Te Mana o Te Wai Fund Guide for Applicants Open Contestable Te Mana o Te Wai Funding Round Disclaimer While every effort has been made to ensure that this guide is as clear and accurate as possible, the information it contains is general guidance only, and does not constitute legal advice. In the event of any uncertainty, the applicant should obtain independent legal advice. The Ministry for the Environment, its employees and agents accept no responsibility or liability to any person whatsoever for any loss or damage resulting from any error, omission in this document or arising from reliance on this document. Published in February 2015 by the Ministry for the Environment Manatū Mō Te Taiao PO Box 10362, Wellington 6143, New Zealand ISBN: 978-0-478-41262-8 Publication number: ME 1172 © Crown copyright New Zealand 2015 Contents About this guide 4 Official Information and Privacy 5 Introduction 6 Eligibility and assessment criteria 7 Overview of the Te Mana o Te Wai funding process 10 Help with completing your Te Mana o Te Wai Fund application 13 Appendix: Project objectives and evaluation 34 Te Mana o Te Wai Fund Guide for Applicants Page 3 About this guide Purpose of this guide This guide provides information about the Te Mana o Te Wai Fund, and guidance for completing an application form for the current Te Mana o Te Wai Fund funding round. This Guide for Applicants (the guide) provides an overview of the full funding process, and focuses in detail on Stage I of the application process. Further information will be provided to applicants who are invited to proceed to Stage II. Intended audience The primary intended audience for this guide is anyone who is interested in seeking funding for a project that is focused on activities to improve water quality of freshwater bodies under the Te Mana o Te Wai Fund. How to use this guide Use this guide in conjunction with the application form for the current Te Mana o Te Wai Fund funding round. We suggest you read this guide and the application form right through before you begin filling the application form out. Te Mana o Te Wai Fund Guide for Applicants Page 4 Official Information and Privacy Official Information Act 1982 Important: Information presented to the Minister for the Environment or the Ministry for the Environment is subject to disclosure under the Official Information Act 1982 (OIA). Certain information may be withheld in accordance with the grounds for withholding information under the OIA. Further information on the OIA is available at www.ombudsmen.parliament.nz. Information held by the Minister and Ministry may have to be released under the OIA in response to a request from a member of the public (or any other body) for that information. If you wish to provide sensitive information to the Minister or Ministry which you do not want released, it is recommended you consult with the Ministry as to whether the information is necessary for the application, and whether there may be grounds in the OIA for withholding the information. For instance, if release of the information would disclose a trade secret, or be likely to unreasonably prejudice the commercial position of the person who supplied or who is the subject of the information, then there may be grounds to withhold the information (subject to any countervailing public interest in disclosing the information). The Ministry will endeavour to contact you to discuss an OIA request relating to your application if one is received, and what the implications of releasing your information are. The grounds for withholding must always be balanced against consideration of public interest that may justify release. Although the Ministry does not give any guarantees as to whether information can be withheld under the OIA, it may be helpful to discuss OIA issues with the Ministry in advance, if information provided with an application is sensitive. Privacy Act 1993 statement Important: The Ministry for the Environment (Environment House, 23 Kate Sheppard Place, Thorndon, Wellington) may collect, use, hold or disclose personal information for the purpose of assessing eligibility and suitability for Te Mana o Te Wai funding. Individuals have the right in accordance with the Privacy Act 1993 to request access to and correction of their personal information. While the provision of personal information is not mandatory, failure to provide requested information could lead to a delay in considering the application or a decline of the same. Further information Further information is available from: The Remediation Projects Team Te Mana o Te Wai Fund Ministry for the Environment PO Box 10362 Wellington 6143 Te Mana o Te Wai Fund Guide for Applicants Phone: 0800 499 700 Email: tmotw@mfe.govt.nz Web: www.mfe.govt.nz/more/funding Page 5 Introduction Tēnā koutou e te hunga whaipaanga ki tēnei kaupapa mō tō tātau wai Māori. Ka tautokotia ana te Manatū Taiao i ngā mahi a ngā whānau, me ngā hapori ki te hāpai i te mana o te wai kei ngā rohenga katoa, puta noa i Aotearoa. Na reira, tēnā koutou, kia ora tātau katoa. The Ministry wants to work with you to help make a positive difference to the environment. The purpose of the Te Mana o Te Wai Fund is to provide funding to enable Māori to improve water quality of freshwater bodies (including lakes, rivers, streams, estuaries and lagoons) that are of importance to them by: 1. supporting iwi/hapū to play an active part in improving the water quality of their local freshwater bodies 2. enabling iwi/hapū to actively participate in managing their local freshwater bodies 3. developing partnerships and working in collaboration with others 4. assisting iwi/hapū and the wider community to recognise the importance of fresh water in supporting a healthy ecosystem, including supporting human health. There will be one funding round, in which the Ministry calls for applications for funding. Funding from the Te Mana o Te Wai Fund will be allocated to selected projects following consideration of the applications received during the funding round. All applications will be assessed against the Te Mana o Te Wai Fund eligibility criteria, the assessment criteria, and their merit compared with other applications. Note: not all projects that meet the funding eligibility criteria will be awarded funding. Funding principles The following funding principles underpin the management of the Te Mana o Te Wai Fund. Principle Te Mana o Te Wai Fund funding supports projects that: To support Ministry and government strategic priorities align with Ministry priorities, work programmes, and desired outcomes. To empower New Zealanders to take environmental action empower New Zealanders to collectively take ownership of environmental problems and solutions, encourage positive behaviour change, and result in real results on the ground. To support evidence-based policy development test policy implementation to assess if policy is achieving the desired outcomes. All projects will provide data that is robust, transferable, and that can be used to develop evidence-based policy. To focus on tangible outcomes and demonstrate value for money provide a positive return upon investment, demonstrate value for money, and have a financial commitment from other funding partners. Te Mana o Te Wai Fund Guide for Applicants Page 6 Eligibility and assessment criteria The Minister for the Environment has set criteria for the Te Mana o Te Wai Fund. Only projects that meet the criteria are eligible for funding. The application form contains a self-assessment checklist which must be completed as part of the application process. Applicants must be able to answer ‘yes’ for each of the criteria below. If your project does not meet all the eligibility criteria there may be other government funding options available to you. For a list of other funding options see http://www.mfe.govt.nz/more/funding/sources-funding/funding-other-government-departments. Note that meeting the eligibility criteria does not guarantee that your project will be funded. If you have any questions about the eligibility criteria, please contact the Ministry for the Environment. Eligibility criteria 1. Projects must be focused on activities to improve water quality of freshwater bodies (including lakes, rivers, streams, estuaries and lagoons) that are important to local iwi/hapū. 2. Projects must be focused on practical on the ground action to improve water quality. 