14^th Transportation Working Group Meeting

Seoul, October 19-23, 1998

Steering Commitee HOB
TPT/14/HOD/7.5

 TPT/14/HOD/7.5

SEOUL, REPUBLIC OF KOREA

REVISED TPT-WG PROJECT PROPOSAL GUIDELINES

Introduction

1 Members will recall that at TPT-WG/12 in Taipei, the TPT agreed to follow an objective process for determining whether or not proposed projects should proceed, and a set of guidelines was approved. At TPT-WG/13 in Mexico City there was a short discussion in the Plenary meeting about the first experience of using the guidelines. At that meeting, New Zealand as original "designer" of the guidelines undertook to reconsider them and propose any changes at TPT-WG/14. It is intended that the guidelines be discussed at the Heads of Delegations meeting on Monday 19 October.

Comment

2 It should be remembered that at TPT-WG/13 we had little practical experience with using the guidelines, and it may help if the concepts are repeated:

• the quality of some project submissions to the TPT had been lacking and an objective process was required to raise the standard, and also to rank projects going to the BAC for consideration,

• the TPT should apply essentially the same criteria as the BAC for self-funded projects, but to make a reasonable "hurdle" for any TPT project, including those destined for BAC, there should be support from the "sponsor" and at least two other economies before a project could be considered,

• the 4-week rule should apply so members can properly consider proposals in advance of a meeting. You will recall there were some proposals that were first presented at TPT-WG/13, and some did not conform to the guidelines.

3 One concern raised at Mexico City was that the TPT facesheet differed from the BAC facesheet. The differences relate to the need to consider both self-funded or APEC-funded projects, and for co-sponsors to be identified. Once the TPT has approved a project that is intended for the BAC, the "sponsor" only has to resubmit it to the Lead Shepherd through the Steering Committee Coordinator in order for it to be considered by the BAC. In normal circumstances there will be about 8 weeks to achieve this and it should be noted that the extra work is minimal as:

• the supporting information in the submission is the same whether for TPT or BAC consideration and only some reformatting for BAC purposes is required,

• if APEC funding is sought, BAC itemised budget forms have to be completed for TPT consideration anyway,

• differences between the TPT and BAC facesheets are minimal.

• the only additional requirement is an "undertaking" by the Lead Shepherd that the project complies with APEC guidelines.

4 Attached is a revised draft of the TPT guidelines, with the revisions to the text marked. The draft now includes examples of the BAC facesheet (modified for TPT-WG purposes by including the appropriate Steering Committee Coordinator as a signatory, assuming para 13 of the guidelines is agreed) and BAC itemised budget forms as annexes.

Recommendation

5 It is recommended that HODs agree to the revised guidelines.

TPT-WG : PROJECT PROPOSAL GUIDELINES

General

1 These guidelines are intended to improve the TPT's management of projects and the quality of information provided to enable approval by:

• the TPT for self-funded projects,
• the TPT and the APEC Budget and Administrative Committee (BAC) for APEC funded projects

Where APEC funding is sought for TPT projects the TPT must work within the process established by the BAC and described in the "Guidebook on APEC Financial Procedures". This provides that working groups should evaluate any project proposals in April/May and submit finalised proposals through the Lead Shepherd in June. The BAC considers WG proposals, which must be ranked in priority order, in July/August each year.

2 The general principles and specific procedures for the financial management of APEC funds are contained in the BAC guidebook referred to above. While these TPT guidelines necessarily draw upon the BAC guidelines, they are not a replacement for them and members are expected to conform to the BAC guidelines at every stage of a project.

3 All projects intended for either TPT or BAC consideration first require a written submission to the TPT from the sponsoring member economy, endorsed by a minimum of two co-sponsor economies. It should contain adequate information to enable the TPT to assess the project, and be transmitted to members at least four weeks in advance of the TPT meeting at which it is to be considered. Minimum contents of the submission are as follows:

A Cover sheet (Annex A)

B Project Description, incorporating

1 Objectives

The proposal should have clear and specific objectives and justification which are achievable, realistic and agreed by the project sponsors.

