysis In this step, the team takes time to review the assessment information and findings and identify problems

more clearly. Analytical tools are used to help probe problems and related causes. By using these tools,

the team gains deeper insights and should be able to make better decisions about the project strategy and

objectives in the next steps of project design. Many analysis tools and methods exist. Below are four tools

that have been proven useful for project design: problem tree analysis, needs analysis, gap analysis and

force-field analysis. Use other analytical tools as appropriate for your specific project context.

2.5.1 capture and organize information

Invest time to capture and organize the information you’ve collected during the focused assessment. By

doing this you’ll ensure that solid data from the assessment is used to make good decisions in the next

steps of project design. To use information, the entire project design team (not just the focus group

moderators or interviewers) must access and understand findings. The checklist below provides tips:

• Organizedatausingcategoriesintherelevant

conceptual framework, the DEV framework

and/or the list of key questions

• Identifycategoriesthatemergefromthedata

itself – read and use colored pens to underline

similar categories

• Identifydifferentopinionsanddivergentviews

and experiences

• Compareandrelatecategoriesandopinions

• Capturekeyfindingsusingbulletedlistsor

brief reports.

• Usetables,diagramsandliststopresent

information succinctly

• Highlightselectedmeaningfulquotesfrom

informants

• Writeshortcasestudiesofachildoryouth

who is a member of the target group


http://powerofpositivedeviance.com/pdf/fieldguide.pdf

http://powerofpositivedeviance.com/pdf/fieldguide.pdf

http://appreciativeinquiry.case.edu/intro/default.cfm

http://appreciativeinquiry.case.edu/intro/default.cfm

48


Lessons Learned: In Ethiopia, ChildFund staff identified four stages of analysis: description, interpretation,

implication and knowledge. Too often, analysis gets stuck at the first level – information is only described.

This means that information from the focused assessment will not be credible or useful to guide decisions

about project strategies or objectives.

2.5.2 Do a Problem analysis

Problem analysis links findings from the focused assessment and analysis to the project strategy and

constructing results framework and logical framework. Problem analysis involves three steps. First,

the team synthesizes assessment findings to identify and agree on a number of key problems. This can

be done using the DEV framework as appropriate. For example, in the Philippines, a project on youth

employment identified problems specific to deprived youth (poor), excluded youth (school drop-outs), and

vulnerable youth (sugarcane plantation workers)

Second, a number of problems are distilled, refined and written as problem statements. A problem

statement is a succinct, specific, negative situation that describes who, what and where. Problem

statements should not use terms such as “lack of” or “need” – these terms presuppose a potential solution

(and in turn a potentially biased project strategy). Table 13 gives an example of a weak and a strong

problem statement.

Table 13: Weak and strong problem statementsWeak problem statement Strong problem statement

Poor people in India do not have enough money to provide good health care for their children, who suffer from diseases that are preventable by immunization.

In the Northern region of India, children under five suffer from high measles mortality rates, especially those from pastoral communities.

Poor and vulnerable youth in the Philippines need vocational training.

In the Bicol region of the Philippines, out-of-school youth ages 18-24 have irregular, low-paid and exploitative employment.

The weak problem statement in row one of Table 13

is not specific and is potentially biased – it implies

that low vaccination rates are due to lack of money.

The strong problem statement clearly defines who

(children under five), what (high measles mortality

rate) and where (pastoral communities in the

Northern region) and does not presuppose a single,

narrow cause.

lessons learned: in the bicol area

ofthePhilippines,aprojectdesign

team struggled with their problem tree.

afterwards,theyrealizedthattheir

problemstatementwasvague.arobust

problem tree hinges on identifying a clear

problem statement!

49

Third, problem trees are used to analyze causes and effects of identified problems. (In Step 3, problem

trees will be turned into solution trees to link analysis and objectives). A problem tree is a sketch that

gives a picture of the problem statement (trunk), its causes (roots) and effects (branches). Remember,

a problem is a specific negative situation that describes who, what and where. A cause is an underlying

factor that exists in the household, community, organization or external environment that has brought about

this problem. Root causes are underlying causes, usually related to cultural or social norms, inequities or

unequal distributions of power and resources, or other structures and systems. Effects are social, political

or economic conditions, usually negative, that result from the problem. Construct a problem tree using

these 10 steps below. Do one problem tree for each key problem you’ve identified.

Constructing a Problem Tree in 10 Steps

1. Draw an outline of a tree on a flip chart. Present

and explain each part of the tree using the definitions

above.

2. Write the problem statement on the trunk of the tree.

3. Ask participants to list the causes of the problem.

Write each cause on one card one card so the group

can move cards around as they discuss cause and

effect relationships.

4. Begin by identifying the immediate causes of the core problem (doing this will help develop clear

causal streams.) For each of these immediate causes, ask “Why does this occur? What explains

this?” Use data from the focused assessment.

5. Work your way down until you have reached “root causes” – the bottom-most, underlying causes –

usually related to norms, inequities, structures or systems.

6. Double-check that cards are logically organized in cause and effect layers from the immediate

causes down to the root causes. Be sure to draw one-way arrows to illustrate these cause and effect

relationships.

7. Ask participants to identify effects of the problem. Again write each idea on a separate card to let the

group move cards around as they discuss.

8. Probe for effects by asking “And then what happens? What are the consequences? How are the

targeted group affected?”

9. Organize the cards in cause and effect layers on the branches of the tree. Use arrows to show

relationships among effects.

10. Refine the problem tree by considering it as a whole. Continue to move around cards and arrows to

show plausible links between causes (roots), the problem (trunk) and effects (branches). You will

find that causes (roots) under each immediate cause form “causal streams”.


how strong is your problem tree? Problem trees are only as good as the

knowledge and analytical skills of those

doing them. use data and knowledge

from secondary and primary data

collectionandinvitetechnicalspecialists

tohelpconstructarobustandvalid

problem tree.

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Review the completed problem tree and draw conclusions

Take time to look at the problem tree results and invite the project design team to draw conclusions. The

checklist below will help.

• Whatarethemostimportantandinfluentialcausesthatmustbeaddressedorprioritizedbythe

project to tackle the problem? (These are called “key leverage points”).

• Whatproblemsandcausalstreamscanbeaddressedbytheprojectgivenitsprobablebudgetand

scope?

• Whichproblemsandcausalstreamsshouldberecognized–butcannotbeaddressedbythis

particular project? How might they be addressed by other stakeholders or though advocacy at the

national level?

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OSY do not benefit from entrepreneurial opportunities


Trunk:Core Problem

Example: Problem Tree from the Philippines Out-of-School Youth

OSY are not adequately trained or prepared for gainful

employment

Branches:Effects

Core Problem: OSY,ages 18-25 in Bicol are often unemployed, work for low wages, work seasonally and

are vulnerable to exploitative work

OSY have limited access to employment opportunities

OSY suffer from low self-esteem and lack of self-confidence

Limited information on available training to develop

skills

Lack of necessary support

(transport fuel)

Youth have no idea

what skills to develop

All OSY do not access vocational training

Vodational training in

Bicol focuses on technical skills only

Skills Training does not always

(with some exceptions)

match markets

Parents don’t appreciate or support vocational

tech training; believe

only 4-year course offeres

opportunities

No career or guidance counseling

Society values 4-year degrees

No life-skills training nor

business skills (numeracy) training is

offered

Of those trained, no opportunity

to apply new skill

Youth cannot articulate skills to match with employment opportunities

Communications and Information

gap between employers, market and vocational training

institutions

Poor selection

of training participants

Inadequate post-training support

(materials, mentoring, link to job

opportunities)

Youth drop out of formal

education and have no high

school diploma

Youth need to augment

family needs and

income

Youth are uninterested

in formal education

Youth can-not cope

with school require-ments

Youth lack ambition are “satisfied” with status quo

Cultural norms

Slow development in the country-side

Lack of information

Intended target groups are not reached

by vocational training services

Lack of resources for

agencies to do massive info dissemination

Youth have limited

entrepreneurial sills and know-

how

Youth are unaware of

entrepreneurial practices

Youth lack capital and access to

financial services

Youth have low interest in

agriculture

Youth lack motivation to avail of

employment opportunities

Seasonal job opportunities

suffice for their needs

Youth lack entrepreneurial

spirit

No formal entrepreneurial training exists

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2.5.3 Do a needs analysis

Needs analysis is helpful when different stakeholders have different ideas of the problem and the best

solution. Needs are the difference between a current, undesirable situation and a desired future state.

Defining needs, however, depends on personal views and values. Communities sometimes express needs

according to what they believe an NGO can deliver. Experts may think they know what children and youth

need without consulting them. Thus, needs analysis seeks to understand real and perceived needs of those

targeted by the project, and explore these from different perspectives. It analyzes four dimensions of need

to see where and how these dimensions converge, as illustrated in Table 14. This can be very helpful to

reconcile different stakeholders’ perspectives and lead to project strategies that are mutually acceptable.

Table 14: Dimensions of need

Dimension of need Example

1. Felt needs are an individual or group’s perception of need. Felt needs are what people say when asked or what people think they lack.

During a focus group discussion on infant health, parents ask for a health clinic to be constructed.

2. Expressed needs show what goods, services people are willing to use, seek or buy – these demonstrate how much people care about something

Mothers show an expressed need for health services by walking 10 kilometers to the nearest town with a health clinic and pay a fee for child vaccinations

3. Normative needs are determined by experts and reflect national or global standards or policy

A doctor says that the village needs an outreach primary health care project for vaccination because in this community only 20% of children are fully vaccinated and the national standard is for 80% coverage.

4. Comparative needs describe the level of need in a proposed project area relative to similar communities

An NGO gathers information showing that the vaccination rates in this project area are much lower than elsewhere in the region, showing a comparative need for more health services.

2.5.4 Do a gap analysis

Gap analysis is very useful for projects intending to strengthen service delivery. Gap analysis looks at

service coverage, reach and quality and identifies how services could be extended, expanded or improved.

Doing a gap analysis helps identify how ChildFund can strengthen services or actions that already exist and

avoid duplication of effort. Gaps can be analyzed by first answering the questions in Table 15 and then

analyzing the responses to identify gaps.

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Table 15: Questions for a gap analysis

Question Answers

Analysis: What are the major gaps related to access, coverage or

quality? What are the implications for this project’s strategy?

Who? What actors are already addressing the identified problems?

Where?

Which geographic areas are covered by these actors and related services? Consider displaying this information on a map to visualize coverage.

What? What are the current services or activities offered?

How? How well are these services and activities being delivered? What is their quality?

Coverage How many target groups are being served?

Example of a Gap Analysis: The Daara Plus proposal from Senegal aims to improve the quality of Daaras

(Koranic schools) in one district. Senegal government policy is to support eligible Daaras that combine

Koranic and state school curricula. Educational coverage by Daara in this district was acceptable for

school-aged children, but many lacked key programs for pre-school age groups and were found to provide

sub-optimal educational services. After conducting a gap analysis in the District, ChildFund was able to

identify and target Daaras requiring additional programs and curriculum strengthening to bring them up to

government standards. In the Philippines for a project on youth employment, the gap analysis revealed a

mismatch between youth’s expressed needs, market demand by the private sector and the kinds of training

offered by vocational schools.

2.5.5 force field analysis

A force-field analysis is a simple chart useful for identifying both problems and issues (hindering factors)

and strengths and assets (helpful factors) that lead towards or away from achieving a goal. Figure 8

shows a force field analysis framework with sample information from a focused assessment on youth

employment. Force field analyses can help develop a project strategy by analyzing how to strengthen

helping factors and lessen hindering factors.

Figure 8: Force Field Analysis for Youth Employment

Youth ages 15-24 years of age are skilled entrepreneursHelping Factors Hindering Factors

Some training resources exist Lack of entrepreneurial mind-set; youth are passive

Labor codes are favorable Capital is not easily available

Youth are interested Available training not focused on entrepreneurship

Idle land is an available resource No post-training follow up or job bridging

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2.5.6 other tools of analysis

Many other analysis tools exist. It may be appropriate to do a Strengths, Weaknesses, Opportunities and

Threats (SWOT) analysis. Gender analysis tools are relevant to all ChildFund projects, and especially those

related to child protection, girls’ education and adolescent health. Many gender analysis tools are available

on the internet. Consult the International Center for Research on Women (ICRW) to start. Again, choose the

analytical tools best suited to your specific project design context.

ChildFund’s Child and Youth Participatory Action Research Toolkit includes information on related and

complementary analysis tools that are useful in problem analysis, especially when done by children and

youth.

think about it!

• Whattoolsofanalysishaveyoufoundmostusefulinyourownprojectdesignworkand

why?

steP 2.6 Draw conclusions There is too often a disconnect between the information and knowledge gained from an assessment and

analysis and the decisions made in subsequent steps of project design. Be sure to draw conclusions and

identify implications for the next steps of project design.

Lessons Learned: In the Bicol area of the Philippines, the project design team answered these questions to

draw key conclusions from all of the information coming from the assessment and analysis.

• Whatarethethreemostimportantthingswe’velearnedaboutyouthemploymentissuesandexisting

services in Bicol?

• Whatproblemsandissuesaremostimportanttoconsideraswedeveloptheprojectstrategyand

objectives?

Notes to the Project Design Team

Be sure to safeguard the work done in this step because you them in Steps 3 and 4. For example, problem

trees are needed for work in Step 3. The results from the stakeholder analysis will be very useful in Step 4

when you identify assumptions within the logical framework.

Take time to review and update the project design action plan so that it continues to be realistic. This is

especially important if you have very rigid deadlines given by the donor! If you are behind, think of ways to

speed up the rest of the project design steps without compromising quality.

linking steP 2 to the Project ProPosal Information from this step is distilled and included in Section 2 (Project Rationale) of the project proposal.

You also refer to this information for Section 4 (Project Strategy) in the justification of the project strategy.

https://www.ccfhub.org/Groups/GlobalPrograms/CSPsASPs/Planning%20Processes/ASP_CSP%20Overview/Child_Friendly_PAR_Toolkit.pdf

55

Chapter IV reviews Steps 3 to 5 of project design in detail. These steps are:

Step 3: Define the Project Strategy

Step 4: Construct the Results Framework and Logical Framework

Step 5: Develop the M&E Plan

In this chapter you will:

• Learnhowtolinkproblemanalysistodefinitionofaprojectstrategy

• Examineadvantagesoftheresultsframeworkandlogicalframeworkinprojectdesign

• Learnhowtoconstructaresultsframeworkandlogicalframework

• ExamineallelementsofanM&Eplanappropriatetoincludeinaprojectproposal

Steps 3, 4 and 5 are closely linked. Sequencing these steps is a matter of debate. Some people prefer

working on a results framework first, before defining the project strategy. It is a back-and-forth or iterative

process. Use your judgment and consult technical advisors for the most optimal sequence in your project

design situation.

steP 3: Define the Project strategythe steP anD its imPortanceIn Step 2, you defined who is the target group – whose problems will be addressed by this project. A

project strategy, (sometimes called an intervention or approach), describes clearly and succinctly what and

how. Who, what and how are linked:

• Whoisthetargetgroup–whoseproblemswillbeaddressed?(fromStep2)

• Whatarethegoods,servicesorchangesthattheprojectwillprovideordelivertothisgroupto


• Howwillthesebeprovidedordelivered?

