INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO)

Transcription

1 Restricted distribution Agenda item: 4 IOUABE-LOSIB Paris, 27 April 2001 Original: English INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) FIRST MEETING OF THE ADVISORY BODY OF EXPERTS ON THE LAW OF THE SEA (ABE-LOS) (Paris, June 2001) TRANSFER OF MARINE TECHNOLOGY 1) UNCLOS and the Transfer of Marine Technology, Including Capacity Building, Related to Marine Scientific Research BY DR. SCOTT PARSONS CHIEF SCIENTIST INTERNATIONAL MARINE SCIENCE DEPARTMENT OF FISHERIES AND OCEANS CANADA AND 2) ASEAN-CANADA Cooperative Programme on Marine Science Phase II (CPMS-II) BY LENNOX HINDS CANADIAN INTERNATIONAL DEVELOPMENT AGENCY (SC-2001/CONF.207/CLD.5)

2 The authors are responsible for the choice and presentation of the facts contained in this report and for the opinions expressed therein, which are not necessarily those of UNESCO and do not commit the Organization. The designations employed and the presentation of material throughout this publication do not imply the expression of any opinion whatsoever on the part of UNESCO concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries.

3 INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) IOUABE-LOW8 page : 1 FIRST MEETING OF THE ADVISORY BODY OF EXPERTS ON THE LAW OF THE SEA (ABE-LOS) (Paris, June 2001) UNCLOS and the Transfer of Marine Technology, Including Capacity Building, Related to Marine Scientific Research BY Dr. Scott Parsons Chief Scientist International Marine Science Department of Fisheries and Oceans Canada

4 IOCYABE-LOW8 page: 2 1. Introduction The demands of an increasing world population impose new challenges on society to manage the finite resources of the planet in a sustainable and environmentally responsible manner. Technology can assist in many ways, but new developments themselves generate additional capabilities and activities that introduce more complexities to manage. The oceans form the major part of the planetary surface and, despite the large areas of Extended Exclusive Economic Zones now subject to the jurisdiction of Coastal States, much of the world remains a global commons. The management of the global oceans, that are so important to our well being and survival, should be a priority for all nations and dictate a sharing of the collective wisdom and concern of all peoples. Many international and intergovernmental conventions and agreements contain articles and statements about capacity building and the transfer of technology. The United Nations Law of the Sea Convention contains specific provisions. Like other documents, these references are very general in nature. This paper looks at the particular situation covered by the Law of the Sea and discusses the way that the IOC may assist in achieving progress through its own programs or by promoting initiatives through the collective and/or individual actions by its Member States, taking into account previous discussions within the IOC and its subsidiary bodies. 2. The Law of the Sea The UN Convention on the Law of the Sea (UNCLOS) provides a comprehensive framework of rights and obligations related to the conduct of marine scientific research, the promotion of marine science and the development and transfer of marine technology, including capacity-building. General obligations can be found, for example, in Articles 239, 242 and 243 which, inter ah, state that: States and competent international organizations shall, in accordance with the principle of respect for sovereignty and jurisdiction and on the basis of mutual benefit, promote international cooperation in marine scientific research for peaceful purposes (Article 242). Disclaimer This paper has been prepared at the invitation of the IOC Secretariat, to facilitate the discussion at the ABE-LOS meeting, Paris, June Any views contained therein are personal and not necessarily those of the Canadian Department of Fisheries and Oceans or the government of Canada. Part XIII of the LOS contains extensive provisions pertaining to Marine Scientific Research (MSR). Section 3 of Part XIII deals specifically with the Conduct and Promotion of Marine Scientific Research (Articles 245 to 257) including provisions for consent and the sharing of data and information. These are dealt with elsewhere in the background documentation for this meeting and will not be discussed further here.

5 IOUABE-LOW8 page: 3 Part XIV of the LOS includes specific provisions on the Development and Transfer of Marine Technology. With respect to Transfer of Technology, the Convention states that: States, directly or through competent international organizations, shall cooperate in accordance with their capabilities to promote actively the development and transfer of marine science and marine technology on fair and reasonable terms and conditions (Article 266( 1)) and States shall endeavour to foster favourable economic and legal conditions for the transfer of marine technology for the benefit of all parties concerned on an equitable basis (Article 266(3)). In particular, the LOS provides that: States shall promote the development of the marine scientific and technological capacity of States which may need and request technical assistance in this field, particularly developing States, including land-locked and geographically disadvantaged States, with regard to the exploration, exploitation, conservation and management of marine resources, the protection and preservation of the marine environment, marine scientific research and other activities in the marine environment compatible with this Convention, with a view to accelerating the social and economic development of the developing States (Article 266(2)). The basic objectives are described in Article 268 which provides that States, directly or through competent international organizations, shall promote: (4 the acquisition, evaluation and dissemination of marine technological knowledge and facilitate access to such information and data; (b) the development of appropriate marine technology; (cl the development of the necessary technological infrastructure to facilitate the transfer of marine technology; Cd) the development of human resources through training and education of nationals of developing States and countries and especially the nationals of the least developed among them; (e) interregional cooperation at all levels, particularly at the regional, subregional and bilateral levels. Possible measures to achieve these basic objectives are outlined in Article 269. This provides that States, directly or through competent international organizations, shall endeavour, inter alia, to: (a) establish programmes of technical cooperation for the effective transfer of all kinds of marine technology to States which may need and request technical assistance in this field; (b) promote favourable conditions for the conclusion of agreements, contracts and other similar arrangements, under equitable and reasonable conditions; (c) hold conferences, seminars and symposia on scientific and technological subjects, in particular on policies and methods for the transfer of marine technology;

