1. Copyright © 2010 APEC Secretariat. PROJECT GUIDEBOOK & MULTI YEAR PROJECTS Presented by: NADIRA MAILEWA Director (Program) Project Management Unit (PMU) APEC Secretariat

2. Copyright © 2010 APEC Secretariat. Project Guidebook - Overview The Guidebook covers four elements of a project cycle:  Project design/planning, implementation, monitoring & completion. Also contains details on:  roles and responsibilities  APEC project funding mechanisms  project approval stages and processes  allowable expenses and disbursement procedures  APEC project contracting approaches  guidelines on project monitoring and project completion.

3. Copyright © 2010 APEC Secretariat. Project Guidebook - Funding Four main sources of APEC Project funding:  Operational Account - to support Economic and Technical Cooperation (ECHOTECH)  Trade & Investment Liberalisation & Facilitation Special Account (TILF) – cooperation projects on trade and investment liberalisation and facilitation (covering 15 areas of the Osaka Action Agenda)  APEC Support Fund & Sub Funds – meeting the capacity building needs of developing economies  Self Funding – any non-APEC amount provided to a project.

4. Copyright © 2010 APEC Secretariat. Project Approval Process Group endorses Concept Note/s Committees/SFOM use the 2011 Funding Criteria to rank & prioritise notes Highest priority notes that can be funded are expanded into full proposals Proposals under US$200,000 are recommended to BMC following a quality assessment by the PMU {projects over US$200,000 require SOM approval.

5. Copyright © 2010 APEC Secretariat. Allowable Expenses APEC funding covers :  Labour and personnel costs: contractor fees, writing and translation fees, short-term clerical & honoraria  Travel Expenses: Funding for a maximum of two participants per travel eligible economy. Most direct and economic flight. Business class for experts when travel exceeds 12 hours  Publications & Communication costs: Check website: http://www.apec.org/About-Us/About-APEC/Policies-and-Procedures.aspx  Project Event costs: Room rental, logistical support, stationery and office supplies, rental/purchase of special equipment, teaching and training materials, photocopying costs etc.  Amounts to be reimbursed are capped at the levels set out in budget.

6. Copyright © 2010 APEC Secretariat. Non-Allowable expenses  Government institutions and international organisations must receive special approval to act as Contractors  Current Government employees are not allowed to engage in contracts to provide labour through APEC projects  Government officials, staff from international organisations and anyone engaged to work on a project as contractors or POs not eligible for honoraria  APEC only provides funding for six experts per day for events  APEC does not fund travel for travelers attending project events in the margins of APEC fora meetings when the costs are borne by their own economy.

7. Copyright © 2010 APEC Secretariat. Non-Allowable expenses cont.  Costs relating to the provision of meals, tea and coffee  Promotional items (banners, souvenirs, flowers etc)  Maintenance costs for websites, databases etc  Conference registration fees  Local transportation costs for field trips, sightseeing, airport transfers  Simultaneous interpretation costs – waivers may be approved by the Secretariat or BMC depending on the significance of the request and a strong justification.

8. Copyright © 2010 APEC Secretariat. APEC Contracting thresholds:  Minor contract: ($5, 000 or Less) – PO to provide Terms of Reference (ToRs) and CV of contractor for approval  Minor contract ($5,001 to $20,000) – PO must provide ToRs and CV and a strong justification for the choice of contractor  Major contract ($20,001 to $50,000) – PO works with PD to prepare a request for proposal (RFP) based on the ToRs. Three suitable contractors are invited to bid. Contract approval based on a report detailing the PO’s selection process and justification for the choice of preferred contractor  Major contract ($50,001 and above) RFP to be prepared by PO with PD based on ToRs. RFP must be circulated among all members and posted on APEC website to allow an open tender process. APEC Contracting Approaches

9. Copyright © 2010 APEC Secretariat.  PO must submit a formal written request and obtain prior approval to change a project or reprogram budget  Requests that involve a substantial change to the nature of the project or increase in budget, require BMC approval  Requests for extensions require evidence of support from forum’s Lead Shepherd or Chair Convenor  Secretariat can approve one or more extensions up to 12 months from original end date  Extensions beyond 12 months need to be approved by BMC. Changing Projects during Implementation

10. Copyright © 2010 APEC Secretariat.  APEC projects are monitored every six months –due 1 August and 1 February  Monitoring reports are presented to the relevant forum. APEC Secretariat provides a summary report on project monitoring to BMC  POs with outstanding monitoring reports are ineligible to submit new concept notes until all monitoring reports are submitted  PMU to conduct longer term evaluation of APEC projects  APEC projects considered ‘completed’ on 31 December of the year following funding of the project when all activities and payments are completed/claimed  APEC fora that have not submitted project completion reports are ineligible to submit any new concept notes or have full proposals approved. Monitoring and Evaluation & Project Completion

11. Copyright © 2010 APEC Secretariat. Pilot initiative, starting Session 3, 2011  Focus on projects that are high priorities under forum’s strategic plan and other broader APEC agendas  Phased capacity building initiatives in line with strategic APEC priorities  Maximum of $500,000 over 5 years  Sponsored by SOM, SFOM or Committee level  Co-sponsoring by half of the economies to ensure wide support  PO to be nominated by sponsoring Committee or SOM  Minimum co-funding of 50% for developed economies and 20% for developing economies for OA and TILF projects. Multi Year Projects

12. Copyright © 2010 APEC Secretariat.  Evidence of inclusion of external stakeholders during project planning and implementation  selection process same as for standard projects  PPs to note the additional planning needed for MYPs – so plan well ahead  Need additional information on progress and funds disbursement in the August monitoring report  During pilot stage, MYP will be reviewed in mid-late 2012 to assess the suitability of management processes. Multi Year Projects cont.

13. Copyright © 2010 APEC Secretariat. Key issues to remember:  Be realistic about what you can achieve  Be specific about who will benefit and how  Be accurate in developing your budget at the Concept Note stage  Projects will be assessed, monitoring and implemented under the APEC project management and evaluation framework  Note requirements for allowable expenses when preparing budgets  Review Guidebook and check APEC policies (APEC Intellectual Property Policy and APEC Logo Guidelines). Key Issues

14. Copyright © 2010 APEC Secretariat. Concept Note Submission date: 29 September 2011 - midnight Singapore time (GMT +8)  By this time, proposals (Concept Notes) must have: o Forum endorsement & ranking o Sufficient co-sponsors  Submit Concept Notes to Program Directors via email.  Program Directors send Concept Notes to PMU. Proposal Submission dates: 18 November 2011 2 December 2011. Deadlines for Session 3, 2011

15. Copyright © 2010 APEC Secretariat. Further assistance on projects can be found: Through the APEC Secretariat / PMU Unit/your PD: http://www.apec.org/apec/about_apec/apec_secretariat/sec_c ontacts1.html In the Guidebook on APEC Projects http://www.apec.org/apec/about_apec/policies_and_procedur es.html On the AIMP Project Database site: http://member.aimp.apec.org/pdb_sites/default.aspx Through your BMC delegate. Where can I get more help?

16. Copyright © 2010 APEC Secretariat. THANK YOU