NORMATIVE FRAMEWORK

TRUST FUND PROJECT FORMAT

"Building National Capacity in Food Quality and Standards"

(PART II: PROJECT DESIGN)

A. GENERAL BACKGROUND

1. Description of the food security and safety situation
Description of the food and nutrition situation in the host country, both in quantitative and qualitative terms, and main food safety problems encountered. Information on the role of the food industries/agro-food production in the economy of the country concerned (contribution to GDP, agricultural GDP, foreign trade, employment, nutrition and income). Involvement in international food trade, particularly traditional and non-traditional export products, imports; and food safety/quality problems related to these exchanges (specific problems with imported commodities; export rejections; etc.). Economic losses associated with unsafe or adulterated food.

2. Host country strategy
Concise descriptions of what strategies and objectives have been articulated by the Government for the food control system. The major relevant components of the strategies can be highlighted by bullet points.

3. Prior or on-going assistance in support of the food control system
Brief information on specific programmes/projects (donors, major activities, and impact), including major activities promoted by the private sector.

4. Institutional framework of the food control system
Overall food control policy and strategies. Areas of responsibility of: government; semi-private or private institutions in food control (legal texts available, existing regulations and standards, technically up-to-date or obsolete, level of compliance); administrations involved in the food control system: management, inspection, laboratories, consumer affairs; resources available and level of training. Laboratories available (situation). Participation of the private sector in the food quality assurance etc.). Indication of primary responsibility for solving the problem and thus where to locate the project.

Data Needs (examples):

  • Institutions dealing with food control, staffing, budget, means of work; main problem faced, [for example, lack of capacity to ensure compliance with World Trade Organization (WTO) requirements]; current constraints.
  • present capacity in the rural and private sectors for food safety and quality.
  • foodborne diseases; outbreaks/health accidents linked to poor quality/unsafe food imports occurred recently in the country; impact on public health; impact on the economy; main causes of food losses due to contamination, and inadequate storage.
  • impact of requested activities on local producers.
  • sustainability of the different institutions and the system by itself; Government's commitment to cover for recurrent and further investment costs of these units.
  • Government development objectives for the food control system.
  • on going programmes and other relevant food control measures.
  • agreements among government-food producers-consumers-academia that relates to food control activities at urban and rural level.

Data Sources:

  • FAO web site (www.fao.org)
  • FAOSTAT
  • Food and Nutrition Division Website (http://www.fao.org/es/ESN/NUTRI.HTM)
  • Technical Cooperation Department web site "Field Programme Management Information System (FPMIS)"
  • Office of FAO Representative concerned
  • The World Bank (www.worldbank.org/data)
  • Ministry of Agriculture
  • Ministry of Public Health
  • Ministry of Trade/Industry/Commerce
  • Producer Associations

B. PROJECT RATIONALE-JUSTIFICATION

1. Problem to be addressed: the present situation
Description of the food safety and quality problems that affect the public health in the country and prevent it from being competitive in the international market. Description of its food control systems and institutions, their weaknesses, which make it ineffective in ensuring consumer protection and benefiting from the world trading system. The description should mention the lack or inadequacy of legal texts and regulations-standards; the general organization of the system; overlapping duties and managerial problems; gaps in the activities to be covered. Lack of training/equipment of the inspectors, inadequate laboratories facilities/equipment/training of personal; problems to assess industry and consumer concerns. Involvement of the private sector in the quality assurance of their products.

Description of needs for capacity building in the rural and the private sectors for food safety and quality; including on-and off-farm handling and management, processing, distribution and packing.

Draw attention to any specific mention of the national situation in the international context and under Data Needs.

2. Expected end-of-project situation and sustainability of project results
A concise statement of the project objective and expected outcomes is required here. Additional bullet points may highlight key actions the Government has to take to sustain activities after project finalization.

3. Target beneficiaries
Mention should be made of affected groups targeted, with special reference to food safety organizations and rural and private sectors. Low-income groups or gender issues should also be considered.

