Project Title

2019 APEC Business Ethics for SMEs Forum: Vision for Sustainable, Dynamic, and Innovative Health Enterprise 

Project Year

2018   

Project Number

SME 02 2018A 

Project Session

Session 1   

Project Type

Standard 

Project Status

Project in Implementation   
View Budget TableView Budget Table
|
PrintPrint

Project No.

SME 02 2018A 

Project Title

2019 APEC Business Ethics for SMEs Forum: Vision for Sustainable, Dynamic, and Innovative Health Enterprise 

Project Status

Project in Implementation 

Publication (if any)

 

Fund Account

APEC Support Fund 

Sub-fund

ASF: General Fund 

Project Year

2018 

Project Session

Session 1 

APEC Funding

134,015 

Co-funding Amount

802,309 

Total Project Value

936,324 

Sponsoring Forum

Small and Medium Enterprises Working Group (SMEWG) 

Topics

Small and Medium Enterprises 

Committee

SOM Steering Committee on Economic and Technical Cooperation (SCE) 

Other Fora Involved

 

Other Non-APEC Stakeholders Involved

 

Proposing Economy(ies)

United States 

Co-Sponsoring Economies

Australia; China; Hong Kong, China; Malaysia; Mexico; Singapore; Chinese Taipei 

Expected Start Date

01/01/2019 

Expected Completion Date

31/12/2019 

Project Proponent Name 1

Tricia Van Orden 

Job Title 1

Deputy Director, Trade Promotion Coordinating Committee 

Organization 1

US Department of Commerce 

Postal Address 1

1401 Constitution Avenue, NW, Washington, Dc 20230, USA 

Telephone 1

1-202 4825876 

Fax 1

Not Applicable 

Email 1

tricia.vanorden@trade.gov 

Project Proponent Name 2

Not Applicable 

Job Title 2

Not Applicable 

Organization 2

Not Applicable 

Postal Address 2

Not Applicable 

Telephone 2

Not Applicable 

Fax 2

Not Applicable 

Email 2

Not Applicable 

Declaration

tricia.vanorden@trade.gov 

Project Summary

The Business Ethics for APEC SMEs Initiative is the world’s largest partnership to strengthen ethical business practices in target sectors, training 1,500+ stakeholders and expanding high-standards to 18,000+ companies (13,000+ SMEs) across every member economy. It also designs and implements model agreements to strengthen ethical practices across health systems, with eight at or near completion spanning four continents. In 2017, these results were recognized by APEC Economic Leaders and APEC SME Ministers. The 2019 APEC Business Ethics for SMEs Forum in Chile will leverage these advances by further equipping developing economies, and thousands of SMEs via a well-developed “train-the-trainer” approach, to align with ethical business practices that are emerging through digital health innovation. This project will explore a collaborative vision for the next decade, backed by a well-established initiative that aligns with ASF priorities: developing and strengthening the dynamism of SMEs, facilitating technology flows and harnessing technologies for the future, and promoting the development of knowledge-based economies.

Relevance

Relevance – Region: The success of small and medium enterprises in many industries requires the building of trusted collaborations between stakeholders: industry, government, professional societies, research institutions, and consumers. Unethical behavior undermines this trust, leading to significant adverse consequences for SMEs and economies. These consequences include elevated consumer distrust, unfair business conditions and/or inaccessible market opportunities, stifled innovation and investment, burdensome regulations, and differing standards across borders leading to elevated business cost and legal risk.

The Business Ethics for APEC SMEs Initiative is the world’s largest public-private partnership to strengthen ethical business practices in target sectors. From 2012 to 2017, the initiative has achieved near-universal adoption of codes of ethics by medical technology and biopharmaceutical industry associations within APEC economies: more than doubling the total number of codes from 37 to 77 including within 10 economies where they previously did not exist. This has expanded high-standards to 18,000+ companies (of which over 13,000 are SMEs). The speed of this achievement is understood when recognizing that the region’s first 37 codes in these sectors took over three decades to develop. Work is underway in 2018 to scale curriculum for the implementation of these codes through a ground-breaking APEC Virtual Ethics for SMEs Compliance Program that is positioned to serve as a resource for thousands of SMEs by 2020. And to facilitate model consensus agreements that strengthen ethical practices, building on the APEC-facilitated launches in Canada, Peru, Viet Nam, and the Philippines (2016-2018) and anticipated launch’s in Australia, Chile, China, and Japan in 2018. The 2019 APEC Business Ethics for SMEs Forum will leverage these results by equipping developing economies, and hundreds of SMEs using a “train-the-trainer” approach, in the implementation of best ethical practices that are rapidly emerging as digital health innovations expand. These best ethical practices will align with the APEC Principles that have been endorsed by APEC Economic Leaders and Ministers. Not only does this approach address a major challenge facing SMEs in target sectors and developing economies (e.g., in the identification and cost-effective implementation of the highest standard ethical business practices), but it sets a collaborative vision for the APEC region on business ethics and digital health innovation. 

