Appendix 1
Project Plan
Ghana WASH Window-FDW
Call 3
A Public Private Partnership Facility
To be used for the application procedure
2014, call 3
General instruction Project plan:
- The (green) shaded boxes contain explanatory information on specific sections of the
project plan. Please delete these boxes from the project plan, leaving your own text
- Bold text indicate requirements in the GWW3, this for guiding purpose and not
exhaustive. The policy framework is the leading document.
- All documents, including the project plan, need to be written in English.
- The format of the project plan is mandatory.
- The project plan should not exceed 35 pages, excluding the appendices.
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1 Public summary
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Please fill out the summary page below. This information can be made publicly
available by RVO.nl.
Include project objectives, intervention strategy and Results (output/outcome), as
well as a short description of the partnership.
The project addresses at least one of the GWW-FDW themes: Sanitation and
hygiene, Waste management, Access to and use of safe drinking water, and
Integrated water resources management.
Project name:
Applicant:
Partners:
Project location(s):
Theme(s):
Project goal(s):
Summary project
intervention (max
300 words):
2 Project
2.1 Context and Problem analysis
Insert your text here…
Describe the overall problem the partners wish to address with the project (impact/outcome
level) and support with data where possible:
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Describe the context of the project:
o The general economic situation and constraints in the project area;
o The market situation related to the proposed intervention
o Political-economic situation and developments that may affect your project;
o Institutional setting and regulations that may affect your project;
o Climate and environmental aspects affecting your project;
o Social developments and vulnerable groups related to your project
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Define the problem the project will address:
o The magnitude and scope of the problem.
o Which population groups are affected and to what extent.
o How the local population, including most vulnerable groups, are affected by the
problem.
o The consequences if the problem is not addressed properly.
o The geographical area the project focusses on.
What has already been undertaken to solve the problem?
Why is the problem until now not successfully solved?
Describe the relevant stakeholders, their interests and their role in creating or solving
the problem.
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Required:
- The partners should show a sound understanding of the context, the problem,
and the underlying causes.
- The problem relates to at least one of the themes addressed by GWW-FDW for
this call: Sanitation and hygiene, Improved waste management (both liquid and
solid waste), Access to and use of safe drinking water, Integrated water
resources management. By addressing these themes GWW-FDW aims at
structural poverty reduction, sustainable economic growth and self-reliance.
- The problem should be described as a negative situation, for example: people
suffer from diseases related to poor sanitation practises. Do not solely describe
the problem as the absence of a solution (e.g. no sanitation facilities are
available or no functioning water treatment plant is available).
- Interests of different stakeholders should be structural embedded and secured
in the project.
- The analysis shows a sound understanding of related sustainability issues. See
the annex on FIETS-criteria for relevant issues to consider.
2.2 Project objectives
Insert your text here…
Shortly describe the overall project objectives (Project outcome and impact level).
Note that more detailed project Results can be given in paragraph 2.4 on the intervention
strategy
Required:
- The overall project objectives should be clearly related to the problem analysis.
- Reformulate the problem identified at the impact level into a positive desirable
condition or objective. For example, the objective of the project is that access
to improved sanitation is improved.
2.3 Connection to policy objectives
Insert your text here…
Describe the policy relevance of the project. To what extent is the proposal in line with
Ghanaian policy priorities and Dutch International Cooperation Development policy
priorities? Pay attention to:
- How does the project contribute to the objectives of Ghanaian policies?
- How does the project contribute to the (local) objectives of the International Cooperation
Development policy of the Dutch Ministry of Foreign Affairs?
- If applicable, how is the project complementary to other programmes/projects in the
sector and region?
Required:
- The project should be relevant to existing policy priorities.
- The project should be connected with or supplementary to other projects or
programmes of local government, other donor programmes, and programmes
implemented by the Dutch government
- The project objectives should be aligned with the needs of the target group(s),
including poor households, vulnerable groups in society. Besides, the target
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group(s) are sufficiently involved in the project to be effective.
2.4 Intervention strategy
2.4.1 Intervention logic
Insert your text here…
Summarise the intervention logic of the project in max 500 words and fill out and present
the result chain in Appendix 2, sheet ‘Result chain’. Please replace the example result chain
below with the result chain of your project.
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Summarise (max 500 words) the intervention logic of the project by following the OECDDAC methodology. Inputs, Activities and the resulting Outputs, Outcomes and Impacts
should be described in the result chain. Indicate how the intervention relates to the
project objectives and problem analysis.
Also pay attention to:
o
Are there alternative solutions? Why did the partnership choose the
proposed solution?
o
If available, substantiate the intervention logic with appropriate references
to external sources (reports, studies etc.)
o
Indicate whether the project is based on a business case. If so, the business
case can be elaborated on in paragraph 2.4.4 ‘Business case’.
o
Indicate whether the project is aiming to improve the Enabling environment’
(e.g. behavioural change, capacity building, organisational strengthening,
institutional change, law and regulations). This can be elaborated on in
paragraph 2.4.5 ‘Enabling environment’.
o
Indicate whether the project includes a Revolving Fund. If so, please
elaborate on the fund in paragraph 2.4.6
o
Pay attention to project sustainability elements (FIETS)
Provide a result chain for the project in appendix 2. sheet ‘Result Chain’. Replace the
below example of the result chain with the filled out result chain of your project in
Appendix 2. Note that a more detailed description on project output/outcome can be
given in the next paragraph 2.4.2.
For the OECD-DAC (2012) definitions of Input, Activities, Output, Outcome and Impact see
below or at : http://ec.europa.eu/europeaid/evaluation/methodology/glossary/glo_en.htm
Inputs are the financial, human, material, technological and information resources used for
the development intervention.
Activities are the actions taken or work performed through which inputs, such as funds,
technical assistance and other types of resources are mobilised to produce specific outputs.
Outputs are the products and services which result from the completion of activities within a
development intervention.
Outcomes are the intended or achieved short-term effects of an intervention’s outputs,
usually requiring the collective effort of partners. Outcomes represent changes in
development conditions which occur between the completion of outputs and the
achievement of impact.
