Appendix 1
Project Plan
Ghana WASH Window-FDW
Call 2
A Public Private Partnership Facility
To be used for the application procedure
2014, call 2
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
- 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. Please note that 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 Urban
water management).
Project name:
Applicant:
Partners:
Project location(s):
Theme(s):
Project goal(s):
Summary project
intervention (max
300 words):
2 Project
2.1 Problem analysis
Insert your text here…
Describe the overall problem the partners wish to address in the project (impact/outcome
level). Pay attention to the following aspects:
- Background of the problem / introduction to the problem
- Defining the problem in the geographic area the project will address;
o
The magnitude and scope of the problem. Indicate the number of people currently
affected by this problem. Describe which population groups are affected. If relevant,
further quantification is recommended.
o
How is the local population, including most vulnerable groups, affected by the
problem?
o
What are the consequences if the problem is not addressed properly?
- Local aspects, such as the social/economic/environmental context, related to the
problem
- How and when did the problem arise?
- 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.
Required:
- The partners should show a sound understanding of the problem and the
underlying causes.
- GWW-FDW addresses problems related to Sanitation and hygiene, Waste
management (both solid and liquid waste). Access to and use of safe drinking
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water and Urban water management. By addressing these problems GWW-FDW
aims at structural poverty reduction, sustainable economic growth and selfreliance.
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.
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
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Describe what the PPP wants to achieve with the project, make a direct link to the
problem analysis in paragraph 2.1.
Describe the target group(s)
Describe what will be the desired future situation for the target group(s) and in particular
the vulnerable groups. Quantify where possible.
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.
- The project objectives should be aligned with the needs of the target group(s),
including vulnerable groups in society. Besides, the target group is sufficiently
involved in the project to be effective.
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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
are described in the result chain. Indicate how the intervention relates to the project
objectives and problem analysis.
Note that a more detailed description on project output/outcome and impact can be
given in paragraphs 4.4.2 and 4.4.3.
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 (part of) 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 (part of) the project is aiming to improve the Enabling
environment’ (e.g. behavioural change, capacity building, organisational
strengthening, institutional change, law and regulations). If so, this can be
elaborated on in paragraph 2.4.5 ‘Enabling environment’.
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.
Required:
- The contribution of the project to solving WASH related problems, including
waste management and urban water 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
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functioning/organisation of the target group(s)
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.
Explanation result chain:
Provide a result chain for the project. For this, replace the example of the result chain with
the filled out result chain of your project. Please refer to Appendix 2, sheet ‘Result Chain’
and ‘Instructions’. Please paste the completed project result chain above this box. This can
be done by using the following commando in MS Word:
Edit --> Paste Special --> picture (= Bewerken --> plakken speciaal --> figuur).
Required
- The project result chain should be clearly linked to the problem analysis,
project objectives, and the intervention logic. It shows how input and activities
result in the desired output, outcome and impact.
- Quantify the output, outcome and impact where possible.
2.4.2 Output and outcome
Insert your text here…
Describe/elaborate on the concrete project output and outcome. Refer to the provided result
chain.
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Elaborate on the project’s output and outcome, distinguish between the contribution to
the themes ‘Sanitation and hygiene’, ‘Waste management’, ‘Access to clean drinking
water’ and ‘Urban Water 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.
Describe the additional effect of the project, i.e. compare the quantified project output
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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. For
instance, currently Y% of population Z does not have access to improved sanitation.
Without any intervention, it is expected this percentage will increase to Y2% (Z2
persons/households) in 2018. Since the project will create access to improved sanitation
to X persons/households, only Y3% will lack access instead of Y2%. Provide references
for the presented data.
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.
An example of Results and Sub-results of a fictional project can be found at the GWW
website: www.english.rvo.nl/GWW.
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, Waste management, Availability of safe drinking water and
Urban water 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
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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.
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…
If the project is (partly) based on one or more business cases, please elaborate on this by
addressing the topics below. Please fill out ‘Appendix 3, sheet 6. Cash flow’ and substantiate
why this represents a feasible business case. Include references where applicable.
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How does the business case contribute to the project objectives and the themes
Sanitation and hygiene, Waste management, Availability and use of safe drinking water
and Urban water management?
Describe the market(s) the PPP wishes to enter or improve. Pay attention to the following
in the description:
o
What product(s) or service(s) will be sold?
o
Which parties are already operating in this market?
o
Who are the customers in this market?
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
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
Who are the indispensable suppliers in this market?
o
What substitutes for the product/service are available on the market?
o
Promotion: how will the product(s) or service(s) be brought to the market.
o
What will be the position of the project in the business chain?
o
Who will be the suppliers and who will be the customers?
