Appendix 1Project Plan

Ghana WASH Window-FDW

A Public Private Partnership Facility

To be used for the application procedure

2013General 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.

1

1 Public summary

- Please fill out the summary page below. Please note that this information can be made publicly available by NL Agency.

- 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 analysisInsert 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 self-reliance.

- The problem should be described as a negative situation, for example: people suffer from diseases related to poor sanitation practises. Do not solely describe the problem as the absence of a solution (e.g. no sanitation facilities are available or no functioning water treatment plant is available).

- Interests of different stakeholders should be structural embedded and secured in the project.

2.2 Project objectivesInsert 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

- 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 objectivesInsert 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 should be aligned with the target group, including vulnerable

groups in society. The project meets the needs of the target groups and shows

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the target group is sufficient involved in the project to be effective.

2.4 Intervention strategy

2.4.1 Intervention logicInsert 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.

- Summarise (max 500 words) the intervention logic of the project by following the OECD-DAC 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

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should be clear. - The solution should fit the Ghanaian context.

Figure: Example Result ChainProject result change summary

I nputs Activities Outputs Outcomes I mpacts

ID IDFinancial resources Construction and rehabilitation of

water kiosks.1 Fifty water kiosks constructed and

fifty kiosks rehabilitated by the end of the project period

a Additional acces to clean drinking water to 30.000 people in low income areas

Improved water security

Human resources Improved labour productivityMaterial resources Construction water free toilet blocks 2 Ten water free toilet blocks

constructedb 6000 people and 3000 shool

children using water free sanitation by the end of the project period.

Technical resources Set-up of urine and fecal waste reuse system

3 … Improved health

Information resources

All results fully operational

Assumptions (For a sustainable project)E.g.Cooperation from stakeholdersSufficient demand availableSufficient resourcesEtc.

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 outcomeInsert your text here…

Describe/elaborate on the concrete project output and outcome. Refer to the provided result chain.

- 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 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.agentschapnl.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 ImpactInsert 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.

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- Describe the change in sustainable economic growth. For example: What kind of change will the improvements bring about when it comes to income, number of jobs created, etc.

- Describe the change in self-reliance. For example: What kind of change will the improvements bring about when it comes to reduction in school absenteeism, increase in productive use of saved time by women etc.

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 caseInsert 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.

- 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

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themes Sanitation and hygiene, Waste management, Availability of safe drinking water and Urban water management.

2.4.5 Enabling environmentInsert 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 environement 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-FDWInsert 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 sustainablilityThe 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

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abovementioned criteria. If alternative external financing is expected (e.g. other funds) make plausible this external funding will be available after the project period.

Commercially viableA 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 NL Agency 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 InnovationInsert 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.agentschapnl.nl/GWW. Other FIETS-aspects than those given in the checklist

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may be added.

- Describe how the project contributes to Financial sustainability. What project activities and outputs are involved?

- Describe how the project contributes to Institutional sustainability. What project activities and outputs are involved?

- Describe how the project contributes to Environment and Climate sustainability. What project activities and outputs are involved?

- Describe how the project contributes to Technical sustainability. What project activities and outputs are involved?

- Describe how the project contributes to Social sustainability. What project activities and outputs are involved?

Required:- Sustainability is assessed in accordance with the FIETS criteria. In other words,

the programme must be financially, institutionally, Environmentally (including climate), technically and socially sustainable.

- The cross cutting themes good governance, environment, climate change and gender need to be addressed:o The project preferably has a positive impact on good governance, and set

an example in their respective sector. Projects may not lead to conflicts of interest between stakeholders or corruption. They should have a positive effect on legitimacy and voice, direction, performance accountability and fairness.

o The project preferably has a positive impact on the position of women and girls. Projects may not lead to a deterioration of the position of women.

o The project preferably has a positive effect on the environment in the country where the project is carried out or else restricts harm to the environment by using an environmentally friendly/friendlier production process.

o The project preferably has a positive effect on climate change adaptation.

2.7.2 Corporate Social Responsibility (CSR) of the projectInsert your text here…

PPP projects are expected to integrate CSR, 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 (CSR) in

the project. Think of certification of production processes, social standards, environmental standards etc.

- What will be the CSR 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 CSR. PPP projects are

expected to set an example in their respective sector with regard to CSR, and should not have any negative impact.

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- Chain responsibility is part of the CSR responsibility of the project partners, however the efforts related to the chain responsibility should be described 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 CSR policy and how potential CSR 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 semi-finished 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:

- 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 CSR 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

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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 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 NL EVD International with 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 NL EVD International, the subsidy may be withdrawn.

Table: Essential raw materials / semi-finished product(s) and their suppliers to the projectEssential raw material(s) / semi-finished product(s) of the project

Supplier (s)

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 CSR for companies Insert your text here…

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Do (does) the company(ies) of the partnership has (have) a formalised CSR 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 CSR policy in this box is needed. However in case the CSR 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 CSR 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 CSR approach of the other project partner(s) regarding the above mentioned CSR issues.

Required:- The company(ies) of the partnership should comply with the OECD guidelines

for multinational enterprises with regard to CSR, the ILO declaration on fundamental principles and rights at work and the UN convention on biodiversity.

- The CSR 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 CSR 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 CSR policy yet, GWW-FDW will require them to produce a CSR 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 mitigationInsert 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, CSR 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

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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.

