Guidelines to prepare Country Policy Profiles (CPPs)
on the state of policy and strategy for food security and
agricultural development
10 June 2003
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS
Rome, 2003
2.1 Existing policies and strategies and on-going policy process
3.1 Ministerial and inter-ministerial network
4.1 Main policy issues in agricultural, rural development and food security
5.1 Policy support Need assessment
An Initiative to Support the Review and Update of National Policies for Food Security and Agricultural Development was launched by FAO in March 2003. The Initiative aims at stimulating FAO's policy assistance at national level, in order to support member countries in their processes of monitoring and revision of existing polices and strategies and in the formulation of new ones. The updating exercise would be nationally owned and led with full stakeholder participation, with FAO playing a supportive role.. As a first step, a wide policy assessment exercise on developing countries was undertaken. This policy assessment has been driven through a country questionnaire filled by FAORs. This exercise helped in the development of a preliminary categorization of countries on the basis of ongoing policy/strategy processes and policy and strategy implementation capabilities.
The preparation of Country Policy Profiles (CPP) on the State of Policies and Strategies for Food Security and Agricultural Development is the second step in this process. The present guidelines are prepared to support the FAORs, PABs and PAUs experts in the preparation of these Country Policy Profiles (CPP). However these guidelines do not preclude flexibility required to accommodate to specific country situation in the preparation of the policy profiles. Indeed, CPPs will benefit from a consultative process of FAO staff with relevant country representatives. Close consultation from the very first steps will enable country participation and ownership of the whole exercise. To prepare CPPs FAORs may also use Information reported in the questionnaires, complemented by additional data.
The purpose of the policy profile is to provide a clear summary of the policy situation regarding food security, agriculture (including forestry, fishery, livestock) and rural development in member countries with respect to (i) some basic indicators on the country; (ii) the current policy and strategy framework for agriculture and food security; (iii) constraints faced by the country in formulating and implementing policies and strategies; (iv) needs for support to review and update national policy and strategy.
The policy profile on the State of Policy and Strategy for Food Security and Agricultural Development will progressively become a main policy monitoring tool for both FAO and National decision-makers. It will enable to appropriately target FAO policy support to countries regards to their policy status and to national on-going policy process. It will also allow to strengthen Policy networking and provide adequate target on agriculture, key sector for poverty reduction in most LDCs.
Policy profiles will be also used as an input for possible Side Events on the Initiative at the time of the 32nd Session of the FAO Conference (29 November to 10 December 2003) to prepare Regional Papers on the review and update of national strategies and policies. It could also serve as the basis for the preparation of a report that would be presented at the 32nd Session of the FAO Conference.
The updating of the country questionnaires and the preparation of these Country Profiles will be the responsibility of FAOR, supported by PAB and PAU Policy Officers currently responsible for his/her country. Briefs for countries without an FAOR will be directly under the responsibility of the relevant PAB and PAU Policy Officer. The deadline to prepare the draft Briefs is fixed for 15th of August 2003. Due to time constraints or insufficient local capacity to assess country policy need or due to information gap, you may face problems to fill all the points required. In such case do not hesitate to underline in the brief draft or to ask for specific support from PAB/PAU
The CPPs will be structured in five sections. In the first section, the policy profile will present the country situation in terms of macro-indicators in inequality, poverty and food security situation and country categorisation. and a very brief review of the main agricultural , rural development and food security issues. Section 2 will describe current agricultural, rural development and food security policies and strategies, both on-going and under preparation. Section 3 on Institutional mechanisms and implementing capacities will describe institutional settings, inter-ministerial initiatives and ministries involved in policy making for food security, agriculture and rural development. Furthermore it will assess the participatory dimension of on-going policy and strategy work and underline critical gaps which may affect country policy and strategy design and implementation capacity. The section 4 Trends and constraints analysis consolidates the diagnosis working out the priority intervention areas. In section 5, the country's needs for policy support are identified.
B. CONTENT OF THE CPP
1.1 Basic characteristics and categorisation of the country
Provide general macro-indicators which allow to weight agriculture in terms of % of active population, % of GDP, etc and inequality, poverty and food security indicators. This will be complemented by information on country categorisation1.