Impact is the positive and negative long-term effects on identifiable population groups
produced by a development intervention, directly or indirectly, intended or unintended.
These effects can be economic, socio-cultural, institutional, environmental, and
technological or of other types.
Result is the initial impact of an intervention, consisting of (series of) outputs and outcomes,
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(intended or unintended, positive and/or negative effects) of a development intervention.
Required:
- The contribution of the project to solving WASH related problems, and problems
related to waste management and integrated water resources management,
and thereby leading to structural poverty reduction, sustainable economic
growth and self-reliance should be clear.
- The intervention strategy should fit the project objectives and
functioning/organisation of the target group(s)
- Quantify the output, outcome and impact where possible.
- The solution should fit the Ghanaian context.
Figure: Example Result Chain
Project result change summary
Inputs
Activities
Outputs
Outcomes
ID
Financial resources
Human resources
Material resources
Technical resources
Construction and rehabilitation of
water kiosks.
1 Fifty water kiosks constructed and
fifty kiosks rehabilitated by the end
of the project period
Construction water free toilet blocks
2 Ten water free toilet blocks
constructed
Set-up of urine and fecal waste
reuse system
3…
ID
a Additional acces to clean drinking
water to 30.000 people in low
income areas
Impacts
Improved water security
Improved labour productivity
b
6000 people and 3000 shool
children using water free sanitation
by the end of the project period.
Improved health
Information
resources
All results fully operational
Assumptions (For a sustainable project)
E.g.
Cooperation from stakeholders
Sufficient demand available
Sufficient resources
Etc.
2.4.2 Output and outcome
Insert your text here…
Elaborate in more detail on the concrete project output and outcome, referring to the
provided result chain.
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-
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Elaborate on the project’s output and outcome, distinguish between the contribution to
the GWW-FDW themes (3rd call): Sanitation and hygiene, Improved waste management
(both liquid and solid waste), Access to and use of safe drinking water, Integrated water
resources management, separately.
Relate the output and outcome to the target group, i.e. quantify as much as possible the
project output and outcome per targeted person/household. If applicable, break down by
type of target group. For instance, as outcome of the project, in 2018 x vulnerable
persons/households have gained access to improved sanitation.
Ensure that the indicators are SMART (Specific, Measurable, Acceptable, Realistic, Time
bound). Where applicable include the common indicators GWW-FDW presented in Annex
4 of the GWW3-FDW publication.
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Describe the additional effect of the project, i.e. compare the quantified project output
and outcome to a reference situation without the implementation of the project. Take
relevant trends e.g. in economic growth, population growth etc. into account.
Fill out Appendix 2, sheets Result 1 to Result 10 (or less if fewer Results are identified).
Refer to the sheet ‘Instructions’ of Appendix 2 how to do this. It is not required to copy
these into this project plan. If an explanatory text is required, this can be done here.
Appendix 2 is an important part of the project appraisal and will form the basis for the
Administrative decision if GWW-FDW subsidy is granted.
Note on Appendix 2:
If a project receives a GWW-FDW subsidy, the PPP commits itself to achieving the project
deliverables. For GWW-FDW these project deliverables are defined as ‘Results’, which are
divided in ‘Sub-results’. Project Results and Sub-results are tangible (according to the
SMART principles) project outputs and outcomes which will be demonstrated by deliverance
of Means of Verifications (MoVs). The project Results and Sub-results will be part of the
Administrative decision and has to be provided by the PPP as Appendix 2 to the GWW-FDW
application. The PPP commits itself to delivering the project Results and Sub-results (as
demonstrated by MoVs) that are included in this Appendix 2. If not all Results or Sub-results
are achieved by the PPP this may have consequences for the amount of subsidy to be
received. The identified project Results will also be used to assess the project value for
money and contribution to the objectives of GWW-FDW. Besides the project budget needs to
be specified according to the identified Results.
Required:
- The project output and outcome should be presented in a SMART manner.
- The project output and outcome should be linked to the intervention logic as
summarised in the result chain in paragraph 2.4.3
- The project should lead to concrete, tangible results. Do note that best value
(the project budget in relation to the project Results) will be assessed.
- The defined Results and Sub-results presented in Appendix 2 will form the basis
of the Administrative decision (‘beschikking’).
2.4.3 Impact
Insert your text here…
Describe/elaborate on the project impact. Refer to the intervention logic based on the
output and outcome. Describe in any case the effect of the project on each of the following:
- Elaborate on the project’s impact; distinguish between the contribution to the themes
Sanitation and hygiene, Improved waste management (both liquid and solid waste),
Access to and use of safe drinking water, Integrated water resources management.
- The change in poverty alleviation. For example: What kind of change will the
improvements bring about when it comes to job creation (direct and indirect), income of
people and enterprises, reduction in water- and sanitary related diseases, reduction in
infant/child mortality, savings on health fees at household level.
- Describe the change in sustainable economic growth. For example: What kind of change
will the improvements bring about when it comes to income, number of jobs created,
etc.
- Describe the change in self-reliance. For example: What kind of change will the
improvements bring about when it comes to reduction in school absenteeism, increase in
productive use of saved time by women etc.
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Required:
- The expected project impact should be presented, where possible,
substantiated with quantitative models/data or appropriate references.
- The project impact should be linked to the intervention logic as summarised in
the Project Result Chain.
2.4.4 Business case
Insert your text here…
Please elaborate on the business case in this paragraph paying attention to the topics
below. Fill out ‘Appendix 3, sheet 6 Project Cash flow’ and substantiate why this represents
a feasible business case. Include references where applicable. Additional information on the
business case(s) may be included as Appendix 9.
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How does the business case contribute to the project objectives and the GWW3 themes
Sanitation and hygiene, Improved waste management (both liquid and solid waste),
Access to and use of safe drinking water, Integrated water resources management?
