PART I. DETAILED RESPONSES TO THE 12 RECOMMENDATIONS OF THE EPMR
Full responses are given to each of the 12 recommendations of the EPMR of 1992. In addition, some comments are offered on other aspects of the assessments in certain sections.
Recommendation 1. Initiate early action to change its legal status to that of an international organization with privileges and immunities similar to that of other CGIAR Centers.
Status
In April 1993, an international agreement re-establishing ICLARM as an international organization was signed by four countries: Philippines, Vietnam, Denmark and Malawi. One or two more countries may sign the agreement in 1995. With the signing of this international agreement in 1993, ICLARM became an international organization - legally and formally.
However, the granting of privileges and immunities does not automatically follow the legal establishment of an international organization. Each state claims to have the prerogative to determine the nature and extent of privileges and immunities granted to international organizations operating within its borders.
Even before it legally became an international organization, ICLARM was enjoying privileges and immunities normally granted international organizations in some of its host countries. These countries included the Solomon Islands, Bangladesh and Malawi.
The only country with which ICLARM has been experiencing some problems concerning privileges and immunities is the Philippines. The fact that ICLARM is headquartered in the Philippines has made the absence of such privileges and immunities awkward for ICLARM to explain. The solution which the Center has been pursuing since 1993 is to negotiate with the Philippine government for a host country or headquarters agreement in which such privileges and immunities are granted the Center.
In early 1994, the Philippine government, via its Department of Foreign Affairs, conducted, at ICLARM's request, a series of meetings attended by representatives of different government agencies. As a result of these meetings, a draft agreement between the Philippine government and ICLARM was prepared. This draft, spelling out the privileges and immunities required by ICLARM to operate as an international organization in the Philippines, was agreed to and supported by a number of Philippine government agencies.
Unfortunately, further progress in the finalization of the draft Headquarters Agreement has not been made. The draft continues to sit in the Legal Affairs Office of the Department of Foreign Affairs. For several month now, none of the government agencies we have spoken to, including the Department of Foreign Affairs, have been able to provide ICLARM with clear directions on the follow-up steps required to conclude the agreement.
Other CGIAR Centers have had similar frustrating experiences in the Philippines. IRRI, although already enjoying privileges and immunities granted by earlier laws, has not been able to finalize its own international agreement. The signing ceremony scheduled last September 1994 has been postponed indefinitely. IIMI and CIFOR have tried to negotiate host country agreements for Philippine-based projects but have also not been successful.
Furthermore, ICLARM continues to receive conflicting advice on further steps needed to have the agreement finalized. Some government agencies believe that such an agreement is within the jurisdiction of the executive branch of government. Others have expressed the opinion that the Agreement will require legislature or senate ratification.
Recommendation 2. Formulate and approve a comprehensive set of human resource management policies and create a personnel office to assist in their implementation.
Status
Human resources management has received significant attention by ICLARM management since the last external review. Unfortunately, the internal problems experienced by the Center in 1993 derailed some of these efforts. Nevertheless, quick and decisive action by the Director General and the ICLARM Board in late 1993 and throughout 1994 have put the Center back on track as far as human resources management is concerned.
In 1992, the major concerns which management needed to address were: establishing comprehensive and clear personnel policies, communicating these policies to staff and the manner in which they were to be implemented, and maintaining clear channels of communication between staff and management.
In mid-1993, ICLARM management reviewed existing personnel policies and brought in a consultant to assist senior management in drafting a policy manual and in obtaining staff views on a number of personnel issues. A draft IRS Policy Manual was prepared following the general format in use by other CGIAR Centers. Recognizing that some personnel issues could not be immediately resolved but that a policy manual was critically important, ICLARM management presented and received Board approval for an IRS Policy Manual in late 1993.
Using the IRS Policy Manual as a model, a draft policy manual for Philippine NRS was prepared in early 1994 and was subsequently approved by the ICLARM Board.
The key elements of these Board-approved policy manuals are:
- requiring an annual performance evaluation for all ICLARM staff,
- establishing an internal grievance and appeals procedure,
- formalizing policies on the recruitment and selection of new staff, and
- establishing a mechanism for the continuing review and improvement of ICLARM personnel policies.
All ICLARM IRS and Philippine NRS were subsequently provided with personal copies of these policy manuals and have been encouraged to seek clarification on specific policy provisions when necessary.
