A STRATEGY AND FRAMEWORK PLAN FOR TEMA-CAPACITY BUILDING

Transcription

1 Restricted distribution IOC/TEMA-CB-II/3 Paris, 3 June 1997 English only INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) A STRATEGY AND FRAMEWORK PLAN FOR TEMA-CAPACITY BUILDING Summary Report of the Second Meeting of the TEMA Group of Experts for Capacity Building Bremen, Germany, May 1997

2 table of contents, page (i) Table of contents 1. OPENING 1 2. ADMINISTRATIVE ARRANGEMENTS ADOPTION OF THE AGENDA DESIGNATION OF RAPPORTEUR CONDUCT OF THE SESSION, TIMETABLE AND DOCUMENTATION 1 3. REPORT ON STATUS OF TEMA ACTIVITIES 1 4. ON-GOING STRATEGY FOR THE DEVELOPMENT OF REGIONAL AND SUB-REGIONAL CO-ORDINATION AND THEMATIC NETWORKING 2 5. DISCUSSION OF TEMA FRAMEWORK PLAN FOR CAPACITY-BUILDING ROLE OF REGIONAL AND SUB-REGIONAL IOC CO-ORDINATION BODIES, INCLUDING EFFICIENT WAYS TO INTERACT WITH DESIGNATED TEMA FOCAL POINTS ROLE OF IOC RESEARCH PROGRAMMES AND SERVICES AND THEIR TEMA FOCAL POINTS ELEMENTS OF THE STRATEGY TO ATTRACT FINANCIAL AND OTHER FORMS OF SUPPORT (INPUTS BY INTERNATIONAL AND NATIONAL FUNDING AGENCIES) PARTNERSHIP WITH OTHER CAPACITY-BUILDING PROGRAMMES IN MARINE SCIENCES AND TECHNOLOGY AND SERVICES TEMA-CAPACITY BUILDING IN THE FUTURE ORGANIZATION OF THE IOC SECRETARIAT. 5 i. TEMA policy and strategies: the past 15 years 5 ii. Conceptual framework for IOC TEMA-Capacity Building 5 iii. Elements for the organization, implementation and evaluation of TEMA-Capacity Building activities 7 iv. Communication and co-ordination within IOC's TEMA programme 7 v. Revised membership for the Group of Experts WORK PLAN AND ACTION PLAN 8 i. TEMA framework plan planning process 8 ii. Steps in implementing framework plan 9 iii. Time requirements for the development of framework plan 9 iv. Responsibilities of IOC officers, regional subsidiary body officers and designated TEMA Focal Points 9 v. Functions of various organizational components 10 vi. Funding strategy 11 page

3 table of contents, page (ii) 6. ON-GOING EXERCISE TO DEVELOP A CLEARING-HOUSE REFERENCE SYSTEM ON MARINE SCIENCE AND TECHNOLOGY TRAINING OPPORTUNITIES AWARENESS BUILDING ELECTION OF OFFICERS OF THE GROUP OF EXPERTS PLACE AND DATES OF THE 3rd MEETING ADOPTION OF THE SUMMARY REPORT CLOSURE 13 ANNEXES I AGENDA II REFERENCES CONSIDERED ALONG THE DISCUSSION OF AGENDA ITEM 5.5 III IV V VI FUNCTIONAL ORGANIGRAMME OF TEMA FRAMEWORK PLANNING PROCESS RELATIONSHIP OF AD HOC PANEL ON GOOS CAPACITY-BUILDING TO TEMA AND SUGGESTED DRAFT TERMS OF REFERENCE FOR THE AD HOC PANEL FOR GOOS CAPACITY- BUILDING LIST OF PARTICIPANTS LIST OF ACRONYMS AND ABBREVIATIONS

4 page 1 1. OPENING Dr. Izabel Gurgel, Chairperson of the Group of Experts, opened the meeting at 14:00 hr, Monday 12 May 1997, at the Zentrum für Marine Tropenökologie, Bremen. She described the general structure of the agenda, organized in two main parts: (i) the discussion of different information documents; and (ii) an action-oriented second part mainly covered by item 5 (items 5.5 -TEMA-CAPACITY BUILDING IN THE FUTURE ORGANIZATION OF THE IOC SECRETARIAT; AND, 5.6 -WORK PLAN AND ACTION PLAN, in particular). Prof. Gotthilf Hempel, Director of the Zentrum welcomed the Group of Experts on behalf the institution hosting the meeting and described briefly the Centre for Marine Tropical Ecology. He pointed out the international character of the research and training activities undertaken in the Centre, as an effective contribution to the TEMA-Capacity Building Programme of IOC. 2. ADMINISTRATIVE ARRANGEMENTS 2.1 ADOPTION OF THE AGENDA The Provisional Agenda was adopted and is enclosed as Annex I. 2.2 DESIGNATION OF RAPPORTEUR The Group of Experts nominated Prof. M. B. Collins as Rapporteur for the session. 2.3 CONDUCT OF THE SESSION, TIMETABLE AND DOCUMENTATION Dr. F. Robles, IOC Senior Assistant Secretary for TEMA-Capacity Building and Technical Secretary for the meeting, outlined logistical arrangements and described the structure and general content of the working programme. Reference material available for the meeting was reviewed. The List of Participants is attached as Annex V A List of Acronyms and Abbreviations is enclosed as Annex VI 3. REPORT ON STATUS OF TEMA ACTIVITIES The Technical Secretary provided an overview to this agenda item referring to document IOC/TEMA-CB-II/INF-2 "Status of Capacity-Building activities in IOC". In his review, he elaborated on the following elements: a) Legal framework (particularly with regards to the relevant clauses of UNCLOS and sections of Agenda 21- Chapter 17 of UNCED, pertinent to TEMA-Capacity Building); b) Diagnosis: (i) (ii) (iii) (iv) internal organizational inadequacies (including interaction and co-ordination in TEMA-Capacity Building matters); lack of adequate human, financial and communication resources; insufficient Member States awareness and support; and shortcomings in intergovernmental/international co-operation (national, regional, UN system, international both GO and NGO); c) Present TEMA-Capacity Building strategy (referring, in particular, to doc IOC/INF-999, endorsed by the IOC Governing Bodies); d) Main on-going activities in TEMA-Capacity Building; and, e) Conclusions

