HOW TO PREPAREA PROJECT PROPOSAL TO APPLY FOR A EUROPEAN UNION GRANT

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Training CourseDr. Massimiliano Bonne

Regional Coordinator ENPI EAST2012

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PART I

EU GRANTS – Call for proposals

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IMPORTANT FACTS

Presenting a quality project in line with the objectives of the call for proposals is of course essential to obtain a grant but your application will be rejected if you do not respect instructions and if your proposed actions / costs and those implementing the project are not eligible and credible.

Avoid having your application rejectedMany proposals are never read by the assessors because they fail the administrative checks: applications do not respect the submission deadline, essential documents are missing, not complete, incorrect (the concept note is longer than allowed, a section is missing, the declaration is not attached / filled / signed, the CD-Rom is not enclosed, etc.).Use the checklist in the grant application form and read carefully the guidelines, the application form and annexes (both the text and the footnotes).Make your own checklist on what you should and should not do and get at least one other person to check that your application is complete and correct.

Ask questions on timeRead the guidelines, the application form and annexes carefully and ask on time (21 days before the deadline) any questions you may have usually by email (specific address in each caii). Answers will generally be posted on internet (website address in the guidelines).

PADOR registration takes time and will be evaluatedThe applicant and its partner, at a certain point in time, wilf each have to provide a type of CV of their organisation showing both their implementation experience, financial strength, legal status, etc. in a system called PADOR (on-line or off-line as specified in each call). Providing this information takes time and should be done carefully as it will be evaluated. It must be finalised before the call deadline. There is an user friendly presentation on internet to help you fill PADOR and an email address (provided in the call) to ask questions.

A clear proposal is crucial to score wellAssessors are the people who will read and score your application. They work under tremendous time pressure having to assess a large number of proposals and wilf probably have time to read only once each dossier. Also, they may not be specialists in your specific topic. So, while everything in your proposal is obvious to you as the author, it is not necessarily so for the evaluators. Submitting a clear and easy to read proposal is therefore crucial to score highly.

Only the highest ranking proposals will be fundedA call for proposals is a competitive process. Proposals wit! be ranked according to their score and only the highest ranking proposals will be funded. Your proposal therefore needs to be excellent.In most cases, applicants have to submit a summary of their proposed project (concept note) together with some documents. If their concept note is selected, they will be invited to submit a full proposal (restricted call), in exceptional cases, the concept note, full proposal and other documents have to be submitted all together (open call). The full proposal must be in line with the concept note - in principle you cannot change partners, activities, etc. and the EU contribution cannot vary by more than 20%.It is therefore recommended that you secure a credible group of partners (unless partners are not required) and develop with all stakeholders your project resulting in a clear plan (logical framework matrix, annex to the full proposal) which can then be costed (budget, annex to the full proposal). With this information a good concept note can be prepared which increases your chances of being selected to present a full proposal.

Applicants/partners have to identify other sources of fundingThe general rule is that the applicant I partners must finance a part of the eligible costs from own resources or from source other than the European Union budget of the European Development Fund. Check size of grant (percentage and amount) in the section "Financial allocation by the contracting authority” (in guidelines).

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Note that for the purpose of co-financing if tax is excluded and you can prove that it cannot be reclaimed, it will be considered as total accepted costs. Contributions in kind are not usually accepted (check in the guidelines). Also, the applicant and partners need to consider how they will fund the last 10% of funds to be contributed by the EU as these will only be disbursed after the final report is approved. Finally, the EU will not contribute more than indicated in the grant contract both in amount and percentage.

Allow time to recheck the whole applicationA restricted call may give you as little as 45 days to application deadline, it is therefore advisable to prepare a time schedule which allows enough time to recheck the whole application. Also, it is highly desirable that someone who has not been involved in preparing the concept note / full proposal, reads the document to recommend improvements on clarity, logic, feasibility, credibility, etc..

Last but not least managing a grant carries many responsibilitiesGrants are European tax payers money and therefore not only will you have to report on achievements and expenditure but these will be checked and you will have to reimburse whatever is not eligible.The grant contract signed by the applicant has several annexes which will govern all aspects relating to implementation and control. Annex II (General Conditions) and annex IV (Contract Award Procedures) are particularly important.

All links and email addresses are provided in the call documents but below simple ways to access these.

Looking for information Write using any search engineYou want to know which calls could be of interest

Europeaid calls funding(click on funding and then call forproposals)click on “advance search” and select “grants” + "open” + “forecasted” + in turn select your country, your region, your sub-region and all countries

You want to read documents relating to grants including grant contract (special conditions) and annexes

Europeaid PRAG (click on grants)

You want to read about PADOR, register or you want help

Europeaid PADOR(click on the PADOR section of interest toyou)

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CONCEPT NOTE : Restricted call

In most calls for proposals, applicants are asked to submit only a summary of their proposed project called "concept note” together with some documents. If their concept note is selected, they will be invited to submit a full proposal. This two step process is called a “restricted call ’.

In exceptional cases, the concept note, full proposal and other documents have to be submitted all together. This one step process is an 'open call".

The full proposal must be in line with the concept note (in principle you cannot change partners, activities, etc.) and the EU contribution cannot vary by more than 20%. it is therefore important that your concept note be a summary of a sufficiently well elaborated project.

To have a sufficiently well elaborated project, you need to secure a credible group of partners (unless partners are not required) and develop with them and other stakeholders in a participative process your project proposal resulting in a clear plan (logical framework matrix, annex to the full proposal) which can then be costed (budget, annex to the full proposal, also refer to special notes on the budget in the next section). With this information a good quality concept note can be prepared which increases your chances of being selected to present a full proposal.

In the concept note phase of a restricted call, only the following have to be presented bound (one original and check number of copies) in A4 size:

1. The concept note (follow the instructions in the application form on length, sequence, etc.)2. The filled checklist for the concept note (in the application form)3. The declaration signed by the applicant (the applicant, also referred to as beneficiary, is the

entity who would sign the grant contract) (in the application form)

Furthermore:4. A CD-Rom with identical information to the paper copy has to be submitted

The above should be contained in a sealed envelope with the appropriate information written on the envelope (check in guidelines)

5. The registration of the applicant in PADOR is usually compulsory (registration by partners is optional at this stage)

Use ONLY the provided form and do not add supplementary documents.

You need to use only two documents to answer the concept note part of a restricted call The Guidelines for Grant Applicants and The Grant Application Form.

Follow the PCM manual to elaborate your project. It has to address a real problem thatmust also be in line with the specific objectives of the call for project proposals (Relevance). It must offer a promising solution to the problem, which means being complete, logical, and convincingly argued.

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However, before you start designing your project read important facts in the previous section of this manual, check in the guidelines eligibility (of applicant and partners, location of implementation,

actions, activities, sub-granting and costs) understand how your concept note will be scored (refer to “Evaluation and selection of

applications in the application form) check in the guidelines where and how to send your concept note and the deadline for

submission

FULL PROPOSAL: Restricted call

In a restricted call, if your concept note is selected, you will be invited to submit a full proposal.For the full proposal phase of a restricted call, the following have to be presented bound (one original and check number of copies) in A4 size:

1. The full proposal (follow the instructions in the application form on length, sequence, etc.) which includes the detailed budget (see annex B), action plans, Logical framework matrix (see annex C), applicant’s experience over the last three years, the applicant and partners EuropeAid ID number (PADOR registration by all partners is compulsory) and full legal name of the organisation .

