ANNEX XII

PRINCIPLES OF GOOS CAPACITY BUILDING

(Version 3.0 by Worth Nowlin)

 

A DEFINITION OF CAPACITY BUILDING

Recognizing that many coastal states lack the capabilities in marine science required for them to fully participate in, contribute to, or benefit from the effective planning, establishment and coordination of an operational global ocean observing system to provide the information needed for oceanic and atmospheric forecasting, for ocean and coastal zone management by coastal nations and for global environmental change research, the IOC/GOOS is developing principles and a programme to develop national capabilities in marine sciences and services. This programme for the building of capacity involves a wide range of activities, depending on the starting capacity (level of ability) of the nation concerned. The activities fall under the general headings of training, education, and mutual assistance; within the IOC they are managed through the TEMA programme, which includes technology transfer. A first step in building capacity is raising awareness of the activities involved, the benefits that may accrue from participation, and the likely costs. The building of capacity of all countries to participate in and benefit from GOOS on a continuing basis is regarded as essential for the effective development of a continuing global ocean observing system. (A definition covering all of the IOC themes is given as Annex A.)

CAPACITY BUILDING OBJECTIVES

In the OECD (Organisation for Economic Cooperation and Development) countries, the existing infrastructure will underpin many of GOOS activities. This is not true for many nations, where the necessary infrastructure is only partly or poorly developed. Where such infrastructure does not exist, strategies should be implemented to meet the following needs of nations:

• The need for ocean data, including satellite measurements and in situ measurements necessary for their calibration and validation. (Special efforts should be made to create and sustain an onshore and offshore baseline network of high quality surface-based stations or sections in a wide range of climates; many of these are likely to be in nations requiring assistance or in their Exclusive Economic Zones offshore.)
• The need to raise the ability of nations to contribute to and benefit from global observing systems. The goal is capacity building for sustainable development. There must be a long-term investment in facilities for receiving, processing, and interpreting data from ocean and space-based sources--to be accompanied by training in the use of such facilities and in the provision of services and products. (Services and products are likely to relate to seasonal predictions, drought and severe storm monitoring, sea level rise, regional climate change, coastal zone and fisheries management, coastal protection, coastal pollution, harmful algal blooms, coral reef disturbance and recovery and the like.)
• The need to raise understanding of the value of in-situ and space-based observations of the ocean to solving socioeconomic problems of states requiring assistance. Efforts must be made to educate the public and politicians regarding the benefits to be obtained from investing in developing, maintaining, and utilizing ocean observation systems in support of sustainable development.

Examples of actions required to meet these objectives are included in Annex B.

CAPACITY BUILDING IS A PARTNERSHIP

GOOS capacity building is carried out by three partners: (1) the recipients, or local beneficiaries of the activities; (2) the donor agencies or nations; and (3) the GOOS organization with its sponsors.

Effective capacity building is a long-term process which starts with the potential users and their needs. Capacity building partnerships may focus upon one country, or a group of neighboring countries sharing similar problems. They may involve bi-lateral or multi-lateral relationships and partnerships. The underlying implication is that the interests and commitments of all partners must be considered prior to taking actions. GOOS capacity building activities should be harmonized to the extent possible with those of other entities, including organizations and states interested in the region. A major part of the financial support must come from agencies/states located or interested in the region.

Efforts to build capacity should maximize the use of existing skills and resources, and ensure that the end of a project is not the end of the road. The real challenge in capacity building is to go beyond the transfer of funds, equipment, and knowledge to the point of sustainable development. It must be recognized that an adequate institutional framework is required--a framework grounded in strong relations between competent organizations that together will form a national global observing system working group striving to create services and products of value to local decision makers as well as useful globally.

For each partnership a plan is needed that identifies the needs of the user region, the requirements for GOOS implementation in the region, the capacity building needs related to that implementation, and sources of funding support. Regional representatives should be involved in developing all elements of this plan. An IOC/GOOS coordinator is needed to ensure coordination of TEMA objectives and advice from technical experts and GOOS panels into the process of implementing the plan and for continuity.

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CONTINUITY IS REQUIRED

It is critical that capacity building activities are pursued in a manner that ensures capacity is sustained, either through continuing effort or through series of well-targeted, short-term activities. Plans and resources must be in place to enable follow up activities prior to holding workshops to build awareness. The capability to deliver assistance must be in place before building expectations of the recipients. It is important that individuals delivering capacity building assistance be part of an active network with broader participation and access to portable resources compatible with local needs. There are clear advantages if an individual who is performing well in a regional office remains in the position long term; new individuals must establish local contacts, gain the confidence of those in the region, and generally learn idiosyncrasies of the area. The counterpoint is that safeguards are required to ensure that such individuals continue to perform well.

