INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) Tenth Intergovernmental Session of the IOC Sub-Commission for the Western Pacific (WESTPAC-X)

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1 Restricted distribution IOC/SC-WESTPAC-X/inf.11 2 May 2015 English only INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) Tenth Intergovernmental Session of the IOC Sub-Commission for the Western Pacific (WESTPAC-X) Phuket, Thailand, May 2015 PROGRAMME AND BUDGET FOR AND WORKPLAN

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3 Restricted Distribution IOC/EC-XLVII/2 Annex 3 Rev. Paris, 2 July 2014 Original: English INTERGOVERNMENTAL OCEANOGRAPHIC COMMISSION (of UNESCO) Forty-seventh Session of the Executive Council UNESCO, Paris, 1-4 July 2014 Items 3.1 and 7.1 of the Agenda PROGRAMME AND BUDGET FOR & WORKPLANS Summary This document contains the summary of the IOC Programme and Budget for and Workplans prepared by the Secretariat, based on the guiding principles adopted by the IOC Assembly at its 27 th session, 26 June 5 July 2013, and the budgetary envelope approved by the General Conference of UNESCO at its 37 th session. It also contains the Complementary Additional Programme (CAP) proposals for extrabudgetary resources mobilization as an addendum to this document. Decision: Following the discussion in the plenary as part of the Executive Secretary s report, this document will be examined by the statutory openended Financial Committee and the decision reflected in the Resolution that the Financial Committee will be submitted for adoption by the Executive Council in accordance with paragraph 15 of the draft revised guidelines for the preparation and consideration of draft resolutions.

4 IOC/EC-XLVII/2 Annex 3 Rev. 1. The Programme and Budget for and workplans translate the strategic objectives defined in the Medium-Term Strategy (IOC/INF-1314) adopted by the IOC Assembly at its 27 th session (26 June 5 July 2013) into programme focus areas with clear results expected at the end of the two- and four-year periods. While the programmes are defined for the quadrennial period , the budget allocation to the programmes is proposed for the biennial period , in line with the General Conference resolutions to maintain the biennial cycle for the appropriation of the budget and to move towards a results-based budgeting approach. 2. The main challenge in the next quadrennial period will be in striking a balance between maintaining on-going operational programmes, ensuring the implementation of the IOC core mandate in ocean research, services and capacity building, and still allowing IOC to address some emerging issues. Continued emphasis on coordination, exchange, initiation of activities and strengthening of key functions is required, while implementation to a large degree has to be done with extrabudgetary resources and in collaboration with partners. IOC PROGRAMME Promoting knowledge and capacity for protecting and sustainably managing the ocean and coasts (UNESCO 37 C/5, Major Programme II, Main Line of Action 3) 3. In accordance with the IOC Medium-Term Strategy , the IOC programme implementation strategy is organized in a conceptual framework of functions: A. Foster research to strengthen knowledge of ocean and coastal processes and human impacts upon them [Ocean research] B. Maintain, strengthen and integrate global ocean observing, data and information systems [Observing system / data management] C. Develop early warning systems and preparedness to mitigate the risks of tsunamis and ocean-related hazards [Early warning and services] D. Support assessment and information to improve the science-policy interface [Assessment and Information for policy] E. Enhance ocean governance through a shared knowledge base and improved regional cooperation [Sustainable management and governance] F. Develop the institutional capacity in all of the functions above, as a cross-cutting function [Capacity Development] 4. The above six functions support the achievement of the following Expected Results identified in 37 C/5: Expected Result 4: Scientific understanding of ocean and coastal processes bolstered and used by Member States to improve the management of the human relationship with the ocean Addressed mainly through IOC Functions A and B 5. A changing climate and growing human impact on the marine environment puts the sustainability of ocean ecosystem services in doubt. The human population on the coast is growing, thus increasing vulnerability to ocean-related hazards, and emphasizing the importance of marine resources to livelihoods and food security. The risks posed to ocean ecosystems by global environmental change should be assessed at multiple scales, which requires careful coordination of multidisciplinary studies, and synthesis of these results into forms suitable for communication and use by decision- and policy-makers.

5 IOC/XLVII/2 Annex 3 Rev. page 2 6. Improving the scientific knowledge base of ocean and coastal processes is therefore a key factor in managing the human relationship with the ocean. Marine science has made substantial progress, but many areas of active research remain, requiring global coordination to develop a comprehensive view. 7. Sustained ocean observations over an extended period of time are required to address these societal and scientific issues, by improving the knowledge base and serving as a basis to apply this knowledge. These observations should be coordinated to common standards, and integrated for multiple purposes. New observing techniques and variables should be included when ready, and global capacity to make these observations nurtured. The data collected need to be managed and shared at the global level. Similarly, scientific knowledge, technology, reports and research papers must be globally and openly disseminated. 8. The WMO-IOC-ICSU World Climate Research Programme (WCRP) organizes large-scale observational and modelling projects in climate science, and provides the international forum to align efforts of thousands of climate scientists to ensure the availability of the best possible climate information. 9. Understanding and quantifying the role of the ocean as a natural sink for CO2 is crucial for establishing international emissions-stabilization scenarios, and for understanding the ocean's role in the future under changing climate conditions. Developing a global picture requires significant international cooperation and coordination. A focused activity on ocean carbon sources and sinks, implemented through the International Ocean Carbon Coordination Project (IOCCP), provides scientific and technical advice to IOC-UNESCO and the Member States on matters related to ocean carbon, ocean acidification, blue carbon and climate change mitigation by managing marine ecosystems. 10. The development of the sustained Global Ocean Observing System (GOOS) rests on the common definition of observing requirements to address scientific and societal issues, and the intergovernmental coordination of national observing efforts from space and in situ into a global system based on standards and shared effort. GOOS provides a platform for this collaboration and the building of national capacity. It seeks within a Framework for Ocean Observing to sustain present observations, expand to new variables serving new societal imperatives, and to build readiness and capacity to observe the ocean. The Joint WMO-IOC Technical Commission for Oceanography and Marine Meteorology (JCOMM) is an important implementing body for GOOS. Both WCRP and JCOMM contribute to the WMO-IOC-UNEP-ICSU Global Climate Observing System (GCOS). Data and information management activities are coordinated by the IOC s International Oceanographic Data and Information Exchange (IODE) through projects such as the IODE Ocean Data Portal (ODP), Ocean Biogeographic Information System (OBIS), the OceanDocs e-repository, the OceanKnowledge portal and others. 11. The Global Environment Facility (GEF)-funded programmes such as the Large Marine Ecosystem (LME) network and the Transboundary Waters Assessment Programme (TWAP) are suitable platforms to provide quantitative information and indices of change on environmental aspects, as well as the tools for scientific comparisons at the appropriate scales. Performance Indicator Baseline Quantitative and/or Qualitative Target/Benchmark CAP Number of international initiatives reinforcing the links between WCRP and IOC scientific priorities and programmes in activities of the WCRP projects and programmes 1 Working Group in Enhance IOC observation activities in Polar regions by supporting WCRP involvement in the International Polar Partnership Initiative subject to the decision of the 47 th session of the IOC Creation of at least two working groups/ workshops of common interest to IOC and WCRP to widen the climate and oceanographic research Implementation of regional climate downscaling methods to enhance preparedness of SIDS and low lying coastal areas to adapt to climate change impacts