2. The applicant and each partner must complete, sign and date a separate partnership statement (in application form)

3. A separate table must be completed for each associate (in application form)4. The filled checklist for the full proposal (in the application form)5. The declaration signed by the applicant (the applicant, also referred to as beneficiary, is

the entity who would sign the grant contract) (in the application form)

Furthermore:6. A CD-Rom with identical information to the paper copy has to be submitted

The above should be contained in a sealed envelope with the appropriate information written on the envelope (check in guidelines)

Use ONLY the provided forms and do not add supplementary documents.

You need to use fours documents to answer the full proposal of a restricted call The guidelines for grant applicants e The grant application form The annex B (budget, etc.) The annex C (logical framework matrix)

Follow the PCM manual to elaborate your project. It has to address a real problem thatmust also be in line with the specific objectives of the call for project proposals (Relevance). It must offer a promising solution to the problem, which means being complete, logical, and convincingly argued. Risks must be identified and mitigation strategies developed, quality indicators must be elaborated.

However, before you start preparing you full proposal read important facts in the section 1 of this manual, be aware that you cannot change what was assessed in your concept note (applicant,

partners, activities, etc.) and the EU financial contribution cannot vary by more than 20% (but the percentage can within the limits indicated in the guidelines)

understand how your full proposal will be scored (refer to "Evaluation and selection of applications in the application form)

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check in the guidelines where and how to send your full proposal note and the deadline for submission

Special notes on the budget: Only incurred costs to implement the project are eligible. This means that costs will only be

eligible if a proof of transfer is available like a bank statement (except for per diems and non- eligible costs listed in the guidelines). Therefore, if for example the applicant / partners own a car they cannot charge for the car to the project but incurred costs to repair, maintain and operate the vehicle are eligible if used to implement the project. A voluntary worker can also not be an eligible cost but this person can become an employee if required to implement the project. If you wish to hire this person as a consultant then the competitive process envisaged in the Contract Award Procedures (annex IV to the contract) have to be followed.

Only costs incurred after the signing the grant contract are eligible (except the cost of obtaining a guarantee if required for the grant).

Gross salaries for local staff are eligible costs but they should be in line with usual local salaries.

A contingency reserve not exceeding 5% of the estimated direct eligible costs may be included in the Budget of the Action. It can only be used with the prior written authorisation of the Contracting Authority if considered justifiable.

The indirect costs (overheads) incurred in carrying out the action may be eligible for flat-rate funding fixed at not more than 7% of the estimated total eligible direct costs. Indirect costs are eligible provided that they do not include costs assigned to another heading of the budget of the standard grant contract. The applicant may be asked to justify the requested percentage before the contract is signed. However, once the flat-rate has been fixed in the grant contract (special conditions), no supporting documents need to be provided.

OPEN – Calls for Proposals

In exceptional cases, the concept note, full proposal and other documents have to be submitted all together. This one step process is an "open call”.

Refer to the two previous sections if you answer an open call. However, as regards to the Concept note phase only the project content part of the concept note needs to be provided.

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CONCLUSIONS

If provisionally selected, you will be the given a certain amount of time to provide supporting documents.

EC calls for proposals always foiiow the same structure / table of content so as you gain experience the time to prepare a proposal should decrease and the quality increase.

If you proposal is not selected do not be discouraged but learn from it.

Good luck in obtaining a grant and implementing a successful project!

PART II

Writing a Project Proposalbased on

PCM /Logframe Approach

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INTRODUCTIONProject Cycle for EU funded projects

Overview

Project Cycle Management (PCM) is a term used to describe the management activities and decision-making procedures used during the life-cycle of a project {including key tasks, roles and responsibilities, key documents and decision). Project Cycle Management is the method introduced by the European Commission for the identification, formulation (appraisal), implementation and evaluation of projects, it provides a consistent approach to all components of the project cycle, ensuring beneficiary-orientation, a comprehensive perspective on projects and effective monitoring and evaluation. This approach improves the feasibility of plans and sustainability of the projects. It is now being implemented as a standard method for many bilateral donors in Europe, NGOs and among national governments in many recipient countries,PCM helps to ensure that:- projects are supportive of countries and EU policy objectives- projects are relevant to an agreed strategy and to the real problems of target groups/beneficiaries;- projects are feasible, meaning that objectives can be realistically achieved within the constraints of the operating environment and capabilities of the implementing agencies; and- benefits generated by projects are likely to be sustainable.

To support the achievement of these aims, PCM:- requires the active participation of key stakeholders and aims to promote local ownership

- uses the Logical Framework Approach (as well as other tools) to support a number of key assessments/analyses (including stakeholders, problems, objectives and strategies);- incorporates key quality assessment criteria into each stage of the project cycle- requires the production of good-quality key document(s) in each phase (with commonly understood concepts and definitions), to support well-informed decision-making

What is a project?

Definition: A project is a series of activities aimed at achieving clearly specified objectives within a defined time-period and with a defined budget

A project should always

Be consistent with, and supportive of, broader policy objectives, but

Create/develop something ‘new’, rather than simply support ongoing activities

And have

Clearly defined objectives which address clearly identified problems A clearly identified target group(s) Clearly defined management responsibilities A start and finish date A specified set of resources and budget

Relationship between projects, programmes and policies: A well-formulated project should derive from an appropriate balance between the EU’s policy priorities and the Viet Nam’s development priorities. Within the scope of these policy priorities, are formulated the broad areas of work, often called programmes. For example, a programme may; cover a whole sector (e.g. health sector programme); focus on one part of the sector (e.g. a primary health care); be a ‘package’ of projects with a common focus/theme (e.g. Cross Border Cooperation Programmes); or

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define what is essentially just a large project with a number of different components.

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PROJECT CYCLE

The cycle of operations for managing the EU’s external assistance projects has six phases, as shown in the figure below. The project cycle comprises a systematic series of steps that need to be taken to translate those ideas into tangible results, that; can be shown to have solved the problem, and to have contributed to the achievement of policy objectives and policy goats. The processes at each phase of the cycle are important in ensuring that the project is effectively managed and achieves its purpose. The six phases are:

i) Programming is the process of analysing and defining of policy priorities, sector and institutional context where the project will take place

ii) Identification is the process for identifying appropriate project ideas based on problem analysis, and justification of project's interventions

iii) Formulation is the process of assessing the socio-economic and financial feasibility and the sustainability of the selected strategy for the project

iv) Financing is the stage where financing proposal is completed and a decision is taken whether or not to fund a project

v) Implementation is the stage where the project activities are carried out and its outputs are delivered;

vi) Evaluation & Audit is the process where project results are examined against what the project was expected to deliver

Programming

2Identification

Formulation & Appraisal

Proje

ct CycleImple

mentation

Evaluatio

n&

Auditing

PROJECT

CYCLE

1

34

5

6

Financing

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THE LOGICAL FRAMEWORK APPROACH

The Logical Framework Approach (LFA) is an analytical process and set of tools used to support project planning and management. It provides a set of concepts which are used as part of an iterative process to aid structured and systematic analysis of a project or programme idea. It allows information to be analysed and organized in a structured way, so that important questions can be asked, weaknesses identified and decision makers can make informed decisions based on their improved understanding of the project rationale, its intended objectives and the means by which objectives will be achieved.

