UNCLAS SECTION 01 OF 02 ROME 000468

SIPDIS

C O R R E C T E D C O P Y - TEXT

FROM U.S. MISSION TO UN AGENCIES IN ROME

STATE FOR IO/EDA, IO/S/SC, AND L/UNA

E.O. 12958: N/A
TAGS: AORC KUNR KUNR FAOAORC FAO
SUBJECT: FAO: HELMS-BIDEN - CURRENT STATUS

REF: (A) STATE 9952, (B) 11/23/01 EMAIL PODOLSKY/

HEILEMAN, (C) 1/16/02 EMAIL HEILEMAN/PODALSKY, (D) 01
STATE 178759, (E) 00 ROME 3137


1. THIS CABLE SUMMARIZES THE CURRENT STATUS OF WHERE FAO
STANDS REGARDING HELMS-BIDEN PROVISIONS ON (A) THE
INSPECTOR GENERAL FUNCTION, (B) PROGRAM EVALUATION, AND
(C) SUNSET PROVISIONS. MISSION REQUESTS DEPARTMENT'S
GUIDANCE IF ANY FURTHER ACTION IS REQUIRED BEFORE A
RECOMMENDATION COULD BE MADE TO THE SECRETARY THAT FAO
HAS MET THE TRANCHE THREE REQUIREMENTS.

INSPECTOR GENERAL
--------------

2. PER REF A, FAO HAS ADEQUATELY MET ALL H-B REQUIREMENTS
REGARDING THE INSPECTOR GENERAL FUNCTION.

PROGRAM EVALUATION
--------------

3. FOLLOWING ARE RESPONSES TO THE QUESTIONS POSED IN REF

B. THEY SUMMARIZE THE INFORMATION PROVIDED BY FAO'S
OFFICE OF PROGRAM, BUDGET, AND EVALUATION THAT WAS
FORWARDED TO THE DEPARTMENT IN REF C.

-- A. ARE "AUTO-EVALUATIONS" REQUIRED FOR PROGRAMS OTHER
THAN TECHNICAL AND ECONOMIC PROGRAMS?

IN PRINCIPLE ALL PROGRAMS, OTHER THAN FIELD PROJECTS, ARE
SUBJECT TO AUTO-EVALUATIONS. HOWEVER, GUIDELINES ARE YET
TO BE DEVELOPED FOR AUTO-EVALUATIONS OF OPERATIONAL
PROGRAMS AND ADMINISTRATIVE ACTIVITIES -- FAO EXPECTS TO
HAVE THEM COMPLETED BY AUTUMN. THE TECHNICAL AND
ECONOMIC PROGRAMS, ABOUT 45 PERCENT OF FAO'S PROGRAM
BUDGET, ARE THE FIRST PRIORITY. FIELD PROJECTS, AS
OUTLINED IN THE DG'S BULLETIN, ARE SUBJECT TO INDEPENDENT
TRI-PARTITE EVALUATIONS OR TO "THEMATIC EVALUATIONS."

(NOTE: DEFINITIONS OF THESE VARIOUS TYPES OF PROGRAMS ARE
FOUND IN THE CHARTS OF REF C.)

-- B. WHAT ARE CONTINUING PROGRAM ACTIVITIES?

PARAGRAPH 62 OF THE MEDIUM TERM PLAN DEFINES THE THREE
TYPES OF ACTIVITIES UNDER A SUBSTANTIVE FAO PROGRAM:
TECHNICAL PROJECTS (SET ACTIONS WITH A DURATION OF UP TO
SIX YEARS), CONTINUING PROGRAMS (A PRODUCTION OF OUTPUTS
WHICH ARE NOT OF A TIME-BOUND NATURE, SUCH AS THE
COLLECTION OF STATISTICS), AND TECHNICAL SERVICE
AGREEMENTS (SERVICES WHICH CANNOT BE PROJECTED FAR IN
ADVANCE SUCH AS TECHNICAL ADVICE TO A COUNTRY).

-- C. WHAT IS THE DIFFERENCE BETWEEN AN ANNUAL ASSESSMENT
AND AN AUTO EVALUATION?

