Order of the Minister for Foreign Trade and Development Coordination of 11 July 2013, no.
MinBuZa-2013.207602, laying down administrative rules and a ceiling for grants awarded
under the Ministry of Foreign Affairs Grant Regulations 2006 (SWMM).
The Minister for Foreign Trade and Development Cooperation,
Having regard to article 6 of the Ministry of Foreign Affairs Grants Decree;
Having regard to article 4.8 of the Ministry of Foreign Affairs Grant Regulations 2006;
Orders:
Article 1
The administrative rules appended as an annexe to this Order apply to grants awarded
under article 4.8 of the Ministry of Foreign Affairs Grant Regulations 2006 with a view to
financing activities in the areas of water safety and water security that promote structural
poverty reduction and sustainable economic growth.
Article 2
1. A ceiling of €8 million applies to SWMM grants awarded for the period from the date on
which this Order enters into force until 31 December 2017.
2. In so far an SWMM grant is awarded out of a budget which has not yet been fixed or
approved, it will be awarded only on the condition that sufficient funds are being made
available in the budget by the government and parliament.
Article 3
1. Applications for SWMM grants may be submitted from the date on which this Order
enters into force until 16 September 2013 (12:00 Kenyan time).
2. Applications for SWMM grants must be submitted using the model application form
stipulated by the Minister and accompanied by the documents stipulated in the form.
Article 4
The available funds will be allocated in accordance with an assessment based on the criteria
set out in the annexe to this Order, on the understanding that, of the applications that meet
the criteria, those that meet them best will be given priority, within the framework as
stipulated in article 8, paragraph 3, sub d, of the Foreign Affairs Grant Regulations 2006.
Article 5
This Order enters into force on the day after the date of publication of the Government
Gazette in which it appears and lapses with effect from 1 January 2018, with the proviso
that it continues to apply to grants awarded prior to that date.
This Order and its accompanying annexe, except Appendix I, will be published in the
Government Gazette. Appendix I will be published on the Embassy website,
www.kenia.nlembassy.org.
For the Minister for Foreign Trade and Development Cooperation,
The acting Ambassador of the Embassy of the Kingdom of the Netherlands in Kenya,
Hans Docter.
Attachment
Framework Grant Sustainable Water Management
Mara River Basin (SWMM)

1. Introduction
Sustainable Water Management Mara river basin (SWMM) is a Fund provided by the minister for
Foreign Trade and Development for the purpose of improving water security and flood protection in
the Mara river basin in Kenya. The Dutch Embassy in Nairobi manages this Fund. This policy
framework sets out the guiding principles for assessing applications for grants under this framework.
Together with the model application form (Appendix I) it is also to be used as a guide for drawing up
grant applications.
Because water is an important public resource, government plays a major role in water-related
interventions. Whilst still actively involving the government the Dutch Embassy has (since 2006)
opted to direct funds relating to water-related programmes through external parties. Such parties are
often NGO’s (mainly active in water management, food security and rule of law), multilateral
organizations or non-profit organizations working through public private partnerships (PPP). This
approach has been set out in the MASP 2009-2011 and again in the MASP 2012-2015. It has proven
to be of great value to engage parties such as NGO’s, private companies and universities whilst
working in Kenya.
For example the results achieved with the 2008 Lake Naivasha basin programme1 have been
successful. The programme was headed by the WWF Kenya in collaboration with businesses,
government agencies, universities and NGO’s. The Kenyan government has spoken out in favour of
this approach and has implemented it into policy. The Lake Naivasha program has developed into a
PPPP (Private-Public-People Partnership).
Public-Private Partnerships (PPPs) are an effective instrument for mobilizing the expertise, resources
and networks of the parties involved and deploying them to achieve common goals such as water
safety and security. In addition, all parties could benefit, when willing to take responsibility for a part
of the risk.
SWMM looks to build on previous PPPs water programmes2 and will benefit from the past experience of
the Fund for Sustainable Water (FDW, 2012). The purpose of SWMM is to improve water security and
flood protection in the Mara river basis through public private partnerships. SWMM will contribute to
sustainable economic growth and poverty reduction, with attention for vulnerable groups and
environmental sustainability.
SWMM follows the approach of the Fund for Sustainable Water (FDW) and aims to create opportunities
for new combinations of cooperating parties (public, private, NGO’s and knowledge institutions), both
from the Netherlands and Kenya, bringing their own expertise (knowledge, entrepreneurship,
networking, and financial resources).
Sustainable Water Management Mara river Basin (SWMM) fulfils the goals out in the letter to
parliament on Water for Development (9 January 2012) 3 and is in line with the new policy for
development cooperation set out in the letter to the House of Representatives outlining development
cooperation policy (26 November 2010) 4 and the letter to the House of Representatives presenting
the spearheads of development cooperation policy (18 March 2011) 5. In addition it strokes with the
Embassy’s Multi-Annual Strategic Plan (MASP)6 and key policy note “A World to Gain”7.
1
Initially funded from central resources (eg MFS1), later through delegated funds (2011-2012).
Examples include the Call for Ideas (2003), the Schoklandfonds (2007) and the PPP Facility WASH (2008).
3
Letter to parliament II, 2011/12, 32 605, nr.65.
4
Letter to parliament II, 2010/11, 32 500 V, nr. 15.
5
Letter to parliament II, 2010/11, 32 605, nr. 2.
6
See http://kenia.nlambassade.org/bijlagen/masp-2012-2015.html.
2
SWMM focuses on three subthemes within the water policy priority:

