APEC Project Management: Concept Note Development to The Full Project Proposal Presented by Khemrutai Khemmarat Department of International Economic Affairs Ministry of Foreign Affairs 19 July 2010

APEC Project Circle Stage 1 Concept Note development and submission (STEP 1 - 4) Stage 2 Priority assessment of Concept Notes (STEP 5 - 9) Stage 3 Full proposal development (STEP ) Stage 4 Project implementation (STEP )Stage 5 Project Completion (STEP 16)

Stage 1 Concept Note development and submission STEP 1 Project Proponent (PP) reviews Guidebook and prepares Concept Note STEP 2 PP submits Concept Note to fora for comments and to secure co-sponsers. STEP 3 Originating Fora prioritizes endorsed Concept Notes STEP 4 PP submits endorsed and fora ranked concept note to APEC secretariat by submission deadline

STEP 1 What you need : –Concept Note Template ( เอกสารประกอบ 7) –APEC-wide Funding Criteria ( เอกสารประกอบ 5) –Guidebook on APEC Projects 7 th Ed. (under revision) Concept Note: –Objective: What does the project seek to achieve? –Relevance: How does the project meet the priorities of your forum and APEC as a whole? And Why should APEC undertake this project? –Methodology: How do you plan to implement the project?

STEP 1 Be concise and to the point ! No more than 3 A4 pages including the title page.

STEP 2 Factors to be considered: –APEC-wide Funding Criteria –Leaders/Ministerial/SOM directives –potential contribution to the forum’s work plan, APEC’s and the relevant Committee’s priorities –APEC value add and value for money : PP must find a sponsor (usually their own economy) and at least 2 co ‑ sponsors to support the project. Check with the forum’s PD!

STEP 3 To be eligible for APEC funding, PP must secure endorsement of their forum for their concept note. Fora rank all Concept Notes using the APEC-wide Funding Criteria. Example: –EWG 1, EWG 2, EWG 3. EWG 4 –SMEWG 1, SMEWG 2 –etc.

STEP 4 The endorsed and ranked concept notes, along with the fora’s endorsement justification, must be submitted to the APEC Secretariat by the advertised submission deadline. SessionSubmission deadline Session 1/2010Mon 1 February Session 2/2010Wed 9 June Session 3/2010Thursday 23 September

Stage 2 Priority assessment of Concept Notes STEP 5 Committees (CTI, EC, SCE) and SFOM categorise concept notes into broad band ranks and prioritise within these ranks. STEP 6 Secretariat combines Committee and SFOM rankings by (sub)fund. STEP 7 Secretariat calculates an APEC-wide ranking based on input from Committees (or Principle Decision-Makers where necessary). STEP 8 BMC approves concepts notes in- principle, subject to the full project proposal reaching ‘satisfactory’ quality. STEP 9 Secretariat informs PPs of results.

STEP 5 (Timeframe: 1 week) APEC Secretariat sorts the concept notes by APEC Committee (CTI, SCE, EC) and SFOM CommitteeNo. of Concept Note for session 2/2010 CTI23 SCE48 EC2 SFOM3 Total76

STEP 5 (Timeframe: 1 week) Committee members individually send their ranks, prioritization and justifications to the Secretariat. Funding Criteria Rank (1-4) Order of Priority within Rank EWG EWG EWG EWG SMEWG SMEWG 211-3

STEP 6 (Timeframe: 1 -2 days +) a two-step process: –consensus on the broad band rank is determined by majority –the priority within each broad band rank is determined by averaging member votes. APEC Secretariat then sorts the concept notes by fund. If there are more concept notes than can be funded within a particular broad band rank, the Secretariat will refer the relevant rankings of to each economy’s Principal Decision-Maker (PDM) for further prioritisation (Timeframe: 1 week)

STEP 6 (Timeframe: 1 -2 days +) Fund sourceAmount available this session (US$) Amount Requested (US$) Number of Proposals OA869,9081,966,66022 TILF1,232,3931,912,90121 ASF General715,7561,977,86119 ASF Human Security Sub-Fund458,483633,1676 ASF Avian Influenza Sub-Fund1,104,449258,2382 ASF TFAP II Sub-Fund87,518-- ASF Technology Sub-Fund68,543149,6741 ASF Energy Efficiency Sub-Fund842,203487,6805 TOTAL5,379,2527,386,18176

STEP 7 (Timeframe: 1 -2 days) Votes of individual Committee members (and PDMs where necessary) are combined.

STEP 8 (Timeframe: 3 days) The Secretariat advises the BMC on which concept notes can be funded, based on the priority assessment and the amount available in each (sub)fund. The BMC provides in-principle funding approval for concept notes, subject to the full project proposals receiving a ‘satisfactory’ quality assessment.

STEP 9 (Timeframe: 3 days) Successful PPs are invited to work with the Secretariat and Project Management Officer to submit full project proposals. Unsuccessful PPs can resubmit their concept note in the next funding round. All re-submitted concept notes will be treated as new submissions.

Stage 3 Full proposal development STEP 10 PP develops a full project proposal. STEP 11 PP submits full project proposal to the originating fora for quality assessment and endorsement. STEP 12 PP submits full project proposal and combined QAF to the Secretariat for quality assessment and funding recommendation. STEP 13 BMC (or SOM if appropriate) approves/rejects full project proposals for funding.

STEP 10 APEC Project Proposal Template ( เอกสารประกอบ ) Proposals must be succinct, to the point and address the assessment criteria. No more than 10 A4 pages.

“ REEIS “ REISS RelevanceEffectivenessEfficiencyImpactSustainability

“ REEIS “ Relevance: Whether a project is needed to achieving the APEC priorities and objectives of the target group, the recipient member economies and APEC as a whole. Effectiveness: HOW a project will take place, the likelihood that a project will meet its objectives Efficiency: HOW a project will take place, particularly measuring of the outputs (services, goods) in relation to the inputs (cost of resources) = cost-efficient Impact: WHAT the project seeks to change Sustainability: whether the benefits of a project are likely to continue after the project has finished

STEP 11 PP must secure endorsement of their forum for their full project proposal to be eligible for APEC funding. Tool : the Quality Assessment Framework (QAF) ( เอกสารประกอบ 17) A proposing economy cannot provide a QAF assessment for its own proposal. But, Co- sponsoring economies can!

STEP 12 The Project Management Unit (PMU) will draw upon the QAF comments and uses REEIS to assess proposals. Proposals must be assessed as ‘satisfactory’ against REEIS to be recommended for funding. APEC Secretariat provides a recommendation to BMC for their approval.

STEP 13 The BMC approves full project proposals requiring APEC funding up to and including USD200,000. The BMC recommends projects requiring more than USD200,000 of APEC funding to SOM for approval. The Secretariat will notify the PP of the outcome of the BMC’s considerations.

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