INTERNATIONAL MARITIME ORGANIZATION E IMO TECHNICAL CO-OPERATION COMMITTEE 58th session Agenda item 4 TC 58/4 3 April 2008 Original: ENGLISH IMPACT ASSESSMENT OF TECHNICAL CO-OPERATION ACTIVITIES DURING 2004-2007 Consultants report Note by the Secretariat Executive summary: Strategic direction: 3.5 High level action: 3.5.4 Planned output: 3.5.4.1 Action to be taken: Paragraph 7 SUMMARY Attached to this cover note is the Report on the Assessment of the Impact of the IMO s ITCP for 2004-2007, commissioned by the Secretariat in accordance with the decisions of the Committee and prepared by external consultants Related documents: TC 47/10, TC 47/13; TC 57/6, TC 57/14 and TC 58/4/1 1 At its forty-seventh session, the Committee approved the Secretariat s proposals on the organization, methodology and financing to be used for the regular impact assessment exercises (IAE) of the Integrated Technical Co-operation Programme (ITCP) see document TC 47/10 in general, and subparagraph 10.8 of document TC 47/13. 2 On the basis of these directives, two IAEs were carried out: the first IAE early in 2000, covering the period 1996-1999 and the second IAE, early in 2004, covering the period 2000-2003. 3 At its fifty-seventh session, the Committee considered and approved the Secretariat s proposals on the terms of reference for the third IAE (see document TC 57/14, paragraphs 6.1 to 6.5). In accordance with those decisions, and as provided for in the Rules of Operation of the Technical Co-operation Fund, an internal Secretariat programme was established for the execution of the third IAE covering the four-year period 2004-2007. The exercise was coordinated by the Technical Co-operation Division and carried out by three independent and external consultants. It involved the active participation of the Marine Environment and Maritime Safety Divisions as well as the Member State Audit and Internal Oversight Section. For reasons of economy, this document is printed in a limited number. Delegates are kindly asked to bring their copies to meetings and not to request additional copies.
- 2-4 As agreed by the Committee, the exercise focused on an analysis of the extent to which the delivery of technical assistance at the national and regional levels had achieved its programme objectives and had led to demonstrated improvements in capacity-building with respect to the thematic areas chosen, namely: support for the establishment and strengthening of national maritime administrations; marine pollution prevention, preparedness and response; maritime security; and national actions to achieve the Millennium Development Goals (MDGs). 5 The exercise was implemented in four principal phases:.1 Phase one: the Secretariat sent questionnaires on the thematic areas to selected countries (October 2007);.2 Phase two: initial analysis at IMO Headquarters by two of the consultants of a substantial amount of documentation on ITCP-related programmes and subsequent discussions with all relevant Secretariat officers (November 2007);.3 Phase three: regional consultations in Latin America were conducted by a third consultant in November 2007. Two consultants led interviews with delegations attending the twenty-fifth session of the Assembly which enabled the consultants to: (a) assess the impact of IMO s activities through face-to-face interaction with representatives of beneficiary countries and partner institutions, as well as the IMO regional maritime adviser for the Caribbean and the regional coordinators; (b) draft the corresponding sections of their report based on the information compiled from the replies to the questionnaires indicated in.1 above as well as from the interviews; and.4 Phase four: production of the finalized Report on the Assessment of the Impact of the IMO s ITCP for 2004-2007. 6 The consultants report, as submitted to the Secretariat, is attached at annex for examination by the Committee. The Secretariat s comments on the report will be submitted under cover of a separate document to the Committee s fifty-eighth session. Action requested of the Committee 7 The Committee is invited to examine the report and to comment as it deems appropriate. ***
INTERNATIONAL MARITIME ORGANIZATION REPORT ON THE ASSESSMENT OF THE IMPACT OF THE IMO ITCP FOR 2004-2007 (November 2007)
Page 2 TABLE OF CONTENTS EXECUTIVE SUMMARY...4 INTRODUCTION...13 Background to the consultancy...13 Structure of the report...15 Acknowledgements...16 IMO S TECHNICAL CO-OPERATION PROGRAMME...16 Background to IMO s ITCP...16 Legislative authority and mandate...16 Policy framework...17 Strategic plan...18 THE IMPACT ASSESSMENT EXERCISE...18 Objectives of the exercise...18 Methodology and choice of focus areas for the IAE...19 Description of regions...20 Africa...20 Arab and Mediterranean...20 Asia and Pacific...21 CIS and Eastern Europe...21 Latin America and Caribbean...22 FINDINGS OF THE CONSULTANTS...22 Support for the establishment and strengthening of national maritime administrations...23 Africa...24 Arab and Mediterranean...29 Asia and Pacific...30 CIS and Eastern Europe...32 Latin America and Caribbean...33 Marine pollution prevention, preparedness and response...36 Africa...36 Arab and Mediterranean...39 Asia and Pacific...39 CIS and Eastern Europe...40 Latin America and Caribbean...40 Maritime Security...42 Africa...42 Arab and Mediterranean...42 Asia and Pacific...43 CIS and Eastern Europe...44 Latin America and Caribbean...44 Millennium Development Goals...44 General context...44 Assembly resolution: Linkage between the ITCP and MDGs...44 MDGs and the Impact Assessment Exercise...45 Findings for all regions...45 MDG 1: Eradicate extreme poverty and hunger...46 MDG 3: Promote gender equality and empower women...46 MDG 7: Ensure environmental sustainability...46