efficient water use, especially in agriculture;

improved river basin management and safe deltas.
SWMM is based on the core values of the new development policy. A clear geographical and thematic
focus on sustainability has been chosen, which allows the Embassy in Kenya to provide the Dutch
water sector with the possibility to get involved with the country programme.
2. Policy principles SWMM
2.1 Aims SWMM
The objective of the SWMM is to improve water safety and security in the Mara river basin through
public-private partnerships; SWMM contributes to sustainable economic growth, poverty reduction and
empowerment of the population in the Mara river basin.
2.2 Description of issues and basin
The Mara river basin has been selected by the Dutch Embassy on the basis of several criteria after the
review of 6 basins in Kenya. These criteria used were: available hydrological information, security
situation, political environment, potential partners, Dutch interests, link with food security, private
sector involvement and ability to achieve significant results by 2017. When taking these criteria into
consideration the Mara river basin scored highest.
The land in the Mara river basin has a very diverse usage, which to a large extent depends on the
amount of rainfall (related to the location above sea level). The area is also characterized by rapid
population growth, leading to more pressure on agriculture. The Embassy Programme in the field of
food security provides funding for a plan to irrigate fruit plantations (avocados) in Narok through
Solidaridad. An increase in the basins irrigation is likely.
The Mara river basin covers an area of 13,500 km2 (approximately 40% in the Netherlands), 65% of
all basins in Kenya, 40% in Tanzania. The Kenyan part of the basin has about 320,000 inhabitants and
covers parts of the Bomet, Narok and Nakuru Counties. The basin has the following characteristics:
Upper catchment:

2932 – 2400 m above mean sea level: Deforested and degraded agricultural land. Frost occurs
several times per year. Outside Mau Forest complex but marginal agricultural land.

2200 – 2400 m above mean sea level: Forest reserve of Masai Mau Forest block. Relatively intact
forest, bound by 50 m wide strips of tea plantations owned by the Moi family. Rainfall 1000 –
1750 mm / yr.

1800 – 2200 m above mean sea level: Small scale farms. Farm size 2-3 acres, being subdivided.
High soil erosion resulting in high silt loads in the rivers (Nyangores: 162 tonnes of soil per year is
lost, more in the Amala river).
Middle catchment:

2200 – 1700 m above mean sea level: Large wheat farms (>10.000 ha), characterized by leased
lands, high erosion rates, use of pesticides and loss of grazing land. Irrigation is coming up.