Relevance – Eligibility: This project supports APEC’s four capacity building goals for developing economies by providing in-person and sustained virtual training resources (as well as mentorships and dialogue sessions) to SMEs, governments, and other health system stakeholders. Specifically, the project falls under five funding priority areas of the APEC Support Fund (General Fund): 

1) Developing and strengthening the dynamism of SMEs: The project fosters an external business environment, and strengthens internal capacities, that permit SMEs to sustainably operate global suppliers. 

2) Developing human capital: This project supports key implementation provisions of the APEC Strategic Plan on Capacity Building to Promote Trade and Investment, including integrated and multi-faceted capacity-building based on demonstrated needs and mobilizing greater external resources to facilitate human development. 

3) Facilitating technology flows and harnessing technologies for the future: As digital health innovations rapidly expand, SME across the region, and entire health systems in developing economies, will benefit from this project’s identification and implementation of best practices in alignment with APEC ethics principles. 

4) Integration into the global economy: The project facilitates the development of high-standard codes and ethical collaborations for SMEs across all member economies and beyond where they conduct business, facilitating their integration into the global economy. Region-wide convergence to high standards clarifies ethics rules for SMEs and reduces costs with cross-border compliance risk, catalyzing trade and investment.

5) Addressing social dimension of globalization: The project addresses a major vulnerability in international trade for SMEs as well as for consumers/patients. According to the World Bank, $1 trillion is lost in the private sector annually as a result of corruption. SMEs suffer the greatest impact, with up to 25% of annual operating capital lost to unethical practices. This social dimension is particularly salient in sectors that are tied to public finances like health. 

Relevance – Capacity Building: With support from the Business Ethics for APEC SMEs Initiative’s 150+ person expert mentor team that has a proven track record of delivering stellar, quantifiable results in capacity-enhancement, since 2012, this project will deploy a train-the-trainer approach by providing in-person and sustained virtual training resources, mentorships, and dialogue sessions for every APEC developing member economy. This training will extend to SMEs, governments and the health system stakeholders to identify and implement best ethical practices that are rapidly emerging as digital health innovations expand across the region. This train-the-trainer (in person and virtual) approach has proven highly effective in the initiative’s numerous projects to-date. This project will also build upon the substantial work already undertaken through this initiative in previous years, ensuring a progress expansion in capacity enhancement.

Objectives

This project facilitates enterprise-level implementation of ethical business practices by bringing together SMEs and their industry associations, governments, professional and consumer groups to:

1) facilitate the adoption of best practices outlined in the APEC Principles, with an emphasis on equipping developing member economies as digital health innovations expand;

2) implement scalable ethics training curriculum;

3) address cultural nuances; and

4) realize full implementation of the Nanjing Declaration’s 2020 commitments, (5) set initiative goals post-Nanjing Declaration. 

Alignment

Alignment - APEC:  This project responds to the call by APEC Economic Leaders in 2017 to “strengthen the ability of MSMEs to compete in international markets and participate in global value chains through…promoting business ethics.” It also responds to APEC SME Ministers call in 2017 to “strengthen ethical business practices to free SMEs from the high costs of corruption and support their ability to access global markets…reaffirm[ing] our commitment to the 2014 Nanjing Declaration and its goals” which includes convening this specific project. In fact, the Nanjing Declaration calls for this annual Forum through 2020. Please visit http://mcprinciples.apec.org for further reference to APEC statements in support of the Project. The APEC Business Advisory Council (ABAC) also called for strengthening ethical practices by convening the APEC Business Ethics for SMEs Forum on an annual basis to 2020. This project champions these efforts in 2019. 

Alignment – Forum: The project is directly aligned with the SME Working Group Strategic Plan, which has the vision of promoting competitive, sustainable growth of SMEs and a mission of “enabling policy, business, and regulatory environment for SMEs” and “strengthening the participation and access to global markets for SMEs.” Unethical business practices serve as a detrimental barrier to achieving this vision. And these challenges will grow as digital health innovation expands without undertaking  this initiative’s collaborative, results-driven approach. APEC SME Ministers have called for the convening of the APEC Business Ethics for SMEs Forum on an annual basis through 2020 and have directly recognized the importance of this work each year since 2010.