Recognizing that these policy manuals were too general on several issues to address management and staff concerns, the Director General has taken the following initiatives:
a. Development of implementing guidelines for specific issues which required more detailed processes and explanations. Thus far, two such guidelines have been developed - one addressing performance management and another addressing staff loans. The development of guidelines for other important issues such as recruitment and promotions has also been given high priority.b. Establishment of an NRS Advisory Committee to advise the DG on matters directly affecting or of concern to ICLARM NRS. This Committee, chaired by the DG and composed of staff from various programs and divisions, has been instrumental in identifying provisions in the NRS Policy Manual which would benefit from the development of more detailed implementing guidelines. The Committee has also been successful in identifying gaps or necessary amendments/improvements to the Policy Manual.
c. Formulation of recommendations to the ICLARM Board for required amendments or additions to the existing Policy Manuals.
In late 1993, ICLARM also hired its first Human Resources Manager who has set up a modest office to assist ICLARM Management in the implementation of Board-approved policies and in the development of implementing guidelines for these policies. A large portion of the work of the Human Resources Unit has also been focused on upgrading the quality of personnel services provided to ICLARM staff.
ICLARM Management has also been successful in reviewing and restructuring its salary administration practices. Such restructuring was required to streamline salary administration procedures, be more responsive to market trends and to more adequately support the newly formulated performance management systems. New salary scales for both IRS and NRS will be implemented effective January 1995.
ICLARM Management recognizes the critical role played by performance management in unifying the center and in effectively communicating roles, performance and behavior expected of staff by the Center. The system adopted by the Center contains the following elements: the formulation of a performance agreement for each staff member at the beginning of the year, an interim review, a final review at the end of the year and provisions for salary increments based on performance ratings. Given the importance of performance management to the Center, the DG has commissioned The Wyatt Company to conduct center-wide performance management training. This is the first training program in ICLARM's history which all ICLARM staff have been obliged to attend.
Recommendation 3. Adopt an integrated system for project and program planning, monitoring and review across all programs.
Status
ICLARM Management continues its efforts to integrate project and program planning, monitoring and review. It believes that such an effort will be successful only if supported firmly by four legs - 1) staff development programs aimed at strengthening the management abilities of program and project leaders, 2) a carefully designed project-based management system suitable to the culture of the organization, 3) adequate administrative staff and systems support and 4) impact assessment.
Staff Management Abilities
ICLARM Management recognizes that staff development will be successful only if integrated with the Center-wide performance planning and management process. The performance management system which ICLARM will be training staff for and implementing in 1995 includes the development of performance agreements for individual staff. It is ICLARM management's expectation that research staff, in formulating their performance agreements, will clearly be able to identify their management responsibilities for programs and projects. This recognition of management roles and responsibilities should allow program and project leaders to appreciate the value of staff development efforts that ICLARM hopes to begin undertaking in this area in 1995.
Among the programs currently being reviewed by management are the logical framework (logframe) approach to project planning and design as well as courses in project management. ICLARM is currently negotiating with Team Technologies, Inc. for a training program in project planning and design for one or two ICLARM project teams. This training activity is expected to be undertaken in early 1995. If this trial run is successful, and is perceived as valuable, ICLARM will proceed with having all its professional staff undergo the training course.
Project-Based Management Systems
In late 1994, the Projects Support Group of ICLARM began to draft a Project Planning and Management Manual. The Manual details the internal processes required for the planning, start up, implementation and evaluation of ICLARM projects. The first draft of the manual has been completed with finalization scheduled for April 1995.
The Manual has been written primarily as a guide for project and program leaders. It identifies the critical stages of the project lifecycle (starting with project conceptualization and ending with post-project evaluation) and the management actions required to each stage and throughout the project cycle. ICLARM management expects these procedures to be applied to all projects regardless of funding source.
The standardization and institutionalization of these project processes are expected to result in increased transparency in project decision-making as well as greater accountability not only for the project team but for the institution as a whole.
Administrative Systems and Staff Support
ICLARM management has taken several steps to improve the administrative support provided to project teams. The most visible support provided are the services delivered by the Project Support Unit of the Management Services Division. The Project Support Unit has assigned project assistants to projects and programs. These project assistants have been given the following responsibilities:
a. to participate actively as a member of the project team;b. to assist the project leader in carrying out his or her administrative responsibilities (workplan and budget formulation, keeping track of and fulfilling project reporting requirements, etc.);
c. to serve as liaison and service delivery points for other administrative units (e.g., purchasing, personnel services, accounting and finance and administrative services).