4. Project strategy
Describe strategies to be used and the reason for the choice of strategy: i.e. describe the technical and institutional activities and outputs required to reach the goal of setting up an efficient food control system and the capacity for food safety and quality of the rural and private sectors.

Previous progress made by the country in this way should be cited. Note any change in the organization, new legal text or standards, and understanding of the new approach to food control that can be applied. Major interactions between public and private sector; the industries should work with food quality and safety systems; and the public administration should check the efficiency of these programmes, instead of checking the final product. Attention of consumer concerns should be also considered.

5. Institutional framework and counterpart support capacity
Describe the institutional arrangements and responsibilities for project implementation, provide a description of the Government implementation agency (location, functions, organizational structure, financial and staff resources) and how the project would fit into the structure. Describe the project's organizational structure and the respective managerial responsibilities for national and international staff. Describe agreements to be set between government and private sectors to implement some of the project activities.

6. Reasons for assistance from FAO/Government Cooperative Programme
Text needs to document FAO's comparative advantage in being a partner with the Government in strengthening the national capacity in food quality and standards and improving capacity of rural private and rural sectors in food safety and quality.

7. Special considerations
This section can highlight special conditions of interest to the Government, the donor, rural and private sector, FAO and the international community as a whole. These might include the need for national capacity-building, sustainability of project achievements, impact on poverty alleviation, food security, empowering women and their role in the development of the country.

8. Coordination arrangements
Indicate coordination with other parts of the Government and/or semi-private or private sector, which would have an indirect role in project implementation. Comments from the Government in relation to the efforts of food producers, consumers, academic and research institutes should be taken into consideration in the implementation of the project. There may be need for a steering committee to inform and coordinate among any overlapping responsibilities.

C. DEVELOPMENT OBJECTIVE

Explain how the project would contribute to accomplishing Government long-term objectives articulated for the improvement of the food quality and safety. Mention how project could facilitate capacity building in the rural and private sector for food safety and quality.

Data Needs:

  • develop targets with specific reference for food safety and quality, its impact on the population (public health and economic welfare) and in the rural and private sector.

Data Sources:

  • Ministry of Agriculture/Health/Trade/Industry/Rural Development
  • Producer Associations
  • Consumers groups
  • Universities and food research centers

D. IMMEDIATE OBJECTIVE(S), OUTPUTS AND ACTIVITIES

1. Immediate objective 1: to prepare a draft national food law with enabling regulations and standards

Outputs
A comprehensive and modern National Food Law and enabling food regulations which will provide the "yardstick" by which the quality, safety and nutritive values of locally or imported food items are measured. The food standards elaborated will be in line with Codex Alimentarius standards. The legal texts (food law and subsidiary legislation, and standards) will take the following elements into account:

- The Uruguay Round (WTO) Agreements on the Application of Sanitary and Phytosanitary Measures (SPS) and on Technical Barriers to Trade (TBT);
- Regional agreements that the country may have contracted;
- The need for harmonization with the work of the Codex Alimentarius Commission; and
- Specific needs of the consumers and producers: local sanitary constraints, cultural habits.

Activities
- Activity 1: review existing national food laws and regulations.

- Activity 2: if necessary, prepare a draft National Food Law, taking into account government policy, as well as other legislation dealing with food matters, and other related legislation in the sub-region, and put in proper legal format any standards and subsidiary regulations to the food law.

- Activity 3: determine what standards are missing/needed, and for the existing ones, harmonize their technical content with that of Codex standards, guidelines and recommendations.

- Activity 4: present the food law for official approval by the Parliament, after having circulated the draft texts for comments among all parties interested.

- When in force, the legislation would provide the benchmark by which government food control agents will judge the safety, quality and nutritive qualities of food, thus protecting the public health and preventing fraudulent practices such as adulteration and sale of sub-standard food items. Similarly, producers/manufacturers will be guided by the provisions of the law and appropriate regulation(s) to produce satisfactory and branded food products that meet the expected standards on the world market and earn increased foreign exchange for the country. The legislation will also guide traders in making better choices in their purchases.

