ࡱ>  fbjbjBqBq 7 ~_ ~_AeX[8=7|  (C !!###6666666$:o=r6#####6!!46%%%#!!6%#6%%p34Uɺ$446 70=74=+%=$4=4%###66%###=7####=######### !: Limited Distribution IOC/GE-CD-I/ Ag.4.6 13 March 2018 Original: English INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) First Session of the IOC Group of Experts on Capacity Development UNESCO HQ, Paris, France, 21-23 March 2018 Concept for operationalising the IOC Criteria and Guidelines on the Transfer of Marine Technology through the establishment of a Clearing House Mechanism Introduction The IOC Criteria and Guidelines on the Transfer of Marine Technology (CGTMT) aim to support the implementation of the development and transfer of marine technology as per Part XIV of the United Nations Convention on the Law of the Sea (UNCLOS) by providing a tool to promote capacity building through international cooperation. A clearinghouse mechanism (CHM) was proposed as a principal tool for implementing the CGTMT. The purpose of this document is to provide a basis for discussion about the potential future development of the CHM concept, at the IOC Group of Experts on Capacity Development and Technology Transfer 21-23 March 2018. The document provides background to the concept for a CHM, and identifies the following areas for discussion: Purpose Functions Users Models Partnerships Governance architecture and technical infrastructure Identifying and overcoming barriers Next steps Background The IOC CGTMT state that IOC shouldin consultation with relevant international, governmental and non-governmental organisations, and other partnersestablish and coordinate a CHM for the transfer of marine technology. IOC currently serves a number of functions that are aligned with the concept of the CHM as envisaged in the IOC CGTMT. For example, OceanTeacher Global Academy facilitates access to training courses, Ocean Expert provides lists of scientific and technical expertise, IODE and OBIS provides access to biodiversity data, Ocean Data Standards and Ocean Data Practices enable access to knowledge and information, IOC Capacity Development website provides an overview of relevant activity areas. Existing architecture that could provide a foundation for a CHM includes candidate regional training centres under OceanTeacher, as well as those hosted by IOC Member States, OBIS regional data nodes, GOOS regional alliances, IOC regional projects and programs, regional Tsunami Information Centres, and the OceanKnowledge Platfrom pilot project, and the proposed Ocean Data and Information System. The term clearinghouse mechanism appears in a number of IOC documents including areas such as: the transfer of marine technology for the conservation and sustainable use of BBNJ, to the role of IODE, the functions of Tsunami Information Centres. However, a single CHM has not yet been established by IOC. Although a CHM is not explicitly mentioned in the IOC Capacity Development Strategy 2015-2021, the functions of the CHM as envisaged in the CGTMT closely align with the intended outputs of the strategy: development of human resources; access to infrastructure; strengthening global and regional mechanisms; developing research policies; increasing visibility and awareness; reinforcing resource mobilisation. Given the apparently growing international interest in a potential CHM, it is timely to identify issues requiring investigation and discussion to develop a pathway to establish a CHM. Today, a confluence of policy initiatives aimed to conserve and sustainably use the ocean (including the 2030 Agenda for Sustainable Development Goal 14 and United Nations Decade of Ocean Science for Sustainable Development 2021-2030) add a fresh urgency to the discussions regarding the CHM. Furthermore, the preparations for a new international legally binding instrument for the conservation and sustainable use of marine biological diversity in areas beyond national jurisdiction under UNCLOS (BBNJ instrument) fuelled international interest in the CHM. Areas for discussion Purpose According to the CGTMT, the purpose of the CHM is to: provide interested users in Member States with direct and rapid access to relevant sources of information, practical expertise in the transfer of marine technology, as well as to facilitate effective scientific, technical and financial cooperation to that end. The concept of the CHM has broadened and evolved over recent years, with suggestions that it could support the implementation of a range of international initiatives and legal instruments. According to two 2017 IOC reports: The role of the CHM is to support the transfer of marine technology in order to provide users from Member States, public and private sector and any interested parties with direct and rapid