GUIDANCE NOTE: DRAFTING TERMS OF REFERENCE FOR APEC PROJECTS

1. What are Terms of Reference?

Terms of Reference (ToR) provide an agreed basis for a contractor (such as an individual consultant,
expert, or a specialist consulting firm) to undertake a task or assignment to deliver outputs or activities
under an APEC-funded Project approved by BMC. The work that a contractor performs is generally
described as the services under the contract. ToR are used for APEC Project contracts with a value less
than US$20,001. Above this value, service requirements are outlined within Request for Proposal (RFP)
documentation. Please refer to Contracting Forms & Resources on www.apec.org for more information.

We use contractors in Projects where specialist services are required to ensure the outcomes of the
Project are delivered. Contractors provide their services under the supervision of the Project Overseer
(PO) but the contract itself is a legal agreement between the APEC Secretariat and the contractor. All
contracting must be consistent with the project scope as defined in the BMC-approved Project Proposal
and any changes must be advised to the APEC Secretariat.

The purpose of a ToR is to:

 Set the scene by providing a background of the Project and a rationale for the services.
 Define the specific tasks to be performed, using qualitative or quantitative measures as required
and describe a service delivery timeline, which references the Work Plan within the BMC-
approved Project Proposal.
 Identify verifiable milestones that will trigger contract payments.
 Specify outputs, such as the types of information products to be produced, including Project
Reports or items specific to the Project itself (such as handbooks, best practice compilations,
etc.).
 Set out the professional requirements (skill sets, experiences) of the individual or firm.

In APEC, the PO is tasked with the job of developing the draft ToR and identifying the preferred
contractor. Every ToR must be submitted for approval by the Secretariat well in advance of when work is
expected to start. This gives the Secretariat the opportunity to review the ToR and if required, make
changes to enhance the ToR. The APEC Project Letter of Acceptance will identify the lead-time
recommended but 6-8 weeks is the general guideline and POs should ensure that the overall project
Work Plan accommodates the time required to get contracts in place. The APEC Secretariat is not
required to pay contractors for work that commences before the contract starts.

Once approved, the content contained in the ToR will usually be transposed straight into the draft
contract under Special Conditions, generally under Clause 1 “Scope of Services” and associated sub-
clauses. The Expected Milestones Schedule also forms part of Special Conditions. This is a tabular
representation of a small number of key services that will be designated as the milestones to trigger
payment events, state the date by which such services are expected to be completed, and state the
means by which the milestone will be verified. The value of individual milestone payments should reflect
the scale of work undertaken to deliver the milestone. If in doubt, milestone payments can be evenly
spread. Payments should not be triggered merely by signing the contract. Contracts under $20,001 will
generally have between one and three milestone payments.
2. What should my Terms of Reference look like?
A good ToR will be clearly written, and contain the detail necessary to leave no doubt regarding the
exact expectations of the contractor. Ask yourself - would it provide a clear understanding to someone
unfamiliar with the Project? Specific terms must be capitalised (Final Project Report, not final project
report) and terms must be used consistently if they describe the same thing throughout the ToR (don’t
switch from writing Final Project Report to Project Final Report for example). All acronyms should be
spelt-out the first time. Following these basic rules will help eliminate confusion for the reader.

To assist those looking for a basic structure, the following information provides a suggested ToR
framework. But a ToR can still be effective but follow different frameworks, for example by combining
Background and Objectives, or using different headings to ones below to describe the same thing.

Suggested ToR Framework

1. Background

This section should set the scene. It should provide an introduction to the desired objectives and
outcomes of the Project and explain how the Project relates to relevant APEC goals and programs and
the priorities of the APEC funding source in question. It will vary in length from a few paragraphs to up
to one page. It may also cross-reference relevant elements of the Project Proposal such as Relevance
(including Alignment), Impact (including Outputs and Outcomes), Effectiveness (such as the Work Plan)
and Sustainability.

2. Objectives of the task or assignment

The purpose of this section is to specify very clearly and concisely the objectives of the services that are
expected to be delivered by the contractor. This part of the ToR will explain what the contractor will do
in concise, quick reference terms.