3. Projects must demonstrate more than one of the following: support or enable iwi/hapū participation in freshwater management involve local iwi/hapū in the governance structure or decision-making processes on fresh water support iwi/hapū-led freshwater restoration projects support iwi/hapū to engage in freshwater quality initiatives develop iwi/hapū capacity and capability in relation to fresh water. 4. Projects must support partnership and collaboration. 5. Projects should be for a discrete timeframe of up to two years. After this the project objectives will have been achieved. 6. The funding is open to all legal entities. 7. The minimum grant available is $200,000. All amounts exclude GST. 8. The fund will not cover the entire cost of the project. Applicants will need part funding from other sources. All eligible applications will be assessed against the Te Mana o Te Wai Fund assessment criteria and the Ministry’s priorities. We recommend you consider the assessment criteria in detail before completing an application to the Te Mana o Te Wai Fund. It is anticipated that there will be a large interest in the Te Mana o Te Wai Fund resulting in a high number of applications. Therefore, there may be applications for funding that are eligible but are unsuccessful. Te Mana o Te Wai Fund Guide for Applicants Page 7 Assessment criteria Opportunity/problem Is there a significant problem that needs to be addressed or an environmental opportunity that is being explored? How does the project enable Māori to improve water quality of freshwater bodies (including lakes, rivers, streams, estuaries and lagoons) that are of importance to them? Will the project assist iwi/hapū and the wider community to recognise the importance of fresh water in supporting a healthy ecosystem, including supporting human health? Does the project clearly address the problem? Will the project reduce harm caused to the environment? Project benefits Does the application demonstrate that the solution (or specific actions) being proposed improve freshwater quality/address the problem? Does the project focus on protecting and restoring freshwater bodies of significance to Māori? Does the project contribute towards restoring or enhancing cultural connection between iwi/hapū and their significant water bodies? Will the project take an integrated approach – ki uta ki tai (from the mountains, to the sea)? Does the project have wider economic and non-economic (including social and cultural) benefits? Does the project support iwi/hapū to play an active part in improving the water quality of their local freshwater bodies? Does the project enable iwi/hapū to actively participate in managing their local freshwater bodies? Does the project have long-term benefits post-completion? Can project outcomes be used to encourage others to become involved with community action activities for the environment or be transferable to others? Project objectives and activities Does the application clearly describe the objectives of the project? Does the project have a plan to meet its objectives? Would successful completion of tasks and activities lead to achievement of the project’s objectives? Does each objective have SMART (specific, measurable, achievable, realistic and timely) key performance indicators (KPIs)? Are the tasks logical and realistic? Te Mana o Te Wai Fund Guide for Applicants Page 8 Monitoring and evaluation Does the application demonstrate how the effectiveness of the project will be monitored, evaluated and reported, against the KPIs? How well is progress towards the project benefits measured and reported? Are the expected outcomes clearly described? Capability and risk To what degree does the project partner and collaborate with other organisations/bodies? Are the necessary partner organisations involved with the project, to ensure its success? Can the project be completed in the two year funding timeframe or be financially selfsustaining after the two years? Does the application clearly show the project has the necessary skills and experience to be successful? Does the project manager have the necessary skills and experience to successfully manage and implement the project? Does the project have adequate systems and checks in place to ensure spending is properly managed and recorded? Is there an appropriate governance structure set up for this project? Does project governance define the decision-making accountabilities? Is project governance representative of project partners? What risks are identified? How are they being mitigated or managed? Is the project likely to succeed? Financial information How much is required to fund the project? Is there shared funding? Can the applicant, or other funding sources, contribute some of the total funding costs? Do the project’s estimated cash costs demonstrate value for money? Does the funding amount sought from the Te Mana o Te Wai Fund appear reasonable? If the funding is for an establishment phase, does the project have the ability to become self-sustaining? Overall assessment Does the project fit with the purpose of the Te Mana o Te Wai Fund (to improve water quality)? Does the project act as a catalyst to enhance and extend the uptake of good environment practice? Does the project demonstrate strong community involvement as indicated by the level of estimated in-kind contributions? Te Mana o Te Wai Fund Guide for Applicants Page 9 Overview of the Te Mana o Te Wai funding process A successful application will go through each of the stages in the Te Mana o Te Wai funding process diagram below. The Te Mana o Te Wai funding process Assessment and recommendations Eligible to apply è Check eligibility Apply for funding è Project selection è Minister Approval Stage I Develop project plan Funding approval è Sign funding deed Start project Stage II Check eligibility criteria As part of the application you will need to confirm your project’s eligibility. Projects that do not meet all of the eligibility criteria will be declined. Stage I – Apply for funding Applicants complete the Te Mana o Te Wai Fund application form and submit it to the Ministry. Applications that do not meet all of the eligibility criteria or are incomplete will not be assessed further and the applicant will be sent a decline letter. Applications are assessed by an assessment panel (the panel) against the Te Mana o Te Wai assessment criteria and on their merit compared to other applications. The panel makes recommendations for funding. The Panel may recommend to grant less funding than requested. The Minister for the Environment makes final the funding decision. Successful applicants are then invited to Stage II. Stage II – Develop a project plan Applicants invited to proceed to Stage II will need to work with the Ministry to refine and confirm their project details and agree to the terms and conditions of the deed of funding. The Minister may decide to grant less funding than requested. This means the scope and scale of the project may need to be reviewed and amended as part of the project planning stage. In addition, the Minister may decide to grant funding subject to a number of conditions being met. Information about any conditions of funding and the process for Stage II will be provided to relevant applicants at the beginning of Stage II. Due diligence and reference checks The Ministry may undertake independent third party due diligence and reference checks on projects at the same time the funding deeds are being prepared. Te Mana o Te Wai Fund Guide for Applicants Page 10 Intellectual property Under the terms and conditions of the funding deed, you, the recipient of funding, own all intellectual property created through your project, on the condition that you permit the Ministry without any royalties to use, and make available for any purpose, any material