Page 3 CONCLUSIONS...47 Introduction...47 Purpose...47 Aims...47 Relevance of the projects in attaining IMO s goals...47 Relevance of the projects in addressing the needs of beneficiary countries...48 Aims and achievement of results...49 General conclusions...50 Support for the establishment and strengthening of national maritime administrations...50 Marine environment protection...55 Maritime security...58 Millennium Development Goals...59 LESSONS LEARNED AND RECOMMENDATIONS...59 Key factors for successful technical co-operation...59 Interactive planning and clear expectations...60 Needs assessment missions...62 Maritime administrations and national governments: Executive authority...63 Maritime administrations and national governments: Educating government...64 Millennium Development Goals...64 Use of national seminars versus regional seminars...65 Routine follow-up of technical co-operation support...66 Safety of navigation...66 Translation...66 Outreach to women...67 World Maritime University...67 Guidance for participation in technical assistance activities and follow up...68 New areas for technical support...68 Annex A Annex B Annex C Annex D Annex E Annex F Annex G Terms of reference for the IAE List of countries contacted and delegations interviewed during the Assembly List of persons met by the consultants Summary of technical co-operation activities in focus areas by region Status of ratification of IMO Conventions Questionnaires sent to the countries List of acronyms
Page 4 EXECUTIVE SUMMARY Background to the Impact Assessment Exercise 1 The 2004-2007 Impact Assessment Exercise (IAE) examined results and outcomes in the recipient countries to evaluate the impact of the Integrated Technical Co-operation Programme (ITCP). The first exercise was carried out in 2000 (for the period 1996-1999) and each successive IAE has been used to improve the ITCP. Therefore, the IAE has progressed as the ITCP has progressed. Based on recommendations of the previous IAE, delivery of ITCP support is now tracked routinely, with feedback sought on effectiveness of the content, materials, instruction and other key factors. Rather than repeat tracking of delivery, in accordance with the terms of reference, the focus of this IAE will move a step downstream and examine outcomes in order to gain insight into the ITCP s impact and effectiveness. 2 This IAE will focus on an analysis of the extent to which the delivery of technical assistance at the national and regional levels has achieved its programme objectives and has led to demonstrated improvements in capacity with respect to the thematic areas chosen: support for the establishment and strengthening of national maritime administrations; marine pollution prevention, preparedness and response; maritime security; and national actions to achieve the Millennium Development Goals (MDGs). 3 The IAE was planned around the IMO Assembly held in London from 16 to 30 November 2007, which allowed access to senior maritime administrators from many ITCP recipient countries while controlling costs. Questionnaires were sent to selected nations that benefited from assistance in the thematic areas during the period in question. The questionnaires were followed by in-person interviews during the IMO Assembly period. Countries in Latin America were visited by a consultant who conducted in-person interviews on site and submitted his report. Main report 4 The consultants report is divided into seven sections and seven technical annexes. The first section contains the executive summary. The following three sections provide details on the background to the consultancy, a brief overview of IMO s ITCP and its development (particularly since the previous IAE), and a brief description of the objectives and methodology of the 2004-2007 IAE, as contained in the terms of reference attached as annex A. 5 The substantive part of the report presents the detailed findings of the consultants in the four focus areas covered by the consultancy, as prepared by the consultant responsible for each area. More precise details about countries contacted, persons interviewed, activities carried out by region, status of IMO ratifications, questionnaires used and abbreviations utilized are provided in annexes B, C, D, E, F and G. The last two sections contain the consolidated conclusions, lessons learned and recommendations of the consultants for all four focus areas.