ChapterIV:step3,step4andstep5

CHaPterIV:steP3,steP4& steP 5steP 3: Define the Project strategysteP 4: construct the results framework & logical frameworksteP 5: DeveloP the m&e Plan

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Answering these questions can be tricky because problems may be addressed by different strategy options.

Consider, for example, a village with no access to clean drinking water or sanitation facilities where children

suffer from diarrhea. In this case, a project objective would be to improve access to clean drinking water

and sanitation. Project strategy options might include:

• Deliveringdrinkingwaterbytrucktothevillageseveraltimesaweekandinstallingready-made

latrines

• Advocatingwiththegovernment’slocalwaterandsanitationdepartmenttoestablishwaterfacilities

and constructing VIP latrines in underserved neighborhoods

• Helpingacommunityorganizetoconstructcement-linedwellsandmanufactureslabsforpitlatrines

that are sold to interested households

How can we know if a strategy will work?

A strategy is based on a theory of change – a hypothesis or educated guess of how change will occur in the

project setting. For example, the objective of a West African nutrition project is to improve the nutrition of

infants from 0-2 years of age. The assessment and analysis point out that mothers’ knowledge of optimal

weaning practices is low. The proposed project strategy is: nurses will train mothers on optimal weaning

practices at health centers during monthly visits. Training consists of lectures which the nurses will deliver

using their nursing school lessons on nutrition.

The project design team believes this strategy will address poor infant nutrition and lead to the end-of-

project objective of mothers practicing optimal weaning. Do you think this strategy is likely to work? In

fact, this strategy is likely to fail, based on evidence drawing from adult education principles and social

and behavior change communication best practices. In the West Africa context, it’s very likely that mothers

cannot access nutritious weaning foods, do not have time to feed children, and are strongly influenced by

advice from grandmothers. Educating the mothers in isolation through school lectures will likely have very

little, if any, effect on their behavior! Nevertheless, “health talks” is a commonly used project strategy, based

on beliefs and assumptions about what works rather than evidence from behavior change communication

about what has been proven to work in many environments.

How do you choose the best strategy?

Project stakeholders often have different ideas about which strategies are best. Some of their ideas may be

based on assumptions or beliefs about what strategy will work best, rather than facts or evidence! A solid

project strategy is based on a combination of:

• Clear,analyticalandlogicalreasoningofhowthestrategydirectlyrespondstothestatedproblems,

defined in Step 2

• Creativethinkingastheprojectdesignteamconsidersstrategyoptions

57

• Considerationofprojectparameters:theavailablebudget,thedonorrequirements,sponsorship

consideration, the ChildFund CSP, etc.

• Dialogueamongprojectstakeholders(ChildFundstaff,communitystakeholders,partners,the

target group and others) that gathers ideas and advice on proposed strategy options from many

perspectives

• Strongevidencefromwideresearchandlessonslearnedthatthestrategywillwork–inthecaseof

ChildFund this evidence comes from its Program Approach and three core programs, including life

stage theory of change, examples of good practice and program standards

• Criticalthinkingabouthowaproposedstrategycanbesuccessfullyadaptedtothelocalproject

environment

The life-stage Theory of Change (TOC) being developed by ChildFund will also help to define project

strategies. This is because the TOC defines domains of change and pathways leading to the desired goal

(achievement of core outcomes).

think about it!

• Haveyouexperiencedaprojectdesignsituationwheredifferentstakeholdershad

different views about what strategy was best?

• Howdidyoureconciletheseideasandcometoconsensus?


Project Strategy Describes who, what and how: how problems will be addressed and objectives achieved

Theory of Change/Project Hypothesis

Describes how a project strategy is expected to effect change in a given situation

steP 3.1 convert the Problem tree into a success tree

A practical way to start developing the project strategy is to convert the problem tree and its causes (from

Step 2) to a success tree. The success tree transforms problems and causes/causal streams to positive

statements. Doing a success tree to start is advantageous: it provides a clear link to problems and issues

identified during the focused assessment and analysis and also provides a rough “theory of change”.

This theory of change will continue being refined as you work through results frameworks and logical

frameworks in Step 4.


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First, place the problem tree from Step 2 next to a blank success tree. Then convert all problems into

positive statements that are achievable. Figure 9 illustrates this process - in reality, such a problem tree

would have many more causes related to the project context.

Figure 9 : Converting a Problem Tree into a Success Tree

The rough theory of change in Figure 9 is that if optimal advice on breastfeeding is transmitted by influential

elders, if mothers have more time for exclusive breastfeeding, and if community norms are supportive of

exclusive breastfeeding - then mothers’ knowledge, attitudes and behaviors will change. In this case,

the project strategy might be three-fold: dialogue with grandmothers and traditional birth attendants on

breastfeeding during interpersonal communication, putting in place alternative employment schemes for

mothers and changing community norms through theatre and a communication campaign.

Problem tree success tree

High rates of infant mortality

High rates of diarrhea and malnutrition among infants younger than six months

Mothers discard colostrum and give a purge

Mothers give water and porridge to infants starting at one month of age.

Mothers do not know that unclean water will make infants sick

Reduced infant mortality rates

Reduced rates of diarrhea and malnutrition among infants younger

than six months

Infants benefit from colostrum



Mothers believe that breast milk alone is not nutritionally sufficient for infants

younger than 6 months

Mothers believe that breast milk is sufficient for baby’s nutritional needs for

first six months

Mothers believe that infants under six months are thirsty and need to be given

water.

Mothers believe that breast milk provides all needed liquid for infants

less than six months.

Influential elders including traditional

birth attendants and grandmothers

are unaware of advantages

of exclusive breastfeeding

Mothers work as

petty traders and have

little time for exclusive

breastfeed-ing

Community norms

influence practices

such as giving purges and discarding colostrum

Influential elders are educated and aware of

the advantages of exclusive

breastfeeding

Mothers have more

time for exclusive

breastfeed-ing

Community norms

support giving colostrum

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Trunk:Core Success

Another example of a success tree comes from the Philippines for an out-of-school youth project.

Branches:Effects

OSY (ages 18-24) in Bicol are gainfully employed

OSYbenefit from entrepreneurial opportunities

OSY are well-trained and prepared for gainful

employment

Employment opportunities are accessable to OSY

OSY are confident and display a sense of pride

Enough info is available

on skills development

training

OSYs have adequate and

necessary support

Nearly all OSY can access vocational training

Vodational training in Bicol

focuses on technical, life, and business (numeracy)

skills

Vocational training is linked to available markets and job

opportunities

OSYs receive life & business skills training

Youth have clear ideas on

skills to develop; can articulate skills to match employment

opps

Youth have ambitions and

strive to achieve them

Good information on market is

available

Opportunities available to

apply training skills

Youth stay in school and finish

HS; youth are interested in

formal education

Country-side is developed

Youth are more interested in agriculture

Youth have adequate

entrepreneurial sills

Youth strive to have regular

income

Youth have access to

sufficient capital and financial

services

Youth have and entrepreneurial

“mind set”

Youth are provided

with Career Guidance

Parents appreciate

and support vocational

and technical education

Society values all educational

activities

Training participants

are well selected

Post training support is available

Youth are able to cope with school

requirements

Family income allows youth to finish school

Intended target clients are reached

Sufficient information of employment

opportunities is available

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steP 3.2 review or Draft the Project strategyAs discussed earlier, to define a robust project strategy, you need to consider a host of factors and

perspectives. You also need to stimulate analytical, creative and critical thinking. The following checklist

of questions has proven helpful to capture key ideas both this step and previous steps and draft the project

strategy.

Who

• Whoisthespecifictargetgroupofchildrenandyouthexpectedtobenefitfromtheproject?

• Howwillsponsoredchildrenbeincludedinprojectsdesignedforsponsorshiparea?

• Isthereamarginalizedsub-groupofchildrenwhoneedspecialattention?

• Howwillinfluentialstakeholders(forexample,elders)beinvolved?

What

• Whichproblemswillbeaddressedwiththeresourcesavailable?Haveexclusionandvulnerability,

and not just deprivation, been considered?

• Whatgoods,servicesorchangeswillbeprovidedordeliveredbytheproject?

• Whichgovernmentpoliciesorprogramsshouldbeconsidered?

• HowisthisstrategyconnectedtoChildFund’scoreintent,theCSPandASP?

How

• Whataretheoptionsforprovidinggoods,servicesorchangestothetargetgroup?Whichstrategyis

likely to have greatest impact? Which strategy leverages existing local resources? Which strategy is

most realistic given the expected project financing?

• Howdoesthestrategyinvolveandengagechildren,youthandkeystakeholders?

• Isthestrategyappropriategiventheexistingcultureandcontext?

• Aretheproposedstrategiesevidence-basedoristhereanothercompellingreasontoselectthem?

• Doesthestrategyintegrateoraddresschildprotection?Howmightthestrategyfacilitatechildren’s

access to protective environments and services?

• Whatwillbesustainableaftertheprojectendsandhowwilllocalownershipbesupported?

Identify Risks

• Whowillbenefitandwhowillloseintheproposedstrategy?Whatpowershiftsmighthappen?

• Howcanpotentialnegativeimpactbeavoided?

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steP 3.3 write a concise Project strategy statement

Distill the project strategy into a short paragraph – a project strategy statement. Your project strategy

statement should:

• Communicatethewho,whatandhowclearlyandconciselytoanoutsidereader

• Showthepersuasiverationalebehindthechoiceofthisparticularstrategy

Sample project strategy statements follow in Table 17.

Table 17: Sample Project Strategy Statements

Girls Education Project Strategy

10,000 at-risk girls will be targeted in 9 countries to improve school retention. The project strategy has 3 components: (a) life-skills training of the girls in partnership with the Ministries of Education, (b) sensitization and mobilization of community-based organizations such as PTAs and local committees, and (c) youth club support. These strategies work together to increase girls’ self-esteem and confidence to succeed in school and to ensure a positive enabling environment for them to stay in school. Girls most-at-risk will benefit from scholarships that will be managed by community-based organizations.

Youth Employment

Project Strategy

Targeting 5000 unemployed young men and women, ages 15-24, ChildFund will partner with Junior Achievement to train them in a one-year program. Junior Achievement has a proven, innovative training curriculum that combines theory and practice. It increases understanding and vision of economics and business, practical and hands-on business skills in organizing and operating an actual business enterprise. Learning is also promoted through fairs where youth exchange lessons learned and ideas on business organization and operations with their peers.

A list of project activities is not a project strategy! Many project proposals bog down with an overly long

description of project activities – and fail to concisely communicate the project strategy. Do not bury the

strategy in a long list of project activities and assume the strategy can be inferred. Remember, a project

strategy statement concisely communicates who, what and how. A well-defined strategy and a list of project

activities (Step 5) are both parts of a well-designed project. Table 18 compares these terms.

Table 18: The Difference between a Project Strategy and a List of ActivitiesProject Strategy Related Project Activities

To improve the growth and development of children 1-5 years of age in 6 rural and urban districts of Indonesia, ChildFund will improve center-based early childhood development services run by the government. ChildFund will improve the quality, reach and community ownership of these services through staff training; organizational strengthening; and supporting the Government in the construction of 5 new centers.

For the quality component of the strategy• Hirequalitycoordinator• Assessservicequality• Trainserviceprovidersinidentifiedareasofweakness• Providepost-trainingcoachingofserviceproviders• Conductreflectionmeetingswhereproblemsaffectingthequalityofcenter

services are identified and resolved• PurchaseneededlearningandplaymaterialsFor the reach component of the strategy• EstablishanagreementwiththeGovernmenttoconstruct5additional

centers in underserved communities• Etc.For the community-ownership component of the strategy• Identifyandinvolvetargetedcommunitymembersinthecentermanagement• Etc.


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Note to the Design Team

Safeguard work from the success tree to refine objectives and construct the results framework and logical

framework. As always, review and update your project design action plan.

linking steP 3 to the Project ProPosal Information from this step will go into Section 3 (Project Strategy) of the project proposal.

steP 4: construct the results framework & logical frameworkthe steP anD its imPortanceIn this step, information from previous steps is used to develop a results framework and the logical

framework. With these two frameworks, you develop a hierarchy of objectives, indicators to measure

progress and impact, related measurement methods and data sources, and identify critical assumptions for

project success. These frameworks are important components in your M&E plan.

A results framework is an easy-to-read snapshot of the

project’s objectives hierarchy – goal, project objectives,

outcomes, and outputs. The results framework describes

what we think are the right things to do to achieve objectives.

Are we doing the right things in a logical pathway to a result

we feel is important? With a results framework, project

staff and other stakeholders can easily understand the main

purpose and logic of the project. Results frameworks are

required in proposals for USAID, but they are recommended

for any project.

A logical framework lists objectives from the results framework (column 1) along with lower-level

objectives, but includes other information. Indicators and measurement methods (columns 2 and 3 of

the logical framework) provide core elements of project monitoring and evaluation and ensure that the

objectives, as stated, are measurable. These two columns provide the basis for an M&E plan that helps

ensure effective monitoring and reporting to donors and sponsors. Assumptions (column 4 of the logical

framework) ensure that expectations about events and conditions outside of the project’s control are

realistic.

monitoringisthecollection,analysis,communication and use of information

about a project’s progress. evaluation

isthesystematiccollection,analysis,

communication and use of information

about program and project outcomes.

more details on m&e are found in step 5

(DeveloptheM&e Plan).

63

Constructing these frameworks uses information from earlier steps of project design. For example,

information from the focused assessment will inform assumptions. The success tree done in Step 3 will

help to construct the results framework. The strategy statement from Step 3 relates to lower-level objectives

(activity and outputs) of the logical framework. These frameworks capture and articulate the project’s

theory of change and assumptions about how positive change will occur. At the same time, constructing

a results framework and logical framework provide a final test of the theory of change or project hypothesis

underlying your intended project strategy.

Thus, results frameworks and logical frameworks help ensure that project activities contribute to achieving

positive outcomes for children as outlined by ChildFund in its global strategy and Sponsorship Promise.

In sum, use of results frameworks and logical frameworks in project design has many advantages: they

help improve accountability, educate sponsors, and strengthen commitment to children, families and

communities where ChildFund works.

Lessons Learned: Why should we do both a results framework and logical framework? The results

framework diagram makes it easier to develop and review a project’s overall purpose and logic. In a

ChildFund training, staff examined a proposal with only a logical framework – the results framework was

never done. At first glance, the objectives in the logical framework looked good. But when staff inserted

the logical framework’s upper-level objectives into a results framework, they quickly saw that the objectives

hierarchy was in fact, very confusing – and not at all logical! Always do a results framework diagram first.

Then, after everyone is satisfied that the logic is strong, insert these objectives into the appropriate box in

the first column of the logical framework. After inserting objectives from the results framework, you will

only need to add activity-level objectives to the logical framework’s first column in order to complete the

objectives hierarchy.

Definition of Objectives

Table 19 defines the hierarchy of objectives to be used when developing the results framework and then the

logical framework. You may ask: what happened to SMART (specific, measurable, achievable, relevant

and time-bound) objectives? In a logical framework, objectives (column 1) are clear and precise. The

SMART details are described in the associated indicator (column 2).

Table 19: Definitions and examples for each objective level

Objectives Hierarchy Definition

Example for an Early Childhood Development

(ECD) project

Example for a youth employment project

Goal

Long-term improvements to the status of the target population. Describes the wider aim to which the project contributes; the project is only one among many actions contributing to success at this level. Typically uses the relevant program goal from the CSP or ASP.

Young children in Timor Leste are healthy and secure.