6 Performance Indicator Baseline IOC/EC-XLVII/2 Annex 3 Rev. page 3 Quantitative and/or Qualitative Target/Benchmark CAP Executive Council. Number of international agreements on standards and methodologies established and implemented No existing baseline Publication of best practices guides and implementation of methodologies by at least 10 national research institutions Implementation of best practices guides and methodologies by at least 15 national research institutions Ocean Acidification Observing System established and work plan to cover the existing gaps implemented Increase in data sharing among the international carbon programmes and institutions 6.3 million surface water CO 2 data in 2012 Increase in ocean carbon data in the Surface Ocean CO 2 database (SOCAT) by 15% at the end of 2015 Increase in ocean carbon data in the Surface Ocean CO 2 database (SOCAT) by 25% at the end of 2017 Time series community of practice established and the first global report What are the time series telling us printed Continued and diversified Member State investment sustaining implementation levels for in situ and space observations of the ocean for climate and weather Increased number of sustained observing requirements for Essential Ocean Variables (EOVs) defined and readiness assessments performed, including for geochemical, biological and ecosystem variables, and new observing networks for sustained observations of these variables integrated into GOOS and JCOMM 62% of implementation against GCOS/GOOS goals in 2013 Six Member States made financial contributions to observing network technical coordination for JCOMMOPS through IOC in 2012 All present geochemical EOVs are defined for ocean carbon but not for ocean acidification, and none for biodiversity/ecosystem EOVs OceanSITES time series and global GO- SHIP repeat hydrography networks presently address non-physical EOVs Status of ocean observation implementation goals sustained or improved from 62% Number of Member States contributing to sustained basin-scale ocean observing networks and technical coordination increased by 15% Requirements for five new EOVs defined where feasibility and importance of the variable are high One new observing network for nonphysical EOVs coordinated through GOOS and the JCOMM Observations Coordination Group Status of ocean observation implementation goals sustained or improved from level, and in response to evolving goals as appropriate Number of Member States contributing to sustained basin-scale ocean observing networks and technical coordination increased by 25% Evaluations of readiness for implementation of these new EOVs achieved Two new observing networks for nonphysical EOVs coordinated through GOOS and JCOMM Observations Coordination Group Strategic planning and defined requirements for an ocean observing system responding to stakeholder needs Scientific research enabled and ocean forecast systems initialized and validated Enhanced Member States capability to make sciencesupported decisions about a series of societal challenges (climate variability and change, marine and coastal hazards, ocean acidification, ecosystem services), through a platform creating a coordinated and enhanced ocean observing system and data exchange standards

7 IOC/XLVII/2 Annex 3 Rev. page 4 Performance Indicator Baseline Quantitative and/or Qualitative Target/Benchmark CAP Number of projects initiated to reinforce developing country GOOS Regional Alliances with common observing and modelling tools to provide local services from ocean observations Modelling projects exist in SEAGOOS, MONGOOS and are emerging in IOGOOS Projects in one additional GOOS Regional Alliance initiated Project in two additional GOOS Regional Alliances initiated Improving local outreach with decision-makers on the importance of ocean observations to address societal challenges Assessing and using regionally available ocean forecast products for local priorities Number of institutions sharing data and information through the IODE network of data centres and marine libraries Number of data records available through OBIS and ODP portals, e- repository and OceanDocs Number of publications mentioning OBIS Information (indices and trends in global to local species diversity, and community composition as well as shifts in species distribution ranges) suitable for end users and decision-makers, made available Number of international scientific initiatives focusing on marine ecosystem functioning, and impacts of change and variability on ecosystem services, where national research institutions are participating 80 institutions in IODE network 37M records in OBIS data sets in ODP, 4000 records in OceanDocs 80 in 2012 Twice per year 90 institutions participating in the IODE network and related portals Records in the OBIS database increased to 38.5M, number of datasets in the OceanDataPortal increased to 200, number of bibliographic records in OceanDocs e- repository increased to citations by the end of 2014 Global species diversity maps (number of species, Hulbert and Shannon index) updated 4 times per year 10 in 2012 At least 15 intercomparable marine ecosystem assessments produced 120 institutions participating in the IODE network and related portals Records in the OBIS database increased to 40M, number of datasets in the OceanDataPortal increased to 300, number of bibliographic records in the OceanDocs e- repository increased to citations by the end of 2017 Global species diversity maps (number of species, Hulbert and Shannon index) updated 6 times per year At least 20 intercomparable marine ecosystem assessments produced Coastal ocean observing techniques adapted to local technical capacity, in the framework of an ocean information system The network of participating institutions increased as well as the number of data records provided to IODE s databases, and the number of times they have been cited (such as OBIS) An increase in our understanding of the dynamics of marine species diversity and distribution through time and space to support global assessments of the state of the marine environment and Member States reporting obligations Provide at least 3 regional scenarios or climate change effects on marine ecosystem functions and services

