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1
GUIDE TO
NATIONAL /n f/ie context ofthe
INSTITUTIONAL
Convention on
SURVEY
Biological Diversity
.
VAC
The UnitedNations Environment Programme (UNEPj has as its mission "to provide leadership and encourage
partnershipsincaringfortheenvironment byinspiring,informingand enablingnationsandpeopletoimprovetheir
qualityoflifewithoutcompromisingthatoffuturegenerations"
The World Conservation Monitoring Centre (WCMC), based in Cambridge, UK, is ajoint venture between three
partnersintheWorldConservationStrategyanditssuccessorCaringfortheEarth:The WorldConservation Union
(IUCN), UNEP and the World Wide Fundfor Nature (WWF). The Centre provides information services on the
conservation andsustainable use ofspecies and ecosystems andsupports others in the development oftheir own
informationsystems.
W /Al I
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WORLDCONSERVATION
MONITORINGCENTRE
Coverphotos: UNEP
Layout& Printing:Reproduction &DistributionSectionI UnitedNationsOfficeatNairobi
ThisactivitywasfundedbytheGlobalEnvironmentFacility
Citation: United Nations Environment Programme: World Conservation Monitoring Centre. 1997. National
InstitutionalSurveyGuidefor Biodiversity DataManagement inthecontextoftheConventiononBiologicalDiversity.
Copyright © 1997 UNEP - United Nations Environment Programme. All rights reserved. Reproduction ofthis
publicationforeducationalorothernon-commercialpurposesisauthorisedwithoutpriorpermissionofthecopyright
holder.Reproductionforresaleorothercommercialpurposesisprohibitedwithoutthepriorwrittenapprovalofthe
copyrightholder.
ISBN:92-807-1700-6
Foradditionalcopiesofthisdocumentorfurtherinformationpleasecontact: TheTaskManager,BiodiversityData
Management(BDM)Project, UnitedNationsEnvironmentProgramme,POBox30552,Nairobi, Kenya.
^fo4f
TABLE OF CONTENTS
INTRODUCTION
1 1
2 INSTITUTIONALSURVEY 5
2.1 Overview 6
2.2 Factorstoassess 6
2.3 Methodofassessment 7
2.4 Questionnairetips 8
3 ANALYSINGTHERESULTS 9
3.1 Overview 10
3.2 Statusreport 10
3.3 Datasetcatalogue 10
3.4 Analysisoflinkages 12
4 STRATEGIC PLANNING 15
4.1 Overview 16
4.2 Informationstrategy 16
4.3 Developmentplans 17
5 REFERENCES 21
ANNEX 1: SAMPLECOVERINGLETTER 23
ANNEX2: SAMPLEQUESTIONNAIRE 25
.
LIST OF FIGURES
Figure 1 Informationnetworkdevelopment 3
Figure2 Examplelinkagediagram 11
Figure 3 Composite linkagediagram 12
Figure4 The strategicplanningprocess 17
LIST OF BOXES
Box 1: Elementsofinformationmanagementcapacity
Box 2: Sourcesoffinancialsupportforcapacitybuilding .
ACKNOWLEDGEMENTS
This document is one of a series commissioned by the United Nations Environment Programme (UNEP) under
projectGF/0301-94-40 (GF/0301-94-06),andfundedbytheGlobalEnvironmentFacility (GEF).
The Guide waspreparedby theWorldConservation Monitoring Centre (WCMC), in collaborationwith UNEP,the
Biodiversity DataManagement (BDM) ProjectAdvisory Panel and the national BDM committees in the Bahamas,
Chile,China,CostaRica,Egypt,Ghana,Kenya,PapuaNewGuinea,PolandandThailand. Severalofthesecountries
providedvaluablereviewsoftheinitialdraftbasedontheiractualexperiencesinimplementinganinstitutionalsurvey.
Many ofthe concepts introduced inthis document were developed with supportfromthe United Kingdom Darwin
Initiative.Thedocumenthas alsobenefitedfromrelatedinitiatives supported throughtheEuropeanUnion and the
EuropeanEnvironmentAgency (EEA).