3. Scope of the task or assignment

The purpose of this section is to provide a detailed description of the tasks required of the contractor,
and the outputs required. This has to be sufficiently detailed to ensure contractual obligations for
satisfying the ToRs can be clearly met. Please note that consultants, experts or contractors respond
better to a detailed definition of their tasks or assignments. Careful and detailed specification in this part
of the ToR will help to reduce possible disputes later.

Please consider the following:

 Use a chronological approach to specifying what needs to be done (if appropriate) if the task is
complicated or multi-faceted. This could be separated into activity implementation and
reporting stages, if required.
 Ideally, the scope should also refer to the identification of risks which are included in the Project
Proposal.
 Specify the actual outputs to be delivered. For outputs that involve information products, such
as reports, the scope should refer to the size, layout and content of the report. See reporting
requirements below for further information.
 Identify the amount of time the contractor is expected to spend on each output or specified
aspects of service delivery.
  Identify the specific tasks to be undertaken and disclose the breakdown (hours to be worked,
rates of pay, and number of staff hired) of the proposed remuneration. Remuneration must be
commensurate with the nature of the duties required and local market rates.
 For research-based work (including case-studies, surveys and reviews) the ToR must set-out the
purpose and scope of the proposed work; the methodology to be used; and the level of
experience and qualifications expected of the researcher. Work should be original, high quality,
and be produced for the specific purpose of the APEC-funded project.
 For website development and databases, identify objectives, clear timelines and methodology.
Specify contractor tasks required such as design, supporting analysis, development, testing,
training, roll-out, and the production of associated documents like user manuals. Funding for
websites and databases must be compliant with the APEC with the Guidebook on APEC Projects.
 Ensure the scope is aligned to the Project Proposal.

4. Duration and phasing

The purpose of this section is to clearly specify the time frame for the assignment with a clear statement
of the proposed deadlines. The proposed contract milestones can be identified here. The ToR should
specify the start date and end date and approximate dates for stages of the activity if needed.

5. Specifications of the skills and expertise required

The purpose of this section is to specify the skills, qualifications and expertise required from individual
specialists/expert or a team of contractors. If the tasks involve a team of contractors please ensure that
the details about who does what are detailed and clarified. In the case of individuals, the skills,
qualifications and experiences that are required for the task should be very detailed to ensure that the
right person or team is selected for the task.

6. Reporting requirements.

Practically all ToR will specify that a contractor deliver/coordinate project reporting, or other
information products such as best practice compendia, policy guidelines, case-study reports, and so on.
It is critical that ToR are very specific about the form and content of these products, especially since
these products are often a key deliverable for the Project and trigger contractual payments. The ToR
should identify the purpose of the report and stipulate the terms of reference or methodology that may
apply to the report, especially if the report or information product is based on research, surveyed
information, or is a technical report. The ToR should state: when reports are due; the length of the
document in question (number of pages); the expectations regarding layout; the format (the number of
copies required if printed); and who is responsible for delivering the report or product if it involves more
than one person. For more specific information in relation to the preparation of Project Final Reports
specifically, please visit the Projects pages of the APEC website (www.apec.org).

It is important that any information product that is intended for publication is identified as such within
the ToR. The ToR must state that these be prepared in accordance with the Guidebook on APEC
Projects, the APEC Publication Guidelines and the APEC Logo Guidelines; and state the requirement that
all such products must be endorsed by the APEC forum in question. Material submitted to the APEC
Secretariat for circulation to the forum and for publication must not require any further copy-editing
and be written to a good standard of English.
 A sample Terms of Reference is provided overleaf.

SAMPLE TERMS OF REFERENCE (ToR)

Project Number & Title: ECG 08 2016A – Generating Low-Emission Improvement Strategies
(LEIs) in the Transport Sector.

