Restricted Distribution IOC/EC-XXXVII/2 Annex 14 Paris, 13 April 2004 Original: English INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) Thirty-seventh Session of the Executive Council Paris, 23 29 June 2004 Agenda Item: 4.7.1 A STRATEGY FOR CAPACITY BUILDING This strategy document addresses the issues of building capacity to continuously increase our understanding of the ocean and to use this knowledge wisely. Draft Resolution EC-XXXVII.(4.7.1) included in the Action Paper (document IOC/EC-XXXVII/2) (SC-2004/CONF.201/CLD.9)
1. INTRODUCTION 1 Individuals, organisations and governments all benefit from capacity building which we define as the sharing of knowledge, information and technology allowing our societies to grow and develop in a sustainable manner. Of concern to the IOC is the growing discrepancy between the capacity of countries to understand and use the ocean sustainably. 2 The ocean is unique in its magnitude, its contribution to the planetary life support system and its position as a global commons, and this global nature of the ocean makes it possible to enact international agreements [the UN Convention on the Law of the Sea was a precursor and can serve as a model in tackling other global intergovernmental issues]. 3 We need to address capacity building along with partners having the same vision and in a manner that has the long-term goal to make sustainable capacity building an issue for local communities to pursue. This strategy document addresses the issues of building capacity to continuously increase our understanding of the ocean and to use this knowledge wisely. 2. DEFINING A MISSION FOR CAPACITY BUILDING 4 The plan proposes to continue present CB activities, and initiate new ones under a strategy that gives priority to coastal ocean issues, and initiates the building of regional competence to deliver products and modelling advice useful to stakeholders. 5 Building on the IOC mission statement and synthesising the various resolutions of the Assembly on Capacity Building, we define a TEMA mission statement: To facilitate and catalyse capacity building partnerships and collaborations, within and between Member States and relevant bodies, so that sustained benefits are realized through informed governance and management of the ocean and coasts. 3. COMPARATIVE ADVANTAGES OF THE IOC 3.1 IOC the UN voice on Ocean science 6 The Intergovernmental Oceanographic Commission (IOC) of UNESCO has evolved over time and changed the focus of its programmes to remain relevant in a rapidly changing world. The IOC is the UN focal point for Ocean Science and Ocean Services, and is recognized by the United Nations Convention on the Law of the Sea (UNCLOS) as a competent organization in the field of marine scientific research. This is a unique advantage, giving the IOC great responsibility and an authority that can be judiciously used in implementing the needs and directives of its constituency. 3.2 IOC and the Regions 7 IOC regional sub-commissions, project offices and committees are formed with the approval of the Assembly and according to the wishes of the regions. They are vehicles through which the differing needs of each region can be addressed within the context of the Assembly s guidelines.
Page 2 The functioning of the regional sub-commissions, project offices and committees should be further empowered to act as regional nodes through which IOC interventions, actions plans, and proposals for funding, would be channelled. This will need additional resources and integrated management plans. Maximum advantage should be taken of other UN regional organisations, where these can add efficiency and effectiveness to ocean capacity building efforts. This is in line with the present UNESCO drive to empower regional offices. 3.3 UNESCO-IOC Chairs 8 An important advantage for the IOC resides in the UNESCO Chairs [IOC and Coastal Zones and Small Islands (CSI)] established at a number of universities in geographically distributed developing countries. These positions have enabled some universities to leverage collaborations, education, and training programmes that have had a multiplier effect. More such chairs need to be created. It is recommended that the IOC and CSI work in partnership with UNESCO to identify additional opportunities to create more Chairs. It is also necessary that the Chairs recognise the value of the IOC regional organisations and work with the IOC regional offices. They need to be empowered to promote better synergy between research institutes, operational oceanography activities and marine industries. This will need additional resources and integrated management plans. 