The Logical Framework Matrix is also known as the Planning Matrix. The Logical Framework matrix is a visually oriented planning tool that uses four rows and four columns. The project purpose, results activities and corresponding assumptions and 'pre-conditions' of an intervention are presented in the 1st and 4th columns. The 2nd and 3rd columns are used to specify the objectives mentioned in the 1st column with objectively verifiable indicators and means of verification.

Design of a project under the Logical Framework Approach goes through two stages, the Analysis Stage and Planning Stage. Each stage is divided is detailed steps as below;

Stakeholder analysis - identifying & characterising potential major stakeholders; assessing their capacity

Problem analysis - identifying key problems, constraints & opportunities; determining cause & effect relationships

Objective analysis - developing solutions from the identified problems; identifying means to end relationships

Strategy analysis - identifying different strategies to achieve solutions; selecting most appropriate strategy.

Logframe Matrix - defining project structure, project purpose (objective expressing satisfied beneficiaries), overall objectives, testing its internal logic, formulating measurable indicators and source of verification, identify risks, identify activities and assumptions for each result

Activity scheduling – when will the activities be carried out?

Budgeting – what resources will be needed?

LOGICAL FRAMEWORK MATRIX

ANALYSIS STAGE

Preparatory AnalysisThe analysis carried out during identification aim to carry out an overview the current situation and problems and to clearly identify the needs for the project. Usually the preliminary needs identification stage will involve analysis to set out the scope of the issues to be addressed and the reasons for intervention.There are four steps of the Analysis Stage, namely:

AN

ALY

SIS

STA

GE

Stakeholder Analysis

Problems Analysis

Objectives Analysis

Strategy Analysis

Step 1 - Stakeholders Analysis

A stakeholder is one who has a stake or an interest in the outcome of a project. Any individuals, groups of people, institutions or firms that may have a significant interest in the success or failure of the project (either as beneficiaries or contributors; including implementers, facilitators, or adversaries) are defined as "stakeholders’. Stakeholders can be Government institutions and organisations; private sector groups, individual companies; civil society groups (NGOs, CBOs); community members (farmers/traders, women/men, young/old, rich/poor). A basic premise behind stakeholder analysis is that different groups have different concerns, capacities and interests, and that these need to be explicitly understood and recognized in the process of problem identification, investment objective setting and selection.

Stakeholder analysis concerns: Identifying those who will benefit from a project and those who will not Identifying who can contribute to making the project a success and who can not Ensuring that contributions are genuinely made and possible obstruction avoided.

In the context of EU funded projects, stakeholders include project beneficiaries, project target groups, and project implementers.

The key questions asked by stakeholder analysis

Whose problems or opportunities are we analysing? Who will benefit or loose-out, and how, from the project?

The ultimate aim is to help maximize the social, economic and institutional benefits of the project interventions to target groups and ultimate beneficiaries, and minimise potential negative

impacts (including stakeholder conflicts).When? Throughout the project cycle!

The main steps involved in stakeholder analysis are: Identify the general development problem being addressed/considered; Identify all those groups who have a significant interest in the (potential) intervention; Investigate their respective roles, different interests, relative power and capacity to participate (strengths and weaknesses); Identify the extent of cooperation or conflict in the relationships between stakeholders; findings of the analysis and incorporate relevant information into project design to help ensure that (i) resources are appropriately targeted to meet objectives and the needs of priority groups, (ii) management and coordination arrangements are appropriate to promote stakeholder ownership and participation; (iii) conflicts of stakeholder interest are recognized and explicitly addressed in project design.

Terminology Definition…what it isStakeholders Individuals or institutions that may - directly o negatively - affect or be

affected by a projectBeneficiaries Are those who benefit in whatever way from the implementation of the

project. Distinction may be made between: Target group(s); the group/entity who will be directly positively

affected by the project at the Project Purpose level. This may include the staff from partner organisations; e.g staff of institutions in the health sector, education, labours, famers association, etc.

Final beneficiaries; those who benefit from the project in the long term at the level of the society or sector at large, e.g. “children” due to increased spending on health and education, "consumers” due to improved agricultural production and marketing

Project partners Those who implement the projects in-country stakeholders, and may be a ‘target group ’ )

Tools for conducting stakeholder analysis. There are a variety of fools that can be used to support stakeholder analysis. Some suggested options are, namely; stakeholder analysis matrix; SWOT analysis; spider diagrams. In using any of these tools, the quality of information obtained will be significantly influenced by the process of information collection. In this regard, the effective use of participatory planning methods and group facilitation tools can help ensure that the views and perspectives of different stakeholder groups are adequately represented and understood.

Use the following list of leading questions:- Who has taken the initiative for the project?- Who will benefit from the project?- Who is interested in the proposed project?- Who has to participate in the proposed project?- Who might fee! threatened by the project?- Who can contribute to the project?- Who works in the same field or domain?

Step 2 ~ Problems Analysis

Problem analysis and stakeholder analysis are closely related. In the case of EU funded projects, most of the steps described in the previous chapter can be carried out jointly with the problem

analysis. Based on experience, they are best dealt with by a working group in the form of a short workshop.

Problem analysis identifies the negative aspects of an existing situation and establishes the 'cause and effect’ relationships between the identified problems. It identifies the real existing problems as perceived by all stakeholders; profile of the main problems constraints & opportunities, including building the cause & effect relationships;

Definition of a problem: A problem is a negative existing situation; it is current, real andimportant.

It involves three main actions:

1. Definition of the framework and subject of analysis;a. This aims to openly brainstorm problems which stakeholders consider to be a

priority.b. This action can specify a ‘known’ high order problem or objective (e.g. improved

river water quality) based on preliminary analysis of existing information and initial stakeholder consultations.

2. Identification of the major problems faced by target groups and beneficiaries;a. From the problems identified through the brainstorming exercise, select an

individual starter problem and look for related problems to the starter problemb. The guiding question being What is/are the problem/s? Whose problems?

3. Visualization of the problems in form of a “problem tree" or “hierarchy of problems" to help analyze and clarify cause-effect relationships

a. Begin to establish a hierarchy of cause and effects. Problems which are directly causing the starter problem are put below. Problems which are direct effects of the starter problem are put above.

b. The guiding question being ‘What causes that?’

In many respects the problem analysis is the most critical stage of a project, as it then guides all subsequent analysis and decision-making on potential interventions.