TILF/ASF Justification

Not Applicable.

Beneficiaries and Outputs

Outputs: The APEC Business Ethics for SMEs Forum builds upon the APEC Nanjing Declaration Goals to strengthen ethical business practices across all APEC economies. Specific outputs anticipated at the 2019 APEC Business Ethics for SMEs Forum include:

·  APEC Virtual Ethics for SMEs Compliance Program (Self-Funded): A team of compliance experts who have been engaged with the Business Ethics for APEC SMEs Initiative has collaborated to build an online business ethics and compliance program for SMEs in the biopharmaceutical sector. The resources included in this virtual training program are designed for SMEs and will be disseminated through biopharmaceutical industry associations across the APEC region. It is expected that the online training platform will be shared with and used by up to 6,000 SMEs. Compliance experts have been testing the training program and providing feedback, and the next version is expected to be unveiled at the 2019 Business Ethics for SMEs Forum.  The updated version will also contain training resources for biopharmaceutical industry associations and other healthcare systems partners. These will be developed in the coming months and user-tested at the 2019 APEC Business Ethics for SMEs Forum during a workshop session.

·   Capacity-building Workshop Sessions: The 2019 APEC Business Ethics Forum will include at least eight workshop sessions for all attendees. Themes of these workshops will include developing an internal compliance program for SMEs; creating a model code of ethics for third-party intermediaries; strategies for establishing health system-wide consensus frameworks for ethical collaboration; and best practices for engaging healthcare providers and patient advocacy groups in the ongoing work to create an ethical business environment in the medical device and biopharmaceutical sectors, among others. The workshop format is designed to be interactive and will include best practice sharing, case studies, and group exercises.

·   Consensus Frameworks for Ethical Collaboration: Two economies are expected to adopt consensus frameworks for ethical collaboration in the healthcare system at the 2019 APEC Business Ethics for SMEs Forum. In addition to the adoption of consensus frameworks, which is a significant achievement for all healthcare stakeholders in an economy, there will also be discussion of specific tactics to bring together stakeholders, to reach a mutually agreement consensus, and to manage the implementation process. 

·   Action Plan for APEC Guidance on Third-Party Intermediaries: An action plan with specific goals and timelines to train third-party intermediaries on ethical business conduct in the medical device sector, to include virtual resources, will be presented at the Forum to be disseminated through medical device industry associations.

·   Healthcare Professional (HCP) Model Code of Conduct: A model code of conduct that includes guidance on interactions between HCPs and industry interests that is aligned with the Mexico City Principles will be presented for adoption by HCP organizations. This benefits SMEs across the APEC region by alleviating the risk of unethical behavior by HCPs, which could lead to compliance issues for SMEs with significant legal and financial ramifications.

Strategic Plan for Business Ethics for APEC SMEs Initiative: Forum participants representing the medical device and biopharmaceutical sectors will hold respective strategy sessions to determine a strategic plan to meet the 2020 Nanjing goals and to identify and address new challenges beyind 2020. 

Outcomes: Upon successful implementation, the following four outcomes are anticipated: 

1) Economic: Strengthened growth, cross-border trade, and competitiveness; reduced public waste and regulator/enforcement burden. 

2) Business: Strengthened domestic and cross-border market access for SMEs, fair competition in the marketplace, improved productivity, reduced reputational risks and legal costs for businesses. 

3) Social: Strengthened healthcare system and improved outcomes for patients, increased public confidence and trust in the healthcare system, better access to life-saving and enhancing products. 

4) Innovation: Through the emergence of digital technologies,  new mechanisms to eliminate unethical behavior that stifles innovation. 

The project team also anticipates the project’s positive outcomes will extend beyond APEC, with the initiative increasingly viewed as a model in non-member economies (e.g., Colombia, Brazil, India, UAE, Saudi Arabia, among others). We also expect several new consensus frameworks and public-private partnerships to emerge from this event that will have a major regional impact on strengthening ethical practices, especially for APEC developing economies. As the first APEC ethics capacity-building program focused on the scale-up through the deployment of digital technologies, the project team anticipates new collaborations (between industry associations and their SME members), elaborating best practices and facilitating cross-border trade. 