created through the project as well as any pre-existing intellectual property used to create or incorporated within such material. You may still sub-licence your intellectual property for use by others as the licence to the Ministry is non-exclusive. This requirement applies indefinitely, beyond the term of the funding deed. If you have specific concerns about intellectual property related to your project these can be addressed on a case-by-case basis if you’re invited to proceed to Stage II. Sign funding deed Applicants successful in completing Stage II will be required to enter into a funding deed with the Ministry, which details all funding obligations and rights of the contracting parties including: health and safety management project duration (maximum of two years) project description approved grant funding conditions milestones, tasks and deliverables, and performance measures intellectual property liability funding obligations and payment conditions. The standard funding deed terms and conditions will be available on the Ministry website in time for Stage II of the funding process. The Ministry may add additional terms or conditions where this is seen as necessary. Important: Te Mana o Te Wai funding is not confirmed until a deed of funding has been signed by the contracting parties. Te Mana o Te Wai Fund Guide for Applicants Page 11 Start project Once a deed of funding has been signed you will be able to begin your project. Successful applicants begin work on their projects and report on milestones as they are met. Important: Projects awarded funding through Te Mana o Te Wai Fund will not begin before 1 July 2015. The Ministry monitors and assesses each project against the stated performance measures and conditions within the funding deed. In accordance with the Deed of Funding, payments will be made once milestone activities are completed and all deliverables have been provided to a satisfactory standard to the Ministry. Important: Retrospective and/or backdated costs before deed signing are not eligible for reimbursement. Te Mana o Te Wai Fund Guide for Applicants Page 12 Help with completing your Te Mana o Te Wai Fund application This section provides help for completing the Te Mana o Te Wai Fund application form. Before you complete your application, you should have an understanding of how your application will be assessed. If you have concerns, questions or issues, please talk to us by emailing tmotw@mfe.govt.nz or phoning 0800 499 700. The Ministry may verify information contained in the application form with other government agencies or other organisations. Answer in full all questions relevant to your organisation and project. Please note that the Ministry cannot give specific guidance on the content of your application for funding. Important: Only provide supporting documentation that the Ministry has specifically requested. Additional information will not be provided to the assessment panel. Tips for completing your application Plan ahead by putting the closing date for submitting applications in your diary and allow plenty of time to prepare the application. Take any holiday periods into account. An application that strongly aligns with the Te Mana o Te Wai Fund assessment criteria and is written clearly and concisely stands the best chance of success. Write in plain English, and avoid jargon, clichés and overused phrases. Write so that your reader will understand what you want them to know. Consider other applications you may already have submitted to other funds in the past. If your previous application was successful what made it a good application? If you were unsuccessful consider the feedback you were provided with. Answer all the questions. If you are not sure about a question, refer back to this guide. If you are still uncertain, contact us by emailing tmotw@mfe.govt.nz or phoning 0800 499 700. Ask a colleague or a third party to peer review and proof read your application. Te Mana o Te Wai Fund Guide for Applicants Page 13 Online resources See the following online resources to help you plan your project and provide further support. Resource Website address What it provides Ministry for the Environment www.mfe.govt.nz/more/funding/sourcesfunding List of funding sources from the Ministry and other government agencies Community Resource Kit www.community.net.nz Helps small or emerging community and voluntary groups Funding Advisory Service www.fis.org.nz Funding information for voluntary organisations, iwi and community groups Grants Online www.cdgo.govt.nz Allows you to complete online applications for Lottery Grants Distribution Committee and Community Organisation Grants Scheme (COGS) grants Wai Māori http://waimaori.maori.nz/home.htm Helps to advance Māori interests in freshwater fisheries Fundraising Institute of New Zealand www.fundraising.org.nz Dedicated to promoting philanthropy and excellence in ethical fundraising Business Finance www.bizfinance.co.nz/business-financefunding-growth/ Provides business information about a range of government agencies and departments Health and Safety in Employment Act 1992 http://www.business.govt.nz/worksafe/ Information on the Health and Safety in Employment Act 1992 Te Mana o Te Wai Fund Guide for Applicants Page 14 SECTION ONE: Project Information 1. Application summary Project name This is the name of the project. Applicant name This is the name of the group or organisation applying for funding. Project description Briefly describe your project. The description should be a short and succinct summary of the project, and it should show a clear link to more than one of the project objectives provided in the ‘project objectives’ table (maximum 40 words). Project location The project location is the area or region in which the project is located. A project may be regional, multi-regional (please specify which regions are involved), or implemented on a nationwide basis. Proposed duration of funding The project must be for a maximum of two years. Total project cost (exclusive of GST) This is the total estimated cost of your project. For multi-year projects also give the estimated project cost per year (as applicable). These figures DO NOT include estimated in-kind contributions, and MUST match the funding information figures in Section 2 (Question 13). Requested Te Mana o Te Wai Fund contribution How much of the total project costs are you requesting from the Te Mana o Te Wai Fund? For multiyear projects also give the estimated Te Mana o Te Wai Fund contribution per year (as applicable). The Te Mana o Te Wai Fund can fund a minimum of $200,000 per project. The proportion of funding requested from the Te Mana o Te Wai Fund is taken into consideration when assessing the application. Shared funding is preferred. Te Mana o Te Wai Fund Guide for Applicants Page 15 2. Contact details for this application Contact person details Please provide both primary and secondary contact details. Both primary and secondary people need to ensure they are available in case they need to be contacted by the Ministry regarding their application. 