Describe the market(s) the PPP wishes to enter or improve. Pay attention to the following
in the description:
o What are the value propositions, what product(s) or service(s) will be sold?
o What is the size of this market in terms of supply and demand?
o How has the market evolved over the past few years with regard to the above? What
tendencies are expected?
o Who are the potential competitors in the market ?
o Who will be the customers, what customer segments, what type of customer relation
is proposed?
o Who are the indispensable suppliers in the chain?
o What resources are indispensable to run the business and who are the main
suppliers?
o At what price will the product(s) or service(s) be sold? What are the current market
prices and how are they expected to evolve in the coming years?
o What will be the position of the project in the business value chain?
What does the production/service process look like in terms of allocation of resources,
products/services and logistical aspects?
Required:
- A PPP project must be based on a detailed and sound business case,
contributing to the project’s objectives and (one or more) GWW -FDW (sub)
themes: Sanitation and hygiene, Improved waste management (both liquid and
solid waste), Access to and use of safe drinking water, Integrated water
resources management.
- The feasibility and financial sustainability of the business case(s) should be
demonstrated.
- The business case(s) should not lead to market distortion (see also par 2.5).
2.4.5 Enabling environment
Insert your text here…
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Please elaborate on the project activities aiming at improvement of the Enabling
environment (e.g. behavioural change, capacity building, organisational strengthening,
institutional change, laws and regulation) by addressing the topics below.
- What are the specific objectives regarding the improvement of Enabling environment
(output and impact)?
- How will the enabling environment be improved (e.g. knowledge
transfer/infrastructure/hardware)? What activities are necessary to achieve the desired
outcomes and impact on the enabling environment?
- How does the improvement of the Enabling environment contribute to the GWW-FDW
themes: Sanitation and hygiene, Improved waste management, Access and use of safe
drinking water and Integrated water resources management?
- Describe the logic behind the strategy to improve the Enabling environment.
Substantiate the effectiveness of the strategy. If possible provide references to similar
approaches.
- Does the project connect to other initiatives on improving the enabling environment? If
so, please elaborate.
- Which organisations/stakeholders are relevant and how are they involved?
- How will effects of the strategy on Enabling environment be financially sustainable?
Required:
- A PPP project must be based on achievable activities and results for
improvement of the enabling environment.
- For interventions aiming to improve the enabling environment, the effect of this
should be social and financial sustainable.
- The improvements of the enabling environment contributes to the projects
objectives and one or more of the GWW-FDW themes: Sanitation and hygiene,
Improved waste management, Access and use of safe drinking water and
Integrated water resources management.
2.4.6 Revolving Fund
Insert your text here…
If the partnership requests funding for setup and operation of a Revolving Fund, to be used
for financial products, such as micro credit, information on the Revolving Fund must be
provided here. Fill out Appendix 3, sheet 7 RF Cash flow.
If the project proposal does NOT involve subsidy for a Revolving Fund, please leave this
section blank.
Pay attention to the following issues:
- Describe the purpose of the Revolving Fund
- Describe the governance of the Revolving Fund
o Describe the ownership, liability and legal status of the Revolving Fund;
o Describe how will the Revolving Fund will be managed;
o Describe how the financial and operational administration and reporting of the
Revolving Fund and the financial products will be done;
o Describe the financial structure of and financial agreements on the Revolving fund in
relation to the financial product(s);
o Describe how the Revolving Fund will be used for funding the financial products;
o What mitigating measures are taken to prevent the financial products form an
unacceptable burden to the customers in the target group(s).
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Elaborate on the envisioned financial products at least including:
o Deal flow: Data on the target group(s) and market (demand), such as number of
potential customers (per region), income level, willingness and ability to pay, etc.;
o Product information and terms and conditions, such as, type of financial product,
monetary size range of loan/financial product, interest rates, repayment, defaulting
policy, etc.
o Demonstrate that the financial product(s) from the Revolving Fund are an addition to
the existing portfolios of the involved MFIs.
Describe how subsidy will be used in relation to the Revolving Fund.
The functioning of the Revolving Fund may be illustrated in a flow chart and added as
Appendix 9 (optional)
Required:
- If subsidy is requested for a Revolving Fund: The Revolving Fund must be
directly linked to investments related to one or more of the GWW3 sub-themes.
- The project and the Revolving Fund must lead to an improvement in the
condition of the target group(s): poor households and Ghana registered SME.
- The Revolving Fund does not contribute in creating an unacceptable financial
burden for the loan applicants;
- It is demonstrated that the Revolving Fund leads to additional products in the
MFI portfolio.
- The Revolving Funds has to have a legal status, including at least one MFI as
legal partner with direct involvement in the Revolving Fund. This/These MFI(s)
should be formal partner in the PPP (GWW3 application or partner form
signed).
- It should be clear who will be liable and responsible for the Revolving Fund.
Only an existing, legally registered organisation having the status and licence
of financial intermediate for micro financing may act as such. In other words,
the operation of the Revolving Fund should be done by a licenced and
registered financial intermediate for micro financing.
- The Revolving Fund has a separate financial administration, and will be
reported on separately.
- An agreement between the relevant partners on the governance, liability,
financial agreements and other agreements relating the Revolving Fund has to
be included as part of Result 1. This can be done by incorporation in the
Partnership agreement (or appendix to it) or as a separate agreement.
- For loan products that are funded through a Revolving Fund it is required that
issued loans are repaid within the project period. This means that the
repayment period of the first loan cycle should end within the project period.
- All financial products have to be market conform (e.g. regarding interest rates).
For information on the budget requirements of the Revolving Fund please refer to
paragraph 2.5 Justification for GWW-FDW subsidy and 5.2 Revolving Fund.
2.5 Justification for funding by GWW-FDW
Insert your text here…
The GWW-FDW will only fund projects that are financially sustainable and are not
commercially viable and would therefore not be executed without access to subsidy. This
will be assessed following the method as described below:
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In addition, projects should not distort the local or European market.