Page 5 CONCLUSION 6 The technical assistance delivered in the focus areas was found beneficial to achieving IMO s mission and to the recipient countries. Aims (a) Support for the establishment and strengthening of national maritime administrations 7 Strong and effective maritime administrations are one of the primary tools in attaining IMO objectives worldwide. The consultants found that the ITCP provided effective support for establishing and strengthening national maritime administrations. The regional sections show examples of results achieved by ITCP assistance in this thematic area. 8 IMO assistance had supported the establishment of a new maritime administration in Africa. For countries seeking to strengthen established maritime administrations, general and specific technical assistance provided was based on a combination of IMO model legislation and national workshops. 9 ITCP support has facilitated the ratification of international instruments and the equally important follow-up implementation steps, particularly in casualty investigation, flag State implementation (FSI) and port State control (PSC). Significant progress has been made in non-convention vessel safety, using IMO model safety regulations for non-convention vessels, which have been used by recipient countries in conjunction with specific ITCP support. 10 Across all the regions, the biggest limits to progress occurred when proposed legislation and regulations left the maritime administration and entered the rest of the government. Frequently the maritime administration made good progress on legislation to the limits of its authority, but then the process stopped. Delays were usually related to the legislative drafting authority or lack of legislative time and resources. 11 World Maritime University (WMU) and International Maritime Law Institute (IMLI) graduates are heavily relied upon in many recipient countries. Women are well represented in the graduate population of both institutions. The quantity of graduates and their impact in key roles in maritime administrations and the broader maritime sector is impressive. WMU graduates in most countries tend to stay within the maritime sector. IMLI graduates usually remain with the government, but often leave the maritime sector. However, they sometimes progress to roles in government where they may be able to assist the maritime sector. 12 Women are better represented at senior levels within maritime administrations than they are at middle management or professional levels. In many countries, women hold director or deputy director roles. However, most middle management and professional roles start with technical or operating experience that is difficult for women to acquire. The ITCP and national maritime administrations have a role in providing outreach, training and assistance to women to start and continue career progression. 13 In some regions a human resource shortage was emerging for maritime administrations and the broader maritime sector, due to a lack of ships and shore -side operations that provide a pool of pre-qualified candidates. In these areas, the ITCP and national maritime administrations had a role in providing training to keep national maritime administrations functional.
Page 6 14 Translation could impose significant delays on implementation. For example, model legislation was available for Arabic-speaking countries, but limited Arabic language translation resources delayed publication and implementation of improvements in Arabic-speaking countries. 15 Although most recipient countries obtained good results from ITCP support, in some cases technical assistance was extended to certain recipients without any apparent results. A more interactive planning process, with clear expectations of results and follow-up evaluation, as discussed in the following section, would address this problem. (b) Marine pollution prevention, preparedness and response: MARPOL and OPRC 16 Programmes related to the International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978 relating thereto (MARPOL 73/78) were judged useful by recipient countries and helped to achieve results in harmonizing national law and regulations with MARPOL requirements. As noted in the regional sections, ratifications were achieved or are in the legislative pipeline in many recipient countries. In other recipient countries, the maritime administration chose to prioritize the updating of national law or regulations consistent with already ratified IMO instruments, such as the adaptation of MARPOL 73/78, the International Convention on Civil Liability for Oil Pollution Damage (CLC) 1969 and the International Convention on the Establishment of an International Fund for Compensation for Oil Pollution Damage (FUND), 1971 requirements into newly-enacted shipping legislation. 17 Follow-up implementation steps were being completed, such as deployment of pollution officers who worked with ship surveyors to enforce compliance with MARPOL requirements and development of guidelines for application of the newly enacted laws. 18 ITCP support also resulted in progress for non Convention sized ship safety regulations in recipient countries. 19 ITCP training had resulted in increases in the number of and improvement in the quality of PSC inspectors for many countries and helped countries fulfil international and regional requirements under Memoranda of Understanding (MoUs). ITCP training of PSC inspectors was consistent with MoU requirements. Countries found that, if inspectors applied their training as instructed, regional inspections would find national performance satisfactory. 20 Countries found that national and regional seminars/workshops helped to facilitate communications among different ministries with responsibilities in the area of maritime pollution prevention and response. 21 Technical assistance activities related to the implementation of the International Convention on Oil Pollution Preparedness, Response and Co-operation (OPRC), 1990 were also judged useful and provided identifiable results to countries. As noted in the regional sections, technical assistance was directly followed by the completion of National Contingency Plans (NCPs). Similarly, regional workshops were also found useful in the completion, adoption and improvement of regional oil spill plans. Countries believed that the ITCP support was essential in preparing, adopting, testing and achieving tangible improvements of the plans on both the national and regional levels. Recipient countries were very satisfied with results. Some countries would like follow-up expert assistance for drills and practical testing.