Youth are empowered to bring lasting and positive change to their communities.


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Objectives Hierarchy Definition Example for an Early Childhood

Development (ECD) projectExample for a youth employment

project

Project Objectives

Improvements to the well-being of the target population to be achieved and measured by the end of the project. This is the highest level, measurable objective of the project and clearly states the benefit to the target population

Children, age 3-5, in Lautem district have attained development readiness (cognitive, social and emotional) for primary school

OSY ages 18-24 in the Bicol Area are gainfully employed in a non-exploitive manner

Outcomes

Changes in behaviors, in systems, in reach or coverage and/or in use of services that will benefit the target population. These changes are a result of use/application of the project outputs.

• Children,age3-5,haveincreased attendance at quality ECD centers

• ECDteachersconsistentlyapply child friendly teaching methodologies

• OSYactivelyseekgainfulemployment.

Outputs

Goods, services, knowledge, skills and attitudes, and/or enabling environment, delivered by the project and effectively received by the target population. These outputs are a result of the activities.

• Parentsknowtheimportanceof early childhood education

• ECDcentersmeetgovernmentminimum standards

• Teachersdemonstrateknowledge and skills in child friendly teaching methodologies

• OSYdemonstrateknowledge,skills and attitudes acquired in life skills and business training

• OSYsareactivemembersofguilds and meet with mentors

• OSYspossesssolidinformation on viable, existing employment opportunities

Activities

Actions or processes undertaken to deliver outputs to a specific group. Here, only major categories of activity-level objectives are included. Details for each of these activity-level objectives are included in the Activity Schedule, in Step 6, Define Implementation Arrangements.

• Partnertomobilizeandsensitize community groups of parents

• ChildFundtoprovidesuppliesand equipment to the ECD centers

• PartnersandMoEtotrainallECD teachers

• Partnertomobilizeagenciestoprovide training to OSY

• Partnerstoorganizeguilds

• Partnerstoidentifymentorsand put in place system

• ServiceproviderstolaunchIEC campaign on employment opportunities

Let’s look at how these five levels of the objectives hierarchy relate to each other using the ECD example in

Table 19 above. As you will see, there is an “if-and-then” relationship among the five-levels of objectives.

• Activity-levelObjectives:

• If ChildFund and local partners mobilize and educate community groups of parents, provide

supplies and equipment to ECD centers and with the Ministry of Education, train all ECD teachers

(and this is done well to an acceptable degree of quality), THEN….

• Output-levelObjectives:

• Parentswillincreaseknowledgeandmotivation,ECDcenterswillmeetgovernmentstandards

and teachers will effectively gain knowledge and skills in child-friendly teaching methodologies.

And if these are attained, THEN…..

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• Outcome-levelObjectives:

• Childrenaged3-5inLautemdistrictwillhaveincreasedattendanceatqualityECDcentersand

ECD teachers will consistently apply child friendly teaching methodologies. If these outcomes

occur, THEN…..

• Project-levelObjective:

• Childrenaged3-5inLautemdistrictwillattaindevelopmentreadinesstoenterprimaryschool.

And if this happens, along with the results of other actions in Timor Leste, this project will

contribute towards…..

• Goal-levelObjective

• ChildFund’slonger-termgoaltoensurethatallyoungchildreninTimorLestearehealthyand

secure.

key terms Table 20: Definition of Key Terms

Hierarchy of Objectives

A logically linked set of objectives depicted in a linear way. The accomplishment of one objective level is a means to achieving the next higher level.

Results Framework

A graphic representation of the hierarchy of objectives for the project: goal, project objective, outcomes, and outputs (not activities)

Logical Framework

A five-by-four matrix describing (a) what a project aims to achieve (project objectives and outcomes), (b) how it will do so (output and activity objectives), (c) conditions outside the direct control of the project that are critical for project success (assumptions), and (d) how to know if project objectives are being achieved (indicators and measurement methods).

steP 4.1 refine anD write clear objectivesStart by reviewing the success tree done in Step 3. The positive statements look like objectives and they

are in a rough logical order. Goals and end-of-project objectives can be refined from the upper levels of

the success tree. Lower-level objectives (that help to achieve the higher-level objectives) will relate to the

project strategy you’ve defined in Step 3.

Rewrite the positive statements from the success tree so they are objectives. Arrange these objectives into a

logical order. You will use this as a foundation to construct a results framework (Step 4.2). Table 21 gives

a simplified example.

Table 21: Refining positive statements from a success tree into objectivesSuccess Tree Objectives

Reduction of infant mortality ratesInfants 0-5 months of age mortality and morbidity rates are reduced.

Reductions in diarrhea and malnutrition among infants younger than six months

Infants 0-5 months of age experience reduced rates of diarrhea and malnutrition.


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Success Tree Objectives


Infants 0-5 months of age are immediately breastfed after birth and exclusively breastfed (no water or food given)


Mothers of infants 0-5 months of age increase knowledge, skills and motivation to optimally breastfeed.

Mothers believe that breastmilk is sufficient for baby’s nutritional needs for first six months

Mothers believe that breast milk provides all needed liquid for infants less than six months of age.

Optimal advice on breastfeeding is transmitted by powerful elders including traditional birth attendants and grandmothers.

Traditional birth attendants and grandmothers misconceptions (such as discarding colostrum, necessity of giving water and inadequacy of milk as a unique diet for infants 0-5 months are age) are corrected.

Use the checklist below as guidance to draft this first set of clear, relevant objectives. Note that you will

review, refine and revise these objectives as you construct the results framework and the logical framework.

Checklist:generaltipsforWritingqualityObjectives

Write objectives as full sentences as if the objective has been achieved. The exception is the activity-

level objective, which specifies who is to do the activity e.g. Community health workers to conduct

monthly household visits in 20 communities.

Ensure that each objective includes only one single purpose, aim, or end-product. Avoid compound

statements (…..and…..) and terms such as by, through, or via. A compound statement usually

means you have written two objectives in one – and inadvertently included an objective from another

level. Example of a “double objective”: Women and their infants in two provinces have improved

access to quality health care services resulting in significant reduction of infant malnutrition.

Objectives should be clear and precise – not SMART! SMART elements are provided by the objective’s

associated indicators and these will be listed in the logical framework.

Name precise target groups expected to implement or benefit from the objective, e.g. mothers or other

primary care givers of infants 0-24 months of age, or young women ages 15-24 years of age.

Use strong, action-oriented verbs. For example, use “increase” rather than vaguer verbs such as

“enhance” or “promote”.

Ensure that the logic linking objectives is clear – that lower-level objectives (activities and outputs)

clearly lead to achievement of the higher-level objectives (outcomes, project objectives and goal).

think about it!

Using the tips above, how would you strengthen this objective from a ChildFund project

proposal? “To promote awareness among parents and communities for enhancing their

involvement in addressing educational issues”

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steP 4.2 construct a results frameworkOrganize your objectives into a clear objectives hierarchy by constructing a results framework. In doing

this, you will be able to spot any gaps or weaknesses in the objectives you’ve written in Step 4.1. Refine

these objectives until there is a clearly written goal, project objective(s), outcome(s) and outputs. The

results framework shows the logical route from the outputs to outcomes; from outcomes to the project

objective(s); and then how project objectives contribute towards an overall goal. Below is an example

of a simple result framework with the top four levels of objectives (goal, project objective, outcomes and

outputs).

Lessons Learned: In Ethiopia, the project design team involved many stakeholders to develop the results

framework. Small groups used “idea cards” to construct a first draft results framework. Each group posted

their results framework on a wall. A gallery walk allowed groups to critique each other’s work. This

participatory process allowed in-depth reflection, constructive criticism and improved the quality of the final

results framework.

Figure 10: Results Framework for an ECD Project

Consider the context when setting

objectives!

Don’t be overly rigid in defining

objectives for each level of the hierarchy.

Instead, carefully consider the project

context using knowledge from earlier

steps of project design. Aim for the

highest level project objective possible

and be realistic, given the scope,

timeframe and budget of the proposed

project. Never blindly copy objectives

from one project to another – think about

what can achieved in the project context

and with the budget at hand.

A five year project for $5 million, for example, will likely have a project objective that shows a measurable

impact on the target population (e.g., youth in district of Fimela are employed with a living wage doing

non-exploitative work). A one year project for $20,000, in contrast, might have a project objective that

seems more like an output objective, (e.g., youth in district of Fimela increase access to quality vocational

training.) What really matters is that a clear and logical objectives hierarchy leads to these distinct project

objectives.


Goal: Young children in Timor Leste are healthy and secure

Project Objective: Children, aged 3-5, in Lautem district have attained development readiness

(cognitive, social and emotional) for primary school

Outcome 1: Children, age 3-5, have increased attendance at

quality ECD centers

Outcome 2: ECD teachers consistently apply child friendly

teaching methodologies

Outputs: 1.1 ECD centers meet Government minimum standards 1.2 Parents know the importance of early childhood education.

Outputs2.1 Teachers demonstrate knowledge and skills in child friendly teaching methodologies

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steP 4.3 check the results framework for qualIty

A good results framework has these aspects:

• Logical–thehierarchyofobjectivesshowshowachievementatonelevelisameanstoachieving

the next level (e.g. activities are the “means” for achieving the outputs and so forth).

• Sufficientlevelofdetail–theresultsframeworkislikeaprojectsnap-shotbutwithenoughdetailso

that an outside reader can understand the project’s overall purpose and logic.

• Objectivesstatedasresults–eachlevelofobjectivesinthehierarchyshouldbestatedasa

result that has been accomplished (e.g. ECD centers are built to standard; children have attained

development skills that prepare them for primary school).

steP 4.4 construct a logical frameworkIn this step, the project design team constructs a logical framework. A logical framework is a five-by-four

matrix (Figure 11) listing:

• ObjectivesHierarchy-goal,

project objectives, outcomes and

outputs (taken directly from the

results framework) along with

major categories of activities to be

undertaken to deliver outputs

• Indicators–describeshowproject

progress and success will be measured at each objective-level

• MeasurementMethods–meanstocollectindicatordataorinformation

• Assumptions--conditionsoutsidethedirectcontroloftheprojectthatarecriticalforprojectsuccess

There is a recommended sequence to constructing a logical framework. Objectives (column 1) are taken

directly from the results framework. Assumptions (column 4) are done next to test the “if-and-then” logic of

the project strategy. After this, the indicators and measurement methods (columns 2 and 3) are completed.

Table 22 shows this sequence.

Objectives Hierarchy Indicators Measurement Methods /Data Sources Assumptions

1 10 11

2 12 13 9

3 14 15 8

4 16 17 7

5 18 19 6

Figure 11: Logical Framework 5x4 MatrixObjectives Hierarchy Indicators Measurement

Methods Assumptions

Goal

Project Objective

Outcome

Output

Activity

Start Here!

End Here!

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Don’t Just Fill in the Boxes! Draw on your critical thinking skills to construct a logical framework.

Completing a logical framework in this particular order is done for a reason: it promotes strong analysis

that will strengthen the project and ultimately benefit the target groups of children and youth. Take time to

understand why constructing a logical framework in this particular sequence is so important.

think about it!

• Doesyourprojectdesignteamhaveexperiencewithlogicalframeworks?

• Ifnot,whocanhelptheteamtodeveloponeforthisproject?

step4.2.1 fillincolumn1-objectives

Take the results framework you

drafted in Step 4.2 that contains

the goal, project objective,

outcome(s) and outputs. List

these objectives in column 1 of the logical

framework in the appropriate boxes.

Second, list the categories of activities

that will be needed to deliver each of

the outputs. List only major activities -

otherwise the logical framework becomes

too long and not useful. You will develop

a more detailed list of activities in Step 6.

step 4.2.2 fill in column 4 - assumptions

Assumptions are conditions outside the direct control of the project that are critical for project success.

They are desirable, positive conditions that are likely to happen. Assumptions can be thought of as

expectations that are fundamental to the working of the objectives hierarchy – the “if-and-then” logic.

Assumptions are monitored to ensure that achievement of the next-level of objectives is on track. For

example, IF activities are done as planned, on time, within budget and to an acceptable standard, AND

the critical assumptions at this level

hold, THEN, the resulting outputs will be

delivered. IF outputs are delivered, AND

the assumptions at this level hold, THEN

outcomes will be attained – and so forth.

Note that there is no assumption for the

goal level because there is no higher-level

objective beyond the goal.


Projectlogicalframeworksmustincludeasponsorshipobjective

thatcontributestobuildingapositiverelationshipbetweenthe

child,theirparentsandcommunityandthesponsor.

Figure 12: Logical Framework 5x4 MatrixObjectives Hierarchy

IndicatorsMeasurement

MethodsAssumptions

Goal

Project Objective

Outcome

Output

Activity



MethodsAssumptions

Goal

Project Objective

Outcome

Output

Activity

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Assumptions are not the same as risks. Risks are something that might happen to negatively affect the

project. You can see that risks are the “mirror image” of assumptions. In a logical framework, take care to

word assumptions as positive statements – this is critical to the logical framework’s function of testing the

theory or change/project hypothesis reflected by the objectives hierarchy.

Assumptions are typically identified during the focused assessment and analysis (Step 2). They are

context-specific and often concern government plans, policies and actions, market trends, volunteers

cooperating with the project, the absence of civil strife and disasters occurring, etc.

Write assumptions in full sentences as (a) desirable positive conditions, (b) that are likely to happen, and

(c) can be monitored.

Example of an assumption: The objective of a child survival project is: children under the age of 2 are

fully immunized. The related activities and output objectives include training community health workers on

the immunization regime and caregivers on the importance of immunization. A draft assumption for the

output to project objective is that “government health services will provide immunizations on schedule”.

The assessment revealed that the government provides immunization services fairly well – but there are

occasional stock-outs due to imperfect supply chains. Is this a good example of an assumption? Yes,

because it is likely to happen and because this assumption can be monitored. Project managers can easily

check with the district health officer on supplies from time to time and checking this assumption is built into

the M&E plan during project implementation.

Watch out for killer assumptions! These are assumptions that can have major negative consequences

for the project. In such cases, the project strategy must be adjusted to remove these assumptions before

they kill the project altogether. Example of a killer assumption: A project strategy is to improve nutrition

by planting a school yard garden. The assumption for the activity “planting a school garden” is that “the

government will provide piped water to the school”. However, the focused assessment revealed that the

Area’s government water department has no such service. If the water is not provided, the school garden

– even if planted - has absolutely no chance of delivering the output to provide students with nutritious

vegetables. With this killer assumption, the project design team realized that they had to adjust their

strategy and budget to construct a well to irrigate the school garden.

Be cautious about too many assumptions at any one objective level. This might put achievement of the

next-level objective in jeopardy. It’s often rare to have assumptions at activity-level objectives because

project managers usually have much more management control at this level compared to higher-level

objectives.

step 4.2.3 check the if-and-then logic of columns 1 and 4

After you’ve written assumptions, use the “if-and-then” logic to see if everything makes sense.

• Ifactivitiesareimplemented,andtherelatedassumptionshold,thenoutputswillbedelivered.

• Ifoutputsaredelivered,andtherelatedassumptionshold,thentheoutcomeswillbeattained

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• Ifoutcomesareattained,andthe

related assumptions hold, then

project objective will be achieved.

• Iftheprojectobjectiveis

achieved, and the assumptions

hold, then this contributes

towards the goal.