Financially sustainability
The project intervention should be financially sustainable, i.e. needing no external foreign
donor financing. This will be assessed based on the Cash flow analysis in Appendix 3, sheet
6 Cash Flow Analysis. The project intervention is regarded financially sustainable if the Cash
flow from operations is positive in the last year of the project, or earlier, If this is not the
case, please substantiate why the project intervention is financially sustainable, even
though it does not meet the above mentioned criterion. If alternative external financing is
expected (other structural funds, e.g. government), elaborate on this and make the
availability of the external funding after the project period plausible.
- How will the project be financially sustainable? Refer to the Cash Flow analysis in
Appendix 3, sheet 6 Cash flow, and substantiate that the project is financially
sustainable. Please describe financial sustainability of the project as a whole, but also,
where applicable, separately on the business case, and enabling environment.
Commercially viable
A project is perceived commercially viable if the project return on investment is reached
within 10 years from the start of the project, or when the project can be commercially
financed. For GWW-FDW The return on investment period is calculated based on the Cash
flow analysis in Appendix 3, sheet 6 Cash flow. Based on the cash flow analysis and the
provided information on commercial financing opportunities RVO.nl will decide whether the
project is commercially viable or not. If in doubt additional information on the background of
the figures may be requested.
- If the cumulative Cash flow becomes positive within 10 years, please state whether the
project can be commercially financed. If this is not the case, please substantiate why no
commercial funding can be obtained for this project.
No market distortion
- Substantiate why the GWW-FDW subsidy to your project will not lead to market
distortion in the target country or Europe?
Required:
- The project should be financially sustainable
- The project should not be commercially viable
- The projects may not lead to market distortion in the target country or Europe.
2.6 Innovation
Insert your text here…
In what way is the project’s product or process new in the context in which the project will
be implemented?
- Define what aspects are innovative and explain why.
Required:
- GWW-FDW assesses the extent to which the proposal is innovative in the
project context. Innovation could be achieved through innovative processes or
products. GWW-FDW finances proposals that would otherwise not be
implemented.
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2.7 Sustainability, Cross cutting themes and Corporate Social
Responsibility.
2.7.1 Sustainability and cross cutting themes (FIETS)
Insert your text here…
Describe how the project incorporates sustainability with special attention to the cross
cutting themes ‘gender’, ‘good governance’ and ‘climate adaptation’. Describe the project
sustainability according to the FIETS criteria (Financial, Institutional, Environment and
Climate, Technical and Social sustainable). Incorporate the cross cutting themes in FIETS;
for instance: Gender under Social, Good governance under Institutional and Climate
adaptation under Environment and Climate. Please use the FIETS checklist as provided on
GWW-FDW website: www.english.rvo.nl/GWW. Other FIETS-aspects than those given in the
checklist may be added.
- Describe how the project contributes to Financial sustainability. What project activities
and outputs are involved?
- Describe how the project contributes to Institutional sustainability. What project
activities and outputs are involved?
- Describe how the project contributes to Environment and Climate sustainability. What
project activities and outputs are involved?
- Describe how the project contributes to Technical sustainability. What project activities
and outputs are involved?
- Describe how the project contributes to Social sustainability. What project activities and
outputs are involved?
Required:
- Sustainability is assessed in accordance with the FIETS criteria. In other words,
the programme must be financially, institutionally, environmentally (including
climate), technically and socially sustainable.
- The cross cutting themes good governance, environment, climate change and
gender need to be addressed:
o The project preferably has a positive impact on good governance, and set
an example in their respective sector. Projects may not lead to conflicts of
interest between stakeholders or corruption. They should have a positive
effect on legitimacy and voice, direction, performance accountability and
fairness.
o The project preferably has a positive impact on the position of women and
girls. Projects may not lead to a deterioration of the position of women.
o The project preferably has a positive effect on the environment in the
country where the project is carried out or else restricts harm to the
environment by using an environmentally friendly/friendlier production
process.
o The project preferably has a positive effect on climate change adaptation.
2.7.2 International Corporate Social Responsibility (ICSR) of the project
Insert your text here…
The Dutch government places a great deal of value on corporate social responsibility. PPP
projects are expected to set an example in their respective sector with regard to CSR, and
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should not have any negative impact.
PPP projects must integrate ICSR in accordance with the updated 2011 OECD guidelines
http://www.oecd.org/daf/inv/mne/oecdguidelinesformultinationalenterprises.htm). In
particular it should be noted that the OECD Guidelines of 2011 have extended the
requirements on chain responsibility. Projects should avoid negative impacts of their own
project activities. If it is not possible to present a complete risk analysis of the project
including a supply chain, because the project location and/or the supplier(s) are not yet
identified, the risk analysis should be executed as far as possible and completed at a later
stage in case a subsidy is granted.
To help identifying the ICSR risks, the applicant can make use of the CSR risk-check tool of
MVO Nederland or own methods. The tool is available at:
http://www.mvorisicochecker.nl/en.
-
-
Describe what efforts will be devoted to integrate International Corporate Social
Responsibility (ICSR) in the project. Think of certification of production processes, social
standards, environmental standards etc.
What will be the ICSR approach of the project (include issues like employment
standards, workplace health and safety, gender policy, non-discrimination policy, child
labour, employee participation, chain responsibility, measures to prevent corruption, how
to deal with red tape, environmental management, etc)?
Identify the relevant ICSR risks (according to OECD guidelines) related to the projects
implementation and results
Describe the risks with regard to the chain (products & services, suppliers, ICSR risks).
Provide concrete mitigating measures how to minimize the identified ICSR risks for the
project and the chain.
Briefly describe the ICSR approach of the project partner(s) regarding the above
mentioned ICSR issues. Note that ICSR for companies is described in par. 3.6
Required:
- The project proposal must contain a realistic analysis of the ICSR risks in
accordance with the OECD guidelines and (other) unwanted effects of the
project intervention.
- Include measures taken to mitigate the identified effects and how this will be
monitored internally and externally for interested stakeholders (process of due
diligence).
- Include an analysis of the ICSR chain responsibility with regard to the most
essential (raw) materials or services.
