ORIO
Facility for Infrastructure Development
Version: July 2013
23
Table of Contents
General Information 4
1 Contact Information 5
2 Project Details 7
2.1 Main Project Details 7
2.2 Project Budget Overview 7
3 Problem & Solution 8
3.1 Problem 8
3.2 Solution 9
3.3 Project Context 10
4 The Project 11
4.1 Input & Output 11
4.2 Outcome 12
4.3 Impact 13
5 Sustainability 15
5.1 Social & Environmental Risks 15
5.2 Risks 18
5.3 Involvement of end users 18
5.4 Parties Involved 19
6 Implementation Phase 22
6.1 Project Organisation in the Implementation Phase 22
6.2 Main Components of the Implementation Phase 22
6.3 Planning for the Implementation Phase 23
6.4 Budget for the Implementation Phase 23
6.5 Equipment and technology 26
6.6 Training in the Implementation Phase 27
7 Operation & Maintenance Phase 28
7.1 Project Organisation in the Operation & Maintenance Phase 28
7.2 Activities and Budget of the Operation and Maintenance Phase 28
7.3 Training in the Operation and Maintenance Phase 31
8 Procurement Plan for the Implementation Phase and Operation and Maintenance Phase 32
8.1 Lots, Method and Planning of Procurement 32
8.2 Tender Documents 32
8.3 Qualification and Pre-Selection of Bidders 33
8.4 Transparency of Proceedings 33
8.5 Procurement Specialist 33
8.6 Supervision 33
9 Financial and Economic Analyses 35
9.1 Commercial Viability Analysis 35
9.2 Financial Feasibility and Sustainability Analysis 36
9.3 Economic Viability Analysis and Calculation of Economic Returns 36
10 Financing Plan for the Implementation Phase and Operation and Maintenance Phase 38
11 Monitoring and Evaluation 39
12 Appendices 40
General Information
This Project Plan template concerns an application for a grant for the implementation and O&M phase funded by ORIO. The Policy Rules for the ORIO Grant Facility, including its definitions and abbreviations, apply to this application.
Where applicable, information given in italic red writing should be used to complete this ORIO Project Plan as it explains which issues should be addressed. Please remove all red writing before submitting the completed Project Plan.
Only fully completed Project Plans will be taken into consideration. The full plan must be submitted in English and must contain:
· One hard copy of the Project Plan, including the following appendices:
o Map of the project area
o A bill of quantities of investment costs
o SEIA and ESMP
o Feasibility study
o List of documentation consulted
o Resumes
o Documents confirming financing from co-financiers (see chapter 9)
· An electronic copy of:
1. the Project Plan, including the appendices (in PDF or Word format). The contents of the electronic copy should be the same as the hard copy.
2. the Financial Plan (chapter 8) and the Financial and Economic Analyses (chapter 9) (in Excel, please use the 'Financial Analysis Tool Second Appraisal', which is available under Financial and Project Administration at www.orio.nl). Please make sure that the Excel sheet contains active links and traceable calculations.
Please submit the electronic documents in Office 2003 format only (.doc and .xls format).
Both documents (max. 5 MB in total) must be delivered either on CD-ROM or sent via e-mail. The name of the Applicant, the Project title, the Project number and the country for which the plan is submitted must be mentioned clearly.
Delivery addressNL Agency
NL EVD International
ORIO
Prinses Beatrixlaan 2
2595 AL The Hague
The Netherlands
1 Contact Information
Please supply the contact details for all parties involved in the drafting of the project plan (Applicant, Competent Authority, Consultant, etc.). Copy the table below as often as necessary.