Example from Swaziland profile: Despite a GDP/cap of US$ 1474, Swaziland presents a percentage of people below poverty line estimated around 66%. With 73% of population in rural areas, 33% of active population in agricultural sector, 12% of population in malnutrition, agriculture accounting over 18% of GDP, Swaziland enters in the category of Agri. Devt and Food Sec. (ADFS) High Priority countries. The absence of agricultural policy framework and of any food security policy and the multiplicity of sector policy papers places the country among the ones with low policy process which require an in-depth policy support.
1.2 Critical Issues in agricultural / rural development
Specify briefly what are the main problems to be resolved and critical aspects to be considered in agricultural sector. Emphasize on the main challenges in poverty reduction. In this section you may use existing technical documents such as recent agricultural policy diagnosis or rural sector review or sector study. Just avoid to make it too long (200-450 words). Do not hesitate to change the title of the section to make it more appropriate.
Example from Namibia profile: Namibia is characterised by a dual agriculture: commercial farming and communal farming. Commercial farming dominates the markets, due to its capacity to quickly take advantage of new opportunities, (e.g. tourism and agro-industry). Communal farming is self-consumption oriented and enjoys limited livestock export opportunities towards south-African Market. Furthermore, free trade with South Africa contributed to the expansion of South African Supermarket networks all over the country pushing out of business small food production systems in the North Communal area. Now North communal farm area is considered by experts to have to develop though non-farm activities. However, the development of non-farm activities in rural areas, far from any urban network, is highly depending on agricultural growth. This, in turn, is impossible without better market access. This vicious circle from no market, no agricultural growth, no rural-urban synergy, no economic opportunity may drive slowly to increasing structural economic dependence of a wide percentage of Namibian population on GRN
2.1 Existing policies and strategies and on-going policy process
Select the dominant national policy/strategy document in the field of food security, agriculture or rural development and provide a brief description of main elements
Use the information provided by country questionnaire (part 2. National strategy / policy papers available) to provide a brief inventory of other policy documents existing or under preparation.
Example Swaziland: The Government has prepared a long-term (25 years) National Development Strategy (NDS), which provides a national vision, shared by stakeholders. It addresses constraints to expanding smallholder agriculture. And also provides a re-orientation of Government's role to facilitate and support small farmer development. NDS underlines the need to define and strengthen national policies and strategies geared towards poverty alleviation in the long term.
Sector policies concerning agricultural sector are the Livestock Development Policy (June 1995), the Forest Policy White Paper, (2001), the Draft of the Resettlement Policy (2001) and the National Co-operative Development Policy, Draft (March 2000). A Water Act was passed in 1999. A water Bill proposing a levy on water is waiting the approval of the King.
Use the information provided by country questionnaire (part 3. On-going country processes to formulate new strategies/policies) to provide a brief inventory of main on-going policy processes with leading institutions (see also joined sample of country policy brief)
Example: The Ministry of Economic Planning and Development currently drives an inter-ministerial policy process on the poverty reduction strategy and action plan whose preparation is on-going with a series of workshops. The current Policy process of preparation of the Poverty reduction strategy and Action Plan is based on a participatory approach involving national Authorities, NGOs, private sector, public sector and the poor themselves with decentralized meetings.
Complete it with indications on the regional involvement of the country in REG (Regional Economic Groups).
Example: Namibia is involved in Regional agreements which highly impact on rural development more particularly on agriculture. It is a member of Southern Africa Customs Union (SACU) and of Southern Africa Development Community (SADC) which links Namibia's markets to the 14 member countries. It is also a member of the Common Market for Eastern and Southern Africa (COMESA) and of the ACP-EU group of trading partners. These agreements have policy implications for rural development policy for Namibia and have to be carefully considered.
You may specify here the main issues and impact on agricultural sub-sectors due to regional and other international agreement: (including WTO AoA, WFS, Implementation of regional agreements).
Example Swaziland: These agreements have policy implications for rural development policy for Swaziland:
• The major question relates to subsidies in the sugar industries of Europe and the United States. Any changes to the present system would have implications for the prices received by Swaziland on these markets. The Cotonou Agreement will provide access for Swaziland to the EU market until 2008, but thereafter trade relations, including sugar, will probably be governed by a Reciprocal Economic Partnership Agreement (REPA).
