apec capacity building project: strengthening governments

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2015/SOM1/EPWG/003 Agenda Item: 7.2

APEC Capacity Building Project: Strengthening Governments’ Role in Promoting Business

Continuity Planning to Mitigate Against the Impact of Disasters

Purpose: Information

Submitted by: Australia

7th Emergency Preparedness Working Group Meeting

Subic, Philippines28-29 January 2015

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A Capacity building activity of the Emergency Preparedness Working Group

Summary Progress Report

Strengthening Governments’ Role in Promoting Business Continuity Planning

to Mitigate Against the Impact of Disasters

2014-2015

Overview

Australia is leading a self-funded APEC project entitled Strengthening Governments’ Role in Promoting Business Continuity Planning to Mitigate Against the Impact Disasters. The focus of this project is on training government officials to more effectively promote the use of Business Continuity Planning (BCP) among SMEs to protect their businesses and role in global value chains (GVCs). Many GVCs with suppliers in the APEC region are vulnerable to disruptions caused by natural disasters, resulting in cumulative economic damage.

The first of two workshops was held in Manila in November 2014 and the second workshop is scheduled to be held in mid-2015 in Bangkok. This project builds on three earlier BCP capacity-building workshops led by Australia – in Singapore (2012), Vietnam (2013) and Bangkok (2013) – and the development and distribution of a guidebook for government officials on BCP promotion, published in November 2014 and available on the APEC website (see publications).

Project Objectives

The implementation of BCPs by SMEs enables them to prepare for disasters and to continue to operate under adverse conditions. But only about 13%of SMEs in developing economies – including SMEs that contribute to global value chains (GVCs) – have BCPs in place. This project aims to train government officials in targeted economies to overcome the policy and technical obstacles they often encounter when encouraging more SMEs to implement BCPs.

Key objectives of the project are to identify the specific policy and technical challenges faced by agencies/government officials in promoting BCPs; help these agencies/officials develop options and strategies for addressing these challenges; and train officials in developing an understanding of how viable BCPs are formulated and maintained.

Activities Conducted

The first capacity-building workshop in Manila on 20-21 November 2014 was attended by 25 Filipino government officials from the regional and provincial offices of the Philippines Department of Trade and Industry, plus 2-3 officials from each of Mexico, Peru, Vietnam and Thailand. BCP and disaster management experts delivered overviews of BCP usage across the globe, the importance of BCP adoption and interactive training in BCP and action plan formulation. A copy of the agenda for this workshop is attached as Annex A.

A tailor-made monitoring and evaluation (M&E) instrument was administered at the end of the 2014 workshop to assess the initial effectiveness of this capacity building activity. Part two of this evaluation process will be carried out during the second workshop scheduled for mid-June 2015. A final evaluation process to consider the results and impact of this activity will be undertaken approximately six months following the completion of this work. A copy of the evaluation form is attached as Annex B.

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Key Outcomes

Immediate outcomes:

Participants at the Manila workshop gained a strong understanding of the importance of BCP use by SMEs; the knowledge and skills to formulate BCPs; insights into and examples of how BCP implementation by SMEs has worked in various regional economies; a clear understanding of the role of government agencies in promoting and facilitating BCP use; an understanding of the obstacles preventing the targeted economies from effectively promoting and facilitation BCP use in their local environment; and the tools to prepare a ‘commitment to action’ plan to address these specific obstacles.

Potential medium-term outcomes:

By mid-2015, we expect that participants in the 2014 Manila workshop will have developed viable ‘commitments to action’ for review at the Bangkok workshop scheduled for June 2015. Other potential medium-term outcomes include the implementation of these plans, the dissemination of relevant BCP information to colleagues in other stakeholder agencies; the development of strategies to engage local SMEs and help them develop BCPs; and campaigns to increase public awareness of the importance of BCP use.

Follow-up Work and Possible Next Steps

A follow-up workshop will be held in Bangkok in mid-2015 to review the ‘action plans’ developed by officials attending the first workshop.

Depending on interest and demand, Australia may offer further workshops to help relevant government agencies effectively promote BCPs. These may be held in regional locations in the Philippines, Vietnam and Peru in 2015-2016.