6 IOUABE-LOW8 page: 4 (d) promote the exchange of scientists and of technological and other experts; (e) undertake projects and promote joint ventures and other forms of bilateral and multilateral cooperation. It was envisaged that international cooperation for the development and transfer of marine technology would be carried out not only through existing bilateral, regional or multilateral programmes, but also through expanded and new programmes and appropriate international funding for ocean research and development (Article 270). In addition to the publication and dissemination of information on proposed major programmes and resulting knowledge, programmes of technical cooperation, conferences, seminars and symposia, exchanges of scientists and experts, UNCLOS also provided for the establishment of national marine scientific and technological research centres (Article 275) and the establishment of regional marine scientific and technological research centres (Article 276), particularly in developing States. The possible functions of such regional centres are listed in Article 277. These include, inter alia: (4 training and educational programmes at all levels on various aspects of marine scientific and technological research, particularly marine biology, including conservation and management of living resources, oceanography, hydrography, engineering, geological exploration of the seabed, mining and desalination technologies; tb) management studies; Cc) study programmes related to the protection and preservation of the marine environment and the prevention, reduction and control of pollution; (4 organization of regional conferences, seminars and symposia; 03 acquisition and processing of marine scientific and technological data and information; (0 prompt dissemination of results of marine scientific and technological research in readily available publications; ta publicizing national policies with regard to the transfer of marine technology and systematic comparative study of those policies; 0-9 compilation and systemization of information on the marketing of technology and on contracts and other arrangements concerning patents; 6) technical cooperation with other States of the region. In addition to these general provisions concerning Marine Scientific Research (Part XIII) and Development and Transfer of Marine Technology (Part XIV), the Seabed Authority under Article 143 is authorized to carry out marine scientific research concerning the Area and its resources. Article 143 (3, b) indicates that States Parties shall promote international cooperation in marine scientific research in the Area by ensuring that programmes are developed

7 IOC/ABE-LOW8 page: 5 through the Authority or other international organizations as appropriate for the benefit of developing States and technologically less developed States with a view to: (9 strengthening their research capabilities; (ii) training their personnel and the personnel of the Authority in the techniques and applications of research. Article 144 provides that the Authority shall take measures to promote and encourage the transfer to developing States of such technology and scientific knowledge so that all States Parties benefit therefrom. Part XII of UNCLOS, pertaining to Protection and Preservation of the Marine Environment, also contains in Section 3, Article 203, provisions pertaining to scientific and technical assistance to developing States. 3. The Role of the Intergovernmental Oceanographic Commission (IOC) in relation to the LOS Provisions Resuectinn the Transfer of Marine Technology, including Canacitv Building. Related to Marine Scientific Research It is clear that development and transfer of marine technology and capacity building are essential elements of the Law of the Sea. It is difficult to see how many of the LOS provisions could be implemented adequately without attention to this issue. It is also clear that States have responsibilities under the provisions for the transfer of marine technology and for capacity building that go beyond mere verbal support of these programmes in intergovernmental fora. Part of the requirements pertaining to these provisions fall under the responsibilities of the IOC as a competent international organization in the context of UNCLOS. The revised Statutes of the IOC state (Article 2 - Purpose) that: 1. The purpose of the Commission is to promote international cooperation and to coordinate programmes in research, services and canacitv building. Under Article 3 (Functions) the Statutes state that the functions of the IOC shall be to, inter alia: 3(c) respond, as a competent international organization, to the requirements deriving from the United Nations Convention on the Law of the Sea (UNCLOS), the United Nations Conference on Environment and Development (UNCED) and other international instruments relevant to marine scientific research, related services and capacity-building; and 3(d) make recommendations and coordinate programmes in education, training and assistance in marine science, ocean and coastal observations and the transfer of related technology. More specifically, Article 3.4 of the Statutes states: The Commission, in carrying out its functions, shall take into account the special needs and interests of developing countries, including in particular the need to further the capabilities of these countries in scientific research and observations of the oceans and coastal areas and related technology.