access to relevant sources of information, practical experience and scientific and technical expertise, as well as to facilitate scientific, technical and financial cooperation for more effective science and policy interface() The CHM should become the primary information repository to support the international conventions and agreements and, at the same time provide a platform to share information, build partnerships and forge collaboration for the growth and transfer of marine technology in developing countries. Internationally, CHMs often exist to deliver a clearly defined purpose, such as to support the implementation of a treaty. Overall, a number of information sharing and collaboration platforms exist to support various initiatives. The scope of the IOC CHM could be considered to be broad as a potential tool to support the implementation of international initiatives, such as those under SDG14 or a future BBNJ agreement. Alternatively, the scope of a CHM could be confined to implementation of IOC programs and projects. In summary, three options could be envisaged: Option A: overarching CHM for all ocean issues (incorporating many UN entities, regional and national initiatives) framed around SDG14. Option B: CHM for IOC initiatives. Option C: multiple CHMs for clearly defined issues, legal instruments or policy directives such as a BBNJ instrument. For example, the report of the BBNJ PrepCom indicates that a clearinghouse mechanism is envisaged, stating that: The text would set out modalities to facilitate the exchange of information relevant to the conservation and sustainable use of marine biological diversity of areas beyond national jurisdiction for the implementation of the instrument. It would make provision for mechanisms such as data repositories or a clearing-house mechanism. Possible functions of a clearing-house mechanism could include: Dissemination of information, data and knowledge resulting from research relating to marine genetic resources of areas beyond national jurisdiction, information on traditional knowledge associated with marine genetic resources of areas beyond national jurisdiction, as well as other relevant information related to marine genetic resources. Dissemination of information relating to capacity-building and transfer of marine technology, including facilitation of technical and scientific cooperation; information on research programmes, projects and initiatives; information on needs related to capacity-building and transfer of marine technology and available opportunities; and information on funding opportunities.  What should the purpose and scope of a CHM be? Functions As per the CGTMT, marine technology refers to instruments, equipment, vessels, processes and methodologies required to produce and use knowledge to improve the study and understanding of the nature and resources of the ocean and coastal areas. This includes: information and data manuals, guidelines, criteria, standards, reference materials sampling and methodology equipment observation facilities and equipment equipment for in situ and laboratory observations, analysis and experimentation computer and computer software, including models and modelling techniques expertise, knowledge, skills, technical/scientific/legal know-how and analytical methods relating to marine scientific research and observation The CGTMT states that the CHM should include: List of governmental, non-governmental or private entities interested in participating as donors in the transfer of marine technology, including information on the contact focal points, addresses, fields of competence, items to be transferred Opportunities for projects or initiatives Sources, availability and cost of marine scientific and technological information and data for transfer in different disciplines of marine sciences Directory of marine research institutes which offer laboratory facilities, equipment and opportunities for research and training Offers of cruise studies at global, regional and sub-regional level  List of experts/specialists for scientific and technical assistance Universities and other organisations offering study grants and facilities in marine science Workshops, seminars and training courses at global, regional and sub-regional level, in particular those offering financial support Studies on rules and regulations concerning technology transfer and marine scientific research Links with national, sub-regional and/or regional agreements, institutions and centres holding information, experience and technical expertise of scientific relevance. The functions of the CHM that were envisaged in the CGTMT align with many of the potential outputs of the IOC CD strategy (2015-2021), as illustrated in