This event will also serve as a continued opportunity to identify the positive roles APEC governments serve in supporting the implementation of high-standard, voluntary codes of business ethics. Since 2014, the Business Ethics for APEC SMEs Initiative has seen a significant uptake in actions by APEC member governments as partners with industry to strengthen local business practices in accordance with APEC Principles. There remains an immediate need for implementation of best practices in this area, as APEC governments are just beginning to realize the huge advantage of serving as a proactive facilitator of voluntary ethical collaboration (not just an enforcer of anti-corruption laws). 

Beneficiaries: The direct project participants will include all attendees at the 2019 APEC Business Ethics for SMEs Forum.  Attendance is expected from approximately 250 compliance professionals and related stakeholders from the medical device and biopharmaceuticals industry. Compliance professionals are generally represented by Chief Compliance Officers for individual companies or industry associations. Related stakeholders include healthcare professionals, representatives of patient groups, and government healthcare regulatory agencies, among others. 

For the 2019 Forum, greater participation is desired from SMEs in the medical device and biopharmaceutical sectors. The project team will engage industry associations across the APEC region to ensure robust turnout among SMEs. APEC travel funds will also be leveraged to ensure this market segment is represented at the Forum. 

The anticipated project outputs will benefit a much larger set of SMEs and other stakeholders. The project’s beneficiaries include:

1) Medical device and biopharmaceutical industry associations in the APEC region and the thousands of SME member companies they represent. They will directly benefit from the training resources and guidance documents developed at the 2019 Forum. These resources will be made available online and thereby available to any interested SME or stakeholder.

2) Government officials from APEC economies through an expanded effort to confront corruption challenges in the medical device and biopharmaceutical sectors through the implementation of codes of ethics and heightened focus on emerging ethical issues; and

3) Professional organizations through the development and adoption of consensus frameworks for ethical collaboration with diverse healthcare system stakeholders, including industry associations and SMEs.

4) Civil society and academia from intentional engagement with industry and government stakeholders to address shared challenges on business ethics issues (patients, caregivers, consumers, etc.)

Dissemination

The results and outputs of the 2019 Business Ethics for SMEs Forum will be captured in a Summary Report, which will be an APEC publication. 

Reporting, and other written outputs associated with this project, which will be publicly available, must be presented to the Secretariat in a standard of English which requires no further copy-editing. The various outputs, detailed below, which will be distributed and published as an APEC publication, must be prepared in accordance with the Guidebook on APEC Projects, the APEC Publication Guidelines and the APEC Logo Guidelines. Where contracted labor is used to produce reports or other written outputs, contractor terms of reference must state that all will be presented in a level of English fit for publication and require no further copy-editing by the APEC Secretariat. 

If an author (PO or contractor) is unable to fulfil this requirement, it is advisable to have a copy editor read and edit the public documents related to this project, especially the final report to be distributed and published on the APEC website. This will ensure that language nuances are checked and the quality is within the APEC standard. 

Participation in and outcomes from the 2019 APEC Business Ethics for SMEs Forum will be communicated within APEC through in-person and electronic reports to the SMEWG and SME Ministers, ABAC, Life Sciences Innovation Forum (LSIF), Health Working Group (HWG), and Anti-Corruption & Transparency Working Group (ACT). 

Outside of APEC, electronic and in-person communications will be disseminated to stakeholders identified as critical to fostering ethical business environments. These include: 

Governments – Officials responsible for anti-corruption and health and relevant regulators;

Industry – Associations and their member enterprises in the medical device and biopharmaceutical sectors; and

Other key stakeholders -  leaders of hospital, pharmacy, insurance and other payers, healthcare professional, and patient/consumer groups. 

The project team utilizes satellite websites established in 2015 to enhance dissemination of project outputs and other resources for stakeholders in each covered sector. A website for the biopharmaceutical sector, accessible here, contains information and resources for small business to adopt codes of ethics and establish compliance programs. A new website was created in 2018 to host the resources developed the medical device sector, accessible here. These websites are supported in-kind by stakeholders and serve as an on-going communication platform. 

As with previous APEC Business Ethics Forums, we believe this project will receive notable media attention. The project team will coordinate with the APEC Public Affairs team, host economy, and other stakeholders to appropriately disseminate project outputs through the media in 2019.  The Project team has already raised this with key partners in Chile. It is anticipated that a media release similar to that issued for the 2018 Forum will again be issued for the 2019 Forum. The 2018 media release can be found here

Key outputs include:

Setting Best Practices:

·  Universal code adoption/implementation based on APEC Principales

·  Universal consensus frameworks: landmark agreements within economies to unite healthcare systems

Capacity Building: Refining and expanding virtual training programs

Monitoring & Evaluation: Continuing to monitor industry associations with possible expansion to other stakeholders

Gender

We will proactively seek balanced representation by men and women in the project’s agenda, among Forum attendees, and in those leveraging the project’s outputs within each member economy. This includes taking an equitable approach to the selection of mentors and speakers as well as during the recruitment process. This approach has enabled previous APEC business ethics programs to achieve near gender balance. We are confident there will be robust participation by both genders in the event, particularly those leading industry and government organizations of great importance to SMEs. Women play a particularly important role in the success of APEC SMEs and their associations. They also benefit from the project’s efforts to strengthen ethical business practices within and between APEC member economies. 

