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Table of Content
Operational
Guidelines
PTF
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List of Acronyms
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PTF
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Partnering with the PTF: Guidelines for the Civil Society
Organizations
I. Introduction
1.02 This is an evolving document. As PTF gains more experience that indicates the
need for changes in its approach, requirements and procedures, these Guidelines will be
revised.
1.03 These Guidelines cover the entire project cycle of PTF grants. After introductory
remarks in Section I, this document explains in detail project eligibility and selection
criteria (in Section II) so that time is not wasted on preparing full proposals for projects
that prima facie would not qualify for a PTF grant. Sections III-V provide guidance on
how to apply for a PTF grant and how to prepare a Project proposal; Section VI provides
Project Implementation Guidelines; and Section VII explains procedures for the Project
Completion Assessment.
1.04 PTF funding sources are of two types: (a) General Funding used at the discretion
of PTF (e.g., World Bank funding); and (b) Special Funding that entails special
institutional arrangements and regional targets (e.g., FONTRA, CAC South Asia, JSDF).
While most of the policies and requirements stated in these Guidelines are equally
applicable to all projects irrespective of the source of funding, however, some of the
procedures might differ for projects under Special Funding for which the relevant
procedures are laid out separately for each source of funding. After a CSO’ Concept
Note/Proposal is accepted for detailed evaluation, PTF advises it of the relevant
procedures to be followed.
1.05 Finally, it should be noted by grant applicants that mere compliance with the
requirements stated in these Guidelines, does not automatically qualify them for a grant.
Decisions on each grant will rest with the assessment of PTF. No attempt is made – nor is
it possible – to define the assessment aspects, which can vary from case to case.
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2.02 PTF funding is meant to support well-defined actions aimed at preventing or
reducing corruption. Usually this involves interaction with a public authority and is
focused on a specific public activity. There will often be a focus on increased
transparency as a major tool for reducing corruption.
2.03 The amount of PTF funding varies by project. Most projects fall within a range
between $10,000 and $25,000 and do not exceed $35,000. In addition, it is expected that
the applicant will provide some counterpart contribution, even if modest (10-15% of
project cost) to demonstrate commitment to the proposed project.
(For information on specific projects financed by PTF in the past, click the tab
'Completed Projects' in the navigation menu of the PTF website).
2.05 Typically, a project proposal would focus on a particular issue of corruption and
include an analysis of the problem, as well as an approach to reforming existing
administrative systems and processes to lessen the risk of corruption in the future. The
outcome sought should be a measurable or at least an identifiable reduction in corruption,
often associated with increased transparency and accountability.
2.07 PTF does not support projects that do not focus on corruption, or projects that
only involve awareness building, training or research. PTF wishes to see the applicant
CSO directly engage in actions that have a credible chance of actually reducing
corruption - not just talking about it or measuring it. However, an exception can be made
for projects that demonstrate that awareness building, training and research would lead to
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a measureable reduction in corruption. Similarly, PTF does not support projects that
involve political advocacy and where there is a real or perceived conflict of interest.
Evaluation Criteria
2.08 Normally, PTF relies on desk reviews of project proposals received from civil
society organizations (CSOs), supplemented by references and, when feasible, by
meetings between CSO representatives and PTF representatives.
2.09 It is expected that in the process of project evaluation, PTF would work with the
applicant to help strengthen the project design. This is seen as a valuable contribution
PTF makes. This process may require a number of iterations and be spread over several
months. It may include encouraging the applicant to undertake a more thorough analysis
of the corruption problem to be addressed as well as more discussion among stakeholders
as to the best approach to take.
2.10 The starting point for PTF is to evaluate whether the project falls within PTF`s
mandate. Towards this end, PTF evaluates whether, if properly implemented, the project
would contribute in a direct and significant way to reducing or preventing corruption in a
sustained manner. PTF reviews whether the corruption problem to be addressed is well
analyzed and whether the project is expected to lead to `systemic changes` that can be
expected to continue after the project has been completed.
2.11 Second, PTF seeks to finance projects that would normally not be financed by
traditional donors or governments. Often this is because the CSO wishes to retain its
independence from the government and for bilateral or multilateral donors the project
may be too small or too politically sensitive.
2.12 Third, CSOs must be genuinely independent of government and its agencies.
2.13 Once these basic criteria have been satisfied, PTF evaluates project proposals
along the following four dimensions:
2.14 Quality of project design. In assessing the quality of project design, once it is
clear that a project proposal has a reasonable chance of having identifiable impact in
reducing corruption, PTF considers questions, such as:
a. Is the project innovative and could it serve as a model, to be replicated
domestically and elsewhere?
b. Will it strengthen the capacity of the applying CSO to carry out anti-corruption
work?
c. Has the CSO consulted with key stakeholders in designing the project?
d. Is there a well-defined implementation plan (action plan), which clearly sets out
what is to be done, when and by whom, with a clear timeline?
e. Are the project activities likely to directly address well-analyzed corruption
problems? Is there a clear set of recommendations to address these problems? Is
there provision to discuss the recommendations with concerned stakeholders
including the relevant public officials? Are there appropriate follow-up actions?