AN ANNUAL ASSESSMENT IS FOR IN-HOUSE MONITORING BY

THE
WORKING-LEVEL OFFICERS INVOLVED. AN AUTO EVALUATION IS A
MORE FORMAL PROCEDURE WHICH LEADS TO RECOMMENDATIONS BY
PROGRAM MANAGERS TO SENIOR MANAGEMENT REGARDING THE
PROGRAM'S FUTURE. AS A MORE FORMAL PROCEDURE, THE AUTO
EVALUATION PROCESS WOULD INVOLVE "EXTERNAL INPUTS" (E.G.,
CONSULTANTS OR MEMBERS OF PEER GROUPS SUCH AS IFAD OR AN
NGO). IT WOULD NORMALLY BE CARRIED OUT AT LEAST ONCE
EVERY SIX YEARS, AND SENIOR MANAGEMENT ACTS ON ITS
RECOMMENDATIONS AS PART OF THE MEDIUM TERM PLAN
PROCEDURE.

-- D. AS REQUESTED, SECTION 107.11 FROM THE ORGANIZATION
STAFF MANUAL, DEFINING THE ROLE OF THE EVALUATION
SERVICE, WAS FORWARDED TO IO/S IN REF C.

-- E. WILL FUTURE FAO PROGRAM EVALUATION REPORTS (PER)
ADDRESS AUTO EVALUATIONS?

A SYNTHESIS OF AUTO EVALUATION REPORTS PREPARED EVERY
BIENNIUM WILL BE SUBMITTED TO THE DIRECTOR GENERAL AND TO
THE PROGRAM COMMITTEE. ONLY A SUMMARY OF THIS DOCUMENT
WILL BE INCLUDED IN THE PER. AS A PROGRAM COMMITTEE
DOCUMENT, HOWEVER, THE SYNTHESIS WILL BE AVAILABLE TO ALL
MEMBERS THROUGH THE INTERNET. THE COMMITTEE'S VIEWS ON
THE SYNTHESIS WILL BE INCLUDED IN ITS REPORT TO THE
COUNCIL.

-- F. HOW WILL THE DG REPORT RESULTS OF AUTO EVALUATIONS
AND PROPOSE TO CHANGE/TERMINATE PROGRAMS?

GUIDELINES REQUIRE THAT AUTO EVALUATIONS INCLUDE SPECIFIC
PROPOSALS FOR THE NEXT MTP PERIOD. TECHNICAL PROJECTS
WILL LAPSE UNLESS PROPOSALS PUT FORWARD A CASE FOR
CONTINUATION. PROPOSALS MUST INDICATE WHETHER CONTINUING
PROGRAMS SHOULD BE CONTINUED, MODIFIED, OR TERMINATED.


UNCLAS SECTION 02 OF 02 ROME 000468

SIPDIS

C O R R E C T E D C O P Y - TEXT

FROM U.S. MISSION TO UN AGENCIES IN ROME

STATE FOR IO/EDA, IO/S/SC, AND L/UNA

E.O. 12958: N/A
TAGS: AORC KUNR KUNR FAOAORC FAO
SUBJECT: FAO: HELMS-BIDEN - CURRENT STATUS

THE SYNTHESIS GOING TO THE PROGRAM COMMITTEE WILL LIST
ALL THESE PROPOSALS.

-- G. THE PROGRAM COMMITTEE RECEIVES INDEPENDENT
EVALUATION REPORTS THAT IT SELECTS. CAN IT ALSO SELECT
INDIVIDUAL AUTO EVALUATION REPORTS FOR A CLOSER REVIEW?
THE VOLUME OF AUTO EVALUATION REPORTS PREPARED EACH
BIENNIUM, AND THE COST OF TRANSLATING THESE INTO FIVE
LANGUAGES, MAKES IT IMPRACTICAL TO PROVIDE THESE TO THE
PROGRAM COMMITTEE. (159 TECHNICAL AND ECONOMIC PROGRAM
AUTO EVALUATIONS WILL HAVE TO BE PRODUCED, MOST OF THEM
PROBABLY BUNCHED TOWARD THE END OF THIS FIRST SIX-YEAR
MTP PERIOD.) THE COMMITTEE RECEIVES ONLY THE SYNTHESIS
OF ALL AUTO EVALUATIONS. IN PRINCIPLE, THE COMMITTEE
COULD ON AN "EXCEPTIONAL BASIS" REQUEST A COPY OF AN AUTO
EVALUATION, BUT AS AN INTERNAL FAO DOCUMENT IT WOULD
REMAIN THE DG'S PREROGATIVE TO ACCEDE TO SUCH A REQUEST.

-- H. HOW WOULD THE PROGRAM COMMITTEE MAKE
RECOMMENDATIONS TO THE FAO COUNCIL ON IMPROVING OR
TERMINATING PROGRAMS?

THE COMMITTEE HAS TWO MEANS BY WHICH TO COMMENT: MAKE
RECOMMENDATIONS THROUGH ITS REPORTING ON THE SYNTHESIS OF
AUTO EVALUATIONS, AND/OR USE THE MEDIUM TERM PLAN TO
EXPRESS IT'S VIEWS ON PROGRAM PRIORITIES.