8 IOUABE-LOW8 page: 6 Thus, the IOC s responsibility with respect to capacity building is clearly identified in the revised Statutes. There are many ways that the IOC and its Member States can respond to the direct and indirect responsibilities for capacity building embedded in UNCLOS. Action to protect and preserve the marine environment and conserve living resources requires scientific information, knowledge and understanding. The IOC Statutes recognize the need to coordinate and promote intergovernmental programmes in marine scientific research and ocean services to address both long-term strategic global issues and the more immediate needs of ocean and coastal management, marine environmental protection and sustainable development. Recent debates at the IOC Governing Bodies have demonstrated the high priority given to programmes where the application of scientific information and understanding to practical uses are most evident, including integrated coastal area management, pollution, safety of life. The emergence of the Global Ocean Observing System (GOOS) programme as a flagship initiative of the IOC is one result of this priority. In the development of GOOS and the newly established Joint Commission on Oceanography and Meteorology (JCOMM), attention is being given to developing capacity building initiatives as part of the overall programme development, recognizing the need for all countries to participate in the programmes. There is also a specific provision in UNCLOS for the Seabed Authority to request various bodies, including the IOC, to respond to requirements for knowledge and data. The ability of the IOC to respond to such requests from the Authority is limited by the resources available to it. Specific requests from the Authority should be accompanied by the necessary resources or by the willingness of Member States to supply the necessary funding. Member States can exercise some of their obligations for capacity building through concrete actions taken in the context of IOC programmes. As noted earlier, in many places in UNCLOS the phrase... States shall, directly or through competent international organizations... is used. Unfortunately, obligations for capacity building have not been accompanied by a concurrent increase in funding available to competent international organizations such as the IOC. The resources available to the IOC are limited to the operational funding through the regular budget of UNESCO and the direct contributions of Member States. Although the contributions have grown as a proportion of the IOC budget, the overall capacity of the IOC to make an impact on the capacity-building needs of its Member States, with a few exceptions, has diminished over the years. With respect to technology transfer the IOC competence is through the programmes and capacity of its Member States. The IOC can act as a conduit for the transfer of technology but has no technology of its own to transfer. Thus State Parties to UNCLOS have responsibilities under Part XIV which they can address through competent international organizations, but to do so they need to commit the necessary resources to achieve the objectives of Part XIV. 4. Draft IOC Principles on Transfer of Marine Technology In 1997 the lgth Session of the IOC Assembly was presented with a document on Draft IOC Principles on Transfer of Marine Technology (IOCYINF-1054). This was considered in the context of the Summary Report of the First Session of the Intersessional Working Group on IOC s Possible Role in Relation to the United Nations Convention on the Law of the Sea (IOC/INF-1035). These Draft Principles were viewed by the Secretariat as a preliminary attempt to move towards establishing some guidelines on the transfer of marine technology within the

9 IOUABE-LOW8 page: 7 framework of the IOC. In endorsing the Report of the Intersessional Working Group, the Assembly decided to establish the Advisory Body of Experts on the Law of the Sea (ABE-LOS) (IOC Assembly Resolution X1X-19). An Informal Advisory Consultation on the implementation of Resolution XIX-19 took place in Paris in November Among other matters, that Consultation considered that Dot IOUINF-1054 provides a good basis for discussion by ABE- LOS. It suggested that the Executive Secretary consider submitting this text to ABE-LOS after minor updating and specifying the need for further elaboration on implementation. IOCYINF-1054 aims at laying out the basic principles, mechanisms and procedures whereby the transfer of marine technology would be fostered through the IOC. In terms of Scope, it proposes that marine technology refers to knowledge of all forms that would be useful to improve the study and understanding of the marine environment. Excluding the type of knowledge to be used for the actual exploration and exploitation of marine resources, it suggests that the transfer of marine technology to be considered in this context includes, inter alia, the following: marine scientific information and data; manuals, guidelines, criteria, standards, reference materials; sampling equipment; observation facilities and equipment; equipment for in-situ and lab analysis; computer and computer software, including models and modeling techniques; expertise, skills and technical know-how related to marine research and observation. While one could quibble about the details of this list, we believe that the general thrust of the proposed Scope of Application is appropriate. Dot. IOUINF-1054 proposed that the following Principles pertaining to the transfer of marine technology should be taken into account: 4 Favourable economic and legal conditions for the transfer of marine technology should be fostered for the benefit of all parties concerned on an equitable basis. b) When conducting the transfer of marine technology, due regard should be given to the protection of the legitimate interests including, inter alia, the rights and duties of holders, suppliers and recipients of marine technology. c> Special account should be given to the interests of developing countries, including the land-locked and geographically disadvantaged developing countries. 4 The transfer of marine technology is part and parcel of the IOC s overall efforts in capacity building and shall be done within the IOC fields of competence. 4 The transfer of marine technology should be associated with the on-going and new programmes/projects of the IOC and fit into national and regional needs and priorities.