Inquiries

Leslie Williams Director, APEC Branch Department of Foreign Affairs and Trade, Canberra, Australia. : +61 (2) 6261 9694 : [email protected]

mailto:[email protected]

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Annex A

An Activity of the Emergency Preparedness Working Group

APEC Capacity Building Program

Strengthening Governments’ Role in Promoting Business Continuity Planning to Mitigate against the Impact of Disasters

Workshop The Peninsula Hotel, Manila

20-21 November 2014

Overview

The implementation of Business Continuity Plans (BCP) enables businesses to prepare for disasters and to continue to operate under adverse conditions. However only an estimated 13% of SMEs in developing economies - including SMEs that contribute to global value chains (GVCs) - have BCPs in place. While governments can play a crucial role in promoting and facilitating BCP use by SMEs, not all government agencies have the skills and knowledge to do so. This capacity building program aims to train government officials to overcome the policy and technical obstacles they often encounter in the course of encouraging more businesses to implement BCPs. Key Objectives

The key objectives of the program are to:

identify the specific policy and technical challenges faced by targeted government agencies/officials in promoting BCPs among SMEs in their economies or local areas/districts;

help agencies/officials develop options for addressing these challenges, including preparing viable BCP ‘commitments to action’ for implementation; and

train the participants in formulating and maintaining BCPs.

Expected Program Outcomes

In terms of potential immediate outcomes, by the end of the training program, participants could expect to have:

a strong understanding of the importance of BCP use by SMEs to protect their operations/role in GVCs from disruptions caused by natural disasters;

the knowledge and skills to formulate BCPs;

insights into and examples of how BCP implementation by SMEs has worked in various regional economies;

a clear understanding of the role of government agencies (central and local) in promoting/facilitating BCP use;

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an understanding of the obstacles preventing the targeted economies from effectively promoting/facilitating BCP use in their local environment; and

the tools to prepare a ‘commitment to action’ to address these specific obstacles. In terms of potential medium-term outcomes, several minor changes could materialised by the end of a six month period following the delivery of the training program, including:

the development of viable ‘‘commitments of action’, for BCP promotion by participating economies; and

the implementation of these commitments with early results such as new policies on BCP promotion in local municipalities; the widespread dissemination of relevant information to colleagues in respective government agencies to boost institutional knowledge/awareness of governments’ role in promoting BCPs; strategies to engage local SMEs and help them develop BCPs; and campaigns to increase public awareness of the importance of BCPs.

Agenda

DAY ONE Thursday 20 November

Welcoming Remarks and Introduction to the Workshop 9.00 - 9.30 am Leslie Williams Director, APEC Branch Department of Foreign Affairs and Trade, Australia Zenaida C. Maglaya Undersecretary, Regional Operations Group Department of Trade and Industry, Philippines

N. Sivalingam Workshop Facilitator

Session 1: Brief Overview on the Use of BCPs and Recent Developments 9.30 - 10.30 am Facilitator: N. Sivalingam Trainers: Takahiro Ono, Mitsubishi Corporation Insurance Co. Ltd Touw June Wah, Surbana International Consulting Objective: This session will seek to provide a brief overview on the current status of BCP usage across the globe and within the APEC region. Current trends and developments in formulating and maintaining BCPs will be discussed. Presenters in this session will also consider and share some observations about the changing attitudes and perceptions towards BCPs among people in the business world as well those from the public sector. Recent key findings from studies, reports and research conducted in areas relating to BCPs will also be shared during this session.

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Workshop Format: Following a series of short presentations, participants will be invited to comment on key points raised and highlight any issues for further consideration in this session. 10.30 - 10.45 am Morning Break

Session 2: Revisiting What a BCP is and the Role of Government in its Promotion 10.45 - 11.15 am Facilitator: N. Sivalingam Trainer: Takahiro Ono, Asian Disaster Reduction Centre Objective: In this session participants will be reminded of the key features of BCPs and the benefits they offer in terms of protecting businesses and communities against the impact of natural disasters. The session will also recall the critical role that governments can play in promoting and facilitating the use of BCPs among SMEs. Workshop Format: Following a series of short presentations, participants will be invited to comment on key points raised and highlight any issues for further consideration in this session.