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f. Is there a log frame or results framework, which makes clear how the outputs and
impacts are to be measured or assessed (see Annex 1)?
g. Is the project time-bound (normally no more than a year), with clear well defined
objectives and specific, measurable outcomes at the end? Is the implementation
plan realistic, and are key activities such as dissemination of results adequately
planned for?
h. Is the budget realistic? Are all budget items well justified? Have all necessary
costs been covered? If staff is to be hired, are salaries/fees appropriate to the local
economy and are conflicts of interest avoided?
a. Does the CSO have enough staff with the right skills mix to manage the project?
If not, is it planning to bring in other CSOs or individuals to compensate for this?
b. Does the CSO have past experience with similar projects and in similar
geographic areas? Does it have a track record that demonstrates its honesty and
reliability? PTF normally relies on 2-3 independent referees, preferably from
previous funders.
c. Will the CSO make a counterpart contribution, in cash and/or in kind (e.g.
administrative support by the CSO, in terms of staff time, access to office
technology, etc.)? A contribution of at least 10-15% of project cost is desirable
though well-justified exceptions may be made.
2.16 In exceptional cases, PTF provides necessary technical assistance (TA) for
capacity building of applicant CSOs. The factors that are considered for such TA include,
among others, the strategic importance of the country/project for PTF, other strengths of
the CSO/project and the availability of PTF funds for this purpose.
2.17 Constructive engagement with the public sector. PTF experience shows that, in
most cases, successful implementation of an anti-corruption project depends heavily on
the active support of the relevant public agency/(ies).1 The project must provide for
adequate interaction with and support from a public agency, or influential public official
or political leader, so that there is a reasonable prospect that the project recommendations
will be properly implemented and will have an impact on the performance of the public
sector. PTF normally asks for documentation of the agreement between the CSO and the
agency(ies) concerned. Other questions may include:
1
In the past, PTF’s more successful projects have mostly benefited from the support of key officials or
political leaders.
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a. Does engagement with government counterparts happen at an early enough stage
to enable constructive criticism and facilitation?
b. Does the work assist the government to improve their functioning or change their
attitude?
3.03 With brevity and clarity the Concept Note should provide the following
information:
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well-defined project.
b. Description of a public sector partnership that can help the applicant to address
the corruption problem. PTF believes that, in most cases, collaborating with the
public sector while addressing a corruption problem provides the greatest chance
for long-term change. Consequently, where support of a public entity is necessary
for the success of the project, the applicant needs to line up the support of the
public sector entity that is the focus of the project (municipality, government
department, judicial structure, etc.) and confirms its willingness to support the
project’s implementation. The hypothesis is that consensus building and
collaboration yield better and longer lasting results than confrontation.
3.04
Based
on
the
review
of
the
Concept
Note,
the
PTF
decides
whether
or
not
the
proposal
meets
PTF’s
criteria
to
merit
further
consideration
and
informs
the
applicants
accordingly.
Project Proposal
3.05 Once PTF accepts the project concept, it asks the proposing CSO to prepare a
complete project proposal. (Guidance on the contents of the Project Proposal is in Section
IV). This proposal may be modified through a review process. PTF recognizes that some
CSOs may lack experience in project preparation. At this stage, PTF stands ready to
assist the applicant with strengthening or refining the project proposal. During the review
PTF often mobilizes one or more of its own volunteers with experience in anti-corruption
work, to assist the applicant with the design and modalities of the project proposal.
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Grant Agreement
3.06 Once PTF has agreed to give a grant, PTF prepares a draft Grant Agreement to be
signed by authorized representatives of the CSO and PTF. The final project document is
made a part of the Grant Agreement. (For more details see Section VI). The grant
agreement includes the reporting and accounting requirements, and disbursement
conditions. The disbursement tranches are chosen to meet the requirements of the project.
A standard template of the Grant Agreement is in Annex 2.
Follow-on Projects
3.08 Most projects funded by PTF would benefit greatly from follow up activities to
consolidate and reinforce their achievements (e.g. to monitor implementation of
recommendations for reform) and PTF has a policy to give preference to such follow-on
projects, as well as to continue work with CSOs which have demonstrated a good
capacity, integrity and a sound and reliable performance.
IV. Content of a Project Proposal
4.01 The Project Proposal is the basic project document used for the PTF decision-
making process, and it serves as a reference point throughout the project cycle. Therefore,
it needs to be as comprehensive and complete as possible. Broadly, it provides project
background information, description of the proposed project activities, references,
evidence of government counterpart collaboration, plan of action, detailed budget and a
statement on performance monitoring.
4.02 Background information. This covers an explanation of the mission, legal status,
organization, governance and management, staffing and experience of CSO applicants,
including arrangements for financial management and independent audit. The description
of management should include a list of the members of the Governing Board (directors,
trustees, governors, etc.) with their professional background. Similar information should
be provided for the management team along with their brief job descriptions. A copy of
the most recent annual audited accounts of the CSO, should be included as well. The
Project Proposal must certify and provide evidence that the applicant CSO is legally
eligible to receive foreign funds.