8 IOC/EC-XLVII/2 Annex 3 Rev. page 5 Expected Result 5: Risks and impacts of tsunamis and other ocean-related hazards reduced, climate change adaptation and mitigation measures taken, and policies for healthy ocean ecosystems developed and implemented by Member States Addressed mainly through IOC Functions C and D 12. Human well-being related to the ocean is dependent on applying the scientific knowledge base through early warning and sustained services to protect life, health and property on the coast and at sea, education on the risks, and scientific assessments to inform environmental and climate policy and action. 13. Reducing the loss of lives and livelihoods resulting from tsunamis requires assessing tsunami risk, implementing Tsunami Early Warning Systems (TWS), and educating communities at risk about preparedness measures. The provision of early warning services for sea ice, waves, storm surges, and harmful algal blooms requires intergovernmental coordination and promotion of common standards and best practices. Many of these services are underpinned by the development of operational ocean forecast systems. 14. Ensuring that decision-making and policy cycles are fully informed by scientific knowledge related to the ocean requires the development of specific science-policy interfaces. This includes scientific assessments and assembly of the best available policy-relevant scientific knowledge to allow informed decisions and actions. These are complemented by information tools for decision support, along with trials and sharing of best management practices related to the climate and ocean environment. 15. The IOC Tsunami Programme, through the coordination of regional meetings, capacitydevelopment activities and the support of national and regional projects, is a key stakeholder for tsunami risk reduction at global level. 16. Services related to sea ice, waves, and storm surges, as well as operational ocean forecast systems, are intergovernmentally coordinated through JCOMM in concert with ocean agencies and meteorological services around the globe. 17. One of the core activities of the IOC Tsunami Programme is stakeholder training and education. 18. Through the IODE OceanTeacher programme, the long-term impact and re-usability of training content can be better assured. In addition, use can be made of the planned regional training centres established through the OceanTeacher Global Classroom programme. 19. Several global assessments will be published in the coming years (1st World Ocean Assessment in 2014, 4th Global Biodiversity Outlook in 2014, and 1st IPBES assessment in 2018). A fundamental indicator of biodiversity is species composition. High species diversity is essential for maintaining ecosystem functioning and can be regarded as an essential indicator of ocean health. IOC's Ocean Biogeographic Information System (OBIS), the world's largest online openaccess database on the diversity, distribution and abundance of all marine life, is an important global source of information on marine biodiversity. It provides an important baseline, against which future change can be measured, and is used for identifying hotspots and species distribution patterns. OBIS will provide data and information such as diversity indices and trend graphs for use in global and regional biodiversity assessments. 20. Increases in nutrient loading have been linked with the development of large blooms of harmful algae, leading to anoxia and even toxic or detrimental impacts on fisheries resources, ecosystems, and human health or recreation. Proliferations of microalgae in marine or brackish waters can cause massive fish kills, contaminate seafood with toxins, and alter ecosystems in ways that humans perceive as harmful. Many sources of nutrients can stimulate such harmful algal blooms (HAB). The export of Phosphorus to the ocean has increased 3-fold compared to preindustrial levels, and Nitrogen has increased even more dramatically, especially over the last 40

9 IOC/XLVII/2 Annex 3 Rev. page 6 years. The IOC Harmful Algal Bloom Programme (I-HABP) and the GEF-funded IOC project N- CIRP (Nutrients and Coastal Impacts Research Programme) are adequate platforms for observation, modelling and management of nutrient loading and harmful algal episodes at local and regional scales. 21. The UN World Ocean Assessment (WOA) report approved by the UN General Assembly (UNGA) will analyse on a regular basis the most recent results on observations, impacts, trends, and projections to advise decision makers, specialists and the general public on the conditions of marine ecosystems reflecting the current status, recent trends, influences on ocean health, as well as socio-economic aspects. The WOA will be a check-up for the ocean and is expected to be delivered in late 2014 or early 2015, with technical and scientific support from the IOC. Performance Indicator Baseline Quantitative and/or Qualitative Target/Benchmark CAP Harmonized and standardized monitoring and warning systems for coastal hazards in all four regions Harmonized mitigation and adaptation plans in most vulnerable countries impacted by coastal hazards Only sea level detection component is harmonized across all regional tsunami warning systems by end of workshop held by end of 2013 Sea level and seismic detection components harmonized across all regional tsunami warning systems At least 2 workshops on coastal hazards assessments within an overall risk assessment, management and mitigation framework implemented Tsunami warning systems in four regions in process of harmonization and becoming interoperable At least 4 workshops on coastal hazards assessments within an overall risk assessment, management and mitigation framework implemented At least one tsunami wave exercise coordinated and implemented for the NEAM region Tsunami awareness and preparedness improved in at least one region Number of international scientific and capacity enhancing initiatives on improved monitoring and management of (i) harmful algal bloom events and their impacts, (ii) nutrient loading, and where national institutions are participating 10 Capacity enhancing initiatives implemented in National research institutions participating in the implementation of IOC science projects in At least 6 capacity enhancing initiatives implemented At least 35 national research institutions participating in the implementation of IOC science projects At least 6 capacity enhancing initiatives implemented At least 40 national research institutions participating in the implementation of IOC science projects At least 6 capacity enhancing activities targeted at enhanced HAB management in LDC and African implemented per biennium. An IOC/UNESCO Global HAB Status Report published Training module on nutrient management developed in Ocean Teacher and implemented in at least 4 regions Number of Member States benefiting from improved capacity for operational ocean forecast systems 7 expert/science workshops advancing international cooperative research organized in Member States participate in the JCOMM-ETOOFS team on an active basis in 2013 At least 4 expert/science workshops advancing international cooperative research organized One additional Member State actively participating in operational ocean forecast system coordination through JCOMM At least 6 expert/science workshops advancing international cooperative research organized Two additional member States actively participating in operational ocean forecast system coordination through JCOMM Guidance to decision making on policy and technological options for reduction of nutrient loading to the marine environment published and at least 4 regional training workshops held Capacity of Member States to address local ocean-related hazards and management problems improved through the use of globally available information and