Page 7 (c) Maritime security 22 The IMO maritime security programme was judged to be very useful and successful by nearly all delegations. As a result of national effort supported by the ITCP, most recipient countries had implemented chapter XI of the International Convention for the Safety of Life at Sea (SOLAS) and the International Ship and Port Facility Security Code (ISPS Code), both on board ships flying their flag and in their major ports. 23 The extensive Train-the-Trainer programme had resulted in the training of thousands of ship security officers, company security officers, and port security facility officers. Examples in the regional sections have shown the efficiency of the project. 24 The overall success of the maritime security programme provided useful lessons discussed in the lessons learned and recommendations section. (d) National actions to achieve the Millennium Development Goals 25 National and ITCP activities in the thematic areas supported key MDGs, including economic development, Promote gender equality and empower women and sustainable development. The establishment of the linkage between the ITCP and the MDGs was a new area for IMO and most delegations contacted were not familiar with it. However, they responded well to examples of the linkages when provided. It would be helpful to note that the IMO Assembly adopted on 20 November 2007 resolution A.1006(25) on the issue of linkage between the Organization s ITCP and the MDGs. 26 Although national maritime administrations were taking actions that promoted achievement of the MDGs, this had not been a specific element in planning maritime transport activities. Clearly, more education and outreach was needed to incorporate the MDGs and linkages to the ITCP into overall planning for the ITCP and maritime transport activities by recipient countries. Publicizing the links between maritime transport and achievement of the MDGs would also help educate the broader government about the importance of maritime transport when considering government priorities, legislative resources and funding. LESSONS LEARNED AND RECOMMENDATIONS 27 In making these recommendations, the consultants were mindful of the inalienable rights of recipients and of the different circumstances prevailing in the countries receiving IMO s technical assistance. For that reason, the special circumstances of each country must and should be taken into consideration and there was normally no single solution suitable to two countries. 28 On completion of the IAE, the consultants compiled the lessons learned on the extent to which the delivery of technical assistance at the national and regional levels had achieved the programme objectives and led to demonstrated improvements in capacity with respect to the focus areas. The consultants recommendations were derived essentially from the lessons learned, and dealt specifically with the most crucial aspects of the ITCP. These lessons learned and recommendations are compiled in the last two sections to this report. A summary is provided below.
Page 8 (a) Key factors for successful technical co-operation 29 The key success factors provided fundamental lessons that underlie the specific lessons learned and recommendations that follow. The success factors included a clear objective, clear expectations of results, IMO support as well as a clear and well-planned programme imbedding the above expectations. Although funding was a key element in the success, it simply enabled the preceding factors. 30 The IMO maritime security programme was successful in assisting the implementation of the chapter XI of SOLAS and ISPS Code by mid-2004 and remedied most deficiencies promptly thereafter. As a consequence, recipient countries expected results and structured their ITCP participation in order to achieve them promptly. The bulk of the world fleet and ports in fact became compliant and received ISPS certification. Similarly, many countries who attend OPRC and national contingency plan workshops have clear expectations of completing an NCP or significantly improving an existing NCP. They usually were successful. (b) Interactive planning and clear expectations 31 Planning was needed to ensure that technical co-operation was effective, expected and targeted to the people who best could use it. The ITCP had a well-developed planning system that worked well for many countries. Most countries had clear plans and expectations of the ITCP support that they received. They achieved the basic objectives and applied the lessons learned to obtain results. 32 The countries that were not obtaining results were not able to make effective use of the planning system. They appeared to be receiving support passively rather than taking ownership of the process. A key feature of the ITCP was ownership by the recipients of the assistance provided. It is important to note that this ownership did not require maritime expertise. 33 The planning process should be used to clarify expectations about outcomes from ITCP support. As expectations were clarified, actual results versus expectations could be tracked. Lessons learned from success could be applied to future programmes and funding. If expected results were not obtained, a systematic follow-up was possible to ensure issues were addressed and funding was allocated where most effective. 34 Using the existing planning process to the maximum extent possible would minimize additional costs and workload. 35 The consultants recommend that the Secretariat: communicate the existing ITCP to countries and use it to establish an agreed-upon programme with ITCP recipients; set up and agree to clear objectives and expected outcomes for ITCP support with recipients; obtain agreement from the recipient country to the ITCP support as a required step to ensure that the support is agreed to, understood and committed to by the recipient country; track actual results versus expectations;
Page 9 if expected results are not obtained, follow-up systematically to ensure issues are addressed and funding is allocated where most effective; and apply lessons learned from success to future programmes and funding. 36 Recommendations for Member States: Member States are advised to provide their full co-operation to implement these recommendations. An interactive process would only work with full co-operation from the countries; and Member States are invited to examine their internal communications regarding ITCP assistance to ensure that communications are disseminated promptly to their destinations. (c) Needs assessment missions 37 Findings indicate that some countries should have requested needs assessment missions to obtain a strategic overview of what needed to be accomplished and to incorporate the results into future ITCPs. In other cases, recommendations of needs assessment missions were available but were not being followed by countries although they were still relevant. 38 Recommendations for the Secretariat: co-operate with recipient countries to identify those which could benefit from needs assessment missions, evaluate suitability co-operatively with them and facilitate requests as appropriate; and use the programming process to provide institutional memory to ensure that previous needs assessment missions were being used by recipient countries to their full potential. (d) Maritime administrations and national governments: Executive authority 39 Across all the regions, the biggest limits to progress occurred when legislation and regulations left the maritime administration and entered the rest of the government. Legislative progress often stopped after the maritime administrations made good progress to the limits of their authority. Useful lessons learned were being shared to help countries facing similar problems. 40 Some maritime administrations had been able to find solutions to this problem by using executive authority, simplifying ratification and adaptation of international conventions. For example, use of executive authority to adopt highly technical IMO conventions, such as MARPOL annexes, should be examined for wider applicability and published as a solution where feasible. 41 Information on how other governments had solved the problem would provide useful guidance to national maritime administrations facing these difficulties. Since some of this information could be politically sensitive, the Technical Co-operation Division (TCD) would have a role in providing anonymity and sanitizing the information prior to distribution.