3. Applicant details Enter details of the organisation that will manage and deliver this project. These details provide information about the organisation’s type, description of major activities, legal entity status, GST registration, and organisation address. Organisation name Provide the full legal name of your organisation that is applying for funding. This is (or will be) the name that is listed on the Companies Office website. Organisation type Select the type of organisation applying for funding. Click on the box you wish to select. A cross should appear in the box you have selected. Description of the organisation Provide a brief description of the organisation. The description should include the organisation's main activity and relevant environmental experience (maximum 80 words). Legal entity status To receive funding from the Te Mana o Te Wai Fund, applicants must be a legal entity with capacity to contract with the Ministry. Legal entities include incorporated societies, charitable trusts, companies, limited partnerships, and Māori trust boards. In the application form click on the box you wish to select. A cross should appear in the box you have selected. Important: You will be required to submit proof of legal entity status if your application is invited to proceed to Stage II Te Mana o Te Wai Fund Guide for Applicants Page 16 Type of entity Proof of legal status Incorporated society Certificate of Registration with the Companies Office under the Incorporated Societies Act 1908 Charitable trust Certificate of Registration with the Companies Office under the Charitable Trusts Act 1957 Limited partnership Certificate of Registration with the Companies Office under the Limited Partnerships Act 2008 Māori trust board Declared by any enactment to be a Māori trust board within the meaning of the Māori Trust Boards Act 1955 Limited liability company Certificate of Registration with the Companies Office under the Companies Act 1993 Cooperative company Certificate of Registration with the Companies Office under the Co-operative Companies Act 1996 Other (for example, individual person) Copy of driver’s licence or passport GST number Government funding is a taxable activity. If you are conducting a taxable activity and your annual income exceeds $60,000 per annum, your organisation MUST be registered for GST. If you are not registered for GST, you will bear the full cost of GST on goods and services you purchase for the project. For more information, see www.ird.govt.nz/gst or phone the Inland Revenue Department on 0800 377 776. Provide physical address, postal address (if different), telephone numbers and website address for the organisation submitting this application. Te Mana o Te Wai Fund Guide for Applicants Page 17 4. Details of the project The assessment panel uses the information from this section to score the application in terms of the project’s effectiveness, contribution to the environment, and strategic value in achieving the purpose of the Te Mana o Te Wai Fund. Strategic value means the likely ability of projects to act as catalysts that enhance and extend the uptake of good environmental practice. Preference will be given to applicants that collectively give the largest net benefit over time, including the extent to which projects can demonstrate: their ability to deliver the project the likelihood of success of the project and how the project will achieve its goals how the effectiveness of the project will be monitored, evaluated and reported if the funding is for the establishment phase of a longer-term project, how the project will continue after funding ends and becomes self-sustaining. What is the opportunity or problem with the freshwater body/bodies that you plan to address with the project and what is the importance to local Māori? The project objectives must focus on practical on the ground activities to improve water quality. Include the following types of information (maximum 400 words): whether a demonstrated need, problem or opportunity, exists size or extent of the opportunity or problem whether it covers a national or global perspective why the water body/bodies are important to local Māori impact the problem has on the environment and/or people’s lives likely future consequences of not addressing the problem now observations, feelings, experiences and effects on the community and stakeholders. What is the solution or action you are proposing? Describe the solution you are proposing in terms of your project’s contribution to the freshwater body/bodies. What specific practical action does your project take to seize the opportunity or address the problem (maximum 400 words)? Include the benefits of taking the opportunity or addressing the problem. Example If the opportunity is to restore a degraded stream, then the solution may be to replant the riparian zone with native plants and trees and erect fencing. Te Mana o Te Wai Fund Guide for Applicants Page 18 Are you aware of any other project of this type, in your region or in New Zealand? It is very important that you are aware of any similar activities in your region. If similar activities exist in other regions across New Zealand, how can you learn from these activities so you do not ‘reinvent the wheel’? Describe any similar existing activities within your region (what is currently happening, and who is doing it), and explain how your project expands, complements, competes with, or does not affect the scope or coverage of such activities (maximum 100 words). Funding will only be available for projects that collaborate with, rather than duplicate and/or displace, an existing activity. What are the environmental benefits of your project and how will you measure your progress towards them? Provide a brief description of the specific environmental benefits of the project (maximum 150 words). Benefit Example Environmental This project will enhance both freshwater management and improve the water quality of the local river, while increasing iwi knowledge of sustainable land management practices. Progress will be measured by capturing a baseline for the current water quality and knowledge levels. These levels will be measured and progress against the baseline reported on at six monthly intervals. Explain how your project enables and/or helps develop capability of local iwi/hapū to be involved in improving the water quality of freshwater bodies. Provide a brief description of the specific ways that iwi/hapū will be involved in the project or what roles your iwi/hapū will be undertaking (maximum 150 words). Benefit Example Participation in management This project will appoint a member of the local hapū to oversee and coordinate the activities being undertaken to improve water quality. Governance involvement Two or more local iwi/hapū members will sit on the governance board Our Māori trust board will be overseeing the project Development of capacity/capability Local experts will work with project participants to improve knowledge on freshwater management practices and water quality improvement techniques This project will run knowledge sharing workshops on the best interventions to improve water quality What are the additional benefits (for example, economic, social, cultural) of your project and how will you measure your progress towards them? Provide a brief description of the specific benefits of the project (maximum 60 words for each additional benefit). Te Mana o Te Wai Fund Guide for Applicants Page 19 Benefit Examples Economic contribution to local economy and community development (eg, gross domestic product, qualifications and labour market, local money invested, tourism) improved infrastructure (eg, reduced transport costs and congestion) enhancement of New Zealand’s international ‘clean green’ reputation and trade reduction in compliance costs creation of jobs, volunteers, skills participation/buy-in from the community, business and iwi improved human health, and health and safety of workers improved aesthetics and amenities enhanced ‘feel good’ factor (eg, individuals and communities working together) increased embracing of sustainability ideas by business and community increased compliance with environment, nuisance or health-related laws better access provided to wide range of groups, current barriers to environmental awareness and participation removed enhanced cultural awareness/kaitiakitanga (active protection and guardianship of environment) joint venture/enhanced relationship with key partners (eg, local council, iwi or industry) cross-sector collaboration springboard to wider scope or higher quality benchmark for the whole industry/region (eg, accreditation standard achieved) spin-off project or business opportunities sustainable business Social Cultural Other 5. Project objectives A minimum of three and a maximum of six, concrete statements must be provided as your project objectives. Your project objectives should clearly describe the tangible results (or outcome) that your project is trying to achieve. All project objectives must be achievable within the timeframe of the Te Mana o Te Wai Fund funding period. For each of your project objectives at least one relevant key performance indicator (KPI) must be listed. The KPIs must be SMART (Specific, Measurable, Achievable, and Realistic within the Timeframe of the Te Mana o Te Wai Fund funding you are applying for). For further guidance and tips on how to complete the project objectives table refer to the Appendix of this Guide. Te Mana o Te Wai Fund Guide for Applicants Page 20 6. Project key tasks/activities List the main tasks and activities that are involved in your project in chronological order using bullet points, for example: recruit a project coordinator establish a project Steering Group and develop terms of reference hold a meeting with the key stakeholders develop a communication plan promote initiative through website and local media hold first volunteer restoration day at the site. Add more bullet points as required. 