Chapter 2. Mandate, Information Sources and Method of Work
Contributors: Alan Simcock (Lead member and Convenor), Amanuel Ajawin Beatrice Ferreira, Sean Green, Peter Harris, Jake Rice, Andy Rosenberg, an Juying Wang (Co-lead members).
The World Summit on Sustainable Development, held in Johannesburg, South Africa in 2002, recommended that there should be established a Regular Process for th Global Reporting and Assessment of the Marine Environment, includin Socioeconomic Aspects (WSSD, 2002). This recommendation was endorsed by th United Nations General Assembly (UNGA) in 2002 (UNGA, 2002).
After considerable preparatory work, including as a first phase the production of th assessment of assessments (AoA, 2009), the United Nations General Assembl approved in 2009 the framework for the Regular Process developed by its Ad Ho Working Group of the Whole. This framework for the Regular Process consisted of (a) the overall objective for the Regular Process, (b) a description of the scope of th Regular Process, (c) a set of principles to guide its establishment and operation an (d) the best practices on key design features for the Regular Process as identified b the group of experts established for the assessment of assessments (see below) The framework further provided that capacity-building, sharing of data, informatio and transfer of technology would be crucial elements of the framework. Th following paragraphs set out these elements in the terms approved by the Genera Assembly (AHWGW, 2009; UNGA, 2009).
1. Overall objective
The Regular Process, under the United Nations, would be recognized as the globa mechanism for reviewing the state of the marine environment, includin socioeconomic aspects, on a continual and systematic basis by providing regula assessments at the global and supraregional levels and an integrated view o environmental, economic and social aspects. Such assessments would suppor informed decision-making and thus contribute to managing in a sustainable manne human activities that affect the oceans and seas, in accordance with internationa law, including the United Nations Convention on the Law of the Sea’ and othe applicable international instruments and initiatives.
The Regular Process would facilitate the identification of trends and enabl appropriate responses by States and competent regional and_ internationa organizations.
The Regular Process would promote and facilitate the full participation of developin countries in all of its activities.
* United Nations, Treaty Series, vol. 1833, No. 31363.
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Ecosystem approaches would be recognized as a useful framework for conductin fully integrated assessments.
2. Capacity-building and technology transfer
The Regular Process would promote, facilitate and ensure capacity-building an transfer of technology, including marine technology, in accordance wit international law, including the United Nations Convention on the Law of the Se and other applicable international instruments and initiatives, for developing an other States, taking into account the criteria and guidelines on the transfer of marin technology of the Intergovernmental Oceanographic Commission.
The Regular Process would promote technical cooperation, including South-Sout cooperation.
States and global and regional organizations would be invited to cooperate with eac other to identify gaps and shared priorities as a basis for developing a coheren programme to support capacity-building in marine monitoring and assessment.
The value of large-scale and comprehensive assessments, notably in the Globa Environment Facility’s international waters large-marine ecosystems initiatives, i identifying and concentrating on capacity-building priorities would be recognized.
Opportunities for capacity-building would be identified, in particular on the basis o existing capacity-building arrangements and the identified capacity-buildin priorities, needs and requests of developing countries.
States and relevant international organizations, bodies and institutions would b invited to cooperate in building the capacity of developing countries in marin science, monitoring and assessment, including through workshops, trainin programmes and materials and fellowships.
Quality assurance procedures and guidance would be developed to assis Governments and international organizations to improve the quality an comparability of data.
3. Scope
The scope of the Regular Process is global and supraregional, encompassing the stat of the marine environment, including socioeconomic aspects, both current an foreseeable.
In the first cycle, the scope of the Regular Process would focus on establishing  baseline. In subsequent cycles, the scope of the Regular Process would extend t evaluating trends.
The scope of individual assessments under the Regular Process would be identifie by Member States in terms of, inter alia, geographic coverage, an appropriat analytical framework, considerations of sustainability, issues of vulnerability and
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future scenarios that may have implications for policymakers.