2.8 Intervention risk assessment and mitigation
Insert your text here…
Perform a risk assessment on the project and describe risk factors that might have a
negative impact on successful completion of the project and formulate mitigating measures
to this risk. (Please note, ICSR and partnership related risks and monitoring can be
described in paragraphs 2.7.2, 3.4, and 4.3). Potential risks might for instance follow from
the economic or political situation, legislation, needed permits, social issues, etc.
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Identify the risks that can have a negative impact on the project success. Describe how
the project is affected if the risk becomes reality
Categorize the probability that the risk actually occurs (low/medium/high) and the
influence of the partnership has to reduce the risk of occurrence.
Provide concrete mitigating measures the project will implement to minimize the risk.
Required:
The project proposal must contain a realistic analysis of the project risks and
include concrete mitigating measures (at least those than can be influenced by the
project).
3 Partnership
3.1 Background and interest of project partners
3.1.1 Background of Applicant (= partner 1)
Insert your text here…
Describe the applicant/partner. Answer the following questions for the applicant/partner:
- In which category does the applicant/partner belong: company, NGO, government
department or knowledge institution? Substantiate this classification.
- When was the applicant/partner established?
- How many employees / FTE are employed by the organisation?
- For companies: Who are the owners? What percentage of shares does each shareholder
have? This can be presented in an organisational chart and appended to the application
as Appendix 5..
- What are the partners core activities?
Required:
- PPP aims to support cooperation between already existing organisations and
companies. Partners need to prove that they are capable.
- The core business of the partners must match with the proposed project
activities of the partners
3.1.2 Background of Partner #2
Insert your text here…
-
See explanation partner #1
3.1.3 Background of Partner #3
Insert your text here…
3.1.4 Background of Partner #4
Insert your text here…
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3.1.x Background of Partner #X
Insert your text here…
Fill out as many text boxes as needed; one for each partner
3.2 Partners interest, role and expertise
3.2.1 Interest, role and expertise Applicant (=partner 1)
Insert your text here…
Describe the applicants/partners interest to participate in the project, its role within the
project and its expertise that will assure successful execution of its role.
- What will be the role(s) of the applicant within the project?
- What is the interest of the applicant/partner by participating in the PPP and the project?
- What is the expertise of the applicant/partner on:
o
Cooperation in PPPs. Do the partners have previous experience of cooperating in
public private partnerships?
o
Addressed theme of the project (Sanitation and hygiene, Improved waste
management, Access to safe drinking water, Integrated water resources
management).
o
Development cooperation.
o
The local context (Ghana/project region).
- Describe the track record of the applicant/partner over the past three years in relation to
the envisioned project results.
- How does the role and interest of the applicant relate to their core activities and
expertise?
Required:
- The core business of the partners must match with the proposed project
activities and Results of the partners
- The partnership must have sufficient expertise at its disposal (on cooperation,
the theme and the context in which the project will be carried out).
- It must be plausible that the project partners can cooperate in a public private
partnership
- Track record: the members of the partnership have proven, through their
efforts over the last three years and the results achieved, to be able to attain
the planned outputs and outcomes, mobilise where necessary other parties
relevant for the implementation of the project and achieve sustainable results
with the target group.
3.2.2 Interest, role and expertise partner 2
Insert your text here…
-
See explanation Applicant (=partner 1)
3.2.3 Interest, role and expertise partner 3
Insert your text here…
14
GWW-FDW14a1
3.2.4 Interest, role and expertise partner 4
Insert your text here…
3.2.x Interest, role and expertise partner X
Insert your text here…
Fill out as many text boxes as needed; one for each partner
3.3 The added value of the partnership
Insert your text here…
Describe the strategic added value of the partnership. Explain to what extent and why the
different parties would not be able to achieve the goals independently.
- Does the PPP create synergy, i.e. the cooperation is more effective than when each
partner would act individually? This could for instance be the case for access to markets
financing, better use of infrastructure, innovation, better risk management etc. If
applicable, explain how the synergy is obtained.
- Does the PPP increase efficiency and share the risks? If so, how?
- Why is each partner crucial to implement the project successfully? To what extend is
achieving the project Results depending on the participation of each partner.
Required:
- It is important for the parties to demonstrate that they will be implementing
the programme together. The proposal should explain why and how the
partnership has more value for the substantive goal of the programme than
individual applicants would have.
- The partnership has strategic added value (for the development objectives).
The strategic added value of the partnership may lie in various factors,
including synergy (thematic specialisation) and efficiency gains (costs
reduction).
- The extent to which the partnership is crucial to achieving the envisaged goals;
why wouldn’t the different parties be able to achieve the goals independently?
- The extend to which the partners share the risks related to the project
intervention
3.4 Partnership risk assessment and mitigation
Insert your text here…
Perform a risk assessment on the partnership and describe risk factors.
-
What partnership risk factors are identified and what is their influence on the project
15
GWW-FDW14a1
-
progress.
What is the probability a risk negatively influences the project progress.
What measures will you take to mitigate the risks?
Required:
- The partnership is based on a feasibility analysis. This analysis examines at any
rate: the risk factors and/or the partnership’s weaknesses. The feasibility
analysis identifies risks and contains concrete measures aimed at controlling
them.
3.5 Partnership governance and arrangements
Insert your text here…
Describe the governance of the project and partnership. How is the governance model
structured? How will local project management be arranged?
Besides, describe how the partnership will be formalised. Together with the application, a
cooperation agreement, signed by the applicant and all partners should be provided as
Appendix 8; the outline of the cooperation agreement is already available (see Appendix 8).
If GWW-FDW funding is granted, a partnership agreement has to be drafted and signed by
all partners as part of Result 1. This partnership agreement has to pay attention to the
roles, the way that the partners will secure the transparency and responsibility for planning,
decision making and the use of means and results.
- Provide the governance model, in particular pay attention to local project management.
- Provide a cooperation agreement as Appendix 8, signed by the applicant and all partners.
- Describe what kind of formal agreement will be entered into if GWW-FDW funding is
granted (contracts, MoUs, Joint Ventures)?