1700 m above mean sea level: private conservancies, grazing land. Risk of degradation because of
overgrazing.

1700 – 1500 m above mean se level: protected area of Masai Mara Reserve and Serengeti
National Park (Tanzania). There are about 200 tourist facilities in and near the protected areas,
most without any water treatment.
Lower catchment (Tanzania):
7
Letter to parliament II, 2012/13, 33 625, nr.1.

1500 - 1134 m above mean sea level: dry lands and Mara wetland. The wetland is expanding due
to siltation. Also some encroachment leading to conversion of wetland to agricultural land. There
are plans to construct an irrigation scheme in this area.
Key problems related to water management in the Mara river basin are:

Changes in land use. These include
o conversion of forest into agricultural land in the upper basin (Mau Forest);
o conversion of pastoral land into land for extensive agriculture (wheat, barley) in the
middle part of the catchment (Narok)
o introduction of irrigated agriculture in the middle part of the catchment and in the lower
catchment (Tanzania);
o subdivision of pastoral land in the middle catchment;
o introduction of conservancies in the middle catchment;
o Plans for 3 large dams / reservoirs, 2 of which are planned in the upper catchment in the
perennial Amala and Nyangores tributaries. The third dam is planned in Tanzania. The
dams are multipurpose: electricity generation and irrigation. Details are lacking.
o Changes in the lower catchment take place in Tanzania and have not been witnessed, but
are said to include:
o siltation of an existing wetland due to high sediment loads in Mara river, leading to
expansion of that wetland
o Large scale irrigation scheme planned near Musoma, TZ.

High population growth in urban and rural areas (3.8%!). This leads to a rapidly increasing urban
population in Mulot, Longisa and Bomet and insufficient water supply and sewerage. Bomet town
has some water provision but no sewerage whatsoever. The water utility of Bomet is created
recently: Nile Basin Initiative has funded a network providing 19,000 people (1750 households) in
2009. The network is not yet commissioned. In 2009 Bomet had a cholera outbreak, killing several
persons. There is no sewerage in the towns, which implies that much of the sewage sludge ends
up in the river, either directly through open drains or by dumping of sludge taken from latrines
and septic tanks by exhauster services into the river. Sewerage plan was developed in 2008 and
revised recently. However these plans include only a Water Treatment Plant (WTP) and a trunk
line, no house connections. Without house connections the WTP can only be used for treating
sludge extracted from septic tanks. This is unlikely to be cost-effective.

There are 7 Water Resources User Associations (WRUAs) in the area and one umbrella WRUA, but
they are organisationally weak. Links with WRMA are established but not very fruitful (as is the
case in Naivasha and Nakuru).

There are 3 Community Forest Associations (CFAs) that operate near the Masai Mau Forest block.
The CFAs are weak and lack resources.

The NELSAP8 programme has funded pre-feasibility and feasibility studies for 3 large dams in the
Mara river basin, one of which is located in Tanzania. The two others are located in the Amala and
Nyangores tributaries (Norera and Silibwet locations). Details are lacking, but at the two dams in
Kenya will be multi-purpose (hydropower and irrigation), 25 million m3 (MCM) and 110 MCM,
respectively. No Environmental and Social Impact Assessment (ESIA) study or resettlement plan
has been completed yet.

High soil erosion in the upper and middle catchments leads to high silt load of the rivers.

The extensive (wheat and barley) farms in the middle catchment lead to soil erosion (wind and
water) and a heightened pesticide load in the Mara river.

Tourism: On the Kenyan side of the border there are over 200 tourist facilities (camps and
lodges), mostly close to the river and most of them without a treatment facility for waste water.

Climate change may exacerbate the effects of changing land use.
2.3 Description of desired outcomes:
In order to qualify for an SWMM grant applications should be aimed at poverty reduction, sustainable
economic growth and self-reliance in the Mara river basin community. Furthermore the application
should focus on the following solutions:

The creation of sustainable modes of finance geared at improved water management, entirely
funded by stakeholders present within the Mara river basin. Local businesses must partake.
8
NELSAP = Nile Equatorial Lakes Subsidiary Action Programme, an outfit from the Nile Basin Initiative.