2. Immediate objective 2: to set up an effective Food Control Administration for the country.

Outputs
Output 1: more effective and efficient food control system

Food control is by essence a multi-disciplinary activity that involves several government agencies and stakeholders, including private sector, consumers and academic/research institutions. It requires a mechanism for close collaboration among all these partners with clearly defined responsibilities for each. A national food control strategy must be developed that involves all the partners and make use of all existing facilities. It should have clear objectives, a well designed plan and operational duties for all components of the system with a built-in monitoring device that enables the evaluation of the effectiveness of the system on a continuing basis.

Activities
- Activity 1: advise the national authorities on appropriate food control policies, strategies and managerial procedures, including the co-ordination needed among inspection and the laboratory, the different inspection bodies if they exist; and with different sectors. Train responsible officers and recommend food control procedures; clarify the task of each component of this food control system, avoiding gaps and overlapping.

- Activity 2: advise on the setting up of entities such as the National Food Control Authority, to give direction and purpose to the implementation of the food law, and to advise the Government on food regulatory matters.

- Activity 3: strengthen the Codex focal point and the food standardization body if exists. Create the National Codex Committee, to enhance the participation to the Codex Alimentarius Commission activities, as intrinsic part of this coordination mechanism.

- Activity 4: help the Government to set up National Surveillance Plans, to monitor the level of certain contaminants or pathogens of known importance on certain specific food.

3. Immediate objective 3: to upgrade the training programme for food inspectors

Outputs
Output 1: an improved food inspector group.

Once the duties of each inspection service has been defined (see above), it is important that the concerned officers carry out their duty in the framework of clear risk based inspection programmes, knowing their duties and responsibilities, and also the complementarities with other services (alerting them when necessary, etc.). They should be trained in food inspection, verification systems and sampling procedures, and provided with the necessary equipment for these purposes (sampling kits, refrigeration boxes, transportation facilities, etc.). The country will have a pool of trainers for continuous training of its inspection bodies; as well as the first teams of inspectors trained.

Activities
Activity 1: elaboration of a training of trainers manual in inspection.

- Activity 2: training of XX local trainers in food inspection (according to the size of the country and its degree of organization).

- Activity 3: elaboration of a inspection manual (including all updated legal framework for the activities of the inspectors, and technical specifications for food, in addition to the general principles and methodology on inspection and sampling procedures).

- Activity 4: training of XX inspectors (with both practical and theory sessions, focusing on the specialization's of the inspectors: retail shops, food processing plants; slaughterhouses; markets; warehouses at the port of arrival, etc.).

4. Immediate objective 4: to enhance the capabilities of the existing food analysis laboratory by reviewing the organization and quality assurance of laboratories procedures, providing training to XX food analysts (according to needs and equipment supplied) and supply of some essential analytical equipment and other laboratory materials.

Output
Output 1: upgraded capability in food analysis, with proper certification capabilities, including an accredited structure.

Activities
- Activity 1: upgrading of the structures (to conform with basic Analytical Quality Assurance requirements).

- Activity 2: provision of equipment to carry out the main analytical test for adequate certification.

- Activity 3: training of personnel on the use of this equipment and on the application of modern analytical methods.

- Activity 4: quality assurance systems in the routine work of the laboratory.

- Activity 5: accreditation of one structure at the national level, in order to deliver valid certificates for international trade.

5. Immediate objective 5: to set up a training programme in the food industry for insuring the quality and safety of foods products.

Output
Output 1: Basic food hygiene and good production and manufacturing practices in place in food production systems complemented by rationale quality assurance procedures.

Activities
- Activity 1 training of technical and managerial staff on the application of good hygienic practices, good agriculture or manufacturing practices and quality assurance systems (HACCP).
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- Activity 2: Training of official food control staff in auditing of quality assurance systems.
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- Activity 3: Establishment of a certification system backed up by a proper accreditation system.