The multi-year plan for each regional GOOS capacity building activity should include a logical progression of activities enabling regional users to contribute to GOOS development and use the resulting data and products. This plan should be presented to potential donors interested in supporting the goals of GOOS as mandated by UNCED, AGENDA 21, and other pertinent conventions.

IMPORTANCE OF LOCAL FOCI

Capacity building is most effective when the region is entrained as a provider, not just as a recipient. For example, local people "on the ground" should be entrained into the planning and, if at all possible, execution of the activities. Training and support delivered outside the region are less effective. If possible, regional offices should be staffed or augmented with individuals from the region. It is important to circumscribe the area of responsibility for a regional office to avoid over commitment and false expectations. It is important to network with regional institutions and pertinent operational agencies.

GOOS will continue to evolve. Local offices will help to sustain the capacity building activity by assisting with continuing upgrades of new communications, models, sampling technology, products, and other needs.

Regional organizations (e.g., SOPAC) already having operational responsibilities should be fully utilized by the GOOS system because it is imperative to have access to staff, support systems, communications, data facilities, and other infrastructure-particularly in regions lacking such capabilities on national bases.

It is recommended that nations consider the creation of National GOOS Steering Committees in which all of the key stakeholders (government departments, private sectors, and academic institutions) are brought together to define the user needs and find ways of meeting them. National GOOS Steering Committees might be expected to:

• Define user needs and specify data and products required to satisfy those needs.
• Identify and suggest improvements to existing national capabilities.
• Identify gaps in those capabilities and suggest corrections, including training and practical assistance as well as gap filling.
• Promote communication among marine scientists, environmentalists, and coastal zone managers.
• Encourage design and implementation of regional strategies for data acquisition, communication, synthesis, and dissemination of needed products.
• Encourage pilot projects to demonstrate the usefulness of the GOOS approach.
• Evaluate costs and benefits as a basis for persuading governments, donor agencies, and the private sector to support GOOS initiatives.

TECHNICAL EXPERTISE IS REQUIRED

GOOS capacity building activities must maintain close links to the scientific and technical design of GOOS, and be aware of other scientific and technical activities related to GOOS, such as the research programmes of the WCRP and IGBP. GOOS technical experts may be needed locally only for limited periods, although local continuity and coordination must be maintained, as mentioned elsewhere. These technical experts must draw upon and train local expertise whenever possible. GOOS must adopt the principle that those expert teachers are teaching new teachers; only in this way can the process be successfully self-sustaining. Materials and approaches must be designed accordingly, and if possible have application to more than one region.

OPERATIONAL OR MARINE-RELATED BASES OF OPERATION

Institutions and organizations with the competence to participate in GOOS frequently exist in nations needing assistance; often they lack connection to the institutional framework of GOOS. Integration of the various participants and organizations into the institutional framework must take place to ensure that local expertise is harnessed, work programmes are defined, information is exchanged, decisions are taken, results emerge, and capacities are built.

To this end regional offices for GOOS capacity building should be co-located with an operational or marine-related activity when practicable. The activity might be the secretariat for a regional marine body (e.g., WESTPAC) or an operational oceanographic or meteorological activity providing data, products, services (e.g., a national weather service office). Again, care should be exercised to ensure the operational office can work closely with other regional marine science/operations activities.

To take matters forward, organizations should be chosen according to their proven expertise, their modus operandi, and their capacity for working with others; they may include governmental and intergovernmental bodies, universities, research centers, NGOs or private companies. The institutional relationships between them must be based on confidence and driven by a common sense of purpose as expressed in a jointly negotiated agreement.

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UTILIZING THE GOOS SPONSORSHIP

Remembering that GOOS has many sponsors, GOOS capacity building activities are expected to be supported in part by the capacity building capability of all of these partners. It is extremely important that TEMA support be available for GOOS capacity building on behalf of the IOC as a sponsor. Likewise, it is crucial that the capacity building resources and capacity of other GOOS sponsor be utilized.