4.03 Description of the proposed project. This section describes the objectives and
activities of the proposed project, as well as how these objectives are to be achieved.
Therefore the section should start with an analysis of the corruption problem to be
addressed by the project and a clear definition of the project goal. In addition, this section
should define specific objectives for achieving the project goal and outline the specific
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activities that will help achieve these objectives. Performance indicators for each
objective should be identified against which the progress of the project would be
assessed. Finally, the Proposal should indicate the expected impact on reducing
corruption. A Logical Framework Approach should be used to present this information
(see Annex 1). The logframe should be attached to the proposal.
4.04 References. Applicants should provide the names and contact details of two or
three credible persons who, when contacted by PTF, can vouch for the bona fide,
competence, and reliability of the applicant. The referees must be clearly independent of
the applicant; they could be representatives of other financing organizations that have
previously supported the applicant.
4.05 Government Counterpart. In cases where project success depends on the support
of a public agency/(ies), applicants should provide evidence that the government
counterparts on whose collaboration the success of the project depends are indeed willing
to collaborate. Ideally, this would take the form of a letter of support or a memorandum
of agreement.
4.06 Implementation arrangements. This Section should state clearly what would be
done, when and by whom, with a timeline. It should cover all direct and indirect project
activities, including arrangements for project implementation monitoring.
4.07 Detailed budget. The budget contains estimates of all project-related costs with
adequate explanations and justifications, and a financing plan. Where additional
personnel and/or consultants are to be hired, proper terms of reference must be prepared
and the process of selection set out. All of this must be fully transparent and care taken to
avoid conflicts of interest. The CSO`s own contribution to the project cost may be in kind
(e.g. the time of volunteers or a share of the overhead cost of the project). PTF typically
provides funding for incremental cost; fixed cost (such as office rental and existing staff
salaries) should be financed by the applying CSO from its own resources. For detailed
guidance on budgets see the following Section.
V. Project Budgets
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Direct project expenses:
• Such as costs of roundtables or seminars, training, transportation,
promotional materials, monitoring 2
Operational expenses:
• Such as office rent and utilities, communications (internet,
telephone), equipment rent
Capital expenditures:
• Such as equipment, computers
Financing Plan:
• Proposed amount of PTF grant and contributions of the CSOs and
other partners
(See Annex 3 for an example of a project budget)
Tax payments
5.02 Tax payments on the PTF grant, if applicable, are the responsibility of the CSO.
However, there is no prohibition on PTF funding the cost of taxes that are included in
other costs, such as import and value added or sales taxes and taxes on salaries.
Normally, PTF provides funding for incremental “gross” costs of staff and lets the CSO
make appropriate arrangements according to local tax laws.
Currency
5.03 The PTF grant is in USD, based on the project budget. Since exchange rate
fluctuations could be frequent and unpredictable, the exchange rate most in favor of local
currency in the past 30 days should be used in the project budget. For example, if the
current rate is $1:50 and in the past 30 days the most favorable rate was $1:45, the latter
rate would be used.
Guidance on Budget Items
5.04 PTF provides funding for costs that are directly associated with the proposed
project. Generally, PTF does not fund existing overheads, unless justified. PTF’s policy
with respect to the financing of recurring costs is as described below:
a. CSO staff costs. PTF supports CSO staff costs (based on direct involvement in the
project)
b. Technical staff/experts costs. PTF supports up to 100 percent of the technical staff
costs associated with the project (Terms of reference of technical experts to be
hired are required.)
c. Direct project expenses. PTF supports up to 100 percent of the direct project
expenses
d. Operational expenses: PTF supports operational costs to the extent that the
reviewer feels is justified; we need to show flexibility depending on the
circumstances. In general, the larger the share borne by the applicant the better,
but PTF recognizes that many CSOs cannot meet these costs.
e. Capital expenditures: Normally, PTF supports only relatively small capital
expenditures, if any.
2
Monitoring costs for keeping track of project progress and costs associated with reports should be
included in project budgets.
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5.05 PTF avoids funding ‘big-ticket’ capital expenditures for two reasons: PTF project
budgets are too small and the items could be misused after the project is completed. For
example, PTF should avoid funding vehicles but buying a projector for training or a
video camera to record evidence need not be excluded. Under exceptional circumstances,
relatively inexpensive equipment essential for a project is acceptable provided it is clear
what happens to the equipment at the end of the project. In these cases, it would be
preferable if PTF funds only a part of the cost of equipment. If a CSO can rent/hire the
equipment they need for the project at a reasonable rate, they should do so.