Research staff noted an improvement in the services provided by the Project Support Unit when the project assistants were provided with offices adjacent to the projects and programs they were assigned to support. Project assistants have, over 1994, also been able to come to terms with their responsibilities and have displayed much enthusiasm over their jobs and the research activities of the Center.
Another area that has received attention from management is project information systems. The preparation and timely submission of budget status reports to project and program leaders have been consistent since the second quarter of 1994. Project assistants have been helpful in interpreting the reports for project leaders and in assisting the Accounting Unit develop more easily understood financial reports. ICLARM Management now also receives monthly reports on the Center's compliance with donor reporting requirements.
Project leaders are being made to understand that, although they are primarily responsible for the management of their projects, they can count on the support of the Project Support Unit.
Impact Assessment
The ICLARM Board has also requested Center management to review the issue of impact assessment and to formulate recommendations for ways in which the Center can assess the actual or potential impact of its work. ICLARM Management intends to have these in place within 1995.
Recommendation 4. Strengthen its financial management and improve its internal reserves (fund balances) and expenditure controls.
Status
Since 1991, ICLARM has increased its annual budget by approximately 70%. Unfortunately, this annual budget continues to be dominated by restricted grant funding in spite of the fact that unrestricted grants to the Center have more than doubled since 1991. The fact that a large proportion of restricted grants to ICLARM continues to be paid in arrears has not helped improve the Center's cash flow situation. The Center suffers chronic cash flow difficulties which have affected its ability to settle its payables in a timely manner. The magnitude of these cash flow problems have also increased in relation to the size of the Center's annual budget.
For 1994, the ICLARM Board agreed to budget a three-year annual surplus of US$200,000 as a step toward finding a longer-term solution to ICLARM's weak working capital position. Unfortunately, the strength of the Philippine Peso combined with inflation and a failure to obtain continuation of restricted grants for important activities wiped our the budgeted surplus in the first year it was to be implemented.
Although a Controller was hired in 1993, she resigned after six months for a better paying job. The position, after being amended to "Finance and Accounting Manager", has been actively recruited for but remained unfilled for over a year. ICLARM Management hopes to fill the position within the first quarter of 1995.
The overhaul of the Center's Accounting systems slowed down the generation of financial reports in 1992 and early 1993. As systems were put in place, however, the Accounting Unit was able to generate monthly financial statements more consistently. These statements were augmented by monthly budget status reports for project leaders and unit managers throughout most of 1994. The value and usefulness of these reports are expected to increase as the other components of project-based management systems are put in place by ICLARM Management.
Beginning with the 1995 budget, project leaders and unit managers have been given a greater role in the development of their annual budgets. By having project leaders and unit managers more involved in budget preparation, the Center hopes to make them aware that they carry most of the budget management responsibility through most of the year.
Although the Center has been relatively successful in integrating financial management and reporting activities for all headquarters-based projects and activities, the integration of field activities remain unfulfilled but very high on the priority list for 1995.
Since 1992, the ICLARM Board has also played a more aggressive role in the oversight of the financial management function. Annual meetings between the Board and the External Auditors have been held. A result of these meetings is a heightened awareness among the Board members of the importance of both the external and internal audit functions.
In 1994, the Board adopted a new policy on the appointment of external auditors and, in fact, searched for, evaluated and appointed a new external audit firm. The Board also authorized ICLARM Management to obtain outsourced internal auditors to assist management in improving internal controls.
The Board has also recently taken active interest in financial issues such as indirect cost (overhead) recoveries, cash flow management and financial reporting.
Recommendation 5. ICLARM reassess its stated goals and objectives to give more emphasis to research and make them more consistent with the CGIAR.
Status
The Center's goal and objectives are now:
Goal: Improved production and management of living aquatic resources for sustainable benefits of present and future generations of low-income users in developing countries.
Objectives: Through international research and related activities, and in partnership with national research institutions, to:
1. Improve the biological, socioeconomic and institutional management mechanisms for sustainable use of aquatic resource systems.2. Devise and improve production systems that will provide increasing yet sustainable yields.
3. Strengthen national programs to ensure sustainable development of aquatic resources.
Recommendation 6. Place greater emphasis in the short-run on improvement in breeding and husbandry practice than genetic manipulation in its proposed Inland Aquatic Resource Systems Program.