3.4 IOC Partners 9 The IOC does not work alone in the ocean. There are numerous institutional, international and intergovernmental partners that can aid in capacity building efforts. Two partners that merit special attention are the World Meteorological Organization [WMO] and the Committee on Earth Observing Systems [CEOS]. The WMO has been a partner of IOC and many major active joint programmes have resulted from this collaboration. The IOC can also emulate WMO initiatives for capacity building, such as the Voluntary Cooperation Programme. The CEOS also has several initiatives that the IOC could work in closer collaboration with, for example the programme on establishing real time satellite data reception stations. Both WMO and CEOS activities are eminently suited for capacity building in GOOS activities and the IOC will forge closer linkages with the capacity building programmes of these organisations so that duplication is avoided and resources spread more effectively. 10 The GOOS Regional Alliances are important regional bodies that have been established with support from Member States. IOC Capacity Building needs to work in close collaboration with these organisations to build capacity building activities that deal with science applications and operational products. 11 As new challenges arise fresh partnerships in capacity building will be formed, and old ones renegotiated. New partnerships with non-governmental organisations can inject new ideas and energy, create new constituencies and promote new approaches. The Global Marine Assessment [GMA] programme, still in the initial stages of definition, could become the next major programme requiring the participation of Member States, and could become a vehicle like GOOS through which future CB activities will be channelled. Another emerging activity in
Page 3 which IOC is actively participating, is the Group on Earth Observations, set up by Earth Observations Summit, and charged with the responsibility of drawing up plans for comprehensive earth observations from land and space. GEO has identified capacity building as a major initiative for involvement of the global community in ensuring fulfilment of its task. In addition the Continental Shelf Delineation Programme currently being undertaken by UNEP (through GRID Arendal) calls for IOC participation and represents an opportunity for significant capacity building activities within the delineation of the legal continental shelf. The IOC will work with its partners to raise funds with contributions from governments, individuals, organisations, and industries. Member States will be urged to contribute resources to the IOC Trust Fund and from the resources of their own national assistance programmes. They will also be asked to use their influence with international funding agencies. 4. COORDINATING REGIONAL NEEDS 12 The IOC is well placed to play a key role in regional activities by focussing and channelling all capacity building activities through its regional arms. Any strategy proposed should have country and region specific elements, since different countries and regions have different activity levels, structures and capabilities, and need to be addressed accordingly. This will require funding to provide increased resources, direction and interaction. 13 The strategy will focus TEMA activities principally on the coastal projects of the approved IOC Main Lines of Action Ocean Sciences, Operational Observing Systems, Ocean Services, and Data and Information Exchange. 14 Coastal areas have the advantage of demonstrating to decision-makers, more immediately, the benefits of investing in ocean sciences. The coastal zone, as the interface between land and ocean, is the most productive marine area, the site of most human activities and is most vulnerable to impacts. The feedback from misuse and mismanagement is usually rapid and obvious. The strategy allows for a greater thrust to coastal development programmes, while recognising that the open ocean is an integral part of coastal zone processes and of great importance over the longer term. The strategy will work to raise capacity in countries and in regions in a complementary manner. Efforts within countries will focus on creating local university-institute-industry networks to service local coastal users, providing a framework for heads of organisations to interact, and by networking organisations so that they can participate in major externally funded coastal projects. Efforts within regions will focus on holding regular workshops to determine regional needs, working with the region on proposals for external funding support, working with relevant institutes to enhance capacity and contribute to establishing networks of professional scientists and managers to create operational products for customers.
