Community Capacity Building Guidelines Series No.

GUIDELINES ON THE
FORMATION OF A PROJECT PROPOSAL
(Version 1)





















Prepared by
Consolidation for Settlement Capacity Building
and Livelihoods Development Project
in Sri Lanka


Funded by World Jewish Relief

2008


Contents

1.0 Introduction 1

2.0 The need for a project proposal 1

3.0 Basic components of a project proposal 2


3.1 Name of the project 2

3.2 Project proponent 2

3.3 Partners 2

3.4 Project area 2

3.5 Project beneficiaries 2

3.6 Need for the project 2

3.7 Objectives of the project 3

3.8 Project activities 3

3.9 Expected results 3

3.10 Cost estimate 3

3.11 Time frame 4

3.12 Progress review and reporting 4

3.13 Project evaluation 4


4.0 Points to be considered in submitting a project proposal
to a funding institution 4




Annex I Sample of Project Proposal 5

Annex II Agenda of Workshop on Proposal Writing 10



Photos on the cover page:

1) Proposal wiring workshop (Ampara District)
2) Drainage rehabilitation proposal prepared by a CDC in Jaffna District
1

1.0 Introduction

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

2.0 The need for a project proposal

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

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

Although government and NGOs extended financial aid for tsunami projects and
others to provide basic facilities including housing in these settlements and
villages, due to limitations in such funding some essential work remain
unimplemented.

Thus various districts have a large number of low income settlements crying for
basic amenities. There are active as well as inactive community councils in these
settlements.

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

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

The project can be implemented subsequently by following the community
contracting method
1
.

1
Implementing an activity by a CDC after entering into a contract with the relevant
parties is referred to as the community contracting method. The office bearers of the
CDC play a leading role in this activity.
2

3.0 Basic components of a project proposal

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

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

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

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

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

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

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

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



3

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

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

Objectives Activities Responsibilities




3.9 Expected results
Here we have to state the end product (= expected results) of each activity.
It is recommendable to set indicators to measure the achievement of
expected results. The indicator will be useful for monitoring and
evaluating the performance of the project. The following table can be put
together with the above table, and named as Plan of Activities.

Activities Expected results Indicators




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

Activities
Contribution
by the CDC
(LKR)
Contribution by
partner agency A
(LKR)
Contribution by
partner agency-B
(LKR)
Total Cost
(LKR)







4

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

Activities
Time Frame
Jan Feb Mar Apr May June July Aug Sept




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

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


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

The project proposal formulated by the CDC can be submitted to a funding
institution. However the CDC should not act on the premise that the funding
institution will extend financial assistance on the mere presentation of a proposal.

(1) Formulate proposals to suit the requirements of a funding institution.

CDCs should be aware that there are norms adhered to by a funding
institution. When the project proposal is presented to a funding institution,
they will consider whether it has been formulated in a manner that satisfies
its requirements as well as those of the main funding sources. If they do not
meet the requirements fully, the project proposal will either be rejected or
instruction will be given to amend it.

Rejection will be inevitable when there is failure to provide information as
required. It is important that the formulation of the project proposal is
carried out after obtaining appropriate advice from a knowledgeable person.
If possible, it is useful to discuss with an appropriate officer from the funding
5

institution and to obtain the necessary information before formulating the
proposal.

Some institutions have standard formats for presentation of project
proposals. In such instances invariably such forms have to be used.


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

The general response of a CDC to a rejection of a project proposal is reacting
with anger and protesting about the decision. Reacting emotionally to a
refusal may result in losing the opportunity to obtain assistance from the
institution in the future.

Therefore the leaders who are delegated to discuss with the funding
institution should invariably be individuals with understanding, patience,
knowledge and wisdom. What should happen is not to respond by raising
objections or protest at the other party, but to bring the proposal to a state
of being accepted for funding by identifying any shortcomings and by
rectifying them or presenting it to another institution.







6

Annex I: Sample of Project Proposal


1. Name of the project: Solid Waste Management Project for Galle District

2. Project proponent: Walauwatte Community Development Council (CDC)
in Galle Divisional Secretarys Division, Galle District

3. Partners:
(1) Central Environmental Authority (Waste Management Project)
(2) Department of Agriculture

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

5. Project beneficiaries: 250 households in the Walauwatte CDC

6. Need for the project:

Walauwatte CDC located in Galle D.S. Division, Galle District is a low income
settlement with high density of population. The local government authority, namely
Galle Municipal Council, does not have a proper system for collecting of the waste in
settlements. As a result, garbage gets accumulated as big dumps in various places
which become breeding grounds for flies and mosquitoes. The residents have to face
the inconvenience of the stench as well as health problems arising from the
unhygienic conditions.

Walauwatte CDC requested Galle Municipal Council to deliver a proper service to solve
the above issue. However, the Municipal Council did not have an immediate counter-
measure.

