T. FAO POLICY REGARDING ASSISTANCE IN ESTABLISHING REGIONAL RESEARCH AND TRAINING INSTITUTES

T-1: Preamble

T-2: Resolution No.48/57

T-3: Council Action²

T-4: Appendix⁵

• Preamble
• Basic Considerations
• Article XIV of the Constitution¹⁰
• Rule XXI of the General Rules of the Organization¹¹

Preamble

1. The ninth session of the Conference¹ had before it a note from the Director-General requesting policy guidance regarding FAO assistance in the establishment of regional research and training institutes and containing a proposed course of action. The Conference noted that several regional bodies of FAO had recommended the establishment of such institutes to meet needs for research and training in specific subject fields common to several countries of a region. The Conference noted also that several countries had recently offered sites and various facilities and had requested the Organization to assist in the establishment and operation of research and training institutes on a regional basis.

2. Since a number of aspects of the Director-General's proposal required clarification and further consideration, the Conference adopted the following resolution:

Resolution No. 48/57
Regional Research and Training Institutes

THE CONFERENCE

Having noted the considerable number of proposals for FAO assistance in the establishment of regional research and training institutes;

Recognizing the desirability of providing the Director-General with more specific policy guidance in dealing with this matter than is contained in the Constitution;

Desiring clarification upon certain aspects of the matter and oppor tunity for further study of the Director-General's proposal;

Requests the Council to consider this proposal in its meeting immediately following the ninth session of the Conference and advise the Director-General on a suitable course of action.

Council Action²

3. At the ninth session of the Conference, the Director-General requested policy guidance regarding FAO assistance in the establishment of regional research and training institutes. The Conference noted that several regional bodies of FAO had recommended the establishment of such institutes, while several member countries had offered sites and facilities and had requested the Organization to assist in the establishment and operation of research and training institutes on a regional basis. The Conference had requested the Council to consider the matter and to advise the Director-General on a suitable course of action (Resolution No. 48/57). The Council, at its twenty-eighth session, in turn requested the Committee on Constitutional and Legal Matters to examine the constitutional and legal aspects, and the Programme Committee to examine the policy issues, with a view to considering the technical aspects at its twenty-ninth session (Resolution No. 1/28).

4. The twenty-ninth session of the Council had before it the report of the first session of the Committee on Constitutional and Legal Matters and the reports of the first and second sessions of the Programme Committee. Both committees accepted that three general classes of research and training institutes existed, viz.:

1. institutes managed and financed solely by individual Member Governments primarily to serve their own nationals;
2. institutes so managed and financed, but which would welcome additional financial support in return for their recognition as regional institutes for the training of nationals of countries in the region;
3. new institutes specifically established as regional institutes.

The Council agreed that institutes of the first type were outside the scope of the study requested by the Conference, although many of them undertook the training of fellows under the fellowship schemes sponsored by FAO. As regards the second and third types, the Council considered that, subject to the provisos noted in paragraphs 6 to 10 following, FAO support for, and participation in, such regional research and training institutes should be permitted on the following conditions:

1. The Director-General must be satisfied that the purpose of the proposed institute is in accordance with the aims and objectives of the Organization and that the technical standards of research to be applied will make a continuing contribution to the development of knowledge in the field in which the institute is to operate. In the case of training institutes, he will satisfy himself that there is a generally felt need in participating countries for the training envisaged, and that instruction will be of a standard that will ensure a real contribution to the supply of trained personnel. Emphasis should be placed upon applied research to find solutions to practical problems faced in a number of countries. Training should be in line with the current and prospective need for trained personnel.
2. The government of the country in which the institute is located must guarantee to provide the land, buildings and equipment locally available, although it might enter into special arrangements with other interested governments for financing this requirement. In addition, the host country would share in providing staff and funds to meet maintenance and operating costs. Further, the host government must undertake to request within its technical assistance country target, and over a number of years, those goods and services which FAO agrees to provide as described in paragraph 5 below.
3. The host country must agree to the operation of the institute under a governing body composed of representatives of all contributing countries, with FAO serving in an advisory capacity.
4. A sufficient sum of money should be pledged by interested governments (including the host government), to be paid annually over a period of years, to assure the continuing operation of the institute on a sound financial basis.

5. The Council also agreed that, subject to the foregoing requirements, FAO participation might involve:

1. advising on the organization and programme of work of the institute, not only at its inception but on a continuing basis as required;
2. undertaking to include in its Technical Assistance Programme, or endeavouring to obtain from the Special Projects Fund, a contribution in goods and services to an amount agreed upon between the host country and FAO each year at the time the ETAP³ country programme is negotiated, as a contribution towards the cost of operations of the institute during that year, unless there should be an increase in the Technical Assistance Funds that can be used for regional projects to a level that would allow inclusion, within the FAO regional projects total, of the cost of goods and services for a regional institute or institutes, thus making it unnecessary to include this sum within any particular country target.

6. The Council considered the principles which should govern the conditions of support and, where required, the forms of agreement which would be appropriate between the Organization and (a) governments of member countries which were participating in the establishment and/or maintenance of such regional institutes; and (b) the governing bodies of such regional institutes.