5 page 2 He emphasized that, for the Group of Experts to expand the on-going strategy and develop an Action Plan, it would be essential to take into account elements such as: strengthening medium-long term capabilities at the national and regional levels; develop networking or consortia of academic and research institutions at the regional level (including common curricula, degrees, etc.); and, using IOC regional structures or partners in this process. Association with TEMA elements of relevant research and services activities of WMO, management activities of FAO and IMO, and environmental issues organized through UNEP, should also be part of a viable strategy. Such an approach was particularly important in relation to preparation of regional packages for funding agencies and donors. 4. ON-GOING STRATEGY FOR THE DEVELOPMENT OF REGIONAL AND SUB-REGIONAL CO- ORDINATION AND THEMATIC NETWORKING. The Technical Secretary and Prof. M. Vigneaux, (Chairman IOC Technical Committee for TEMA and President of the European Federation of Networks - Council of Europe) introduced this Agenda item referring to docs: IOC/INF (TEMA Workshop on Management of Oceanographic Systems in the Eastern Pacific); IOC/TEMA-CB- II/INF-3 (TEMA Pluridisciplinary Workshop on Wider Caribbean Networks Related to Integrated Coastal Area Management); and, IOC/TEMA-CB-II/INF-4 (TEMA Workshop on Management of Oceanographic Systems in the South Western Atlantic). Other TEMA related initiatives for the Mediterranean basin were also described. The main activities relating to the above pilot exercises, undertaken within the framework of the Marine Science and Technologies axis of the standing UNESCO(IOC) and EU(FER) agreement, include those listed below: a. Follow-up of the Workshop for the Eastern Pacific (effected in Concepción, Chile, 9-16 April 1996). Feasibility studies for the five thematic networks proposed during the workshop, including priority project networks, have been completed. b. TEMA Pluridisciplinary Workshop on Wider Caribbean Networks (Cartagena, Colombia, 2-7 March 1998). The workshop is aimed to strengthening TEMA elements of the Integrated Coastal Area Management topics. It is mainly supported through IOC, EU(FER), SIDA/SAREC of Sweden, ICI-AECI of Spain, other bilateral European agencies, and major Colombian institutions. It will be organized as a contribution, within the framework of the '98 International Year of the Ocean. c. TEMA Workshop on the South-Western Atlantic (Rio Grande do Sul, Brazil, 3-10 November 1997). Following a format similar to the Workshop for the Eastern Pacific, it will encompass institutions and experts from Colombia in the North, down to Argentina in the South. It will be mainly supported through EU(FER), IOC, major Brazilian institutions, other UN agencies, bi-lateral assistance from European countries, ASOS and MERCOSUR. Results and planning for the three events above, will be reviewed in an overall EU(FER)-UNESCO(IOC) evaluation conference to be held in Madrid, Spain, December The Group of Experts noted with satisfaction this innovative approach to TEMA-Capacity Building networking and recommended to examine possibilities to extend similar approaches to other regional subsidiary bodies or partners of the Commission. 5. DISCUSSION OF TEMA FRAMEWORK PLAN FOR CAPACITY-BUILDING. Lic. Guillermo García-Montero (First Vice-Chairman of the Commission, in charge of TEMA matters in the IOC Bureau of Officers) presented an overall introduction to this agenda item through doc. IOC/TEMA-CB-II/INF-5a (Elements for the Consideration of a TEMA Framework for Capacity-Building). IOC/TEMA-CB-II/3 page ROLE OF REGIONAL AND SUB-REGIONAL IOC CO-ORDINATION BODIES, INCLUDING EFFICIENT WAYS TO INTERACT WITH DESIGNATED TEMA FOCAL POINTS