UN-HABITAT introduced the CDC to the Waste Management Project by the Central
Environmental Authority (CEA). The CDC decided to write a proposal to the CEA to
assist the CDC in establishing a waste management programme within the settlement.

7. Objectives of the project:

This project is formulated to achieve the following objectives.

(1) Create awareness among the community regarding a solid waste management
programme, and train them on sorting out the waste.
(2) Introduce bio-degradable waste management by training in composting the waste
and making use of it for home gardening.
(3) Introduce non-degradable waste management by establishing a system of sorting
the waste and selling to buyers.
(4) Create awareness among school children about these programmes and make
them participate in implementation.
7

8. Plan of Activities:

Objectives Activities Responsibilities Expected results Indicators
(1) Creating awareness on
a solid waste
management
programme

(1-1): Conduct 2 workshops for
awareness raising among the
CDC members
Central
Environmental
Authority
Walauwatte CDC
CDCs understand the
need and for sorting
out solid waste and
how to do it.
No. of participants of the
workshops will be not less
than 150.
(2) Introducing bio-
degradable waste
management
(2-1): Conduct a training programme
on how to use compost bins
(2-2): Provide 100 compost bins
(2-3): Conduct a training programme
on home gardening by using
compost made from bio-
degradable waste
(2-4): Supply seeds and seedlings to
the beneficiaries
Central
Environmental
Authority
Walauwatte CDC
Department of
Agriculture
Bio-degradable waste
is not dumped but
converted to
compost.
Beneficiaries grow
plants by using the
compost.
Decrease in the amount of
bio-degradable waste dumped
in open areas
No. of compost bins
distributed
No. of compost bins utilized
No. of households engaged in
home-gardening

(3) Introducing non-
degradable waste
management

(3-1) Introduce buyers to the
community by conducting two
special meetings
(3-2) Provide the bags to sort out
plastic, polythene and bins.
Central
Environmental
Authority
Walauwatte CDC
Conversion of non-
degradable waste to
cash
Decrease in the amount of
non-degradable waste
dumped in open areas
Income of households by
selling non-degradable waste
to buyers

(4) Creating awareness
among school children

(4-1) Conduct one special meeting to
create awareness among
children in the community
(4-2) Hold an essay competition
Central
Environmental
Authority
Walauwatte CDC

Children understand
the importance of
solid waste
management
No. of participants of meeting
will be not less than 100.
Level of understanding

8

9. Cost estimate

Activities
Community
Contribution
(LKR)
Central
Environment
al Authority
(LKR)
Department
of
Agriculture
(LKR)
Total Cost
(LKR)
(1-1) Conduct 2 workshops for
awareness raising among
the CDC members

2.000.00 30,000.00 32,000.00
(2-1) Conduct a training
programme on how to use
compost bins
1,000.00 15,000.00 16,000.00
(2-2) Provide 100 compost bins

230,000.00 230,000.00
(2-3) Conduct a training
programme on home
gardening by using compost
1,000.00 15,000.00 16,000.00
(2-4) Supply seeds and seedlings
to the beneficiaries
100,000.00 100,000.00
(3-1) Introduce buyers to the
community by conducting
two special meetings
500.00 10,000.00 10,500.00
(3-2) Provide the bags to sort out
plastic, polythene and bins
25,000.00 25,000.00
(4-1) Conduct one special
meeting to create
awareness among children
in the community
500.00 10,000.00 10,500.00
(4-2) Hold an essay competition 1,000.00 1,000.00
Total cost for each institution 6,000.00 320,000.00 115,000.00 441,000.00



10. Time frame:

Year 2008

Activities Jul Aug Sep Oct Nov Dec
(1-1) ...... X
(2-1) ...... X
(2-2) ...... X
(2-3) X
(2-4) X
(3-1) X
(3-2) X
(4-1) X
(4-2) X X




9


11. Progress review and reporting:

The secretary of Walauwatte CDC is responsible to review the progress of the
project monthly.
The secretary of the Walauwatte CDC is responsible to report the progress of the
programme to the funding institution monthly.
The reporting items include the followings:
Progress of activities (Plan and Actual)
Expenditure
Difficulties faced


12. Project evaluation:

Upon the completion of the project, the CDC office bearers will conduct an
evaluation.
Achievement of objectives will be measured by checking the Indicators written
in the Plan of Activities.
Through a discussion with the CDC members, any issues and countermeasure will
be discussed.


10

Annex II: Agenda of Workshop on Proposal Writing


Time Activity

09.00 a.m. - 09.10 a.m. Welcome speech

09.10 a.m. - 09.20 a.m. Self introduction

09.20 a.m. - 09.30 a.m. Objective of the workshop

09.40 a.m. - 10.10 a.m. Need for a project proposal

10.10 a.m. - 10.30 a.m. Tea

10.30 a.m. - 1.00 p.m. 13 steps of proposal formulation

<Group Work>
Break into 3 groups and prepare
A draft proposal

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

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