The development of a water management strategy that will be supported by local authorities
and will ensure backing from the Kenyan stakeholders in the Mara river.
Launching activities that will lead to an improvement in water quality in the Mara river.
Launching activities that will lead to the conservation of existing forests and restoration of
depleted forests.
Launching activities that will lead to an increase in the number of hectares managed in a
sustainable manner outside the Masai Mara Reserve.
2.4 Who are the grants for?
To be able to qualify for an SWMM grant the application should be submitted on behalf of a
partnership. The Ministry of Foreign Affairs defines a PPP as follows: ‘A PPP is a collaboration between
public-sector and private-sector entities, frequently joined by NGOs, trade unions and/or research
institutions, in which risks, responsibilities, resources and competences are shared in order to attain a
common goal or perform a specific task.’ This definition is a guideline for the SWMM, but more specific
requirements apply to the composition of the partnership. Partnerships applying for grants under this
facility must consist of at least one public institution and one company. Involvement of an NGO or
research institution is also required. At least one of the parties must be based in the Netherlands and
at least one in Kenya.
One of the applicants applies for a grant on behalf of the partnership. The role of lead applicant is
open to either a Dutch or European Union based applicant, and cannot be a government organisation.
If the grant is issued, the lead applicant will act as the recipient of the (full) grant.
The grant recipient, or lead applicant, bears responsibly to the Minister and is fully liable for complying
with all obligations pertaining to the grant, even if the grant is partially funding activities carried out
by co-applicants.
In the event that any alterations occur in the partnership structure (such as parties entering, exiting
or ceasing their involvement) the lead party will act as contact and bear full liability towards the
Minister. If changes in the partnership structure occur, the lead party will furthermore submit all
details to the Minister pending approval. The Minister reserves the right to reclaim the grant partially
or in full from the lead applicant.
If the application of the partnership is approved, the lead applicant will act as grant recipient. The lead
applicant is thus responsible for the implementation of the proposal. Seen as the lead applicant is
dependent upon the other co-applicants for correct implementation of the proposal and the compliance
with obligations pertaining to the grant, the co-applicants must state in the proposal that they will cooperate as agreed upon. A document explicitly signed by all applicants, acting as safeguard, must
stipulate the agreements made as to the implementation of the proposal. This agreements should
guarantee the assistance of all partners to the implementation of the programme and the compliance
with obligations pertaining to the grant.
SWMM is focused on solving problems and taking advantage of opportunities for which a PPP offers
significant added value.
The PPP must clearly state which problems it intends to solve, what the benefits are of solving these
problems (providing legitimacy), which strategy will be used to tackle the identified problems, which
parties are willing/able to execute solutions, what results are to be expected, how results are to be
realized, and when results are to be expected.
2.5 Financials
The minister for Foreign Trade and Development has made € 8 million available for the funding of
grants relating to the framework of SWMM.
A minimum grant of €500,000 applies for the full duration of the PPP. The maximum is €8 million. A
Sustainable Water Fund grant constitutes a contribution towards the costs directly associated with the
implementation of the project.
The following costs are eligible for grants:


cost of durable capital goods (hardware) used in the production process, with the exception of
existing buildings and land;
cost of technical assistance, such as project management, training, advice and certification.
Under article 9 of the Ministry of Foreign Affairs Grants Decree, a grant will be refused if it is
submitted after the activities have started. For the record, it should be noted that if activities are
carried out in preparation for the project before submission of the application, this will not lead to
refusal to award a grant, but the costs will not be covered by the grant.
A partnership applying for a grant is required to make a minimum contribution of 15% of the total
budget. Higher contributions by applicants are encouraged. The price-quality ratio is weighed in the
assessment.
One third of the grant applicant’s own contribution may consist of grants from other sources than the
Ministry of Foreign Affairs and funds from not-for-profit organisations. This means that a minimum of
10% of the total programme budget must come from companies.
2.6 Monitoring and Evaluation
The requirements concerning monitoring and evaluation are incorporated in the assessment criteria
(see 3 and 4).
2.8 Regulatory burden
The total administrative costs for this grant are estimated at € 94,068 for the components that are
submitted, which is 1.2% of the total available grant. The figures will differ per submitted instrument.
The total administrative charges for an application will amount to €47.034. The justification costs will
be included in the project budget. The above amounts total 1.2% of the entire grant of € 8 million.
The administrative charges are largely in line with the USK. Audits take place once a year and the
advancement will be completed on a predetermined basis. The application procedure has been drafted
to ensure the least possible burden by requiring only documents relevant for the application.
3. Assessment procedure SWMM
3.1 Assessment procedure
3.1.1 Assessment criteria
To be eligible for SWMM grants, partnerships and proposals must meet certain criteria. There are
three types of criteria:

Threshold criteria: criteria which all applications must meet. If an application does not meet all
of the threshold criteria, it will be rejected.

Criteria relating to the quality of the programme proposal.

Criteria relating to the capacity of the executors and added value of the partnership.
3.1.2 Guiding principles
The provisions of the General Administrative Law Act, the Ministry of Foreign Affairs Grants Decree
and the Ministry of Foreign Affairs Grant Regulations 2006 are fully applicable to the assessment of
applications and the award of grants. Applications will be assessed in accordance with the above
legislation and pursuant to the requirements set out in these administrative rules. The administrative
rules laid down in the Standard Framework for Development Cooperation9 also apply. If the
9
Decree of the Minister of Foreign Affairs dated 24 July 2012, No. Minbuza-2012.16922, establishing general
provisions policy for subsidies granted to development cooperation activities (Standard Framework for
Development), Government Gazette. 2012, No. 15896.
administrative rules applying to SWMM deviate from the Standard Framework for Development
Cooperation, the former will prevail.
The assessment of grant applications and the award and allocation of the available funds will take
place by means of a call for proposals: the quality of all applications that meet the requirements set
out in these administrative rules will be assessed according to the same criteria. The applications that
best meet the criteria will be given priority in the award of grants. The Minister will award grants in
accordance with this ranking.
3.2 Assessment and the allocation of available resources
The assessment of applications for SWMM grants will take place in two stages.
In the first stage applications are tested against the threshold criteria. The threshold criteria are
criteria that applications for SWMM grants must meet. No points are awarded; applications that fail to
meet all of the threshold criteria are rejected and not assessed further.
In the second stage, the quality of the programme and of the partnership is assessed. If the quality of
the programme and the partnership appears to be unsatisfactory, the application will not be eligible
for a SWMM grant.
The allocation of available resources is based on the outcome of the assessment according to the
criteria set out in the programme and partner tests and must satisfy the criteria set out in this policy
framework. Furthermore the achieved results in the programme test must attain a satisfactory score
according the criteria relating to policy relevance, sustainability and cross-cutting themes. In case
these criteria are not met the application will be rejected.
If insufficient resources are available for all satisfactory applications to receive a full grant, these
applications will be ranked according to their results in the programme and partnership check. The
available resources will be allocated according to this ranking. The size of the grant they receive will
depend on how well they meet the criteria. It is therefore possible for a project to attain a satisfactory
score, but still be rejected because the budget available is insufficient.
3.3 Application procedure
Grant applications must be complete and submitted in writing (one original and three copies) to the
Embassy of the Kingdom of the Netherlands, Nairobi using the application form (Appendix I)10. At the
same time, an electronic copy must be submitted on a digital storage device with a USB port (USB
stick). Applications must be submitted on time. The submission deadline for applications is 16
September 2013, 13:00 Kenyan time (East Africa Time). Applications should be posted to:
Visitor address
Dutch Embassy, SWMM
Riverside Lane, off Riverside Drive
Nairobi
Kenya
Post address
Embassy of the Kingdom of the Netherlands, Nairobi
PO Box 41537
00100 Nairobi
Kenya
Applications should be submitted in English. The form must state the name of the lead applicant and
be signed by a representative of the lead applicant with signatory power. In addition to the lead
applicant, the other applicants must sign the project proposal too.
10
The application form is published on the Embassy website, http://kenia.nlembassy.org
3.4 Procedure prior to decision-making
An evaluation committee consisting of at least two employees of the Ministry of Foreign Affairs and
possibly one or more external consultants will assess the applications.
Within 13 weeks after the deadline for submission of the grant applications a decision on acceptance
or rejection of the grant will be made.
3.5 Questions concerning the execution
Partnerships may direct questions about the SWMM in writing to the Embassy until August 21 2013.
This can be done via e-mail: NAI-OS@minbuza.nl. Questions received will be answered objectively no
later than August 23 2013 in anonymous form on the Embassy website (www.kenia.nlembassy.org).
The overview of questions and answers will be published on the website of the Embassy in a special
SWMM Q&A section.
4. Assessment of applications
4.1. Threshold criteria
Applications that fail to meet all the threshold criteria below will be rejected and will not be assessed
further. These criteria are listed below and explained where necessary.