4. Principles
The Regular Process would be guided by international law, including the Unite Nations Convention on the Law of the Sea and other applicable internationa instruments and initiatives, and would include reference to the following principles:
(a) Viewing the oceans as part of the whole Earth system;
(b) Regular evaluation by Member States of assessment products and th regular process itself to support adaptive management;
(c) Use of sound science and the promotion of scientific excellence;
(d) Regular analysis to ensure that emerging issues, significant changes an gaps in knowledge are detected at an early stage;
(e) Continual improvement in scientific and assessment capacity, includin the promotion and development of capacity-building activities an transfer of technology;
(f) Effective links with policymakers and other users;
(g) Inclusiveness with respect to communication and engagement with al stakeholders through appropriate means for their participation, includin appropriate representation and regional balance at all levels;
(h) Recognition and utilization of traditional and indigenous knowledge an principles;
(i) | Transparency and accountability for the regular process and its products (j) | Exchange of information at all levels;
(k) Effective links with, and building on, existing assessment processes, i particular at the regional and national levels;
(I) | Adherence to equitable geographical representation in all activities o the regular process.
5. Reasons for these decisions
This framework largely reflected the recommendations of a group of experts established by the General Assembly in 2005 (UNGA, 2005) and in place by the en of 2006, to carry out (under the guidance of an ad hoc steering group and with th assistance of the lead agencies, United Nations Environmental Programme (UNEP and Intergovernmental Oceanographic Commission/United Nations Educational Scientific and Cultural Organization (IOC-UNESCO)) an “assessment of assessments” reviewing the way in which past assessments, particularly of the marin environment at global and regional levels, had been carried out, in order to establish
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the approaches which could ensure that assessments under the Regular Proces would be relevant, legitimate and credible — the three necessary conditions for a influential assessment.
The report of the assessment of assessments (AoA, 2009) summarised th justification for the Regular Process as follows:
“5.1 Marine ecosystems provide essential support to human well-being. However they are undergoing unprecedented environmental changes, driven by huma activities, and becoming depleted and disrupted... Keeping the world’s oceans an seas under continuing review will help to improve the responses from nationa governments and the international community to the challenges posed by thes changes. Reviews based on sound science can help the world as a whole understan better what is happening, what is causing it, [and] what the impacts are.”
The report saw an urgent need for a more integrated approach, at the global level a well as at the regional and sub-regional levels. It indicated that such an integrate approach was feasible, and would help to develop a more coherent overview of th state of the global marine environment and its interactions with the world econom and human society. A better understanding is needed of how human activitie themselves interact and cumulatively affect different parts of marine ecosystems Baselines, reference points and reference values would also be needed as a basis fo evaluating status and trends over time. More consistent information, both i coverage and quality, and integrated analyses would improve understanding of th rapid changes that are occurring in the oceans and their possible causes. Th resulting knowledge would facilitate decisions to manage in a sustainable manne human activities affecting the oceans. Assessment is a necessary, integral part o the cycle of adaptive management of human activities that affect the oceans.
The report went on to explain the benefits from a Regular Process that could be  means for integrating existing information from different disciplines to show ne and emerging patterns and to stimulate further development of the informatio base.
The elements relevant to the framework established by the General Assembl include actions to:
(a) Demonstrate the importance of oceans to human life and as  component of the planet;
(b) Integrate, analyze and assess environmental, social and economi aspects of all oceans components and interactions among all sectors o human activity affecting them; it could thus support sustainable ecosystem-based management throughout the oceans;
(c) Promote well-designed assessment processes, conducted to the highes standards and fully documented by those responsible for them;
(d) Promote international collaboration to build capacity;
(e) Improve the quality, availability, accessibility, interoperability an usefulness of information for ocean assessment; it would also increas consistency in the selection and use of indicators, reference points an reference values;
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(f) Support better policy and management at the appropriate scale b providing sound and integrated scientific analyses for decision-making b the relevant authorities;
(g) Build on existing assessment frameworks, processes and institutions an thus provide a base for cooperation among governments and at the leve of international institutions.
The essential features which differentiate this assessment from earlier assessment are that it is global in scope, that it is to integrate the different sectors that ar involved with the ocean and that it is to integrate environmental, social an economic aspects of the ocean. This is an ambitious project, and it has been clea from the outset that the first assessment of this kind would be breaking new ground and that there would therefore be scope for improvement in future cycles of th Regular Process.
6. Timing
In 2009, the Ad Hoc Working Group of the Whole recommended that the Regula Process should involve a series of cycles and that the first cycle of the Regula Process should cover the five years from 2010 to 2014. This was endorsed by th General Assembly in 2009, on the basis that there would be two phases of the firs cycle, the first phase up to the end of 2012 to agree the issues to be covered and th second phase from 2013 to 2014 to produce the first assessment (AHWGW, 2009 UNGA, 2009).