Start analysing the problem by inviting the core project partners to a workshop. Make certain that everyone knows what is to be discussed. If you have provided them with information material before the workshop, ensure they have studied it. Then ask them to express in short, clear statements why the prevailing situation represents a problem for them and their home institution. Explain that the following rules will apply:- Remarks such as ‘lack of funding’ or ‘lack of trained staff are not proper problem statements as they refer to the absence of a solution to a specific problem and not to the problem itself.- They should be replaced by problem statements like ‘operational costs cannot be covered’, or 'staff of target institution has inappropriate skills’.- ‘Poor management’ is too general to be a helpful problem statement; it must be broken down further to understand the problem.

On average, some 15 to 20 problem statements are needed to describe a situation well. It should be possible to divide some of them into several smaller sub-problems. Stated differently, problems may be part of other, more complex issues, and many problems can be divided into two to four sub-problems.

When the problem statements are ready, it will be possible to arrange them into a Structure.Subsequently, the next level of problems should be defined, and each statement should be put

directly under the relevant higher-level problem, until all problems have been arranged. The emerging structure is often called a problem tree. An ideal problem tree will have three to five different levels.

How to Establish a “Problem Tree”Analyzing the problems and creating a problem tree should ideally be undertaken as a participatory group event. It requires the use of individual pieces of paper or cards on which to write individual problem statements, which can then be sorted into cause and effect relationships

Step 1: This step aims to openly brainstorm problems which stakeholders consider to be a priority. This first step can either be completely open (no pre-conceived notions as to what stakeholder’s priority concerns/problems might be), or more directed, through specifying a 'known’ high order problem or objective (e.g. improved river water quality) based on preliminary analysis of existing information and initial stakeholder consultations.

Step 2: From the problems identified select an individual starter problem

Step 3: Look for related problems to the starter problem

Step 4: Begin to establish a hierarchy of cause and effects:- Problems which are directly causing the starter problem are put below- Problems which are direct effects of the starter problem are put above

Step 5: All other problems are then sorted in the same way - the guiding question being What causes that?' If there are two or more causes combining to produce an effect, place them at the same level in the diagram.

Step 6: Connect the problems with cause-effect arrows “-clearly showing key links

Step 7: Review the diagram and verify its validity and completeness. Ask yourself/the group - ‘are there important problems that have not been mentioned yet?1 If so, specify the problems and include them at an appropriate place in the diagram.

Step 8: Copy the diagram onto a sheet of paper to keep as a record, and distribute (as appropriate) for further comment/information

Example of a “problems tree”

Step 3 - Objectives Analysis

An effective project analysis will not only define problems, but also suggest practical solutions. If the problems justifying a project intervention can be organised into a hierarchical structure, the objectives of the project should also be presented as such. Taking one step after the other, discussing possible solutions to one sub-problem after the other will contribute to defining the solution of the overall problem. Many EU grant schemes for small projects that might help solve a more complex regional or sectoral programme are based on this logic. During an analysis of objectives, potential solutions for a given situation can be identified.

Helpfully, the problem tree can be converted, almost automatically, into an objectives tree that will clearly show what one should aim for and how to do so. This involves reformulating the negative aspects (problems) into positive ones (the envisaged outcome).

During the objectives analysis stage the ‘negative situations' of the problems are converted into solutions, expressed as ‘positive achievements'. For example, 'river water quality is deteriorating’ is converted into ‘quality of river water is improved’. These positive achievements are in fact objectives, and are presented in a diagram of objectives showing a means/ends hierarchy. This diagram aims to provide a clear overview of the desired future situation.

EFFECTS

CAUSES

High level of waste dumped into the river

Most households

and factories discharge

wastewater directly in the

river

River water quality is

deteriorating

Population are not

aware of danger of

waste dumping

Polluters are not

controlled

Poor situation

of wastewate

r infrastruct

ure and limited

access to part of

population

Pollution has been a

low priority

Population is suffering from

epidemic diseases

Higher economic costs due to river

pollution

Definition of an objective: An objective is a future improved situation; it mustbe realistic and expressed as a positive statement and achieved

How to Establish an “Objectives Tree”

The objective tree should provide a simplified but robust summary of reality. It Is simply a tool to aid analysis and provides a summary picture of the desired future situation,

including the indicative means by which ends can be achieved

Step 1: Reformulate all negative situations of the problems analysis into positive situations that are:- desirable- realistically achievable

Step 2: Check the means-ends relationships to ensure validity and completeness of the hierarchy (cause-effect relationships are turned into means-ends linkages)

Step 3: If necessary:- revise the formulations

- add new objectives if these seem to be relevant and necessary to achieve the objective at the next higher level- delete objectives which do not seem realistic or necessary

Reading the tree from top to bottom, wider, more complex objectives can be broken down into statements of project purposes and immediate results that are to be achieved by specific activities. Read in the opposite direction, it becomes visible what must be accomplished to reach the overall goal. In the objective tree, 'cause-effect relationships’ between the key problems (what cause leads to which problem?) are turned into 'means-end relationships’ between objectives (what needs to be done to achieve what?).

Once again the analysis of objectives should be undertaken through appropriate consultation with key stakeholder groups. This should help in terms of considering priorities, assessing how realistic the achievement of some objectives might be and identifying additional means that might be required to achieve desired ends. The main strength of the objective tree is that it keeps the analysis of potential project objectives firmly based on addressing a range of clearly identified priority problems.

Example of an “objective tree”

Step 4 - Analysis of Strategies

The final stage of the analysis phase involves the identification of possible solutions that could form a project strategy and the selection of one or more strategies to be followed by the project. During the process of stakeholder analysis, problem analysis and the identification of potential project objectives, views on the potential merits or difficulties associated with addressing problems in different ways will have been discussed. In our context, strategy simply refers to a well-reasoned plan of action designed to achieve the objectives agreed upon for a project. Thus strategy analysis refers to choosing between the different options for action to achieve our goals.

These issues and alternative solutions (options) then need to be fully assessed to help determine the likely scope of the project before more detailed design work is undertaken. This analytical stage is in some respects the most difficult and challenging, as it involves significant amount of information then making a complex judgment about the best implementation strategy (or strategies) to pursue. In practice a number of compromises often have to be made to balance different stakeholder interests, political demands and practical constraints such as the likely resource availability.

Definition of a solution: A solution is one alternative among other to achieve an objective

The key questions that need to be asked and answered during the analysis ofstrategy might include:

Should all the identified problems and/or objectives be tackled, or a selected few? What is the combination of interventions that are most likely to bring about the desired

results and promote sustainability of benefits? What is the likely capital and recurrent costs implications of different possible interventions

and what can realistically be afforded? What is the most cost effective option(s)? Which strategy will impact most positively on addressing the problems of the poor and other

identified vulnerable groups? How local ownership of the project is best supported, including development of the capacity

of local institutions? How can potential negative environmental impacts (if any) best be mitigated or avoided?

Key criteria for selection of intervention (or not) could include:- Expected contribution to key policy objectives, such as economic development or social integration, etc- Benefits to specific target groups - e.g. women and men, young and old, disabled and able etc.- Complementarity with other ongoing or planned projects- Capital and operating cost implications and especially Viet Nam budget ability to meet recurrent costs or needed co-financing Potential financial and economic cost-benefit- Contribution to institutional capacity building- Technical feasibility- Environmental impact

Using these criteria will help to determine what solution/option(s) should/can be included within the scope of the intervention, and what should/cannot be included.