Page 4 5. TRAINING, EDUCATION AND MUTUAL ASSISTANCE [TEMA] ACTIVITIES 15 Training, education and mutual assistance are integral components of capacity building and are treated as an entity. The separation here is only to reflect the activities and is not indicative of the concept. 5.1 Training 16 A major effort in terms of staff time and funds is directed towards this activity, both through individual IOC efforts, and with partners. Some training programmes have follow-up and mentoring through distance learning programmes, whilst others are intensive hands-on workshops at a professional level. The strategy when recommending training will aim to (i) ensure that training is in line with the priorities of recipient institutes, (ii) create critical numbers of trained manpower in a discipline and within a geographic area, and (iii) follow-up and monitor the effectiveness of the training. 5.2 Education 17 The strategy proposes greater emphasis on education acknowledging its longer-term impact. This is an activity in which IOC s parent body UNESCO is a major contributor, with responsibilities that range from literacy, public awareness, empowerment of women, through to graduate and post-graduate studies. Capacity building at this scale must be tackled in order to include all layers of society in the use of the ocean, and importantly for IOC, to create an environment through awareness raising that makes Capacity Building a self-directed and continuous process. The IOC will explore additional ways to partner with UNESCO for ocean related educational needs. The limited IOC funds, by themselves, are inadequate to cover the many requests for educational assistance and only allow 2 ~ 5 scholars worldwide to be supported annually. However, education through research is the most enduring base on which long-term capacity building survives, and will be supported accordingly. Several new initiatives are proposed: Increasing the number of UNESCO-IOC Chairs and empowering them with resources and new responsibilities, Establishing an IOC Eminent Visiting Researchers Programme in which marine scientists of repute are encouraged to spend sabbatical research time at an overseas organisation, collaborating with local scholars on local issues. Analysing the excellent Training Through Research programme, presently focussed on the open ocean, to ascertain whether it can be translated into a successful coastal model. To support these research initiatives, a cost effective strategy for formal education will be investigated. This will include examining ways to partner the IOI in the Virtual University project to create an international version of the United Kingdom s Open University programme on marine science. 5.3 Mutual Assistance 18 Mutual Assistance through bilateral co-operation remains a fundamental element of IOC Capacity Building. Member States will continue to forge mutual alliances and IOC will
Page 5 encourage these and endeavour to facilitate their involvement in programmes of high priority in the ocean and coastal environments. 19 The UNCLOS Articles, statements from Agenda 21 Chapter 17 and endorsed at WSSD, together with IOC resolutions, have directed and supported technology transfer to developing countries. Governments must accept the responsibilities imposed by the Conventions they ratify and the resolutions they adopt. The transfer of technology encompasses sharing of knowledge, technical and operational expertise, equipment and facilities. Countries need to address both basic low technology needs as well as utilizing new methods and instruments that are developed as low cost alternatives to expensive oceanographic vessels. The involvement of private industry is considered essential in affecting technology transfer, and could be achieved using either government support or their own interest in emerging markets as incentives. It is recommended that a study be carried out on ways to create a mutual assistance fund for the ocean that would give substance to the Articles of the UNCLOS. 20 Mutual Assistance also extends to other areas, notably through the Voluntary Cooperation Programme. The WMO has a vibrant VCP that the IOC may profitably emulate where those countries being assisted in Capacity building have the opportunity to contribute to global programmes through participation in data collection. This participation is usually at nominal costs to them, but is an important component of a larger activity. It is a programme through which countries can rapidly and directly participate in global efforts to understand the ocean and is also an important element in raising Capacity Building confidence. 6. A STRATEGY FOR IMPLEMENTATION Introduction 21 Having introduced a capacity building strategy, an implementation plan is required. Points for discussion in designing an Implementation Plan are detailed below. 22 The implementation process begins with improved coordination of the IOC offices to ensure that a focused strategic plan is being pursued. Regular workshops and discussions with countries and regions will be necessary to begin to build a database of the strengths and skills gaps in the region. Initiatives in education, research, training and technology transfer will be addressed, followed by initiatives in networking the heads of academic-research-industry organisations within and outside a country. Capacities in countries need to be built, where possible, through participation in major country projects. The building of country capabilities should lead to recognition of the advantages of regional networking in education, training, science, operational products and funding efforts. The final goal is to create financially autonomous Regional Resources Hubs where scientists from the region can jointly work to create continuously improved products for users. Spin-offs from such high-technology centres would additionally benefit the organisations in the region. Underlying these initiatives is the need to create awareness amongst various layers of society, and the need for concerted fund raising. 23 The capacity building strategy can be viewed as building towards GOOS and beyond. TEMA involves steps that build capacity to collect and analyse marine data, and then translate data, information and knowledge into products useful for society. However, the strategy also looks at the long-term, with a focus on education, thereby ensuring that products will keep pace with