7. The Council noted that, where funds from the Organization's regular budget were involved, short-term assistance might be arranged by the Director-General, subject to budgetary approval by the Conference, although the view was expressed that any such allocation from the regular budget should only be made exceptionally.

8. The Council recognized that certain forms of support were already provided for under the conditions laid down by intergovernmental agencies furnishing technical assistance as, for example, under the Expanded Technical Assistance Programme and under the United Nations Special Fund for Economic Development.1 The Council agreed that in such circumstances it would be appropriate for the necessary arrangements to be made between the Director-General and the government or governments concerned. Such arrangements would be in pursuance of the provisions of Article I.3 (a) of the FAO Constitution. In regard to the Expanded Technical Assistance Programme, they would be in line with the relevant resolution passed by the Conference, and in regard to the United Nations Special Fund for Economic Development, they would be in line with the intentions of the fund as noted in the relevant resolution of the United Nations General Assembly (Resolution No. 1240 [XlII], paragraphs 39 to 44).

9. In regard to assistance to regional research and training institutes, furnished through FAO by private foundations, or from any other voluntary contributions, the Council noted that these would fall within the provisions of Financial Regulation 6.7.

10. Subject to paragraphs 6 and 7 above, the Council agreed that, whenever long-term financial commitments were involved, either on the part of the Organization itself, or through the Organization, of individual Member Nations, arrangements for assistance should be subject to the control of the Conference and Council as provided for in either Article XV or XIV of the Constitution respectively. In such circumstances the Council recommended that the principles set out in Appendix III of the Report of the first session of the Committee on Constitutional and Legal Matters, as reproduced in Appendix B to this report⁴, be used by the Director-General as guidance in drafting the necessary agreements for submission to the Conference.

Appendix⁵
Guiding Principles with Respect to Agreements under Article XV of the Constitution for the Establishment of International Institutions Dealing with Questions Relating to Food and Agriculture

Preamble

Agreements for the establishment of regional institutions should include the following points, it being understood that the pattern given below would have to be modified, adapted or completed to suit specific situations.

Basic Considerations

1. Aims and objectives

The statutes should spell out the purposes and objectives of the institution and these should be in conformity with those of the Organization. The relationship with FAO should also be clearly defined.

2. Organs

The organs of the institutions should comprise a governmg body and a director. All governments parties to the basic instrument should be members of the governing body. The functions of the governing body should not be entrusted to an FAO organ. The Director-General of FAO should be represented on the governing body in a purely advisory capacity. The functions of the governing body should include the approval of an annual programme of work and budget as submitted by the director of the institution.

3. Administration

The administration of each institution should be placed under the authority of the director appointed by the governing body after consultation with the Director-General of FAO. The director should have full authority to administer the activities of the institution and should be its legal representative in all transactions. The conditions of appointment of the director should be determined by the governing body.

4. Staff

The staff of the institution should be recruited by and responsible to the director. The responsibility of the staff should be international in character.

5. Obligations of parties

1. Host government: provision of land, buildings, premises, maintenance, protection, public utilities, etc.
2. Governments parties to the agreement including host government: financing in accordance with arrangements made at the time of the negotiation of the agreement.⁶
3. FAO: contributions in terms of technical staff or consultants, goods, fellowships and other possible services; conceivably also grants-in-aid.

The agreement should specify the number of years over which the assistance of FAO would be forthcoming.

6. Control by FAO

The control of FAO could be exercised, inter alia, by one or more of the following methods:

1. Representation of the Director-General in an advisory capacity on the governing body of the institution.
2. Obligation on the part of the institution to submit periodically to the Organization a technical, administrative and financial report on the work of the institution.
3. Submission of the programme of work and budget of the institution to the Organization for comments or approval.
4. Management of the funds and/or control of all the financial operations of the institution by FAO.
5. Approval by FAO of by-laws (e.g., financial regulations, rules of procedure and staff regulations).
6. The relations between institutions and international organizations to be governed by the relevant provisions of the FAO Constitution and the General Rules of the Organization as well as by the rules adopted by the Conference on the matter of relationships with international organizations, all such relations to be dealt with by the Director-General.
7. The institutions should in principle not be empowered to enter into arrangements with governments which are not members of the Organization. When this, however, is found desirable, a specific provision should be incorporated in the agreement indicating the scope of such authority and specifying whether such arrangements should be made by the Director-General of the Organization.
8. The question of observer status for non-member governments of the Organization should be governed by the statement of principles relating to the granting of observer status to nations, adopted by the ninth session of the Conference.

A policy decision would have to be taken in every individual case as to the nature and scope of the control.

7. Expenses

The expenses of members of the institution or of experts attending meetings of the institution as government representatives should be borne by the respective governments, and the expenses of experts attending in their individual capacity should be borne by the budget of the institution.