Budget Assessment
5.06 Upon receipt of a proposal and budget, PTF verifies the reasonableness of costs
and ensure that sufficient budget details and justification are provided. Necessary
revisions are discussed and agreed with the CSO.
c. Payment of salary and fees. PTF must ascertain to whom payments of salaries
and fees will be made. It should be clear to what extent existing staff is involved
in the project, and which staff and technical advisers are explicitly hired for the
project. Terms of reference for new staff and technical advisers are required in
the proposal. Volunteer chairpersons and other Board members should not draw
salary or fees from the project, and PTF should question this if it is proposed. This
is one of the expenditure items where PTF funds are most at risk of being mis-
used. PTF should not fund the regular salaries of a CSO’s core staff beyond what
can be justified by their involvement in the project being supported.
e. Procurement. PTF needs to be sure that the purchase of goods and services is
undertaken following sound and transparent procurement procedures.
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Counterpart Contributions and Co-financing
5.08 As explained in paragraph 2.03 above, it is expected that the applicant would
propose to provide some counterpart contribution to demonstrate commitment to the
proposed activity.
5.09 Co-financing with other donors and/or partners is acceptable and welcome. PTF
supports individual projects that also benefit from co-financing (assistance from bilateral,
multilateral, private sector, foundation, local partners, government, etc.) provided that the
activity is wholly under the control of the CSO and that PTF is confident the other
sources of support will not compromise the independence of the CSO's "voice".
However, reporting and accounts should be separate.
5.10 In many projects PTF’s involvement has meant that CSOs have been able to
attract third party donor support, which would not have been available otherwise.
Furthermore, third party donor support can come to the CSO with fewer strings attached
because of PTF’s involvement and recommendation.
Payment Procedures
6.01. Typically, grants are disbursed in three tranches, in USD:
a. The first tranche is normally released upon signature of the Grant Agreement and
without any other condition. However, under exceptional circumstances, first
tranche release could be subject, in addition to the signing of grant agreement, to
the fulfillment of certain conditions. An example of exceptional circumstances
includes collaborating partners requiring evidence of firm PTF support (a
confirmation letter from PTF or a signed agreement) before confirming their
commitments.
b. The second tranche follows certified utilization of the first tranche and should be
triggered by achievement of pre-identified benchmarks. This deliverable(s) should
be agreed between PTF and the CSO in advance, and specified in the Grant
Agreement.
c. The final tranche is normally released after the project is completed and PTF has
received a satisfactory final report and financial statement.
6.02 Normally, the grant amount would be divided into three tranches reflecting the
expected schedule of expenses and convenience, i.e., a reasonable time gap between first
and second tranche releases. However, the third tranche is, usually, equivalent to 10-15
percent of the grant and is released when PTF has received a satisfactory project
completion report. The ratio of the first and second tranches would vary depending on the
needs of individual projects. Other things being equal, a somewhat smaller first tranche is
preferable as this enables PTF to be reassured regarding the performance capacity of the
grantee.
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6.03 After PTF has approved a grant, PTF sends the Grant Agreement3 to the CSO
with a request to send the signed copies of the Grant Agreement to the PTF Secretary (by
fax or a scanned copy by email, and two originals by mail). In addition, the PTF requests
the CSO to provide the following bank account details:
6.04 Upon receipt of a signed Grant Agreement and bank account details from the
CSO, the PTF Secretary arranges for the wire transfer of the amount of the first tranche to
the CSO, signs the Grant Agreement and sends signed copies of the Grant Agreement to
the CSO (by fax or a scanned copy by email and one hard copy by mail).
6.05 The second and third tranches of PTF grant are released on the basis of the
satisfactory progress of the project and fulfillment of conditions for the release of the
tranche.
6.06 If, at project completion, a part of the PTF grant remains unutilized, the CSO is
required to refund the unutilized amount to PTF under the terms of its Grant Agreement.
Audit Requirements
6.07 When a proposal for grant funding is submitted to PTF the latest audit report of
the CSO should be submitted along with the proposal. PTF will need to determine if the
audit is an acceptable audit (see paragraph 6.10). The audit report will be filed in the
project file for future reference.
6.08 For projects under implementation, PTF requires as a basis for the disbursement
of second and subsequent tranches a “certified” financial statement showing project
expenditures by budget item during the period since the release of the previous tranche.
The CSO Chief Financial Officer (CFO) may do this certification. The PTF designated
project advisor should review the financial report for acceptability and file it in the
project file for future reference
6.09 PTF normally requires that the CSO’s accounts are audited annually by an
acceptable audit firm and submitted to PTF no later than six months after the end of the
CSO’s fiscal year. PTF funds do not need to be audited separately unless the grant is
over $100,000. PTF requires in the footnotes to the CSO’s financial statements, a
schedule showing the specific PTF grant expenditures. The audit report will be filed in
the project file. The project advisor will need to be comfortable with those financial
statements since PTF could be held accountable for any misspent funds by the donor.
3
The project proposal is an integral part of the Grant Agreement.
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6.10 An acceptable audit for PTF purposes will meet the following criteria:
6.11 If the CSO does not submit any of the financial statements as required by the grant
agreement, future tranches may be suspended until such financial statements are received
by PTF.
Website
6.12 CSOs should post on their website:
In the event that a CSO does not have a website, the PTF would advise the grantee to set
one up; and its cost could be included the project budget.