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.- 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 #2Insert your text here…

- See explanation partner #1

3.1.3 Background of Partner #3Insert your text here…

3.1.4 Background of Partner #4Insert your text here…

3.1.xBackground of Partner #XInsert your text here…

Fill out as many text boxes as needed; one for each partner

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3.2 Partners interest, role and expertise

3.2.1 Interest, role and expertise Applicant (=partner 1)Insert your text here…

Describe the applicants/partners interest to participate in the project, its role within the project and its expertise that will assure successful execution of its role. - What will be the role(s) of the applicant within the project? - What is the interest of the applicant/partner 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 2Insert your text here…

- See explanation Applicant (=partner 1)

3.2.3 Interest, role and expertise partner 3Insert your text here…

3.2.4 Interest, role and expertise partner 4Insert your text here…

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3.2.x Interest, role and expertise partner XInsert your text here…

Fill out as many text boxes as needed; one for each partner

3.3 The added value of the partnershipInsert 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 partnersInsert 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

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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 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 arrangementsInsert your text here…

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 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 staffInsert your text here…

Provide the staffing and accompanying budget of the project, including names and resumes

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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

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.- Who will undertake the project management and how will this be undertaken? 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 budgetted for more then 48 hours per week.

Table: Staff hours and budgetReplace the Example of ‘Table: Staff hours and budget’ with the filled out table from Appendix 3, sheet 5 Summary Tables.Example

Result UnitProject leader

Local Int Local Int Local Inthours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0hours 0 0 0 0 0 0 0budget (€) 0 0 0 0 0 0 0

Senior Medior Junior

Total

R1

R2

R3

R4

R5

R6

R7

R8

R9

R10

Staff hours and budget (€)

4.1.2 Knowledge transfer programmeInsert 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

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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. - 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 tableTraining No.

Result (s)

Title Number of people to be trained

Number of training days per person

Total number of training days

Cost per training (€)

1 e.g. Result 2

Basic = III*IVMediumHigh

2 BasicMediumHigh

Etc

Total na na BasicMediumHigh

Table Behavioural change interventionIntervention No

Result(s) Title Number of people reached

Target group(s)

Total intervention costs (€)

1 e.g. Result 21Etc.

Total

4.2 HardwareInsert 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.

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- 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.

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 evaluationInsert 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 CSR 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

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- 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 NL Agency.

Required:- The proposal must include a satisfactory system for monitoring and corrective

action.- The partnership must have at its disposal sufficient capacity in the areas of

internal management, policy implementation and management in order to successfully carry out the programme and account for its performance.

- PME: the PME system is adequate to assess if the progress of outcomes, outputs and sustainability are sufficient. The organisations have regular independent checks on their internal functioning and their outcomes and quality assurance

- 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 partnersInsert your text here…

Contribution of project partnersFill 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 statementsIt 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.

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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.

- 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 partnersReplace the Example of Table: Contribution of the project partners with the filled out table from Appendix 3, sheet 5 Summary TablesExample

Name Category Total contribution (€)

% of project budget

GWW-FDW Public Body € 0 #DEEL/0!Applicant 0 0 € 0 #DEEL/0!Partner 1 0 0 € 0 #DEEL/0!Partner 2 0 0 € 0 #DEEL/0!Partner 3 0 0 € 0 #DEEL/0!Partner 4 0 0 € 0 #DEEL/0!Partner 5 0 0 € 0 #DEEL/0!Partner 6 0 0 € 0 #DEEL/0!Partner 7 0 0 € 0 #DEEL/0!Partner 8 0 0 € 0 #DEEL/0!Partner 9 0 0 € 0 #DEEL/0!Partner 10 0 0 € 0 #DEEL/0!Total € 0 #DEEL/0!

Contribution of the project partners

5.2 Overview project budget

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Insert your text here…

Fill out the project budget in Appendix 3, sheet 3.1 to 3.10 Result 1 to 10. Please present the budget summary below by copying it from Appendix 3, sheet 5 Summary tables and replacing the example table below.

Explanatory text can be added here.

Notes to the various items in the project budget:

1. Project management- This includes the cost for time spent by the project partners and consultants on activities

such as organizing meetings, drafting business plans, reporting and the like.- Overhead, i.e. travel and accommodation costs are also included.- Please specify the number of days spent on project management per Result.- If a consultant is hired for project management or project administration the consultant's

contract may be inspected.

2. Monitoring & Evaluation - A minimum of 2% of the total project budget is required to cover Monitoring and

Evaluation costs of the project. 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 CSR (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, such as BTW/VAT.- Operational costs, excluding project operational costs.

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- 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 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 budgetPaste 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

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Budget item Result 1 Result 2 Result 3 Result 4 Result 5 Result 6 Result 7 Result 8 Result 9 Result 10 TOTAL TOTAL in %

1 staff (€) 45.100 0 0 4.130 10.430 6.880 0 15.380 21.780 10.440 114.140 27%

2 Monitoring & Evaluation (€) 0 0 0 0 0 0 0 0 0 0 0 0%

3Technical Assistance (excluding project staff) 0 0 0 4.626 0 0 0 0 0 0 4.626 1%Project operation (€) 1+2+3 45.100 0 0 8.756 10.430 6.880 0 15.380 21.780 10.440 118.766 28%

4 Hardware (€) NA 0 0 308.402 0 0 0 0 0 0 308.402 72%TOTAL BUDGET (€) 1+2+3+4 45.100 0 0 317.158 10.430 6.880 0 15.380 21.780 10.440 427.168 100%

Summary overview project budget