6 5.2 ROLE OF IOC RESEARCH PROGRAMMES AND SERVICES AND THEIR TEMA FOCAL POINTS As an introduction to these two related agenda items, the Technical Secretariat presented the compilation presented in doc. IOC/TEMA-CB-II/INF-5b (TEMA related persons and/or Chairpersons at Regional and Technical bodies of the IOC). Results from a preliminary survey on TEMA activities and requirements addressed to "TEMA Focal Points" and "IOC Action Addresses", were also introduced. The Group of Experts noted the effort placed upon identifying TEMA-related persons at the Commission's Technical and Regional Subsidiary Bodies. However, the Group was concerned with the evidence that many of these bodies have not yet designated TEMA related persons or Focal Points. This would be essential for the development of the Action Plan, described in item 5.6 (below). Regarding the review of document IOC/INF-1054 (Draft IOC Principles on Transfer of Marine Technology), the Group considered that, at present, its proposals are not realistic and, therefore, possibly not very useful. However, the subject in its relation to the application of relevant clauses of UNCLOS, deserves further and thoroughly study. Dr. J. Stel, Vice-Chairperson of the Group of Experts and Co-ordinator of the ad hoc Panel on GOOS Capacity Building, introduced document IOC/TEMA-CB-II/INF-8a (GOOS Capacity Building and Regional Development), and, Mr. W. Erb of the IOC Secretariat, document IOC/TEMA-CB-II/INF-8b (TEMA Framework Plan Planning Process and Relationship to ad hoc Panel on GOOS Capacity-Building). Elements of these two documents were identified as important inputs to Sessional Working Groups, established to develop texts inserted within agenda Items 5.5 and 5.6 (below). 5.3 ELEMENTS OF THE STRATEGY TO ATTRACT FINANCIAL AND OTHER FORMS OF SUPPORT (INPUTS BY INTERNATIONAL AND NATIONAL FUNDING AGENCIES) The Group of Experts took note of doc. IOC/TEMA-CB-II/INF-9 (International Marine Science Funding Guide). The Group considered this compilation as a very preliminary effort and agreed that further development of the Guide should be essential. The work of its author (Ms Karin Gardés) in developing the Guide, was acknowledged. Therefore, this agenda item was developed mainly by Dr. L. Hinds (CIDA, Canada). A summary of his recommendations is listed below: There are a number of mechanisms that are available, through which funding for the implementation of TEMA- Capacity Building related activities can be realized. Mechanism Source i. Core funding UNESCO ii. Extra-budgetary Sources other than UNESCO iii. Trust Funds International Funding Institutions (IFIs), bilateral agencies, multilateral institutions, sovereign states iv. Contributions Private sector, individuals, institutions, bilateral donors v. Foundations Individuals and/or institutions i. Core funding (seed money) from UNESCO, can be targeted for secretariat services, scientific/technical personnel for planning, monitoring and evaluation of programmes and projects. ii. Extra-budgetary funds normally represent resources for the implementation of non-core IOC activities.

7 page 4 iii. Trust Funds can be utilized for all operational activities associated with the programmes/projects (global, regional/sub-regional and national). Sources for trust funds include: IFIs, bilateral agencies, multilateral organizations (intergovernmental and non-governmental). Trust funds will increasingly have to be managed according to donor, rather than international, conditions. iv. Contributions in cash or in kind can be acquired from a number of sources: the private sector, individuals, institutions, bilateral donors and sovereign states. This source offers flexibility that is not available via trust fund mechanisms. For example, donors can make contributions to be used for recruitment of local or regional experts or support staff for programme/project implementation activities. This mechanism also facilitates the utilization of local currencies and payment of charges/fees at local rates. v. Foundations are mechanisms normally utilized for implementation of activities that require the long-term reassessment of budgets. Items i. to v. (above) can be used to build-up partnerships for implementation of programmes, involving IOC subsidiary bodies and indigenous (local) regional organizations. Therefore, TEMA resources are not designed to fund development of entire programmes/projects. Their role is more of a catalyst, to bring together Member States interested in ocean science and services. In this respect, a discussion is necessarily related to the future policy under which TEMA operates. The Group of Experts expressed its appreciation to this valuable advice provided by the CIDA expert, and recommended to take into consideration the above review, in conjunction with relevant elements of Items 5.5 and PARTNERSHIP WITH OTHER CAPACITY-BUILDING PROGRAMMES IN MARINE SCIENCES AND TECHNOLOGY AND SERVICES The Technical Secretary introduced a document (IOC/TEMA-CB-II/INF-10a) submitted by Ms. S. M. Vallejo, Programme Leader of the UN/DOALOS Train-Sea-Coast initiative. The Group of Experts noted that the Train-Sea- Coast Programme deals mainly with training elements related to legal and management issues of integrated coastal area management. To incorporate appropriate research elements in this context, it would be necessary to obtain additional information on these aspects of the Train-Sea-Coast Programme. Corresponding action is to be requested formally, through the Executive Secretary of IOC. Dr. J. Stel supplemented this agenda item by reviewing doc IOC/TEMA-CB-II/INF-10b (Floating University Facility - A position Paper). The concept of innovative Training Through Research (TTR) could be an important element of TEMA-Capacity Building as ship-board training. However, from the information available, the Floating University Facility would appear to be limited both in terms of broad oceanographic approach and international coverage. Generally, there is a growing effort within the oceanographic community to make available cruises for students and junior scientists of regions under investigation. Such individuals should take part in all stages of the expedition from the planning, through the sea-going activities, to the working up of data, results and publications. Examples of this approach include: the Snellius Expeditions of the Netherlands and Indonesia; the F. Nansen cruises of Norway with various developing states; the Joint Oceanographic Projects I and II, of Germany and Brazil; and the BENEFIT partnership programme of Angola, Namibia and South Africa, in co-operation with Norway and Germany. The Group of Experts recommended that the above considerations should be taken into account by the IOC Assembly when studying the potential extension of support and/or final incorporation of the TTR project in the framework of the present TEMA strategy and Action Plan, particularly as regards approaches to regional implementation.