8. Legal status

The agreement should contain a clause to the effect that the institute is to be recognized as an international foundation and is to have the capacity of a legal person to perform any legal act appropriate to its purpose which is not beyond the powers granted it by the agreement. It should also contain a clause stipulating that FAO does not assume any civil, financial, or other responsibility other than those provided for in the agreement. The agreement should also contain a clause regarding the privileges and immunities to be enjoyed by the institute, the members of the governing body and the staff.

9. Method of participation in agreement

Participation in the agreement may be effected either through the traditional system, i.e., that of signature, signature subject to ratification, and accession, or by the more recent and simplified system of acceptance by the deposit of an instrument of acceptance. Under both systems, the period during which nations may become parties to the agreement could be limited, if circumstances so warranted.

10. Amendments to agreement

1. Amendments should require Council approval unless the Council considers it desirable to refer the amendments to the Conference for approval. In addition, such amendments should be subject to prior approval by at least a two-thirds majority of the parties to the agreement.
2. Amendments should not become operative before approval by the Council or the Conference. The actual date on which they come into force should be specified in the text.
3. Amendments involving new obligations for the contracting parties should come into force in respect of each contracting party only on acceptance by it. The instruments of acceptance of amendments involving new obligations should be deposited with the Director-General of the Organization, who should inform all the contracting parties of the receipt of acceptances and the entry into force of amendments.
4. Agreements should contain a provision regarding the position of contracting parties who do not accept the amendments.

11. Entry into force

The agreement should indicate the number of participations required in order to bring it into force, as well as the method for determining the effective date of participation. Notification of participation should be dispatched by the Director-General to all signatory, acceding and accepting parties, and to all Member Nations of the Organization.

12. Reservations⁷

A reservation clause should be inserted in the agreement, and this clause should state that a reservation may become operative only upon unanimous acceptance by the parties to the agreement. Failing such acceptance, the nation concerned should not become a party to the agreement. With respect to reservations made prior to the coming into force of the agreement, such reservations would have to be accepted by all the nations which at the time of the coming into force of the agreement were parties thereof. For calculating the number of acceptances of the agreement necessary to bring it into force, nations having made reservations should not be included in this number. Reservations made after the coming into force of the agreement would have to be accepted by all parties to the agreement. The Director-General of the Organization should notify all signatory, acceding and accepting governments of all reservations. Governments not having replied within three months from the date of notification should be considered as having accepted tacitly the reservation, and the notification referred to above should draw attention to this rule.

13. Territorial application

The agreement should contain a clause regarding its territorial application. The contracting parties should at the time of signature, ratification, accession or acceptance declare explicitly to what territories the agreement shall extend, especially in those cases where a government is responsible for the international relations of more than one territory. Subject to the provisions laid down in paragraph 15, and to any relevant provision of the agreement re garding withdrawal, the scope of the territorial application may be modified by a subsequent declaration.

14. Interpretation and settlement of disputes

Each agreement should contain a suitable provision regarding its interpretation and the settlement of disputes.

15. Withdrawal and denunciation

The agreement should contain a clause regarding withdrawal or denunciation on the basis of the following principles:

1. No participating nation may withdraw before having been a party to the agreement for a certain period.
2. A nation that is responsible for the international relations of more than one territory shall, when giving notice of its withdrawal, state to which territory or territories the withdrawal is to apply.
3. A nation may give notice of withdrawal with respect to one or more of the territories for the international relations of which it is responsible. Each agreement shall contain a clause dealing with the position of Member Nations as regards their participation in the agreement as the result of their withdrawal from membership in the Organization.

16. Termination⁸

The duration of each agreement should be specified in the agreement. The agreement should contain a termination clause, which clause should, inter alia, provide for automatic termination if and when the number of participants drops below that required to bring it into force, unless the remaining par ticipants unanimously decide otherwise.

17. Authentic languages

Unless otherwise decided by the Conference, the agreements should be drawn up in English, French and Spanish, which languages would be equally authentic.

18. Procedures governing preparatory work and approval by the Conference

In addition to the provisions of Article XV of the Constitution and Rule XXXI.3 (c)⁹ of the General Rules of the Organization, the following provisions of Article XIV of the Constitution and Rule XXI of the General Rules of the Organization should apply, mutatis mutandis, to the agreement concluded under Article XV of the Constitution:

Article XIV of the Constitution¹⁰

Rule XXI of the General Rules of the Organization¹¹

1 See paragraphs 511 and 512 of the Report of the ninth session of the Conference.

2 See paragraphs 71 to 78 of the Report of the twenty-ninth session of the Council.

3 Now United Nations Development Programme.

4 Appendix B to the Report of the twenty-ninth session of the Council appears in this volume on pages 216 to 222.

5 Appendix B to the Report of the twenty-ninth session of the Council.

6 In the case of a bilateral agreement between FAO and the host government, these provisions would have to be modified accordingly or deleted.

7 In the case of a bilateral agreement between FAO and the host government, these provisions would have to be modified accordingly or deleted.

8 In the case of a bilateral agreement between FAO and the host government, these provisions would have to be modified accordingly or deleted.

9 Now Rule XXXIV.3 (c).

10 The paragraphs below summarize the original text.

11 The paragraphs below summarize the original text.