It is also important to note that women are vital contributors to the project team as well as the extensive network of ethics champions supporting this effort. Women from all 21 APEC member economies have actively led and participated in the APEC SME business ethics work to-date and will continue to do so under this project. Many of the most active project contributors are also women; from mentors/leaders within industry groups working with SMEs in Australia, Canada, Chile, China, Hong Kong, Indonesia, Korea, Malaysia, Mexico, New Zealand, Peru, Philippines, Thailand, United States and Vietnam to government leaders supporting SMEs in all 21 APEC economies. It should be noted that the Project Overseer is a woman, as are the lead industry coordinators for both the medical device and biopharmaceutical sector programs. The Government Co-Chair of the APEC Biopharmaceutical Working Group on Ethics – and lead champion of the world’s first economy-level consensus framework agreement in Peru – is also a woman. The project will collect information on the representation of female to male participants to be submitted at the completion report to the Secretariat when the project ends.

Work Plan

Objective/Ouputs

Timing

How will be implemented

Member economies involved

Beneficiaries involved

Others involved

Finalize Forum two-day structure

October-December 2018

By Project Overseer & Project Support Team

Multi-sectoral representatives from many APEC economies

N/A

Others to provide inputs

Identify speakers and panel/workshop facilitators for the Forum

January 2019

By Project Overseer & Project Support Team

Multi-sectoral representatives from many APEC economies

Identified leads for sessions and plenary

Others to provide inputs

Confirm Forum timing and venue

January 2019

By Project Overseer

United States and Chile

N/A

N/A

Identify target attendees and circulate save-the-dates.

February-March 2019

By Project Overseer & Project Support Team

Multi-sectoral representatives from many APEC economies

Forum attendees will be identified and receive save-the-date notices

Others to provide inputs

Finalize Key Deliverables for the Forum

April-May 2019

By Project Overseer & Project Support Team

Multi-sectoral representatives from many APEC economies

N/A

Others to provide inputs

Refine Forum Agenda, Secure Technology Resources, and Recruit Attendees

May-August 2019

By Project Overseer & Project Support Team

Multi-sectoral representatives from many APEC economies

N/A

Others to provide inputs

Hold 2019 APEC Business Ethics for SMEs Forum

September 2019

By Project Overseer, Multi-Sectoral Support Team, and Network of Ethics Champions

All member economies and relevant stakeholders within each APEC economy

All member economies and relevant stakeholders within each APEC economy

N/A

Disseminate  Forum outputs

Outputs include:

Setting Best Practices:

·         Universal code adoption/implementation based on APEC Principles

·         Universal consensus frameworks: landmark agreements within economies to unite healthcare systems

Capacity Building:

·  Refining and expanding virtual training programs

Monitoring & Evaluation:

· Continuing to monitor industry associations with possible expansion to other stakeholders

September-October 2019

By Project Overseer, Project Support Team, and Network of Ethics Champions

All member economies and relevant stakeholders within each APEC economy to receive outputs

All member economies and relevant stakeholders within each APEC economy to receive outputs

N/A

Drafting, endorsement and submission of the Completion Report and all supporting documents to the Secretariat

September-November 2019

By Project Overseer and Project Support Team

United States

N/A

Secretariat

Participation in the Long Term Evaluation of APEC Projects conducted by the Secretariat

March-September 2020

By Project Overseer

United States

N/A

Secretariat

Risks

Risk

Management strategy

Inability to secure host venue for Forum in Santiago, Chile or venue-related logistical challenges

Project team has already begun to assess venue options and will send a Request for Proposals to every major venue in Santiago.  

Lack of interest of target participants from select APEC economies

Project has received overwhelming support from every APEC economy. Strong recruitment will address any gap stemming from limited interest. While Chile is a further destination for APEC economies, stakeholders are willing to make the trip.