8 page TEMA-CAPACITY BUILDING IN THE FUTURE ORGANIZATION OF THE IOC SECRETARIAT. The Group of Experts discussed this agenda item with reference to its mandate to further develop a strategy for TEMA-Capacity Building activities. The main supporting document was doc. IOC/TEMA-CB-II/INF-5a (Elements for the consideration of a TEMA framework for Capacity Building) prepared and introduced by Lic. G. García- Montero, First Vice-Chairman of IOC, in charge of TEMA matters. Principal elements reviewed are outlined below. i. TEMA Policy and Strategies: the past 15 years The evolution and development of TEMA has shown an increasing and permanent contradiction between policy, strategic planning and availability of financial resources. The TEMA programme has faced, during this period, changing circumstances and demands. Nevertheless, it has proved to be insufficient in coping with some important issues; namely: - evidence of its influence to the solution of Member States priorities, particularly developing countries; - weakness of IOC regional subsidiary bodies to determine TEMA priorities; - integration and co-ordination within UNESCO and other UN Agencies, programmes and multilateral funding agencies at the national, regional and global levels; - lack of enough relationships to other international funding mechanisms; and - enough staff devoted fully to TEMA at the IOC Secretariat. In searching for solutions and alternatives for the TEMA programme, the Executive Council and the Assembly have approved a number of resolutions, including those related to the implementation of the "UNESCO/IOC Comprehensive Plan for a Major Assistance Programme to Enhance the Marine Science Capabilities of Developing Countries" (approved by IOC in 1982 and endorsed by the General Conference of UNESCO in 1984) (see reference list of official documents reviewed in Annex II). All these documents/resolutions reiterate concepts, ideas, policies and strategies that basically do not differ from each other. Although all these documents address the necessary support for the development of national capabilities, they are focused mainly on participation in IOC global programmes. In this way, the objective of strengthening national capabilities to facilitate the achievement of Member States goals in ocean affairs has not be attained. Consequently, this has restricted their participation in international (regional and global) ocean programmes and services. Fifteen years after the signature of UNCLOS (1982) including its Resolution on the Development of National Marine Services, Technology and Ocean Services Infrastructures and three years after the entry (1994) of the Convention, very little progress has been achieved in the implementation of the measures recommended therein. ii. Conceptual framework for IOC TEMA-Capacity Building Developing and strengthening ocean research and services capabilities is not an undertaking for which a clear-cut process exists. However, a number of main components can be identified, at different levels: human resources at the level of individual scientists and technicians (micro level); institutional framework (meso level); and, an enabling national environment willing to support and sustain ocean research activity (macro level). These levels should be seen in relation to each other, as expressions of a single system. The development process can be divided into three different phases. In the initial stage, research and services capacities are still quite limited at each one of the three levels defined above; this is often the case of poorer maritime countries. In the transitional stage, local research capabilities are developing at (at least) one of the three levels mentioned above, but progress is still uneven (e.g. an ocean research community might be available, but its development is haphazardous as regular funding,

9 page 6 research planning and a research policy are lacking). In the developed stage, the research system and the research community have become quite dynamic, linked to the society and the economy and self-supporting. Due to considerable differences in the starting situation in various countries, capacity building activities have to be tailored to the specific needs of the country concerned. Participation in global (and regional) programmes is perhaps one of the matters that have marked TEMA development trends from the second half of the 80's up to the present. This period is characterized by intensive "regionalization" and "globalization" of strategies and actions, in detriment to the principles approved by the XIII Session of the Executive Council (1980) and by the XII IOC Assembly (1982). Undoubtedly, capacity building in Member States and "international participation" are fully interdependent, since it is impossible that a country could be fully integrated to a regional or global programme, if it has not before increased its own national capabilities, the latter will be, in time, determined by the solution of its national priorities in ocean science and services. Within the present context, there exists the possibility to pre-empt a certain trend in establishing priorities "from outside", under the influence of relationship to "global problems". Such an approach could be restrictive not only for the country concerned, but also for the development of global programmes themselves. The following text lists some criteria and concepts which could contribute to the definition and implementation of a more realistic and adequate TEMA Strategy and Action Plan. a) IOC global and regional programme formulation and objectives should contribute clearly and systematically to the solution of the most important problems and uncertainties at national level. The TEMA programme would be, in this way, compatible with globalized national priorities; it would ensure, simultaneously, not only Member States participation in global (or regional) programmes but also would provide more visibility to IOC contribution to the solution of national needs. b) Capacity building is also strategic for the Commission itself. "A strong and active international institution will achieve necessarily the strengthening of national institutions, and vice -versa" (Opening Address at the XXVII Session of the IOC Executive Council by Federico Mayor, Director General of UNESCO, 5 July 1994). c) A basic element to ensure the success of capacity building is to eliminate formulation of activities in favour of new approaches, as a routine. Another related element is to guarantee a systematic TEMA programme and activity follow-up, taking into consideration the establishment of clear and precise objectives and evaluation. d) The TEMA-Capacity Building process is part of a system available to develop ocean research and services capabilities, at four interlinked levels: human resources, institutional resources, co-ordination structures at national level, and education and public awareness. e) National political and scientific decision-making levels should receive clearly the message that the Commission is interested and determined towards to contribute to the strengthening and developing of the capacity-building process. The TEMA strategy considered by the XXVII Session of the IOC Executive Council, in 1994 (Doc. IOC/EC Annex 4), presents a good formulation for main strategic fields. However, climate change and variability are over-emphasized compared to other fields. There are others priorities of more immediate national concern, which could be expanded to actions at regional level. The priority list will vary from region to region, but certainly will include topics such as: integrated coastal area management; marine pollution; sustainable exploitation of living resources; protection of marine biodiversity; data management and information exchange; and training in public administration of ocean affairs.