Name of the ApplicantPhysical address
Postal code and city
Country
P.O. Box
Postal code and city
Country
Name of contact person / Mr
Ms
Position
Telephone number
E-mail address
Website
Name of the Competent Authority
Physical address
Postal code and city
Country
P.O. Box
Postal code and city
Country
Name of contact person / Mr
Ms
Position
Telephone number
E-mail address
Website
Name of the Consultant
Physical address
Postal code and city
Country
P.O. Box
Postal code and city
Country
Name of contact person / Mr
Ms
Position
Telephone number
E-mail address
Website
Name of the [organisation]
Physical address
Postal code and city
Country
P.O. Box
Postal code and city
Country
Name of contact person / Mr
Ms
Position
Telephone number
E-mail address
Website
2 Project Details
2.1 Main Project Details
Full title of the projectShortened title
Country
Sector (please delete the sectors that are not applicable) / Water/ Environment/ Energy/ Transport/ Communication/ Social Services/ Civil Works
2.2 Project Budget Overview
Total project costs in application (EUR)* / Total project costs in project plan (EUR)** / Eligible costs (EUR)*** / Grant %**** / Grant amount (EUR)Development phase
Implementation phase
Operation and Maintenance phase
Total (EUR):
* Fill in the project costs as specified in the original application; please ensure to include all project costs for the Implementation and O&M phases, even if not eligible for ORIO funding.
** Include all the project costs for the economic lifespan of the project (up to year 10 of the Operation and Maintenance Phase); please ensure to include all project costs for the Implementation and O&M phases, even if not eligible for ORIO funding.
*** For a list of eligible costs please see Appendix II of the ORIO Manual. Please note that the eligible costs for the Operations and maintenance phase only relate to a maximum of the first 10 years of the O&M phase. If you do not apply for a grant for the Operations and Maintenance phase, you can write "Not Applicable" (or NA) in the column Eligible costs.
**** You can find the grant percentage for each country on www.orio.nl. Please refer to 'Countries' on the 'Do I Qualify?' page. To calculate the grant amount, take the applicable grant percentage over the eligible costs per phase.
Project documents / List available documents about the project and provide a brief description of the content of the report/study.Major changes / Summarise major project changes when compared to the project application for the development phase.
Conditions / Describe the conditions that have been set in the selection letter. How have these conditions been fulfilled and in what documents can this be found?
3 Problem Solution
3.1 Problem
3.1.1 General Context to the Problem
Describe the background to the problem. Please elaborate on the following aspects:
· The location of the project: city/town, district/region/province/state and country
· The institutional and political situation of the country
· Socio-economic characteristics of the region and country; if applicable, describe any government deficits or inflation
· Population growth
· The environmental situation of the country
· Regional issues, if relevant (e.g. post-war or political issues)
In your description, include basic, sex disaggregated data (demographic, economic, financial and production statistics) with references to the sources.
3.1.2 Problem analysis
· Please provide an adequate problem analysis, including (1) a description of the problem; (2) the underlying causes of the problem; (3) the direct and indirect effects of the problem. Make sure to address the following issues / aspects in your analysis:
Ad (1)
o Please elaborate on the overall problem (impact level) that needs to be addressed. Do not describe the problem as the absence of a solution (e.g. 'no infrastructure available' or 'no functioning water treatment plant available').
o Indicate the magnitude of the problem. Estimate the number of people currently affected by the problem.
Ad (2)
o Please elaborate on the most important causes of the problem.
o Describe the key problems in the sector, the causal relationships between these problems and the inter-sector linkages.
o Describe how the absence of infrastructure has contributed to the problem.
Ad (3)
o Describe the consequences if the problem is not addressed.
o Describe activities or initiatives that have been undertaken so far and activities or initiatives that are being undertaken at the moment to try and address the problem.
o Why has the problem not been solved until now?
o Refer to lessons learned from previous similar projects and programmes. Describe past difficulties encountered in project and programme implementation.
3.1.3 Stakeholders Affected by and Involved in the Problem
· Please describe all the stakeholders that are involved in the problem. Describe and quantify the direct and indirect beneficiaries of the project and other stakeholders (responsible ministries, implementing partners, SME’s, NGOs etc.).
Stakeholder / Describe and quantify this party. How has this party been affected by or involved in the problem?End users
Central government
Local government
Donors
Etc.
3.2 Solution
3.2.1 Objectives
· With reference to the problem analysis, please describe the main long term objectives that the project aims to achieve and the short term objectives of the project.