10 IOUAFJE-LOW8 page: 8 These draft Principles appear to be consistent with the provisions of UNCLOS, and take account of the IOC s role with respect to UNCLOS. These Principles were, however, drafted in advance of the recent revision of the IOC Statutes. Some redrafting would be appropriate to make them more consistent with the Revised Statutes. As an example, Article 3 (Functions), Section 4, of the Revised Statutes states: The Commission, in carrying out its functions, shall take into account the special needs and interests of developing countries, including in particular the need to further the capabilities of those countries in scientific research and observations of the oceans and coastal areas and related technology. Point (c) of the Draft Principles should be redrafted along the lines of Article 3, Section 4, to reflect the language adopted in November 1999 by the UNESCO Assembly. Some redrafting of points (d) and (e) of the Draft Principles would also be desirable to reflect more clearly the role of the IOC as provided in Article 3, Section l(d) of the Revised Statutes: Make recommendations and coordinate programmes in education, training and assistance in marine science, ocean and coastal observations and the transfer of related technology. Dot IOUINF-1054 also proposes certain measures that could be taken to promote the transfer of marine technology. It suggests that the transfer of marine technology could be fostered through: establishing programmes of technical cooperation for the effective transfer of all kinds of marine technology to States which may need and request technical assistance in this field; promoting favourable conditions for the conclusion of agreements, contracts and other similar arrangements, under equitable and reasonable conditions; holding conferences, seminars and symposia on scientific and technological subjects, in particular on policies and methods for the transfer of marine technology; promoting exchange of scientists and of technological and other experts; undertaking projects and promote joint ventures and other forms of bilateral and multilateral cooperation; encouraging States to contribute funds to the IOC Trust Fund or Voluntary Cooperation Fund for the purpose of promoting and facilitating the arrangement of marine technology transfer. These suggested measures are consistent with the provisions in UNCLOS cited in Section 2 of this paper. Another issue raised in Dot IOCXNF-1054 is the need for the establishment and/or strengthening of national centres and regional centres to stimulate and advance the conduct of marine scientific research by developing countries and foster the transfer of marine technology. It is suggested that cooperation between the IOC and other international organizations should be

11 IOUABE-LOW8 page: 9 encouraged to facilitate such transfer. UNCLOS provided in Articles 275 and 276 for the establishment of such centres. While efforts have been made at the bilateral and multilateral level to foster the development of centres at the national level, the issue of regional centres as envisaged in Article 276 does not appear to have been addressed adequately. Instead of bricks and mortar one approach might be to foster the use of regional marine science and ocean-related organizations to perform some of these functions. If there is at some point agreement on Principles and Measures, then the question becomes how best to implement these. The Implementation section of Dot. IOUINF-1054 contains a number of specific suggestions which require discussion and elaboration. One initiative suggested is the development of a catalogue or catalogues containing a variety of information on donor information, institutes, experts, etc. In this connection it should be noted that under the Washington Agreement on the Prevention of Pollution of the Marine Environment from Land-Based Activities, there is a provision for a Clearinghouse to assist in the transfer of relevant information to assist in the establishment of National Programmes of Action under the Global Programme of Action. The Executive Council of the IOC at its 33Td session instructed the Executive Secretary to initiate the development of a clearinghouse mechanism for ocean sciences with the purpose of facilitating Member States access to: (0 relevant information derived from recent and ongoing research; (ii) (iii) a list of ocean science global research programmes and projects; opportunities on capacity building in Ocean Science; (iv> a list of sources of information on Ocean Science (IOC Resolution ECxXx111.16). In effect, this would give effect to the proposal in Dot. IOC/INP-1054, if there were some additional items added. In pursuing this, care should be taken to ensure appropriate linkages to other existing databases accessible via Internet, to avoid duplication and unnecessary work and expense. 5. IOC Capacitv Building Initiatives 5.1 Training Education and Mutual Assistance Programme The IOC has long been involved in capacity building through its various programmes and regional bodies. The Training, Education and Mutual Assistance (TEMA) programme conducted for many years is perhaps the most visible manifestation of the IOC s efforts in this regard. Although it is small, the IOC has an important advisory, coordinating and facilitating role to play in supporting the creation and strengthening of national and regional ocean sciences, observations and services infrastructure. IOC regional bodies formulate and agree on cooperative regional projects built on national actions and addressing identified national and regional needs and priorities. They aim at regional pooling of resources and joint capacity building and draw upon the global programmes of the IOC for expertise, results and advice.