10 page 7 iii. Elements for the organization, implementation and evaluation of TEMA-Capacity Building activities The analysis of the Summary Report of the First Meeting of the Group of Experts for TEMA and Capacity Building that took place during the XXIX Session of the IOC Executive Council (1996) demonstrated, once again, the interest of Member States in, and the importance of, the development of this programme in the most efficient and realistic way, according to available resources. Shortage of financial resources is aggravated by the lack of appropriate prioritization and co-ordination. The Group of Experts considered that, for the future development of the TEMA-Capacity Building Programme, the following actions should be taken as a matter of urgency: establish clearly the mission and general functions of the TEMA unit in the IOC Secretariat (the TEMA Unit in the Secretariat is grossly understaffed); establish and present to the IOC Assembly a consolidated and realistic biennial TEMA workplan and budget, incorporating the activities carried out in both regional and technical subsidiary bodies. The Group of Experts shall be provided with detailed and periodic information concerning the TEMA budget and activities to be planned, or already developed, by the Secretariat and the Regional and Technical Subsidiary Bodies. This will facilitate the preparation and updating of an Integrated Action Plan, which, at the same time, will give greater visibility and clarity to the whole IOC TEMA Programme, as has been asked by Member States at the Governing Bodies sessions. The Group of Experts shall evaluate regularly the TEMA programme, as well as its impact at national, regional and global levels. iv. Communication and co-ordination within IOC's TEMA programme Various lines of essential improvements in the IOC system were identified in order to establish, and gradually achieve, better communication and information exchange among the different science and service programme units at global and regional levels for the TEMA component of each of them: Co-ordination with other units of UNESCO and within the UN-System, in general. Wider use should be made of the existing expertise and facilities within UNESCO regarding the development of teaching tools programmes. Amongst ICSPRO members the information exchange and co-ordination in TEMA related activities, should be further encouraged. Co-ordination with regional organizations outside the UN-System related to ocean affairs and particularly ocean sciences. Most of those organizations are also active in the field of capacity building. IOC regional bodies should liaise with them and make use of those activities. Co-ordination with national, regional and global donor organizations. In recent years, IOC made some progress in joining forces with donor organizations in planning and implementing TEMA projects, mainly at the regional level. IOC and its Secretariat should see to it that those co-operative projects receive long-term support and should retain their regional character involving several partners. In order to strengthen the interaction with regional and technical oriented subsidiary bodies, the appointment of TEMA Focal Points should be promoted. The strategic role of IOC Assembly should be strengthened by regular debates on TEMA, well prepared and structured by the Group of Experts and by the Secretariat as the central operational unit of TEMA. These activities should be supported by the TEMA Focal Points of the subsidiary bodies.

11 page 8 v. Revised membership for the Group of Experts The Group of Experts discussed potential changes in its membership and Terms of Reference. In order to draw on the experience in capacity building in the different regions but also in the key programmes of IOC, the Group of Experts, not exceeding 15 members, should be composed of: representatives of the various regions, preferably TEMA Focal Points; experts in the main fields of IOC's Science and Services Programmes; and the IOC Vice Chairman for TEMA Members shall act in their personal capacity. The Executive Secretary of IOC, in consultation with the Chairperson of the Group of Experts, and IOC Vice Chairman for TEMA, shall propose the membership to be appointed and might invite up to five observers of national and international agencies. 5.6 WORK PLAN AND ACTION PLAN This agenda item was introduced by Mr. W. Erb of the IOC Secretariat, with reference to doc IOC/TEMA-CB- II/INF-8b (TEMA Framework Plan Planning Process and Relationship to ad hoc Panel on GOOS Capacity- Building). Regarding the topic specifically addressing GOOS Capacity Building, the Group of Experts reviewed and proposed the text described in Annex iv. The main planning elements described in this document were reviewed and adjusted by a sessional working group and are listed below. i. TEMA framework plan planning process Action Identify needs, priorities, funding estimates and schedule Draft preliminary plan Draft final plan Finalize plan Approve plan Endorse plan Implement Responsibility TEMA-Capacity Building Unit, Programme Managers*, Programme Co-ordinators**; Regional and National TEMA Focal Points Regional subsidiary bodies (with advice of TEMA Group of Experts) TEMA-Capacity Building Unit Regional Subsidiary Bodies IOC Executive Secretary IOC Governing Bodies TEMA-Capacity Building Unit and Regional Subsidiary Body * Programme Managers head programmes in the IOC Secretariat such as GOOS, OSLR, OSNLR, Ocean Mapping, IODE/MIM, etc. ** Programme Co-ordinators head technical committees such as IPHAB, OSNLR, IODE/MIM, CGOM, DBCP, J-GOOS, etc. Annex III depicts a functional outline of the TEMA framework planning process.

12 page 9 ii. Steps in implementing the Framework Plan a) The TEMA-Capacity Building Unit develops draft recommendations, which identify the needs and requirements for capacity building in a particular region. IOC programme managers, programme co-ordinators and regional and national TEMA Focal Points provide input to this process. The draft plan is forwarded to the Regional Subsidiary Body, including funding estimates and schedule for its completion. b) The Regional Subsidiary Body, working with input from all national representatives, develops a preliminary draft plan for the region. Advice may be provided by the TEMA Group of Experts for Capacity Building. The plan is returned to the TEMA-Capacity Building Unit. c) The TEMA-Capacity Building Unit reviews the preliminary draft plans, with assistance from the programme managers. It develops the final draft plan and forwards it to the Regional Subsidiary Body. d) The Regional Subsidiary Body finalizes the plan and forwards it to the IOC Executive Secretary. e) The Executive Secretary of IOC approves the plan and forwards it to the TEMA-Capacity Building Unit. f) After endorsement by IOC Governing Body, the plan is forwarded to corresponding Regional Subsidiary Body for implementation. iii. Time requirements for the development of framework plan a) The time required to develop a framework plan can only be estimated. Much will depend upon the communication facilities available at the TEMA-Capacity Building Unit and in a given region, together with the existing capability to plan activities on a regional basis. Linking the planning process to a regularly scheduled Regional Subsidiary Body meeting or to an IOC Assembly/Executive Council, where Member States will be present, will facilitate the process. b) The TEMA-Capacity Building Unit will be responsible for scheduling this process and overseeing it, through to completion. c) As there are several IOC Regional Subsidiary Bodies, and partners, the (expanded) TEMA-Capacity Building Unit should establish the planning cycles in order to provide for an even distribution of work over the years. This would be in keeping with linking the planning process to regularly scheduled meetings of the various groups, particularly the TEMA Group of Experts for Capacity Building. d) Internet, and fax should be used to the maximum extent possible to avoid delays. e) The schedule is activated by the submission of a circular letter from the TEMA-Capacity Building Unit to the corresponding Regional Subsidiary Body. The Officers of the IOC and the Officers of the Regional Subsidiary Bodies and the designated regional TEMA Focal Points, have key roles in ensuring that the initiative is taken to prepare the first draft in the region. iv Responsibilities of IOC officers, Regional Subsidiary Body officers and designated TEMA Focal Points a) The success of the framework plan for TEMA process is dependent on the active participation and leadership of the Chairman and Vice Chairmen of the IOC, Officers of Regional Subsidiary Bodies and designated TEMA Focal Points. The process being prescribed is new and requires the endorsement of the IOC Governing Bodies before implementation.