Page 6 unfolding knowledge and new user requirements. The Coastal GOOS operational module will be used to increase capacity building focus on the coastal zone. 24 These proposals need to be further developed in the Implementation Plan. In cases where insufficient information or experience is available, a review or pilot study should be commissioned to assess the viability of the proposal as a capacity building activity. [In order that capacity building activities continue uninterrupted during this period of change, the present resources and partnership arrangements will not be disturbed]. 25 The Implementation Plan will include a section on: [i] Vitalising Regional Structures 26 Regional bodies need to be viewed by Member States as the primary vehicles for their capacity building. They therefore need to be responsive and proactive in regional issues, by arranging regular workshops to discuss work plans, within the context of IOC programmes, partnering members in approaching funding agencies, creating networks within the present framework, and seeking all ways to effectively use IOC resources for their regions. [ii] Information and communications 27 One of the first tasks in a focused strategy will be creation of a website that will collate all the various information on capacity building from, and associated with, IOC programmes. The site should have information on many items of interest to the community. It should also serve as a virtual office for IOC regional bodies to exchange information and ideas. [iii] Education, research, training and technology transfer Distance education and International courses 28 A cost effective strategy for formal education will be investigated. This will include examining ways to partner the IOI in the Virtual University project to create an international version of the United Kingdom s Open University programme on marine science. 29 The IOC too has its own successful Harmful Algal Bloom Taxonomy Training Programme. The generic elements of this programme need to be replicated on-line distance teaching with attending instructors, summer schools for practical training, and expert assistance for queries. 30 Some academic organisations are already responding to the challenge of sustained capacity building by organising specialist courses in their countries to meet special needs. These universities need to be encouraged and their successes examined to build upon and replicate. Research initiatives 31 The successful IOC Training-Through-Research programme is an example of sustained capacity building. The ocean cruises bring together young and experienced marine scientists on a research vessel to work on significant scientific problems. Young researchers gain experience in experimental design, scientific methods and the hands on use of equipment and are able to participate in follow up shore-based studies. The programme has produced a large number of publications in peer-reviewed journals. The successful elements of the programme need to be identified and used to design a coastal ocean model.
Page 7 32 The strategy also proposes an IOC Eminent Visiting Researchers Programme that needs examination and detailing. In this scheme it is envisaged that an eminent researcher would spend sabbatical time pursuing research in a region requiring capacity building. Adequate resources need to be made available and local scientists need to be associated in the research programme. The educational arm of UNESCO will also be important element in this endeavour. 33 The UNESCO-IOC Chairs need to be empowered with resources and new mandates to work within the scope of the IOC programmes. They also need to expand attention beyond education to research and industry. An IOC Innovative Research Scheme should be one of the tools to be used by the Chair in the education through research programme. Training 34 Training programmes in the use of models, the analysis of remotely sensed data, the creation of operational products, and the use of GIS applications will be encouraged. In terms of training, several excellent examples currently exist or are just being initiated, such as the IOCCG regular training series and the first GODAE training workshop to be conducted later in 2004. Training initiatives with the Partners in Observation of the Global Ocean [POGO] can also be examined for expansion to include exchange programmes for heads of organisations. Technology Transfer 35 Within the context of Agenda 21, technology transfer of marine instrumentation for developing countries has not been very successful. We need to address this in ways that benefit both users and manufacturers, enrolling instrumentation manufacturers and marine information service providers as active partners in the transfer of technology. Countries in the regions need to consider the acquisition of low-cost technologies that have proved reliable and accurate in the field as well as emerging technologies (such as the new generation AUVs, as partial replacements to expensive ships, especially in the coastal zone). [iv] Networking within countries University - research institute - industry partnerships 36 These sectors are collectively responsible for creating educated manpower, creating new knowledge, and creating wealth. Synergising their strengths will create a force that can successfully address coastal issues. The IOC regional offices, directors of research institutes, and an empowered UNESCO-IOC Chair in the region, need to work together in this endeavour, involving relevant industry partners as needed. Capacity Building through projects of national importance 37 It often happens that capacity building programmes lack sustainability for a variety of reasons (e.g. they have a low national priority, no long-term governmental commitment, and lose support when funding levels decrease). An opportunity exists to meet the criteria for sustainable capacity building through participation in externally funded projects where the government itself is an implementing agency. In such cases the national priority is clearly high, and the government would have a strong long-term commitment (as major projects generally have long time scales, with attendant funding commitments). The IOC regional offices must seek ways to synergise the university-institute-industry combination to provide consultancy services in these projects.