This if-and-then logic is illustrated in Table 23. Applying the if-and-then logic strengthens project design

and supports critical thinking of the design team by:

• Checkingthatactivitieswillindeedleadtodesiredhigher-levelobjectivesofimprovingthelivesof

deprived, excluded and vulnerable children

• Judgingifprojectactivitiesarefeasibleandrealistic

• Seeinghowassumptionsintheprojectenvironmentmightaffectsuccess

If something doesn’t make sense using the if-and-then logic, consider changing the objectives, assumptions

or other elements of the project strategy.

think about it!

• Takealogicalframeworkfromaproposalyouhelpedtodevelop.

• Checktheif-and-thenlogicusingtheobjectivesandassumptions

• Doesitmakesense?Ifnot,why?

step 4.2.4 fill in columns 2 and 3 – indicators and measurement methods

You’ve now finished columns 1 and

4 of the logical framework. Now turn

to columns 2 and 3, Indicators and

Measurement Methods. These two

columns are always done together to

ensure that project design teams develop

indicators that can be realistically

measured.

As stated earlier, indicators provide the SMART (Specific, Measurable, Achievable, Relevant and Time-

bound) elements for each objective. They may be quantitative or qualitative. In general, indicators are

developed by answering these questions:

1. For this objective, what would success look like?

2. What resources do we have to measure this?

3. What is the most effective method of collecting this information?


Table 23: “If-and-then” logic in the logical frameworkObjectives Hierarchy Indicators Measurement

Methods Assumptions

Goal

Project Objective

Outcome

Output

Activity



MethodsAssumptions

Goal

Project Objective

Outcome

Output

Activity

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Indicators for activity and output-level objectives measure progress (monitoring) and are typically measured

during routine project monitoring. Those at the higher level (project objectives and goal) judge success and

are typically measured in a mid-term or final project evaluation. The project scope influences what indicators

and associated measurement methods are appropriate. All methods of data-gathering have associated

costs for staff time or positions as well as materials all of which will be included in the project budget.

4.2.4.1 select indicators

This is a good time to get advice from M&E technical specialists! Select indicators carefully because your

M&E plan will be a major component of project implementation. Also note that some donors may not allow

any changes to indicators once the proposal is approved and funded. Table 24 and the following checklist

will help the design team select indicators for each objective level.

Table 24: Definition of Indicators at Each Objective Level Objectives Hierarchy Indicators for each objective level

Goal

Indicators at the goal level are typically measured a year or more after the project has ended. Projects funded by an outside donor will not have goal-level indicators because donors typically do not fund evaluations past the end of the project. An indicator from a government source may be appropriate. For those projects funded through the ASP process, consider including indicators from the ASP baseline or those measured as part of the CSP monitoring and evaluation plan.

Project Objective

Impact indicators measure the benefit to the target group at end of project. Measurement may be part of data-gathering during project or measured during a baseline and final evaluation

OutcomeOutcome indicators measure changes in behaviors, systems or services that bring about improvements in the well-being of the target group. For example, if teachers were trained in new teaching techniques, are they using those techniques in the classroom?

OutputOutput indicators measure what was delivered and to what standard. For example, if teachers are trained, what did they learn? If schools were built, what number were completed and to what standard? Measurement methods may include end of training evaluations or quality check-lists.

ActivitiesProcess indicators measure implementation progress. Are activities completed as planned and to an acceptable standard for quality? Were the numbers and gender of people in the target groups trained? Measurement methods or data sources usually include work plans, activity schedules, records, and reports.

checklist for selecting indicators

Limit the number of indicators to those that are necessary for project management and decision

making, those of interest to the donor, those that show progress in towards the next level of the logical

framework and those that measure success.

Use standard, generally accepted indicators when appropriate to the context. Standardized indicators

exist for many program sectors. Governments, UN agencies and major donors like USAID often

publish lists of indicators that can be used at the project objective level. Consider using indicators

listed in the ASP baseline or the CSP monitoring and evaluation plan. These standard indicators can

be used at the project objective level and at the goal level if you are able to evaluate impact a year or

more after the end of project.

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For sectors with few or no standardized indicators, ask children, youth and communities to identify

what they think are meaningful measures of success.

Use the DEV framework and gender; girls may be more likely to be excluded from school, vulnerable

to exploitative work, and at risk for harmful practices.

4.2.4.2Writeclear,measurableindicators

A good indicator is SMART:

• Specifictotheobjectiveitissupposedtomeasure(andisusuallydisaggregatedbyage,gender,

location, etc.)

• Measurable-eitherquantitativelyorqualitatively

• Achievableatanacceptablecost

• Relevanttotheinformationneedsofthemanagers

• Time-boundtoknowwhentheobjectiveortargetistobeachieved

Well written indicators should not simply repeat the associated objective. Instead, they should describe the

specific change that provides evidence that the objective is being achieved. The indicator, not the objective,

provides the SMART elements.

4.2.4.3 set realistic targets

To set realistic, reasonable indicator targets, consider the project’s target group, geographic location,

budget, time-frame and resources. Consult:

• Baselinesurveyfindings,ifavailableforyourprojectandarea

• Nationalandperhapsinternational-levelstatisticsshowingtherangeofprogressthatcanbe

achieved with a given strategy or intervention

• Reportsfrompast,similarChildFundprojectsorsimilarNGOordonorprojectinthecountry

• Governmentministryreports

• Projectstakeholders

4.2.4.4 select appropriate measurement methods for each indicator

Column 3: Measurement Methods describes (a) the measurement method to track indicators listed in

Column 2: Indicators, for example, a baseline survey, an observation visit report, or a health worker

monthly report. Always consider Column 3: Measurement Methods when writing Column 2: Indicators!

Use the checklist below to think about appropriate measurement methods.


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checklist of possible measurement methods or data sources

Pre-and post-session questionnaires

Observation checklists

Interviews

Focus group discussion guide

Community mapping

Routine monthly progress reports

Annual surveys

Special studies

Operational research

Baseline and endline surveys

Projects located in sponsorship-funded Areas should help

ensure coverage of these children and measure the impact of

the project on them. Child-friendly M&E tools enhance project

reporting to sponsors, allowing children to describe activities

and results from their personal perspective. Projects focused

on improving children’s participation and communication can

include objectives and indicators related to sponsor and family/

child relations, such as meaningful personal communication via letters.

steP 4.5 check the logical framework for qualIty

A good logical framework will:

• Containthesameobjectiveshierarchy(word-for-word)fromtheresultsframework

• Includeonlymajoractivity-levelobjectives;toomanyactivity-levelobjectivesclutterthelogical

framework - use the Activity Schedule in Step 6 for these details

• SMARTindicators

• Realisticassumptionsthatarenotkillerassumptions

Sample Completed Logical FrameworkECD Project in Timor Leste

Objectives Hierarchy Performance Indicator Statements

Measurement and Data Sources Critical Assumptions

Goal Young children in Timor Leste are healthy and secure.

Progress against relevant Mil-lennium Goals for the status and well-being of children

UNICEF’s Annual State of the World’s Children report on Timor Leste

Project Objective Children aged 3-5 years old in Lautem district have attained developmental readiness (cog-nitive, social and emotional) for primary school.

90% of children, 3-5 years of age in Lautem district attain score of 85% or higher on government tests for knowl-edge, skills and emotional development

End-of-Project Survey

Government and non-gov-ernment partners are able to expand ECD programs to ensure improved ECD access, equity and quality.

thinkabouthowtoinvolvechildren

and youth in monitoring indicators.

forexample,inoneChildfundproject,

students helped monitor and report on

maintenanceofnewschoolbuildings,

usinganobservationchecklist.

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Objectives Hierarchy Performance Indicator Statements

Measurement and Data Sources Critical Assumptions

Outcome 1Children aged 3-5 years old in Lautem district have in-creased attendance at quality ECD centers.

At least 40% more 3–5 chil-dren in target communitities regularly attend ECD program compared to baseline status

Baseline and mid-term project survey.

Disasters do not disrupt school attendance over the year

Outcome 2ECD teachers consistently apply child friendly teaching methodologies.

100% of the ECD teachers score higher than 90% on the post-training observation quality checklist

Observation quality checklist scores reported in mid-term project report

Output 1.1ECD centers meet government minimum standards.

100% of ECD centers suc-cessfully attain a score of 85% or higher on quality checklist

Quality checklist scores reported in monitoring reports and mid-term project report

Output 1.2 Parents know the importance of early childhood education

% of parents attending com-munity meetings state they intend to enroll child in ECD program

Post meeting evaluation sheets and monitoring reports

Output 2.1Teachers demonstrate knowledge and skills in child-friendly teaching methodolo-gies

90% of trained teachers score 90% or higher on post-training evaluation test

Activity Completion and Monitoring report

Government supervisors regularly visit and moni-tor ECD centers

Activities 1.1.1 ChildFund to provide needed furnishings, supplies and materials to ECD centers

100% of furnishings, sup-plies and materials are prop-erly installed in ECD centers

Inventory checklist re-sults in Activity Comple-tion and Monitoring report

Activities 1.2.1Local partner sensitizes parents of young children to importance of ECD

# of community meetings # of community radio broad-casts# household visits

Activity Completion and Monitoring report

Activities 2.1.1 Government to train 100% of day care workers in child-friendly methodologies in initial 3-week workshop and quarterly thereafter.

# of day care workers trainedActivity Completion and Monitoring report

Government trainers provide ECD training on schedule

linking steP 4 to the Project ProPosal The results framework goes into Section 4 (Description of the Project Objectives) while the logical

framework will be the first part of Section 5 (M&E Plans) of the project proposal.


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steP 5: DeveloP the m&e Planthe steP anD its imPortanceThe logical framework completed in Step 4 includes objectives, indicators and measurement methods – all

which provide a foundation for project M&E. An M&E plan provides further details and is part of the proposal.

The M&E plan allows proposal reviewers and donors to (a) assess the quality of project M&E and (b) check

that M&E has been accurately planned and budgeted.

After the project proposal is approved and funded, the M&E plan will need more detail before implementation

begins. For example, you need to develop all forms to collect data and report formats.

Monitoring asks: Are we doing these things right? Do we need to take corrective action? Monitoring is the

collection, analysis, communication and use of information about a project’s progress. It gives relevant

information to the right people at the right time to make informed decisions and improve project performance.

Monitoring focuses on project activities and their quality.

Evaluation asks: Are we doing the right thing? Evaluation is the systematic collection, analysis,

communication and use of information about program and project outcomes and impact. It is used to judge

success, measure effectiveness, and/or inform decisions about current and future programs and programs.

M&E is a central focus in project implementation and ChildFund NOs include M&E staff and an M&E budget

in the proposal. With data collected and analyzed, staff will:

• Usedatatoimproveprojectperformance

• BuildChildFund’sknowledgeaboutwhatworksandwhatdoesn’tthroughknowledgemanagement

and learning

• Demonstrateresultsandincreaseaccountabilitytochildrenandyouth,communities,partners,

sponsors and donors

The value of M&E lies in the use of the data and information collected. If M&E data and information isn’t used

– it’s not worth collecting! Use means that data and information are transformed into knowledge, learning

and action. In other words, project M&E:

1. Collects and summarizes reliable data and information (facts, figures, experiences and perceptions)

2. Analyzes data and information (summarizes, organizes, and interprets)

3. Uses analysis and findings to support project decisions and determine effectiveness

4. Communicates the analysis and findings in multiple ways to ensure understanding and use by

project decision-makers and other stakeholders

M&E plans must be budgeted to pay for M&E staff, data collection, report writing, reflection meetings, and

other costs. The required budget depends on the scope of the project – its nature, duration, reach, funding

amount and funding source.

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M&E PlanMatrices, schedules and narrative that communicate enough detail on project M&E to prepare an accurate budget and so the design team has documented a robust M&E plan and that reviewers and funders can be assured of project M&E quality.

Monitoring The collection, analysis, communication and use of information about a project’s progress.

EvaluationThe systematic collection, analysis, communication and use of information to judge success, measure effectiveness, and inform decisions about current and future programs and programs.

Knowledge Management and

Learning Framework

Competencies needed for implementation; knowledge products expected from implementation; and use of knowledge products. Learning is the appropriation of competencies to allow for quality implementation and to contribute to ChildFund’s knowledge base.

steP 5.1 DeveloP an inDicator matrix

Columns 2 and 3 of the logical framework list the project indicators and measurement methods, but do not

include all needed details. The indicator matrix (Table 26) provides other information on the plan to collect

data.


Table 26: Indicator MatrixObjectives Hierarchy

From Column 1 of the logical framework Goal

Indicator

From Column 2 of the logical

framework Impact

Definition

Define terms used in the indicator.

Measurement Methods or

Data Sources

From Column 3 of the logical

framework

Frequency/ Schedule

State how often and when data

will be collected, e.g., monthly,

quarterly, mid-term evaluation or other.

Person responsible

Who is responsible for collecting the data on this

indicator

Data Analysis and Management

Describe how data on this

indicator will be analyzed, shared

and stored.

Information Use

Describe what decisions or

judgments will be made using data from this

indicator

Project Objective: Children, aged 3-5, in Lautem district have attained development readiness for primary school

% of children able to pass government primary school readiness test

“pass” indicates a score of 80%

“Government primary school readiness test”

Done on an annual basis at the end of the ECD school term

ECD teachers will administer this test under the supervision of the MoE supervisor

These data will be collated at each school and then sent to the district for summary and reporting

These annual scores will enable the MoE and project management to assess progress in each school

Outcome 1: Children have increased attendance at quality ECD centers

# of children regularly attending ECD classes

“Regularly” indicates attendance of at least 15 days per month

School attendance records

Filled out each school day

Filled out by the ECD teacher and supervised by the ECD community committee

These data will be summarized at the end of each month and reviewed by the community committee

These data will be summarized for the district to monitor attendance and success

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steP 5.2 consiDer Project evaluations Discuss plans for formal evaluations, in line with evaluations cited in the logical framework and indicator

matrix. The purpose of making evaluation plans at this point is to ensure adequate resources have been

allocated. Detailed planning for these evaluations will be done once the project proposal is approved and

funded.

Project evaluations done during project implementation typically include baseline surveys, midterm

evaluations and final evaluations. In a large project, evaluations may incur significant costs (e.g. outside

consultants) that must be budgeted. Use the worksheet (Table 27) to plan and budget these evaluations.

Table 27: Worksheet for evaluation planningBrief Description of Purpose and Process Resources needed (people, time, funds)

Baseline survey

Midterm evaluation

Final evaluation

connecting the Dots

• ConsulttheChildFund International Program Evaluation Protocol for detailed information

on evaluations that are tailored to measure core outcomes and life stages.

steP 5.3 consiDer knowleDge management anD learning

Learning rarely happens by chance – it must be planned and managed! ChildFund projects plan for

knowledge management and learning before, during and after a project. All ChildFund projects must

articulate what knowledge will be applied to

implement the project and how the project’s

learning will expand the knowledge base; how

knowledge will be created (and what skills are

needed for this to happen) and how knowledge

emanating from the project will be shared more

widely. Think about how you will capture and

communicate lessons learned, success stories

or other types of learning.

learning from PeersChildfundusedparticipatorypeerreviewteamsto

evaluateaneducationprojectinurbancommunities

inaddisababa,ethiopia.youthfoundthat

educational support was not targeted to the most

vulnerablechildren–thosefromthecountryside

livingwithrelatives.theseandotherfindingswere

sharedinastakeholderreviewmeeting.