7. Modalities
In 2010, the General Assembly endorsed a series of recommendations from the A Hoc Working Group of the Whole on the modalities for the way in which the work o the Regular Process should be organized and implemented (AHWGW, 2009 AHWGW, 2010; UNGA, 2010). The modalities, consisting of key features, capacity building and institutional arrangements, were developed further in a series o decisions of the General Assembly, on the basis of recommendation of the Ad Ho Working Group of the Whole of the General Assembly (AHWGW, 2011a; UNGA 2011a; AHWGW, 2011b; UNGA, 2011b; AHWGW, 2012; UNGA, 2012; AHWGW 2013; UNGA, 2013; AHWGW, 2014; UNGA, 2014), informed, among other things, b material prepared by the initial group of experts appointed in 2009. Th arrangements for the Group of Experts of the Regular Process were set out in th Terms of Reference and Working Methods (AHWGW, 2012; UNGA, 2012), an various paragraphs of the relevant General Assembly resolutions.
The main institutional arrangements thus established are as follows:
(a) The Ad Hoc Working Group of the Whole on the Regular Process fo Global Reporting and Assessment of the State of the Marin Environment, including Socioeconomic Aspects:
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The Regular Process is to be overseen and guided by an Ad Hoc Workin Group of the Whole of the General Assembly comprised o representatives of Member States. Relevant intergovernmental and non governmental organizations with consultative status recognized by th Economic and Social Council are to be invited to participate in th meetings of the Ad Hoc Working Group. Relevant scientific institution and major groups identified in Agenda 21 may request an invitation t participate in the meetings of the Ad Hoc Working Group. In 2011, th Ad Hoc Working Group agreed on the establishment of a Bureau to put i practice its decisions and guidance during the intersessional perio (AHWGW, 2011b; UNGA, 2011b).
(b) The Group of Experts of the Regular Process: The general task of th Group of Experts, as set out in the Terms of Reference and Workin Methods approved by the General Assembly, is “to carry out an assessments within the framework of the Regular Process at the reques of the General Assembly under the supervision of the Ad Hoc Workin Group of the Whole”. It was noted that an assessment would only b carried out at the request of the General Assembly. Within this genera task, the Group of Experts were to draw up a draft implementation pla and timetable, a draft outline of the assessment, proposals for writin teams for each chapter and proposals for independent peer review. Lea Members for each chapter, drawn from the Group of Experts, are to hav a general task of managing each chapter, and a convenor of the writin team from the chapter (who might also be the Lead Member) is to b responsible for ensuring the proper development of the chapter. Th Terms of Reference and Working Methods make clear that the Group o Experts is collectively responsible for the Assessment, and was to agre on a final text of any assessment for submission through the Bureau t the Ad Hoc Working Group of the Whole, and to present that text to th Ad Hoc Working Group of the Whole.
The Group of Experts, originally appointed in 2009 to develop thinking o the “basic building blocks” identified by the Assessment of Assessments were invited to continue for the first cycle of the Regular Proces pursuant to a series of decisions of the General Assembly.
The Group could be constituted of a maximum of 25 members, fiv appointed by each regional group within the General Assembly. On regional group only made two appointments, and therefore the ful membership of the Group has been 22. In accordance with the Terms o Reference and Working Methods, the Group appointed two coordinator from within its membership, one from a developed country and one fro a developing country. The members of the Group of Experts ar volunteers or are supported by their parent institutions.
(c) The Pool of Experts: The General Assembly approved criteria for th appointment of experts to a Pool of Experts to assist in the preparatio of the first assessment and to cover the wide range of issues that a assessment of the ocean integrated across sectors and across
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environmental, social and economic aspects would have to address. Thi assistance would include several distinct potential roles: convenors an members of the writing teams, commentators to enable expertise abou parts of the world not covered by the writing teams to be brought in t the Assessment without making writing teams unmanageably large, an peer reviewers to review the complete draft of the Assessment. Thes experts have been nominated by States through the chairs of th regional groups of the United Nations. In addition, members of th Group of Experts and writing teams could consult widely with relevan experts.
(d) Secretariat: On the recommendation of the Ad Hoc Working Group o the Whole, the General Assembly requested the Secretary-General t designate the Division of Ocean Affairs and Law of the Sea as th secretariat of the Regular Process. Since no additional staff was allocate specifically for this work, the secretariat function has been provided b the existing staff.