• Beef is the only livestock product of international significance for Swaziland. The country has never been able to fulfill its EU quota because of the low cattle off-take: the Government has not been successful in persuading Swazi farmers to commercialize beef production on Swazi Nation Land. Cattle remain important socially, and an attempt by the Government to pass a Dipping Chemicals Bill, which would force farmers to pay for chemicals for dipping their cattle, backfired because of the outcry, and the subsidy consequently remained in operation.
• Swaziland should pay greater attention to the possibility of taking countervailing and safeguard measures under the WTO.
2.2 State of implementation of policies and strategies
Using questionnaire information (table 2. column d) Degree of implementation) and your country knowledge, please assess to what extent the different government polices/ strategies specified in 2.1 are implemented or under implementation, with/ without investment programme2.
3.1 Ministerial and inter-ministerial network
Explain what are the key ministries involved in agricultural, rural development and food security policy process. What are the inter-ministerial mechanisms available to deal with these areas?
3.2 Participatory policy process
Assess the current policy participatory process and the level of stakeholder involvement and, if necessary, propose ways to improve it (additional stakeholders to involve, improved modalities…) see also the part of the questionnaire dealing with NGOs and participation of Civil Society.
Special attention should be given to decentralisation and the level of involvement in the policy and strategy process of sub-national and local governments/authorities.
3.3 Current implementation and monitoring mechanisms
Explain how and to what extent the different institutions manage implementation and monitoring of the different policies and strategies
4.1 Main policy issues in agricultural, rural development and food security
Assess through a table the main policy issues not yet covered by existing policies/ strategies and to be updated/ completed.
The objective is to bridge agricultural, rural development and food security policy updating with on-going country policy process.
To this extent, the ESA Conceptual Framework for National Strategies for food Security and Agricultural Development highlights priority topics which need to be considered in a policy assessment. Therefore you may benchmark the on-going policies against the conceptual framework and consider to what extent the following dimensions are considered in on-going policies and strategies:
♣ the importance of promoting pro-poor sustainable agricultural development;
♣ the importance of addressing the entire Rural Space (e.g. farm/off-farm links, services to households in the rural areas, linkages between primary production, processing and distribution, etc.);
♣ the need to consider rural-urban linkages;
♣ the urban dimensions of food security;
♣ the micro-macro linkages and the regional/international context (WTO, NEPAD - in the case of Africa-, regional agreements, foreign investment, etc).
In the case of Swaziland below, Government has required FAO to play a facilitating role in a policy process “preparation of a comprehensive agricultural sector policy framework” (CASP) bridged with PRSP.
Example of matrix
POLICY DOMAIN |
ISSUES |
Policy process |
(1) Agricultural diversification |
♣ Diversification of agricultural production to help ensure food security and commercialisation, to create new cash income opportunities, to increase the commodity base and reduce over-reliance on a narrow range for domestic and external trade; ♣ Greater involvement of smallholder sector in agricultural exports |
♣ CASP PRSP |
(2) Maize policy |
♣ Address stagnating maize production ♣ Involvement of commercial farms in maize production ♣ Price and marketing policy on maize |
♣ CASP PRSP |
(3) Irrigation policy |
♣ increasing access to irrigation for smallholder farmers; ♣ Optimisation of overall water use for agricultural purposes, as well as proper balance of irrigation between TDL and SNL |
♣ CASP |
(4) input and mechanisation policy |
♣ Increase farmers' productivity in SNL/TDL smallholder segments; ♣ Promote input use and mechanization in SNL/TDL smallholder segments ♣ Strengthen rain-fed agriculture with improved availability of inputs |
♣ CASP |
(5) Research and extension policy |
♣ improved linkages, among national and regional agricultural research institutions and with extension and farmers ♣Establish extent to which the extension service can be privatized and how government-provided services can be used effectively. |
♣ CASP |
(6) ) DOMESTIC AGRICULTURAL MARKETING AND AGRO-INDUSTRY POLICY |