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Knowledge feeds into project decision-making. Over the life of the project, learning events allow project

stakeholders to (a) analyze data and information collected through M&E, (b) interpret the data, reflect on

project successes and challenges, (c) make informed decisions, and (d) take appropriate actions. Children

and youth are excellent participants in these learning events; other potential participants are community

groups, partners and other project stakeholders.

Examples of learning events include:

• Quarterlystakeholderreviewmeetings

• Annualparticipatoryreviewmeetings

• Fieldvisitsandobservationsofkeyprojectactivitieswhereafacilitatorasksthesequestions:What

happened? Why is this? What went well? What didn’t and why? What should change?

• Workshopstodeveloplessonslearned

• Debriefingsessionsfollowingamid-termorfinalevaluation;typicallytheevaluationteamshares

findings with project staff and communities for validation

think about it!

• Whatkindsoflearningeventstoshareknowledgewouldyouaddtothelistabovefor

project design teams to consider?

steP 5.4 consiDer rePorting anD communicating m&e finDings

Project reports are the main way that monitoring data and information

is analyzed, summarized and communicated to project and

management staff and donors. Quarterly and annual reports are

required for projects linked to ASPs and all donors have a reporting

schedule. The M&E calendar will includes a schedule showing when

reports are due. The report formats will be determined when you

establish the details of your M&E plan in addition to creative means to

sharing data and project progress in the communities.


m&e in a sponsorship area

must include a communications

strategy for children and their

parents. the strategy can include

letterstosponsors,annual

newsletters and other channels

that keep sponsors engaged.

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steP 5.5 consiDer how to monitor assumPtions

Monitor assumptions to assess whether (a) the assumptions are holding, (b) any new ones have emerged,

and (c) action is needed to manage them. The M&E plan briefly describes how these assumptions (column

4 of the logical framework) will be monitored through regularly planned events such as field visits, staff

meetings, and quarterly reviews. Table 28 presents a monitoring form for assumptions.

Table 28: Monitoring Form for AssumptionsAssumptions (from

column 4) When/how monitored? Responsibility to monitor? Project management actions

(to be filled out as assump-tions are monitored)

steP 5.6 consiDer m&eCaPaCIty,staffInganDbuDgeting

Human resources and structures to support M&E vary for each project. A large project may employ a

full-time M&E specialist who heads a unit. A small project may integrate M&E tasks into existing staff job

descriptions and those staff would get advice when needed from RO or IO M&E specialists.

Planned M&E activities may have costs for data collection, evaluations, consultants, M&E specialists,

an M&E coordinator, training of ChildFund staff and partners, etc. If your initial budget is too high for

the scope of the project, you may have to return to the logical framework and indicator matrix to refocus

indicators and measurement methods. A rule of thumb for project M&E budgets is 10% of the total budget.

Use your judgment and also check for any donor requirements for M&E budgeting.

Table 29 is a worksheet to help the project team accurately forecast M&E resources and costs.

Table 29: Worksheet to Forecast Potential Project M&E Resources and Costs

Category Examples of Costs Estimated costs for this project

Human Resources

• SalariesofChildFundM&Especialists

• SalariesforpartnerM&Estaff

• CostsfortemporaryM&Estaff(e.g.datacollectors)

• M&Econsultantfees

• Costsofout-of-househumanspecializedservices,such as statistical services, data-entry for surveys or studies

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Category Examples of Costs Estimated costs for this project

Physical and material

• Lodgingandperdiemsforconsultants

• Equipment(computersandsoftware,calculators,weighing or measuring equipment)

• Stationery,otherofficesupplies,andphotocopyingforM&E work

• Vehicles,mileage,ortransportforM&E-relatedtravel

Learning, reporting costs

• Meetingroomandrefreshments

• Reportformatprinting

steP 5.7 look aheaD to oPerationalize the m&e Plan

You now have an M&E plan that gives sufficient detail for the project proposal. As stated earlier, after the

proposal is approved and funded, and before project implementation starts, the plan will be operationalized

by:

• Developingallthetoolstocollectdataforindicatorsandtrainingpeopletousethem

• SchedulingM&EactivitiesintoAnnualOperationalPlansandpartnerandstaffworkplans

• Involvingchildren,youth,communitygroupsorpartnerstoundertakeM&Eactivities

• Settinguporlinkingtoaprograminformationmanagementsystemtostoredataandmakeit

accessible

• Finalizingdetailsforreportingformats,timingandflows

• Coordinatingandsupervisinginformationgatheringandmanagement(organizationalstructure,roles

and responsibilities of M&E staff/units and project managers)

linking steP 5 to the Project ProPosalThe indicator matrix and any other information from this step (e.g. details on needed M&E resources,

assumption monitoring forms, M&E calendar with reporting schedules, etc.) are inserted in Section 5 (M&E

Plans) of the project proposal and will inform other parts of the proposal – such as the budget.


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Chapter V reviews Steps 6 and 7 of project design in detail. These steps are:

Step 6: Define the Implementation Arrangements Step 7: Prepare the Budget

In this chapter, you will:

• Reviewallelementsforeffectiveprojectmanagementandimplementation,includingstaffingand

defining project activities

• Learnhowtoaccuratelyestimatecosts,completeabudgettableandwritebudgetnotes

steP 6: Define the imPlementation arrangements

the steP anD its imPortanceIn the last chapter, the project design team defined a strategy,

constructed a results framework and logical framework, and planned

for M&E. In this step, you plan how the project will be implemented.

The project design team will discuss project management, roles and

responsibilities and required capacities.

Planning for implementation helps ensure that all elements of the

project are aligned: the strategy and objectives are clearly linked to staff, systems and structures, and budget.

Preparing a project budget is discussed in Step 7 of this Chapter.

The purpose of the activity schedule in this step is to (a) show that what is being proposed can be realistically

done within the project timeframe and (b) prepare an accurate project budget. These elements need to be

understood by proposal reviewers and donors. The activity schedule of this step is not the same as a detailed

implementation plan (DIP) that is usually done after the proposal is written, funding is secured and before

project implementation starts.

For projects linked to an ASP, begin by reviewing the ASP’s Section 4.4 (Existing Resources, Efforts and

Actors) and 6.1 (Organizational Structure and Staffing). These sections concern the multi-year plan as a

whole but may be relevant to specific projects. ASP project outlines also describe partners and roles. Start

with this information and refine and update it with decisions from project design steps.

chaPter v: steP 6 & steP 7steP 6: Define the imPlementation arrangementssteP 7: PrePare the buDget

implementation is a systematic

process of rigorously discussing

who,what,howandwhen;

constantlyquestioning;

activelyfollowing-upand

problem-solving;andensuring

accountability (bossidy and

charan 2002).

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Project Management Chart

A chart that shows supervisory, decision-making and coordination relationships among organizations and groups. It also shows staff positions, how staff are organized into teams or units and supervisory relationships.

Project Activity Schedule

A Gantt chart lists project activities, their logical sequence and who is responsible. The Gantt chart is a horizontal bar chart with start and finish date using a time scale

steP 6.1 clarify imPlementation roles anD resPonsibilities of Project Partners

Project implementation roles and responsibilities vary and depend on the size and complexity of the project

and partner capacities. In some projects:

• ChildFundassumesallresponsibilityforimplementing,monitoringandevaluatingtheproject

• Alocalpartner(e.g.,AreaFederation)assumesmostoftheresponsibilityforimplementing,

monitoring and evaluating the project with support of ChildFund

• ApartnerdeliversselectedprojectobjectivesandoutputsandreportstotheAreaFederationor

ChildFund

• Apartnerassumescompleteresponsibilityforimplementingandmonitoringtheproject,underthe

supervision of the local partner (e.g., Area Federation)

• ChildFundheadsacoalitionofpartnersandorganizations(thegovernment,privatesector,Civil

Society Organizations, INGOs, etc.) and coordinates their work.

Use the worksheet (Table 31) to summarize decisions on project implementation roles and responsibilities

of each partner, including ChildFund.

Table 31: Organizations involved in project implementation Organization Roles and Responsibilities

steP 6.2 iDentify Project staffing Analyze the need for project staff within the organizations listed in Step 6.1 above. Identify key staff

positions, qualifications, responsibilities, and percentage of time to be spent on this project. It may be

appropriate to link the position to specific project objectives. Key project staff positions usually include:

• Leadershipanddirection

• Managementandday-to-dayimplementation

• Technicalsupportortraining

• M&E

• Administration,includingprocurement,human

resources and financial management

• Logisticalsupport,suchasdriversor

secretaries

chapter v: step 6 and step 7

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If volunteers are involved in project implementation, describe their roles and expected participation. Then

do a reality check! Ensure that expectations of volunteers are realistic and can be sustained over the life of

the project. If not, there may be budget and human resource implications. You may have already done this

reality check when discussing the project strategy in earlier steps.

Important Notes:

• IfChildFundstaff,includingNationalOfficestaff,playprojectspecificroles,theseshouldbelisted

and in the budget. In these cases, there may be a percentage effort to report.

• Ifyouarewritinggrantproposal,checkontheexactrequirements.Somegrantproposalsmay

require one-paragraph biographical data on key staff, job descriptions and resumes. Omitting any of

these requirements can negatively affect the competitiveness of your proposal.

Use the worksheet (Table 32) to capture this information. Two rows are filled in with examples.

Table 32: Worksheet for Key Project Staff Positions

Staff position Qualifications Project responsibilities Time spent on project

ChildFund Area/Field Manager

University graduate. 5 years of project management experience.

Provide overall project leadership and direction. 5%

Local partner Child Protection Officer

University graduate; social work diploma.

Responsible for planning, implementation and monitoring project activities and outputs linked to project objective XX. Supervises volunteers.

50%

Etc...

steP 6.3 DeveloP Project management structure

Draw a chart that documents the project management structure, using information from 6.1 and 6.2 above.

The chart illustrates (a) the organizations implementing the project, (b) project staff for each organization,

and (c) supervisory, decision-making and coordination relationships. See Figure 12 for an example of an

organizational chart.

Figure 12: Organizational Chart

ChildFund Area Manager

Technical Advisor Administrator

Finance OfficerM&E OfficerChild Protection

Officer

Local Partner Federation Manager

Child Protection Officer Secretary

Accountant16 Community MobilizersM&E Officer

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steP 6.4 review staff anD organizational caPacities

Review organizational strengths and weaknesses of each organization involved in project implementation

and the implications for this project. If there is an ASP, begin by reviewing its capacity-building plan.

You already discussed M&E capacities in Step 5. Depending on the project scope and donor, project

implementation may require additional investments in capacity building. If significant training is needed,

develop a training plan and budget to include in the proposal. Consider the categories in the checklist

below to develop appropriate capacity building plans.

Checklist:Possibleneedsforcapacitybuildingforprojectactivitiesandmanagement

Orientation of new project staff

Project performance planning (setting performance objectives and identifying needs for professional

development), feedback and coaching systems

Learning needs assessments (technical capacities related to the project, internal controls such as

budgeting and financial reporting systems, etc.)

Capacity building delivery (training workshops, courses, on-the-job coaching, study visits, peer

learning)

steP 6.5 DeveloP an activity scheDule (gantt chart)

To develop an activity schedule, begin by reviewing the logical

framework’s activity-level objectives for each project output. Remember,

the logical framework includes only major activities; the activity

schedule is a more comprehensive list of activities. For each activity-

level objective, determine:

• Timerequired

• Startandenddates

• Logicalsequencebecausesomeactivitiesdependoncompletionofothers

Copy the activities and relevant information into the activity schedule template (Table 33). This activity

schedule uses a Gantt chart format and is organized by output-level objectives. Highlight and footnote

key milestones: crucial activities that have many other dependent activities. If milestones are not done on

time, project implementation may be negatively affected. Table 33 is filled in with an example from an ECD

project in Timor Leste.


anactivityscheduledeveloped

for a proposal will need

further details during detailed

implementation planning or in

developingtheaOPB.

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Table 33: Activity Schedule

Outputs and Activities

2012 2013 2014 Responsibility (Lead)

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4

Output 1.1 - ECD Centers meet government minimum standards (example - fill in from the logical framework)

Activity 1.1.1 - Government to train 100% of day care workers in child-friendly methodologies in initial 3-week workshop and quarterly thereafter (example – fill in from the logical framework)

Inventory day care workers in project area

XX

ChildFund Area Technical Advisor and Local Partner ECD project manager

Conduct a learning needs and resources assessment of day care workers

XX

ChildFund Area Technical Advisor and Local Partner ECD project manager

Plan and deliver the initial 3-week workshop

XX (1)

Local Partner ECD project manager and government trainers

Monitor post-training challenges

X X X X X X X XLocal Partner ECD project manager

Develop and deliver quarterly workshops to address challenges and build skills

X X X X X X X X

Local Partner ECD project manager and government trainers

Activity 1.1.2 (etc.) Etc.

Key Milestones:

(1) Plan and deliver the initial three-week training workshop

linking steP 6 to the Project ProPosalInformation in this step can be inserted into the project proposal’s Section 6 (Project Implementation

Arrangements).

87

steP 7: PrePare the buDgetthe steP anD its imPortanceThe project design team includes those who will prepare the budget. Human resources and administrative

staff need to be consulted as well to ensure that all factors are considered when costing a budget. The team

should appoint a budget team leader as focal person in establishing the different components of the budget.

Give the budget team this guiding principle. “A project budget establishes the estimated revenues and

the expenses required to deliver a set of outputs and activities over a specified period of time.”


Project budget The total amount of authorized financial resources and details of costs allocated to deliver a set of outputs and activities over a specified period of time.

Budget notes Short narrative describing how major budget line items were calculated along with other key information and justifications.

steP 7.1 know your revenue anD funDing sources anD estimate accurately

In ChildFund, revenues sources come from sponsorship funds, grants, non-sponsorship contributions

(NSP), and held subsidies which can be used for Special Sponsorship Programs (SSP). A project may be

funded by any one or a combination of these funding sources. Sponsorship funds continue to be the major

funding source for projects implemented by local partners; projects and their design being the main subject

of this Guidance.

Other organizations (private institutions, government agencies) and the community may also commit

their own resources, funds or in kind contribution to implement critical activities; these are included in the

revenue sources.

Funding sources may have unique features that determine whether they can fund specific activities. So,

with each of your funding sources, identify these early on. Following are some unique aspects of funding

sources that influence project implementation.

• Year to year commitment to fund a multi-year project. If donors provide funding commitments

on a year to year basis, the team needs to identify and prioritize objectives and activities that will be

completed within the year. This is usually the case when ChildFund divides a multiyear project into

Annual Operating Plans and Budgets (AOPB).


88


• Foreign currency revenue to support local currency spending. Where budgets are prepared in local

currency, the team should review the exchange rates from last year. NOs should use the current IO

guiding exchange rates for project budgeting purposes. This analysis will help the team understand

factors that may cause significant currency fluctuations over the life of the project.

• Restrictions by the donor to fund specific activities of the project. When the donor restricts use

of funds to specific activities, the team should group activities in a way that allows full spending of

funds in compliance with all restrictions.

• Seasonal nature or uncertainty of funding flow to match the timing of activities. This type of

irregular funding is often experienced in sponsorship funded projects. In these cases, the team

should review the trend in the yearly flow of funds. This will help them to estimate likely revenue and

available funds over the current year of submission or rest of the project life. Staff can then determine

which activities can be implemented at specific times during the year without running out or having

too much funds on hand.

