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Technical synthesis of relevant capacity assessment tools Katharina Stärk.

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Presentation on theme: "Technical synthesis of relevant capacity assessment tools Katharina Stärk."— Presentation transcript:

1 Technical synthesis of relevant capacity assessment tools Katharina Stärk

2 2 Objective Agreed harmonised terminology Identify relevant capacity assessment tools Describe and compare selected tools Inform future development of tool adapted to food control systems FAO Workshop February 2013

3 3 Overview Terminology Presentation of tool selection criteria Descriptive results for selected tools Discussion FAO Workshop February 2013

4 4 Terminology TermDefinition CapacityAbility of individuals, organizations and systems to perform functions effectively, efficiently and sustainably (UNDP, 1998 cited by FAO, 2006) Capacity assessment Exercise undertaken to systematically appraise the existing capacity of an individual or collective entity to perform key functions and deliver expected results taking into account information on capacity assets and current as well as future needs (UNDP, 2005, 2009) CompetencyAbility of an individual to do something successfully or efficiently to qualify (Oxford Dictionary) Food control(Mandatory) Activities necessary to assure the quality and safety of food (FAO/WHO 2003) Food safety and quality capacity Ability of individuals, organizations and systems along the farm-to-table continuum to perform appropriate functions effectively, efficiently and sustainably in order to ensure the safety and quality of food for domestic consumption and export (FAO, 2006) FAO Workshop February 2013

5 5 Tool selection 1. Was the tool developed for appraisals of systems related to sanitary and phytosanitary (SPS) status or to food quality? –If no: exclude –If yes: proceed to next level 2. Was the tool developed for appraisals of food systems? –If no: consider as supportive material, but not included in the detailed comparative assessment –If yes: include in comparative assessment. FAO Workshop February 2013

6 Tool (grouped by agency in alphabetic order)DateFocusSelected Step 1 Selected Step 2 ANSES (Hendrikx et al., 2011) OASIS: an assessment tool of epidemiological surveillance systems in animal health and food safety 2011Surveillance systemsYesNo CBD National capacity self-assessment tool for the convention on biological diversity (CBD) 2010EnvironmentNo- DFID Agrifood Standards: Ensuring Compliance Increases Trade for Developing Countries (ASEC) 2012SPSYesNo FAO Strengthening national food control systems: guidelines to assess capacity building needs 2006Food safetyYes Strengthening national food control systems: quick guide to assess capacity building needs 2007Food safetyYes Guide to asses biosecurity capacity2007Cross-cuttingYesNo IICA Performance, vision and strategy (PVS) for food safety2007Food safetyYes Performance, vision and strategy (PVS) for national veterinary services 2009 Animal healthYes Performance, vision and strategy (PVS) for national plant protection organizations 2009Plant healthYes IPPC Phytosanitary capacity evaluation (PCE) tool2010Plant healthYes OIE Performance of veterinary service (PVS) pathway2010Animal healthYes UNIDO Approach to evaluate conformity assurance infrastructure2010Conformity assessment YesNo USDA USDA/FSIS self-reporting tool (SRT) for foreign meat, poultry and egg products inspection systems 2011Trade and food safetyYesNo World Bank Food safety and agricultural health assessments and action plans Several years Cross-cuttingNo- WHO Diagnostic tool for analysis and assessment of trade and healthExpected 2013 Trade and healthYes-

7 7 FAO Tool FAO Workshop February 2013 Tool featuresFAO (2006) General Primary objectiveAssess capacity development needs in the context of food safety and quality, to be applied at system or organisational level Key usersNational food safety services Stakeholder engagementInvolvement encouraged and process outlined Legal basis 1 International standard (Codex, SPS) Structure Core tool structure and terminologycomponents with dimensions Number of core components5 Number of indicators by component4-7 Number of levels by indicatorNot defined Indicator typeNot defined Evaluation process Assessment typeStructure provided to assess current capacity, but also how to identify future needs. EvaluatorsSelf-assessment Guide for evaluatorsNo Use of additional analysisGap analysis DurationNot specified Reporting Specified reporting structureNo Field implementation Approach to stakeholder engagement Process options provided using a range of formats and methods Assessment coverageSeveral publications from Middle East, exact number unknown