12 IOCYABE-LOSI/S page: 10 The IOC acts as a link with potential donor agencies, although it has had limited success in this respect to date. It also cooperates with regional intergovernmental subsidiary bodies and with the analogous mechanisms of sister organizations such as WMO, UNEP, UNDP and ICSU. The IOC-TEMA capacity building initiatives have been supported by the Executive Council and Assembly as central to the overall IOC role. It should be noted that in two-thirds of all TEMA activities were financed through extrabudgetary funds. In 1999 the Assembly expressed a need for a survey among Member States of their needs in capacity building in order to meet regional demands. Also in 1999 the Twentieth Assembly considered proposals for future actions to better coordinate capacity building activities across all programmes (IOC- XX/2 Annex 8). It was decided to implement a new internal mechanism of coordination through a central functional Steering Committee, which would be advised by an external Advisory Group that would replace a long-standing TEMA Group of Experts. In June 2000, the 33rd Session of the Executive Council reiterated its strong support for the TEMA programme and requested the Executive Secretary to facilitate actions in implementing the decisions of the 20 Session of the Assembly relevant to the survey of TEMA needs and the establishment of an external Advisory Group. The Executive Council also invited the Executive Secretary to identify a clear TEMA focal point within the IOC Secretariat. It is essential to maintain and enhance the capacity building initiatives under the TEMA umbrella. To ensure this occurs, a clear TEMA focal point within the Secretariat appears necessary. 5.2 Related Canacitv Building Initiatives (GOOS and JCOMM) Recent initiatives have been undertaken in the context of the Global Ocean Observing System (GOOS) and the IOC/WMO Joint Commission on Oceanography and Meteorology (JCOMM) to lay a foundation for capacity building in these programme areas. Each is considering capacity building principles and strategies. The proposed Capacity Building Strategy for JCOMM identifies a wide range of types of capacity building initiatives. These include Education, Materials, Training, Knowledge, Technical Assistance, Hardware and Maintenance, Funding, Data and Information, Infrastructure. The JCOMM document also draws attention to the failure of most capacity building programmes in international organizations to address adequately the issues of accountability and results. Both GOOS and JCOMM have recognized that they must focus on the long-term; that recipient governments must also make commitments to capacity building efforts; that programmes must be tailored to specific country or regional needs; that governments, international organizations, the private sector and donors should join forces in capacity building; and that all participants must recognize the need to sustain capacity once it has been built. 6. Conclusions Many ocean-related international and intergovernmental agreements contain articles and statements about the transfer of technology and capacity building. The UN Law of the Sea Convention contains specific provisions. Overall, the Law of the Sea Convention provides a comprehensive legal framework of rights and obligations related to the conduct of marine

13 IOUABE-LOW8 page: 11 scientific research, the promotion of marine science and the development and transfer of marine technology including capacity building. Development and transfer of marine technology including capacity building are essential elements of the Law of the Sea framework. Many of the LOS provisions could not be implemented effectively without adequate attention to these issues. While States Parties have responsibilities under the LOS for the transfer of marine technology and for capacity building, the IOC as a competent international organization also has a significant role to play. The Revised Statutes of the IOC clearly identify the IOC s responsibility with respect to capacity building. With respect to technology transfer the primary IOC competence is through the programmes and capacity of its Member States. The IOC can act as a conduit for the transfer of technology but has no technology of its own to transfer. Draft IOC Principles on Transfer of Marine Technology have been prepared by the IOC Secretariat. This document provides a good basis for discussion by ABE-LOS. These draft Principles appear to be consistent with the provisions of the Law of the Sea Convention and take account of the IOC s role with respect to the Law of the Sea. Some redrafting of these Principles is required to make them more consistent with the Revised Statutes of the IOC. Articles 275 and 276 of the Law of the Sea Convention envisaged the establishment and/or strengthening of national and regional marine science and technology centres to stimulate and advance the conduct of marine scientific research in particular by developing countries and to foster the transfer of marine technology. While efforts have been made at the bilateral and multilateral levels to foster the development of centres at the national level, the issue of regional centres does not appear to have been addressed adequately. Instead of building bricks and mortars, one approach might be to foster the use of regional marine science and ocean-related organizations to perform some of these functions, taking into the role of other programmes and organizations, e.g. UNEP, FAO. The IOC already has established initiatives in capacity building e.g. the Training, Education and Mutual Assistance Programme. The IOC Assembly has expressed support for the TEMA capacity building initiatives as central to the IOC s overall role. It is essential to maintain and enhance the capacity building initiatives under the TEMA umbrella and to strengthen integration at the regional level while maintaining a clear TEMA focal point within the IOC Secretariat. Efforts are now underway in the context of the Global Ocean Observing Programme (GOOS) and the IOCWMO Joint Commission on Oceanography and Meteorology (JCOMM) to lay a solid foundation for capacity building in these programme areas. These efforts should be encouraged, To achieve success in capacity building, initiatives must focus on the long-term; recipient governments must also make commitments to capacity building efforts. Programmes must be tailored to specific country or regional needs; governments, international organizations, the private sector and donors need to join forces in capacity building; and all participants must recognize the need to sustain capacity once it has been built. Consideration should be given to strengthening the IOC s capacity-building initiatives. Acknowledgements I would like to thank Mr. Geoffrey Holland for his assistance in providing input to this paper. Mr. Lennox Hinds and Dr. Elisabeth Marsollier also provided helpful comments.