HI
BACKGROUND
TheConventiononBiologicalDiversitywassignedattheUnitedNationsConferenceonEnvironmentandDevelopment
inRiodeJaneiroinJune 1992by 154nations andsubsequentlycame intoforce inNovember 1993.Article7 ofthe
Conventionisconcernedwithidentification andmonitoringactivitiestosupportArticles8-10(in-situconservation,
ex-situ conservation and sustainable use ofcomponents ofbiological diversity). Contracting parties are required to
identifycomponentsofbiologicaldiversity importantforconservation andsustainable use (Article7 (a); toidentify
activities likely to have adverse impacts (Article 7 (c); and to monitor the status ofboth components and threats
(paragraphs(b)and(c)of (Article7). Specifically,Article7(d)identifiestherequirementto:"Maintainandorganize,
by anymechanism,dataderivedfrom identificationandmonitoring activities".
In response to this requirement a project was initiated by UNEP and WCMC to facilitate the building ofnational
capacity forbiodiversity datamanagementand exchange, as required by the Convention. One ofthe outputs ofthe
GEF-funded Biodiversity Data Management (BDM) project is a set ofsupporting materials designed to raise the
profileofbiodiversityinformationindecision-makingprocessesandhelpcountriesproducethenecessaryinformation
forbiodiversity strategies andaction plans.Thematerials, whichwereprepared byWCMC,comprise:
• GuidetoInformation Management
Recognizing thatbiodiversity information depends on access to data from many and varied stakeholders, this
documentexaminestheorganizationalissuesassociatedwithestablishingeffectivecooperation.Astep-by-step
information cycle is proposed, comprising agreement on priority issues, determination ofinformation needs,
designofinformation products, agreementofstakeholderroles, andenablementofstakeholderstoensurethat
information is produced in a cost-effective manner. A participatory approach is emphasized as a means of
ensuring transparency in information usage.
GuidetoNationalInstitutionalSurvey forBiodiversityData Management
— —
The Guide to National Institutional Surveys for Biodiversity Data Management the present document is
concerned with the development ofinformation management capacity, particularly as applied to networks of
organizationswithcommoninformationgoals.Techniquesforassessingthecapacitiesandneedsoforganizations
areexamined, with the aim ofreducing duplication ofeffort, enhancing cooperation and identifying areas for
investment.Thetextisequallyrelevanttodevelopedanddevelopingcountries.Theexamples inthisdocument
relate mainly to national-level surveys where, forexample, abiodiversity information networkorothermajor
programme orproject is being implemented. In some countries, however, (particularly large ones), itmay be
more appropriate toconductthe survey atthe subnational scale.
• ElectronicResourceInventory
Thisproduct, which is providedasareadilysearchableelectronic publication,providesreferencematerialson
software, hardware, methodologies, standards, common practices, data sources andkeyorganizations relating
tobiodiversitydatamanagement.Itsmajorobjectiveistodocumentthegrowingarrayofstandardsinbiodiversity
dataand,wheretheseareyettoemerge,toprovidecase-studiesorpointerstofurtherinformationsources,such
aslead institutions, bibliographical references andInternetaddresses.
IV
INTRODUCTION
INTRODUCTION
1
Thephrase 'informationmanagementcapacity'meansdifferentthingstodifferentpeople.Tosome,itappliesonlyto
the hardware and software necessary to build databases and information systems. To others, it encompasses the
political commitment, constructive policies and public support necessary to apply information to the resolution of
environmentalconcerns.Thisdocumentemploysapragmaticdefinitionofinformationmanagementcapacity,namely,
thedirectassetsavailabletoanorganizationintermsofitsdata,expertiseandfacilities,andindirectassetsintheform
ofmanagementsystems andpartnerships withotherorganizations (seebox 1).
Directassetsarerelativelyeasytoquantify,sincetheyarephysical innatureandcanbedocumented. Indirectassets,
which serve to consolidate the direct assets, are more subjective in nature. For example, two organizations with
roughly similardata,expertise andfacilities mayperform verydifferently owing tovariations inthequality oftheir
managementsystems, although it may be difficult toquantify exactly why. Anorganization's managementsystems
dictate the efficiency ofeverything from task allocation and scheduling, to project design, strategic planning and
cooperation with external partners. Ifthe systems work, then all ofthese aspects run smoothly; ifthey don't, then
productivity maysuffer.