Required:
- Together with the application a cooperation agreement, signed by the applicant
and all partners has to be provided as Appendix 8.
- In Result 1 the parties must set out their partnership in a written partnership
agreement. This shows the extent to which arrangements, the governance of
the partnership and the spreading of costs and risks have been agreed upon by
the partners.
3.6 ICSR for companies
Insert your text here…
All company(ies) of the partnership should act in accordance with the OECD guidelines for
multinational enterprises with regard to ICSR, the ILO declaration on fundamental principles
and rights at work and the UN convention on biodiversity. Where available, please provide a
copy of the existing and implemented ICSR policies of companies as Appendix 7 to the
application.

-
Do (does) the company(ies) of the partnership has (have) a formalised ICSR policy
document?
If yes, please attach a copy of the document as Appendix 7 to the application and refer
in this box to the document. No further description of the ICSR policy in this box is
16
GWW-FDW14a1
-
needed. However in case the ICSR policy does not yet include a description of how the
policy is implemented in the company (including management instruments) and how the
company communicates on it’s implementation with its stakeholders, these two subjects
should be described in this box.
If no, please describe the ICSR policy in this box concerning for example employment
standards, workplace health and safety, gender policy, non-discrimination policy, child
labour, employee participation, chain responsibility, measures to prevent corruption, how
to deal with red tape, environmental management, etc.
Required:
- The company(ies) of the partnership should comply with the OECD guidelines
for multinational enterprises with regard to ICSR, the ILO declaration on
fundamental principles and rights at work and the UN convention on
biodiversity.
- The ICSR policy should be based on the principles of the OECD guidelines, the
IFC Performance Standards or ISO 26.000 and cover at least a number of its
principles. A tool how to design your ICSR policy based on OECD can be found
at: http://www.oecdguidelines.nl/get-started/creating-a-csr-policy/
- If the company(ies) of the partnership has (have) no ICSR policy yet, GWWFDW will require them to produce a ICSR policy during the project period. This
will be set as a condition in the Administrative decision for approved grants.
4 Operational implementation
4.1 Technical Assistance (TA)
4.1.1 Project staff
Insert your text here…
Provide the staffing and accompanying budget of the project, including names and resumes
of the project management and senior experts.
- Please fill out Appendix 3, sheets 3.1 to 3.10, Result 1 to Result 10.
- List the key members of the project team and indicate their roles and responsibilities.
Key members are project management staff and senior experts.
- Please copy the table ‘Staff hours and budget’ from Appendix 3, sheet 5 Summary
Tables, and replace the example table below with it.
- What activities are part of project management?
- Please provide resumes as Appendix 6 to the Application.
Required:
- The staffing, especially of the project management and senior experts, needs to
be of sufficient quality to secure a successful completion of the project.
- The tariffs of the project staff need to be market conform in developmental
cooperation. Besides, tariffs will be an important component of the project
assessment.
- The tariffs of the project staff need to be calculated based upon the required
Dutch tariff system of ‘Wage costs and a 50% mark-up’ (please refer to the
GWW-FDW (3rd call) policy rules, Annex 1, paragraph 5.2).
- Project staff cannot be budgeted for more then 48 hours per week.
17
GWW-FDW14a1
Table: Staff hours and budget
Replace the Example of ‘Table: Staff hours and budget’ with the filled out table from
Appendix 3, sheet 5 Summary Tables. Please delete all non-used results.
Staff hours and budget (€)
R3
R4
R5
R6
R7
R8
R9
RF
(€)
€
(€)
€
(€)
€
(€)
€
(€)
€
(€)
€
(€)
€
(€)
€
(€)
€
(€)
€
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
Junior
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
Total
Int
R2
€
Int
R1
(€)
Medior
Local
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
hours
budget
Senior
Int
Total
Project
leader
Local
Unit
Local
Result
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
0
0
0
0
0
0
0
0
0
0
0
-
€
€
€
€
€
€
€
€
€
€
€
0
0
0
0
0
0
0
0
0
0
0
-
4.1.2 Knowledge transfer and capacity development programme
Insert your text here…
Give a detailed description of the knowledge transfer and capacity development programme
and its rationale. This programme can include training, education and activities and
interventions like awareness campaigns to induce behavioural change.
-
What is/are the objective(s) of the capacity development programme?
What kind of training activities will be performed (lectures/workshops etc)?
Which skills or knowledge will be transferred?
What behavioural change is envisioned?
Who and how many people will be trained? Distinguish target groups trained. If possible
determine the levels of people trained (e.g. basic-level, medium- or high-level training).
How many people will be reached with awareness campaign interventions? What is/are
the target group/groups?
Please fill out the tables below (Training table and Table Awareness campaigns).
Required:
- Transfer of knowledge is an essential aspect of every GWW-FDW project.
- The budget for Technical Assistance is partly based on the knowledge transfer
and capacity development programme.
18
GWW-FDW14a1
Example:
Table: Training
Training
No.
Result
(s)
1
e.g.
Result 2
Title
Number of
people to be
trained
Number
of training
days per
person
Basic
Total
number of
training
days
= III*IV
Cost per
training
(€)
Medium
High
2
Basic
Medium
High
Etc
Total
na
na
Basic
Medium
High
Table Awareness campaigns
Intervention Result(s)
No
1
1
Title
Number
of
people
reached
Target
group(s)
Total
intervention
costs (€)
e.g. Result 2
Etc.
Total
4.2 Hardware
Insert your text here…
Specify the hardware in the project in Appendix 3, sheet 3.11 Hardware Specification.
Describe why the specified hardware is needed to obtain the envisioned Results.
- Provide a list of all hardware that will be bought during the project and specify the costs
per item in Appendix 3, sheet 3.11 Hardware Specification. It is NOT required to copy the
hardware list into the project plan.
- Describe in the project plan why the hardware is needed.
- Provide a technical specification of hardware that is at the core of the project, e.g.
sanitation facilities, and always of large scale hardware, e.g. a waste processing plant.