10 Performance Indicator Baseline IOC/EC-XLVII/2 Annex 3 Rev. page 7 Quantitative and/or Qualitative Target/Benchmark CAP ocean forecast products. Improved local understanding of the role of the ocean in human well-being Course (training) materials used in capacity enhancing activities related to early warning systems, mitigation and adaptation made available to Member States through Ocean Teacher 1 course available in the Ocean Teacher training platform 5 courses entered in Ocean Teacher for use in training courses 10 courses entered in Ocean Teacher for use in training courses An increase in training material available to Member States to enhance the capacity to contribute to IOC s programs in ocean related risk mitigation measures Number of World Ocean Assessment (WOA) regional workshops and training courses organized with the assistance of the IOC 3 in At least 3 WOA regional workshops/ training courses organized with the assistance of IOC A new cycle of the WOA is launched under UNGA with IOC s scientific and technical support One training module on the WOA developed and available through Ocean Teacher First report of the WOA delivered with IOC s technical and scientific support Number of regional marine ecosystem assessments conducted and contributing to the WOA N/A 10 in 2012 The first edition of WOA report delivered by the beginning of 2015 At least 64 intercomparable marine ecosystem assessments produced at regional/lme level A follow-up proposal to the TWAP assessment is formulated and submitted to donors At least 5 regional training courses organized for all major ocean basins Expected Result 6: Member States institutional capacities reinforced to protect and sustainably manage ocean and coastal resources Addressed mainly through IOC Functions E and F 22. Because the ocean knows no political or geographical barrier, and activities in the waters of one country may impact on the ocean globally, it is essential for all countries to coordinate actions and activities and to have the necessary capacity for managing the waters under their legal jurisdiction. 23. In order to meet its global agenda, IOC will elaborate and adopt the new Capacity Development Strategic Plan, which will give a major thrust to the improvement of formal tertiary qualifications in ocean science of the nationals of its Member States, including through training provided through IOC s Ocean Teacher Academy. The aim of this Capacity Development Strategic Plan is to ensure that Member States have a core group of highly qualified marine scientists who can advise their governments on the management of their ocean and coasts and at the same time extend the expertise of this core group more broadly through national training initiatives. A pool of trained ocean scientists in least developed and developing Member States will ensure that local capacity is available for receiving the ocean technology which is transferred from more developed

11 IOC/XLVII/2 Annex 3 Rev. page 8 Member States. This new Capacity Development Strategic Plan will, in fact, build the foundations in order for the IOC to meet its UN mandate in relation to the transfer of marine technology. 24. As regards the OceanTeacher Academy, trainees will be monitored throughout their career and interviewed regarding the use of the acquired expertise. 25. Technical support will be provided to assist Member States in the application of ecosystembased management tools within their national waters. Building on the new Marine Spatial Planning (MSP) Guidelines on Monitoring and Evaluation (2014), training will be conducted in a least two regions and cooperation with UNESCO World Heritage marine sites will be pursued. Through the Large Marine Ecosystem (LME) programme funded by the Global Environment Facility (GEF), IOC will lead the establishment of a global network of LME practitioners through enhanced sharing and application of knowledge and information tools. The new ICAM guidelines on coastal risk reduction will be disseminated and a new website collecting best practices and guidance will be established to provide resources to coastal management authorities in charge of coastal adaptation and hazard mitigation. 26. One of the core objectives of the IOC, as it is embedded in its statutes and recognized by UNGA, is to build national capacities in marine scientific research and ocean observation so that all coastal nations of the world are able to benefit from the conservation and sustainable use of the ocean and its resources. However, in order to direct international support effectively, appropriate tools are needed to identify gaps in, and document on a regular basis, Member States needs and investments in ocean science, including institutional and human technical capacities. It is in this context that the IOC Assembly at its 27 th session (26 June 5 July 2013) considered the proposal by the Secretariat to establish a Global Ocean Science Report and decided to establish an openended intersessional working group funded by extrabudgetary sources in order to allow Member States to review and improve the proposal. As a reporting mechanism, the IOC Global Ocean Science Report could provide a tool for mapping and evaluation of the human and institutional capacity of Member States in terms of marine research, observations and data/information management, as well as a global overview of the main developments and trends in marine technology, innovation and higher education. 27. In line with UNESCO s and IOC s priority for Africa and considering the rapid development taking place in that part of the world, special attention will be given to Africa. Following its launch in 2012, the IOC Sub-Commission for Africa and Adjacent Islands (IOCAFRICA) has held two sessions and developed a Strategic Plan. A donors meeting will be organized in order to identify funds and funders for the priority projects of the Sub-Commission. 28. Overall guidance on general policy and the main lines of work of the Commission will be provided by the IOC Governing Bodies (Assembly and Executive Council), and for regional implementation by regional subsidiary bodies: IOC Sub-Commission for Africa and Adjacent Islands (IOCAFRICA), IOC Sub-Commission for the Caribbean and Adjacent Regions (IOCARIBE) and IOC Sub-Commission for the Western Pacific (WESTPAC). Performance Indicator Baseline Quantitative and/or Qualitative Target/Benchmark CAP Percentage of marine scientists to total scientific professionals in a country Number of scientists using expertise acquired through Ocean Teacher in their work Existing national data 2% increase 5% increase 7% increase in the number of qualified marine scientists especially in developing and least developed countries No data available 10% of experts trained through Ocean Teacher will report that they use the expertise acquired in their daily work At least 25% of experts trained through Ocean Teacher will report that they use the expertise acquired in their daily work At increase in the number of scientists using the skills acquired through Ocean Teacher training for improved curation of data and information for ocean