Data Needs:

  • Number of trainers/inspectors/industry staff trained.
  • Number of workshops held.
  • Number of producers/industries assisted to improve their capacity on food safety and quality.
  • Number of field teams equipped for a specific task related to the inspection of food products.
  • Number of abattoirs/markets/retail stores/food processing plants, etc. inspected.
  • Specific, quantified interventions related to food safety quality inspection.
  • Details on improvement of laboratories.
  • Details on improvement of rejection levels.
  • Specific measures for control of imports.
  • Names and types of training manuals or reports prepared.
  • Reduction of food rejections/losses and foodborne diseases in selected areas.

Data Sources:

  • Ministry of Agriculture/Health/Trade
  • Academic or research institutes involved in the project

E. INPUTS

The inputs to be provided to carry out planned activities (goods, services, personnel, vehicles, and equipment) must be sufficient to produce the project outputs and to achieve the stated objectives. The description should specify: (i) international and national consultants (specialization and duration), equipment (quantity and specification), fellowships and study tours (field and duration of study) etc. and (ii) purpose for which provided. The timing and sequencing of inputs should be shown in the work plan annexed, together with a detailed description of inputs that are to be used.

Data Needs:

  • Details on goods (type and quantity), services (nature and length of period), personnel (specialization and duration), vehicles (type and quantity), equipment (quantity and specification). See also Section I. "BUDGET".

Data Sources:

  • Ministry of Agriculture/Health/Trade/Rural Development/Commerce
  • Producer and Consumer Associations
  • Universities and food research centers

F. RISKS

Risks are generally interpreted in terms of the negative effects of unexpected events. Some mention needs to be made of the probability of the risks occurring, the effects if they do occur, and how the project has been designed to mitigate such risks.

Data Needs:

  • Examples of events that negatively effected projects in the past, and information on corrective measures taken at the time.

Data Sources:

  • Ministry of Agriculture/Health/Trade/Rural Development/Commerce/Industry
  • Office of FAO Representative concerned
  • FAO technical division concerned

G. PRIOR OBLIGATIONS AND PREREQUISITES

Describe actions to be taken by Government for commencing the project (prior obligation) and to facilitate implementation. Discuss actions which do not effect commencement but which can cause serious disruption during implementation (pre-requisites). Enabling legislation, a diagnostic laboratory building and equipment are examples of significant actions that Government should commit to and effect, prior to the project being funded or signed by the donor or implementing agency. If these obligations cannot be reasonably met by Government prior to commencement of the project, they can be included in the outputs, activities and inputs of the project.

Clarify if the objective of the project includes, for example, building of new facilities for laboratories or improving facilities at production level as prerequisite for project implementation, or if these components are part of the project. If these are the case, the cost of the project would be considerably increased .

Data Needs:

  • List of relevant laws, inventory describing the current state of laboratory buildings and equipment; situation of priority production systems, etc.

Data Sources:

  • Ministry of Agriculture/Health/Trade/Commerce/Rural Development/Industry
  • Legal Department

H. PROJECT REPORTING, REVIEWS AND EVALUATION

Project monitoring and evaluation requirements are subject of discussion with the concerned donor and may vary according to budget size and donor requirements. The arrangements should conform, to the extent possible, to the general Monitoring and Evaluation Systems appropriate for FAO Trust Fund projects, as outlined in the "Guidelines for Project Formulation for Trust Fund Projects".

Data Needs:

  • Actual implementation of activities as compared to work plan.
  • Identification of specific problems and constraints.
  • Project expenditures.
  • Recommendations for corrective measures that may be required.

Data Sources:

  • Project records/Project staff.
  • Records from food inspection services, food control laboratories, and regional/provincial/local government
  • On-going participatory monitoring
  • Ministry of Agriculture/Health/Trade/Commerce/Rural Development/Industry

I. BUDGET (PLAN OF EXPENDITURE)

The below items and formats vary with the Trust Fund Donor. Typically, a distinction is made between:

(i) Government Contribution in kind (estimated in local currency)
Personnel
Travel
Miscellaneous/General Operating Expenses
Equipment
Premises
Training
Facilities (in case building or improvement of laboratories/food production systems is part of the project)

(ii) Donor Contribution (estimated in US$)
Personnel
Office Travel
Contractual Services
Supplies and Materials
Furniture and Equipment
Acquisition and Improvement of Premises
Training, Fellowships, Grants and Contributions.

