1. LEARNING OBJECTIVES
Relate Food Security Policies (FSPs) to a framework for action to combat hunger and alleviate food insecurity in a country;
Explain FSPs as link between food security information and actions aimed at improving the food security situation; and
Describe the sequence of steps to be performed in the process of FSP formulation and implementation.

2. What are the activities to be performed in the various steps?
INTRODUCTION
Which are the steps of the policy formulation and implementation process?
What are the activities to be performed in the various steps?
TRAINER’S NOTES
Policies are pursued in order to induce changes in a country, society and economy towards achieving desired objectives.
Food Security Policies (FSPs) are triggered by the fact that the food security situation in a country, manifested e.g. by widespread hunger, malnutrition and/or temporary food shortages in the wake of natural disasters, is considered unsatisfactory, calling for a change.
Food security objectives are formulated, and measures to address the problems of food insecurity (e.g. insufficient access and/or availability, instability and/or ineffective utilisation) are introduced, aimed at bringing about improvements in the food security situation.
This presentation describes the subsequent steps of the policy formulation and implementation process, identifies the major stakeholders involved and defines the activities to be performed in the various steps.
Who are the major stakeholders involved in the process?

3. Government Departments and Organizations
RELEVANT STAKEHOLDERS
Government Departments and Organizations
Non-Governmental Organizations
NGO
Civil Society Organizations
UN and donor agencies
TRAINER’S NOTES
The cross-sectoral nature of food security and food security policies poses particular challenges for policy formulation and implementation, with regard to the high number of stakeholders affected by and involved in the process as well as the conceptual and institutional complexity.
Relevant stakeholders are
different government departments and organizations;
NGOs;
experts;
media;
civil societies and groups;
that are concerned with or affected by a policy or that play a role during policy formulation, implementation or monitoring.
CSO

4. Feedback Feedback POLICY FORMULATION
THE CYCLE OF POLICY FORMULATION AND IMPLEMENTATION
Initiation of policy process Awareness of policy makers of policy issues to be addressed
POLICY FORMULATION
Diagnosis
Objectives
Stakeholders
Selection of measures &
instruments
Feedback
MONITORING & EVALUATON of policy implementation, outcomes & impacts on FS
Feedback
POLICY
IMPLEMENTATION
Actors and their roles
Regulations & procedures
Programmes & projects
TRAINER’S NOTES
The process of introducing and implementing FSPs, like any other policies, can be understood as a cycle comprising various typical and interlinked stages, as illustrated in the graph.
Adjustments in policy implementation

5. THE CYCLE OF POLICY FORMULATION AND IMPLEMENTATION
At all stages, the process of policy formulation and implementation depends on close interaction with the generation, analysis and presentation of relevant food security information, e.g.:
Data and info on acute critical problems of food insecurity.
Food security data and info.
Continuous monitoring of FS data and info during policy implementation.
If the M & E reveals diversions of the data, the information is fed back into the policy cycle.
TRAINER’S NOTES
Data and info on acute critical problems of food insecurity serve as trigger to initiate the process of developing FSPs.
Food security data and info are required to analyse the problems to be addressed, to define baselines and to set realistic targets.
Food security data and info will have to be continuously monitored during policy implementation, in order to assess policy performance in bringing about the desired improvements in the food security situation.
If policy monitoring and evaluation reveal diversions of the data from the planned objectives and targets, the information is fed back into the policy cycle, in order to initiate necessary adjustments in policy design and implementation.

6. THE CYCLE OF POLICY FORMULATION AND IMPLEMENTATION
The subsequent steps of the policy formulation and implementation process.
STEP 1 - Initiation of policy process
STEP 2 - Policy Formulation
STEP 3 - Policy Implementation
TRAINER’S NOTES
On the next slides we will present in detail the subsequent steps of the policy formulation and implementation process, the major stakeholders involved and the activities to be performed in the various steps.
STEP 4 - Monitoring and Evaluation