• Ability of partners to deliver their commitments. The team should ascertain if partners will be able

to deliver their funding commitments. Local governments, for example, may add their commitments

to their annual budget. Some organizations may submit a letter of commitment identifying the

source of their funding, amount, and timeframe.

With the results of this analysis in mind, list the available funds that will serve as your budget ceiling. Use

this ceiling as the guide to budget all project expenses.

steP 7.2 calculate anD estimate exPenses for each activity DesireD to achieve objectives

The team has already established the staffing structure in the organizational chart and schedule of activities

in the Gantt chart. This information enables you to determine the funding requirements for each activity

and output. If you have an Area Strategic Plan, review its relevant project outline and estimated budget and

update it with information from project design steps.

For sponsorship funded projects, ChildFund uses an activity /output based budgeting system which is

discussed in this Guidance document. To prepare the budget, first establish the cost of each activity and

then consolidate all the costs that support the achievement of an output. Keep good notes and budget

worksheets; these are useful during project implementation. Also, some donors require such documentation

in the project proposal.

89

When calculating costs of staff and activities, use the following as a guide:

• Use current and complete cost assumptions. Personnel costs, for example, should be based on

what staff currently receive in salary and benefits. Calculate salary increases and inflation for each

year of the project and include the progression of costs if the project extends over several years. The

cost of travel should be based on current pricing; if dates of travels are known, ask travel agencies

for a price.

• Be mindful of Childfund or donor policies in calculating costs. Review these policies and

procedures now. Policies typically apply to budget lines for personnel, travel, and procurement of

goods and services.

• Learn from previous experiences in project design, budgeting and implementation. Include or

engage team members who have previous experience in developing project budgets and incorporate

any best practices or lessons learned in developing the budget.

• Simplify categories and use standard costs for group of expenses. Budgeting for a workshop is

a good example. Think about costs for: conference room, hotel rooms for participants, lunch and

tea breaks, course handbooks and printed materials, etc. Rather than itemizing all these individual

expenses, establish one standard cost for a workshop that is based on all of the related expenses.

The objective is to present meaningful categories or groupings that show how the funds will be used

and not to show too many details.

• Regularly review the level of required funding. As you calculate costs, review whether the budget

is sufficient to achieve the project objectives. Discuss whether there is a need to trim the budget

or to find more funds. Call on specialists to ensure good alignment of activities to objectives and

adequate funds.

Lessons Learned: Prioritize activities so that if revenue fluctuates during project implementation, you will

have already established the critical activities to implement as well as those that may be cut. This exercise

of determining adequacy of funds to intended activities should be done regularly, either quarterly or semi-

annually.

Once you have determined the budget for all staffing and activities, compare the total amount with the

estimated revenues. You will find that the project costs will be either higher or lower than your available

funds (see sources of funds). The team will probably go back and forth in prioritizing activities to balance

cost and available budget figures before arriving at a final budget for the life of the project.

Keep all budget worksheets on file to support the budget figures and establish an audit trail. This

information will also be useful when you develop the Detailed Implementation Plan and budget or provide

clarification at the time of project implementation.


90


During project implementation, the budget provides a tool to monitor the project’s financial activities over

the life of the project. Once the project is completed, a cost/benefit analysis of the budget and project

achievements will help you understand whether funds were adequate to achieve outputs and whether there

was effective and efficient use of funds.

connecting the Dots

• SponsorshipfundedprojectswillprimarilyusetheAOPBandactivity-basedbudgeting

methodology

• Fordonorfundedprojects,consulttheGlobalGrantsTeamrepresentativesinyour

respective Regions for various grants acquisition and management tools and processes.

Please also consult the Grants Financial Management Guide (GFMG) available on the

Hub for detailed guidance on preparing a project budget. This is especially important for

topics not covered in the Project Design Guidance such as objective-based budgeting,

distributing NO grant support costs, matching funds and cost-sharing, budgeting for

multiple donors, direct and indirect costs and details on cost categories.

steP 7.3 comPlete the buDget table anD write buDget notes

In Appendix C of this Guidance, an AOPB template is provided for use to develop the project’s detailed plan

and budget. As mentioned earlier, this template is regularly updated so it should be downloaded from the

Hub (Program Development site) before each planning period. Appendix D provides detailed instructions

on how to use the AOPB template.

Note to Template Users:

a. National Offices, when they approve a local partner’s AOPB, do not necessarily approve individual

projects. Instead, NOs will approve everything the local partner will implement, in other words, the

NO will review the entire program or programs under which project(s) fall.

b. To relate the detailed plan and budget with what the local partners intend to do in the fiscal year of

submission, include relevant M & E data to give context to the outputs and activities planned for

the year. This allows NOs to understand local partners’ program and project specific scope,judge if

activities are reasonable given the resources required to complete them and judge whether program

and project implementation appears effective and efficient to achieve the desired outputs.

91

When completing the budget templates, it is therefore important to use budget notes to explain assumptions

to supplement information that you have already included in the budget templates. Budget notes explain

budget items to reviewers and are useful to project implementers.

Budget notes tips:

• Describehowmajorbudgetlineitemswerecalculated

• Documentassumptionsandbudgetparameters

• Refertopoliciesthatdrivecostestimates(travelpolicy,salaryscale,etc.)

• Justifyproposedcosts:i.e.staffroles,assumptionsusedtoestimatelevelofeffort,howoften

equipment should be replaced, etc.

• Describepertinentfundingsourcestermsandconditions:donorfunds,costshare,other

contributions and leverage.

• Justifyanyunusualitems

• Explainhowstaffwillimplementtheirresponsibilitiestoachieveprojectobjectives

• Describecapitalitemsandotheronetimespending.

• Clarifyanyin-kindcontributionsoractivitiesthatwillbefundedbyothersources

• Explainanypotentialfinancialrisks,suchascurrencyfluctuations,andhowtheprojectwilladdress

these

Sample budget notes follow.


Health Center Staff Training @ total of $45,000: this budget line will be used for additional

training of health center staff so that health centers can provide integrated medical services.

Some 300 health center staff will be trained at 10-day courses with daily rate of $15, which

includes their per diem, transport allowance, stationary and other training material needed for

this purpose.

Motorbikes (US $72,000): Eighteen motorbikes have been budgeted as a one-time cost to be

used by program staff. The motorbikes will be purchased so that program staff is able to travel

to community program sites on a regular basis. The current unit cost of a motorbike and a

basic spare parts package is $4,000. ChildFund will purchase the motorbikes locally. 10 of the

motorbikes will be allocated to the donor and 8 to ChildFund cost share.

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linking steP 7 to the Project ProPosalWork from this step will form Section 7 of the project proposal.

Example of budget notes for trainings to be implemented during the life of the project:

Local partner used the following cost estimates to estimate training costs over the life of the

project, based on local partner’s past experiences in similar trainings:

• TrainerFee(perday):

• Venue(forXXpeople):

• Food/Meals(perperson):

• TrainingMaterials(perparticipant):

• Transportation:

• PerDiem–Trainer:

• PerDiem–Participant:

Training 1:

The total budget for [training 1] is $XXX, to provide training for [ADD TRAINING DURATION]

days for [ADD NUMBER OF PARTICIPANTS] participants. [EXPLAIN HOW NUMBER OF

PARTICIPANTS WAS ESTIMATED: for example, at a rate of 20 participants per partner NGO].

We will provide [ADD NUMBER OF FOLLOW-UP TRAININGS] follow-up trainings in years [ADD

YEAR] for [ADD NUMBER OF TRAINEES] trainees.

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Chapter VI reviews Step 8 of project design in detail. In reality, the project design team has been working

with the project proposal throughout the entire project design process. At this point, you will have nearly all

elements of the project proposal in hand.

In this chapter you will review:

• Tipsonhowtowriteaclear,concise,andcompetitiveprojectproposalthateffectivelycaptures

information from the steps of project design

• Theprojectproposalformat

the steP anD its imPortanceThe project proposal format included in this Guidance is to be used for all ChildFund projects funded by

sponsorship. For grants, use the donor’s required format. While donor proposal formats differ, the same

basic information is usually required.

Purpose of a Project Proposal

As stated in Chapter II, the project proposal captures key information from each step of project design. The

project proposal serves many important purposes:

• Usedtosecureapproval(fromChildFundROorIO)andfundingfromsponsorshipsourcesor

potential donors.

• Listsspecificobjectivesandindicatorsagainstwhichprojectsuccesswillbeevaluated

• Helpslocalprojectstakeholdersunderstandtheirrolesandresponsibilitiesinprojectmanagement

and implementation

• ServesasaprojectagreementbetweenpartnersandChildFund

• Includesplansandschedulesforthelifeoftheprojectthathelpmonitorprogressandtakeactionto

keep projects on track, on time and within budget

Quality of Project Proposals

The project design team should include a talented writer who understands the donor’s requirements and

perspectives. Documentation from each step of project design contributes a section of the project proposal.

The writer will now put the final proposal together and ensure there is a coherent whole.

chaPter vi: steP 8steP 8: finalize the Project ProPosal

chapter vi: step 8

94


Overly lengthy project proposals are not helpful. Ensure that the project proposal is clear, concise and easy

to read. To help achieve this, the format in this Guidance has a suggested limit of pages per section. Also,

carefully note any donor-set page restrictions; a proposal may be disqualified if it exceeds this length.

connecting the Dots

• ChildFundhasresourcesonproposalsforsomespecificdonors(e.g.USGgrantssuch

as those with USAID.) These are available on the Hub.


Project Proposal Captures ideas and decisions from each step of project design; used to secure funding and approval for a project, and to launch more detailed action planning.

steP 8.1 writing tiPs for the Project ProPosal

The challenge for the writer is to distill information and decisions from the eight steps of project design into

a well-written proposal. The following checklist has writing tips to produce a clear, concise and competitive

proposal. These tips are especially important for proposals submitted to donors.

In Step 1, the project design team reviewed the proposal format and related directions. If you are writing a

proposal for a donor, re-read the directions one last time before finalizing the proposal.

checklist: writing tips

Use an eye-catching project title or acronym that grabs the donor’s attention. For example:

ENHANCE: Ensuring Nutrition, Health and Children’s Education.

Use action verbs such as achieve, define, learn. Avoid vague verbs such as enhance or promote.

` Emphasize a results-oriented management style: write ChildFund will, not Childfund aims or intends to.

Use factual, convincing language. Avoid generalities and emotional appeals. Ensure that you have

data that backs up any claims – otherwise, do not make them.

Highlight what the project will do, not what should be done “in general” to address the identified

problem. Refer to the impact of project interventions.

Write so that the reader can understand. Use short sentences and avoid jargon.

Define acronyms when they first appear in the text, provide an acronym list and watch out for over-

use of acronyms.

Do a final edit and invite an outsider to proofread. Mistakes in spelling, grammar, and math look

unprofessional.

Make sure that information repeated across proposal sections is consistent.

themostvaluableofall

talentsisneverusingtwo

words when one will do.

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steP 8.2 Project ProPosal formatThroughout all steps of project design, selected team members were tasked with capturing and writing up

key elements of the proposal format using the ideas and outputs generated from each step. Now is the time

to edit and finalize the project proposal and add any missing information. Use the format in Table 37 for all

ChildFund projects. Again, for grants, use the donor’s required format.

Table 37: Project Proposal Format Cover Pages (2 pages)

Title Page• Nameofproject

• Datedocumentwritten

List of Acronyms • Listacronymsinalphabeticalorderandtheirmeaning

1. Project Summary (1 page)

• Projectname

• Projectobjectives

• Coreprogramarea

• Locationofproject

• Typeandnumberoftargetgroupsbylifestageandgender

• Projectstartandenddate

• Implementationpartner(s)orgroupresponsibleforproject implementation

• Totalbudgetbyyearandsourceoffunding

• SignatureoftheProgramManagerorDirectorwhoreviewed the proposal

• Listofthoseonprojectdesignteamincludingproposal writers and technical reviewers (names, titles, main contribution). Include a very brief description of the project design process.

2. Project Rationale (2- 3 pages) Use information from Step 2 of project design

2.1 Problem statement and causes

• Statethecentralproblemtobeaddressedbyprojectinafewsentencesorshortparagraph

• Describethesituationofthespecifictargetgroupofchildren,youthandothers.Organizethis information using DEV framework, life stage, gender, or other relevant frameworks.

• Describeunderlyingcausesandrootcausesofthecentralproblem

Tip: Ensure that information is focused on the target group, the project context, and the specific problem or need to be addressed by the project; do not include general, broad information from the CSP or ASP.

2.2 Location and Target Group

• Namethegeographiclocationandincludeamapifappropriate

• Describethenumberandkindsofgroupswhowillbenefit(sex,age,lifestage,andotherrelevant characteristics such as ethnicity, education, health status, livelihood, etc.)

3. Project Strategy (up to 1 page) Use information from Step 3 of project design

3.1 Project Strategy Statement

• Insertthestrategystatement

• Statehowtheprojectstrategyaddressestheproblemanditscauses

3.2 Project Strategy Justification

• Justifywhythisprojectstrategywasselected.Referasappropriateto(1)ChildFundlifestages theories of change and other relevant technical information and frameworks, (2) lessons learned and best practices, (3) government policies and how these are adapted to the local context.

• Asappropriate,describehowtheprojectstrategyalignswiththeCSPandASPlong-termprogram responses

• Describetherolesforchildrenandyouthandpromotionofchildandyouthagency

chapter vi: step 8

96


4. Description of Project Objectives (up to 2 pages) Use information from Step 4 of project design

4.1 Results Framework • Insertgraphicoftheresultsframework

4.1 Description of Project Objectives

• Describetheprojectbylistingtheprojectobjective(s)alongwithitsoutcomes,outputsand activities.

• Demonstratehowactivitiesandoutputsleadtosuccessfuloutcomesandinturn,achievement of the project objective(s).

5. M&E Plans (2-3 pages) Use information from Steps 4 & 5 of project design

5.1 M&E Plans and logical framework

• Putlogicalframeworkandindicatormatrixinappendix

• Referringtothelogicalframework/matrix

• Describeplansforprojectmonitoring

• Describeplansforprojectevaluations

• Describeplansforknowledgemanagementandlearning

• Describehowprojectimplementerswillapplyknowledgeandcompetenciesduringproject implementation

• Describehowknowledgewillbecreatedduringtheproject,includingtypesofknowledge products

• Describehowknowledgewillbesharedforpossibleapplicationbeyondtheproject

• Describeplansforreporting

• Describehowassumptionswillbemonitored

• DescribeM&Estaffandstructures

6. Project Implementation Arrangements (up to 2 pages) Use information from Step 6 of project design

6.1 Partners and Roles

• Identifyprojectpartnersandtheirrolesandresponsibilities

• Includethecoordinationandcollaborationwithothers(e.g.,Government,PrivateSector,CSOs, INGOs, etc.)

6.2 Staffing and Capacities

• Identifykeyprojectstaffpositionsandtimeallocationtotheproject;ifrequiredforagrant,include brief biographies and job descriptions for key staff

• Describeplansforstafforientationandtrainingspecificallyrelatedtotheproject

6.3 Project Management Structure

• Includeachartillustratingtheprojectmanagementstructures,includingcommunicationand reporting relations between partners, ChildFund and other project stakeholders; briefly describe key relationships portrayed in the chart.

6.4 Activity Schedule • Inserttheactivityschedule(GanttChart)forthelifeoftheproject

7. Project Budget (pages as required) Use information from Step 7 of Project Design

7.1 Budget for the Life of the Project

• Includeanappropriatebudgettableforthelifeoftheproject.(Seesamplebudgettablesin the Appendix.