12 Performance Indicator Baseline IOC/EC-XLVII/2 Annex 3 Rev. page 9 Quantitative and/or Qualitative Target/Benchmark CAP management Number of countries participating in and contributing to the review of the Global Ocean Science Report proposal N/A At least 30 countries providing input to the review Results of the review presented to the IOC Executive Council at its forty-seventh session (1-4 July 2014) Future action depends on the results of the review and the subsequent decision of the IOC Executive Council CAP goal will be determined based on the decision of the IOC Executive Council Number of countries reporting use of IOC s ecosystem based management guidelines and coastal hazard/climate change adaptation tools in the development, management and evaluation of their national programmes Amount of additional extrabudgetary funding raised and number of additional projects implemented from these funds by IOCAFRICA 12 countries reported and 15 countries involved in regional projects $ 150K in 2012 No new project in 2012 At least 20 countries reported to implement IOC guidelines and 20 countries involved in regional projects One international conference on the state-of-the-art in Marine Spatial Planning At least $ 1M of extrabudgetary funding raised At least 2 new projects initiated by IOCAFRICA Additional 20 countries reported to implement IOC guidelines by end of At least $ 2M of extrabudgetary funding raised At least 5 new projects initiated by IOCAFRICA A dedicated Marine Spatial Planning course developed and implemented in 5 regions (5 training courses). An international conference on MSP organized 2 regional projects on coastal hazards mitigation/marine assessment initiated Additional new projects initiated by IOCAFRICA following the priorities defined by the Sub- Commission in its strategic plan Number of UN interagency collaborative activities with IOC participation in support of Sustainable Development, SIDS, Ocean knowledge and capacity development N/A At least 5 events/joint publications produced contributing to UN major events At least 2 funded inter-agency initiatives At least 5 side events/meetings organized to promote SIDS participation in IOC programmes and 2 outreach publications published One or two interagency initiative(s) (side event, technical meeting) organized to promote oceans in SDG process 29. IOC programmes will also contribute to the achievement of UNESCO s Global Priorities: Africa and Gender.

13 IOC/XLVII/2 Annex 3 Rev. page 10 UNESCO Global Priority Africa 30. Africa is an overarching priority and IOC will ensure that it is mainstreamed in all its programmes and that it is reflected in the performance indicators. The importance given to Africa is reflected in the recent creation of the IOC Sub-Commission for Africa and Adjacent Island States (IOCAFRICA) and the appointment of a full-time Secretary to the Sub-Commission. Since its launch in 2012, the Sub-Commission has held two sessions and developed a strategic plan. IOCAFRICA has received both cash and in-kind support from Member States, which will be further mobilised to ensure the success of IOCAFRICA. In addition, programmes will be further decentralised to ensure proximity with Member States. 31. IOC will contribute to: Flagship 4, ER 1: African Member States needs for scientific knowledge and capacity development in ocean science, ocean observation, ocean hazard mitigation and data management addressed (through the contribution of MPII) Performance Indicator Baseline Quantitative and/or Qualitative Target/Benchmark Number of countries participating in and contributing to the review of the Global Ocean Science Report proposal Percentage of marine scientists of total scientific professionals in a country Number of scientists using expertise acquired through Ocean Teacher in their work N/A At least four African countries participating in the review To be determined based on the results of the review and the subsequent Executive Council decision Existing data 2% increase Additional 3% increase No data available 10% of experts from Africa trained through Ocean Teacher will report that they use the expertise acquired in their daily work 25% of experts from Africa trained through Ocean Teacher will report that they use the expertise acquired in their daily work Flagship 4, ER 5: African Member States provided with enhanced capacity in assessing risk and providing early warning of natural hazards and integrating Disaster Risk Reduction into national plans, in particular into educational plans and programmes (through the contribution of MP II) Performance Indicator Baseline Quantitative and/or Qualitative Target/Benchmark Harmonized and standardized tsunami monitoring systems cover North West African coasts None for the East Atlantic One One additional Number of supported countries with enhanced capacity in disaster risk reduction through knowledge generation/dissemination, training, tools and advocacy Three at the end of 2013 At least four At least nine

14 IOC/EC-XLVII/2 Annex 3 Rev. page 11 UNESCO Global Priority Gender 32. UNESCO approach for Global Priority Gender Equality is built on two main axes: genderspecific programming, focusing on women s and men s social, political, and economic empowerment, and mainstreaming gender equality considerations in policies, programmes and initiatives. 33. The IOC contribution to Global Priority Gender Equality will focus in particular on one of the foreseen actions, which is to ensure that (i) international science cooperation for peace and sustainability allows for representation and voices for women and men and (ii) conditions are provided for both women and men to be agents of mitigation, adaptation, resilience and sustainability. 34. IOC is committed to promoting the equal presence of men and women in the marine sciences community, activities that include women in marine sciences through effective measures and policies, and role models for young women scientists. 35. Moreover, gender equality will be mainstreamed into IOC high level objectives: Early warning systems and preparedness for tsunamis and ocean-related hazards: Women, who are more socially, economically and politically vulnerable in most societies, are more severely affected by natural disasters than men. Therefore, gender-sensitive preparedness and awareness shall be developed by mainstreaming gender into early warning governance and institutional arrangements as a cross-cutting issue. Improved capacity for sustainable management of the ocean and coastal zone: Coastal and ocean management addresses the use, access and control of coastal and marine resources, which are affected by the gender system prevailing in a given community. Organizational processes to facilitate knowledge and experiences of women in interacting with the marine ecosystem should therefore be provided. IOC BUDGET (UNESCO 37 C/5) 36. In accordance with the decisions by the UNESCO Governing Bodies to move towards a results-based budgeting approach, the IOC programme and budget for are structured by expected result. 37. In the Zero Nominal Growth budget of $ 653 M presented by the Director-General to UNESCO Member States, the IOC was attributed a net allocation of $ 11,855,000. The amount of $ 12,028,000 in the published Draft 37 C/5 includes the IOC proportional share of centrally managed common costs. 38. Compared to the previous biennium (36 C/5 approved), the proposed budgetary allocation for the IOC in the Draft 37 C/5 ($ 653 M scenario) implied a nominal increase of approximately $ 0.5 M.