Project Overseer’s
Contact Details: Jason LYONS
National Energy Institute
Email: jlyons@nri.gov.ai

Contract Value: US$19,200 for Contractor fee

Nil reimbursable costs

I. BACKGROUND

Globally, the transport sector is responsible today for approximately 23% of total energy-related carbon
dioxide (CO2) emissions. The transport sector offers considerable potential for climate change mitigation
and low carbon, energy efficiency gains through the implementation of comprehensive policies,
behavioral change and adoption of energy efficient technologies. The Intergovernmental Panel on Climate
Change (IPCC) states that a 15-40% reduction of CO2e from the global transport sector is plausible by
2050 compared to baseline growth. Post-Paris, planning for how to implement climate action in the
transport sector to meet nationally determined contributions (NDCs) is a common key issue in APEC
economies (and beyond). Successfully addressing the reduction of emissions in the transport sector not
only at the national level but also at the regional level is important because CO2 emissions from fuel
combustion in the APEC region are expected to rise by about 32% from 2010 to 2035. Economies will
need support for the improvement and implementation of their NDCs to i) transition to a low-carbon
economy and ii) increase ambition toward NDC goals. Activities for this project will be tailored to ensure
that learnings are transferred to other APEC economies and beyond, moving from common problems to
common sustainable solutions.
Under Rank 1 of this year’s APEC Funding Criteria, this project meets two criteria: (1) Human capital
development..., education and capacity building as cross-border education cooperation; and (2) Building
sustainable and resilient communities. The project also directly supports the APEC Leaders’ Growth
Strategy (Rank 2) through promotion of (1) balanced growth by ensuring that all economies within the
APEC region have access to the capacity building efforts (e.g. webinars, peer-to-peer workshops) that will
promote macro-economic policy coordination and information sharing; (2) sustainable growth by
supporting APEC economies planning and facilitating vertical dialogue about urbanization to growth,
including smart city and live-friendly cooperation; and (3) innovative growth by promoting innovation policy
and research.
This project has three objectives:
1. To strengthen capacity in three APEC economies – identified as “early movers” – and facilitate
dialogue between local and high level authorities in order to align efforts to foster increased ambition
to develop a robust and comprehensive approach to mitigate emissions from the urban transport
sector.
2. To develop knowledge that will lead to the implementable package of solutions through technical
assistance and capacity building for “early win” policies or projects in at least three APEC economies
that are identified as “early movers” – economies that have expressed interest in technical assistance
and have favorable political and economic conditions to influence change. “Early wins” are measures
for immediate action at aim to meet NDC commitments.
3. To develop a customized training series package, which will be designed around the experiences of
the “early movers,” to share results with others in the APEC region – and globally – to promote
replication of best practices.
 Towards project impact and effectiveness, the project aims to provide capacity building support for the
following beneficiaries:

1. “Early movers” – APEC Member Economies that have expressed interest and have favorable political
and economic conditions that can influence change – will receive technical assistance to implement
innovative and sustainable low carbon transport solutions and serve as role models to other countries
globally.
2. Workshop participants (to be identified through other Project initiatives) – (i) Public sector participants
(e.g. officials from government ministries: environment, transport, urban development, finance and
energy); (ii) Mayors and planning officials in rapidly developing urban areas of APEC economies; (iii)
Researchers (e.g. academe, technical institutions), (iv) Private sector (e.g. stakeholders with interests
to increase the flow of transport-related environmental goods and services) – will receive peer
advisory support through workshops, the training package and peer-to-peer knowledge sharing.

II. OBJECTIVES OF THE WORK

The selected contractor shall be responsible for:

1. A Roadmap to design instruments for implementation: A Roadmap will be developed for

technical staff on how to integrate energy efficient transport actions, implement these actions and
increase of ambition of their LEIS and/or NDCs.
2. In-person Workshops with “early mover” peer advisors and experts: These Workshops will
focus on a specific economy’ situation, support a specific, customized policy-making process resulting
in better integration of the transport sector in the elaboration and implementation of an ambitious
LEIS and/or NDC. As such, these Workshops will be designed in close coordination with the high
level, subnational and local governments. The Workshops will convene local stakeholders and
decision-makers, peer-experts from the region and international experts from within APEC economies
and beyond.
3. Training Packages: The Training Packages will be designed to provide digestible information for
policymakers about planning and implementing energy efficient, low carbon transport policies. The
packages have three main objectives: i) To share with other economies in the region (and beyond) to
promote replication; ii) To provide materials for policymakers on a specific low emission transport
topic that is globally accessible; and iii) To offer a complete suite of information in different formats –
from high-level overviews to detailed information – to answer why, what and how.