11
All the parties involved in the partnership have legal personality.
With respect to development, the programme is aimed at structural poverty reduction, sustainable
economic growth and self-reliance in the Mara river basin community.
The proposal contributes to the water safety and water security in the Mara river basin.
The programme focuses on at least one of the following solutions:
 The creation of sustainable modes of finance geared at improved water management entirely
funded by stakeholders present within the Mara river basin. Local businesses must partake.
 The development of a water management strategy that will be supported by local authorities
and will ensure backing from the Kenyan stakeholders in the Mara river basin.
 Launching activities that will lead to an improvement in water quality in the Mara river.
 Launching activities that will lead to the conservation of existing forests and restoration of
depleted forests.
 Launching activities that will lead to an increase in the number of hectares managed in a
sustainable manner outside the Masai Mara Reserve.
The partnership consists of at least one public institution, one company and one NGO or research
institution. At least one of the parties must be based in the Netherlands and at least one in
Kenya11.
The lead party is not a government agency.
The programme demonstrates that the partnership will be able to meet the requirement to
contribute 15% of the total budget for the duration of the activities. The partnership’s contribution
may not come from other grants or funds awarded by the Ministry of Foreign Affairs. At least 10%
of the cost of the total budget must be covered by the private party/parties from their own
resources.
The minimum grant is €500,000 and the maximum is €8 million.
The grant has a maximum duration of 4 years.
The proposal must make it clear that the programme will not lead to market distortions in Kenya
or in Europe.
A minimum of 2% of the programme budget is reserved for monitoring and evaluation (M&E).
The parties must set out their collaboration in a written partnership agreement (Memorandum of
Understanding). This MoU contains agreements on at least the following subjects: a description of
the way each partner contributes to the activities of the partnership, the governance of the
Other than stated in the Framework for Development Cooperation parties other than not-for-profit organizations
are also eligible for the SWMM grant.
partnership, the spreading of costs and risks over the partners and a guarantee that obligations
pertaining to a grant will be complied with.
4.2 Programme check
The programme check assesses the quality of the programme. This is done on the basis of the
following criteria:

Policy relevance: the policy relevance of the programme is assessed in this phase on the basis
of the following factors:
o The proposal provides a clear analysis of the social, economic and political factors and
offers a logical response to that analysis.
o The extent to which the proposal has been coordinated with the target group and is
relevant to its existing needs/preferences. This means that the target group should be
involved and attention should be given to vulnerable groups in the Mara river basin.
o To what extent the proposal contributes to water safety and security in the Mara river
basin.
o To what extent the proposal contributes to sustainable economic growth, structural
poverty reduction en self-reliance for the Mara river basis community.