Table 1. Table 1: Elements of a clearinghouse mechanism aligned with examples of potential capacity development outputs under the IOC CD Strategy Clearinghouse mechanism (IOC CGTMT, 2005)Potential capacity development outputs under IOC CD Strategy 2015-2021List of governmental, non-governmental or private entities interested in participating as donors in the transfer of marine technology6 (Sustained resource mobilisation reinforced)Opportunities for projects or initiatives1 (Human resources developed) 3 (Global, regional and sub-regional mechanisms strengthened) 5 (Visibility and awareness increased)Sources, availability and cost of marine scientific and technological information and data for transfer in different disciplines of marine sciences3 (Global, regional and sub-regional mechanisms strengthened) Directory of marine research institutes which offer laboratory facilities, equipment and opportunities for research and training2 (Access to physical infrastructure established or improved) 1 (Human resources developed)Offers of cruise studies at global, regional and sub-regional level 1 (Human resources developed)List of experts/specialists for scientific and technical assistance1 (Human resources developed)Universities and other organisations offering study grants and facilities in marine science1 (Human resources developed)Workshops, seminars and training courses at global, regional and sub-regional level, in particular those offering financial support1 (Human resources developed)Studies on rules and regulations concerning technology transfer and marine scientific research4 (Development of ocean research policies in support of sustainable development objectives)Links with national, sub-regional and/or regional agreements, institutions and centres holding information, experience and technical expertise of scientific relevance3 (Global, regional and sub-regional mechanisms strengthened) 6 (Sustained resources mobilisation reinforced) A 2017 report suggested that a CHM could develop data sharing regimes, provide, common standards and interoperability and a platform for information exchange and partnership building. Other options could include innovative approaches to access data, courses, workshops, forums and information. For example telepresence on research cruises facilitates remote access to real time data and video streams by teams of shore-based scientists globally. Similarly high quality online ocean MOOCS/OTGA courses facilitates learning that is cost effective and open to all. What could the functions of a CHM be? Users As a tool to implement the IOC CGTMT, the primary users of the CHM could be considered to be those that are the anticipated beneficiaries of technology transfer, particularly developing States. The IOC CGTMT refer repeatedly to donors and recipients of technology. However, some technology transfer activities go beyond traditional concepts of bilateral donation and are more closely aligned to multilateral knowledge exchange. A 2017 IOC report on the operationalisation of the IOC CGTMT highlighted the need to create an environment to allow technology and knowledge diffusion to take place. Who would be users and contributors to a CHM? How can they be consulted and engaged? For example, the CHM could be used by: Practitioners Providers of information International intergovernmental organisations Non-state actors, including private sector and international non-governmental organisations Regional organisations National government agencies, research organisations. Models The conceptual idea for the CHM as a decentralised network system to facilitate cooperation for the exchange, integration and dissemination of information and data in a timely manner in order to support sustainable development of the oceans and seas. A hub and spoke model has been proposed. For example, this could include hubs for: training opportunities, scientific activities, governance, access to infrastructure and communication. CHMs are a widespread tool to promote information exchange and support benefit sharing, they are commonly composed of a central portal and associated nodes. What models are there for a CHM? What are the advantages and disadvantages, considering criteria such as efficiency and resources? Partnerships The role of partnerships and consultations with international governmental and non-governmental organisations for the establishment and coordination of the CHM is recognised in the CGTMT. In IOC alone, there are a number of groups that could engage in the CHM. In the UN system, organisations such as the ISA and FAO also provide functions relevant to the transfer of marine technology that could be relevant to the CHM. At regional level, leading regional organisations