Please provide technical drawings etc. as an annex to the project plan, if required in
annex 9 (optional).
At least provide information on the following aspects in the project plan:
o
The maximum capacity of the hardware that will be purchased? For instance in case
of a water purification unit the number of m3/d.
o
The percentage of the above mentioned capacity that will be used at the end of the
19
GWW-FDW14a1
project period.
The technology on which the hardware is based.
o
Is the technology commercially proven?
Who will be the owner of the Hardware during the project?
Who will be the owner of the Hardware after project completion?
o
-
Required:
- An overview of all hardware is needed to assess the project's budget. Please list
hardware in Appendix 3, sheet 3.11 Hardware Specification.
- The technology on which the hardware is based should be commercially proven.
- The hardware capacity should be in line with the actual and short term demand.
- Note that before completion of Result 1 it is not allowed to make costs for
hardware.
4.3 Project monitoring and evaluation
Insert your text here…
Describe the project monitoring and evaluation on the project progress. Additionally,
describe how the financial and administrative management will be conducted.
Project progress:
- Describe the Planning, Monitoring and Evaluation (PME) system of the project. Pay
attention on how progress on achieving the Results is monitored. Substantiate this is
adequate to successfully implement the project.
- What indicators will be measured on output and outcome level? What methods will be
used?
- Describe how sustainability and cross cutting themes are incorporated in the system for
monitoring and evaluation of the project.
- Describe how ICSR of the project is incorporated in the system of monitoring and
evaluation.
- For projects with a project budget above € 4 mln: Describe how the external evaluation
on achieved output an outcome will be organised.
- Describe how potential risks (project and partnership) or the effects of mitigating
measures are monitored.
Financial & administrative management
- Describe the financial and administrative management of the partnership and
substantiate this is adequate for successful implementation of the project.
- Pay special attention to the financial and administrative management of the applicant,
who will be liable towards RVO.nl.
Required:
- The proposal must include a satisfactory system for monitoring and corrective
action.
- The partnership must have at its disposal sufficient capacity in the areas of
internal management, policy implementation and management in order to
successfully carry out the programme and account for its performance.
- PME: the PME system is adequate to assess if the progress of outcomes, outputs
and sustainability are sufficient. The organisations have regular independent
checks on their internal functioning and their outcomes and quality assurance
20
GWW-FDW14a1
-
Financial and administrative management: there is an adequate check on the
financial situation of all parties and an adequate monitoring system of the
financial situation of the project.
Please note, a minimum of 2% of the project budget should be allocated to
monitoring and evaluation (refer to Appendix 3, sheet 3.12 overview).
Projects with project budgets above €4 mln need to be evaluated on at least the
obtained output and outcome by an external evaluator. The partnership needs
to take the necessary provisions for this.
5 Project budget
The project budget and financial figures should be given in Appendix 3 Financial
sheets. Please fill out all worksheets of Appendix 3 and include a copy as Appendix
3 with the GWW-FDW application. Please note that the project budget needs to be
specified per Result (refer to paragraph 2.4.2 Output and outcome and Appendix
2, Result chain and Results.
5.1 Contribution project partners
Insert your text here…
Contribution of project partners
Fill out the table in Appendix 3, sheet 2 Contributions, and Appendix 3, sheet 3.13 Liquidity
Requirement. Here the contribution of the project partners and GWW-FDW should be
provided.
- Please copy the resume table ‘contribution of the project partner’ from Appendix 3, sheet
5 Summary tables, and replace the example table below with it. Please provide a short
explanatory text here, in which the own contribution is further specified (e.g. if in kind, is
it in labour or goods; if in cash, for what activities/output/outcome will this be used).
- Please substantiate that own contribution is not derived from a loan from another party
in the partnership.
Financial statements
It should be demonstrated that the partners are able to finance their own contribution.
Public partners should demonstrate this by sending a legally signed Letter of Intent
following the mandatory format of Appendix 4a.
Companies, NGOs and Knowledge Institutes should provide copies of the most recent,
audited annual report. Based on the audited annual reports, Appendix 3, sheet 4 Key
Standard table should be filled out. Please, substantiate how the partners are able to
finance their own contribution. If necessary a Bank Guarantee or loan, or Third Party
Guarantee can be provided. If so, the mandatory formats of Appendix 4b and 4c should be
used.
Please read the explanatory text of Appendix 3, sheet 4 Key Standard Table for more
information on how the audited annual reports and the Key Standards Table will be used
demonstrating the financial capability of the project partners.
-
Provide for Companies, NGOs and Knowledge Institutes the most recent annual report as
21
GWW-FDW14a1
-
Appendix 4, Financial Statements. Please refer to the additional information in Appendix
4.
Provide for Public partners a legally signed Letter of Intent regarding the own
contribution.
Describe how the own contribution is financed by the project partners (refer to Appendix
3, sheet 4 Key Standards Table)
o
Describe how the own contribution and working capital will be provided for.
o
Describe how the GWW-FDW contribution will be pre-financed, based on the liquidity
requirements as given in Appendix 3, sheet 3.13 Liquidity Req.
Required:
- The project partners should contribute at least 30% of the project budget. At
least 15% of the project budget (=50% of PPP’s own contribution) needs to be
contributed by companies.
- In-kind contributions of Ghanaian governmental bodies are not regarded as
‘own contribution’.
- All project partners should demonstrate they are able to finance their own
contribution and can pre-finance activities if necessary.
Table: Contribution of the project partners
Replace the Example of Table: Contribution of the project partners with the filled out table
from Appendix 3, sheet 5 Summary Tables
Example
Contribution of the project partners
Name
Category
GWW-FDW
Public Body
contribution
financed in
cash (€)
contribution Total
financed in- contribution
kind (€)
(€)
Share (%)
€
-
€
-
€
-
#DEEL/0!
Applicant
0
0 €
-
€
-
€
-
#DEEL/0!
Partner 1
0
0 €
-
€
-
€
-
#DEEL/0!