Schedule conflicts from sought speakers, experts or trainers

Project has a substantial pool of the world’s highest quality speakers, experts and trainers on ethics issues. Examples include executive-level industry leaders, government officials, and leaders of industry associations. Upon request, PO can provide a full participant list of the 200+ stakeholders involved in 2018. Enhanced recruitment will overcome scheduling conflicts that arise for target attendees.

Program coordination between multiple sectors

The Project Overseer and support team have substantial experience in balancing the needs of multiple sectors to ensure all objectives are met.

APEC Virtual Ethics for SMEs Compliance Program: Virtual Capacity Building Program awareness among stakeholders and enterprises

Project team will work to disseminate the Virtual Capacity Building Program in partnership with medical device and biopharmaceutical industry associations.

Monitoring and Evaluation

To provide accurate tracking of outcomes, the Business Ethics for APEC SMEs Initiative has implemented extensive monitoring and evaluation to continue to expand beyond the life of this project to ensure objectives are met. Key indicators include:

1)  the number of virtual ethics training modules launched (at least 2);
 
2) the number of local follow-on virtual trainings held and the number of enterprises reached through these efforts (at least 2);
 
3) benchmarks concluded under the Nanjing Declaration (universal code adoption by 2020, 83 out of 104); and

4) benchmarks set under a collaborative vision for the region as digital health innovations expand. Assessments through surveys will include gender impact and be disseminated with all participants.

Further, the project administers an annual survey, conducted online and by phone, which is undertaken by the Project Team (sample survey available upon request). The survey covers four areas: assessing code governance, alignment with APEC Principles, member implementation, and external engagement. The survey results are shared with all project partners and stakeholders to track progress toward the Nanjing 2020 goals and to maintain accountability . Post-event evaluations are conducted by participants through phone calls and email. There will also be significant, ongoing collaboration among the networks of ethics champions, with contributors providing regular status updates to the project overseer on the achievement of key objectives. This network of hundreds of ethics champions in the medical device and biopharmaceutical sectors (operating within and between all APEC member economies) will ensure sustained local and multilateral capacity building beyond the project team’s efforts. The project team plans to continue sustained monitoring and evaluation in collaboration with the network of ethics champions.

Linkages

The project aligns with APEC Guidelines for Promoting Cross-Fora Collaboration through its engagement with members of the Anti-Corruption and Transparency Working Group (ACTWG), Life Sciences Innovation Forum (LSIF), and Health Working Group (HWG) on code of ethics development and health system strengthening. The initiative is well recognized by APEC Business Advisory Council (ABAC) as a model effort to support SMEs and facilitate a high-standard playing field for industry. Routine cross-fora collaboration includes information sharing and support to enable key deliverables, recruitment of project participants and local extension of activities, and coordination to showcase key project outcomes at the APEC CEO Summit. This project also extends APEC’s engagement with more than 1,500 stakeholders under the Business Ethics for APEC SMEs Initiative. This includes governments, industry (SMEs and associations), and other stakeholders (professionals, health providers, academia, consumers). This platform– constructed over the initiative’s previous projects – serves as a special opportunity to drive alignment and build ethics capacity as digital health innovations swiftly expand. Outside of APEC, this project also works with other model organizations, such as the Inter-American Coalition for Business Ethics. 

This project builds upon advances from the multi-year Business Ethics for APEC SMEs Initiative, as well as the 2014-2018 APEC Business Ethics for SMEs Forums, while maintaining its own specific objectives and deliverables. The business ethics work to-date has focused on (A) establishing APEC Principles for voluntary codes of ethics in sectors of key importance to SMEs, (B) supporting SME industry groups to create codes of ethics for the first time in alignment with APEC Principles, and (C) to provide training to local ethics champions via a train-the-trainer program establishing a network of ethics champions. Feedback from all key stakeholders contributing to or benefiting from this multi-year project, especially SME industry groups, indicates that scaled, virtual (digital) training will be essential to widespread code of ethics implementation. Feedback also recommends that continued guidance from APEC’s expert networks is crucial to raising awareness around emerging issues in ethical business practices. Further, this project advances the Nanjing Declaration, endorsed by APEC Ministers and APEC SME Ministers in 2014, by supporting the achievement of their multi-year commitments. This includes a central recommendation to hold an annual APEC Business Ethics for SMEs Forum within the APEC host economy through 2020.      