7. Awareness of a precarious food security situation.
INITIATION OF THE PROCESS OF PREPARING FSPs
Initiation of policy process
There are a variety of reasons for governments to take the initiative for developing food security policies, e.g.:
Awareness of a precarious food security situation.
Pressure on the government.
Needs to change the conditions affecting the food security situation.
TRAINER’S NOTES
Usually a combination of factors, substantiated with data and information on the state of food insecurity in a country, triggers the initiative to develop food security policies.
There are a variety of reasons for governments to take the initiative for developing food security policies, e.g.:
Awareness of a precarious food security situation
Governments are (or have become) aware of the precarious food security situation in their country, calling for political initiatives to be taken. Such awareness may have been created or reinforced by information and data on an acute critical food situation in a country (e.g. hunger, malnutrition, supply shortages in the wake of disasters).
Pressure on the government
Pressure on the government from inside or outside the country (e.g. pressure groups, civil society, non-governmental or international organizations), to do something about prevailing hunger and malnutrition in a country.
Needs to change the conditions affecting the food security situation
Governments need to respond to changing internal or external conditions that affect the food situation of the country (e.g. food price rises, depletion of natural resources, threat of famine caused by a major drought , flood, earthquake or other disasters).
Pursuit of food security objectives as part of the national programme
Governments pursue food security objectives as part of their national development goals and of international declarations they have endorsed (e.g. MDG 1 on poverty and hunger, “Right to Food”).
See Learners’ Notes: Example - Why a Food Security Policy for Timor-Leste
Pursuit of food security objectives as part of the national programme.

8. POLICY FORMULATION
Policy Formulation
Policy formulation is an iterative process, comprising various sub-steps and involving all relevant stakeholders.
Stakeholders participation ensures that the policy is realistic, feasible, widely accepted and supported, and that can be effectively implemented.
TRAINER’S NOTES
Once the decision to develop a food security policy is made, the policy process enters into the stage of policy formulation.
Policy formulation is rarely done as a one-step ad-hoc decision by the government. It is usually, and should be, an iterative process, comprising various sub-steps and involving all relevant stakeholders in the policy formulation process.
Stakeholder participation in policy formulation is essential, in order to ensure that the policy is realistic, feasible, widely accepted and supported, and can be effectively implemented.
The final outcome of the policy formulation phase is a (or are) policy document(s), clearly setting-out the food security objectives, priorities, and an outline of the strategy with the policy measures to be taken to achieve the objectives.
The final outcome of this phase is/are policy document/s, setting-out the FS objectives, priorities, and an outline of the policy measures to be taken to achieve the objectives.

9. The cross-sectoral nature of FS and FSPs comprises aspects of:
POLICY FORMULATION
Policy Formulation
The cross-sectoral nature of FS and FSPs comprises aspects of:
food availability;
access to food;
stability; and
utilization.
TRAINER’S NOTES
The cross-sectoral nature of food security and food security policies, comprises aspects of :
f ood availability, i.e. food production and supply (e.g. agriculture, trade);
access to food (e.g. income and employment generation, social protection, market access);
stability (e.g. disaster preparedness and emergency response, seasonal stability); and
utilization (e.g. safe water supply, sanitation, health and nutrition).
The cross-sectoral nature of food security and FSPs has important implications which make the process of formulating and implementing FSPs different from sector policies. This particularly refers to a high number of stakeholders from different sectors to be involved in policy formulation and implementation and to the concept of policy documents to be prepared.
Because of the cross-sectoral nature of FS and FSPs, an high number of stakeholders from different sectors is involved in policy formulation and implementation.

10. POLICY FORMULATION
Policy Formulation
There are two options for preparing FSP document(s), and each of these options has advantages and disadvantages:
Option
Advantages
Disadvantages
Integration of FSP concerns into overall and sectoral policies
Ensures integration of food security concerns in other relevant sector policies.
Risk of conceptual ambiguities and inconsistencies in the pursuance of food security objectives in the different sectors.
TRAINER’S NOTES
Integration of FSP issues into overall and sectoral national development policies and strategies of a country (e.g. Poverty Reduction Strategy and agricultural and social sector policies and strategies); and
Preparation of a particular FSP document, incorporating all aspects which are relevant for improving food security and taking into account the linkages which exist to overall and sectoral development policies and strategies of the country.
Preparation of a specific Food Security Policy document
Policy document provides consistent framework of FS objectives and policy measures.
Sector ministries
feel less committed to make their contribution to policy formulation and implementation.

11. Policy Formulation Establishment of a task force for FSP formulation
POLICY FORMULATION SUB-PHASES
Policy Formulation
PHASE 1
Establishment of a task force for FSP formulation
PHASE 2
Diagnosis of the
food security situation
PHASE 3
Policy drafting
TRAINER’S NOTES
Ideally the process of policy formulation is structured in the following four sub-phases, which we are going to describe in detail on the next slides…
PHASE 4
Validation

12. The task force should be composed of representatives of
POLICY FORMULATION SUB-PHASES
PHASE 1- Establishment of a task force for FSP formulation
The task force should be composed of representatives of
key stakeholders
It may be advisable to form sub-teams for food security formulation to deal with specific food security issues.
TRAINER’S NOTES
The task force should be composed of representatives of key stakeholders (policy analysts from relevant government departments, NGOs, experts, etc.) with terms of reference and a work plan for the tasks to be fulfilled throughout the policy formulation process until finalization of the policy document(s).
Due to the complexity of food security policies, it may be advisable to form sub-teams for food security formulation to deal with specific food security issues, such as agricultural production, food marketing, processing, storage, trade, social protection and nutrition.
Representatives of the different ministries mandated with the specific food security and related sector issues will need to be represented in the sub-teams.
Representatives of the ministries mandated with these issues need to be represented in the sub-teams.