What does the production/service process look like in terms of resources,
products/services and logistical aspects? This may be illustrated by a flowchart and
added to the project plan as Appendix 9 (optional).
Fill out the Cash Flow in Appendix 3, sheet 6. Cash flow and elaborate on why this
represents a feasible business case, (partially) leading to a financially sustainable project
intervention.
Required:
- A PPP project must be based on a detailed business case and/or aiming for
improvement of the Enabling environment (paragraph 2.4.5).
- If (part) of the intervention strategy is based on a business case, the feasibility
and financial sustainability should be demonstrated.
- The business case contributes to the projects objectives and one or more of the
themes Sanitation and hygiene, Waste management, Availability of safe
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drinking water and Urban water management.
2.4.5 Enabling environment
Insert your text here…
If the project is (partly) aiming at improvement of the Enabling environment (e.g.
behavioural change, capacity building, organisational strengthening, institutional change,
laws and regulation), please elaborate on this 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 themes
Sanitation and hygiene, Waste management, Availability of safe drinking water and
Urban water 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? Fill
out the Cash Flow calculation in Appendix 3, sheet 6 Cash flow, and substantiate that the
project is financially sustainable.
Required:
- A PPP project must be based on a detailed business case and/or improvement
of the enabling environment.
- If (part of) the intervention strategy is 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 themes Sanitation and hygiene, Waste
management, Availability of safe drinking water and Urban water management.
2.5 Financial 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. This will be assessed following the method as described below:
Financially sustainability
The project intervention should be financially sustainable. This will be assessed based on the
Cash flow analysis in Appendix 3, sheet 6 Cash Flow Analysis. If the Cash flow from
operations (excluding GWW-FDW funding) is positive in the last year of the project, or
earlier, is regarded as financial sustainable. If this is not the case, please substantiate why
the project intervention is financially sustainable, even though it does not meet the
abovementioned criteria. If alternative external financing is expected (e.g. other funds)
make plausible this external funding will be available after the project period.
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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 AND 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. If the cumulative cash flow becomes positive
within 10 years AND the project can be commercially financed, the project is considered to
be commercially viable.
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.
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.
Required:
- The project should be financially sustainable
- The project should not be commercially viable
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
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.
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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…
PPP projects are expected to integrate ICSR, according to the updated 2011 OECD
guidelines
(http://www.oecd.org/daf/inv/mne/oecdguidelinesformultinationalenterprises.htm), into the
project. How will this be done in the project?
- Describe what efforts will be devoted to integrate corporate social responsibility (ICSR) in
the project. Think of certification of production processes, social standards,
environmental standards etc.
- What will be the ICSR policy of the project (including 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)?
Required:
- The Dutch government places a great deal of value on ICSR. PPP projects are
expected to set an example in their respective sector with regard to ICSR, and
should not have any negative impact.
- Chain responsibility is part of the ICSR responsibility of the project partners,
however the efforts related to the chain responsibility should be described
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separately in the next paragraph.
Chain responsibility
Insert your text here…
To gain insight in the social and environmental risks in the supply chain of your project,
PPPs should analyse how suppliers to the project align with the ICSR policy and how
potential ICSR related risks at suppliers-level can be mitigated.
Undertake a risk analysis of this supply chain based on the updated OECD Guidelines.
Undertake this analysis based on information that can be made available at the time of
application. If this leads to an incomplete risk analysis of the supply chain, the risk analysis
should be completed as part of Result 1. Present the results from the risk analysis here.
The analysis concerns the entire supply chain of the most essential raw materials or semifinished products necessary for the manufacturing of the final products of the project. The
supply chain includes the direct suppliers of the project, but also the suppliers of the
suppliers of the direct suppliers, etc. If not all
For this, the following has to be addressed:
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What are the most essential raw materials or semi-finished products necessary for the
manufacturing of the final products of the project? Which companies will be the
suppliers? Please fill out the table ‘Essential raw materials / semi-finished product(s) and
their suppliers to the project’ below.
Summarise the conclusions of the social and environmental risk analysis by describing
the identified actual and potential negative social and environmental impacts in the
supply chain of the project and formulate mitigating measures to these risks, starting
with your direct suppliers. A link to a risk analysis tool based on OECD can be found at:
http://www.mvorisicochecker.nl/en.
At least pay attention to the following:
o
What risk factors are identified and what is their influence on the project progress.
o
What is the probability a risk will negatively influence the project progress.
o
What measures will you take to mitigate the risks?
o
Describe how the implementation of these preventive or corrective measures in the
supply chain are monitored in paragraph 4.3 ‘Project monitoring and evaluation.
o
How will the partners communicate on the implementation of the mitigation
measures, in case of a request by a stakeholder?