Status
ICLARM agrees with Recommendation 6 of the EPMR and pursues its activities accordingly. ICLARM's approach to genetic improvement in tropical aquaculture has been focused, from mid-1980's, on methods for the documentation and evaluation of fish genetic resources and for their sustainable utilization in breeding programs geared to low external input farming systems. This approach (Pullin 1988, 1991; Eknath et. al. 1993) has been implemented using mainly the Nile tilapia (Oreochromis niloticus) which is farmed in over 60 countries.
No genetic manipulation is involved in any of ICLARM's current or near-term planned activities for either freshwater fish, like the tilapia, or the marine species that are under investigation at the Center's Coastal Aquaculture Center, Solomon Islands. Indeed, the External Advisory Panel of ICLARM's major genetic research project, the Genetic Improvement of Farmed Tilapias (GIFT) concurred in November 1994 with the views of the ICLARM project staff and collaborators (including the Norwegian group, AKVAFORSK, that has unrivalled experience in designing fish breeding programs) that the project's current focus on selective breeding for growth, survival and in future other commercial traits should continue and that any attempts to merge this with, as yet unproven, genetic manipulative techniques should be deferred. The rationale for this is that the responses to selection have not yet been sufficiently studied for tilapias and other tropical farmed fish.
The EPMR's reference to "husbandry" has been understood by ICLARM to mean 'selective breeding and sustainable, low external input farming practices'. ICLARM seeks to address this through interaction between the Fish Productivity (selective breeding and biodiversity research) and Integrated Resources Management Thrusts of its Inland Aquatic Resource Systems Program. However, this interaction has not yet developed to the extent proposed in ICLARM's Strategic and Medium-Term Plans (MTP), largely because the activities of the two Thrusts have lacked adequate core funds and have been almost entirely based on extension of projects with origins before the implementation of ICLARM's MTP and with narrower donor- and location-specific objectives.
ICLARM recognizes that it is essential to achieve from now on the planned interaction between fish breeding and husbandry. ICLARM regards biodiversity and genetic resources (wild or captive-bred) as part of the sum total of the resources available to farmers: part of the 'R' in IRM. Work at outreach sites in Bangladesh, the Philippines, the SADC subregion and Vietnam, will be designed following this approach.
The question of how and when to embrace genetic manipulation as a tool for developing-country fish breeding programs remains important for ICLARM and its collaborators and clients. The NARS, many of which have yet to document their aquatic biodiversity adequately and to have access to reliable protocols for screening candidate species for aquaculture, are faced with a bewildering variety of genetic manipulative possibilities emerging from the literature: polyploidy, gyno- and androgenesis, sex chromosome manipulation, and DNA technologies leading to transgenic fish. Some NARS scientists, after Ph.D. training in laboratories that specialize in one or a few approaches to genetic manipulation choose, upon their return to implement the same approaches without reviewing other possibilities, including simple selective breeding. ICLARM has no current comparative advantage to work in any of these areas, but is being and will increasingly be asked to advise and to work with NARS scientists that are interested in these techniques. This is already apparent from ICLARM's role as the member-coordinator of the International Network on Genetics in Aquaculture (INGA) (Seshu et al. 1994).
ICLARM must therefore stay well informed on advances in genetic manipulation and will ultimately, probably during the next MTP period, have to become involved in marrying these increasingly powerful techniques with the selective breeding approach that it has championed so far. The need for ICLARM to be a future actor in genetic manipulation research should therefore be accommodated in the design of future ICLARM dedicated research facilities and in future research planning.
References:
Eknath, A.E., M.M. Tayamen, M.S. Palada-de Vera, J.C. Danting, R.A. Reyes, E.E. Dionisio, J.B. Capili, H.L. Bolivar, T.A. Abella, A.V. Circa, H.B. Bentsen, B. Gjerde, T. Gjedrem and R.S.V. Pullin. 1993. Genetic improvement of farmed tilapias: the growth performance of eight strains of Oreochromis niloticus tested in different farm environments. Aquaculture 111:171-188.
Pullin, R.S.V. Editor. 1988. Tilapia genetic resources for aquaculture. ICLARM Conf. Proc. 16. 108 p. (French Edition available from 1989).
Pullin, R.S.V., A.E. Eknath, T. Gjedrem, M.M. Tayamen, J.M. Macaranas and T.A. Abella. 1991. The genetic improvement of farmed tilapia (GIFT) project: the story so far. Naga, the ICLARM Quarterly 14(2):3-6.