A highly coordinated effort among over a thousand stakeholders throughout APEC’s 21 member economies ensures there is no duplication between this project and other APEC activities. There is no other innovative project like this occurring in the region – or anywhere in the world – so there is minimal risk of duplicating the efforts of non-APEC fora. APEC remains the most suitable home for this project as evidenced by the successes achieved to-date. APEC is unmatched in its ability to convene stakeholders on sensitive subjects, like business ethics, and to provide an effective, nimble platform for the harmonization of high-standard principles that advance mutual economic interests. There remains no better home to build upon the successes achieved from previous APEC Business Ethics for SMEs Forums or to confront emerging business ethics issues for the region’s leading stakeholders. APEC is also an effective platform to capture unique cultural approaches and to convene economies in different stages of developing initiatives that strengthen ethical business practices. Rapid diffusion of best practices ensures that no APEC member economy is left beyond as capacities are enhanced.

Sustainability

The project’s outputs will continue to have an impact on industry, professional organizations and related codes of ethics aligned with the APEC Principles and in accordance with the Nanjing Declaration. We have already witnessed the elaboration of new codes from previous project outputs through (A) holding capacity-building programs, providing greater accessibility to organizations unable to attend previous events and (B) the initiative’s impressive focus on translating these outputs into concrete results through concerted follow-up. The project this year will leverage digital technologies to realize the successful implementation of these codes of ethics across thousands of enterprises in every APEC member economy. 

Beneficiaries from this project include specifically the medical device and biopharmaceutical sectors. This involves APEC industry associations, governments, professional organizations, civil society, and academia to be engaged to carry forward the results and lessons from the project in the years to come. This will be achieved through:

1)  The implementation of digital technology to disseminate open sourced, tailored resources through industry associations with a reach of over 18,000 member enterprises.

2) The introduction of the APEC model to create new “consensus frameworks” for ethical collaboration across APEC member economies as well as the effective implementation of newly adopted frameworks. This will continue to be monitored through the initiative’s robust data reporting system.

This collaborative effort engages with all stakeholders to ensure the project is sustained in the long term. This is achieved in four main ways. The first is through support from a private-public partnership and network of hundreds of ethics champions covering all 21 APEC economies. Second, this enjoys robust involvement from senior government leaders, industry and civil society. These stakeholders have a strong interest to ensure the 2019 APEC Business Ethics for SMEs Forum meets its objectives and project outputs are deployed within and between each APEC economy. This commitment is demonstrated through the dedication of massive in-kind resources from stakeholders across each member economy, amounting to nearly ten times that which APEC is contributing for this particular project. Third, the initiative’s comprehensive monitoring program will also continue to track efforts that ensure outputs are undergoing implementation an economy-by-economy basis. Lack of progress is reported to APEC governments for localized action.  Fourth, there will be a concerted effort to build upon the project’s outputs through a continued call for regional cooperation to implement the APEC principles, heightened multi-sectoral collaboration, and expanded efforts that address new and emerging issues in business ethics. The project will facilitate APEC’s continued leadership in this effort while implementing the Nanjing Declaration.

There are several next steps to build on project outcomes:

-   Prepare a dedicated, virtual library of multi-lingual digital modules that could be freely circulated from APEC to each association partner, supporting their no-cost, rapid implementation of best practices training to over 18,000 enterprises. The virtual library will continue to remain relevant through using an expert team comprised of industry and associations to ensure relevance. This will be maintained by the Project Team, and all material will be reviewed and vetted by the Project Overseer.

-   Continue to advance implementation of the APEC Principles among all relevant industry associations in the APEC region and work towards a majority of these associations’ member enterprises having implemented a code of ethics before the Forum takes place;

-   Support and monitor progress of local training programs for SME members by each association;

-   Develop additional mechanisms for regional coordination among all stakeholders, especially SMEs, on addressing new and emerging business ethics issues; and

-   Continue APEC’s role in serving as ongoing platform for collaboration among all stakeholders to advance ethical business practices in sectors of key importance to SMEs. This includes plans to hold the APEC Business Ethics Forum on an annual basis through 2020. Each meeting will continue to build on progress from the last and report on efforts to implement previous project outputs within all APEC economies.

-   Strategize with stakeholders on future goals needed to advance ethical practices in the industry post 2020.

Project Overseers

The Project Overseer is Ms. Tricia Van Orden, Deputy Director, Trade Promotion Coordinating Committee (TPCC) Secretariat at the International Trade Administration (ITA) within the U.S. Department of Commerce. She has served as the leader of the Business Ethics for APEC SMEs Initiative since 2018. 

In her role at the U.S. Department of Commerce, she coordinates trade promotion strategies across 20 federal agencies and among states and localities to better assist and to improve the competitiveness of U.S. exporters. 