with a focus on ocean science and capacity development could also engage in supporting the functions of a cooperation. More widely, various private and public sector organisations could potentially contribute to a CHM. Engaging a wide group of stakeholders could prevent duplication and enhance efficiency, however, this would depend on the desired function and scope of a CHM. Which organisations could be partners in the establishment, coordination and operation of a CHM? How could they be engaged in the planning for a CHM? Governance architecture and technical infrastructure Technological developments offer a growing array of opportunities to engage a range of stakeholders. A hub and spoke network model for a CHM offers advantages in terms of efficiency and cost-effectiveness. This would also require sophisticated coordination mechanisms to engage a range of actors, including for example national focal points and regional hubs. What are the technical options for a CHM? What corresponding governance architecture would be necessary to ensure efficient and equitable global, regional and sub-regional participation? Identifying and overcoming barriers Possible reasons for the lack of establishment of a CHM that have been suggested to date include resource constraints, a lack of requests from Member States, technological challenges and the political landscape, a lack of clearly identified institutional roles and responsibilities, weak enabling environments, and a lack of incentives. Establishing the CHM will require financial investment, stakeholder engagement, staff support, technical infrastructure, collaborative governance arrangements. Enabling the CHM to be used will require stakeholder engagement, training. Possible next steps One option to develop the CHM would be to undertake a broad stakeholder consultation process and conduct a scoping study to identify and evaluate options to establish the CHM. This could include: Further examine and address the questions raised in this document, including the aim, objectives and scope of a CHM as well as key stakeholders Assemble a list of existing platforms and CHMs that contribute to CD/TMT Identify relevant models of CHM and propose options for a CHM including governance models and examples of technical architecture Develop a pilot project (e.g. focusing on a particular theme or region or activity)  IOC-UNESCO (2005) IOC Criteria and Guidelines on the Transfer of Marine Technology.  HYPERLINK "http://unesdoc.unesco.org/images/0013/001391/139193m.pdf" http://unesdoc.unesco.org/images/0013/001391/139193m.pdf  IOC-UNESCO (2005) Criteria and Guidelines on the Transfer of Marine Technology. C.1.(a).  The report of IOC to the fourth session of the BBNJ PrepCom compares the functions of the CHM, as envisaged in the CGTMT, to the IOC CD strategy output/activity/action See IOC 2017. Ad Hoc Report of the IOC to BBNJ PrepCom4  HYPERLINK "http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF" http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF P14-15.   HYPERLINK "http://classroom.oceanteacher.org/" http://classroom.oceanteacher.org/   HYPERLINK "http://www.oceanexpert.net/about.php" http://www.oceanexpert.net/about.php See also IODE alumni system  HYPERLINK "http://www.iode.org/alumni" \t "_blank" http://www.iode.org/alumni  Note also:  http://www.oceandatastandards.org/  http://www.oceandatapractices.org   HYPERLINK "http://www.ioc-cd.org/" http://www.ioc-cd.org/  IOC Medium Term Strategy 2014-2021  HYPERLINK "http://unesdoc.unesco.org/images/0022/002282/228221m.pdf" http://unesdoc.unesco.org/images/0022/002282/228221m.pdf p15.  The OceanKnowledge Platform will offer the user a single access point to various linked IODE information and data products such as researcher profiles, publications, data, learning objects, etc. and will furthermore facilitate social networking between specialized research communities.  HYPERLINK "https://www.iode.org/index.php?option=com_content&view=article&id=367&Itemid=100082" https://www.iode.org/index.php?option=com_content&view=article&id=367&Itemid=100082  IOC-UNESCO (2015) Transfer of Marine Technology: Knowledge Sharing and Capacity Development for Sustainable Ocean and Coastal Management  HYPERLINK "http://unesdoc.unesco.org/images/0023/002325/232586e.pdf" http://unesdoc.unesco.org/images/0023/002325/232586e.pdf p8.  IOC Medium Term Strategy 2014-2021  HYPERLINK "http://unesdoc.unesco.org/images/0022/002282/228221m.pdf" http://unesdoc.unesco.org/images/0022/002282/228221m.pdf p15.  