Session 3: Policy and Technical Challenges in Promoting BCPs 11:15am – 12:00 Facilitator: N. Sivalingam Trainer: Touw June Wah, Surbana International Consulting Objective: The objective of this session is to highlight some of the core policy and technical challenges that many government agencies continue to face in the course trying to fulfill their role in promoting BCPs. The session will also involve an interactive breakout session to help participants identify and workshop the specific challenges that they face in promoting BCPs among SMEs in their economies or local areas/districts. Workshop Format: Reflecting on the constructive feedback on the breakout sessions that are offered by the facilitator, expert trainers and resource people, all participants will be invited to comment or raise issues for further discussion. 12.00 - 1.30 pm Lunch, The Escolta Restaurant Group Photo

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Session 4: Disaster Simulation Game 1:30 – 2:45 pm Facilitator: N. Sivalingam Trainer: Rinske Geerlings, Business As Usual Objective: This interactive session will involve a simulation game. The focus will be to respond to a disaster scenario and to consider the importance of having plans being put in place in order to mitigate against the impact of the disaster. This session will specifically highlight the importance of proper communication, notification and decision-making procedures/plans in the event of a real-life incident. Workshop Format: The simulation game is conducted in sub-groups tackling a hypothetical scenario. Following the simulation game and upon reflecting on the scenario sketched out during this session as well as the outcomes resulting from playing this game, all participants will be invited to offer comments or raise issues for further discussion. 2.45 - 3.00 pm Afternoon break

Session 5: Practical Workshop - Developing a ‘BCP on a page’ for SMEs 3.00 - 4.45 pm Facilitator: N. Sivalingam Trainer: Rinske Geerlings, Business As Usual Objective: This interactive session will include explanation of the recent best practice formats for Risk Assessment and Business Impact Analysis, as well as templates for the development of BCPs. It will include a simple format of a BCP strategy ‘on a page’, i.e. an ‘umbrella’ style document that summarises the BCP of any organization, whether large or of a smaller/SME size. We will play with this format to develop a ‘BCP on a page’ for an example SME chosen by each sub group. Workshop Format: This is a practical working session followed by presentations of the sub groups who play the role of a Government entity, to other participants that play the role of SMEs in their region. Mutual feedback will be given by those playing the role of the Government entity, as well as those playing the role of the SME receiving the presentation. All participants will receive a complimentary hand-out with the best practice templates utilised.

Closing Comments for Day 1 4.45 - 5.00pm Facilitators: N. Sivalingam Leslie Williams, Department of Foreign Affairs and Trade

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DAY TWO Friday 21 November

Session 6: Formulating and Maintaining BCPs

9.00 - 10.30 am Facilitator: N. Sivalingam Trainers: Takahiro Ono, Mitsubishi Corporation Insurance Co. Ltd Touw June Wah, Surbana International Consulting Objective: This session will provide short training on the formulation of BCPs, the aim being to equip participants with the basic knowledge and skills in preparing and maintaining BCPs. The session will draw on various tools and guides that have been developed in recent years, including the APEC Guidebook on SME Business Continuity Planning. Workshop Format: Following the provision of the technical training, participants will be invited to comment on key points raised and highlight any issues for further consideration in this session. 10.30 - 10.45 am Morning Break

Session 7: BCP team building board game

10.45 am - 12.30 pm

Facilitator: N. Sivalingam Trainer: Rinske Geerlings, Business As Usual Objective: This interactive board game will assist participants in exploring which departments/teams should be involved in the BCP organizational structure. We will utilize a best practice format of 10 BCP teams that can be used as an example in the participants’ organisations, in particular larger Government organisations or the larger (>100 staff) SMEs.

Workshop Format: Following the boardgame, all participants will receive a complimentary hand-out with a sample ‘role description’ of best practice BCP teams. 12.45 - 2.15 pm Lunch, The Escolta Restaurant

Session 8: Building a “Commitment to Action” 2.15 – 3:30 pm Facilitator: N. Sivalingam Resource: Takahiro Ono, Mitsubishi Corporation Insurance Co. Ltd

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Touw June Wah, Surbana International Consulting

Objective: The objective of this session is to assist participants in developing an area of action. This area of action would essentially involve addressing a specific policy or technical barrier that is preventing them for effectively promoting the wider use of BCPs among SMEs operating within their economy or local district. Workshop Format: The session will involve using an action plan tool to workshop possible ideas for addressing the specific barrier identified. The take away from this session is a draft “commitment to action” plan that will be further discussed and considered in consultation with relevant stakeholders. 3.30 - 3.45 pm Afternoon break

Session 9: Assessing the Effectiveness of the Project 3.45 - 4.45 pm Facilitators: N. Sivalingam Leslie Williams, Department of Foreign Affairs and Trade Objective: In this session, participants will be invited to assess and discuss the effectiveness the workshop and also to consider its potential impact. Comments and observations offered during this session will be used as a basis for reporting on the outcomes of this capacity building activity to relevant stakeholders within APEC. Participants will also be asked to complete part A of their program evaluation form. Workshop Format: Following a full explanation of the nature, structure and aim of the evaluation process, participants will be given time to complete a section of the evaluation instrument. This session will also offer participants an opportunity to raise any other issues for further consideration.