Required:
- The project proposal must contain a realistic analysis of the ICSR risks and
mitigating measures.
- The updated OECD Guidelines of 2011 have extended the requirements on chain
responsibility. Companies should avoid negative impacts of their own business
activities on the issues covered by the Guidelines. Moreover, enterprises are
obliged to use their influence and leverage on their business partners in the
supply chain to prevent or mitigate negative impacts. Therefore, GWW-FDW
requires companies to carry out the above mentioned steps related to its chain
responsibility.
- In case it is not possible to implement a complete risk analysis of the supply
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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 include the
requested descriptions in the proposal. The missing part will be presented as
part of Result 1.
Please note: With regard to the implementation of the project according to ILO
Conventions 138 and 182 against child labour and ILO Conventions 29 and 105
against forced labour, you must establish that no use is made of child labour or
forced labour at the partners involved in the partnership, or at the first
essential supplier to the project. You are legally bound to provide RVO.nl any
information you may have about the possible use of child labour or forced
labour by such partners or suppliers. If one of the aforementioned partners or
suppliers is found to be using child labour or forced labour, or if you fail to pass
on information you have received on this subject to RVO.nl, the subsidy may be
withdrawn.
Table: Essential raw materials / semi-finished product(s) and their suppliers to the project
Essential raw material(s) / semi-finished
Supplier (s)
product(s) of the project
1. [ please indicate the essential raw
material / or semi-finished product here]
[Name supplier #1, contact details supplier
#1]]
2.Etc.
[Name supplier #2, contact details supplier
#2]]
Etc.
Etc.
1. [ please indicate the essential raw
material / or semi-finished product here]
[Name supplier #1, contact details supplier
#1]]
2.Etc.
[Name supplier #2, contact details supplier
#2]]
Etc.
Etc.
# Etc.
Etc.
#Etc.
# Etc.
# Etc.
2.7.3 ICSR for companies
Insert your text here…

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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
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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.
Please describe the ICSR approach of the other project partner(s) regarding the above
mentioned ICSR issues.
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 as part of Result 1. This will be
set as a condition in the Administrative decision for approved grants.
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 2.6, 3.5, and 4.3).
At least pay attention to the following:
- What risk factors are identified and what is their influence on the project progress.
- What is the probability a risk negatively influence the project progress.
- What measures will you take to mitigate the risks?
- Why will the GWW-FDW subsidy to your project will not lead to market distortion in
Ghana and in Europe?
Required:
- The project proposal must contain a realistic analysis of the risks and mitigating
measures.
- The proposal must make it clear that the programme will not lead to market
distortions in Ghana or in Europe.
- GWW-FDW aims at structural poverty reduction, sustainable economic growth
and self-reliance. GWW-FDW projects may not compete directly with products
or services which are already produced locally for the same market segment.
GWW-FDW projects may not lead to market distortion. GWW-FDW finances
proposals that would otherwise not be executed.
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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…
3.1.xBackground 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…
14
GWW-FDW14a1
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 in participating 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, Waste management,
Access to safe drinking water and urban water 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 and 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…
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
15
GWW-FDW14a1
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 (cost reduction)? 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?
3.4 Financial capacity of partners
Insert your text here…
-
Provide Appendix 4, Financial statements of the partners, including the in this Appendix
requested documents for all partners.
Describe how the own contribution will be financed by the PPP.
Describe how the subsidy will be pre-financed by the consortium.
Pay special consideration to ratio's that do not meet the criteria as set in the Key
standards table for financial assessment.
Required:
- The project partners have sufficient financial means to implement the project.
The partnership should be able to finance the own contribution to the project
budget and to pre finance the subsidy within the regulation framework of
GWW-FDW (including advance payments from GWW-FDW to the PPP).
3.5 Partnership risk assessment and mitigation
Insert your text here…
Perform a risk assessment on the partnership and describe risk factors of the partnership.
-
What partnership risk factors are identified and what is their influence on the project
16
GWW-FDW14a1
-
progress.
What is the probability a risk negatively influence 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.
3.6 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, also paying 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.
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.
- Please copy the table ‘Staff hours and budget’ from Appendix 3, sheet 5 Summary
17
GWW-FDW14a1
-
Tables, and replace the example table below with it.
List the key members of the project team and indicate their roles and responsibilities.
Key members are project management staff and senior experts.
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.
- Project staff cannot be budgeted for more then 48 hours per week.
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.