• Specifycontributionsormatchifitisadonorproposal

7.2 Budget notes • Includebudgetnotesasrequiredforkeybudgetlines

Appendices

97

Congratulations! You have completed project design and written the project proposal. This chapter

describes the next steps that occur before the implementation stage of the P-DIME cycle. In this chapter,

you will:

• Reviewhowprojectproposalsandbudgetsareapprovedbothforsponsorshipandgrants-funded

programs

• Examinehowtocommunicateinformationfromtheprojectproposal

review anD aPProval of the Project ProPosal anD buDgetProject proposal and budget review and approval vary by region and by funding source. Consult your

Region for information on review and approval processes.

Proposals developed by a local partner for sponsorship-funding are usually reviewed and approved by the

National Office. For grants, the review and approval process follows guidelines specified by the Business

Development Unit in communication with Regions. As always, check with your Regional Office or the

Business Development Unit for exact approval procedures for grant proposals.

Below is a checklist for proposal review. The project team may use this checklist to do one last review of

the project proposal before submission. Or, it may be used by those reviewing a submitted proposal. The

checklist focuses on selected, key elements of a project proposal that can make a difference to donors.

Checklist for proposal reviewSection Review points

General • IstheproposalcompliantwithrelevantChildFundanddonorpoliciesandrestrictions?

1. Project Summary

• Istheinformationcorrect,summarizingwhatisinthebodyoftheproposal?

• Istheparticipatoryprocesstodesigntheprojectdocumented?

2. Project Rationale

• Arethecentralproblemandthespecifictargetgroupclearlydescribed?

• Isthenarrativeofunderlyingandrootcauseswellwrittenandconvincing;doesitshowapplication of DEV and other relevant frameworks?

3. Project Strategy

• Isthereisclearlinkbetweenthecentralproblemandtheproposedstrategy?

• Isthestrategystatementcleartoanoutsidereader,answeringthequestions:who,what,and how?

• Isthestrategyconvincinglyjustified(evidence-based,adaptedtothelocalcontext,linkedto ASP and CSP)?

• Doesthestrategyclearlyoutlinechildrenandyouthrolesandagency?

4. Description of Project Objectives

• Istherearesultsframeworkwiththegoal,projectobjective(s),outcomes,andoutputs?

• Doesthenarrativeclearlydescribehowtheactivitiesandoutputswillleadtotheoutcomes and project objectives?

• Doesthenarrativeallowanoutsidereadertojudgethattheprojectiswell-developedandfeasible?

chaPter vii: next stePs

chapter vii: next steps

98


Section Review points

5. M&E Plans

• Istherealogicalframeworkinthetextorappendix?

• Aretheindicatorsmeasurable?

• Arethemeasurementmethodsrealistic?

• IsthereanM&Eplanwithadescriptiononhowtheprojectwillbemonitoredand evaluated; for knowledge management and learning; and for monitoring assumptions?

• Isthereastatementaboutwhentheplanwillbefurtherdevelopedandoperationalized?

• Isthereanindicatormatrixintheappendixthatindicateswhowillcollectthedataandhow they will be analyzed?

• Arethereadequatestafftocollectandanalyzethedata?

6. Project Implementation Plans

• Doesthissectionclearlyandjustifiablydescribetheexistingorplannedroles,staffing,capacity and management structures needed to implement the project?

• Istheprojectactivityschedulerealistic?

7. Project Budget (for the Life of the Project)

• Arealloftheproposedactivitiesinthebudget?

• Dothebudgetnotesjustifyrelevantproposedcosts?

It is important to give reviewers ample time to do an in depth review and to allow time for inputs and

comments to be integrated in the final project proposal. The team should consider this in the project design

action plan when setting deadlines for submission of the proposal for review.

communicating the Project ProPosalOnce the project proposal is approved and funded, translate it into the local language and share it with

project stakeholders. This is more than simply copying and distributing it! Consider communicating

the proposal in a structured way. Organize a launch or start-up workshop, for example, with project

implementers, children and youth, and other stakeholders. Use the results framework to communicate the

most important elements of the project.

In sponsorship-funded projects, once the proposal along with the AOPB are approved and communicated,

they are used to develop annual Community Action Plans (CAPs). CAPS describe project activities on a

community-by-community basis and show how project activities in a specific community link to overall

project objectives. CAPS enable local partners and community members to play active roles in project

implementation, monitoring and decision-making. CAPS are usually done by field-level staff together with

local partner staff and then shared with communities.

99

If you need to write a concept note, Table 38 (below) provides a generic format.

Table 38: Concept Note Format1. Project Country

2. Project Title

3. Project Location

4. Target Groups (disaggregate by gender and life-stage)

5. Project Timeframe

6. Estimated Overall Project Budget

7. State the problem this project addresses and how it affects the target group.

8. Briefly describe the project’s proposed strategy – how problems and issues will be addressed.

9. Include a draft of the results framework showing goal, project objectives, outcomes and outputs.

10. If known, discuss initial plans to implement this project, listing partners and their capacities, and other stakeholders’ roles and responsibilities.

aPPenDix a: concePt note format

appendices

100


Table 39 (below) allows you to substitute a donor’s preferred terms for the logical framework/objective

hierarchy terms used in this Project Design Guidance. Logical framework terms from two other NGOs

(CARE and CRS) are also included.

Table 39: Comparing logical framework termsUltimate Impact

End of project impact

Intermediate outcomes Outputs Processes Inputs/

Resources

ChildFund GoalProject

ObjectiveOutcome Outputs Activities

USAID Strategic Objective

Intermediate Results

Outputs Activities Inputs

European Union

Overall objective

Purpose Results Activities

Danida and DFID Goal Purpose Outputs Activities

CIDA and GTZ Overall goalProject Purpose

Results/Outputs

Activities Inputs

World Bank Long-term ObjectivesShort-term Objectives

Outputs Inputs

CARE Program GoalProject Final

GoalIntermediate objectives

Outputs Activities Inputs

Catholic Relief

ServicesGoal

Strategic Objective

Intermediate Results

Outputs Activities

Adapted from Jim Rugh, “The Rosetta Stone of Logical Frameworks”

aPPenDix b: comParing logical framework terms

101

This is the face sheet used in submitting the detailed plan and budget of a local partner to a National Office.

In addition to the name of the NO and local partner, it includes the currency used, date of submission and

approval. See Appendix D for more details.

Table A: Information SheetRequired Information

National Office Name Example: Philippines, Kenya or Ecuador

National Office Code Example: 145, The code for the Kenya National Office

Name of Local Partner: The registered name of local partner/entity submitting the budget

Local Partner Code: Entity code e.g 14501

Fiscal/Budget Year: E.g. July 2012 - June 2013; current fiscal year of submission

Currency Used in Budget: Local currency e.g Philippine Pesos; Kenyan Shilling, Ecuadorian Sucre

Exchange Rate Used in Budget

The rate of exchange to U.S.dollars in the month of budget submission or IO budget rate for the year (provided by NO Finance Manager)

Date of Budget Submission:Date budget package is first submitted for review/approval (Format: Month, Date, Year e.g May 10, 2012)

Date of Budget Submission: Date - subsequent revisions (format: Month, Date, Year e.g. May 10, 2012)

NATIONAL OFFICE USE ONLY

DATE OF BUDGET APPROVAL: Format: MM, DD, YYYY

aPPenDix c-1: aoPb’s information sheet

appendices

102


This table describes at a glance the relationships of what the program intends to cover regarding the

portfolio of enrolled and sponsored children, the source of funds during the life of the programs and its

allocation to each of the program and project managed by the local partner. See Appendix D for more

details.

Table A: Information Sheet Part 1Implementing Local Partner Name of Partner Year Covered (Year 1 or 2 or 3 of plan)

No. of Years as Partner Number of Years Partner

Classification

(whether NGO, parent association, federation, intermediary org.,)

Program NameName of Program (0 - 5 years old, 6 - 14 years old, 15 - 24 years old, Protective and Enabling Environment for Children)

Program Duration

Three Years (or the duration that is required to complete the program)

Location Name of Town, District or Province depending geographical unit used

Fiscal Year Covered Current Fiscal Year of Submission

Program Funds Flow and Investments

Child Inventory Girls Boys

Quota 5,000 3,000 2,000

Enrolled 4,800 3,050 1,750

Sponsored 3,600 1,850 1,650

% enrolled 96% 102% 88%

% sponsored 75% 61% 94%

0 - 5 years old 800 500 300

6 - 14 years old 2,400 1,400 1,000

15 - 24 years old

1,600 1,000 600

Sources of Funds Three year Program

Requirements

Last Year (Actual) This year Next Year

Sponsorship 3,200,000 1,200,000 1,000,000 1,000,000

Grants and NSP 1,000,000 360,000 500,000 140,000

Government counterpart 1,000,000 750,000 250,000

Local partner and community contributions

500,000 200,000 150,000 150,000

Other funding sources 100,000 100,000

Total Estimated Funds Available for the Program 5,800,000 2,610,000 1,900,000 1,290,000

aPPenDix c-2: Program summary local Partner level Part 1 & 2

103

Table A: Information Sheet Part 1 (cont.)

Uses of Funds

Thr

ee y

ear P

rogr

am

Requ

irem

ents

Las

t Yea

r

Thi

s ye

ar

Nex

t Yea

r

Spo

nsor

ship

Gra

nts

and

NSP

Gov

ernm

ent

coun

terp

art

Loca

l Par

tner

an

d Co

mm

unity

Co

ntrib

utio

ns

Oth

er F

undi

ng

Sour

ces

Tot

al

0 - 5 years Old

Project Name

Project Name

Total

6 - 14 years old

Project Name

Project Name

Total

15 - 24 years old

Project Name

Project Name

Total

Monitoring and Evaluation

Program Support Costs

Program Implementation Costs

Program Management and Administration Costs

Total 1,000,000 500,000 250,000 150,000 1,900,000

Total Uses of Funding

Program to Support Cost Ratio

Investment (or Cost) per Child - Total

ChildFund

Other Sources

This table describes at a glance the relationships of what the program intends to cover regarding its portfolio of children, the source of funds during the life of the programs and its allocation to each of the programs and projects managed by the local partner. This overview allows a reviewer to know if the use and allocation share is reasonable compared to the rest. For example, children ages 0 - 5 represent 17% of all enrolled children. If the allocation of resources for this age group comes to 40% of the total, this needs to be explained. This table also provides /information on the year to year resource requirements; and when the submission is in its second or third year, the partner’s ability to implement efficiently according to what was planned.

appendices

104


This table shows the number of generated physical outputs by project and their related costs. See Appendix D for more

details.

Table B: Information Sheet Part 2 (cont.)

Outputs and interventions 0 - 5 years old 6 - 14 years old

Last year This year Last year This year

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

Meetings

Workshops and Trainings

Travel

ECD center construction

ECD center renovations

Water wells/pumps

Health Centers

Toolkits

Brochures

Outputs and interventions 15 - 24 years old Total

Last year This year Last year This year

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of P

roje

cts

Qua

ntity

Amou

nt

Bene

ficia

ries

Meetings


Travel



Water wells/pumps

Health Centers

Toolkits

Brochures This table shows the number of generated physical outputs by project and their related costs. This table shows how effectively and efficiently projects are implemented. On a year to year basis, the reviewer should get an understanding of the logical progression of outputs. For example, in a capacity building project, the first year may include meetings to create awareness and this should progress to trainingand workshops in the following years to build skills.

105

Table C shows the timing of inflows of different sources of funds during the planning year. Two examples are shown below.

This table is to be used at the start of the program to show the total expected revenue from all sources for the entire

program duration. See Appendix D for more details.

Table C: Sources of Expected RevenueA B C D E F G H I J K L M N O P Q R S

Source of Funds Code SOF Description

Account Code

Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May JunYear 1 Annual Total

Year 2 Annual Total

Year 3 Annual Total

Life of Project Total

1001 Sponsorship Funds 40101

Total Sponsorship Funds

NSPs /QSPs/ SSPs 3000

30xx NSP Description 40104


Total NSPs

Grants ChildFund

40xx Grant (Specify)


Grants Other Grants



Total Grants

Community Contributions 5000

5001Community Contributions

Total Community Contributions

Government Funding 6000

60xx Specify Description


Total Government Funding

Other Sources 7000

7001 Specify Description

700x Specify Description

Total from Other Sources 7000

SUMMARY (PLEASE DO NOT KEY BELOW THIS LINE)

REVENUE FROM ChildFund ( Sponsorship Funds, Grants & NSPs)

DO NOT KEY

REVENUE FROM ALL OTHER SOURCES DO NOT KEY

Total From All Sources:

If extra rows are inserted into this worksheet, please check the tTotals fields to verify that formulas are updated accordingly.

Please do not insert additional columns to this form.

aPPenDix c-3: sources of revenue

Table C shows the timing of inflows of different sources of funds during the planning year. Two examples are shown here. The first table is for the first year and the second table for succeeding years. Scheduling inflows from all sources helps to program spending and avoid any funding shortfalls The accounting of all funding sources establishes the scale of activities and deliverables. In looking at sources of funds in following years,a reviewer can see if the planned inflow from the past year was accurately done. Last year’s flow results against plan gives information to more accurately plan the next year.

appendices

106


This form is to be used at the second or third year of the program. It shows the actual revenue from the previous year

and projected monthly revenue from all sources for the current year. See Appendix D for more details.

Table D: Sources of Actual RevenueA B C D E F G H I J K L M N O P Q R S

Source of Funds Code SOF Description

Account Code

Year 1 Actual Total

Jul Aug Sep Oct Nov Dec Jan Feb Mar Apr May JunYear 2 Annual Total

Year 3 Annual Total

Life of Project Total

1001 Sponsorship Funds 40101

Total Sponsorship Funds

NSPs /QSPs/ SSPs 3000



Total NSPs

Grants ChildFund



Grants Other Grants



Total Grants

Community Contributions 5000

5001Community Contributions

Total Community Contributions

Government Funding 6000



Total Government Funding

Other Sources 7000

7001 Specify Description

700x Specify Description

Total from Other Sources 7000

SUMMARY (PLEASE DO NOT KEY BELOW THIS LINE)

REVENUE FROM ChildFund ( Sponsorship Funds, Grants & NSPs)

DO NOT KEY

REVENUE FROM ALL OTHER SOURCES DO NOT KEY

Total From All Sources:

If extra rows are inserted into this worksheet, please check the totals fields to verify that formulas are updated accordingly.

Please do not insert additional columns to this form.

107

The table below is a worksheet that allows you to develop the project’s AOPB. See Appendix D for more details.

Table E: Project Detailed AOPB Part 1A (activity expenses and physical outputs)

Activity Schedule (from Log Frame)

Activity Expenses and Physical Outputs

Char

t of A

ccou

nt C

ode

Consultancies Travel Meetings and Conferences Trainings Equipment /

Centers / WellsSupplies / Kits /

Brochures Others

Bene

ficia

ries

Cons

ulta

ncy

Type

or r

esul

ts

of c

onsu

l-ta

ncy

(stu

dy,

rese

arch

, etc

.)