15 IOC/XLVII/2 Annex 3 Rev. page 12 COMPARISON OF ALLOCATIONS 36 C/5 with staff at 37 C/5 full costs vs Draft 37 C/5 ($ 653 M) 36 C/5 approved Draft 37 C/5 ($ 653 M) Difference Programme Staff TOTAL On this basis, the IOC Secretariat developed a budgetary proposal for consideration by the IOC Assembly at its 27 th session (Paris, 26 June 5 July 2013). The proposal was guided by a series of underlying principles and the analysis of the budgetary trends of the past years, with a view of ensuring programme continuity, while also proposing some new initiatives. The proposal provided clear and transparent information on the intergovernmental component of the programmes and its related costs, as well as on the legal commitments of the Commission, in order to allow the Governing Bodies to make informed decisions. Following the lessons learned in dealing with the financial constraints of the biennium related to the suspension of the USA contributions, all efforts were made to reduce the costs of statutory meetings and operating/running costs though a number of cost-efficiency measures. 40. In the context of the current financial difficulties, the most important concern was considered to be the vulnerability of the IOC staffing situation. While the freeze of two regular budget-funded professional positions (JCOMM and Executive Officer) had its impact on IOC s delivery capacity, in particular as regards JCOMM activities and the North-Eastern Atlantic and the Mediterranean Tsunami Warning System (NEAMTWS), the most important impact in terms of staff was caused by the suspension of USA voluntary contributions. This led to the loss of five positions [two JCOMM Observing Platform Support Centre posts and one Ocean Observation Panel for Climate (OOPC) coordinator post to WMO; one International Ocean Carbon Coordination Project (IOCCP) officer and one assistant project officer to ICSU's Scientific Committee on Oceanic Research (SCOR)]. While IOC managed to maintain its involvement in the programmes through partnerships with WMO and SCOR, its leadership and impact were clearly reduced, and the delivery as a platform for coordination of the ocean observing system through GOOS and JCOMM dispersed geographically. 41. The staff establishment proposed under the Draft 37 C/5 $ 653 M scenario reflected a number of staffing choices, based on priorities. Compared to the 36 C/5 approved staff establishment re-costed at full 37 C/5 costs, the total proposed increase was of $ 282,000, which represents the difference between: - the cost of new proposed posts: At HQ: In the Field: 1 part-time junior professional web-editor (shared with SC) 1 full-time professional post for OBIS and GOOS (Ostend) 1 full-time professional post for IOCARIBE (Cartagena) Contribution towards an SC post in the New York Office - savings from: At HQ: suspension of the Executive Officer post (function to be assumed by AO/IOC) Abolition of one G staff position and downgrading of another Abolition of the IOC contribution towards the SC post in Kingston (currently 20% IOCARIBE) 1 For the sake of simplicity, comparison is based on the figure of $ 3,439,400 for the 36 C/5 programme allocation, given that contributions to common costs and additional allocation under the Intersectoral Platform on Climate Change more or less cancel each other out.

16 IOC/EC-XLVII/2 Annex 3 Rev. page 13 RESTORING A FROZEN POST FOR JCOMM WITH A REVISED SCOPE TO INCLUDE NEAMTWS: 42. The P3 JCOMM post that was suspended in would be opened for recruitment under the Draft 37 C/5 $ 653 M scenario and would cover JCOMM and ICG/NEAMTWS Secretariat. For JCOMM, the post would focus on the Services and Forecast Systems Programme Area, where IOC has led in the development, standardization, intercomparison and capacitybuilding related to Operational Ocean Forecast Systems. The Programme Specialist would also contribute to JCOMM work in standardizing and developing operational services for sea ice, storm surges, waves, and maritime safety services. Overall IOC's support to JCOMM would be maintained through a reassignment of work for the Observations Programme Area to a GOOS programme specialist; GOOS in turn would receive reinforced support from the biodiversity programme specialist (see below). The other 50% of the position would support the intergovernmental coordination of the development of NEAMTWS. NEAMTWS is in a critical startup phase and there is a need for steady coordination to the further development of NEAMTWS. Three Candidate Tsunami Watch providers started their operational service in July/August 2012 and two additional ones are expected in The coordination work centres around: (i) standardization and harmonization of the operation of the work of the NEAMTWS Candidate Tsunami Watch Providers; (ii) enhancement of the tsunami detection system in North Africa; and (iii) enhancing preparedness and awareness in many NEAMTWS Member States through the NEAM Tsunami Information Centre. Without support IOC will not have staff and funding to carry out the NEAMTWS coordination work and the NEAM Tsunami Information Centre activities after 31 December BIODIVERSITY AND ECOSYSTEMS: OBIS & GOOS: 43. The UN General Assembly (A/RES/63/111) expressed its serious concern over the current and projected adverse effects of climate change on the marine environment and marine biodiversity. However, without accurate, repeatable and timely biological data it is impossible to adequately address the global ocean environmental issues of pollution, climate impact and mitigation, ocean acidification, ecosystem management, biodiversity loss, and habitat destruction. IOC Member States have repeatedly stressed the need to monitor and manage ocean biogeographic data as a key element for national ocean and coastal resource management. This position would support IOC's role in biodiversity and ecosystems monitoring, data management, and information generation through OBIS and GOOS. 44. The Ocean Biogeographic Information System (OBIS), the data legacy of the decade-long Census of Marine Life, a $ 650 M foundation-led project that gathered data from 2,700 scientists and 540 expeditions, provided the opportunity to adopt an existing global network for biogeographic data and to attract its associated research community. As a consequence, the IOC Assembly at its 25th Session (IOC Resolution XXV-4, June 2009), adopted OBIS as part of its IODE programme. OBIS has continued to grow and has established a network of hundreds of data providers around the globe. It now provides the world's largest and unique global online openaccess database on the diversity, distribution and abundance of all marine life. It provides an important baseline, against which future change can be measured, and is used around the globe for planning ocean conservation policies, identifying biodiversity hotspots and global trends in species distributions. At the 10th Conference of the Parties (Decision COP10/29 para. 10 and 35; October 2010), the 193 Member States of the Convention on Biological Diversity (CBD) were requested to further enhance globally networked scientific efforts such as OBIS, to continue to update a comprehensive and accessible global database of all forms of life in the sea, and to further assess and map the distribution and abundance of species in the sea. They also explicitly called upon IOC-UNESCO to further facilitate availability and inter-operability of the best available marine and coastal biodiversity data sets and information across global, regional and national scales. In this context, OBIS data is used for the identification of the biologically most significant marine areas, a process convened by the CBD. OBIS data is also used for the identification of Vulnerable Marine Ecosystems, a process led by the UN Food and Agriculture Organization (FAO).