♣ Promotion of contract farming schemes ♣Strengthen linkages between SNL farmers and commercial farmers. ♣Improved access to markets by smallholder farmers ♣Improved marketing and reduced price instability of basic food (maize, vegetables, fruit, chicken) ♣Promotion of rural cottage industry ♣Promotion of improved marketing information for all farmers, emphasizing those on SNL |
♣ CASP PRSP |
(7) ) AGRICULTURAL EXPORT DIVERSIFICATION |
♣ Assessment of potential for Swaziland products in regional trade beyond South Africa ♣Promotion of increased involvement of small farmers in agricultural exports. |
♣ CASP PRSP |
(8) PHYTOSANITARY AND BIOTECHNOLOGY POLICY (GMO...) |
♣ Developing capacity to meet international standards for phyto-sanitary measures as developed by the IPPC ♣Understanding of policy issues that must be considered for the regulation of GMOs and/or their products. |
♣ CASP |
(9) Cross-cutting issues |
♣ Effect of HIV on Labor factor ♣Transfers of services to private sector ♣Linkages of SNL farmers with commercial TDL and industry ♣Farmers associations as an interface for services to farmers ♣improve soil acidity problems and use of conservation methods |
♣ CASP |
Please highlight the institutional weaknesses identified in current policy process
Based on questionnaire (7. Country strengths and weaknesses to implement existing strategies and policies), present the main constraints identified in implementation:
1. Limited real consensus of stakeholders;
2. Lack of detailed implementation process;
3. Unclear implementation responsibility;
4. lack of appropriate monitoring and impact evaluation of policies
5. Insufficient political will;
6. Insufficient conflict-solving capacity of political leaders;
7. Insufficient operational capacity of the administration;
8. Insufficient budget allocations;
9. Lack of International funding to supplement the efforts of the country
This section will provide a global assessment summarizing preceding developments. That requires to clearly identify policy areas where the Government moved forward in the last 6-7 years and areas where improvement is required. This balance will be summarized in a simple table.
| Strengths | Weaknesses |
| Appropriate focus on rural development | Weak inter-ministerial network |
| Advanced decentralization process | Limited policy participatory process with other stakeholders |
| Low Implementation capacities |
Positive aspects may concern for instance:
♣ Progress in policy diagnosis (appropriate constraint analysis, adequate emphasis on main issues, relevant studies-reviews…),
♣ Appropriate mechanism on decentralization process,
♣ Strong political will,
♣ Positive Impact of on-going agricultural policies, positive trend in economic growth, in poverty reduction, decrease of under-nutrition,
♣ Newly created institutions on policy monitoring,
♣ Recent policy measures ,
♣ Poverty reduction policy process which emphasizes the need to improve the focus on agricultural rural development…
Policy Gaps may concern among others:
♣ Weak inter-ministerial network
♣ Limited policy participatory process with other stakeholders
♣ Low Implementation monitoring capacities
♣ Lack of an Agricultural policy framework to articulate sub-sector policies
♣ Lack of articulation between Poverty Reduction strategy process and agricultural policies
The assessment of country needs in the questionnaire could serve as a basis. However it may need to be prioritized and it should be endorsed by member country Government Officials
This section will:
♣ provide a summary of on-going and already firmly planned policy support activities covering 2003 and 2004 (TCP, SPPD, HQ funded missions, others);
♣ describe other planned policy support (soft pipeline + requests);
♣ present, if possible, additional proposals for policy support based on consultation with Government.
♣ list, the local institutions which may be mobilized as partners to strengthen policy planning/ monitoring / implementation capacities (policy training , policy analysis, M-E)
This diagnosis has to drive to the type of support proposed. The specific policy support actions could be classified in three categories :
1) Support on Policy Content (PC): targeting policy content gaps (key issues highlighted in Conceptual framework, from sub-sector to cross-cutting issues, policy impact analysis)
2) Support on policy process (PP) focused on facilitating participatory / decision processes (institution-strengthening, participation, consensus-building, decision-making processes)
3) Support on Policy implementation and monitoring (PIM): actions aiming to strengthen implementation capacity (institutional reforms, policy impact monitoring....)
In this section a brief description of volume of funds recently mobilized or planned for the near future in support to agriculture and rural development, should be provided. Technical assistance to policy and strategy formulation should also be mentioned, if any.