III. SCOPE OF WORK

The contractor will lead the delivery of the project’s objectives and outputs as highlighted above and
detailed in the Project Proposal for Project ECG 08 2016A. Below is the scope of work:

1. Develop at least one (1) Roadmap for implementation.

The contractor will develop a Roadmap for technical staff on how to integrate energy efficient
transport actions, how to implement these actions and increase of ambition of their LEIS and/or
NDCs. This strategic plan will provide the steps the economy can take to identify the main challenges
and problems for the economies to achieve their LEIS and/or NDCs through transport actions. The
project partners will support the economies with establishing a diagnosis and a vision roadmap that
will include specific steps to be taken by stakeholders in order to successfully integrate, implement
and increase ambition of LEIS and/or NDCs. The Roadmap shall be produced for publication as an
APEC Publication.

2. Lead the delivery of three (3) in-person Workshops with “early mover” peer advisors and
experts.
 a. Develop an agenda in collaboration with stakeholders from the identified APEC “early
mover” economies and the Project Overseer (PO).

b. Develop a list of attendees for the Workshops to include local stakeholders and decision
makers, peer-experts from the region and international experts from within the APEC
Economies and beyond.

c. Identify, in collaboration with the partner APEC “early mover” economy(-ies), site(s) for
each Workshop.

d. Provide support to the PO with planning the Workshops according to the APEC Event
Timeline as provided with this ToR.

e. Develop and disseminate a Workshop Summary Report for each Workshop.

These workshops aim to build capacity and facilitate the dialogue between key stakeholders –
including notable national and local authorities, key technical institutes, academia, public and
private partners, policy-makers and capital providers – through peer-to-peer sharing and learning,
and practical technical training (e.g. methodologies, tools, roadmaps). The objective is to increase
the confidence and capacity to implement ambitious integration of the transport sector in the
elaboration, revision and implementation of the LEIS and/or NDCs

3. Develop one (1) Training Package.

The contractor will develop a Training Package with consolidated resources on energy efficient
transport topics identified during the Workshops. The contractor will develop a Training Package of
implementable and effective knowledge products that are digestible for high-level technical experts in
APEC economies – and beyond - to better inform decision on low carbon urban transport actions.

The complete Training Package will include bundles relevant to each sub-topic of the training series.
Each bundle will include:

• PowerPoint presentations with detailed notes;

• A supporting document with references to videos, technical documents, links to
relevant websites;
• Videos of the webinars accessible on YouTube;
• A policy brief on the sub-topic,
• Reference to tools and methodologies.

The Training Package shall be produced for publication as an APEC Publication.

General Project Management

The Contractor will be required to provide project management and submit reporting to the PO,
according to the project proposal and guidebook on APEC projects. Responsibilities include:

 Liaising closely and working in collaboration with a PO in performing the works in the contract;

 Keeping the PO informed of progress of the work, timelines and budget;

 Assisting the PO to manage and mitigate the risks as identified in the Project Proposal;

 Ensuring all participants, including experts and speakers, are briefed on their roles, entitlements
and obligations before they are engaged to attend an event or participate in a project; and

 Collecting and providing all necessary information as required by APEC fora (particularly ECG)
and the APEC Secretariat to monitor the progress and evaluate the results of a project.
IV. DURATION AND PHASING

Work shall commence no earlier than 01 September 2016 and is expected to be completed by 31
December 2017.