Session 9: Way Forward and Closing 4.45 - 5.00 pm

Facilitators: N. Sivalingam Leslie Williams, Department of Foreign Affairs and Trade

Objective: In this final session, participants will be briefed on the plans and arrangements for providing inter-sessional guidance and for conducting the follow-up workshop. The session will conclude with some closing remarks by both the workshop host economy representative and the project overseer.

End of Program

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Annex B

An Activity of the Emergency Preparedness Working Group

APEC Capacity Building Program Evaluation Form

Instructions Evaluating a capacity building activity is critical and can achieve several objectives. It can:

render judgement on whether the design and delivery of the activity have effectively responded to the training needs and developmental challenges;

help facilitate better understanding and improvements on how the development problem could best be addressed; and

inform what outcomes the activity has managed to produce over the short, medium or even the longer-term period.

This evaluation form will seek to capture your capacity building learning experience at three levels:

the first level will be to gauge your reaction to the training conducted and resource materials provided at the workshop;

the second will be to determine how you have applied the skills and knowledge acquired from the training to your work environment; and

the third level will be to measure the impact or influence this capacity building has had on addressing particular problems or a set of issues as they relate to the targeted area of development.

Participants are asked to:

complete Section A immediately after the phase one workshop (Friday November 28);

respond to Section B following the phase two workshop (date to be confirmed); and

finalise Section C in (this final level will basically evaluate the end-result of the training, which can potentially only be known several months from the completion of phase two).

Given that this evaluation process will essentially be implemented over a 10 month period, participants are asked to retain this evaluation form during this period and submit the completed form to the organisers by (date to be confirmed). Your cooperation in this matter would be greatly appreciated.

General Details

Activity Title:

Strengthening Governments’ Role in Promoting Business Continuity Planning to Mitigate against the Impact of Disasters

Participant’s Name: (this information is optional)

Participant’s Economy: (this information is optional)

Please tick the sections you have completed:

Section A

Section B

Section C

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Section A: (To be completed by FRIDAY NOVEMBER 24) From the training provided in Session 1 (‘Brief Overview on the Use of BCPs and Recent Developments’) of the workshop, please rate and comment on the following questions: 1. How would you now rate your knowledge and understanding of the use of business continuity plans and

recent developments in formulating and maintaining business continuity plans, compared to before the session?

Strong understanding Comments:

Moderate understanding

A little understanding

Still weak understanding

2. How would you rate the level of discussion in this session in terms of stimulating further thoughts and

views on the use of BCPs in your own economy/region and recent developments in formulating and maintaining business continuity plans?

Highly stimulating Comments:

Moderately stimulating

A little stimulating

Not stimulating

3. Did you think that the session could have included any other information or details? If yes, please note

what you think should also have been covered in this session.

Yes

Comments:

No

From the training provided in Session 2 (‘Revisiting what a BCP is and the Role of Government in its Promotion’) of the workshop, please rate and comment on the following questions: 4. How would you now rate your knowledge and understanding of the impact disasters have on

businesses, communities and economies, compared to before the session?





5. How would you now rate your knowledge and understanding the key features of business continuity

planning and why it is used to mitigate the impact of disaster on businesses and organisations, compared to before the session?





6. How would you now rate your knowledge and understanding of the role of government agencies and

officers in the promotion and facilitation of business continuity planning, compared to before the session?






views on the value of business continuity plans and the role governments can play in their promotion?

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Moderately stimulating


Not stimulating


what you think should also have been covered.

Yes

Comments:

No

From the training provided in Session 3 (‘Policy and Technical Challenges in Promoting BCPs’) of the workshop, please rate and comment on the following questions: 9. How would you now rate your knowledge and understanding of the core policy and technical challenges

that many government agencies continue to face in the course of trying to fulfil their role in promoting business continuity plans, compared to before the session?






views on the policy and technical challenges faced by government agencies in promoting business continuity plan?