Data Needs:

  • Personnel (number of person-months and unit costs for national professional, support staff, and international and national consultants).
  • Travel (number, itinerary and traveler specifications).
  • Cost of domestic and international travel, incl. DSA.
  • Miscellaneous/general operating expenses (a fixed rate).
  • Contractual services (details, duration).
  • Equipment (quantity and unit cost; see also list of equipment in Annex III).
  • Supplies and Materials (quantities and per unit cost of stationery and supplies).
  • Premises (description of location and current state).
  • Training (training needs by categories, numbers, levels, discipline, location, and cost per unit).
  • FAO support cost (fixed rate, which varies by type of project).

Data Sources:

  • Team Leader
  • Ministry of Agriculture/Health/Trade
  • Office of FAO Representative concerned
  • UNDP
  • Suppliers of equipment
  • Travel agents

J. ANNEXES

Include:

I. Work Plan
II. Training Programme (if required)
III. Equipment/Supplies (if required)
IV. Job Descriptions (if required)
V. Logical Framework Matrix (if required)

Annex I. Work Plan

The detailed work plan, prepared by the project formulators for the entire project duration, is to show how project activities are to be implemented and outputs produced with the budgeted resources,. For each significant activity the work plan should show the timeframe, the unit responsible and the major inputs required. The work plan is updated every year. A bar chart can be used for presentation.

Data Needs:

  • Details listing of activities.
  • Project reporting, reviews and evaluation requirements.
  • Phasing/timeframe of project activities.

Data Sources:

  • Main body of project document
  • Team Leader
  • Ministry of Agriculture/Health/Trade

Annex II. Training Programme

This Annex is required when substantial or complex training programmes are involved. There is no fixed format for this Annex which may be drawn to whatever level of detail is needed for the project; nature and timing/duration of the intended training (workshops, seminars, fellowships, study tours).

Data Needs:

  • Detailed quantitative estimates of training needs, numbers, level, subject location, duration, cost estimates and evaluation criteria.

Data Sources:

  • Team Leader
  • Ministry of Agriculture/Health/Trade
  • FAO Technical Division concerned

Annex III. Equipment/Supplies

This Annex is required only in projects where the cost of equipment and supplies represent more than 10% of the total project cost.

Data Needs:

  • Nature and specification, quantity and unit cost of individual items.

Data Sources:

  • Assessment of availability and needs
  • Donors requirements
  • Ministry of Agriculture/Health/Trade
  • Team Leader
  • Local suppliers
  • On-going development projects
  • Office of FAO Representative concerned

Annex IV. Job Descriptions

This Annex should provide detailed Terms of Reference/job descriptions for international and/or national experts who would be involved in the project.

Data Needs:

  • Detailed listing of project personnel, indicating expertise required, location and duration of assignment.

Data Sources:

  • Ministry of Agriculture/Health/Trade
  • Team Leader
  • FAO technical division concerned
  • See Toolkit "Common Project Elements" and "Trust Fund Guidelines for the Preparation of Terms of Reference"

Annex V. Logical Framework Matrix

A useful planning, verification and document writing tool. The matrix should be prepared early in the formulation process and modified when need arises. Completing the matrix encourages the writer to write concisely and logically when formulating objectives, critically defining indicators of achievement and the means of verification, and discussing assumptions about carrying out the activities.

Data Needs:

  • See Section C. "IMMEDIATE OBJECTIVE(S), OUTPUTS AND ACTIVITIES"; as well as indicators of achievement, means of verification and assumptions for each of these levels of the project hierarchy.

Data Sources:

  • Project request, project concept and section on "PROJECT RATIONALE-JUSTIFICATION"
  • Ministry of Agriculture/Health/Trade
  • See Toolkit web site "Logical Framework Analysis"