Price-quality ratio: The project budget must be proportionate to the envisaged results.

Revenue model: The extent to which the intervention is able to be continued without a grant.

Details of envisaged outcomes, outputs, activities and resources in accordance with SMART
principles: the extent to which the programme provides a detailed description of outcomes,
outputs, proposed activities and resources, and a clear link has been established between the
outputs to be achieved and the resources necessary to do so.

The quality of the description of the envisaged outcomes, outputs and resources in accordance
with the SMART system: the extent to which the envisaged outcomes, outputs and resources are
specific, measurable, acceptable, realistic and time-related.

Risks, monitoring and corrective action:
o The project proposal must contain a realistic analysis of the risks and mitigating measures.
The proposal must include a satisfactory system for monitoring and corrective action.
o The proposal must guarantee the partnership’s own contribution or possible contributions
needed from third parties towards the implementation of the programme.

Sustainability: the extent to which the programme is financially, institutionally, ecologically,
technically and socially sustainable.

Innovativeness: the extent to which the proposal is innovative in Kenya.

Attention for crosscutting themes: the extent to which the proposal pays attention to gender, good
governance, climate and environment.

Own contribution: the amount of the own contribution

Value for money: the extent to which the application demonstrates the grant to be a sound
investment that will lead to sustainable economic results. The results should be quantified as
much as possible. Extra point will be awarded for this criterion.

Performance indicators: the application states performance indicators for the results that are to be
achieved, including at least the following indicators:
o The number of farmers and entrepreneurs involved in the “Payment for Environmental
Services” in the Mara river Basin.
o Water allocation Plan for the Mara river basin.
o The number of Dutch organizations involved in the execution of the project.
o Average water use efficiency by agriculture in the Mara river basin.
o The total area in the basin that will be managed as a nature reserve (public and private).

Monitoring and evaluation: the used M&E system is sufficient for monitoring progress with regards
to outcomes, outputs and sustainability on programme and organizational level. There are
adjustment mechanisms available if needed.
4.3 Partnership check
The partnership will be assessed in order to increase the chances of a successful PPP. The partnership
check consists of an assessment of the partnership’s capacity and added value.

The capacity of the partnership
The capacity of the partnership is assessed by examining the capacity of the individual parties.
The partnership must have at its disposal sufficient expertise on cooperation, the theme
and the context in which it will be operating.
o 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. The check therefore involves an
examination of the parties’ track record, planning, monitoring and evaluation, and financial
and administrative management.

Track record over the past three years: The parties’ performance over the past
three years shows that they are capable of achieving planned outcomes and
outputs, of obtaining the contributions from third parties necessary for the
implementation of the programmes and of ensuring the sustainability of
programmes vis-à-vis the ultimate target group.

Planning, monitoring and evaluation (PME): The PME system is sufficient for
monitoring progress in terms of outcomes, outputs and sustainability at
programme and organisational level. The organisations periodically
commission independent evaluations of programmes, programme components
and their own functioning. The organisations have a sound quality
management system in place for their primary processes.

Financial and administrative management: The parties’ policy on the financial
supervision of organisations with which they have a funding relationship is
satisfactory; they use a satisfactory method for assessing the quality of
partner organisations with which they have a financial relationship; they have
a financial monitoring system that enables them to identify shortfalls (or
potential shortfalls) or surpluses at an early stage and take adequate
measures to anticipate these contingencies; they also have a broad donor
base.
o The partnership is based on a feasibility analysis. This analysis examines at any rate: the
success and risk factors or the partnership’s strengths and weaknesses. The feasibility
analysis identifies risks and contains concrete measures aimed at controlling them.
The added value of the partnership
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.
o The partnership has strategic added value (for the development objectives in the SWMM
Fund). The strategic added value of the partnership may lie in various factors, including
synergy (thematic specialisation), efficiency gains (internal functioning of the partnership)
or product/process innovation.
o 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?
o