13 page 10 b) Officers of the IOC are (in general) elected by geographically-defined voting blocks and, therefore, should be expected to have the wide support of the Member States comprising that geographical region. The Vice Chairmen, after consultation with the Chairman of the IOC, will each be given responsibility for TEMA oversight in the region they represent. Oversight of the process, priority setting, resolution of differences, rationalization of activities with available funds will all require leadership from the IOC Officers. c) The actual formulation of the initial framework plan is created in the region, by the region. This will generate ownership in the plan, as well as to ensure that the plan reflects the proper priorities and requirements of the region and corresponding Member States. d) IOC Officers meet about twice a year, providing an opportunity for the Vice Chairmen, in consultation with the Chairman of the IOC and various Secretariat staff, to discuss aspects of the plan and the planning process. In terms of present functional division, this is particularly relevant to the Vice-Chairman in charge of TEMA- Capacity Building matters. The Regional Subsidiary Body officers should also seek opportunities to meet in conjunction with other regularly-scheduled meetings, to review capacity building. v. Functions of various organizational components TEMA-Capacity Building Unit a) Schedule Framework Plan planning process. b) Prepare an annual summary report that identifies the status of each project. c) Seek new sources of funding for projects. d) Improve and maintain the Funding Guide, by adding and updating information. TEMA Group of Experts for Capacity Building a) Serve as intersessional advisors to Regional Subsidiary Bodies and IOC programmes and services, as required. b) Assist in seeking new funding sources. TEMA Focal Points Review plans and provide advice. Regional Subsidiary Bodies a) Conduct periodic reviews and assessments of the plans progress, in co-ordination with the TEMA-Capacity Building Unit and IOC programme managers. b) Assist in seeking new funding sources and strive to interest potential donors in the framework plan of TEMA, particularly through active support of participating Member States. IOC Officers a) Assume responsibility for implementing TEMA in at least one IOC Regional Subsidiary Body. b) Assist in identifying new funding sources.

14 page 11 Regional Subsidiary Body Officers a) Co-ordinate development and implementation of Framework Plan in the region. b) Seek new funding sources. Programme Co-ordinators a) Provide advice on capacity building to regional subsidiary bodies and TEMA-Capacity Building Unit, preferably through designated TEMA Focal Points. b) Assist, as necessary, in the implementation of activities. Programme Managers a) Provide advice on capacity building to regional subsidiary bodies and TEMA-Capacity Building Unit. b) Assist as necessary in the implementation of activities. vi. Funding Strategy a) Funds for implementing the Framework Plan for capacity building will derive from the sources described in point 5.3 (see above). b) The plan should include high priority activities selected at the regional/national level, which have a reasonable chance for attracting support. It is important to maintain a realistic approach so that the plan is not viewed as a wish list instead, an honest evaluation of what is needed to develop capacity in the region to support IOC programmes. IOC capacity building is not that which is normally carried out by universities and research institutions, but should assist and facilitate co-ordination of university tertiary education and research programmes mainly at the regional level. c) As plans are reviewed by the TEMA-Capacity Building Unit, TEMA Group of Experts, TEMA Focal Points, Officers, Programme Managers and Programme Co-ordinators, it should become obvious where major outside donations may be required. d) Outside donors will be encouraged to review the framework plans as targets for funding support to IOC within their specific interests and terms of reference. The TEMA-Capacity Building Unit and Regional Subsidiary Bodies should pro-actively use the plans when discussing capacity building requirements with potential donors. As part of the negotiation process, donors should also be advised of needs in the area of infrastructure, equipment and maintenance. e) The TEMA-Capacity Building Unit would maintain specified funds for participation at training courses, seminars and conferences which are related to capacity building, realizing that not all such events can be identified years in advance. f) Project proposals and development are an integral part of the capacity building process; it is therefore essential to identify them as part of the TEMA Framework Plan. Project development requires seed funding (e.g. from UNESCO regular programme and IOC Trust Fund) to support the convening of small groups to identify, develop and follow-up project proposals. TEMA Focal Points, both regional and national, can be instrumental in developing such projects as well as regular capacity building activities.