Airfa

re

Loca

l tra

vel

Oth

er tr

avel

co

sts

Trav

els/

Vis

its

Mee

tings

/ Co

nfer

ence

s

Type

of M

eet-

ings

/ Co

nfer

-en

ces

Trai

ning

s

Type

of T

rain

-in

gs

Equi

pmen

t /

Cent

ers

/ Wel

ls

Equi

pmen

t /

Cent

ers

/Wel

ls

Supp

lies

/ Kits

/ Br

ochu

res

Kits

/ Br

o-ch

ures

Expe

nse

Item

Phys

ical

Out

put

Objective 1

Project Outcome 1 Children age 0-5 years in target communities in Indonesia, the Philippines and Sri Lanka have improved access to ECD integrated services

Output 1.1 ECD Centers established, supported or improved in accordance with country standards

Activity 1

Activity 1.1

Activity 1.2

Activity 1.2.1

Activity 1.2.2

Activity 2

Activity 2.1

Activity 2.2

Activity 2.3

Total for Output 1.1

Output 1.2 Home-based ECD program organized, developed or improved based on ChildFund’s good practices and country standards

Activity 1

Activity 1.1

Activity 2

Activity 3


Output 1.3 Essential health and nutrition services provided for malnourished children in coordination with government health centers and/or NGO-assisted health programs

Activity 1


Total Project Outcome 1

aPPenDix c-4: Project DetaileD aoPb

This table (and the two following) works as the working paper to arrive at the annual operating plan and budget of the project. The column on the vertical left side represents the log frame of the project while the horizontal column details the expense account, the physical output unit of measure, the beneficiaries and the source of funds. The amount is extended to the month they are incurred. Physical output quantity is indicated at the month the activity or output is completed. The accounts and source of funds column can be reduced by using drop downs to select the account or source of funds.

appendices

108


Table F: Project Detailed AOPB Part 1B (source of funds)


Sources of Funds

SoF Code Sponsorship Grants and NSP Government counterpart Local Partner and

Community Contributions Other Funding Sources

Objective 1



Activity 1

Activity 1.1

Activity 1.2

Activity 1.2.1

Activity 1.2.2

Activity 2

Activity 2.1

Activity 2.2

Activity 2.3



Activity 1

Activity 1.1

Activity 2

Activity 3



Activity 1



109

Table G: Project Detailed AOPB Part 1C (monthly distribution)


Monthly Distribution

Jul Aug Sept Oct Nov Dec Jan Feb Mar Apr May Jun Total

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Phys

ical

Out

put Q

uant

ity

Amou

nt

Objective 1



Activity 1

Activity 1.1

Activity 1.2

Activity 1.2.1

Activity 1.2.2

Activity 2

Activity 2.1

Activity 2.2

Activity 2.3



Activity 1

Activity 1.1

Activity 2

Activity 3



Activity 1



appendices

110


Table H: Project Detailed AOPB Part 2 (project beneficiaries targeted for the duration of the project)

Project Beneficiaries targeted (for the duration of the project)

Boys Girls

Communities 10

Families 800

Adults 12,000 5,000 7,000

Children 14,000 8,000 6,000

0 - 5 years old 2,200 800 1,400

6 - 14 years old 7,400 3,200 4,200

15 - 24 years old 4,400 2,000 2,400

Table I: Project Detailed AOPB Part 3 (project outputs and interventions for the current year of submission)Project Outputs and interventions (for the current year of Submission)

0 - 5 years old 6 - 14 years old 15 - 24 years old Total

No

of O

utpu

ts (

e.g.

out

put 1

an

d o

utpu

t 2 c

ount

ed a

s 2)

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of O

utpu

ts (

e.g.

out

put 1

an

d o

utpu

t 2 c

ount

ed a

s 2)

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of O

utpu

ts (

e.g.

out

put 1

an

d o

utpu

t 2 c

ount

ed a

s 2)

Qua

ntity

Amou

nt

Bene

ficia

ries

No

of O

utpu

ts (

e.g.

out

put 1

an

d o

utpu

t 2 c

ount

ed a

s 2)

Qua

ntity

Amou

nt

Bene

ficia

ries

Meetings


Travels



water wells/pumps

Health Centers

Toolkits

The beneficiaries indicated in project summary represents the intended beneficiaries over the project duration. The beneficiaries indicated is not the beneficiary count for each output or activity.

The table above summarizes the quantity of physical outputs per output category, the total cost of the physical outputs and the beneficiaries of these outputs. The table indicates key physical outputs of the project. This rolls up in the summary at the program level. Compared on a year to year basis, physical outputs can be evaluated as to their effectiveness and efficiency. The beneficiaries count does pertain to individual children. Beneficiaries may be repeatedly counted if they are involved/or participated in each output. The beneficiaries count per physical output (per output) is not the same as the project beneficiaries indicated in the above table.

111

This spreasheet/table below lists all the staff and non staff costs that are directly related to the program implementation (as

opposed to projects). See Appendix D for more details.

Table J: Program Implementation and Support Costs

Budget Item / Account Description

Acco

unt C

ode

SoF Period of Implementation

Year

1 A

nnua

l Tot

al

Year

2 A

nnua

l Tot

al

Year

3 A

nnua

l Tot

al

SoF

Acco

unt

Code

Spo

nsor

ship

Gra

nts

and

NSP

Gov

ernm

ent

coun

terp

art

Loca

l Par

tner

an

d Co

mm

unity

Co

ntrib

utio

ns

Oth

er F

undi

ng

Sour

ces

July

Augu

st

Sept

embe

r

Oct

ober

Nov

embe

r

Dec

embe

r

Janu

ary

Febr

uary

Mar

ch

April

May

June

I: OPERATING EXPENSES (Directly Related to Implementation Of Projects)

Office Supplies 50403 1001

Minor Equipment 50401

Rent Expense 50705

Postage and Freight 50713

Insurance - Vehicles 50710

Insurance - Buildings & Equipment 50711

Maintainance -Vehicles 50702

Maintainance - Equipment 50703

Maintainance - Buildings 50704

Telephone & Internet 50712

Utilities Expense 50706

Fuel 50701

Bank and Other Service Charges 50709

Occupancy (rent, electricity, water) 50714

Miscelleneous Admin Expenses 50717

SUBTOTAL OPERATING EXPENSES

II.TRAVEL -(Directly Related to Implementation Of Projects)

Airfares 50501

Meals & Accomodations 50502

Transport 50503

Other Travel costs 50504

Conferences/Meetings 50505

TOTAL TRAVEL (Directly Related to Implementation Of Projects)

III. CONTRACTED SERVICES - (Directly Related to Implementation Of Projects)

Professional Services 50301

Other Contracted Services 50302

Translation Services 50303

Legal Services 50304

Audit Fees 50305

TOTAL PROFF. SERVICES

aPPenDix c-5: Program imPlementation anD suPPort costs

Continue with Additional Budget Item/Account Descriptions

Total LP Mgt General

II: PROGRAM IMPLEMENTATION STAFF COSTS

Salaries/Compensation - (Directly Related to Implementation Of Projects)

Project Manager

Project Officers

Trainers

Community Mobilizers

Other (specify)

Other (specify)

Total Salaries

Benefits and Allowances

Project Manager

Project Officers

Trainers


Other (specify)

Other (specify)

Other (specify)

Other (specify)

Total Benefits & Allowances

TOTAL PROGRAM STAFF SUPPORT COSTS

GRAND TOTAL - PROGRAM IMPLEMENTATION AND SUPPORT COSTS

appendices

112


This spreadsheet/table below lists all the staff and non staff costs that are incurred by management in overseeing and

administering the program. See Appendix D for more details.

Table K: Program Management and Admin Costs

Budget Item / Account Description

Acco

unt C

ode

SoF Period of Implementation

Year

1 A

nnua

l Tot

al

Year

2 A

nnua

l Tot

al

Year

3 A

nnua

l Tot

al

SoF

Acco

unt

Code

Spo

nsor

ship

Gra

nts

and

NSP

Gov

ernm

ent

coun

terp

art

Loca

l Par

tner

an

d Co

mm

unity

Co

ntrib

utio

ns

Oth

er F

undi

ng

Sour

ces

July

Augu

st

Sept

embe

r

Oct

ober

Nov

embe

r

Dec

embe

r

Janu

ary

Febr

uary

Mar

ch

April

May

June

I: OPERATING EXPENSES (Directly Related to Implementation Of Projects)

Office Supplies 50403 1001

Minor Equipment 50401

Rent Expense 50705

Postage and Freight 50713

Insurance - Vehicles 50710

Insurance - Buildings & Equipment 50711

Maintainance -Vehicles 50702

Maintainance - Equipment 50703

Maintainance - Buildings 50704

Telephone & Internet 50712

Utilities Expense 50706

Fuel 50701

Bank and Other Service Charges 50709

Occupancy (rent, electricity, water) 50714

Miscelleneous Admin Expenses 50717

SUBTOTAL OPERATING EXPENSES

II.TRAVEL -(Directly Related to Implementation Of Projects)

Airfares 50501

Meals & Accomodations 50502

Transport 50503

Other Travel costs 50504

Conferences/Meetings 50505

TOTAL TRAVEL (Directly Related to Implementation Of Projects)

III. CONTRACTED SERVICES - (Directly Related to Implementation Of Projects)

Professional Services 50301

Other Contracted Services 50302

Translation Services 50303

Legal Services 50304

Audit Fees 50305

TOTAL PROFF. SERVICES

aPPenDix c-6: Program management anD aDministrative costs

Continue with Additional Budget Item/Account Descriptions

Total LP Mgt General

II: PROGRAM IMPLEMENTATION STAFF COSTS

Salaries/Compensation - (Directly Related to Implementation Of Projects)

Project Manager

Project Officers

Trainers


Other (specify)

Other (specify)

Total Salaries

Benefits and Allowances

Project Manager

Project Officers

Trainers


Other (specify)

Other (specify)

Other (specify)

Other (specify)

Total Benefits & Allowances

TOTAL PROGRAM STAFF SUPPORT COSTS

GRAND TOTAL - PROGRAM IMPLEMENTATION AND SUPPORT COSTS

113

This document provides guidance on how to use and

understand each of the excel spreadsheets contained in

the prescribed AOPB template excel file. Additional notes

describing the importance or use are likewise included in the

corresponding spreadsheets.

Using the AOPB budget template

The information in the template is spread out in detail from

spreadsheet to spreadsheet and consolidation or creation of

summaries is done manually.

Following are brief descriptions of their content and use.

Appendix C-1: Information Sheet - This is the

face sheet used in submitting the plan and budget

of a local partner to a National Office. It includes

information on the names of the NO and local

partner, the currency used, date of submission and

approval, etc.

Appendix C-2: Local Partner’s Program/Project

Summary – This spreadsheet is in two parts.

At the top of the spreadsheet is information about the

implementing local partner, including the number of years

this local partner has collaborated with ChildFund and its

type of organization. This gives a sense of the partner’s

implementation capacity related to the project it will implement.

The first table compares the local partner’s child inventory

portfolio related to the projects to be implemented over the

entire duration of the program, and in the current fiscal year of

submission. The sources and uses of funds are summarized

to show how many resources are coming in to fund what

program or project/s.

aPPenDix D: instructions on how to use the aoPb temPlate

appendices

Table A: Information Sheet

Table B: Information Sheet Part 1

Table A: Information Sheet Part 1 (cont.)

114


Year to year presentation (actual from previous year)

shows the partner’s ability to implement on time and

efficiently as well as the adequacy of funds when

compared to the original funding estimate.

The second table summarizes all of the physical

outputs from all projects, their costs and the

beneficiaries reached per unit of physical output

measure. This table is aggregated from individual

projects’ implementation results.

Appendix C-3: Sources of Funds – This spreadsheet

shows the various sources of funds that local partners

will receive during the life of the program/s and in the

current fiscal year of submission. The current fiscal

year’s month to month inflow from all sources is

scheduled so that the local partner can establish

available funds per month.

If the plan being submitted is for the second or third

year, previous years’ actual flow should be reflected to show if current plans and

budget are reasonable in relation to the current year’s submission.

Appendix C-4: Detailed Project Annual Operating Plan and Budget – This

spreadsheet is project specific; each project will use a separate spreadsheet. This

spreadsheet is in three parts.

In the first section, the logical framework and detailed

activity schedule are used. Each activity is costed/

priced and classified in the appropriate expense/

account columns. The unit of measure for physical

outputs is identified, beneficiaries estimated and the

source of funds designated. The columns can be

reduced in number by creating drop down utility from

a pre-determined list of expenses and the physical

output’s unit of measure.

Table B: Information Sheet Part 2 (cont.)

Table C: Sources of Expected Revenue

Table D: Sources of Actual Revenue

Table E: Project Detailed AOPB Part 1A (activity expenses and physical outputs)

115

The second table summarizes the project’s intended

beneficiaries (not the output beneficiaries). NOs can

reasonably compare the resources being allocated

against the project’s beneficiaries and determine if

resources are reasonable compared to beneficiaries to

be reached.

The third table summarizes the project’s physical

outputs, the number of beneficiaries and the amount

spent for those outputs. These details can be extracted

from the first table. When looking at the summary,

NOs will be able to identify the key outputs used to

deliver the project objectives. The data summarized

here is aggregated in the second table found in

Spreadsheet 2.

As previously explained, each project requires separate spreadsheets. If the local partner will implement four (4) projects,

then four (4) spreadsheets are prepared.

Appendix C-5: Program Implementation Costs –

This spreadsheet lists and consolidates the local

partner’s operating costs directly related to the

implementation of a project or multiple projects that

comprise a program or programs.

Ideally, a single project has to identify its support

personnel and operating cost. This can be done if the

partner organization or implementing unit has only

a single project or if they have dedicated staff and

operating expenses. For local partners implementing

a single project, this spreadsheet can be integrated

in the program/project detailed annual operating

plan and budget (see spreadsheet 4). When local

partners implement more than one project, the direct

implementation costs are best presented in this

spreadsheet since their allocation to the different

projects will be tedious and impractical.

The expenses should follow the applicable organizational policies, reflect current costs and be reasonable in relation to

implementation of the activities.

appendices

Table F: Project Detailed AOPB Part 1B (Source of Funds)

Table G: Project Detailed AOPB Part 1C (monthly distribution)

Table J: program implementation and support costs

116


The first year may be presented in monthly details indicating the amount in the month they are required to be spent. The

succeeding years can be presented in total. The total for all years establishes the indicative support and operating costs

during the life of the project. When preparing the plan and budget for the second or third year, reflect the actual expenses to

see trends and take corrective action as appropriate.

Similar to the project spreadsheet, the expenses are classified according to their expense account and from their funding

source.

APPENDIX C-6: Program Management and

Administrative Costs - Similar to spreadsheet 5 in

format, this table lists and describes expenses that

do not directly support the ChildFund program/project

or that are spent with no direct reference to a project

or program. For local partners with multiple donors

(other than ChildFund), this may include shared costs

that are allocated to different donor funded programs.

Management and other administration costs form

part of costs that are not directly associated with

implementation except when the local partner is solely

and fully funded by ChildFund. Where disaggregation

can reasonably be made based on sound allocation,

a separate spreadsheet is suggested. Separating

management costs from direct costs gives the

reviewer an understanding what management and

administration level efforts are devoted to the effective

implementation of the program.

Table K: Program Management and Admin Costs

117

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2821 Emerywood Parkway, Richmond, Virginia 23294-3725 USAFor further information, please contact us at [email protected]

www.childfund.orgMember of ChildFund Alliance

June 2012

mailto:global%40childfund.org?subject=I%20would%20like%20information%20on%20ChildFund%20International

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