Constraintsininformationmanagementcapacitycanseriouslyimpedeprogresstowardsorganizationalgoals,limiting
the contribution that the organizations are able to make to addressing environmental concerns. Considering the
magnitudeofthechallengesaffectingmostcountries inthis area,building informationmanagementcapacitycanbe
seen as an issue ofnational importance. It is almost inevitable, however, that 'needs' for capacity-building will
outweighwhatcanbedeliveredwithavailableresources.Thisappliestoindividualorganizationsandnetworksalike,
andequallytogovernmental, non-governmental andprivate organizations. Clearpriorities forcapacity buildingare
needed, andthe greatestchallenge isdecidinghow and wheretochannel investments.
Taken as a whole, the capacity of a network of organizations depends on the individual capacities of its partner
organizations. Thus, when attempting to strengthen the capacity of a network to manage information effectively,
typical aims are to address critical gaps in capacity, to supplement (not duplicate) existing capacities, and to seek
greater efficiency through closer cooperation between the organizations concerned. These are strategic aims and,
consequently,requirestrategicplanning.
Box 1: Elements of information management capacity
Direct assets
• Comprehensive data on appropriate themes
• Expertise and facilities to store, maintain and quality-assure data
• Expertise and facilities to integrate, interpret and convertdata into information
• Expertise and facilities to compile and communicate information to users
Indirect assets
• Managementsystems and procedures to coordinate information production
• Liaison, cooperation and partnerships with external organizations
Clearly,investmentsincapacity-buildingshould,whereverpossible,bebasedonasurveyofwhereexistingcapacities
are locatedandhowreadilythesecanbemobilizedforspecifictasks.Thiscanbeachievedbyassessingthecapacity
ofthenetwork'spartnerorganizations,forinstancewithrespecttotherangeandqualityofthedatasetstheymanage,
thehumanresourceswhichtheypossess,andtheirability toaccesstechnicalandphysical facilities.
Thesurveycontributesdirectlytotheprocessofstrategicplanning,whichinvolvesidentifyingwhichtypesofcapacity
are critically lacking, which are in need ofstrengthening, and which areas would benefit from closercooperation.
Thisallowsobjectives,targets,rolesandresponsibili—tiestobeassignedtoorg—anizationsinsuchawaythattheirgoals
areachievedinconcertwiththeneedsofthenetwork andsocietyingeneral forinformation.Themainjustification
fortheeffortexpendedonthisprocessistoprovideenhancedsupporttousers,suchasdecision-makersinthepublic
andprivatesectors.
2 Guide to National Institutional Survey
A diverse range of tasks is covered by the phrase 'information management', and most organizations will take
considerable time to achieve theirmaximum level ofeffectiveness in this area. Ways need tobe found to accelerate
this process forthe benefit ofthe organizations concerned, and also the networks in which they operate. Efforts to
build information management capacity need to be carefully prioritized. They also need to be well-coordinated.
Withinanorganizationthisistheresponsibilityofseniormangers; withinanetwork itis—normally achievedthrough
asteeringcommitteeplusassociatedadministrativesupport(collectivelyknownasahub seeGuidetoInformation
Management).
Figure 1: Building information management capacity
Survey
Inconsistent, incomplete
Assess the capacity of
access to biodiversity
network partners
information
Coordinateddeliveryof
information products and
\
Figure 1 presentsathree-stageprocessforbuildinginformationmanagementcapacitywithinanetwork.Theprocess
assumesthatthenetwork'sgoalshavealreadybeendefinedandthattheinformationneedsofitsuserbasehavebeen
determined;inshort,thatthenetworkisbeingeffectivelycoordinatedandmanaged.Theaimistotransformasituation
inwhichbiodiversityinformationisinconsistentlyhandled,incompleteincoverageanddifficulttoaccess,intoonein
whichrelevantandtimely information products areavailabletodefinedsetsofusers.
GuidetoNational InstitutionalSurvey
Digitized by the Internet Archive
in 2010 with funding from
UNEP-WCMC, Cambridge
http://www.archive.org/details/guidetonationali98wcmc