The report of IOC to the fourth session of the BBNJ PrepCom compares the functions of the CHM, as envisaged in the CGTMT, to the IOC CD strategy output/activity/action. IOC (2017) Ad Hoc Report of the IOC to BBNJ PrepCom4  HYPERLINK "http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF%20P14-15" http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF P14-15. See also IOC (2015) IOC Capacity Development Strategy 2015-2021.  HYPERLINK "http://unesdoc.unesco.org/images/0024/002440/244047m.pdf" http://unesdoc.unesco.org/images/0024/002440/244047m.pdf  IOC 2017. Ad Hoc Report of the IOC to BBNJ PrepCom4  HYPERLINK "http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF" http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF P14-15.  IOC 2017. Ad Hoc Report of the IOC to BBNJ PrepCom4  HYPERLINK "http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF%20P14-15" http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF P14-15.;  IOC-UNESCO (2005) Criteria and Guidelines on the Transfer of Marine Technology. C.1.(a).  IOC 2017. Ad Hoc Report of the IOC to BBNJ PrepCom4 HYPERLINK "http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF%20%20P14-15" http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF P14-15 .; IOC-UNESCO (2017) IOC Criteria and Guidelines for the Transfer of Marine Technology The Clearing House Mechanism (CHM), UNESCO-IOC, Paris. Pp 22. Report prepared by Asha Singh.  For example Convention on Biological Diversity clearinghouse  HYPERLINK "https://www.cbd.int/chm/" https://www.cbd.int/chm/  For example SDG14 knowledge platform  HYPERLINK "https://sustainabledevelopment.un.org/sdg14" https://sustainabledevelopment.un.org/sdg14  Report of the Preparatory Committee established by General Assembly resolution 69/292: Development of an international legally binding instrument under the United Nations Convention on the Law of the Sea on the conservation and sustainable use of marine biological diversity of areas beyond national jurisdiction. 31 July 2017. A/AC.287/2017/PC.4/2.  HYPERLINK "http://www.un.org/ga/search/view_doc.asp?symbol=A/AC.287/2017/PC.4/2" http://www.un.org/ga/search/view_doc.asp?symbol=A/AC.287/2017/PC.4/2 . 16. This appeared in section A i.e. generated convergence among most delegations.  IOC-UNESCO (2005) A.2.  One example of this is Ocean Training Partnerships, which matches spare berths/spare legs on research surveys to students requiring offshore training.  HYPERLINK "http://www.oceantrainingpartnership.org/" http://www.oceantrainingpartnership.org/  See IOC CGTMT (B)(c)(i) developing States, particularly landlocked and geographically disadvantaged States as well as other developing States which have not been able to establish or develop their own capabilities in marine sciences, scientific research, observations of the oceans and coastal areas, and related technology, or to develop the infrastructure needed to achieve such ends.  IOC-UNESCO (2017) IOC Criteria and Guidelines for the Transfer of Marine Technology The Clearing House Mechanism (CHM), UNESCO-IOC, Paris. Pp 22. Report prepared by Asha Singh.  The IOC capacity development portal provides examples of how training opportunities can be accessed  HYPERLINK "http://portal.ioc-cd.org/" http://portal.ioc-cd.org/. The EU Marine Training platform is another  HYPERLINK "http://marinetraining.eu/" http://marinetraining.eu/ example.  IOC-UNESCO (2017) IOC Criteria and Guidelines for the Transfer of Marine Technology The Clearing House Mechanism (CHM), UNESCO-IOC, Paris. Pp 22. Report prepared by Asha Singh.  For example 2001 International Treaty on Plant Genetic Resources for Food and Agriculture.  The IOC CGTMT state that the IOC should establish and coordinate a CHM in consultation with relevant international, governmental and non-governmental organisations, and other partners. IOC-UNESCO (2005) Criteria and Guidelines on the Transfer of Marine Technology. C.1.(a). IOC-UNESCO (2017) IOC Criteria and Guidelines for the Transfer of Marine Technology The Clearing House Mechanism (CHM), UNESCO-IOC, Paris. Pp 22. Report prepared by Asha Singh.  IOC 2017. Ad Hoc Report of the IOC to BBNJ PrepCom4  HYPERLINK "http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF" http://www.un.org/Depts/los/biodiversityworkinggroup/IOCreportforBBNJPrepCom-FINAL.PDF P14-15.  IOC-UNESCO (2017) IOC Criteria and Guidelines for the Transfer of Marine Technology The Clearing House Mechanism (CHM), UNESCO-IOC, Paris. Pp 22. Report prepared by Asha Singh.  IOC-UNESCO (2017) IOC Criteria and Guidelines for the Transfer of Marine Technology The Clearing House Mechanism (CHM), UNESCO-IOC, Paris. Pp 22. Report prepared by Asha Singh. Estimated rough order of magnitude cost as US$1,175,000 for the first year of development and establishment of the CHM (including technical infrastructure, meetings and engagement, training, project management).     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