Seshu, D.V., A.E. Eknath and R.S.V. Pullin. 1994. International Network on Genetics in Aquaculture. ICLARM, Manila, Philippines.
Recommendations 7 and 8
Recommendation 7. Develop a revised research plan for its proposed Coral Reef Systems Program clearly justifying any large expansion, taking advantage of opportunities for collaboration with advanced scientific institutions, and present it to TAC for approval either as part of ICLARM's presentation of its Medium-Term Plan, or, if ICLARM requires more time, on the occasion of the interim external review.
Recommendation 8. Revise the strategy for its proposed Coastal Resource Systems Program to reflect the nature of the problems faced in the coastal zone and present it to TAC as part of the Center's response to this review.
Status
Based on ICLARM's draft Strategic Plan, the EPMR made two recommendations relating to the Coastal and Coral Reef Resource Systems Programs, which can best be dealt with jointly because the Programs were subsequently merged into a single Program.
In response to these recommendations ICLARM emphasized that coral reef research included a substantial component of social and economic research, including important research on community-based management plus work on coral reef ecology, fisheries enhancement and aquaculture. The important role of coral reefs in the nutrition of coastal communities was described in detail. Additionally, ICLARM submitted a revised research program on coastal resource systems which encompassed a wider range of issues, ranging from biology and modeling to social science and policy research.
The revised research programs were described in the Strategic Plan and the research themes were further elaborated in the February 1993 Medium-Term Plan in which the coastal research program focused on the dynamics of multispecies resources, on the socio-economic dimensions of coastal fisheries and on integrated coastal fisheries management. The coral reef research was to be more narrowly focused on improvement of management of coral reef resources and the development of aquaculture and fisheries enhancement systems in coral reef environments.
However, at the funding envelope accorded to ICLARM in mid-1993, it became necessary to combine the two programs into a single unit, the Coastal and Coral Reef Resource Systems Program, comprised of three thrusts. The funding situation meant that only one additional SSY could be added to the Program and that the Program become, of necessity, highly focussed. The final array of projects covered fisheries resource and ecosystem assessment, database development (Reefbase, Fishbase and FiDAS), fisheries co-management, bioeconomic modeling and valuation of resources, the comparative analysis of coastal cross sections and the development of culture and resource enhancement systems for coral reef organisms.
The new Coastal and Coral Reef Resource Systems Program was reviewed in April 1994 (see documents on Internal Reviews).
The resulting program addresses virtually all of the critical research issues relating to the sustainable utilization of coastal and coral reef resource systems, albeit in a compact fashion as dictated by funding constraints. Nevertheless, it effectively draws on the talents of the highly skilled staff at ICLARM, a wide range of NARS and ASI partners, on ICLARM's comparative advantages and covers the most critical research issues.
ICLARM believes that significant new funds could be made available from a range of donors over the next 2-3 years and is starting to make plans to seek these funds. For example, ICLARM will be preparing a CGIAR inter-center initiative in coastal zone studies for presentation to TAC in 1995. Planning for research activities under the initiative should take a year or so because of the consultations required.
Significant new funds could also be found for coral reef research, especially in the areas of marine protection, aquaculture and non-traditional uses. The USA, Japan and Australia have recently begun a global coral reef initiative. ICLARM's Reefbase and other research inputs are already being recognized.
Recommendation 9. Recruit a training specialist and with her/his guidance carry out an assessment of training needs in client developing countries in order to formulate strategies and plans on training.
Status
ICLARM has not recruited a training specialist nor carried out an assessment of training needs. The full Medium-Term Plan provided for the establishment of a National Research Support Program that was to be ICLARM's major vehicle for guiding NARS-strengthening activities. At the lower funding envelope approved by TAC, the NRSP was downgraded to a Training Unit but even this has not been operationalized because of lack of funding. As a consequence, NARS-strengthening activities are carried out within the two Research Programs, the Information Division and through the four ICLARM networks (NTAS, NTFS, AFSSRN and INGA). The activities, however, lack a substantial ICLARM policy on training and NRS strengthening. These circumstances make it particularly important for ICLARM to conceptualize and publicize how it works to strengthen NARS.
ICLARM had undertaken a very extensive process of consultation with NARS and ASIs during 1991-92 in the development of the Strategic Plan and the Medium-Term Plan.