(e) Technical and Scientific Support: Technical and scientific support for th Regular Process has been available from the IOC-UNESCO, UNEP, th International Maritime Organization (IMO) and the Food and Agricultur Organization of the United Nations (FAO), and the International Atomi Energy Agency (IAEA). These agencies were invited by the Genera Assembly, together with other competent United Nations specialize agencies, to provide such support as appropriate. A dedicated web-base platform was set up to make information about this Assessment availabl and to provide a means of communication between members of th Group of Experts and the members of the Pool of Experts. Agreemen was reached between Australia, Norway and the United Nation Environment Programme to host such a website at GRID/Arendal i Norway.
(e) Workshops: In addition to the Pool of Experts, steps were taken t convene workshops as forums where experts (including governmen officials) could make an input to the planning and development of th Assessment. The General Assembly approved guidelines for thes workshops, which were held in Santiago in September 2011 (at th invitation of the Government of Chile), in Sanya in February 2012 (at th invitation of the Government of China), in Brussels in June 2012 (at th invitation of the Government of Belgium, supported by the Europea Union), in Miami in November 2012 (at the invitation of the Governmen of the United States of America), in Maputo in December 2012 (at th invitation of the Government of Mozambique), in Brisbane in Februar 2013 (at the invitation of the Government of Australia), in Grand Bassa in October 2013 (at the invitation of the Government of Céte d'Ivoire and in Chennai in January 2014 (at the invitation of the Government o India). The workshops were open to representatives of all States although participation was mainly from experts in the respective regions Each workshop aimed to consider the scope and methods of this
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Assessment, the information available in the region where it was held and capacity-building needs in that region. Reports of each worksho were made available on the website of the Division of Ocean Affairs an Law of the Sea and on the website of the first Assessment.
8. Finance
The General Assembly decided that the costs of the first cycle of the Regular Proces should be financed from a voluntary trust fund, and invited the Secretary-General t establish such a fund for the purpose of supporting the operations of the first five year cycle of the Regular Process, including for the provision of assistance t members of the Group of Experts from developing countries. The Trust Fund i managed and administered by the Division of Ocean Affairs and Law of the Sea Contributions to this fund have been made by Belgium, China, Céte d’Ivoire, Iceland Ireland, Jamaica, New Zealand, Norway, Portugal and the Republic of Korea. I addition, Australia, Belgium, Canada, Chile, China, Céte d’Ilvoire, India, Mozambique the Republic of Korea, the United Kingdom of Great Britain and Northern Ireland an the United States of America have supported workshops in the region and/or th travel and accommodation costs of members of the Group of Experts from thei countries. Generous support to the Regular Process has also been provided financially and technically, by the European Union, IOC-UNESCO and UNEP.
9. Guidance
On the advice of the Group of Experts, the Ad Hoc Working Group decided that ther should be comprehensive guidance for the Regular Process. Accordingly it prepare such guidance, covering the responsibilities of the Group of Experts, the members o the Pool of Experts, the writing teams and their convenors, the commentators an the peer reviewers, the approaches to achieve integration and to deal wit uncertainty, risk, ethical questions and style. This was approved by the Genera Assembly (UNGA, 2012), and can be found in AHWGW, 2012.
10. Collection of information
When the methods of work were being developed, it was thought that there woul be time for a number of working papers to bring together detailed information an thus to serve as the basis for the preparation of this Assessment. In practice, th time available has not proved sufficient to adopt this approach generally. In som cases, detailed background information has been included in appendices to th relevant chapter.