17 IOC/XLVII/2 Annex 3 Rev. page 14 Moreover, OBIS will provide information for global assessments on the status of marine biodiversity, which will be reported for example in the 1st UN World Ocean Assessment. OBIS will support the Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES), and may contribute to other UNESCO programmes such as Man and Biosphere and the marine World Heritage Programme. In order to continue and further develop this important and unique marine biodiversity programme within the UN system, and ensure that IOC-UNESCO can keep its world leading position in coordinating the global marine biodiversity knowledge base, stable adequate staffing is required. 45. The Global Ocean Observing System (GOOS) is expanding to biology and ecosystems variables, while sustaining present observations. IOC Resolution XXVI-8 recommitted to GOOS, aligned to a Framework for Ocean Observing and an Essential Ocean Variable approach, with an expanding set of variables in order to address an expanding set of societal requirements. These include the monitoring of human impact on ocean ecosystems, in order to help in their sustainable management and to ensure that benefits valuable ocean ecosystem goods and services continue. The resolution emphasizes GOOS's essential role in providing observations and products to inform actions taken under global conventions including the CBD. In order to properly support the new GOOS Biology and Ecosystems panel, expert staffing is required. IOCARIBE: 46. Upon request of the IOC Secretariat, the Internal Oversight Service (IOS) of UNESCO carried out a review of the regional structure of the Secretariat of the IOC Sub-Commission for the Caribbean (IOCARIBE). The purpose of the review was to identify operational constraints and offer recommendations for the future. One of the findings of the review is that the current situation of the IOCARIBE Secretariat is unsustainable, with the main recommendation being that the IOCARIBE Secretariat needs to be reinforced to demonstrate enhanced performance and effectiveness, and that it should develop a strong basis for financial sustainability of the Secretariat s operations in the future. The report concludes by recommending that the Secretariat in Cartagena should be reinforced and should operate with a full time IOCARIBE Secretary and not through 20% use of a professional jointly with the Science sector stationed in the UNESCO Office in Kingston (Jamaica).The review called for Member States of the region to provide extrabudgetary funding to ensure a sustainable staffing situation. SPENDING PRIORITIES BASED ON THE EXPECTED CASH FLOW FOR Following the discussion of the UNESCO Draft Programme and Budget for (Draft 37 C/5) at the 191st session of the Executive Board (10 26 April 2013), the decision was made to request the Director-General, taking into account the debates at the 191 st session as well as at the special session to be held on 4 July 2013, to present to it at its 192 nd session a full income and expenditure plan (191 Decision 15(II)): based on the expected cash flow for of $ 507 million; with an increased share of the baseline envelope allocated to Part II.A (Programmes) and a reduced share allocated to the other parts of the budget 48. The Executive Board also set up an open-ended working group, composed of three Board Members from each electoral group, chaired by the Chairs of the Programme and External Relations (PX) and Finance and Administrative (FA) Commissions, tasked to work with the Director-General in order to identify programmatic priorities for application and selection to be pursued in the event of a significant cash flow shortfall.