ICLARM's current and past accomplishments in NARS strengthening were reviewed and outlined for the 5th Meeting of the Board of Trustees in April 1994. Through its Program Committee, the Board agreed that the comparative advantage of ICLARM has been the flexibility to respond to course needs in its area of expertise, where and when the situation has demanded; to produce high quality output from its research that has become teaching and training material; and to provide an information source for NARS second to none.
After discussions, the Board of Trustees agreed that NARS strengthening actions should be reported in the Annual Report and that ICLARM should open a debate with TAC on how to reclassify our NARS strengthening activities. It was recommended that a consultant should be hired to link with ISNAR to develop curricula for NARS courses which would use ICLARM's CD-ROM. Additionally, ICLARM should develop a short policy statement on NARS strengthening activity for approval at the next Board Meeting.
The full (April 1994) Board agreed that ICLARM needed to formulate and communicate a policy statement on NARS strengthening. Several of the Trustees voiced their opinion that such a statement was very important in view of the decision made in 1993 to dissolve the National Research Support Program. They also suggested that less emphasis be placed on technical assistance to NARS and more on "partnership". The Board requested the Director General to prepare a proposed policy on NARS strengthening to be reviewed by the Board at its next meeting.
The November 1994 Board was informed that ICLARM had maintained high-level contact with NARS where possible, especially in the Philippines, and that the projects in Bangladesh, Malawi and Solomon Islands continued to have strong training components. In the Philippines and Bangladesh, NGOs as well as Gos were increasingly involved with ICLARM in technology transfer and capacity-building activities. For example, ICLARM has recently entered into a project with key government and nongovernment agencies in the Philippines to develop curricula and pilot courses in community-based coastal resource management. However, there has not been time for the new DG to formulate a coherent policy on this issue.
A draft policy with respect to training will be presented to the Board at its April 1995 meeting.
The matter of NARS strengthening was taken up by CGIAR Chairman Ismail Serageldin at the CGIAR mid-term meeting in New Delhi, May 1994. He saw future NARS collaboration as "real partnerships, through consortia or other means", and that the CG system "should not take on the task of strengthening the NARS in some 100 developing countries. This should be handled by other resources," which were elaborated by Mr. Serageldin. He defined "strengthening" as technical assistance and capacity building.
The executive summary of the 1992 EPMR included the following statements:
Training is undertaken within programs - there is no coordinated strategy to serve the needs of ICLARM's clients. (p. ii)
The National Research Support Program (NRSP): This program integrates ICLARM's information and training activities and proposes a thrust on strengthening (aquatic) NARS. The Strategic Plan is not clear on goals and strategies in these areas, which gives the impression to the Panel that ICLARM's thinking on this has not progressed much beyond the need to integrate these three related activities. Nevertheless the Panel endorses a program integrating these three thrusts. ICLARM could usefully look to the CGIAR centers for strategies and modes of operation, particularly in training. Any strategy should recognize the collective responsibility of all programs to support training.
Response: The strengths of the present modus operandi were pointed out in the Board document "NARS strengthening at ICLARM". Nevertheless, a strategic planning exercise for training will be carried out in 1995. Both SIFR and the CGIAR are developing information strategies. The recent review of the Information Division also recommended the establishment of strategies in Information and Communication.
Recommendation 10. Spell out its strategies and plans in the information area clearly, and not expand its staffing and expenditures in this area before completing such an effort.
Status
A survey of needs was not carried out by ICLARM because the Study (later Strategy) on International Fisheries Research Needs (SIFR) put Information as its first priority for follow-up action and in 1993 began a global survey of needs which is ongoing.
A CGIAR system-wide strategy for Information has recently been approved (at Centers Week 1994) and the activities arising from this will also affect ICLARM's future Information work. The strategy requires networked information systems and databases; information partnerships; common standards for products; and joint acquisitions and production.
The Information Division was reviewed by two external consultants in December 1994. The reviewers found that the Division was basically a service unit and that it should set its own priorities in Information and Communication, including public awareness, in line with the institutional strategy of ICLARM.
The review report included a number of very useful specific recommendations which will be acted upon by management.
Some other statements in the EPMR are relevant to Information. These are reproduced below together with individual responses.
ICLARM's primary publications are generally high quality and of relevance to clients and the scientific community. There is concern that some materials are published without formal review and may be uncritically applied by clients. The various bibliographies produced are considered of relatively low value unless they are annotated.