8 8 IICA Tool FAO Workshop February 2013 Tool featuresIICA (2007) General Primary objectiveEstablish current level of performance and to establish priorities for improvement Key usersNational food safety services Stakeholder engagementInformal recommendation for private-public engagement and stakeholder interactions but not formal process provided. Legal basis 1 None Structure Core tool structure and terminologycomponents with competencies Number of core components4 Number of indicators by component6-8 Number of levels by indicator4-6 pre-defined levels of advancement for each competency Indicator typeMostly broad and qualitative Evaluation process Assessment typePassive mode (awareness and training) or active mode (formal assessment, prioritisation, action plan and investment); qualitative ranking. EvaluatorsSelf-assessment Guide for evaluatorsYes Use of additional analysisunknown DurationNot specified Reporting Specified reporting structureunknown Field implementation Approach to stakeholder engagement Stakeholder workshop and/or focus groups Assessment coverageSome countries in Central and South America

9 9 OIE PVS Tool FAO Workshop February 2013 Tool features OIE (2010) General Primary objective Assess performance of national veterinary services and compliance with OIE standards Key users National veterinary services Stakeholder engagement Informal recommendation for private-public engagement but not formal process provided. Legal basis International standard (WTO, SPS) Structure Core tool structure and terminology components with competencies Number of core components 4 Number of indicators by component 6-17 Number of levels by indicator 5 pre-defined levels of advancement for each competency Indicator type Mostly broad and qualitative Evaluation process Assessment type Formal assessment with descriptive output. For each competency summary includes: findings, strengths, weaknesses, evidence and recommendations. Evaluators Third-party (OIE certified) Guide for evaluators Yes Use of additional analysis Gap analysis Duration 2-3 weeks Reporting Specified reporting structure Yes Field implementation Approach to stakeholder engagement n.a. Assessment coverage >100 countries

10 10 IPPC Tool FAO Workshop February 2013 Tool features IPPC (2010) General Primary objective Evaluate the capacity of plant protection systems to inform plans for phytosanitary capacity building Key users National plant protection organisation (NPPO) Stakeholder engagement Involvement encouraged and process outlined Legal basis 1 None Structure Core tool structure and terminology 2 modules Number of core components 2 13 (or selection hereof) Number of indicators by component? Number of levels by indicator? Indicator type? Evaluation process Assessment type Formal assessment with descriptive output. Evaluators Self-assessment or consultant team with facilitator and module coordinators Guide for evaluators? Use of additional analysis Resource planning, gap analysis, national action plan Duration 1.5 months Reporting Specified reporting structure? Field implementation Approach to stakeholder engagement Integrated into proposed process. Assessment coverage Tool formally evaluated and repeatedly improved. Applied in >90 countries. Available as web tool.

11 11 Structure of tools FAO (2006)IICA (2007)APEC (2009)IPPC (2010)OIE (2010) "modules""components""priority areas"modules=components of an effective system components Food control management Mission & strategy, structure and processes LaboratoriesTechnicalTechnical resource (Laboratory, food safety, risk analysis, GM food safety, surveillance) Diagnostic capacity, surveillance, risk analysis, eradication capacity, pest-free and low-prevalence areas Technical (Laboratory, early detection, quarantine, surveillance, prevention & control, food safety, veterinary medicines, residues, emerging risks, risk analysis, innovation, identification & traceability, animal welfare) 14 sections with 17 indicators Food inspection Inspection and cerification Food legislation Regulatory systemsPhytosanitary legislation Human and financialHuman resourceResourcesHuman, physical, financial (11 sections with 15 indicators) Interaction private sector Stakeholder interaction (6 sections with 7 indicators) Safeguarding public health and market access Import regulation, export certification Market access (8 sections and indicators) Information, education, communication Information and Communication Country profile[Country information provided in report but not formally part of the assessment] Environmental factors FAO Workshop February 2013

12 12 Conclusions Similarities and differences between tools were to be expected Tools provide a good starting point for future development Interfacing with existing tools should be kept in mind Process within which tool is to be used will also be important consideration FAO Workshop February 2013

13 13 Points for discussion Are there additional tools/frameworks that should be included? What are key competencies? What are useful modules/structure? How to jointly develop the tool? FAO Workshop February 2013


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