APEC Project Circle Presented by Khemrutai Khemmarat Department of International Economic Affairs Ministry of Foreign Affairs 15 December 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 + APEC- wide Funding Criteria + Guidebook on APEC Projects 7 th Ed. Concept Note: –Relevance: the most important criteria - How does the project meet the priorities of your forum and APEC as a whole? And Why should APEC undertake this project? –Objectives: What does the project seek to achieve? Be SMART. –Alignment: How the project will help achieve APEC’s key priorities and meet the forum’s work plan or medium-term plan. –Methodology: How do you plan to implement the project? Timeline, Stakeholders, Previous Projects, Communication

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

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 your 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.

Stage 2 Priority assessment of Concept Notes STEP 5 Committees (CTI, EC, SCE) and SFOM categorise concept notes using APEC-wide funding criteria and prioritise CNs within each ranks. STEP 6 Secretariat combines Committee and SFOM rankings to determine the availability of funding. STEP 7 Secretariat recommends to BMC in-principle approval of highest-priority CNs that fit under funding cap. STEP 8 BMC considers CNs and gives in-principle approval or rejects CNs. STEP 9 Secretariat informs PPs of results.

STEP 5 (Timeframe: 10 days) Committee members individually send their ranks, prioritization and justifications to the Secretariat. Funding Criteria Rank (1-3) Order of Priority within Rank EWG EWG EWG EWG SMEWG SMEWG 211-3

STEP 6 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

STEP 7 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.

STEP 8 The BMC provides in-principle funding approval for concept notes, subject to the full project proposals receiving a ‘satisfactory’ quality assessment.

STEP 9 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 with assistance from the Secretariat. STEP 11 PP submits full project proposal to the originating fora for quality assessment (QAF). STEP 12 Secretariat carries out quality assessment using quality criteria. STEP 13 Secretariat recommends satisfactory quality proposal to BMC. And BMC approves/rejects full project proposals for funding.

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

“ REEIS “ REEIS 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) 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.

Project Management Unit Report Fund Amount available S1/2011 Amount Requested Number of CNs Approved CNs Amount available S2/2011 Amount Requested Number of CNs Approved CNs OA 586,1921,827, ,4391,239, TILF 1,487,99 5 2,672, ,632,20 5 1,432,28016 ASF General 1,469,12 3 1,720, ,832,32 1 2,133, ASF Human Security 147,672285, ,195152,51011 ASF Avian Influenza 691,331250, ,036, ,00011 ASF TFAP II 95, , ASF Technology 38,69265, , ASF Energy Efficiency 1,611, , ,115, ,64422 TOTAL 6,128,41 1 7,560, ,566,21 7 5,241,

Project No.Project Name Proposing Economy(ies) Fund Account ACT A Capacity Building Workshop on Effectively Combating Corruption and Illicit Trade through Tracking Cross – Border Financial Flows, International Asset Recovery and Anti-Money laundering Efforts ; its impact on poverty reduction and economic growth ThailandASF-general EWG APEC Peer Review on Energy Efficiency (PREE) Phase 3 Japan, Thailand and Viet Nam OA EWG A APEC Peer Review on Low-Carbon Energy Policies (PRLCE) - Phase 1 Japan and Thailand ASF - EE Approved Concept Notes 2011

 Deadline for CNs submission for S3/2011 : 29 September  Pilot Stage of Multi-Year Project  The “Two Strike Rule”: The rule will be applied at the quality assessment stage – the rule will apply only to proposals that had been granted in-principle approval, but failed to reach satisfactory quality within the required time period.  The Funding Cap: APEC funded amount stated in concept notes will be considered the funding cap allowed at the full proposal stage.  Direct Contracting : PMU will draft a guideline – the appropriate conditions for direct contracts – for BMC members consideration From Session 3/2011 onwards

 In November 2010, Australia announced A$3 million for the Australia APEC Partnership for Economic Reform (AAPER) aiming to increase the capacity of APEC developing economy members to implement structural reform agenda in line with APEC’s New Strategy for Structural Reform (ANSSR).  This will involve the establishment of a sub‐fund under the APEC Support Fund (ASF) : ASF – ANSSR with the total value of A$2.5 million will be operational from session 3/2011for 3 years. - A$500,000 in A$1 million in 2012 and - A$1 million in 2013/14 Introduction to ASF - ANSSR

 Projects need to be strongly aligned with individual economies’ plans to implement the ANSSR  Priority will be given to projects that: - Benefit APEC economies that are eligible for development assistance - of a higher value than standard projects (greater than A$200,000); - an implementation period of at least 12 months.  Projects may primarily benefit a single economy but need to have lessons for APEC members more broadly. Introduction to ASF - ANSSR

Multi-Year Project CriteriaRequirement TypeA single initiative that is usually broken down into phases or has multiple elements. The initiative must seek to build the capacity of members to reach strategic goals. AmountA maximum of US$500,000 of APEC funding can be approved for each multi-year project DurationFund disbursement over a maximum of five calendar years. The usual extension rules apply to multi-year projects. Proposing Forum Only SOM, Committees or SFOM may propose a multi-year project. Sub-fora, working groups, task forces etc. must go through their relevant Committee.

Multi-Year Project CriteriaRequirement Proposing economyA proposing economy will lead the multi-year project. This includes nomination of a project overseer and responsibility for reporting to the relevant APEC fora. Co-sponsorsA minimum of half of APEC member economies must volunteer to co-sponsor a multi-year project. Fora involvementClose cooperation from a minimum of two APEC fora in planning and implementation is required Involvement of non- APEC stakeholders There must be clear evidence that relevant external stakeholders (such as ABAC) are included in the project planning and implementation.

Presented and endorsed by working groups/ task forces Relevant Committees / SFOM to rank and prioritise (PDM, if needed) Approved by BMC or SOM (for project over 200,000) Presented and endorsed by committee, SFOM or SOM level PDM to rank and prioritise Approved by BMC or SOM (for project over 200,000) Normal Project VS MYP

Multi-Year Project  During this pilot stage, approval of multi-year project concept notes will be limited to 2-3 per approval session.  Multi-year projects may be funded from any APEC project fund. Multi-year project funding will be released on an annual basis, with multi-year projects receiving priority in each fund’s annual allocation.  Co-funding Requirements including TILF, ASF and OA: 50 % for developed economies 20 % for developing economies But,TILF contributor do NOT requite to co-funding for TILF projects.

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Projects are implemented in line with the Guidebook on APEC Projects within 2 financial years Stage 4 Project Implementation Project Overseer submits Monitoring Reports at six month intervals – 1 AUG and 1 FEB of each year Project Overseer submits a project Completion Report within 2 months of the end of the project. Stage 5 Project Completion