Ms. Van Orden has held several positions at ITA. She directed the President’s Export Council and the President’s Advisory Council on Doing Business in Africa, which serve as the principle mechanisms for private sector input to U.S. trade policy and commercial engagement with Africa, respectively.  She also served as the Canada Desk Officer, where she was responsible for increasing access to the Canadian market for U.S. businesses.  Ms. Van Orden started at ITA as a Presidential Management Fellow in the Office of the Western Hemisphere, where she spearheaded efforts to promote business ethics and corporate social responsibility programs among local business communities throughout Central America and the Caribbean. 

Ms. Van Orden also worked at the Inter-American Development Bank, where she led training programs to increase the capacity of small businesses to access capital. She started her career as an aide to U.S. Senator Maria Cantwell developing the Senator’s foreign affairs and international trade policies. Ms. Van Orden earned a B.A. in Economics from Colorado State University, a B.A. in Political Science from the University of Washington, and a Masters in Public Policy from George Mason University.

Cost Efficiency

Not Applicable.

Drawdown Timetable

Not Applicable.

Direct Labour

Not Applicable.

Waivers

1) A waiver is requested for business class travel for experts, government or non-government, if the expert required is critical to reaching an optimal outcome or if medically advisable. Business class travel for experts would only be approved on a case-by-case basis by the Program Director during the project’s implementation. This approval will only be issued if the experts travel exceeds 12 hours (airport to airport), there are sufficient funds in the budget, and/or (as appropriate) medical certification is provided by experts claiming it is medically advisable.

2)  A waiver is requested for advance payment of travel funds to participants from travel-eligible economies and to expert attendees.

3)  A waiver is strongly requested for APEC funds to cover simultaneous interpretation expenses, not to exceed $5,000/day ($10,000 total). This waiver is sought under exceptional circumstances since many key speakers, experts and attendees from Chile cannot share world renowned best practices nor can they contribute to exchanges without simultaneous translation capabilities. These individuals are viewed as essential, without alternatives and will help achieve the event’s primary theme of leveraging digital technologies. Furthermore, the benefits of simultaneous translation from Spanish to English will benefit attendees from all 21 APEC economies as best practices are exchanged with clarity. Thus, all attendees from every economy will benefit. We understand that this waiver request is subject to the guidelines set in Paragraph 9-8 of the Guidebook and may be approved only under exceptional circumstances. We believe this is an exceptional case. We hope this waiver request serves as strong justification to the Program Director in charge during the project’s implementation.

4)  A wavier is requested that in the event APEC funds are denied to cover simultaneous interpretation expenses, the $10,000 designated for this category be transferred to “Hosting – Room & Equipment Rental” as it is likely the Unit Rate will exceed the $10,000 per day for this category in Chile, Santiago. Project Overseer has verified this with a sample of local venues.

Are there any supporting document attached?

No 
Attachments
Version: 2.0 
Created at 03/09/2018 11:39  by Lucy Phua 
Last modified at 03/09/2018 11:43  by Lucy Phua 
Version HistoryVersion History

Project No.

Project Title

Project Status

Publication (if any)

Fund Account

Sub-fund

Project Year

Project Session

APEC Funding

Co-funding Amount

Total Project Value

Sponsoring Forum

Topics

Committee

Other Fora Involved

Other Non-APEC Stakeholders Involved

Proposing Economy(ies)

Co-Sponsoring Economies

Expected Start Date

Expected Completion Date

Project Proponent Name 1

Job Title 1

Organization 1

Postal Address 1

Telephone 1

Fax 1

Email 1

Project Proponent Name 2

Job Title 2

Organization 2

Postal Address 2

Telephone 2

Fax 2

Email 2

Declaration

Project Summary

Relevance

Objectives

Alignment

TILF/ASF Justification

Beneficiaries and Outputs

Dissemination

Gender

Work Plan

Risks

Monitoring and Evaluation

Linkages

Sustainability

Project Overseers

Cost Efficiency

Drawdown Timetable

Direct Labour

Waivers

Are there any supporting document attached?

hdFldAdmin

Project Number

Previous Fora

Secretariat Comments

Reprogramming Notes

Consolidated QAF

Endorsement By Fora

PD Sign Off

Batch

Forum Priority

Committee Ranking Category

Committee Priority

PDM Priority

Priority Within Funding Category

Monitoring Report Received

Completion Report Received

PMU Field 1

PMU Field 2

PMU Field 3

On Behalf Of

Proposal Status

Originating Sub-Forum

Approval Status
Attachments
Content Type: Standard Proposal
Version:
Created at by
Last modified at by
Go Search