Progress Reporting
6.12 CSOs submit quarterly Progress Reports, as specified in the Grant Agreement.
These reports are prepared and sent to PTF within 30 days after end of each calendar
quarter, i.e., March 31, June 30, September 30 and December 31 of each year. As PTF is
often not in a position to visit a project, the use of pictures in Progress Reports should be
considered. A suggested format for progress reporting is in Annex 4.
6.13 It is expected that CSOs will have their own project monitoring system that would
produce periodic progress reports. Copies of such reports will serve the purposes of PTF
provided they cover the following aspects:
a. Actual progress against each of the planned activities in sufficient detail to give a
good idea of how the project is progressing
b. Description of any problem encountered in project implementation and how it is
being resolved
c. Details of any modification of the project and its rationale
d. A statement on the status of the project budget certified by the CSO’s finance
officer (e.g., Finance Director/Manager/Accountant). The CSO is expected to
keep a special project account and produce statements of expenditure (SOEs),
certified by the CSO financial management and subjected to the CSO`s normal
auditing requirements.
6.14 PTF keeps track of progress reporting by CSOs and provides guidance to CSOs
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on the handling of emerging implementation problems as, and when, appropriate.
Project Termination
6.15 It is important that PTF grant funds are used for purposes described in the Project
Proposal. If it is found that PTF grant is not being used as intended and appropriate
remedial steps are not being taken by the CSO, PTF would cancel the remaining tranches
of its grant. The same would apply to a situation where PTF believes that the conditions
have changed such that the project is not likely to achieve its objectives, Moreover, if
PTF finds that its grant funds were willfully misused by the CSO, it can ask for the full
refund of its grant.
6.17 Briefly stated, a PCR provides information, supported by relevant analysis, on the
extent to which the project succeeded or did not succeed in achieving its original
objectives and identifies any lessons learned for future guidance. Therefore, a PCR
covers concisely the following aspects of project implementation:
a. An account of the activities the CSO has undertaken with the PTF grant and the
outputs produced. Preferably, where appropriate, this should set out the
recommendations developed on how to make system changes to reduce the types
of corruption addressed by the project, indicate the discussions held with relevant
public officials and describe the follow-up actions envisaged;
b. An assessment of the project's impact on reducing corruption and sustainability;
c. A discussion of the lessons learnt and their replicability; and
d. A financial report that shows how the CSO has spent the PTF grant, compared to
the agreed budget, and certified as correct and accurate by the CSO’s financial
officer.
6.18 Normally, PCRs are prepared by the CSO, but in some cases independent
consultants hired by the CSO undertake the work.
6.19 PTF reviews the PCR and ensures its completeness and accuracy and suggests
revisions where necessary. When an acceptable PCR is received, the PTF releases the
final tranche of the grant and takes steps to post the PCR on its website.
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intended to help ensure transparency and accountability in the activities of the PTF, to
apply lessons learned and to constantly improve PTF’s overall performance.
Coverage
7.02 As far as possible, the PCAs will assess the following:
a. The original project objectives and design: Were the objectives appropriate to the
problems being addressed? Were they within the partner’s capacity to implement?
Were the components realistic and consistent with the objectives? Was the advice
provided by PTF followed? Was the advice appropriate and useful?
b. The implementation experience: Was the project carried out as planned? Were
there significant changes? What were the reasons for these changes? Did they
affect the outcome materially?
c. Financial Management: Were proper financial records maintained? Were the
funds spent for the purposes intended? Are the CSO’s accounts subject to a proper
audit?
d. The impact: What did the project accomplish? Did it have any measurable impact
on corruption in the country? Is this impact likely to be sustainable? Was any
measurement of the impact undertaken? Has there been any follow-up or is any
follow up planned? Was there real value added?
e. Institutional development: Did the project help the CSO to enhance its capacity to
carry out anti-corruption programs? Did the PTF grant enable the organization to
do things that would otherwise not have been possible?
f. Dissemination: What steps were taken by the CSO to disseminate the results of
the project? Were all the key documents posted on their website?
g. Lessons learned—What were the principal lessons of experience according to the
CSO? Are these consistent with the assessor’s views? If not, explain.
h. Describe any links to other CSO driven anti-corruption initiatives.
Methodology
7.03 The PCA is based on (i) a review of project material (original project proposal
and agreed budget, the Grant Agreement, relevant email exchanges with PTF and
periodic reports from the CSO including its own completion report, etc.) and (ii) a brief
site visit to the CSO and interviews with its staff and with other stakeholders involved in
the project itself (including representatives of the public sector whose activities were the
subject of the project activity).
Output
7.04 The PCA output consists of a report to PTF management addressing the issues
listed above. The draft is discussed with the representatives of the CSO. The final
version is posted on the PTF website.
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Annex
1
ANNEXES
Introduction
1. The Logical Framework Approach (LFA) is a management tool for planning,
monitoring and evaluation of projects. It is not the only planning tool, and should not be
considered an end in itself. Using it encourages the discipline of clear and specific
thinking about what the project aims to do and how, highlighting those aspects upon
which success depends. It is also key to developing data used to monitor the project for
results. A log frame, an output of LFA, presents information about the key components of
a project in a matrix form in a clear, concise, logical and systematic way. It provides a
handy summary to inform project staff, donors, beneficiaries and other stakeholders,
which can be referred to throughout the lifecycle of the project. A log frame should not
be a static instrument. As the project circumstances change it will probably need to
reflect these changes but everyone involved will have to be kept informed.