14 IOUABE-LOW8 page: 12 INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) FIRST MEETING OF THE ADVISORY BODY OF EXPERTS ON THE LAW OF THE SEA (ABE-LOS) (Paris, June 2001) ASEAN-CANADA COOPERATIVE PROGRAMME ON MARINE SCIENCE - PHASE II (CPMS-II) BY Lennox Hinds Canadian International development Agency

15 IOC/AE%E-LOW8 page: 13 Table of Contents. Introduction Focus on Institutional Strengthening Technical Activities Marine Environmental Criteria - (EC) Technical Activities Pollution Monitoring and Baseline (PMB) Activities Red Tide Monitoring and Management (RT) Activities Lessons Learned Supporting Documents

16 IOCYABE-LOSI/S page: 14 Introduction The goal of CPMS-II was to support the regional effort of ASEAN countries to optimize marine resource-based benefits in a cooperative manner, to ensure the integrity of the resource base and promote human health protection. The overall objective was to upgrade ASEAN marine science capabilities through training in, and the execution of, three major technical activities: (i) developing tropical marine environmental quality criteria (EC); ( ii) undertaking pollution monitoring and baseline studies (PMB); and (iii) investigating toxic red tides (RT) which cause shellfish contamination, marine fish kills, and human deaths (Vigers and Watson, 1995). CPMS-II was undertaken by ASEAN to address increasing levels of environmental degradation affecting the sustainability of their living coastal and marine resources, by providing the information required to legislate marine environmental quality criteria for the protection of aquatic life and human health. The purpose was to generate, on a sustainable basis, essential information and to improve decision-making in support of marine environmental management. This situation assessment provided the overall objectives for CPMS-II and the organizational framework, including the focus on Technical Activities, for development of marine science. The objective of the Environmental Criteria (EC) Technical activities was to define criteria for the maintenance of marine environments in terms of selected biological, chemical and physical parameters. As such, the approach taken involved the development of a common set of ASEAN marine environmental quality criteria. The EC activities anticipated that marine environmental quality criteria could form the basis for the development or modification of standards by legislators within ASEAN countries. The objective of the PMB activities was to increase the ASEAN countries capability to monitor coastal marine environments. As such, the objective of the PMB activities was to generate regional marine environmental quality baseline data sets, standard methods, procedures and quality assurance/quality control (QA/QC) procedures and, guidelines for building institutional capacities in pollution monitoring, compliance and enforcement. The objective of the RT activities was to introduce key elements of a RT Management and Monitoring Framework. Such a framework was needed to help predict and monitor HAB occurrences for management decisions regarding utilization of marine resources and protection of human health. Focus on Institutional Strengthening CPMS-II addressed these programming priorities through an institutional development approach within the framework of the three technical Activities (EC, PMB, and RT), CPMS-II laid the foundation through training activities in these three aspects of marine science. With increased capacities through applied marine environmental studies and training, ASEAN has greatly increased their capability to develop and implement their own effective marine environmental management programmes.

17 IOC/ABE-LOS118 page: 15 Within this context, CPMS-II was very successful in implementing an extensive and intensive programme of training and institutional strengthening to develop ASEAN capacity in marine environmental science. CPMS-II provided a multinational integrated regional technical effort to develop skills and comprehension of principles and practices for marine environmental management, monitoring and control. This capacity was virtually non-existent at the outset of the programme. In general, ASEAN through the activities of CPMS-II: l Developed a process for determining ASEAN marine water quality criteria; l Established environmental toxicology and biological effect assessment capabilities throughout the ASEAN region; l Develop a set of scientifically defensible water quality criteria for ASEAN which is being used as guidelines for pollution monitoring; l Provided training and technical assistance in developing methodology and techniques to monitor the marine environment both in field sampling and laboratory analysis; l Collaborated with ASEAN aquatic scientists to provide marine environmental baseline studies as a means of gathering the necessary information for effective marine environmental management; l Introduced models for environmental monitoring and human health protection suitable for application at national and regional levels; l Provided training in standardized methods and operating procedures and implemented roundrobin inter laboratory comparisons using international reference standards to improve quality assurance and quality control (QA/QC) in laboratory operations and demonstrate confidence in laboratory results throughout the region; l Improved laboratory facilities in selected key ASEAN institutions and agencies with a focus on marine issues; l Established networks of ASEAN researchers for exchange of information and dialogue on marine science issues of national and regional significance; l Developed a significant body of knowledge on ASEAN marine environmental conditions and raised the standard and awareness of marine environmental conditions within the region and beyond through international conferences; l Raised the profile of marine environmental science and awareness of the need for environmental action within the region. The elements described above are some of the essential building blocks for a foundation of skills and capabilities upon which effective marine environmental management, monitoring and protection frameworks and policies can be built.