7. Evaluation Evaluating your project is a valuable and integral step. Planning and thinking about evaluation starts at the project initiation stage, not near the end of the project. It is important you are able to evaluate whether your project has met the outcomes and benefits you want to achieve. Think about what you would tell a stakeholder as tangible proof of your success, or think about what a bank manager or investors would want to see in a business plan. Examples of ways to measure your progress and success include: activity measures/efficiency (delivery to timeframes/within budget, customer or staff feedback on quality, levels of satisfaction or number of complaints) impact measures you can see immediately, including your KPIs (eg, number of participants, their before/after levels of support for and understanding about community environment activities) economic contribution in dollars to the local economy, and number of new jobs. Evaluation helps to: produce tangible proof of how well the project worked (whether as intended or not) identify learning and areas for improvement. communicate a shared understanding of the outcomes you intend to achieve promote accountability and transparency (ie, you can tell the story of how efficient or valuable your project has been, to those funding or otherwise supporting your project) build stakeholder confidence in your project and project delivery skills. Plan how you want to use the results for maximised benefit to you, your stakeholders, and those you want to influence in the future. How do you want to celebrate, inform or defend your project? Te Mana o Te Wai Fund Guide for Applicants Page 21 Examples Milestone reports and the final evaluation report to the Ministry. Internal lessons learned brainstorming session(s). Visual presentation to stakeholders using graphs, case studies, photographs. Progress report or media release, highlighting the key points. For further guidance and tips on how to complete the project evaluation table refer to the Appendix of this Guide. 8. Involvement from community and stakeholders Collaboration and partnerships may add expertise, additional resources, or other attributes that strengthen the application for funding. An active working relationship with other organisations involves regular communication, including meetings, and working together towards a common goal. The degree of partnership and cross-sectoral collaboration is taken into account when assessing the strategic value of proposals. Partners generally share the decision-making about a project, and must contribute resources to the project in terms of expertise, equipment, time and resource. In addition they may also provide funding. There may be a formal agreement (eg, contract) between the parties, who work together for a common goal and share the risks and benefits. You must be able to demonstrate that your project has strong involvement from partner organisations by providing letters from these organisations detailing their involvement in your project. These letters must be submitted with your application for funding. Applications from groups (with limited experience in delivering projects) that can demonstrate strong involvement from partner organisations will be viewed favourably by the assessment panel. Councils can also be partners but their involvement should be listed under Question 9 Council involvement. Stakeholders have a direct interest in the project, and may provide support and help. Examples of stakeholders include project volunteers, project committee or board members, staff, or other organisations or community groups that benefit from the project. Stakeholders may also be actual or potential funders. Preference is given to projects that operate collaboratively. Select the stakeholder group(s) that will be included, and give details of their involvement and explain how your project will support and strengthen the partnerships between them. Important: You must provide a letter from each of the organisations/individuals listed in this section of your application for funding detailing their involvement. Te Mana o Te Wai Fund Guide for Applicants Page 22 9. Council involvement It is important that the project and the council(s) work together towards a common goal, and share the benefits and risks. Councils usually have experienced staff, governance structures, project management, and financial processes in place, all of which are vital to effective project delivery. The benefits of encouraging collaboration between local councils and Te Mana o Te Wai Fund applicants include: increased level of commitment from local councils to local projects facilitation of a coordinated funding approach to ensure projects fit with the priorities of the region reducing the likelihood of duplication of activities within a region assisting local councils to achieve their environmental objectives in a more efficient, coordinated and strategic manner funding of priority projects within regions. The local council can contribute resources in terms of expertise, equipment or funds. Preference will be given to a project that can demonstrate that the appropriate regional, district or city council has some involvement in the project. Important: You must provide a letter detailing their involvement from each of the regional, city or district councils listed in this section of your application for funding. 10. Risk management A risk is something that may affect the completion and success of your project. It is good practice to identify all the concerns about your project at an early stage. You may identify issues that can be resolved before the project starts. Project risks should be reviewed throughout the lifetime of a project as new risks may present themselves along the way. As part of the management of your project a risk register should be maintained and updated on a regular basis. This register should include new risks as they are identified and the mitigations in place to deal with those risks should they arise. Te Mana o Te Wai Fund Guide for Applicants Page 23 11. Project manager details Who is your project manager, and what skills and experience do they have? The project manager is the person responsible for managing major project tasks, and is likely to be the person who liaises with the Ministry during the lifetime of the project. Provide details about this person, including their relevant technical skills and experience (maximum 100 words). If this person has not yet been appointed, what skills and experience will they be required to have? Include approximately how much time the project manager will spend on the project each week, and whether this is a full-time or part-time role. 12. Governance and management struc ture Project governance is about the direction, leadership, accountability and responsibilities for strategic decision-making across the project. It may also include processes for auditing, monitoring and reviewing the project. A governance group should be separate from the project manager (who reports to it), and should include key stakeholders where relevant. It should: be the body that ‘owns’ the project and is responsible for ensuring it has the resources and direction needed to be successful assess