Page 10 42 Recommendations for the Secretariat: collect and facilitate exchange of information on solving the delay problem with recipient countries, recognizing that informal processes may be needed to manage political sensitivities; specifically, investigate the use of executive authority for ratification and adaptation of international instruments. Liaise with legal expertise within IMO and committees as needed. Facilitate exchange of information on lessons learned, recognizing political sensitivities. (e) Maritime administrations and national governments: Educating government 43 In many jurisdictions, executive authority could not be used and the requirement to work with the national legislative drafting authority remained a source of delays. In other cases, maritime legislation was not provided with legislative time and resources by the government or legislative leadership. 44 Recipient countries believed that IMO s assistance, in generating awareness amongst other parts of national government, would improve the situation. For example, a high level, high profile one-day regional seminar for senior civil servants, legislative leaders, and others would educate members of the broader government about maritime affairs using high-profile presenters such as the IMO Secretary-General. 45 Recommendation for the Secretariat: organize a small number of high-level seminars for senior civil servants, legislative leaders, and possibly ministers as a useful means of educating members of broader national governments about maritime affairs. Work in co-operation with regional organizations and national maritime administrations. Evaluate results and establish whether or not to continue as part of the ITCP. (f) Millennium Development Goals 46 National governments and the ITCP were routinely engaged in maritime transport activities that promoted achievement of the MDGs and improvement in related economic development and environmental areas. However, MDGs were not normally and knowingly taken into consideration when planning and implementing maritime activities as they were a new subject for IMO. Therefore, education and outreach would be needed to educate national governments about these links as well as of the benefits of considering and publicizing them. 47 Recommendation for the Secretariat: evaluate means of educating national governments on the linkages between maritime transport and the MDGs, the ITCP and the MDGs, the benefits in the related areas of economic development, promote gender equality and empower women, environmental sustainability and creating global partnerships.
Page 11 48 Recommendation for Member States: evaluate, consider and publicize links between maritime transport, the MDGs and related areas when programming maritime transport activities and working with the broader government. (g) National seminars versus regional seminars 49 National seminars had the great advantage of allowing all stakeholders representatives within a country to attend the event, learn about the subject and communicate with their counterparts in other agencies. Regional seminars allow sharing experience among different countries or sharing of specialized expertise. 50 Recommendations for the Secretariat: recognize respective advantages and disadvantages of national and regional seminars when structuring the ITCP and allocating funding; and publish this information, as needed, to recipient countries during the planning process and ensure that recipient countries understand it. (h) Routine follow-up of technical co-operation support 51 Although the Organization undertook post evaluation of some training events, it would be useful for the beneficiary countries and for the IMO Secretariat to assess the direct feedback of any actions of assistance. 52 Recommendations for the Secretariat: establish a formal mechanism to obtain feedback from each beneficiary country providing information on what happened during the year immediately following every technical assistance action; and evaluate the best location (TCD or the Member State Audit and Internal Oversight Section) within IMO Secretariat. (i) Safety of navigation 53 Few countries requested IMO s assistance in the important area of safety of navigation. 54 Recommendation for the Secretariat: co-operate with countries to identify those which could benefit from technical assistance in safety of navigation, evaluate suitability with them and facilitate their requests as appropriate. (j) Translation 55 Translation can be a major source of delays. For example, limited Arabic language translation resources delayed publication and implementation of model legislation.
Page 12 56 Recommendations for the Secretariat: increase funding for translation, targeting languages where delays affect a large group of countries; and investigate outside funding for translation. 57 Recommendation for Member States: countries are invited to evaluate financial or in kind support for translation. (k) Outreach to women 58 Women were better represented at senior levels than at middle management and professional levels, due to scarcity of candidates from seagoing or shore-side operating jobs. Many countries are concerned about availability of inspectors and technical personnel, yet women are underutilized. Continuous outreach is needed to improve gender participation. 59 Recommendation for the Secretariat: ensure that outreach to women is part of all ITCP support. 60 Recommendations for Member States: countries are invited to evaluate national maritime transport programmes and revise as needed to provide outreach to women; countries are invited to evaluate participation in ITCP activities and revise as needed to provide outreach to women; and countries are invited to recognize and publicize improvements in gender participation and benefit in ITCP and national activities as part of national support for realization of MDG 3. (l) World Maritime University 61 Many countries are under the mistaken impression that the WMU no longer offers pre-admission training in English. This was cited during interviews as a reason for not using the WMU. 62 Recommendation for WMU: revise informational material to achieve wider publicity of availability of the pre-admission English training course.