18 IOWABE-LOW8 page: 16 Technical Activities This Technical Approach for CPMS-II followed an iterative planning process involving:. situation assessment and problem identification; l policy formation and programme planning; l project planning, programme implementation and monitoring, and. evaluation and reassessment in which each of the Technical Studies was viewed as a programme with its own specific objectives. Each year programme planning was undertaken annually at the regional level, through meetings of Technical Working Groups, to review progress to date and identify programme priorities which would contribute to successful achievement of Technical Study objectives. This provided the basis for adjustments to plans through reassessment and problem identification in subsequent rounds of the cyclical planning process (Watson, 1996). As review of progress and programming was accomplished at a regional level, multinational cooperation to develop consensus to regional approaches and to identify frameworks to address environmental needs and issues was enhanced. The programme planning culminated each year in the formation of annual work plans for technical activities. The key elements of the workplans included: (i) a statement of objectives; (ii) identification of involved agencies as either target groups or responsible parties; (iii) determination of the magnitude of inputs; (iv) identification of tasks and schedules; and (v) determination, of individual project criteria of achievement. Programme implementation involved the planning and coordination of ASEAN coastal country resources by the respective countries for the achievement of component tasks (Watson, 1996). The training activities under each Technical Activity were designed as a progression of activities in the following order:. introduction of concepts and techniques in regional workshops; l follow-up with in-country training workshops to enable more detailed treatment of topics; l provision of relevant scientific information; l procurement of needed equipment and materials; and l funding of in-country case studies to reinforce training and to generate information for environmental management.

19 IOWABE-LOSI/S page: 17 In delivering training, CPMS-II focused on a limited number of ASEAN institutions and agencies as centers of excellence to maximize benefits of training exercises and establish core competencies which could be expanded in the future. Similarly, an approach of training the trainers was taken so that training could be expanded to other institutions and personnel within each country. Marine Environmental Criteria- (EC) Technical Activities The coastal marine environments of ASEAN are of prime importance for the region in terms of fisheries, aquaculture, biodiversity, tourism, trade and recreation. Coastal and ocean environments throughout the world possess the potential for continued exploitation, and the capacity to absorb and disperse anthropogenic wastes (e.g. human, agricultural and industrial pollution). However, it is now apparent that in many locations, the capacity of these environments to accommodate resource exploitation, pollutants as wastes in being exceeded. The result is significant loss of economic and social benefits that these resources could have otherwise provided. To address the problem of maintaining viable marine environments within the context of population growth and industrialization, a number of donor nations have undertaken the development of marine environmental quality guidelines, criteria and/or standards that limit the extent to which marine environments can be altered by human activities. These guidelines, criteria or standards apply to a wide range of chemical, biological and physical parameters. The major foci of the EC tasks included: 1. Criteria Formulation beginning with the identification of selected priority contaminants by ASEAN, followed by a review and analysis of existing ASEAN and world-wide data by the Canadian Executing Agency (CEA) to identify information and data gaps, and, then ASEAN countries developed tentative criteria which went through a peer review process culminating in finalization of contaminant criteria and submission of tentative criteria for review by ASEAN; 2. Building capacity for Toxicity Testing to harmonize with information needs identified to complete criteria documents. This involved reviews of laboratory facilities and protocols, selection of test organisms, development of testing protocols, and provision of technical training and technical assistance; 3. In-country and regional technical training workshops, technical assistance, and information dissemination augmented and supported achievements of targets within these priority foci. The EC technical activities determined selected water quality criteria defined a process for ongoing water quality criteria formulation and developed the capacity for toxicity testing in ASEAN. Pollution Monitoring and Baseline (PMB) Activities There is an integral link between the EC tasks and the PMB tasks in those environmental criteria that provide baseline benchmark values that are within the context of monitoring. Criteria provide the evaluation tools, which allow managers and decision-makers to judge the results of baseline environmental and pollution monitoring programmes. Monitoring programmes are used to:

20 IOUABE-LOW8 page: 18 identify and qualify existing data and factual information on existing or potential pollution problems; evaluate the effectiveness of pollution abatement programmes and other regulatory/management actions; assess compliance with regulations and criteria; and enhance knowledge on marine systems and environmental health. Monitoring programmes are beneficial if their objectives and methods of analysis (chemical, biological and statistical) are identified clearly during the initial sampling design; if they lead to decisions which reduce environmental degradation; or if they rank or prioritize pollution problems so that resources are focused on the most important problems. Pollution monitoring can: measure exceedence of pollutants compared to legal or quasi-legal parameters (compliance monitoring using criteria, guidelines, and standards); determine if a given activity (e.g., effluent discharge) is having an effect on the receiving environment; determine if environmental criteria or standards are protective of environmental resources (i.e., criteria verification); determine if conditions in the environment are changing over time; contribute to the development or verification of mathematical or conceptual model to predict environmental quality (Vigers & Watson, 1995). CPMS-II adopted a conceptual implementation approach with EC, this demonstrates a critical progression in development incorporating: analysis of ASEAN facilities; identification of priorities for pollution monitoring; selection of protocols; technical training and assistance for standardized methods for pollution monitoring; application of methods in case studies based on pollution priorities; data analysis and interpretation. The Technical Studies culminated in enhanced national monitoring programmes, standardized methods for pollution monitoring and a much higher degree of quality of data from ASEAN laboratories.