A description of how the project responds to the priorities of APEC Leaders and Ministers, the Action Agenda, TPT Action Programme and Vision Statement. If TILF Special Account Funding is sought, how the project contributes to TILF objectives and in particular, how it addresses the goals set out in Part I, and if applicable, Part II of the Osaka Action Agenda.

2 Linkages/duplication

The kinds of institutions in member economies intended to benefit from the intended project. Highlight the direct benefits to the institutions, the types of businesses in member economies which will benefit from the project and what the direct benefits are.

How the participation of the business/private sector and non-governmental institutions has been sought or will be sought. Illustrate how the business/private sector are involved in the planning and delivery of the project and whether any other APEC fora have been consulted.

How this project will add "APEC value" (as to the potential benefits of implementing projects) in the context of other work that might have been done elsewhere in the same field.

An indication of how the project might contribute to related projects or activities in APEC or elsewhere.

Describe the deliverables of the project and demonstrate how it will meet the needs of the targeted beneficiaries.

Note: Care should be taken over proposals involving the creation of databases using APEC funds. (Generally a database requires recurrent funding in order for information to remain relevant.) The BAC will consider a request for a database more strongly if there has been a survey to determine the demand for the database and the use to which it will be put, and a plan outlining the future sustainablity of the database has been developed.

3 Methodology

A concise description of the project's methodology.

A concise description of the project by component, with its associated outputs clearly specified

A timetable for the accomplishment of each component including completion of distinct project phases, i.e. the intermediate goals. This should be reflected in a set of anticipated "milestones" for gauging the success of the proposal

The number of APEC member economies that will participate in this project. (Give the names of member economies participating in each component of the project.)

4 Budget

The proposal needs to be clear about whether it will be self funded or require APEC funding. If self-funded an indicative budget should be provided as if APEC funding were being sought.

If APEC funding is sought, an itemised budget for the project, including provision for any publication and dissemination of project results, should be provided in the prescribed BAC format (Annex B), for either the Operational Account or the TILF Special Account. The budget should illustrate the assumptions adopted (e.g. unit costs) for the computations, and include:

a A timetable for the drawdown of APEC funding requested for the project, consistent with the APEC budget cycle (i.e. January for the Operational Account and May for the TILF Special Account) including details of any advance payment or instalment payment requested and justifications for such requests, and

b Details of any request for waiver or exception from the normal APEC financial rules with strong justifications from the project sponsor.

The BAC guidelines relating to allowable expenses shall be used in calculating project expenses such as speakers, travel etc. While it is appreciated that the costs of services might vary between economies, it is important for consistency within the TPT and APEC that the budget is calculated in conformity with the BAC criteria.

5 Dissemination of project output

A plan for the publication and dissemination of the results of the project, including:

a. The nature of the target audience, and, based on that audience:

b. the form and content,

c. format (e.g. hard copies, floppy discs, Internet uploading),

d. number of copies for the publication, and

e. assessibility of results for the targeted audience.

f. A publicity plan for:

i. briefing the general or specialist media about key components of the project, and

ii. the promotion of sales or other dissemination of the final product.

g. A budget for publication and dissemination, to form part of the itemised budget.

6 Assessment of project

How the project proponent will assess whether the criteria for APEC projects have been met and how the impact of the project on expected beneficiaries will be measured.

7 Multi-year projects

It should be noted that for projects seeking multi-year funding, approval will be given year by year; and that approval in a single year does not imply automatic approval in subsequent years.

Selection and prioritisation of TPT projects

4 In considering proposals for approval/endorsement, the TPT must be mindful of broad APEC goals and values as well as the TPT's own objectives.

5 Proposals seeking support from the APEC Central Fund or the TILF Special Account require TPT endorsement. Such endorsement should not be given lightly if TPT is to have credibility with the BAC. Where funding is sought for several TPT projects, then a means of prioritising our projects is necessary, particularly as working groups are required by the BAC to restrict proposals funded from the Operational Account to a maximum of 15% of the OA budget in any year.

6 The TPT therefore will develop and follow a consistent approach to selection and prioritising of project proposals. The information contained in project proposals should be adequate to enable the TPT to assess the project against the selection and ranking criteria.