18 IOC/EC-XLVII/2 Annex 3 Rev. page The Working Group met on May and June 2013 and conducted the scoring exercise aimed at ranking the 48 expected results (ERs) identified by the five Major Programmes/Sectors. The aim of the scoring was to provide a basis for resource allocation in accordance with the result-based budgeting approach. 50. The first meeting of the Working Group ranked each of the three IOC expected results individually, despite caution from several Member States that the prerogative for programme priority setting belongs to the IOC Assembly. However, at the second meeting, following the clarification from the Secretariat, it was acknowledged that the IOC expected results should be considered as one entity so as to determine the budgetary allocation, while recognizing the IOC Assembly s authority to define priorities. 51. The results of the scoring exercise resulted in four budget allocation scenarios: two scenarios for sectoral priority ranking and two scenarios for global priority ranking. In both approaches at sector or at global level the IOC expected results were rated very highly (as second priority after three Education ERs at global level and as second priority after two Water ERs at the sector level). 52. As the result of the scoring currently stands, the IOC expected results 6 and 7 were ranked as high priority in all scenarios, while expected result 8 was ranked as medium priority (the IOC expected results were renumbered to 4, 5 and 6 in the final version of the C/5). 53. Scenarios 1A (sectoral) and 2A (global) allocate budgets to the top priority at the level proposed in Draft 37 C/5 $ 653 M scenario until the funds run out and all lower priorities get zero funding. This approach was rejected by the majority of Member States. 54. Scenarios 1B (sectoral) and 2B (global) divide the expected results into three categories: high, medium and low priority and allocate budgets by %: 100% to high priorities; 60-65% to medium priorities and 27-33% to low priority. 55. The Working Group expressed preference for Scenario 1B, under which the IOC expected results 7 and 6 are funded at the Draft 37 C/5 $ 653 M level and the expected result 8 at 65%. Total 37 C/5 $ 653 M Scenario 1B Operational Staff Total $ % ER ER ER TOTAL In this context, the IOC Secretariat sought the Assembly s guidance on the approach to adopt in case of a severe cash shortfall. The Assembly examined documents IOC-XXVII/2 Annex 4 and Addendum and, while noting with great concern that the financial difficulties are expected to continue into biennium, took positive note of the high priority given to the IOC in the priority ranking exercise conducted by the UNESCO Executive Board Working Group (June 2013) in line with the Commission s status as a body with functional autonomy within UNESCO. 57. It expressed its appreciation to the IOC Executive Secretary for the comprehensive document on the proposed Draft Programme and Budget for , including clear links to: the Draft Medium-Term Strategy and its high level objectives; the implementation strategy through a conceptual framework of functions; the well-defined expected results and draft Complementary Additional Programme for Extrabudgetary Resources. The Assembly adopted Resolution XXVII-2 which includes in Annex 2 the following guiding principles to be used by the Secretariat in further improving the proposed framework of expected results, performance indicators and benchmarks, and in defining the spending priorities for in case of a budgetary reduction due to a cash flow shortfall:

19 IOC/XLVII/2 Annex 3 Rev. page 16 Provide focused leadership on those themes where IOC has clear leadership/ownership in the programme theme; Fulfill IOC s intergovernmental mandate: incompressible costs related to governing and subsidiary bodies meetings, statutory requirements and commitments vis-à-vis partners and other UN agencies, including their implications in terms of staff time; Support governments in national activities and strengthen Regional Subsidiary Bodies of the Commission; Incorporate the scope of Member States participation (inclusiveness); Maximize synergies with other IOC programmes and interlinked functions: e.g. Ocean observations-based early warning systems; Preserve/sustain core programmes, while raising extrabudgetary funds for capacity development actions; Provide some seed money for new high potential impact programmes and emerging issues (likely to attract extrabudgetary funding); Balance IOC s strong engagement with the ocean science community and its strong focus on applications and services; Reduce funding for programmes, if necessary, with strong partners that could carry them (also reducing IOC s stake), if they concur; Identify Member States willing to establish funded and staffed offices to take on an entire IOC programme based on existing good practices; Identify activities that can be sustained with extrabudgetary funding; Allow some seed money for new high potential impact programmes and emerging ocean science issues (likely to attract extrabudgetary funding); and Ensure that at least 25% of resources are allocated to operations under each ER. 58. As regards the %age of funds to be allocated to each Expected Result, the Assembly adopted the following approach: Regular Programme (RP) Total 37 C/5 $ 653 M XB secured* XB Complementary Additional Programme (XB-CAP) RP IOC Assembly Priority Ranking Scenario Operational Staff Total $ $ $ % ER ER ER TOTAL * Extrabudgetary funds in hand or committed in writing as at 31 May The rightmost column illustrates the preferred distribution of the regular budget to Expected Results (ERs) in a scenario with an allocation of 86% of the total budgetary allocation to the IOC proposed in the fully-funded Draft 37 C/5 ($ 653 M scenario). This preferred distribution among ERs is based upon consideration of the functions and activities contributing to each ER, their interrelation as well as the need to fulfil statutory requirements and agreements. 60. The final budgetary allocation approved by the UNESCO General Conference at its 37 th session was of $ 8,643,600 or 72% of the fully funded 37 C/5. The application by the IOC

20 IOC/EC-XLVII/2 Annex 3 Rev. page 17 Secretariat of the Assembly s instructions regarding percentages to be attributed to each expected result, led to the following allocation: 37 C/5 fully funded Executive Board instructions re. allocation Interim proposal (1B) studied by IOC Assembly IOC Assembly's instructions re allocation Allocation proposed in 192 EX/16 $ % % of fullyfunded % of fully funded % of fully funded $ % of fullyfunded ER ER ER TOTAL In this context, the Secretariat did its best to follow the Assembly s guidelines in allocating the funds to the functions and activities under each Expected Result. Programme structure and budgetary allocations C/5 - $ 507 M Total Allocation Funds earmarked for Global Priorities within Total Allocation Africa $ % $ ER 4 - Scientific understanding of ocean and coastal processes bolstered and used by Member States to improve the management of the human relationship with the ocean FUNCTION A: Foster ocean research to strengthen knowledge of ocean and coastal processes and human impacts upon them WCRP and ocean-related climate research in service to society Ocean Carbon Sources & Sinks Impact of Climate change on ocean & coastal ecosystems FUNCTION B: Maintain, strengthen and integrate global ocean observing, data and information systems GOOS Work Plan GOOS Projects through IOCAFRICA GOOS Pacific & Indian Ocean Projects through Perth Programme Office JCOMM Observations IODE & OBIS core systems IOC contribution to common UNESCO costs IOC operating costs Gender Total ER % 0 ER 5 - Rises and impacts of ocean-related hazards reduced, climate change adaptation and mitigation measures taken, and policies for healthy ocean ecosystems developed and implemented by Member States FUNCTION C: Develop early warning systems and preparedness to mitigate the risks of tsunamis and ocean-related hazards Promote integrated and sustained monitoring and warning systems Educating communities at risk with respect to ocean-related hazards prevention Contribute to develop Member States capacities for coastal hazards assessment Research & monitoring on algal events for the protection of human health, ecosystem services and food security JCOMM Services IODE & OBIS products and services