Summarized
Objectives Activities Outputs
Timeframe: Preparation phase up to October 2016; October 2016 to December 2017 (Elaboration)
 Scoping to identify “early  Policy brief on customized
To increase ambition
movers” implementable solutions for “early win”
and strengthen the
capacity of three (3)  Remote technical assistance transport actions for the “early movers”.
APEC economies (e.g. phone calls, review of
documents)
Timeframe: June to November 2017

To build up knowledge  Three (3) in-person Workshops  Roadmap of design instruments for
of implementable with “early mover” peer advisors implementation
solutions in three (3) and experts  Three (3) Workshop Summary Reports
APEC economies  Match-making efforts with of results for each Workshop
financing partners

Timeframe: June to November 2017

To promote replication of  Dissemination of knowledge by  Training package (e.g. PowerPoint

best practices “early movers” about presentations with detailed notes; Policy
experiences to other APEC brief on sub-topics, etc.)
Member Economies (and  Workshop Summary of results of
beyond) through webinars, workshops
workshops, presentations at  PO Submit Draft Report for ECG &
relevant events, etc. TTTWG and APEC Secretariat for
comment by 30 October 2017
 Submit final report incorporated any
comments received from PO, ECG and
APEC Secretariat 30 November 2017

TABLE OF ALL CONTRACTOR DELIVERABLES

# Deliverables Due Date

1 Draft Roadmap document for consideration and October 2017
comment of ECG members and APEC Secretariat
November 2017
Final Roadmap document as approved by ECG
members and the APEC Secretariat for publication.
2 Workshop-related deliverables

a. Event Timeline 16 weeks before planned

event
 b. General Information Circular (GI) 12 weeks before the
planned event

c. Proposed Workshop Speakers and Participant 6 weeks before the planned

list event
d. Final Agenda (and circulates to all participants); Before event
Workshop Evaluation Forms etc

e. Full Workshop attendance Not more than 3 working

days after the event

f. All Workshop presentations and documents Not more than 10 working

days after the event

3 Workshop Summary Reports Not more than 20 working

days after each event
4 Training Package December 2017
5 Project Management
a. DRAFT: APEC Project Monitoring Report to July 15, 2017
PO

PROPOSED MILESTONE AND PAYMENT SCHEDULE

Milestone Deliverable Means of Verification Due Date Payment

Schedule
(US$,
inclusive of
tax)

Completion of all Workshop- Written acceptance and 30 US$7,200

related deliverables certification by the PO September
2017

Deliver final Roadmap, as Written acceptance and 30 US$6,000

endorsed by ECG members, and certification by the PO. November
the APEC Secretariat for Endorsement by ECG. Acceptance 2017
publication. by the Secretariat.

Deliver final Training Package, as Written acceptance and 31 US$6,000

endorsed by ECG members, and certification by the PO. December
the APEC Secretariat for Endorsement by ECG. Acceptance 2017
publication. by the Secretariat.

Total Value (including Tax) : US$ US$19,200

V. SPECIFICATIONS OF SKILLS SETS AND EXPERIENCE

Skills and experiences required from contractors shall be:

1. Expertise in the field of low-emission improvement strategies in transport or related sectors.

2. Demonstrated project-management capability, including event organisation and oversight.
3. Capacity for producing policy guidance and undertaking the necessary research required; and
4. Strong command of English (written and spoken) and strong report development skills.

REPORTING REQUIREMENTS

A. Final Roadmap

The Roadmap shall be between 15-25 pages in total length and contain:

1. Background and overview

2. Identification of the proposed steps to be taken
3. Concluding statement.

B. Workshop Summary Reports

Each Workshop Summary Report shall be no more than 15 pages in length and contain:

1. Title Page
2. Table of Contents, Glossary and acronym list
3. Key outputs
4. Key outcomes compared with objectives
5. Overall Impact and lessons learned
6. Conclusions

C. Training Package

The Training Package shall be no more than 50 pages in length and contain:

1. PowerPoint presentations with detailed notes

2. A supporting document with references to videos, technical documents, links to relevant websites
3. Videos of the webinars accessible on YouTube
4. A policy brief on the sub-topic
5. Reference to tools and methodologies

200 copies shall be produced and disseminated to relevant stakeholders by the PO, including members of
TTTWG. The Final Roadmap and the Training Package will be APEC Publications. Items for publication
must be prepared in accordance with the Guidebook on APEC Projects, APEC Publication Guidelines
and APEC Logo Guidelines. The items must be certified by the PO and must be endorsed by ECG and
approved by APEC Secretariat before they can be published. Reports submitted to the APEC Secretariat
must not require any further copy-editing and reflect a level of English fit for publication.