Response: All significant documents are peer reviewed. We presume "formal review" thus means through publishing in a refereed journal. Efforts are being made to direct articles more towards primary literature. In fact, that was also a recommendation from the study of our bibliographic impact in 1990 (ICLARM Tech. Rep. 26). However, ICLARM cannot control uncritical application by clients. We stopped producing simple bibliographies.
ICLARM may have a comparative advantage for sponsoring a scientific journal to fill this gap.
Response: We gave this role to the Asian Fisheries Society and continue to support the journal and Society. Our role in the past at least, has been to catalyze sustainable activities.
Recommendation 11. Ensure that capital requirements, including permanent headquarters facilities in terms of offices and laboratories, are the critical minimum needed to carry out its programs.
Status
ICLARM's capital requirements, even at critical minimum levels, have never been satisfied due to funding constraints. At present, Management would like to conclude a Headquarters Agreement with the Philippine government in order to start work on identifying a site for ICLARM's headquarters and fundraising for this purpose. A working group of the Board was set up for this purpose at the November 1994 Board meeting.
The Center's present site in rented facilities in the middle of the Manila financial district has never been satisfactory and is now already insufficient to house ICLARM's staff and facilities. ICLARM's outreach sites, especially the Coastal Aquaculture Center in the Solomon Islands, contain greater access to physical research facilities. In Muñoz (Philippines), Bangladesh and Malawi, all research facilities are shared with NARS partners, ICLARM access being protected under various agreements.
Recommendation 12. Clarify the rationale and the role of the proposed Deputy Director General.
Management has no immediate plans to recruit a DDG. Several other positions have been given much higher priority. These high-priority positions include a Senior Social Scientist, a Senior Scientist for International Liaison and an Aquatic Resource Geneticist.
More importantly, however, the present DG wishes to clarify and strengthen the corporate management roles and responsibilities of the senior management staff. Adding an extra level to the hierarchy of a Center the size of ICLARM would therefore not be appropriate.
PART II. RESPONSE TO SELECTED SECTIONS OF THE EPMR.
2.2.3 (pp 13-14). Aquaculture Program Assessment.
Shortcomings in selection of farm pond sites in Malawi are noted. Work from 1992 onwards in Malawi concentrated on more typical, rainfed on-farm ponds. Several such studies are now in press or in the final stages of preparation. In addition, the planning of the successor to the Malawi work, a regional project on small scale integrated aquaculture/agriculture across the Southern Africa Development Community countries, looks carefully at the resource endowments of farmers in research planning. Greater emphasis is also placed on farmer participatory research methods.
Due to lack of facilities, ICLARM has been unable to include studies on water quality effects on aquaculture production. We stress, in the IRM Thrust however, that the biophysical basis for small scale integrated aquaculture-agriculture is not well known, and there is still much technology development required. More resources and control of our own field facilities would address this issue.
ICLARM now gives strong emphasis to environmental issues in aquaculture. In addition, we are taking a pro-active international role in biodiversity issues, including those associated with aquaculture.
ICLARM's IRM Thrust is attempting to address the identified shortcomings in the verification of models in aquaculture. Modest complementary funds have been attracted to make a start here.
2.3.3 (pp 17-18). Assessment of the Giant Clam Rearing Project.
Much of the scientific stock identification work recommended by the panel has been carried out or is underway. The Coastal Aquaculture Center (CAC) in the Solomon Islands is now well, though modestly established and is broadening its range of work into research into clam products for different markets, research into bêche de mer and pearl oysters, and shortly, into marine protected areas and reef fish enhancement studies. This work is attracting donors as the potential benefits to the Pacific Islands and southeast Asian countries are recognized. Links with ASIs and NARS are well established and more frequent contact between headquarters and the CAC is generating a greater integrity between projects carried out there and the main ICLARM program.
2.4.3 (pp 21-24). Assessment of the Capture Fisheries Program.
This assessment praised the achievements of the work but warned of the care which is needed in disseminating software and stock assessment methodologies. The lack of emphasis on fishing data was also highlighted. ICLARM is attempting to address this latter point in a proposal for funding now before the Asian Development Bank. This will build on preliminary work by ICLARM in Sierra Leone (West Africa) over the last 2 years. ICLARM agrees that fisheries data collected by fleets is an important source of information. In addition, too little attention has been paid (by ICLARM and others) to the collection of reliable small scale fisheries data. This requires urgent attention as overall fish stocks decline and as competition between commercial and small-scale fishers intensifies. It would be given high priority in an expanded ICLARM program.