Example
Staff hours and budget (€)
Result
Unit
Project
leader
Local
Total
R1
R2
R3
R4
R5
R6
R7
R8
R9
R10
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
hours
budget (€)
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Senior
Int
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Local
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Medior
Int
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Local
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Junior
Int
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
0
0
0
0
0
0
0
0
0
0
0
4.1.2 Knowledge transfer programme
Insert your text here…
Give a detailed description of the knowledge transfer programme. This programme can
include both training and activities and interventions to induce behavioural change. Provide
a description and rationale of the knowledge transfer programme and fill out the training
and behavioural change intervention table below.
- What is/are the objective/objectives of the knowledge transfer programme?
- What kind of training will be given? (lectures, workshops, etc)/activities will be
performed?
- Which skills or knowledge will be taught?
- What behavioural change is envisioned?
- Who and how many people will be trained? Distinguish between basic-level, medium- or
high-level training.
18
GWW-FDW14a1
-
How many people will be reached with the behavioural change interventions? What is/are
the target group/groups?
Who will be providing the training/executing the behavioural interventions?
Please fill out the tables below (Training table and Table Behavioural intervention).
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
programme.
Training table
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 Behavioural change intervention
Intervention
No
Result(s)
1
e.g. Result 2
Title
Number
of
people
reached
Target
group(s)
Total
intervention
costs (€)
1
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. It
is allowed to provide technical drawings etc. as an annex to the project plan.
19
GWW-FDW14a1
-
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
project period.
o
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?
Required:
- An overview of all hardware is needed to assess the project's budget.
- 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.
- Please adhere to Appendix 3, sheet 3.11 Hardware Specification.
- 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, financial and
administrative management.
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
20
GWW-FDW14a1
-
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
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
Req.. 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).
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 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.
21
GWW-FDW14a1
-
Provide for Companies, NGOs and Knowledge Institutes the most recent annual report as
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 40% of the project budget. At
least 20% 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
Applicant
Partner 1
Partner 2
Partner 3
Partner 4
Partner 5
Partner 6
Partner 7
Partner 8
Partner 9
Partner 10
Total
Total contribution % of project
(€)
budget
Public Body
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
€0
€0
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
#DEEL/0!
5.2 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:
22
GWW-FDW14a1
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. The output and outcome of projects with a budget above
€ 4,000,000 need to be evaluated by an independent party.
3. Other Technical Assistance
- This includes all costs for transfer of knowledge and training activities for the employees
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)
4. Hardware
- Capital goods: these include all investments in tangible, goods used for production.
- Infrastructure: cost of creating new or improving existing infrastructure. (Purchases of
land or existing buildings are not eligible for subsidy.)
- All hardware must be DDP (Delivered Duty Paid), excluding VAT.
- 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.
- Operational costs, excluding project operational costs.
- In-kind contributions of Ghanaian governmental bodies.
- Cost made and paid by third parties, i.e. parties outside the GWW-FDW partnership.
- Loans or Revolving funds, such as micro financing/credit issued to third parties.
- 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 40% of the total project budget should be contributed by the
partnership. The partnership’s own contribution cannot be originated (directly
23
GWW-FDW14a1
-
or indirectly) from grants of the Dutch Ministry of Foreign Affairs. A higher own
contribution is encouraged.
A minimum of 20% of the total project budget (=50% of the contribution by the
partnership) should be contributed by commercial partners (companies)
A maximum of 60% of the total budget may consist of GWW-FDW grant.
Table Summary overview project budget
Paste Replace the Example of Table: Contribution of the project partners with the filled out
table from Appendix 3, sheet 5 Summary Tables, only insert the number of Results
applicable to the project.
Example
Summary overview project budget
Budget item
Result 1
1
staff (€)
2
Monitoring & Evaluation (€)
Technical Assistance
(excluding project staff)
Project operation (€)
1+2+3
3
4
Hardware (€)
TOTAL BUDGET (€)
1+2+3+4
Result 2
Result 3
Result 4
Result 5
Result 6
Result 7
Result 8
Result 9
Result 10
TOTAL
TOTAL
in %
45.100
0
0
4.130
10.430
6.880
0
15.380
21.780
10.440
114.140
27%
0
0
0
0
0
0
0
0
0
0
0
0%
0
0
0
4.626
0
0
0
0
0
0
4.626
1%
45.100
0
0
8.756
10.430
6.880
0
15.380
21.780
10.440
118.766
0
0
308.402
0
0
0
0
0
0
308.402
28%
72%
45.100
0
0
317.158
10.430
6.880
0
15.380
21.780
10.440
427.168
100%
NA
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GWW-FDW14a1