2. PTF requires all applicants for funds to develop a log frame for their project,
which obviously would be a product of using LFA. The standard structure of a log frame
is shown in Figure 1 below. This log frame structure has been designed specifically to
collect, display and use the information on the performance, or results, of PTF projects.
Project Advisors should assist applicants in the preparation of the log frame for their
project, since the log frame structure is likely to be unfamiliar to many CSOs.
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Figure 1. The Log Frame
Title of Project:
Country:
Name of CSO:
3. 3. 3a. 3a.
3b. 3b.
5.
4
The clearly defined Outcomes would also facilitate monitoring of the project progress, as they would
provide a basis for assessing the extent to which its performance has been satisfactory or leaves something
to be desired.
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distinction
should
be
made
between
project
Outputs
and
Outcomes.
The
Activities
lead
to
products
or
Outputs
(e.g.,
trained
personnel,
new
legislation,
a
strategy
for
institutional
reforms,
guidelines,
etc.),
which
contribute
to
achieving
Outcomes.
Therefore,
Outputs
are
not
Outcomes
or
real
changes
or
improvements.
Again, it is
important that the CSO be specific and clearly links each activity with one or more
objective(s). Note that in Activity 2 (Figure 1) there is more than one Outcome objective.
This is not unusual and the CSO should
look
for
these
possibilities.
Similarly,
Activity
4
and
5
support
only
one
Outcome
objective.
This
may
also
be
the
case
and
the
log
frame
should
account
for
it.
6. Develop Measurable Indicators. Once the links between project Activities and
the Outcome objectives have been specified, the CSO needs to move on to the next step,
which is to develop indicators or measures for each Outcome objective. Ideally, this will
be expressed in a numerical form, a number, percentage or ratio. If this is not possible, a
qualitative measure for the indicator may be used. Each indicator should be fully defined
and specific. It should be noted that more than one indicator might be needed for an
Outcome objective. Activity 3 shows this arrangement.
7. Identify Data Sources. The sources of data from which monitorable indicators
will be derived should be identified in the log frame. This is essential for project
management and for project monitoring. If direct quantitative data are not available to
match against Outcomes, indirect substitutes should be explored. For example, in a
project to reduce misuse of public vehicles, it was not possible to produce the actual data
on such misuse. Therefore, the project set up a network of volunteers to observe and
report any misuse of vehicles. The percentage decline in the reported cases during the
project period was used as a monitorable indicator.
8. Keep it Simple. As the CSO begins to develop the Outcome indicators, it may find
that there are several indicators that would work. The danger is that this might lead to
such a large number of indicators that the system becomes unwieldy. The rule of thumb
is that all Activities should be represented, but without overloading the monitoring
system of the CSO. Developing a logic model is usually much more complex than
anticipated. However, it is crucially important to sort out the different components, and to
demonstrate in the model how these components are related. Furthermore, the model
needs to specify exactly what Outputs are produced by what Activities.
9.
The
Process.
Using LFA is a process and a log frame is a document, an outcome
of this process. After setting the project goal, a CSO should apply LFA to develop,
identify and refine project Activities, Outputs, Outcomes and sources of data. Very
commonly this process is repeated many times to come up with an optimal log frame. It
is not unusual that during project implementation, the CSOs would re-visit the log frame
and modify it as appropriate in light of the evolving experience and local conditions.
Operational
Guidelines
PTF
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2010
10.
Some
examples
of
Inputs,
Outputs
and
Outcomes
are
provided
below
for
illustrative
purposes:
a. Inputs: People time; room and board, transportation; media time; rental of
audiovisual equipment, meeting space, teleconference time. It should be
possible to procure these Inputs with the PTF grant, and CSO contribution
b. Activities: Accessing information to create transparency, citizen monitoring
and vigilance, coalition building, tool kits, surveys, media events etc.
c. Outputs: Coalitions established, citizen groups, right to information
campaigns, surveys, social audits, public hearings, advocacy
events/campaigns, dialogue events with public officials etc.
d. Outcomes: Examples of Outcomes PTF is looking for are: i) Reduced losses
of public resources due to corruption, less extortion of bribes from citizens by
public officials, less distortions in official decisions owing to corruption,
greater accountability of public agencies to the public they serve as a result of
CSO activism against corruption; (ii) Enhanced public awareness of
corruption and the means to fight it; (iii) Strengthened legal & regulatory
framework.
Operational
Guidelines
PTF
Page
22
2010
Annex
2
Grant Agreement
Between
The Partnership for Transparency Fund, Inc.
And
(Full legal name of CSO)
1. (Full CSO legal name) has requested financial support of The Partnership for
Transparency Fund, Inc. (PTF) to implement a program for (brief description of project
objectives). The program will be called “(Project name)” and will commence from (date
of project commencement).