15 page ON-GOING EXERCISE TO DEVELOP A CLEARING-HOUSE REFERENCE SYSTEM ON MARINE SCIENCE AND TECHNOLOGY TRAINING OPPORTUNITIES Dr. V. Scarabino, IOC Consultant at the TEMA-Capacity Building Unit, described the present state of development of this data-base (referring to doc. IOC/TEMA-CB-II/INF-11). The Group of Experts acknowledged with appreciation this on-going effort, as a useful approach to developing the TEMA Framework Plan. 7. AWARENESS BUILDING This agenda item (doc. IOC/TEMA-CB-II/INF-12 - Memo on Awareness and Capacity Building) was introduced by Dr. J. Stel. The substantive part of this document has been incorporated in relevant components of items 5.5 and 5.6. As part of this agenda item, Dr. Stel also introduced the OCEAN'98 initiative. He recalled that, due to our landtrained mind, the world oceans are a "blind spot" in global awareness. Many people do not value the unique role of the ocean in the earth system. Increasing awareness of the ocean has, however, to begin with a very basic educative attempt in order to make people "see" the ocean and to understand it's role in man's daily life. OCEAN'98 is a project undertaken in collaboration with the IOC. It is a non-profit effort to promote and to provide information and education, on all aspects of the impacts of the ocean on life on earth to increase public awareness. The project consists of two major elements: (I) a project aimed at a virtual and actual expedition; and (ii) education and increasing public awareness. The expedition will utilize various research vessels (from amongst others Japan, Australia, USA, Germany, India) and the Internet. The project has general appeal because of attributes that target audiences enjoy, regardless of culture and demographic status. The activities will be universally accessible, since it will be provided at no cost or affordable costs. The project aim is to demonstrate to a broad audience that: the oceans and their resources are a necessary element of life of Planet Earth. The health of the oceans and the sustainability of the renewable resources, together with the wise and safe uses of its bounties, must be an axiom for all individuals, organizations and governments to accept and honour for the long-term benefit and existence of everybody. The acquisition of the necessary knowledge for the understanding and stewardship of the oceans and their adjacent seas, for the adoption of policies, standards, and regulations to protect the marine environment and to husband its resources, are goals to pursue locally, nationally, regionally and globally. There must be mutual assistance and the will to work together, to achieve common goals on the ocean - adjacent and regional States should co-operate in the adoption of local policies and actions - countries with knowledge and resources should assist less fortunate countries - data and information for global and regional problems should be readily available - States should make use of and co-operate with international and intergovernmental organizations, to generate global and regional programmes and agreements. 8. ELECTION OF OFFICERS OF THE GROUP OF EXPERTS To facilitate continuity in the actions carried out by the Group of Experts, the present Chairperson and Vice- Chairperson were re-elected for the next intersessional period and the Third Meeting. The Group expressed its thanks to Dr. I. Gurgel and Dr. J. Stel, for the work accomplished during the intersessional period. 9. PLACE AND DATES OF THE 3rd MEETING Professor Mario Ruivo confirmed the invitation of his country to host the Third Meeting in Lisbon, Portugal, in association with the '98-International Year of the Ocean. IOC/TEMA-CB-II/3 page 13

16 The Group of Experts accepted and acknowledged with thanks this invitation, considering the need to organize a 4 day meeting, tentatively from 15 to 18 June If possible, eventual co-ordination with the visit of the R/V Polarstern to EXPO '98 will be sought. 10. ADOPTION OF THE SUMMARY REPORT The draft summary report was adopted. 11. CLOSURE The Chairperson, on behalf of the Group of Experts, expressed her thanks to the secretariat and the Centre for Marine Tropical Ecology, University of Bremen, for the efficient technical support provided to the meeting. She extended the Group's appreciation for the demonstration visits organized to the Zentrum and the Alfred Wegener Institute and associated socials and hospitality. The Chairperson closed the session at 16:30 hrs, 14 May 1997.

17 Annex I Annex I AGENDA 1. OPENING 2. ADMINISTRATIVE ARRANGEMENTS 3. REPORT ON STATUS OF TEMA ACTIVITIES 4. ON-GOING STRATEGY FOR THE DEVELOPMENT OF REGIONAL AND SUB- REGIONAL CO-ORDINATION AND THEMATIC NETWORKING 5. DISCUSSION OF TEMA FRAMEWORK PLAN FOR CAPACITY-BUILDING 6. ON-GOING EXERCISE TO DEVELOP A CLEARING-HOUSE REFERENCE SYSTEM ON MARINE SCIENCE AND TECHNOLOGY TRAINING OPPORTUNITIES 7. AWARENESS BUILDING 8. ELECTION OF OFFICERS OF THE GROUP OF EXPERTS 9. PLACE AND DATES OF THE THIRD MEETING 10. ADOPTION OF THE SUMMARY REPORT 11. CLOSURE

18 Annex ii Annex II References considered along discussion of Agenda Item 5.5 (i) Report of the Intergovernmental Conference on Oceanographic Research, Copenhagen July, Doc. UNESCO/NS/167, Paris 7 October, (ii) Marine Science and Ocean Services for Development: UNESCO/IOC Comprehensive Plan for a Major Assistance Programme to Enhance the Marine Science Capabilities of Developing Countries. Doc. IOC/INF-612, Paris, 4 January, (iii) IOC Committee for Training, Education and Mutual Assistance in Marine Sciences. Fifth Session, Paris, 25 February-1 March Doc. IOC/TEMA-V3, Paris 6 March, (iv) (v) Draft TEMA Strategy and Action Plan for Approved in 1991 by Resolution XVI-13 of the IOC Assembly. Draft TEMA Strategy to respond to UNCED Agenda 21, Chapter 17, Part E. Considered and endorsed by the XXVII Session of the Executive Council, June (vi) TEMA ad hoc Strategy Meeting, Summary Report, Paris March Doc. IOC/INF 999, Paris, 9 May, Endorsed through Resolution XVIII-15 of the IOC Assembly, June 1995 (vii) Draft TEMA Strategy in response to UNCLOS and UNCED. Endorsed by the XVIII Assembly, June (viii) Observations and experiences of Selected TEMA activities during S. M. Haq. Doc. IOC- XVIII/Inf.2, Paris, June, (ix) Summary Report. First Meeting of the TEMA Group of Experts for Capacity Building. Paris, July Doc. IOC/TEMA-CB-I/3.