key opportunities and risks and confirm ways to realise or mitigate these, review project performance give overall guidance to the project. A governance group can be an existing structure such as a board or committee or a subcommittee of such a structure with appropriate membership changes (additions and removals) for the purpose of governing the particular project. If relevant you will need to detail how your project supports or enables iwi/hapū participation in freshwater management or how local iwi/hapū are involved in the governance structure or decisionmaking process. Also provide any details on how the project will develop iwi/hapū capacity and capability in this area. Provide details of project governance (maximum 300 words), and information about managing funds (maximum 250 words). Examples Project board or steering committee (including responsibilities, members and terms of reference, and frequency of and/or criteria for meetings). Governance arrangements with sub-contractors or partners. Processes for tendering. Processes for monitoring and auditing the project. Te Mana o Te Wai Fund Guide for Applicants Page 24 SECTION TWO: Financial Information The level of funding from other sources is taken into account by the assessment panel, and it is preferable that the Te Mana o Te Wai Fund does not fund 100 per cent of the total project costs. Preference will be given to projects that have shared funding and can demonstrate that the balance of the required funding for the project has been obtained from sources other than the Te Mana o Te Wai Fund (ie, a cash contribution from the applicant’s organisation and contributions from other external funding sources). All figures provided in the Financial Information section MUST add up and be consistent throughout the application form. The Total figure in row (B) of the Funding information table (question 13) MUST match the Total other external funding for your project figure in the External funding sources table (question 14). The total cost of project figures (A)+(B)+(C) in the Funding information table (question 13) MUST match the Total estimated cash costs per year, and the Total project budget figures at the end of the Project budget section (question 15). Important: If the figures provided are inconsistent, or do not add up, your application will not be assessed further. All figures MUST be exclusive of GST. 13. Funding information Fill in this section after the project budget (question 15) has been finalised. Cash funding from your own organisation (A) Provide the cash amount your organisation will contribute to the project across the year(s) that Te Mana o Te Wai Fund funding is sought. All amounts must be exclusive of GST. External funding sources (B) Provide details about the other external funding you require for your project across all years that Te Mana o Te Wai Fund funding is sought. These figures MUST NOT include the amount you are requesting from the Te Mana o Te Wai Fund, the amount your organisation will be contributing to the project, or any in-kind contributions. The total figure provided for row (B) MUST equal the total in the External funding sources table (question 14). All amounts must be exclusive of GST. Te Mana o Te Wai Fund Guide for Applicants Page 25 Te Mana o Te Wai Fund contribution you are requesting (C) The minimum amount of Te Mana o Te Wai Fund funding per project is $200,000 per project, over the lifetime of the project. Specify the amount of funding sought from the Te Mana o Te Wai Fund for all applicable years of your project. All amounts must be exclusive of GST. 14. External funding sources The Total other external funding for your project figure in this table MUST match row (B) in the Funding information table (question 13). List all external sources of cash funding (excluding the requested Te Mana o Te Wai Fund contribution and the contribution from your organisation) for the project across all years that Te Mana o Te Wai Fund funding is sought. For each source, identify the organisation, amount, and the status of the funding offer Examples Pending offer, and the expected decision date. Confirmed offer (approved) and the date that payment of this funding is expected. State whether the other external funding offer will be used in year 1 or 2 of the project (as applicable). If your application is invited to proceed to Stage II, you will be asked to provide proof that all funding sources have been confirmed (eg, a signed letter of confirmation). 15. Project budget IMPORTANT Before you begin to fill out this budget table of your application we recommended you do most of your preparation and budget planning separately. This will enable you to work out how much the project is going to cost based on the key tasks/activities that will need to be undertaken to successfully complete your project. These key tasks/activities should be included in the table for question 6 of your application. Funding must only be used for proper purposes, within the scope of the project as identified within this project budget. The Te Mana o Te Wai Fund will pay for reasonable costs relating to the following categories: personnel administration Te Mana o Te Wai Fund Guide for Applicants Page 26 consultants and contractors venue and equipment travel (only domestic travel can be covered by Te Mana o Te Wai Fund funding) and accommodation promotion and dissemination of information financial, legal and information technology (IT) service expenses health and safety equipment and training purchase of capital assets and other capital costs other miscellaneous costs. The project budget should include the total cost of your proposed project, not just the costs that you are seeking Te Mana o Te Wai Fund funding for. If there are project costs that are key to your proposed project that are ineligible for Te Mana o Te Wai Fund funding (for example, international travel, costs to gain a qualification) include them in your project budget and clearly identify these budget lines as not included in the Te Mana o Te Wai Fund funding contribution (for example, adding a note in brackets). A table showing areas that are ineligible for Te Mana o Te Wai Fund funding is included below. It is important that you keep a record of all your workings so you are able to explain the breakdown of costs across each year if you are invited to proceed to Stage II. Project budget Provide a breakdown of all the estimated, project-related costs (expenditure) for all the applicable years of your project, exclusive of GST. Ensure that sufficient detail is provided in the first column such as a breakdown of how amounts were calculated. For example, under personnel costs, provide the name and/or position of the staff member, the number of hours they are expected to spend on the project, and their salary or hourly rate. Example Jane Bloggs, Project Manager, 20 hours per week at $X per hour. Te Mana o Te Wai Fund Guide for Applicants Page 27 What Te Mana o Te Wai Fund funding does not cover The following areas are not covered by Te Mana o Te Wai Fund funding. Area What funding does not cover Research Academic costs or research to support the attainment of a qualification. Duplication of demonstration projects (for example, model organic farm) or pilot studies. Projects that more appropriately fall under other funding sources. Projects that are clearly the responsibility of other funding sources, (for example, government agencies). This includes project outputs to be used specifically for the development of central government policy. Statutory duties of local government (activities that councils are required to undertake by law, for example, local government planning, resource consent approval, or monitoring functions). Retrospective costs Retrospective or backdated costs (costs incurred before a deed of funding is signed). Projects that are for financial profit Venture capital or commercial development such as setting up (new) or developing (existing) business activities, marketing a new idea, or making a financial profit. Business as usual operating costs Costs relating to an organisation’s ‘normal’ activities. This includes but is not limited to: Other funding sources, including government agencies Other buying materials and equipment that are a normal part of an organisation’s responsibility for managing their property and day-to-day business the maintenance and running costs of vehicles (including warrant of fitness and registration) the purchase and/or maintenance of buildings. Attendance at conferences. Patents or copyright (products or outputs that will not be freely available for public use, for non-profit purposes). Compliance with planning regulations and other legal compliance costs. Making/challenging a resource or building consent application. Alcohol, entertainment, gifts or social expenses. Costs associated with supporting a political party or movement, running a political campaign, or lobbying against the Government. Te Mana o Te Wai Fund Guide for Applicants Page 28 16. Estimated in-kind contributions An in-kind contribution is a cash-equivalent form of support that is donated and assists with the project costs. It is not the same as a cash contribution, and does not count towards the total costs of funding. Many organisations obtain in-kind support for their projects. The Te Mana o Te Wai Fund recognises the value of donated resources and/or the time of volunteers and professionals who help deliver a project. The assessment panel assesses how much community involvement the project has, by considering the number of volunteer (unpaid) hours estimated for the project as well as the total level of in-kind contributions. Preference will be given to projects that have strong community involvement. An in-kind contribution does not include time spent negotiating commercial arrangements unless the goods or services being negotiated are being provided free of charge. The in-kind contribution may be necessary for the completion of the project; however, no cash is exchanged for the service or goods. In your application you are required to provide information about the predicted in-kind contributions for the project (maximum 100 words per description). Provide the estimated amounts based on a realistic amount of in-kind contribution that your project will receive during the timeframe of the requested Te Mana o Te Wai Fund funding. See the examples in the table below to help you complete question 16 of the application form. Example of estimated in-kind contributions Examples of total estimated inkind contribution Professional services and goods Calculate professional services using the actual hourly rate usually charged by the professional Use/donation of equipment Description examples (Exclusive of GST) A lawyer draws up a contract for a sub-contractor you intend to engage and provides three hours free of charge. This can be claimed as an in-kind contribution. 3 hours x $140 per hour (actual hourly rate) = $420 estimated in-kind contribution Dr Derek Bird provides professional freshwater quality testing (250 hours at a normal hourly rate of $75). 250 hours x $75 per hour (actual hourly rate) = $18,750 estimated in-kind contribution A local hire company provides your organisation with a rotary mower free of charge. They normally charge $300 per day for the rental. You use the mower five times over a period of 12 months. Mower borrowed five times x $300 per day (actual rental charge) = $1,500 estimated inkind contribution Te Mana o Te Wai Fund Guide for Applicants Page 29 Example of estimated in-kind contributions Examples of total estimated inkind contribution Description examples (Exclusive of GST) Community volunteer(unpaid) time Someone keeps the books for your project without charge but they are not an accountant. 240 hours x $30 per hour = $7,200 estimated in-kind contribution Calculate at a rate of $30 per hour Volunteers attend four community planting days (40 volunteers spend three hours planting native trees on each of the four planting days for the project. Total hours calculated as 40 people x 3hrs x 4 days = 480hrs). 480 hours x $30 per hour = $14,400 estimated in-kind contribution Facilities provided A local company provides your organisation with office space. This would normally be let at $450 per month (lowest possible market rate); however, the company is providing the space free of charge for a period of 12 months. 12 months x $450 per month = $5,400 estimated in-kind contribution Important: In-kind contributions do not count towards the total estimated cash costs of the project. Te Mana o Te Wai Fund Guide for Applicants Page 30 SECTION THREE: Additional Information 17. Publicly-funded projects Provide information on any publicly funded projects your organisation has completed in the past five years. For each project, include the name of the organisation that provided the funding, the name of the fund, and the amount awarded. Provide a brief summary of the project including; project name, objectives, whether the project was successful, and any other relevant information (maximum 200 words per project). 18. Health and safety It is important that your organisation has the necessary health and safety policies, resources and expertise to safely undertake and complete your project. If invited to proceed to Stage II, you may be asked to submit a health and safety plan for your project. Does your organisation have a health and safety policy? Describe what health and safety policies your organisation has and the process you have to keep these updated and communicated to employees, contractors, subcontractors and volunteers. Has your organisation been issued with any notices under the Health and Safety in Employment Act? An infringement offence is any offence described in section 50(1) of the Health and Safety in Employment Act 1992. It includes most breaches of the legislation. Is there currently a health and safety plan for the project? Disclose if your organisation has received any of the following: a written warning from a health and safety inspector an improvement notice a prohibition notice an infringement notice a conviction for an offence under the Health and Safety in Employment Act 1992 a hazard notice a compliance order. Confirm whether you have a health and safety plan for the project and what it covers (for example, hazard register, site emergency plan, fire plan). You will be asked to provide a copy of your health and safety plan if you are invited to proceed to Stage II. If you do not have a health and safety plan, you will be required to develop one as part of your deliverables for the first progress payment in the first year of the project. Who will be responsible for health and safety for the project? Identify who is responsible for health and safety for the project, their title, and skills and experience in this area. Te Mana o Te Wai Fund Guide for Applicants Page 31 19. Is there anything else we need to consider about your application? Provide any additional information your organisation considers important, but has not been covered in previous sections. You must include any known conflicts of interest (actual or potential) and any action taken to manage these conflicts (maximum 250 words). Important: Other than the provision of letters of support from your project partners, applicants have not been asked to provide ANY other additional information to support their application for funding from the Te Mana o Te Wai Fund. Do not provide any other documents, emails or other correspondence to support your application for funding as they WILL NOT be forwarded to the assessment panel. Important: Answers to some of the questions in the application form (including this question 19) have a maximum word limit associated with them. If any word limit is exceeded, the text beyond the word limit may not be considered when assessing your application for funding. Declaration A person with the organisation’s signing authority must complete the declaration (for example, the Chief Executive Officer or equivalent delegated authority). This person may be different to the primary contact person for the application. Provide the name, position, and signature of the person with the