Page 13 (m) Guidance for participation in technical assistance activities and follow-up 63 Countries requested specific guidance on who should attend ITCP courses, workshops and other activities. Clarification of expectations prior to a training course or workshop would ensure that the student understands what he/she is supposed to learn and that he/she leaves with an understanding of key concepts. 64 Follow-up support after implementation courses would help improve achievement of results, by providing support for country-specific issues that arise when the course participant applied the general lessons learned. In some cases, telephone support would suffice, while in others a specialized mission may be needed. 65 Recommendations for the Secretariat: provide specific guidance in course invitation material about who should attend and expected outcomes; and evaluate follow-up requirements as part of programming ITCP support and provide follow-up support as needed. (n) New areas for technical support 66 During interviews, national delegations mentioned that courses, workshops or other technical support would be helpful in the areas of environmental sensitivity mapping (ESM) and dredging. 67 Recommendation for the Secretariat: request information from recipient countries, liaise with other IMO divisions as needed, and evaluate technical support for environmental sensitivity mapping and dredging. INTRODUCTION Background to the consultancy 68 At its forty-seventh session in June 1999, the Technical Co-operation Committee (TCC) approved the general principles and methodology for the first IAE carried out in 2000 to measure the effectiveness of the assistance received by developing recipient countries through the ITCP, during the period 1996-1999 (document TC 47/10). The Committee also agreed at the beginning of the biennium that future exercises would be carried out every four years. 69 The second IAE was carried out in 2004 covering activities during the four-year period 2000-2003. This exercise was the third and took into account the suggestions and decisions of the Committee following completion of the first two IAEs. 70 This IAE focused on an analysis of the extent to which the delivery of technical assistance at the national and regional levels has achieved its programme objectives and led to demonstrated improvements in capacity-building with respect to the thematic areas chosen: support for the establishment and strengthening of national maritime administrations;
Page 14 marine pollution prevention, preparedness and response; maritime security; and national actions to achieve the Millennium Development Goals. 71 In October 2007, under the coordination of TCD and the Member State Audit and Internal Oversight Section, the Secretariat organized this third Impact Assessment Exercise covering the period 2004-2007, with the terms of reference attached at annex A. To carry out this exercise, IMO engaged a team of three external consultants as detailed below. 72 Fred Doll (Team Leader) is Managing Director of his company, providing market analysis, project evaluation, business development support and strategic planning assistance to shipping companies and financial institutions worldwide. He served as a Director and Senior Shipping Analyst of the world s largest shipbroker, from 1997 to 1999. From 1990 until 1997, he worked for a major oil company, developing strategic business plans for marine activities. He sailed as deck officer from 1979 to 1986 and achieved the rank of Lieutenant Commander in the United States Naval Reserve. He holds a Bachelor of Science degree from the State University of New York Maritime College and a Master of Business Administration degree from the Stern School of Business of New York University. 73 Rear Admiral Jean-Charles Leclair started his professional career at sea and obtained a first class master certificate in 1969 when he joined the French Maritime Affairs Administration. From 1989 to 1994 he was the French Permanent Representative to IMO, after which he returned to France, to the Ministry of Transport in Paris where he was in charge of the Maritime Safety Department, including safety of ships, safety of navigation, aids to navigation, Vessel Traffic Services and search and rescue. From 1998, he worked part time for the International Association of Marine Aids to Navigation and Lighthouse Authorities (IALA) as the accredited representative of IALA to IMO. 74 Rodrigo García graduated from the Naval School of Chile as a Merchant Marine Deck Officer and in 1977 he joined the maritime administration, the Chilean Coast Guard. He reached the positions of head of the International Affairs Office and head of the Merchant Marine and Ports Department of the Maritime Administration Headquarters. He retired in 1997 and became involved in an IMO project regarding the strengthening of the South American Maritime Authorities Network (ROCRAM). In 1999 he joined a project of the German Co-operation Agency (GTZ) as Executive Manager of the South American TrainMar Association until 2006, when he opened his own consultancy company. Rodrigo García holds the following degrees and certificates: Bachelor of Science in nautical Sciences, Master of Science in Port and Shipping Administration, Maritime Administration Engineer, Diploma in Business Administration, Diploma in Shipping Administration. 75 The IAE was planned around the IMO Assembly held in London from 19 to 30 November 2007, which allowed access to senior maritime administrators from many ITCP recipient countries while controlling costs. Questionnaires were sent to selected countries that benefited from ITCP assistance in the thematic areas during the period under review. The questionnaires were followed by in-person interviews during the IMO Assembly period. Countries in Latin America were visited by a consultant who conducted in-person interviews on-site and submitted his report.