Page 8 [v] Augmenting organisations to create operational products 38 As local organisations raise their capabilities to deal with local issues, open ocean processes that are better tackled on a regional scale will also need to be factored in. IOC regional offices can assist organisations seek funds to augment their facilities to deal with these regional scale problems. These facilities should have access to real time satellite data and high-end computational power. These centres [here called Regional Resource Hubs] need to be accessible to scientists in the region, and would be a showcase demonstrating to decision makers that ocean science could deliver products that were of tangible worth. Furthermore, these Regional Resource Hubs could attract scientists who have left the region, to work for short sabbatical periods. The hubs would be structured to be financially autonomous, and in the context of the GOOS philosophy. They could also disseminate partly processed data products with lower bandwidth requirements, to catalyse universities and other research facilities in the area. [vi] Catalysing smaller regional organizations 39 Capacity Building must also extend to organizations beyond a few high technology centres. The IOC regional offices need to work with small regional organizations and form a cooperative network. There are several issues to consider in this context relating to satellite data dissemination, sea-truth validation sites, and technology transfer. Satellite data dissemination 40 Reception of satellite data and dissemination of products receives emphasis in the strategy. Such data streams, along with model results, are important catalysers for research organizations situated in data sparse regions. IOC regional offices need to meet the needs of its Member States, at a minimum for near real-time and partially processed data. Sea-truth validation sites 41 Calibration and validation of satellite data presents an opportunity to train and educate students in traditional methodologies. The sea-truth data could be selected from special sites to serve multiple purposes. [vii] Awareness raising 42 Creating awareness via community-based outreach programmes is as important as the more formal capacity building process. It requires equal attention, especially if we are to succeed in sustainable capacity building - that is ultimately taken by countries as their task. A general level of societal awareness of the knowledge that exists, as well as the gaps in that knowledge will create a positive environment and provide the impetus needed to support capacity building efforts at the professional level. 43 Awareness starts at school with enthusiastic teachers and interesting resource material. Local science museums, aquaria and the media (documentary makers, such as the National Geographic, are providing programmes) can also play important roles in this process. The IOC must find ways to partner such organisations in order to raise the level of awareness in the community. 44 Strong political leadership and an effective bureaucracy at a national level, and creative determined leadership at institutional levels can help initiate or accelerate capacity building ventures. Producing predictive models that help decision makers will encourage political leaders to support capacity building activities.
Page 9 [viii] Resources 45 Recognising that science is an evolving, creative, and dynamic process the IOC Executive Secretary needs the resources to follow opportunities and react to those situations that occur inter-sessionally, so that the IOC is always in a position to maintain leadership in matters of the ocean and its sustainable use. 46 The IOC can further enhance its effectiveness by enrolling persons of eminence, influential scientists, scientific managers, donors and decision makers in an informal Friends of IOC programme. This informal group can assist the Executive Secretary inter-sessionally, in furthering the mission of the IOC both through advisories and philanthropic contributions. 47 Additionally the IOC needs to work with its partners to augment the IOC Trust Funds with contributions from governments, individuals, organisations, and industries. Member States need to contribute from the resources of their own national assistance programmes, and also use their influence with international funding agencies. 48 A study is further recommended on the ways to create a mutual assistance fund for the ocean that would give substance to the Articles of the UNCLOS.