2. (CSO name) has submitted the attached Project Proposal dated (date of Project
Proposal), which includes background information on (name of CSO), an operational
plan for the project, and a detailed breakdown of costs.
3. On the basis of this information, PTF has approved a grant of US$........ (United
States dollars ……..) to be disbursed in three tranches, each for the purposes spelled out
in the attached documents. The tranches will be disbursed as follows:
b) Second tranche of $...... (United States dollars ……) to be disbursed upon receipt
by PTF, in form and substance reasonably satisfactory to PTF, of [1] a statement
of expenditure, certified by the chief financial officer of (name of CSO), showing
the itemized use made of the first tranche funds, and [2] a brief report on progress
made in the implementation of the project showing that the following activities
have been completed satisfactorily: (list agreed thresholds).
4. (Name of CSO) on its part commits to provide counterpart funding of $..... (United
States dollars …….), or its equivalent in local currency, to make up the balance of the
$..... (United States dollars ……) estimated total cost of the project, and any
additional balances needed to complete the project.
Operational
Guidelines
PTF
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2010
5. The PTF grant will be made available to (name of CSO) on the following conditions:
a) The grant will be used only for the purposes described in the attached Project
Proposal. Any material changes in the use of project funds or project design
shall be made only with the prior agreement of the PTF.
b) If PTF finds that the its grant was not used/is not being used for the purposes
or in the manner described in the Project Proposal or the conditions have
changed such that the project is not likely to achieve its objectives, PTF has
the right to cancel the remaining tranches of its grant. In case PTF finds that
its grant funds were willfully misused by (name of CSO), PTF reserves the
right to require the full refund of its grant.
c) Any funds disbursed by PTF remaining unutilized at the end of the project
shall be returned by (name of CSO) to the PTF.
d) (Name of CSO) shall keep a record of all expenditures incurred under the
project and will provide PTF, in form and substance reasonably satisfactory to
PTF, a full accounting of these expenditures, certified by the chief financial
officer of (name of CSO), with relevant supporting documentation, [1]
following expenditure of the first tranche funds, and [2] on completion of the
project, but in any event no later than (date)
e) (Name of CSO) shall provide PTF a copy of its audited financial statements
for each year during the term of the grant hereunder, within 180 days of the
end of each of its fiscal years. Such financial statements shall be accompanied
by the auditor’s certification, which shall be in form and substance reasonably
satisfactory to PTF. Such audited accounts shall include in its notes or
schedules a statement disclosing the PTF grant and the expenditures made
thereunder during the relevant period.5
f) PTF shall have the right, upon reasonable notice, to inspect (or to have its
designated representatives inspect) the books and records of (name of CSO)
relating to the project and to the grant.
g) (Name of CSO) will make brief quarterly reports on the implementation of the
project accompanied by a statement of expenditure showing the use of PTF
funds and, on project completion, a full detailed final report summarizing the
implementation of the project and its outcome and assessing the impact of the
project on reducing corruption, its likely sustainability and the lessons learned,
together with a certified final itemized statement of expenditure. The latter
report will be sent within two months of the completion of the project,
together with a copy of any other reports prepared under the project.
5
In the case of grants of $100,000 or more, these provisions are to be rewritten to require audited project
accounts.
Operational
Guidelines
PTF
Page
24
2010
h) Following project completion, the PTF may make its own independent ex post
evaluation of the implementation, outcome and impact of the project. (Name
of CSO) will furnish the person appointed to undertake this task all possible
assistance and access to all relevant documents and personnel.
i) (Name of CSO) will post this Grant Agreement, the Project Proposal, the final
project report, and the statement of expenditures on the (name of CSO)’s
website, and PTF shall have the right to post on its website such documents
and any other reports received from (name of CSO) or from its independent
evaluation of the project.
7. The signed copy of this Grant Agreement and the request for the subsequent
tranche releases may be sent by email to the PTF Secretary at: rsullivan@ptfund.org.
The two original copies of the Grant Agreement should be mailed to Roger Sullivan,
Secretary, PTF, at 1875 Connecticut Avenue, N.W., Suite 1210, Washington, D.C.
20009.
8. The responsible PTF Project Advisor in respect of this project is (insert name and
email address) or such other Project Advisor as PTF may subsequently notify to (name of
CSO). Such Project Advisor shall be (name of CSO)’s principal point of contact in
respect of the project.
9. The responsible (name of CSO) project director in respect of this project is (insert
name and email address) or such other project director as (name of CSO) may
subsequently notify to PTF. Such project director shall be PTF’s principal point of
contact in respect of the project.
10. Each of PTF and (name of CSO) represents and warrants, for the benefit of the
other party, that:
b. this Grant Agreement constitutes its legal, valid and binding obligation,
enforceable in accordance with its terms.
In addition, (name of CSO) represents and warrants, for the benefit of PTF, that [1] the
information set forth in the Project Proposal does not contain any untrue statement of a
material fact or omit to state a material fact necessary in order to make the statements
Operational
Guidelines
PTF
Page
25
2010
made, in the light of the circumstances under which they were made, not misleading, and
[2] the making of the grant by PTF shall not subject PTF to any tax or require any
governmental approval in the jurisdiction in which (name of CSO) is organized and
operates.