organisation’s signing authority and include the date the declaration is signed. Contact the Remediation Projects Team if you have any queries. Important: By electronically signing the declaration in the application you are agreeing to the contents of the declaration. Te Mana o Te Wai Fund Guide for Applicants Page 32 Submission Applications must be lodged by mid-day Thursday 30 April 2015. Check your application for completeness before submitting by email to the Ministry. Completeness Ensure your application is complete. You must ensure that: all sections of the application form have been completed declaration has been electronically signed and dated all dollar figures provided add up and are consistent throughout the application answers remain under the word limit (where applicable) letters of support for each of the organisations/individuals/Councils listed in question 8 and question 9 are attached If your application is incomplete, or the form has been altered or edited in any way, it will not be considered for funding. Important: Only attach documentation that the Ministry has specifically requested. Submitting the application Once you have completed your application form, email the form and all letters of support, in ONE SINGLE EMAIL to tmotwapplication@mfe.govt.nz. Applications that have not been completed electronically will not be assessed. Important: You must submit your application by email. The subject of the email needs to contain the word ‘application’ and your organisation’s name (for example ‘Te Mana o Te Wai Application – 123 Company). Posted applications will not be accepted by the Ministry. Late or incomplete applications Applications must be lodged by mid-day Thursday 30 April 2015. An application will not be considered if: it is received after the closing date, or received after the closing time on the closing date the designated application form is not used the designated application form has been altered in any way the application form is not electronically signed the required supporting documentation has not been attached. Te Mana o Te Wai Fund Guide for Applicants Page 33 Appendix: Project objectives and evaluation Here are some tips on how to set objectives and KPIs (key performance indicators) for your project. Tip Guidance Clear objectives You must provide between three and six concrete statements, which describe the tangible results your project is trying to achieve. Objectives must be achievable within the timeframe of the Te Mana o Te Wai Fund funding. Smart key performance indicators (KPIs) Each objective for your project must have at least one corresponding KPI. Make sure the KPI’s are SMART (Specific, Measurable, Achievable and Realistic within the Timeframe of the Te Mana o Te Wai Fund funding). Your KPIs need to be specific and have to demonstrate progress towards the project’s objectives in a measureable way. KPIS must be based on tangible evidence rather than picking a number out of the air. Make your KPIs SMART: Specific – objectives should specify what they want to achieve Measurable – you should be able to measure whether you are meeting the objectives or not Achievable – the objectives should be achievable and attainable Realistic – you should be able to realistically achieve the objectives with the resources you have Timely – when you want to achieve the set objectives by. Individual project tasks/activities are not KPIs, as they can be measured but are not key measures. Similarly, additional benefits, value-added elements or the measures themselves are not KPIs. KPIs are concise statements that answer the ‘so what?’ question about the reason for the project. They provide the key benefits you expect the project to achieve, and how this will be done. They are measurable and implicitly have a specific scope and timeframe. As a general rule, aim for four to six KPIs: Source of measure must-have KPIs (project objectives, to measure the project’s success) optional KPIs (additional social, economic, environmental or valueadding benefits and milestone deliverables like a bundle of project activities or tasks). Identify what information you will need to measure your progress and success. Think about what you would tell a stakeholder as tangible proof of your success, or think about what your bank manager or investors would want to see in a business plan. Examples of ways to measure your progress and success include: Te Mana o Te Wai Fund Guide for Applicants activity measures/efficiency (delivery to timeframes/within budget, feedback on behavioural change, awareness levels or quality of services, levels of satisfaction, or number of complaints) Page 34 Tip Baseline information sources Evaluation planning Guidance impact measures you can see immediately, including your KPIs (for example, number of participants, their before/after levels of support for and understanding about activities to improve freshwater quality) economic contribution in dollars to the local economy, and number of new jobs created through the project. It is very important that you capture a baseline measure to compare progress against. Make sure the information is available before you commit to a KPI. You will need to find data that is relevant, timely (ideally less than five years old), and that can be updated (either by another source, or by you) by the end of your project. Include any activities that you will need to undertake to collect the necessary information in your application. These are examples of useful information: qualitative data (eg, asking for information in a survey, interviews, or focus groups. This information can be useful to evaluate before-andafter changes in levels of awareness, participation, support, and behaviour change) quantitative data (eg, current water quality data or indicators, existing infrastructure such as existing fencing, number of trees, wetlands in area). This hard data information can be useful to evaluate efficiency, immediate impacts and end/longer-term impacts). As part of your project initiation process, identify what information you will need to measure your progress and success. Think about what you would tell a stakeholder as tangible proof of your success, or think about what a bank manager or investors would want to see in a business plan. What is the logical or causal chain effect of your project? Consider including the deliverables of how you will communicate your results in your project plan (eg, presentation to stakeholders). The information should be: clear based on facts and not vague claims scalable to the size of your project relevant available usable. Examples of ways to measure your progress and success include: activity measures/efficiency (delivery to timeframes/within budget, customer or staff feedback on quality, levels of satisfaction or number of complaints) impact measures you can see immediately, including your KPIs (eg, number of participants, their before/after levels of support for and understanding about community environment activities) Te Mana o Te Wai Fund Guide for Applicants Page 35 Tip Evaluation and reporting Guidance economic contribution in dollars to the local economy, and number of new jobs. Plan how you want to use the results for maximised benefit to you, your stakeholders, and those you want to influence in the future. How do you want to celebrate, inform or defend your project? Regular and accurate reporting is required to all relevant stakeholders, and is usually undertaken at different levels. This ensures there are no surprises as the project progresses. Examples: visual presentation to stakeholders using graphs, case studies, photographs Online tools progress report, to ensure there is no slippage on the milestones and that the project is operating within budget media release, highlighting the key points milestone reports and the final evaluation report to the Ministry internal lessons, learned brainstorming session(s). www.surveymonkey.com is a free/cheap website allowing you to design and roll out an online survey. It includes common questions and survey templates. Te Mana o Te Wai Fund Guide for Applicants Page 36