19 Annex iii Annex III Functional organigramme of TEMA framework planning process Programme Managers, Programme Co-ordinators TEMA-Capacity Building Unit Regional and National Focal Points draft recommendations (needs, requirements, funding estimates), schedule TEMA Group of Experts Regional Subsidiary Bodies National inputs Draft Preliminary Plan TEMA-Capacity Building Unit Programme Managers Draft Final Plan Regional Subsidiary Body Final Plan IOC Executive Secretary approval IOC Governing Body endorsement TEMA-Capacity Building Unit Regional Subsidiary Body implement

20 Annex iv Annex IV Relationship of ad hoc panel on GOOS Capacity-Building to TEMA The TEMA Group of Experts reviewed the relationship of the ad hoc Panel on GOOS Capacity Building to TEMA. It was noted that the Panel was created to implement capacity building in the GOOS programme. It has planned workshops to assess the GOOS requirements and priorities in two IOC regional subsidiary bodies and is expected to carry on with this activity. IOC Member States have been requested to name participants to this panel. The ad hoc Panel serves as an advisory, planning, implementing, facilitating and advocacy group for the GOOS programme. Its purpose is to develop a planned approach to GOOS capacity-building which is efficient and effective. There is full recognition that all regions have different needs and priorities and that the type of workshops will vary from region to region. However, it is noted that various approaches, training lectures, exhibits, videos, etc., might be transferable from region to region and that an effort should be made to develop these ideas and materials for multiple use. In considering the relationship to the framework plan for TEMA, the ad hoc Panel should be viewed as fulfilling the role of a typical IOC Programme Co-ordinator. When the TEMA Unit solicits advice on the requirements and priorities for capacity building related to GOOS, it should consult with the Chairman of the ad hoc Panel on GOOS Capacity-Building. When the regional subsidiary body seeks to implement an activity related to GOOS, it should work with the panel, as appropriate, to undertake the task. The ad hoc Panel and the GOOS Project Office (GPO) will work together very closely and the GPO will be involved in all GOOS and TEMA relevant reviews, evaluations and planning. ad hoc PANEL FOR GOOS Capacity-Building Suggested draft TERMS OF REFERENCE membership in the panel is open to any Member State of IOC the panel will work by correspondence whenever possible the GOOS Steering Committee will select the Chairman of the ad hoc Panel the purpose of the panel is to plan, organize, implement and monitor GOOS capacity building in IOC, including its regional bodies the panel will work in close co-ordination with the GOOS Project Office, Programme Manager, Programme Co-ordinator, TEMA Group of Experts for Capacity-Building and the TEMA-Capacity Building Unit on all matters pertaining to capacity building in direct co-operation with the Regional Subsidiary Bodies of IOC, the panel will assess the present level of capability in each region in terms of trained personnel, infrastructure, observation systems/equipment; all in relation to their capacity for participating in that part of the GOOS programme which they need upon request of the TEMA-Capacity Building Unit, the panel will review and comment on draft framework plans prepared by regional subsidiary bodies

21 Annex v, page 1 Annex V LIST OF PARTICIPANTS I. Experts Prof. Michael Collins - Rapporteur Department of Oceanography Southampton Oceanography Centre European Way Southampton, SO14 3ZH UNITED KINGDOM Tel: ( ) Fax: ( ) M.Collins@soc.soton.ac.uk Mr. Philippe FERLIN IFREMER 155, rue Jean-Jacques Rousseau Issy-les Moulineaux FRANCE Tel: (33-1) Fax: (33-1) PFerlin@ifremer.fr Lic. Guillermo García-Montero (First Vice-Chairman IOC) Presidente del Comité Oceanográfico Nacional Academia de Ciencias de Cuba calle 60 y 1a Miramar, Ciudad Habana CUBA Tel/fax: (537) acuario@cidea.unepnet.inf.cu Prof. Mario Ruivo President Portuguese IOC-UNESCO National Commission Av. Infante Santo - 42/5, Lisbon 1300 PORTUGAL Tel: (351-1) Fax: (351-1) Dr. Jan H. Stel - Vice-Chairperson Director Geosciences Foundation Laan van Nieuw Ost Indien 131 P.O.Box NL 2509 AC, The Hague THE NETHERLANDS Tel: (31-70) Fax: (31-70) stel@nwo.nl Dr. Izabel Maria Gurgel - Chairperson Universidade do Estado do Rio de Janeiro, UERJ Rua São Francisco Xavier nº andar, sala E Departamento de Oceanografia Rio de Janeiro BRAZIL Tel: (55 21) /24 Fax: (55 21) imgurgel@vmesa.uerj.br Prof. Gotthilf Hempel - Local Organizer Zentrum füt Marine Tropicalökologie, ZMT, Fahrenheitstraße 1. D-28359, Bremen GERMANY Tel: (49-421) Fax: (49-421) ghempel@zmt.uni-bremen.de Dr. Ezekiel Okemwa Director Kenya Marine & Fisheries Research Institute (KMFRI) P.O. Box 81651, Mombassa KENYA Tel: (254 11) Fax: (254 11) eokem@main.bib.ua.ac.be Prof. Michel Vigneaux [Chairman TEMA Technical Committee - European Federation of Scientific and Technical Networks of Co-ordination (F.E.R.)] UNESCO, Paris, FRANCE Tel: (33-1) Fax: (33-1) University of Bordeaux Talence Cedex FRANCE Tel/Fax: (33 56) Dr. Sumitra Vijayaraghavan National Institute of Oceanography Dona Paula, GOA INDIA Tel: ( ) etx. 204/ Fax: ( ) / ocean@csnio.ren.nic.in