· Please elaborate on the desired future situation at the impact level for the end-users.
· Describe the situation when the problem will have been resolved. Describe the infrastructure that is needed to solve the problem and will be delivered by the project.
· Define the short-term objectives (outcomes level) and long-term objectives (impact level) of the project.
· Long-term objectives are a positive, desirable situation after the project (e.g. 'decrease of infant mortality’, ‘improved health standards in a particular area', etc.). Short-term objectives are the expected outcomes of the project (e.g. ‘improved access to health facilities by a new hospital’ or ‘improved access to water and sanitation in area X by improved water systems’)
3.2.2 Proposed Solution
· Describe what is needed to achieve the objectives. In other words, describe the infrastructure that is needed to solve the problem.
· Please elaborate on how these objectives will be achieved.
· Describe in detail how the project will address the causes of the problem.
· Describe the relevance of the proposed project to address the problems identified in the sector.
· Please describe the alternatives that have been considered to solve the problem (i.e. to achieve the objective).
· Describe why these alternatives have not been chosen.
· Explain why the proposed solution described above is the best solution specific to the region and context.
· In the table below, please give an overview of the stakeholders that have been consulted and involved in the development of the project.
Stakeholder / How have these been involved in the development of the project and why?End users
Central government
Local government
Donors
Etc.
· Describe the stakeholders' involvement in the project, focusing on the end users. Elaborate on gender aspects, issues related to institutional resources, capacity, the degree of local ownership and the absorption capacity. Describe the results of the sessions with end users that have been held.
3.3 Project Context
Please describe the local context of the project:
· Describe the project catchment area.
· Describe institutional and legal issues related to the project or project area.
- Legal factors could include relevant existing laws or relevant laws that are to be implemented shortly. Other legal factors are potential problems related to corruption (for which mitigation measures should be identified if relevant). Describe any anti-corruption laws and standards in the country and how these will be applied to the project.
- Institutional factors are usually sector-specific, for example: drinking water: local rates, feed-in rates, arrangements for local household connections (e.g. subsidies); health: the local referral system, insurance; power: local rates, Power Purchasing Agreements, arrangements for local household connections; transport: existence of road taxes or other forms of income generation for road maintenance and investments, possible existence of a road fund and its functioning.
· Describe the geographical, social and environmental surroundings of the project.
· Describe in detail how the project fits in with the policy objectives of local and central government. If the country has a Poverty Reduction Strategy Paper (PRSP), please describe how the project is consistent with the PRSP.
· If the country has a sector strategy, describe the key features of the sector and the relation between the proposed project and the Government's sector policies and expenditure plans with current/ongoing initiatives and/or priorities of national ministries and agencies in the sector concerned.
· Indicate whether there is a Master Plan or other plan / programme / initiatives which this project is part of, clearly describing the prioritisation of the proposed project within this larger plan.
· Provide information on how the sector has been consulted/involved in the project.
· Mention the key donors in the project's sector and describe how the donors work together; for example, mention if there is a Sector Wide Approach (SWAP), who is the sector lead etc.
· Provide information on the relation between the proposed project and the projects of other donors. Elaborate on how this project complements the projects of other donors and describe the synergy between them.
4 The Project
4.1 Input & Output
4.1.1 Definition of the Project
· Define the project conform the OECD consensus as: “the smallest complete productive entity, physically and technically integrated, that fully utilises the proposed investment and captures all financial benefits that can be attributed to the investment.” For example: "the project is defined as the development, construction, equipping and subsequent use and maintenance of a regional hospital in city X, country Y".
· Take the time horizon into account: although the part of the project that is co-financed by ORIO could be completed within a few years, the project has an economic lifetime that is much longer and the project definition should be based on this time horizon.
· The project definition should include all elements necessary to ensure that the goods and services produced are delivered to the end-user. For example, a project may be defined as the development and implementation of a new water treatment plant. However, this plant may need an existing water distribution network to deliver water to its end-users. If this is the case - even if a (good quality) network is already in place and is therefore not part of the application itself - the network should be included in the project definition.