Methodology for ranking projects

8 Each economy will rank the new projects/proposals in order of priority, assigning a "1" to the most important and lower numbers ("2";"3";"4" etc) to other projects, using a ranking form as in the example at Annex C. The shepherds will rank the scores each proposal receives. The combined score will determine the overall ranking of particular projects/proposals against the list of total projects/proposals. The project/proposal receiving the lowest score will be ranked first, with the others in descending order. Member economies may wish to also consider the criteria in Annex D as a basis for allocating their ranking scores.

9 In the event that two or more projects receive equal scores, an opportunity to discuss the merits of each proposal will be given followed by a further ranking exercise. In the event that this does not produce a clear ranking, then the Lead Shepherd will determine the relative priority of the "tied" proposals, in consultation with the Deputy Shepherd and Steering Committee Coordinators.

10 The ranking process will be used for all projects/proposals to be discussed at the 13th TPT meeting and afterwards.

Actions following TPT and BAC approval

Self-funded TPT Projects:

11 The TPT's approval for a particular project shall be formally advised to the project sponsor by the Lead Shepherd, with any conditions or requirements decided by the TPT. The project sponsor may then commence the project and shall ensure that BAC financial guidelines are followed as appropriate, and progress shall be reported regularly to the Lead Shepherd.

APEC-funded TPT Projects:

12 The TPT's approval for a particular project shall be formally advised to the project sponsor by the Lead Shepherd. The project sponsor shall then complete a proposal for APEC Operational Account or TILF Special Account funding as appropriate and forward it to the Steering Committee Co-ordinator for checking and onward transmission to the Lead Shepherd in sufficient time for the Lead Shepherd to submit it to the Secretariat by the specified deadline. The TPT submission to the BAC must be "signed off" by both the Steering Committee Coordinator and the Lead Shepherd on the BAC facesheet (Annex E).

13 The APEC Secretariat will advise the Lead Shepherd who will inform the Project Overseer (formerly the sponsor) of the decision of the BAC and, if approved, the Programme Director will be able to assist the Project Overseer with the implementation if required.

14 In cases where outside contractors are to be employed on TPT projects, it is essential that the BAC guidelines for selecting contractors are followed. In brief, these require that:

• for contracts of $US20,000 or below that the TPT may select the contractor provided the Secretariat is informed of the process followed;

• for contracts between $US20-50,000 the TPT should prepare "requests for proposals" (RFP) in consultation with the Programme Director, and which should be circulated to at least three prospective bidders. The TPT may make the selection and advise the Secretariat of the process followed;

• for contracts over $US50,000 the TPT should prepare a draft "request for proposals" (RFP) in consultation with the Programme Director. The APEC Secretariat will circulate it to all member economies. The TPT project overseer (or a TPT steering committee) will evaluate the bids and make recommendations to the Secretariat

Monitoring and Review of projects

15 The APEC Secretariat requires all WGs to evaluate the overall performance of their projects (based on self assessment) in line with the SOM "Guidelines for Evaluation and Reporting System for APEC Projects". As well as enabling the TPT to fulfil its reporting requirements to other APEC fora, regular and high quality internal evaluation of projects will assist the TPT to put forward projects better targeted to the needs of APEC economies, and more closely reflecting the aims of the APEC Action Agenda.

Development and formulation of new proposals

16 All economies proposing to sponsor an activity should submit a proposal to the Lead Shepherd of the TPT using the guidelines in paragraphs 1A-B. The level of detail required for each of these activities may differ, but every activity seeking TPT endorsement or APEC designation is subject to formal discussion in the WG of a written submission based on those guidelines. This will enable the TPT to effectively assess and evaluate all TPT projects against set "APEC values" and TPT priorities and to subsequently monitor the project.

17 Some activities may be externally imposed on the TPT. In this instance the Lead Shepherd, in cooperation with the APEC Secretariat, would take appropriate action.

18 These guidelines do not preclude the submission of a "concept paper" to the TPT in order to assess the level of interest among member economies before developing a project proposal for formal consideration by the TPT.

Annex B

Enclosure 1

APEC OPERATIONAL ACCOUNT

ITEMIZED BUDGET FOR FINANCIAL YEAR _______

Enclosure 2

APEC TILF SPECIAL ACCOUNT :

ITEMIZED BUDGET FOR FINANCIAL YEAR _______¹

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