SUNSET (U.S. POLICY)
--------------

4. THE UNITED STATES MISSION CONTINUES TO SEEK ACTION BY
FAO IMPLEMENTING SPECIFIC TERMINATION DATES FOR ALL
PROGRAMS, SO THAT PROGRAMS WILL NOT BE RENEWED UNLESS AN
EVALUATION DEMONSTRATES ITS CONTINUED RELEVANCE AND
EFFECTIVENESS -- A.K.A., SUNSET PROVISIONS. OVER THE
PAST SEVERAL YEARS OUR VIEWS HAVE PLAYED A ROLE IN THE
FAO'S MOVES TO DEVELOP A FAMILY OF NEW PLANNING,
BUDGETING, AND ACCOUNTABILITY DOCUMENTS. THE TWO CORE
DOCUMENTS, THE STRATEGIC FRAMEWORK AND THE MEDIUM TERM
PLAN 2002-2007 (MTP), REFLECT A SIGNIFICANT SHIFT TOWARD
SUNSETTING AND RESULT-BASED BUDGETING. THE MTP APPROVED
AT THE NOVEMBER 2000 COUNCIL DEFINES FORTY-FIVE PERCENT
OF THE FAO'S TECHNICAL AND ECONOMIC PROGRAMS AS TECHNICAL
PROJECTS, MEANING THEY HAVE A DURATION OF NO MORE THAN
SIX YEARS AND CANNOT BE EXTENDED UNLESS EVALUATIONS
CONFIRM THEIR EFFECTIVENESS. AS DESCRIBED ABOVE, OTHER
TECHNICAL AND ECONOMIC PROGRAMS ALSO REQUIRE AN
EVALUATION TO DETERMINE RELEVANCE AND EFFECTIVENESS AT
LEAST ONCE EVERY SIX YEARS. THIS REPRESENTS A MARKED
IMPROVEMENT OVER THE 2000-01 FAO PROGRAM OF WORK AND
BUDGET BUT WE CONTINUE TO SEEK A STRENGTHENING OF SUNSET
PROVISIONS.


5. CONTINUING DISCUSSIONS WITH FAO OFFICIALS AND WITH
OTHER FAO MEMBERS SUGGEST THAT THE MOST EFFECTIVE WAY TO
DO THIS IS THROUGH SEEKING CONTINUED STRENGTHENING OF THE
MTP AND THE EVALUATION PROCESS. MANY FAO MEMBERS ARE
LEERY OF OUR MOTIVATION, BELIEVING THAT WE SEEK
SUNSETTING NOT AS A STEP TOWARD BETTER MANAGEMENT BUT AS
A MEANS OF REDUCING OUR CONTRIBUTION. A RESOLUTION
CALLING FOR AN IMMEDIATE TERMINATION DATE ON ALL PROJECTS
IS UNLIKELY TO CLEAR EITHER FAO'S FINANCE COMMITTEE OR
COUNCIL, AND WILL MAKE SOME MEMBERS MORE SUSPICIOUS OF
ANY EFFORT TO IMPROVE THE MTP. IN RESPONSE TO A QUESTION
FROM THE U.S. PERMREP ON SUNSETTING AT THE MAY 2000 JOINT
PROGRAM/FINANCE COMMITTEE, THE DIRECTOR OF FAO'S OFFICE
OF PROGRAM, BUDGET AND EVALUATION URGED THAT MEMBERS SHOW
PATIENCE IN PUSHING FOR CHANGE (REF E).


6. THE MISSION WILL CONTINUE PRIVATELY TO STRESS TO
MEMBERS THE MANAGERIAL BENEFITS OF SUNSET PROVISIONS, AND
THE FACT THAT FAR FROM REDUCING FAO'S BUDGET, THESE
IMPROVEMENTS ARE LIKELY TO MAKE DONORS MORE WILLING TO
CONTRIBUTE. WE WILL CONTINUE TO DISCUSS INFORMALLY A
SUNSET RESOLUTION AMONG DONORS IN THE GENEVA GROUP. IT
SHOULD BE NOTED THAT BOTH THE 1999 AND THE 2000 ANNUAL
GENEVA GROUP REPORTS INCLUDED A PUSH FOR BETTER RESULTS-
BASED BUDGETING ON THE GROUP'S "TO-DO" LIST. THE 2001
REPORT, CURRENTLY BEING DRAFTED, WILL DO LIKEWISE.
HEILEMAN

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2002ROME00468 - Classification: UNCLASSIFIED