TC 58/4 Page 15 76 The consultants initial work was conducted at IMO headquarters from 12 to 16 November 2007. They underwent a thorough briefing with officers from all relevant divisions and offices. The Secretariat circulated questionnaires during October 2007 on the specific thematic areas and provided completed questionnaires to the team as available during the initial work period. During the Assembly, the consultants met the IMO regional maritime adviser and regional coordinators, representatives of beneficiary countries, and national/regional partners in ITCP implementation. 77 A complete list of the persons met both at IMO headquarters, during the Assembly, and on the field visits appears as annex B. Structure of the report 78 This remainder of this report is divided into five further sections and six technical annexes as follows: one provides a brief overview of IMO s ITCP and its development over the period pre-1996 to 2007, as per IMO s mandate. It also describes the ITCP programmes approved for the 2004-2005 and 2006-2007 bienniums, as they relate to the regions and subject areas covered by this IAE; a second one briefly describes the objectives and methodology of the 2004-2007 IAE; a third presents the detailed findings of the consultants in the four focus areas covered by the consultancy: support for the establishment and strengthening of maritime administrations; marine pollution prevention, preparedness and response; maritime security and national actions to achieve the MDGs. Findings, conclusions, lessons learned and recommendations were prepared by the consultant responsible for each area and were edited and consolidated by the team leader. a fourth contains the consolidated conclusions for the four focus areas; a fifth, and final one, offers a compilation of the lessons learned and recommendations made as a result of the exercise. It reflects the consensus of the consultants with respect to the extent to which the delivery of technical assistance at the national and regional levels has achieved its programme objectives and has led to demonstrated improvements in capacity with respect to the focus areas. The consultants recommendations are derived essentially from the lessons learned, and deal specifically with the most crucial aspects of the ITCP. The report also contains the following seven annexes: annex A Terms of reference for the 2004-2007 IAE; annex B List of countries contacted during the IAE; annex C List of persons met by the consultants; annex D Technical co-operation activities by region and focus areas; annex E Status of ratification of IMO conventions; annex F Questionnaires sent to the countries; and annex G List of acronyms.
Page 16 Acknowledgements 79 The consultants would like to acknowledge the role played by IMO s TCD in planning and organizing the IAE work plan and field mission. All TCD staff and the staff of the Maritime Safety, Marine Environment as well as the Head of the Member State Audit and Internal Oversight Section were most helpful and candid in their dealings with the consultants. 80 During the Assembly, the IMO regional maritime adviser for the Caribbean and the regional coordinators were extremely helpful and played a pivotal role in organizing the meeting with the delegations attending the Assembly. We thank them for their wholehearted co-operation and welcome disposition to assist the consultants. 81 The consultants would also like to express their appreciation of the support provided by national maritime administrations and national and regional organizations and institutions participating in the exercise. IMO S TECHNICAL CO-OPERATION PROGRAMME 82 This section contains a very brief overview of the ITCP, the vehicle through which IMO programmes and delivers technical assistance to developing countries, on a biennial basis, aimed at increasing their capacity to implement effectively and enforce the global maritime standards adopted by the Organization. Background to IMO s ITCP 83 The Mission Statement for IMO s ITCP was outlined in resolution A.901(21) entitled IMO and technical co-operation in the 2000s adopted by the IMO Assembly in 1999 and which remains valid today. The ITCP s key objective and mission statement reads: Maritime capacity-building, as a major contributor towards ensuring safer shipping and cleaner oceans To assist developing countries by contributing to the enhancement of their capacity to comply with international rules and standards relating to maritime safety and the prevention and control of marine pollution, giving priority to technical assistance programmes which focus on human resources development and institutional capacity-building. Legislative authority and mandate 84 IMO s mandate or role in technical co-operation implementation is derived from stated decisions, recommendations and requests at four levels: At the organizational level: These include legal commitments arising from the IMO Convention, Assembly resolutions and decisions of IMO governing bodies, whereby Member States have given a clear indication that an essential component of IMO s mandate is to promote technical co-operation. At the regulatory level: Contracting parties and States develop commitments through the adoption of IMO conventions, diplomatic conference resolutions and other instruments which incorporate provisions for technical co-operation.