Moderately relevant


Not stimulating


what you think should have been covered as well in this session.

Yes

Comments:

No

From the training provided in Session 4 (‘Disaster Simulation Game’) of the workshop, please rate and comment on the following questions: 12. How would you rate the usefulness of the simulation exercise in developing knowledge and

understanding of the importance of communication, notification and planning in the event of a real life disaster?

Highly useful Comments:

Moderately useful

A little useful

Not useful

13. How helpful were the comments and feedback provided by the workshop facilitator and experts in

session 4?

Very useful Comments:

Moderately helpful

A little helpful

Not helpful

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14. Did you think that the session could have included any other information or details? If yes, please note what you think should have been covered as well in this session.

Yes

Comments:

No

From the training provided in Session 5 (‘Developing a ‘BCP on a page’ for SMEs’) of the workshop, please rate and comment on the following questions: 15. How would you rate the usefulness of the practical exercise in developing knowledge and understanding

of best practice formats for Risk Assessment and Business Impact Analysis?


Moderately useful

A little useful

Not useful

16. How would you rate the usefulness of the templates for the development of BCPs ‘on a page’?


Moderately useful

A little useful

Not useful

17. How helpful were the comments and feedback provided by the workshop facilitator and experts in

developing a BCP on a page?


Moderately helpful

A little helpful

Not helpful


what you think should also have been covered in this session.

Yes

Comments:

No

From the training provided in Session 6 (‘Formulating and Maintaining BCPs’) of the workshop, please rate and comment on the following questions: 19. How would you rate the usefulness of the practical exercise on formulating and maintaining BCPs?


Moderately useful

A little useful

Not useful

20. How would you rate the usefulness of the various tools and guides such as the APEC Guidebook on

SME Business Continuity Planning?


Moderately useful

A little useful

Not useful

21. How helpful were the comments and feedback provided by the workshop facilitator and experts in the

workshop?

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Moderately helpful

A little helpful

Not helpful



Yes

Comments:

No

From the training provided in Session 7 (‘BCP team building board game’) of the workshop, please rate and comment on the following questions: 23. How would you rate the usefulness of the interactive activity in exploring the relevant departments /

teams / stakeholders in a BCP organisational structure?


Moderately useful

A little useful

Not useful


workshop?


Moderately helpful

A little helpful

Not helpful



Yes

Comments:

No

From the training provided in Session 8 (‘Building a “Commitment to Action”’) of the workshop, please rate and comment on the following questions: 26. How would you rate the usefulness of the interactive activity in developing an area of action to address a

specific policy or technical barrier within your own region/economy that is preventing the wider uptake of BCPs?


Moderately useful

A little useful

Not useful


workshop?

Very helpful Comments:

Moderately helpful

A little helpful

Not helpful



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Yes

Comments:

No

General questions relating to Section A (the Manila Workshop): 29. How would you rate the training, resource and presentation materials provided in the workshop in terms

of providing you with relevant and sufficient information that relates to addressing the challenge of promoting BCPs?

Highly relevant Comments:

Moderately relevant

A little relevant

Not relevant

30. How useful were the training materials as a source for future reference?


Moderately useful

A little useful

Not useful

31. What key concepts or ideas acquired from this workshop do you expect to adopt in your workplace in the

coming months?

Comments:

Section B This section is to be completed in (date to be confirmed), immediately after the phase two training.

32. How did you apply the knowledge gained from the training to your work? Please elaborate with

examples.

Comments:

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33. How did you apply the skills gained from the training to your work? Please elaborate with examples.

Comments:

Section C This section is to be completed at the end of (date to be confirmed), several months after the phase two training. 34. What was the problem or set of developmental issues that you needed to address? Please elaborate.

Comments:

35. Has the problem or set of issues been resolved? If yes or if the journey to resolve the problem is still

ongoing, please explain how the capacity building training offered in this program contributed, influenced or made an impact on solving this problem or set of issues. Where possible, please provide your response in measurable terms. For instance, can you measure the number of BCP promotional or facilitation activities that your organisation has conducted to increase greater awareness of the use of BCPs among SMEs? Is this a direct result of your own awareness of the importance of BCP following your participation in this training program?

Comments:

apec capacity building project: strengthening governments

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