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11. Development of the first World Ocean Assessment
The starting point for each substantive chapter has been the outline developed b the Ad Hoc Working Group of the Whole, on the basis of proposals from the Grou of Experts, approved by the General Assembly (AHWGW, 2012; UNGA, 2012) an slightly amended by the Ad Hoc Working Group of the Whole in 2014 (AHWGW 2014). The writing teams, constituted as described above, elaborated this outlin and, in some cases, assigned drafting duties within the Group. A draft chapter wa prepared, reviewed by the Lead Member (where not part of the writing team), b other members of the Group of Experts to ensure consistency among chapters, an (in some cases) by a panel of commentators chosen from the Pool of Experts, but no otherwise part of the writing team. The writing teams responded as necessary t comments from these reviews and prepared a consensus draft chapter. Th consensus draft was submitted to the Group of Experts and secretariat. The Grou of Experts collectively reviewed all these consensus draft chapters, in order t ensure consistency and to prepare the synthesis chapters for each Part of thi Assessment and Part | (the summary). An editor overseen by the secretaria reviewed each chapter for format and consistency, raising questions for clarificatio with the writing team where necessary. After any concerns raised by the copy edito had been addressed, the secretariat circulated the entire draft of the firs Assessment for review by States, by a team of peer reviewers assigned by th Bureau of the Ad Hoc Working Group of the Whole, on a proposal from the Group o Experts and by intergovernmental organizations. In March 2015, close to 500 comments were received. The Group of Experts and the writing teams the proceeded to respond to the comments and revise the draft chapters accordingly. A the end of April 2015, the Group of Experts met again in New York to discuss th finalization of the responses and the revision of the chapters. Following a review b the secretariat of the responses and revisions, all chapters of the Assessment wer ready for submission to the Bureau by mid-July. The Assessment, including it summary” is to be considered by the Ad Hoc Working Group of the Whole i September 2015.
References
AHWGW (2009). Report on the work of the Ad Hoc Working Group of the Whole t recommend a course of action to the General Assembly on the regular proces for global reporting and assessment of the state of the marine environment including socio-economic aspects, United Nations General Assembl document A/64/347.
* See A/70/112.
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AHWGW (2010). Report on the work of the Ad Hoc Working Group of the Whole o the Regular Process for Global Reporting and Assessment of the State of th Marine Environment, including Socio-Economic Aspects, United Nation General Assembly document A/65/358.
AHWGW (2011a). Report on the work of the Ad Hoc Working Group of the Whole o the Regular Process for Global Reporting and Assessment of the State of th Marine Environment, including Socio-Economic Aspects, United Nation General Assembly document A/65/759.
AHWGW (2011b). Report on the work of the Ad Hoc Working Group of the Whole o the Regular Process for Global Reporting and Assessment of the State of th Marine Environment, including Socio-Economic Aspects, United Nation General Assembly document A/66/189.
AHWGW (2012). Report on the work of the Ad Hoc Working Group of the Whole o the Regular Process for Global Reporting and Assessment of the State of th Marine Environment, including Socio-Economic Aspects, United Nation General Assembly document A/67/87.
AHWGW 2013). Report on the work of the Ad Hoc Working Group of the Whole o the Regular Process for Global Reporting and Assessment of the State of th Marine Environment, including Socioeconomic Aspects, United Nation General Assembly document A/68/82.
AHWGW (2014). Report on the work of the Ad Hoc Working Group of the Whole o the Regular Process for Global Reporting and Assessment of the State of th Marine Environment, including Socioeconomic Aspects, United Nation General Assembly document A/69/77.
AoA (2009). UNEP and IOC-UNESCO, An Assessment of Assessments, Findings of th Group of Experts. Start-up Phase of a Regular Process for Global Reportin and Assessment of the State of the Marine Environment including Socio economic Aspects. (ISBN 978-92-807-2976-4).
UNGA (2002). United Nations General Assembly, Resolution 57/141 (Oceans and th Law of the Sea), paragraph 45.
UNGA (2005). United Nations General Assembly, Resolution 60/30 (Oceans and th Law of the Sea), paragraph 91.
UNGA (2009). United Nations General Assembly, Resolution 64/71 (Oceans and th Law of the Sea).
UNGA (2010). United Nations General Assembly, Resolution 65/37 A (Oceans and th Law of the Sea).
UNGA (2011a). United Nations General Assembly, Resolution 65/37 B (Oceans an the Law of the Sea).
UNGA (2011b). United Nations General Assembly, Resolution 66/231 (Oceans an the Law of the Sea).
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UNGA (2012). United Nations General Assembly, Resolution 67/78 (Oceans and th Law of the Sea).
UNGA (2013). United Nations General Assembly, Resolution 68/70 (Oceans and th Law of the Sea).
UNGA (2014). United Nations General Assembly, Resolution 69/245 (Oceans and th Law of the Sea).
WSSD (2002). Report of the World Summit on Sustainable Development Johannesburg, South Africa, 26 August-4 September 2002 (United Nation publication, Sales No. E.03.1I.A.1 and corrigendum), chap. |, resolution 2 annex, para. 36 (b).
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