Partner 2
Partner 3
0
0
0 €
0 €
-
€
€
-
€
€
-
#DEEL/0!
#DEEL/0!
Partner 4
Partner 5
Partner 6
Partner 7
Partner 8
Partner 9
Partner 10
Total
0
0
0
0
0
0
0
0
0
0
0
0
0
0
€
€
€
€
€
€
€
-
€
€
€
€
€
€
€
-
€
€
€
€
€
€
€
€0
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
5.2 Revolving Fund
Insert your text here…
If the project intervention strategy involves the setup and operation of a Revolving fund,
this paragraph must be completed. If the project does NOT include a Revolving Fund this
paragraph can be deleted from the project plan.
In relation to the project budget and the Revolving Fund, please describe:
22
GWW-FDW14a1
-
How will the Revolving Fund be financed.
How much GWW-FDW funding is requested as financial capital for the Revolving Fund?
Please refer to the requirements and restrictions as mentioned in the Subsidy Order
GWW-FDW (3rd call).
As stated earlier in paragraph 2.4.2 Output and Outcome all activities related to set-up,
implementation and operation of a Revolving Fund should be included in a separate
result ‘Result 10.RF’. This results in that also the budget relating the Revolving Fund will
be separately given in Appendix 3, sheet 3.10 RF.
Required:
- The partnership must contribute at least 30% of the financial capital of the
Revolving Fund in cash. Thus maximum 70% is contributed by GWW-FDW.
- The financial capital of the Revolving Fund originates at all times during the
project period at least for 30% from the partnership’s own cash contribution.
- The maximum GWW-FDW-funding on the financial capital of the Revolving Fund
is €250,000. Do note that this is excluding costs on Technical Assistance,
including training and marketing during development and implementation of
the Revolving Fund. Also note that only a maximum of €107.143,- of the
working capital of the Revolving Fund can be capitalised as part of the
partnership’s own contribution.
5.3 Overview project budget
Insert your text here…
Fill out the project budget in Appendix 3, sheet 3.1 to 3.10 Result 1 to 10. Please present
the budget summary below by copying it from Appendix 3, sheet 5 Summary tables and
replacing the example table below.
Explanatory text can be added here.
Notes to the various items in the project budget:
1. Project management
- This includes the cost for time spent by the project partners and consultants on activities
such as organizing meetings, drafting business plans, reporting and the like.
- Overhead, i.e. travel and accommodation costs are also included.
- Please specify the number of days spent on project management per Result.
- If a consultant is hired for project management or project administration the consultant's
contract may be inspected.
2. Monitoring & Evaluation
- A minimum of 2% of the total project budget is required to cover Monitoring and
Evaluation costs of the project. This includes the execution of a baseline study. The
output and outcome of projects with a project budget above € 4,000,000 need to be
evaluated by an independent external party.
3. Other Technical Assistance
- This includes all costs for transfer of knowledge and training activities for the employees
23
GWW-FDW14a1
-
and for any third parties.
In addition, legal costs as well as costs for permits, marketing, engineers and architects
may be included here.
Certification: all cost for certification of quality or ICSR (e.g. ISO-certification,
environmental certification)
Other cost related to ensure ICSR compliance.
4. Hardware
- Capital goods: these include all investments in tangible goods used for implementation of
the project.
- Infrastructure: cost of creating new or improving existing infrastructure. (purchases of
land or existing buildings are not eligible for subsidy)
- Cost of levies for the purchase of capital goods
- Cost of VAT duties, provided partners can justify that VAT costs are not reimbursable or
that project partners are not exempted from paying VAT duties, and the costs are
included in the budget.
- Please note that the full achievement of Result 1 is required to commence with the other
Results. In Result 1 only Technical Assistance can be applied for. As from Result 2,
Hardware may be included in this table.
The following costs are not to be included in the GWW-FDW budget:
- Project cost incurred before the start date of the project, as specified in the
Administrative decision
- Costs for compiling and dispatching in the GWW-FDW application.
- Financing costs and interest costs.
- Research and development (R&D) costs.
- Costs for purchasing, renting or leasing land.
- Costs for purchasing, renting or leasing existing buildings.
- Sales tax, VAT that can be reimbursed.
- Operational costs, excluding project operational costs.
- In-kind contributions of Ghanaian governmental bodies.
- Cash contributions by Ghanaian governmental bodies direct related to their primary
government tasks
- Costs made and paid by third parties, i.e. parties outside the GWW-FDW partnership.
- Inflation costs or costs related to changing exchange rates.
Required:
- The proposed project budget should be in line with and proportionate to the
corresponding activities.
- It should be plausible that the project partners can finance the own
contribution.
- A minimum of 30% of the total project budget should be contributed by the
partnership. A maximum of 70% of the total budget may consist of GWW-FDW
grant. A higher own contribution is encouraged.
- A minimum of 15% of the total project budget (=50% of the contribution by the
partnership) should be contributed by commercial partners (companies)
- The partnership’s own contribution cannot be originated (directly or indirectly)
from grants of the Dutch Ministry of Foreign Affairs, or from commercial loans.
Table Summary overview project budget
24
GWW-FDW14a1
Copy/paste and replace the Example table below with the filled out table from Appendix 3,
sheet 5 Summary Tables applicable to the project.
Exampl:
TOTAL
Result RF
Result R9
Result 8
Result 7
Result 6
Hardware (€)
TOTAL BUDGET (€)
1+2+3+4
Result 5
4
Result 4
3
staff (€)
Monitoring & Evaluation
(€)
Technical Assistance
(excluding project staff)
Project operation (€)
1+2+3
Result 3
2
Result 2
Result 1
1
TOTAL in %
Summary overview project budget
Budget item
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€ 0 #DEEL/0!
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€ 0 #DEEL/0!
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€ 0 #DEEL/0!
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€0
€ 0 #DEEL/0!
€ 0 #DEEL/0!
€0
€0
€0
€0
€0
€0
€0
€0
€0
€ 0 #DEEL/0!
NA
€0
25
GWW-FDW14a1