Alternative Solution (Options) Analysis

Options should be created to understand the range of actions that could be taken to achieve the objective. Initially a wide range of options should be ; created and analysed. A shortlist of options may then be created to keep the process manageable. Options should then be appraised, so that an optimal solution can be developed. This is usually the most substantial part of the analysis. Cost benefit analysis is recommended, by which costs and benefits are valued in monetary terms. In investments project these estimates can then be adjusted by discounting the values of costs and benefits of each option to compare costs and benefits that occur in different time periods. The best option should then be selected and refined into an implementable, affordable solution, taking into account non-monetised factors.

The selected strategy will then be used to help formulate the first column of the Logical Frame work, particularly in helping to identify the project Overall Objective, Purpose and potential Results

Logical Framework Matrix

Planning Stage

5.1. Logical Framework Matrix

The Logical Framework Matrix is a summary table of the designed project. It contains the elements identified during the analysis phase to which are added certain aspects such as assumptions and indicators. It is the end product of the formulation stage and will be used to seek funding, for implementation and verification, it forms a common and consistent link between:

The LFM is made of 4 columns and 4 rows (see table hereafter). The 1st column is the 'project description”. It describes the overall objectives (in row

1), project purpose (in row 2) and results (in row 3), as well as the main activities (row 4) project managers envisage to implement to attain set objectives.

The 2nd column contains indicators to measure the project description objectives. The 3rd column indicates sources where information will be collected to measure

indicators. The 4th column contains assumptions.

Means and costs (main budget lines) related to activities are written in the 2nd and 3rd column respectively, at the activity row level. Pre-conditions to be met prior to the start of the project are noted in the 4th column below the activity row.

Objectives aimed at

Necessary means

Objectives aimed at

Means-related costs

Results obtainedActivities implemented

Results obtained

Problems to be solved

Activities implemented

Necessary means

The Logframe Matrix

Project Description Indicators Source of Verification Assumptions

Overall objectives: The broader development impact to which the project contributes - at a national or sectoral level (provides the link to the policy and/or sector programme context)

Measures the extent to which a contribution to the overall objective has been made. Used during evaluation. However, it is often not appropriate for the project itself to try and collect this information.

Sources of information and methods used to collect and report it {including who and when/how frequently).

Purpose:The development outcome at the end of the project ~ more specifically the expected benefits to the target group(s)

Helps answer the question ‘How will we know if the purpose has been achieved’?Should include appropriate details of quantity, quality and time.

Sources of information and methods used to collect and report it (including who and when/how frequently).

Assumptions (factors outside project management’s control) that may impact on the purpose-objective linkage

Results:The direct/tangible results (good and services) that the project delivers, and which are largely under project management’s control

Helps answer the question ‘How will we know if the results have been delivered’?Should include appropriate details of quantity, quality and time.

Sources of information and methods used to collect and report it (including who and when/how frequently)

Assumptions (factors outside project management’s control) that may impact on the result-purpose linkage

Activities:The tasks that need to be carried out to deliver the planned results (optional within the matrix itself)

(sometimes a summary of resources/means is provided in this box)

(sometimes a summary of costs/budget is provided in this box)

Assumptions (factors outside project management’s control) that may impact on the activity-result linkage

Pre-conditions

Project Description

Verifiable indicators

Sources of verification

Assumptions

Overall objectiveProject purposeResults

Activities means

costs

5.2. Sequence of Completion of the LFM

As each part of the matrix is formulated, the logic of other parts should be tested and refined/revised, as required. It is an 'iterative' process. There are 10 steps to fill the Logical Framework Matrix (LFM) of the Planning Stage, namely, defining:

PLA

NN

ING

STA

GE

Project PurposeOverall ObjectivesResultsActivitiesAssumptionsPre-conditionsSustainability Factors IndicatorsSources of VerificationMeans and Costs

Note: The LFM is mathematical in that the project purpose is to be achieved by making the sum of results (project description and assumptions). This holds true for each Sevel of the project description, if activities are delivered and assumptions hold true, then results will be attained. This is the vertical logic.

The Vertical Logic Assumptions and objective hierarchy

IF adequate inputs/resources are provided, THEN activities can be undertaken;IF the activities are undertaken, THEN results can be produced;IF results are produced, THEN the purpose will be achieved; and IF the purpose is achieved, THEN this should contribute towards the overall objective

If reversed, we can say that:

IF we wish to contribute to the overall objective, THEN we must achieve the purpose IF we wish to achieve the purpose, THEN we must deliver the specified results IF we wish to deliver the results, THEN the specified activities must be implemented; and IF we wish to implement the specified activities. THEN we must apply identified inputs/resources /

Also, each result has to be attained by the sum of its related activities.

There is a horizontal logic which is the link between the project description, the indicator and source of verification.

Pre-conditions

Project Description

Verifiable indicators

Sources of verification

Assumptions

Activities

Results

Project purpose

Overall objectives

The Horizontal Logic

Project Description Column

The project description column is made of 4 levels, overall objectives, project purpose, results and activities.

Project Description

Verifiable indicators

Sources of verification

Assumptions

Activities

Results

Project purpose

Overall objectives

Relate to the wider sectoral or national objective, to which the project will contribute;The sustainable flow of benefits to the project’s target groups(s);The goods and services delivered by the project;What the project does to produce the results (work program/tasks).

Overall objective

Project purpose

Results

Activities

How to Complete a “LFM”?

Completing the LFM should ideally be undertaken during a participatory group event

Logframe Matrix - General Sequence of Completion

Step 1: Determine the Overall Objectives

Usually at least one of these objectives are in the objectives tree. The question to be answered here is if the project purpose is achieved, what broader partial contributions will it make for final beneficiaries and society? Overall objectives are mainly development statements such as health improved, economic integration, etc.

Step 2: Formulate the Project Purpose

The single project purpose is extracted from the objectives tree. The question to be answered here is what benefits will beneficiaries receive if they use the project results assuming assumptions are realized? Thus assuming the project is successful, what will make beneficiaries happy? A well formulated project purpose clearly states what the project is about: The agriculture profits of 10 000 family farmers increase by 15% within 6 years in region X thanks to agriculture diversification into cashew nuts. As can be read there are various aspects to the project purpose including beneficiary group, size of the group, benefit, level of the benefit, time and geographical area.

Step 3: Formulate Results

The question to be answered is what are the services put at the disposal of beneficiaries by the project? In the objectives tree they are physically below the project purpose. Those under the control of the project managers will be in the project description. If not, they will become assumptions. Results usually should have an element of quality like appropriate legislation in place, farmers willing to diversify.Step 4: Determine Activities

The question to be answered is what will the project do to achieve results? These activities wiil have been selected during the analysis of strategies and options. Activities could be organize

4321

12 1310 118 9

Pre-conditions567

Project Description

Verifiable indicators

Sources of verification

Assumptions

Overall objectiveProject purposeResults

Activities means

costs

training, create steering committee, repair infrastructure. They are indicative since they will be subject to ongoing review during implementation and changed if required to keep them relevant.