21 IOUABE-LOS118 page: 19 Red Tide Monitoring and Management (RT) Activities A major concern identified in the ASEAN region was the impact of harmful algae blooms (HABs) on human health, natural marine resources, and aquaculture. Subsequently, this became one of the three principal components of the CPMS-II programme. There are many species of marine micro-algae that bloom in tropical coastal marine waters, but only a small number lead to harmful effects. However, these harmful algae may be widespread and the potential exist for every coastal ASEAN country to experience HAB occurrences. The key elements of CPMS-II Red Tide management framework included: establishment of presence/absence of harmful species of phytoplankton through the taxonomic identification of plankton cysts in sediments and motive cells in the water column; occurs; monitoring the location and local environmental conditions when plankton blooms monitoring shellfish for the presence of biotoxins, particularly Paralytic Shellfish Poison (PSP) that are a result of HAB; establishing networks, releasing alerts, preparing public awareness posters, and posting advisories among established networks regarding the occurrence of HAB and issuing bans on harvesting of shellfish in affected areas; raising awareness among government decision-makers, the health profession and the general public regarding the dangers of HAB through newsletters, workshops and conferences. AS with the other two Technical Studies, the Red Tide approach represented a progression from analysis of ASEAN capabilities, a review of current Red Tide research and management techniques, introduction of a HAB Monitoring and Management Framework, establishment of RT Networks, and training in key technical components vital to Red Tide monitoring. The technical approach was to establish Red Tide Alert and Information Networks and enhance ASEAN Red Tide monitoring programmes. Lessons Learned Project Objectives and Design Regional Approach The experience of CPMS-II indicated that regional forums have stimulated regional cooperation that has lead to products and impacts that would have otherwise been unattainable. For example, (i) the development of 18 regionally applicable marine environmental criteria; (ii) the attainment of regional performance standards through regional inter laboratory comparisons; (iii) the establishment of the ASEAN Marine Environmental Quality Criteria (AMEQC) Working Group and the Red Tide Alert Network for ASEAN; (iv) achievement of a great level of cooperation and exchange of information between ASEAN scientists and managers.

22 IOC/ABE-LOW8 page : 20 There is clearly a continued role for regional programmes. Regional programming encourages cooperation, consultation and transparency in environmental management of common issues. It improves performance on deliverables because of visibility and commitment, and provides integrated and cohesive approaches to policy development, training and issues in marine and coastal environmental management that transcend boundaries. Similarly, regional programming exposes scientists and researchers from coastal countries to expertise, methodologies, processes, forums, practices and policies of other countries both within and outside the region. Cooperation is further enhanced through the identification of national solutions and alternatives for problems and issues that are common to other regional partners. The regional CPMS-II development approach was based on a cohesive programming direction at a regional level that also allowed for tailoring specific environmental actions by each country. This development approach worked very well within an iterative annual planning framework. It is worth noting that CPMS-II programming in fact greatly preceded the Global Program of Action (GPA). There are many opportunities for complementarity with bilateral programming whose focus is moving to establish more programmes at the local level. However, continued support for both regional and bilateral programming would require greater coordination between CIDA programming and host governments than currently appears to exist, in order to maximize effectiveness. Future regional programming should be designed with the following elements in mind: l the technical, institutional mandate and management capacities as well as capability in marine environmental management varied greatly at the outset of the programme, but capacities are now more evenly distributed across the region;. the ASEAN countries are at different levels of commitment institutionally and politically, but regional cooperation and scientific exchange is now very strong and enthusiastically supported;. there are numerous marine environmental initiatives by other donor agencies and institutions but the risk of duplication of activities of CPMS-II is low. This is because no other programming activities have chosen the strategy taken by CPMS-II, nor have they focused on operationalizing environmental planning and management activities to address specific issues;. conversely, CPMS-II has not duplicated the activities of other donors, or indeed any of CIDA s bilateral programming, although the products of CPMS-II could and should be more widely incorporated into bilateral programming; and. working with several different governments, management styles, and currencies require a level of management and administration substantially beyond most other CIDA projects. Having the CEA Deputy Project Manager based in Kuala Lumpur at the PEC, proved very effective in managing the programme, not withstanding ASEAN concerns about the associated support costs. More administrative difficulties were encountered by counterparts with the transfer of CEA activities from the PEC back to a Canadian base of operations during the extension phase of CPMS-II.