Impact assessment work will be attempted in more detail in ICLARM in the future. We agree with the comments made on the lessons to be learned from San Miguel Bay and Lingayen Gulf work. ICLARM has several policy papers submitted and in press on the former and plan to publish overview material on the lessons.
2.5.3 (pp 29-30). Assessment of the Coastal Area Management Program.
Continuing work by staff in the Coastal and Coral Reef Resource Systems Program (Coastal Transect Project and various Philippine-funded bays projects), and the Fisheries Co-Management Project, continue to work in collaboration with many NARS, GOs, NGOs and ASI, biophysical, socio-economic and policy research. However, as with several areas of ICLARM work, our resources are stretched too thin. Additional resources will be sought for this work in future, including through a CGIAR inter-center initiative.
2.7.4 (pp 39). Training and Networks Assessment.
The AFSSRN's present coordinator has revitalized the network; gaining both strong member and donor support. A growing range of training and development activities are now channeled through the Network; the quality of some publications arising from Network members and their activities is world class; and plans are in train to gain further donor support to entend the network in Vietnam, Cambodia and Laos.
3.1.2 (pp 42). Organizational Cultures.
Much has been done in the last 18 months to establish the necessary internal policies and rules to formalize the ICLARM culture, while respecting the needs for flexibility and a culture to foster creativity. Personnel policies, project management arrangements, the discipline of the annual CGIAR Programs and Budget process, and various other forms of structural guidance are contributing.
3.2 (pp 43-45). Governance.
The new smaller ICLARM Board, with a defined mission statement, code of conduct, annual work plan and self-evaluation process is providing the level and quality of oversight required of a CGIAR Center. Board meetings are now held twice yearly. The Board is kept (routinely) informed of ICLARM activities via a fortnightly set of Board Notes. A program of Board member visits to outreach sites has been instigated.
3.4.4 (pp 50-51). Assessment of Strategic and Operational Planning.
A better strategic and operational planning system is required in ICLARM, although there have been considerable improvements since the 1992 EPMR. The following observations apply:
- planning will have to cope with the reality of resources to the extent that overall research directions must provide a framework for a work program which will be variously financed and cannot expect the internal control and flexibility afforded by a large vote of unrestricted core funds.- the Management Services Division has made strong moves towards servicing research programs but the situation bears further improvement on both administration and research sides, including greater resource management skills by senior research staff.
- the management committee of ICLARM (consisting of the DG, Directors of the 2 research programs and 2 divisions, fisheries co-management project leader and the section manager of the Projects Unit) meets weekly as an information exchange and decision-making body. All new projects must be put through this committee from the pre-proposal phase.
- efforts have been made to improve two-way communication with all field stations, through copies of Board Notes (fortnightly), notes from management committee meetings, monthly staff Bulletin items, etc. The on-site management responsibilities of officers-in-charge (OIC) have been clarified but further attention needs to be given to the reporting chains to head office directors. All OICs have direct access to the DG.
- ICLARM finds it is moving in the right direction with respect to internally managed reviews, using external experts (see separate document).
3.5.3 (pp 53-54). Personnel Policies and Procedures.
Major steps have been taken in all critical areas, including promulgation of Board-approved personnel policy manuals, establishment of a personnel section, instigation of an ICLARM-designed staff performance appraisal and management system, improved information sharing and establishment of an effective and representative NRS Staff Advisory Committee, chaired by the DG.
However, management and the Board acknowledge that these steps are just the start of processes to turn ICLARM into an outstandingly well managed research center.
3.6.3 (pp 57-58). Key Issues (Budget).
ICLARM has developed much improved management information systems since 1992. Budget planning is now more effective but most budgets are still running on project plans drawn up before proper costing and charging arrangements applied, leading to shortfalls in some projects. Information supplied to the Director General and senior staff is to be improved further in the light of budget stringencies, currency fluctuations (especially the rapid strengthening of the Philippine Peso), and increased devolution of responsibility for financial management.
Delayed donor disbursement and negotiations over overhead rates continue to plague ICLARM's financial situation and its ability to manage its finances adequately.
4.7 (pp 97-102). Structural and Operational Concerns.
ICLARM's present structure and organizational accountability chains need to be revisited. They result from some ad hoc decisions due to resource constraints, personality conflicts and history. Management intends to propose a new structure to the Board in April 1995.