Objectives hierarchy Example of how to write statements

Overall objectives: To contribute to improved family health, particularly of under 5s, and the general health of the riverine eco-system

Purpose: 1. Improved river water quality

Results: 1.1. Reduced volume of waste-water directly discharged into the river system by households and factories

1.2. Waste-water treatment standards established andeffectively enforced

Activities: 1.1.1. Conduct baseline survey of households and businesses

1.1.2. Complete engineering specifications for expanded sewerage network

1.1.3. Prepare tender documents, tender and select contractor

1.1.4. Identify appropriate incentives for factories to use clean technologies. Prepare and deliver public information and awareness program

1.1.5. Etc

Step 5: identify Assumptions, Risks

Assumptions may relate to such concerns as: The actions of other stakeholders not directly involved in project management The response of target groups to the project’s services Effective donor coordination and timely fund disbursement Price movements for project inputs or outputs Changes in relevant government policies

Assumptions are external factors that have the potential to influence (or even determine) the success of a project, but lie outside the direct control of project managers. They are the answers to the questions what external factors may impact on project implementation and the long-term sustainability of benefits, but are outside project management’s control? What can go wrong? Since assumptions are risks expressed as a positive statement, their realization must be sufficiently probable. If this is not the case, then activities have to be added as mitigation strategies. Their probability of realization will be tested during formulation and monitored during implementation.

Testing Assumptions

If an assumption is not probable and that the project cannot be redesigned, then the project is not feasible.

Step 6: Define Pre-conditions

Pre-conditions are one or more factors that have to be realized before the project can be implemented. If a pre-condition is not fulfilled either the project has to be redesigned or the project must be abandoned.

Usually pre-conditions relate to: The availability of a budget line to cover operational cost after the end of the project Adoption of a new law or regulation required for the project success Important studies to verify the reality on the ground such as if there is sufficient

water.

Step 7: Check Sustainability Factors

Experience has shown that you must integrate at the formulation stage sustainability factors to ensure that benefits to beneficiaries are maintained, and preferably increased, after the end of the donor financial support to the project. The following main factors need to be taken into account to improve and complete the LFM.

Ownership of the project by all main stakeholders at all stages of the project cycle should be secured. This means including them, and particularly final beneficiaries, from the stage of identification and formulation to design the project and during implementation in the steering committee.

Appropriate technology refers to the (potential) ability of users to utilize the equipment as well as the local availability of technicians for repair and maintenance and of spare parts, at affordable costs.

Respect of the environmental entails minimizing the negative impact of the projects. Cultural and social considerations have been assessed and taken into account. Integration of Gender in ail aspects of the project by ensuring men and women have equal

access and control over resources and benefits. A gendered budget should be considered. Institutional and management capacities of local staff to perform activities to maintain

Is the assumption

important?Yes

No

Will it hold true?Almost certainly

PossiblyVery unlikely

Do not include in the logframe

Include as an assumption

Is it possible to redesign the project in order to influence the external factor?

YesNo

The project is not feasible

Redesign the project by adding activities or results; reformulate the

project purpose if necessary

the flow of benefits. Economic and financial sustainability how will future operational costs and investment

be funded. Political support necessary is available.

The project managers should endeavour so that all these factors hold true as early on as feasible during implementation.

Step 8: Design Indicators

Whichever objective you have selected, each one of them has to be matched with (at least) one indicator. Do not define too many indicators. Indeed, you need only those that you actually want and can monitor during implementation. Therefore, chose the most telling, but also an easily verifiable, indicator for each objective. One good indicator per objective is ideal. The meaning of an Objectively Verifiable indicator is that the information collected should be the same if collected by different people (i.e it is not open to the subjective opinion/bias of one person).

They are formulated in response to the question “How would we know whether or not what has been planned is actually happening or happened? How do we verify success?” Indicators should be SMART: specifically, measurable, available, relevant and timely (see table hereafter).

Specific: including (where appropriate) clear targets; Measurable: in terms of quality and/or quantity; Available: at an acceptable cost; Relevant, to what they are supposed to measure Timely: produced in due time to be useful for project management.

It is often necessary to establish more than one target for each statement. For example one target may provide good quantitative information, which needs to be complemented by another target focused on qualitative matters. At the same time, the trap of including too many targets should be avoided. The guiding principle should be to collect the minimum amount of information required to help project managers and evaluators determine whether objectives are being/have been achieved.

Project Description Indicators Source of Verification

Overall objectives:Living conditions of local people improved

income from fish catch increases 30% by 2006 Tourism revenue up by 30% by 2006

Socio-economic survey Report of Ministry of Economic Affairs

Purpose:River water quality improved

Fish consumption related disease rate down 80% by 2006Fish catch up 80% until 2006 (with stable stock)

Regional hospital andmedical statisticsReports of River Authority andCooperatives

Results:Direct discharge of Wastewater by house-olds and factories decreased

70% factory wastewater & 80% household wastewater treated by 2008

Survey report of Municipalities

Step 9: Identify Sources of Verification

The logical framework requires that one spells out how the indicators will be collected:- Which methods- By whom?- When/how often?

Activities, resources and costs required to collect this information must be included in the project design. When selecting indicators you should be aware that certain indicators are more costly to measure than others.

Cost

Com

plexityAdm

ini strativereports M

anage ment

reports

Availab lestatistic s

Adapted availa blestatistic s

Intervie ws w

ithbenefic iaries

Special isedsurveys

Step 10: Estimate Means and Costs

Identify the human and physical means required to carry out the activities and related costs.

SCHEDULING ACTIVITIES AND RESOURCES

A Logframe matrix provides a summary of the key information on a project. “Key information” means, that in genera! only the most important aspects are being included, without elaborating the operational details needed for further planning and implementation. Activity and resource schedules are a means to provide the operational detail needed. The activities schedule specifies a project’s activities in operational detail a resource schedule can be drawn up to elaborate on the cost of the means required.

An activity schedule:- lays open dependencies between activities;- clarifies the sequence, duration and precedence of activities;- identifies key milestones to be achieved;- serves as a basis for project monitoring;

Assign management responsibility and implementing responsibilities.Starting from the logframe matrix established the activities specified in the first column/ last row are transferred into the first column of the activity schedule format, then:

Break the activities down into sub-activities and manageable tasks.The activities shouldn’t be specified in too much detail, but they should be detailed enough to provide the basis to estimate time and resources needed to carry out the activities, and they should be detailed enough that the person finally assigned to carry out the activities has sufficient instructions on what has to be done.

Clarify sequence and dependency of the activities.After having specified the activities in operational detail, they must be related to each other to see in which order they have to be undertaken (sequence) and which activity depends on the start up or completion of another activity (dependencies). Important: you need to pay special attention on the sub-contracting in your proposal, if you have any, as this task requires use of specific documents and procedures that will like be those of the PRAG. This implies that for example if you will be subcontracting services amounting to 60,000 euro (or buying goods), you would need to account for possibly six months process! This can have great effect on timetable of implementation, and if not accounted for than even failure.