11. This Grant Agreement shall be governed by the laws of the District of Columbia
in the United States of America, the jurisdiction in which PTF’s principal executive
offices are located. In the event of any dispute between the parties in respect of the Grant
Agreement, the parties shall act in good faith to resolve such dispute through discussions
and negotiation, and they may seek the assistance of a third party mediator to assist them
in the resolution of such dispute. In the absence of a mutually acceptable resolution, such
dispute shall be resolved by arbitration in accordance with the UNCITRAL Arbitration
Rules in effect on the date of this Agreement. Any such arbitration shall be conducted in
the English language before an impartial single arbitrator sitting in Washington, D.C.,
appointed by the American Arbitration Association as appointing authority.
Dated:
For
The Partnership for Transparency Fund, Inc.
Roger Sullivan
Secretary
For
(Full CSO legal name)
1. _________________________
_________________________
2. _________________________
_________________________
Attachments:
1. Project Proposal dated …….
2. [Others as necessary]
Operational
Guidelines
PTF
Page
26
2010
Annex
3
Example of Project Budget
Amount (USD)
Volume
Unit Cost
Local Currency
Local Currency
Local Currency
Budget Category
USD
USD
USD
Duration
Quantiy
Unit
A. Program Staff
Operational
Guidelines
PTF
Page
27
2010
Collecting data 1 Unit 3 months 750 2,250 225
Increasing the
capacity of citizen
organization
Meetings 20 Unit 6 times 25 3,000 300
Conducting training
on monitoring fund
management
Meetings 30 Unit 2 days 100 6,000 600
Materials and
documentation 1 Unit 1 times 250 250 25
Local transport for
participants 30 Unit 2 times 50 3,000 300
Preparing
guidelines on fund
monitoring and
spread them out to
civil society
organization
Editor leaflet and
manual 2 Unit 1 times 1,500 3,000 300
Lay-out illustrator
for leaflet manual 2 Unit 1 times 1,500 3,000 300
Printing of leaflet 1,000 copy 1 times 4 4,000 400
Printing of manual 1,000 copy 1 times 20 20,000 2,000
Distribution of
manual 2 Unit 1 times 500 1,000 100
Conducting
dialogue among
stakeholders to
formulate solution
on misuse of funds
Meetings 30 Unit 1 times 100 3,000 300
Materials and
documentation 1 Unit 1 times 250 250 25
Local transport for
participants 30 Unit 1 times 50 1,500 150
Local policy
advocacy to push a
system for
monitoring fund
Discussions with
local government 1 Unit 5 times 100 500 50
Local Policy
advocacy through
conducting regional
seminar
Meetings 75 Unit 1 times 75 5,625 563
Resource Person 3 person 1 times 1,000 3,000 300
Materials and 1 Unit 1 times 500 500 50
Operational
Guidelines
PTF
Page
28
2010
documentation
Note taker 1 person 1 times 400 400 40
Printing and layout:
newsletter on
research findings
and current issues
of fund management
Editor 1 person 3 times 2,000 6,000 600
Lay-out illustrator 1 person 3 times 1,500 4,500 450
Reporter 1 person 3 times 1,500 4,500 450
Printing newsletter 1,000 copy 3 times 5 15,000 1,500
Distribution 1 Unit 3 times 500 1,500 150
Supporting
activities:
a. Internal
Workshop
Meetings 15 Unit 2 times 100 3,000 300
Transport 15 Unit 2 times 200 6,000 600
b. Coaching and
Monitoring
Intercity transport 1 Unit 9 months 500 4,500 450
Lodging + meals +
local transport 1 Unit 9 months 500 4,500 450
c. Project
Monitoring 2 persons 0.5 months 500 500 50
Total C 112,525 11,253 108,025 10,803 4,500 450 0 0
Total (A+B+C) 323,025 32,303 236,025 23,603 87,000 8,700 0 0
Contingencies (5%) 16,151 1,615 11,801 1,180 4,350 435 0 0
Total Project Cost 339,176 33,918 247,826 24,783 91,350 9,135 0 0
Total CSO
Grantee's
Contribution 91,350 9,135 0 0
Total expected
grant from PTF 247,826 24,783
Operational
Guidelines
PTF
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Annex 4
Country:
CSO Name:
Project Title:
I. Summary of Progress
(Summarize the
overall
progress
of
the
project
stating
clearly
whether
or
not
the
project
is
on
schedule
and
being
implemented
as
originally
envisaged; and what main
obstacles have been encountered, if any, and what actions have been taken to overcome
them)
Cumulative:
Operational
Guidelines
PTF
Page
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2010
Cumulative:
Cumulative:
Cumulative:
Total C
Total (A+B+C)
* These categories are reproduced from the original project budget.
** Use data from the original budget.
10
The total figure should be the same as in the Table below under PTF column.
Operational
Guidelines
PTF
Page
31
2010