Page 17 At the UN level: In parallel to the obligations derived from IMO instruments and regulations, several global conventions and action plans including relevant UN General Assembly resolutions, United Nations Convention on the Law of the Sea (UNCLOS) and United Nations Conference on Environment and Development (UNCED Agenda 21) provide a legal or policy framework for the delivery of technical co-operation on cross-sectoral aspects of maritime safety and Marine environment protection. IMO s support for the MDGs is mandated at the UN level. At the regional level: Regional conventions and action plans adopted by Member States through their regional bodies also recognize IMO s role, its technical expertise and its comparative advantage in delivering technical assistance. Policy framework 85 IMO has, over the years, reshaped its concept of technical co-operation in response to a number of external factors, including the restructuring of the United Nations Development Programme (UNDP). Services are provided regionally through various partnership arrangements. 86 Within the above policy framework, a division of shared responsibility has been established and this is provided under the following separate headings: role of the IMO Secretariat; role of recipient governments; role of donors; and role of IMO bodies. 87 IMO s technical co-operation assistance is, in turn, governed by a number of key principles: ownership of the project development and implementation process rests with the recipient countries themselves; IMO s regulatory priorities are systematically integrated into the programme building process; the ITCP promotes the development of human and institutional resources in the maritime sector; the ITCP promotes regional collaboration and technical co-operation among developing countries (TCDC); IMO builds partnerships with governments, industry and regional organizations, to assist in the funding and execution of programmes; IMO seeks to mobilize regional expertise and resources; the ITCP is coordinated with other development aid programmes in the maritime field, to maximize the benefits of combined efforts and resources; and
Page 18 Strategic plan IMO ensures that, through monitoring systems and impact assessment exercises, lessons learned are transferred back to the programme-building process. 88 The Organization s Strategic Plan for the period 2004-2010 (Assembly resolution A.944(23)) builds on the past strategies, particularly those in relation to technical co-operation. It recognizes the importance of capacity-building towards ensuring universal and uniform application of IMO instruments and notes that IMO s ITCP is crucial in helping developing countries implement IMO instruments for safer and more secure shipping and enhanced environmental protection. The importance of the ITCP is further increased with every new instrument adopted by the IMO; this generates concerns about the capacity of IMO to meet the growing needs of developing countries for technical assistance and, in particular, the long term financial sustainability of the ITCP. 89 According to the strategic plan, in the future IMO will strengthen its capacity-building programmes through the ITCP, and will continue to focus on: developing capacity-building partnerships with governments, organizations and industry; ensuring the long-term sustainability of the ITCP; meeting the emerging needs of its developing Member States; and improving the delivery, utilization and effectiveness of its technical co-operation programmes. THE IMPACT ASSESSMENT EXERCISE Objectives of the exercise 90 While its overall objective has remained unchanged over the years, the ITCP has undergone a comprehensive process of reform and rationalization, led by IMO s TCC. The reforms were introduced with the following goals in mind: improved coherence with IMO s technical objectives and priorities; greater responsiveness to the needs of the beneficiary countries; and simplified but more effective processes of programme-building, execution, monitoring and assessment. 91 Among the reforms introduced was the organization of periodic assessments of the ITCP s impact on beneficiary countries (i.e. impact assessment exercises or IAEs). This was decided at TC 47, in June 1999 and, since the beginning of the biennium, such assessments have been organized by the IMO Secretariat every four years.
Page 19 92 The IAEs cover the ITCP for the previous two bienniums, including in particular the TC Fund programmes for the same periods. Their purpose is to measure the effectiveness of the IMO technical assistance received by developing countries in building up their capacities for an effective implementation and enforcement of global maritime standards; or, in other words, to measure the fulfilment of the ITCP s mission statement. 93 Based on such criteria, the team of consultants addressed a series of general and specific issues, the results of which are presented in this document. Methodology and choice of focus areas for the IAE 94 The present IAE was organized in autumn 2007 and concentrated on the technical assistance delivered through the ITCP for two bienniums, namely 2004-2005 and 2006-2007. 95 The IAE was coordinated by IMO s TCD and the Member State Audit and Internal Oversight Section in the Office of the Secretary-General. It was carried out by a team of independent consultants familiar with IMO s work, with experience in technical co-operation and impact assessment activities. The team leader designated by IMO from among the appointed consultants was Fred Doll. 96 It should be borne in mind that the IAE could only examine a limited, but relevant, sample of ITCP activities from which general conclusions and recommendations could be extrapolated. Following the methodology approved by the TCC for the IAEs of 2000 and 2004, four topics were selected to be the subjects of this exercise in 2007. 97 To this end, the IMO Secretariat identified three thematic areas that are directly related to IMO s regulatory work, as well as one area reflecting the high UN-wide priority given to the achieving the MDGs. The selection of topics took into account, inter alia, (a) their relevance to IMO s technical objectives and to the priority needs of developing countries; (b) their applicability to most developing regions; and (c) the incidence of related activities within the ITCP. These topics are: support for the establishment and strengthening of national maritime administrations; marine pollution prevention, preparedness and response; maritime security; and national actions to achieve the Millennium Development Goals (MDGs). 98 In assessing the impact of the ITCP programmes falling within the four topics on the beneficiary countries, the consultants evaluated the assistance actually delivered and the results achieved on the recipient countries, on the basis of various criteria, including relevance, effectiveness, efficiency, sustainability and impact. 99 Building on recommendations and successes of earlier IAEs, the current IAE is focusing on results achieved by ITCP activities. As a result of a recommendation of the 2004 IAE, effectiveness and efficiency of delivery is tracked on an ongoing basis by the IMO s Member State Audit and Internal Oversight Section upon completion of an activity. The logical next step, therefore, is looking at results achieved in the thematic areas, to see what was achieved and why.