Specify start, duration and completion of activities.Specifying the timing of project activities means to make estimates on the duration of tasks, building those estimates into the activity schedule - indicating likely start and completion dates. To make sure that the estimates are realistic people having the necessary technical knowledge or experience should be consulted. Often the time needed to carry out activities is underestimated due to a number of reasons which can be the omission of crucial activities of tasks, failure to allow sufficiently for interdependence of activities, a failure to allow for resource competition (i.e. scheduling the same person or piece of equipment to do two or more things at once) and a desire to impress with the promise of rapid results.

Define milestones.

Milestones define targets to be achieved by the activities and provide the basis for monitoring. A simple milestone is the completion of a task to a planned date. In an activity schedule the activities, sub-activities and tasks are listed in a consecutive way, therefore accomplishing a certain task in time can be seen as a milestone on the way to achieving outputs.

Assign tasks and responsibilities.Allocating tasks also means allocating responsibilities for achieving milestones. It is a means of defining the accountability of the members of a project team. Before allocating tasks, the expertise required to carry out the respective tasks has to be specified. By doing so it can be checked whether all necessary human resources are available and the schedule is feasible. Activity schedules lay the ground for further planning (resource schedules) and later on for project management. They provide an initial benchmark including estimates that might have to be revised in the light of changing circumstances or actual implementation performance.

Year 1

Semester 1 Semester 2

Activity Month 1 2 3 4 5 6 7 8 9 10

11 12 Implementing body

Example example Example

Preparation Activity 1 (title)

Local partner 1

Execution Activity 1 (title)

Local partner 1

Preparation Activity 2 (title)

Local partner 2

Etc.

When the activities have been scheduled, it is possible to allocate resources to the activities, which could produce a table like the one below. This can be a very useful tool for designing the project. Firstly, it will bring out constraining factors, such as overbooking of expert staff, which will lead to adjustments of the activity schedule. Secondly, because it will help in specifying who is responsible for what.

FINANCIAL PROPOSAL

The Financial Proposal is composed of three main sections: (a) Budget, (b) Justification of the Budget and (c) Source of Funding.

A budget breakdown template is provided together with the Application Form. The budget for the action has to be presented in Euros and must respect the template provided (Excel Format).

The budget must show the total eligible costs of the project, i.e. the sum of the requested Contracting Authority contribution plus the own contribution!

PART III

Application form

The Application Form

You can apply for EU grant support in a certain format. In order to check the format of the application form, turn to the layout instructions presented in the application package. The application form currently used for EU grants is divided into two parts:

The Concept Note The full Application Form

NOTE: In the case of restricted Call for Proposals, in the first instance, only Concept Notes must be submitted for evaluation. Thereafter, applicants whose Concept Notes have been pre-selected will be invited to submit a Full Application Form.

The Concept Note is essentially a short summary of the project. It is used for a first screening of the applications received. Only projects whose Concept Note pass the first test will be evaluated in full - which is to say that a number of projects will be eliminated without the evaluators even looking at the full application. This has two important consequences for how you present your project:

The Concept Note and the full Application Form are stand-alone documents. Both must be comprehensible without the other.

The Concept Note must be of a very high quality. It must contain all elements that make your project worthy of support. The quality of the Concept Note will in large part decide the fate of your application.

You may ask yourself which of the two parts of the Application Form should be completed first. Usually, it is a good idea to write summaries after you have completed the document that is to be summarised. Once every detail is on paper, you can better select the salient parts, In the following, we will present the application package in the order its elements are printed - first the Concept Note, then the full Application Form. But, this is not necessarily the order in which you may want to complete them. In any case, you should only address the Application Form when your LogFrame is ready.

The Concept Note

The Concept Note must not exceed 5 full pages (A4 size) of Arial 10 characters with 2 cm margins.Thus, space is limited and demands that your ideas be perfectly clear and concise. Those who have followed the logical framework approach systematically and so have a good LogFrame in their hands, are at a clear advantage.

The Concept Note must be divided into the following two parts, strictly in the order below:A. Relevance of the actionB. Description of the action

A. Relevance

Here, you must try to convince the evaluators that your project is in line with the intentions of the call. The more exact the match, the better. Essentially, there are two factors which can prove the relevance of your proposals:

The wider and immediate objectives of your project should be the same, or at least contribute significantly, to those stated in the call

Your project should have a significant positive effect on the target area or target group at which the call for proposals is aimed.

All of this must be carefully substantiated. Copying the relevant parts of the call of the Logframe into your Concept Note is not sufficient.

The hierarchy of your objectives must be based on a competent investigation of the situation of the target group. For this, you can use the findings from the stakeholder and problem analyses you performed. They will help you demonstrate a clear understanding of the problems affecting the target group, and of what needs to be changed. Ultimately, relevance is measured by the indicators in your LogFrame. Do not forget to refer to them.

Relevance to the objectives/sectors/themes/specific priorities of the call for proposals

The following information should be provided:- Describe the relevance of the action to the objective(s) and priority (ies) of the call for proposals.- Describe the relevance of the action to any specific subthemes/sectors/areas and any other specific requirements indicated in the guidelines of the call such as partnership, local ownership, etc.- Describe which particular expected results mentioned in the guidelines of the call will be addressed.- Relevance to the particular needs and constraints of the target country/countries, region(s) and/or relevant sectors (including synergy with other EU initiatives and avoidance of duplication)

The following information should be provided:

- Identify clearly the specific pre-project situation in the target country/countries, region(s) and/or sectors (include quantified data analysis where possible).- Provide a detailed analysis of the problems to be addressed by the action and how they are interrelated at all levels.- In addressing the point above, refer to any significant plans undertaken at national, regional and/or local level relevant for the action and describe how the action will relate to such plans.- Where the action is the continuation of a previous action clearly indicate how the proposed action is intended to build on the activities/ results of this previous action; refer to main conclusions and recommendations of evaluations that might have been carried out.Where the action is part of a larger programme, clearly explain how it fits or is coordinated with this programme or any other planned project. Specify the potential synergies with other initiatives, in particular from the European Commission.

Describe and define the target groups and final beneficiaries, their needs and constraints and how the action will address these needs

o Include a description of each of the target groups and final beneficiaries (quantified where possible), including selection criteria.

o Identify the needs and constraints of each of the target groups and final beneficiaries.

o Demonstrate the relevance of the proposal to the needs and constraints of the target groups and final beneficiaries.

o Explain any participatory process ensuring participation of target groups and final beneficiaries.

Particular added-value elements Indicate any specific added value elements, in particular promotion or consolidation of

public/private partnerships, innovation and best practices, or other cross-cutting issues such as environmental issues, promotion of gender equality and equal opportunities, needs of disabled people, rights of minorities and rights of indigenous peoples.

