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close this bookTowards Sustainable Water Resources Management - A Strategic Approach (European Commission, 1998, 351 pages)
close this folderPart III: Aids for the application of the strategic approach
close this folderStandard formats for terms of reference
Open this folder and view contents1. Standard format terms of reference for a Water Resources Country Study
Open this folder and view contents2. Standard format Terms of Reference for a Pre-feasibility Study
View the documentAppendix I: Standard Reporting Format for a Pre-Feasibility Study
Open this folder and view contents3. Format Terms of Reference for a Feasibility Study
Open this folder and view contents4. Standard format Terms of Reference for an Evaluation1

Appendix I: Standard Reporting Format for a Pre-Feasibility Study

Maximum length excluding appendices: 30-40 pages.

The report must be structured using the headings (chapters, sections and subsections) given below. Under each heading, a list of key words and explanatory notes is given to indicate the topics to be handled in that part of the report. These key words and explanatory statements refer to the main issues considered in Chapter 7 (Identification). It is essential, therefore, to use these guidelines to gain a full understanding of the reporting requirements.

The following text should appear on the inside cover:

This report is financed by the [...............; source of financing, e.g. European Development Fund] and is presented by [name of consultant] for the Government of [...................] and the European Commission. It does not necessarily reflect the opinion of the Government or the European Commission.

1. Summary

2. Background

2.1 Government/water resources policy
National policies/strategies affecting water resources, programmes (including water-related sectoral objectives, strategies, priorities and implementation mechanisms), international agreements relating to water which the country has signed, policy links (including land-use policies), and legal aspects linked to water.

2.2 Features of water resources in the country
Institutional and administrative setting, role of water resources and linkages with other sectors in the national and local economies, all relevant revenues and financing, role of water in environmental conservation and protection, and key intersectoral links, (for example with agriculture and health), condition of infrastructure in the relevant Focus Area.

2.3 Beneficiaries and parties involved
Principal stakeholders and their roles, including: water resources users (farmers, local communities), non-governmental organisations (including community-based organisations and service NGOs), private sector organisations, and relevant Government institutions. Also analysis of institutional arrangements and co-ordination mechanisms.

2.4 Problems and opportunities to be addressed
Problems/opportunities of target groups and beneficiaries and of the water resources interventions to be addressed by the project. Analysis/review of problems/opportunities described in the Terms of

Reference, Section D (Issues to be studied):

· policy, co-ordination and legal issues described in Section 2.1;
· demand for water resources services, including any regional aspects;
· alternative solutions and options to address problems and opportunities;
· the sustainability of the sector in:

· economic and financial terms (structural adjustment impact, water resources financing, operating and maintenance budget and revenues),

· institutional and management terms (institutional structure, responsibilities and capacity, involvement of beneficiaries, role of the private sector),

· environmental and socio-cultural terms (potential conflicts between the stakeholders, gender issues),

· technical terms (use of appropriate modern technologies).

2.5 Other operation/interventions
Relevant interventions by the Government, the EC, other donors to water resources or relevant sectors served by the proposed project.

2.6 Documentation available
Key documents for the study such as previous studies and evaluation reports.

3. Intervention

3.1 Overall objectives

This section outlines the justification for the selected option, with reference to the analysis in Technical Appendix 4.

Why is the project important to the target groups, beneficiaries and Government?

3.2 Project purpose
Why do the target groups and beneficiaries need the project?

3.3 Project results
What services will the project deliver to the target groups and beneficiaries?

3.4 Project activities
What are the activities that will be carried out?

4. Assumptions

This section contains preliminary assumptions required to achieve the project activities, results and purpose.

4.1 Assumptions at different levels
Action by other agencies required to support the achievement of the project activities, results and purpose.

4.2 Risks and flexibility
Capacity of the project to respond to the non-realisation of crucial assumptions that could jeopardise the project's success, and the extent to which these risks have been taken into account.

5. Implementation

This section contains preliminary information on the project implementation. Further information will be provided in the feasibility study during the Formulation phase.

5.1 Physical and non-physical means
Preliminary indication of physical works, equipment, supervision, technical assistance, policy or technical studies, monitoring and evaluation.

5.2 Organisation and implementation procedures
Choice of implementation agency, initial assignment of responsibilities, and definition of procedures.

5.3 Time schedule
Expected project duration and phasing.

5.4 Cost estimate and financing plan
Preliminary costs by component and input, in foreign exchange and local currency, indicating the financing source where possible.

5.5 Special conditions and accompanying measures taken by the government
Preliminary action for government and parties involved, including the private sector, possibly even prior to launching the feasibility study.

6. Factors ensuring sustainability

This section should provide confirmation that key sustainability issues have been incorporated either in the project or as external assumptions. Use the checklists provided in Chapter 7 (Identification), to assess whether the project outline covers the issues appropriately.

6.1 Policy support measures
The extent to which implementation of existing policy requires modification or additional policy measures at a national and/or regional level.

6.2 Appropriate technology
The extent to which the technology and the standards proposed are compatible with: those already in use in the country, the use of local materials and skills, the physical and financial resources of private sector.

6.3 Environmental protection
The extent to which the impact of the project on people, land use, water, air, noise, flora and fauna and cultural heritage is consistent with agreed environmental standards and practices. Refer to the Commission of the European Communities (1993): Environmental Manual and Chapter 13 of these Guidelines.

6.4 Socio-cultural and gender aspects
The degree to which the project is consistent with present socio-cultural norms and practices. Refer to the Commission to the European Communities (1991): The Integration of Women in Development and Chapter 13 of the Guidelines.

6.5 Institutional and management capacity, public and private
The extent of efficiency with which relevant institution, public and private, fulfill their responsibilities.

6.6 Economic and financial analysis
Description of economic entities included in the analysis; definition of the 'with' and 'without project' scenarios and underlying assumptions; analysis of relevant alternative scenarios; description and calculation of benefits and costs; detailed analysis and justification of affordability of water for low-income groups; description and justification of type and analysis performed and of the results of the analysis; assessment of project relevance, effectiveness, efficiency and viablity from the financial and economic perspective. Refer to the Manual Financial and economic analysis of development projects, EC 1997 and Chapter 13 of these Guidelines.

7. Monitoring and evaluation

This section will contain preliminary information only. Further information will be provided by the feasibility study during the Formulation phase.

7.1 Monitoring indicators
Initial identification of key indicators for monitoring project progress, results, activities and assumptions (see Chapter 13).

7.2 Review/evaluations
Preliminary schedules of project reviews and ex-post evaluation.

8. Conclusions and proposals

Technical appendices to the pre-feasibility report

1. Logical framework matrix of proposed project/programme design, including intervention logic, indicators, assumptions and preconditions.

2. Map of the project area.

3. Analysis of the relevance of the preferred option (the project), which is the basis for the conclusions presented in Section 2.

4. Analysis of the options for the project/programme design, incorporating feasibility and sustainability, with the preferred option presented in Sections 3, 4 & 6.

5. Other technical appendices, if any.

6. Terms of Reference.

Administrative appendices to the pre-feasibility report

1. Study methodology/work plan (2-4 pages).
2. Consultants' itinerary (1-2 pages).
3. List of persons/organisations consulted (1-2 pages).
4. Literature and documentation consulted (1-2 pages).
5. Curricula vitae of the consultants (1 page per person).