The first financial commitment should come from the region. It may be small, but it represents a political commitment that can be built upon. Other GOOS sponsors should be a part of the planning process that decides on capacity building plans for the region. It should be expected that regional programmes would share in the support of such activities and contribute their voices to approaching donors. (Funding may come through national or international aid agencies such as the Global Environmental Facility of the World Bank. Here it is important to remember that it is the developing states themselves who have to bid for resources. Thus the GOOS role is one of a facilitator to bring together countries to address ocean and coastal issues, and to work with them to realize the results of their decisions. One important facet of capacity building is the provision of advice on how to construct fundable proposals; another is helping to raise awareness in local policy makers that environmental observations deserve to be high on the list of national concerns.)

GOOS CAPACITY BUILDING PANEL

To provide guidance regarding user needs in the development of GOOS, and to communicate GOOS plans and common requirements to users, a strong and continuing link must be maintained between the GOOS Steering Committee and GOOS capacity building activities. It is suggested that the GOOS Capacity Building Panel be constituted as a resources and steering committee with the following membership: one representative from each GOOS module design panel, representation from the GOOS Steering Committee (including representation of countries needing assistance), and an independent chair. This GOOS Capacity Building Panel would report to the GOOS Steering Committee and through that committee to the I-GOOS.

Ex officio membership on the Panel should include that person at the IOC/GOOS Office with overall responsibility for GOOS capacity building and a representative of TEMA (who may be the same person representing the Office). Representatives of donor foundations should be invited to the Panel meetings.

CONNECTIONS BETWEEN GLOBAL OBSERVING SYSTEMS

It should be remembered that many capacity building activities are undertaken on behalf of GCOS or GTOS as well as GOOS. Thus, it is imperative to retain close connections between the global observing systems when planning new capacity building initiatives.

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ANNEX A: Definition of IOC Capacity Building

Recognizing that many coastal states lack the capabilities in marine science required for them to fully participate in, contribute to, or benefit from the four main themes of the IOC:

1. To develop, promote and facilitate international oceanographic research programmes to improve our understanding of critical global and regional ocean processes and their relationship to the sustainable development and the stewardship of ocean resources;
2. To ensure effective planning, establishment and coordination of an operational global ocean observing system to provide the information needed for oceanic and atmospheric forecasting, for ocean and coastal zone management by coastal nations and for global environmental change research;
3. To provide the international leadership for education and training programmes and technical assistance essential to systematic observations of the global ocean and its coastal zone and related research;
4. To ensure that ocean data and information obtained through research, observation, and monitoring are efficiently handled and made widely available;

The IOC has developed a cross-cutting theme focused on the development of national capabilities in marine sciences and services. The IOC Programme for this building of capacity involves a wide range of activities, depending on the starting capacity (or level of ability) of the country concerned. The activities fall under the general headings of Training, Education, and Mutual Assistance, and are managed through the TEMA Programme, which includes technology transfer. A first step in building capacity is raising awareness of the activities involved, the benefits that may accrue from participation, and the likely costs.

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ANNEX B: Examples of Capacity Building Actions Required

Given the need for initial baseline networks of stations and sections as part of an integrated global observing system, priority should be given to creating, strengthening, and/or rehabilitating reference stations or sections in the waters around nations requiring assistance.

Equally high priority should be given to establishing or improving data receiving, distribution, and processing centers in nations requiring assistance ensure full data acquisition and use. (In the context of GOOS, there are a number of data centers managed by the IOC's Committee on International Oceanographic Data and Information exchange (IODE). Many need upgrading to incorporate the full range of multi-disciplinary data. Special centers should be created in a few places to handle advanced processing and assimilation of oceanographic data into regional ocean and climate models. Such is proposed by the Southeast Asian Centre for Atmospheric and Marine Prediction (SECAMP) project serving the needs of southeast Asia from Singapore.).

It also is important to ensure that nations are capable of benefiting from and involved in environmental monitoring. This requires that:

• such countries have access to data and products along with the capacity to produce and utilize high-level products and data sets consisting of both satellite and in situ data;
• the introduction of new facilities be matched by training and support in their use, particularly focused on the generation of advisory services and products;
• scientists from nations needing assistance be able to participate fully in the work of major national and international centers engaged in advanced data processing, as for seasonal and climate scale predictions; and
• full use be made of existing capacity building programmes, such as IOC's Training Education and Mutual Assistance (TEMA) programme in the GOOS context, and START (the Global Change System for Analysis Research and Training) in the IGBP context.