B. Description of the Action

The following information should be provided:

Background to the preparation of the action.- Describe the objectives of the action.- Describe the key stakeholder groups, their attitudes towards the action and any consultation undertaken with them.- Provide brief information on the type of activities foreseen and specify related outputs and results, including a description of linkages/relationships between activity clusters.- Indicate the broad timeframe for the action and describe any specific factor that has been taken into account.

Evaluators will expect to see a thorough assessment of the project environment, and they will doubt the project’s credibility and sustainability if such analysis is missing. There are external factors in all projects. Not mentioning them - perhaps in an attempt to hide risks - is not a good idea.

Finally, here are some general suggestions on how a good Concept Note can be written: Under each part, provide exactly the information that is being requested Do not refer to the full Application Form, as the Concept Note is examined separately Make your most important points at the beginning of each sections Avoid redundancy; do not duplicate information in your document Do not exaggerate, dramatize, or be unnecessarily abstract. Rely on concrete examples

and seek to persuade your readers with facts 8 Avoid using too many technical expressions or abbreviations. Where this is unavoidable, explain them in understandable terms 8 Avoid long sentences and embrace logically sequenced paragraphs. Make it easy to read.

Perhaps the best advice one can give is to always bear in mind the “target audience” of your Concept Note: the evaluators. Provide them with the information they need to do their job. To transform a classic proverb: do not submit documents to them that you would not like to have submitted to yourself.

The Full Application Form

The full Application Form requires you to provide a diverse mix of administrative data and substantial information about your project. For ease of reference, we will discuss it in the order in which the questions are posed. However, before you start filling in the application form, read it through from start to finish so that you understand in advance its structure. It is a long and complicated document whose different questions and annexes are strongly interrelated. As you answer individual questions you should always be considering them in the context of the entire application form and the associated annexes. This is all the more important since, as you will notice, there are questions that the application form poses more than once. For example, you are asked to write a short summary of your proposal, and then further on you are requested to provide a full description.

Frequent repetition leads to redundancy, and so is not a good idea. Repetition will make your proposal dull to read and suggest general disorganisation. You should treat the application as an integrated text and have a strategy for saying what you need to at precisely the right moment. Avoid repeating yourself by using cross references - if handled carefully (i.e. exact, concise, appropriately placed), they will be mutually reinforcing rather than a hindrance to your reader.

Again, the LogFrame Matrix will be of great help. To some questions you can - and indeed should -

simply copy what you have written in the corresponding box of the LogFrame Matrix. Do not be afraid to do this. You will not only save yourself a lot of work, but also increase the quality of your application. Consistency is very important and will greatly influence the opinion of your evaluators.

Another piece of advice is to use a deductive, rather than inductive, presentation. This means that, especially with longer texts, you should state the core of your answer right at the beginning, and then describe the arguments that led you to that proposal or conclusion. Doing it the other way - giving a long and detailed explanation and drawing your conclusion at the end - will make your proposal less easy to read.

Where the Application Form requires administrative information, take care to be exact. Always double check the accuracy of your data, as well as the checklist of official documents required. Where you have to write a text, the most important recommendations are the same as those for the Concept Note:

Provide only the information requested - no more, no less e Be clear, structured, and concise

Use simple language. Avoid too many technical expressions, or abbreviations Make your important points at the beginning of each section. You can also do this in the

form of a bullet list.

In some places, there will be a limit on how much you can write; regard this as an upper limit. It is not at all a problem if you write less. Content is important, length is not. Your evaluators are seeking the maximum of information with the minimum of prose.

The full Application should include:

1. Description of the Action

Description (max 14 pages) Methodology (max 4 pages) Duration and indicative action plan for implementing the action (max 4 pages) Sustainability of the action (max 3 pages) Logical Framework

2. Applicant’s experience of similar actions3. Budget of the action, amount requested from the Contracting Authority and other

expected sources of funding

Fill in Annex B to the Guidelines for applicants to provide information on: the budget of the action (worksheet 1), for the total duration of the action and for its first 12

months; justification on the budget (worksheet 2), for the total duration of the action and, amount requested from the Contracting Authority and other expected sources of funding for

the action for the total duration (worksheet 3).

At each question, check whether the application package contains requirements that you absolutely must fulfill to avoid disqualification. Typical examples of such ‘killer conditions’ relate to the eligibility of the applicant, financial data, the geographical location, or the duration of the project.

While preparing the full application special attention should be at describing the effectiveness and sustainability of the actions.

Effectiveness

The effect your project is supposed to have will only be credible to the evaluation committee if the hierarchy of your objectives is consistent and there is a clear link between your planned activities and the results to be achieved. Having followed the logical framework approach to perform a problem analysis, and having based your project logic on reversing a consistent problem tree, this should not be too difficult. Essentially, you have to describe what you are going to do in a clear and understandable manner. Go through your list of activities (as given in the bottom left corner of your LogFrame) in a rational - though not necessarily chronological order. Also state the outputs you are going to produce, along with their relevant indicators. In short: show that you know what you want, and that you have performed all necessary analyses to ensure its success.

Sustainability

In simple terms, sustainability means that the positive results of your project persist even after the project is finished and financial assistance has stopped. This requirement can be approached from multiple angles:

Financial sustainability means that the project’s results can be maintained without further assistance from the donor. If buildings or structures are built, you will have to prove that the costs of their proper operation and upkeep can be covered. If a new institution or service has been created, it means guaranteeing its future functioning. You may be able to count on revenues generated as a result of your project itself (such as charges paid by its users), or external funding (such as additional private investment generated). However you make your argument, you should explain what the revenue sources will be, how you have calculated them, and why they can be expected to be available.

Institutional sustainability means that the organisational structures and human resources needed to achieve a lasting effect will also remain in place. For this, you must be able to show who the “owners” of the project are, and thus who will assume the responsibility for its continued operation. Usually they will come from among the project’s target group, or the beneficiaries. Explain who they are, and what guarantees their continued engagement.

Policy sustainability will be relevant for projects that aim to achieve a lasting improvement of public policies, i.e. the activities of the state, or municipality, concerned. For such projects, you should explain how your activities fit into the prevailing policy and regulatory frameworks, and to what extent they are supported by the administration.

Environmental sustainability is a general requirement of all EU projects. Projects must not lead to a deterioration of the environment. Beyond that, each project is expected to exploit opportunities to improve environmental conditions, or at least be implemented in the most environmentally sound way possible. When designing your activities you should always consider environmental factors, and then emphasise this consideration in your proposals.

How much emphasis must be placed on the requirement of sustainability? This depends on the nature of the project at hand, in any case, the evaluators need to be convinced that the positive results and effects of your project will not cease to exist once the grant is exhausted.

The question of the sustainability of a project can also be approached from another perspective. During the LogFrame analysis, you have had to consider which external factors might have an impact on the project. These were noted in the 'assumptions and risks' column of the LogFrame Matrix. If assumptions do not hold and if risks materialise, this will affect the sustainability of the results of your project.

Last but not least, remember that quality control is all-important. Small formal mistakes can disqualify your application and render all your efforts useless. As already suggested, prepare a checklist with all the requirements of the application package and refer to this when you have finalised your application. As said before, this checklist needs to be more detailed than the

one indicated in the relevant section of the Application Form.