13. During the diagnostic phase, the following tasks are to be performed:
POLICY FORMULATION SUB-PHASES
PHASE 2- Diagnosis of the food security situation
During the diagnostic phase, the following tasks are to be performed:
Collecting and analysing relevant FS data and information;
Reviewing existing policies;
Stocktaking of existing initiatives;
Consulting relevant governmental organizations and NGOs.
TRAINER’S NOTES
Collecting and analysing relevant food security data and information, to identify the (priority) problems of food insecurity to be addressed and to generate baseline data;
Reviewing existing policies and policy frameworks with relevance for food security;
Stocktaking of existing food security initiatives;
Consulting relevant governmental and non-governmental organizations operating in the field of food security.
FSP formulation workshops
In this first round of workshops conducted in the disgnostic phase, representatives of all relevant stakeholders are invited to:
share their experience and opinions on the food security issues;
articulate the problems they perceive; and
develop a common understanding on what food security means and what FSPs should strive for.
A problem analysis according to the Logical Framework format, bringing all issues contributing to food insecurity into a logical order of cause – effect relationship, is a useful tool to identify root causes and priority problems to be addressed by a food security policy.
During this phase, a first round of FSP formulation workshops should be conducted at central and decentralized levels.

14. POLICY FORMULATION SUB-PHASES
PHASE 3- Policy drafting
In this phase a first draft of the FSP document(s) will be produced by the task force.
The document needs to set out the objectives to be achieved, and to address all relevant food security issues related to access, availability, stability and utilization where action is required.
TRAINER’S NOTES
On the basis of the results of the diagnosis of the food security situation and trends, a first draft of the FSP document(s) will be produced by the task force.
Throughout this drafting phase, the task force will continue to closely interact with the key stakeholders and higher level policy makers.
The policy document(s) will need to clearly set out the objectives to be achieved, and to address all relevant food security issues related to access, availability, stability and utilization where action is required.
The Logical Framework method provides a useful tool to establish a consistent structure of policy objectives and suitable policy measures to reach the objectives. Such consistency is a precondition for a feasible and realistic policy.
See Learners’ Notes: See Annex 1- Worksheet - Outline and Contents of a food security policy document

15. POLICY IMPLEMENTATION
PHASE 4 - Validation
The first draft policy document it will be circulated to all relevant stakeholders for review and comments.
A second-round stakeholder workshop for discussing the first draft policy document(s) should be conducted.
On the basis of the feed back on the first draft, the task force will prepare a revised second draft policy document.
This second draft will be presented to the high-level policy decision makers (Prime Minister, Cabinet, Parliament) who will have to endorse the FSP.
TRAINER’S NOTES
Once a first draft policy document is produced, it will be circulated to all relevant stakeholders for review and comments.
In order to ensure maximum response, transparency and acceptance, a second-round stakeholder workshop for discussing the first draft policy document(s) should be conducted.
On the basis of the feed back on the first draft, the task force team will prepare a revised second draft policy document.
This second draft policy document will be presented to the high-level policy decision makers (Prime Minister, Cabinet, Parliament) who will have to endorse the FSP. During this final round of consultation with the high-level policy makers, further amendments to the draft policy document may be required, leading to a final draft policy document to be eventually officially endorsed.
Example: Agenda for a Food Security Policy Validation Workshop
We present below an example of the agenda of a second-round stakeholder workshop for validation of the draft Food Security Policy in Timor-Leste:
1. to review, discuss and validate the contents of the draft policy document;
2. to identify gaps, omissions and flaws in the draft document, and amendments to be made;
3. to prioritize policy actions; and
4. to clarify next steps to be taken to complete and implement the Food Security Policy.

16. Policy Implementation
On the basis of the measures and priorities defined in the document, a Strategic Plan of Action for implementing the policy measures will have to be formulated.
Types of Policy measures:
1. Regulatory type - Rules, regulations and procedures to be set by public authorities and applied in policy implementation.
2. Programme type - Policy measures which are implemented through programme and project type approaches by government or non-governmental actors.
TRAINER’S NOTES
The policy document provides the framework for action, i.e. implementing the FSP. On the basis of the measures and priorities defined in the document, a Strategic Plan of Action for implementing the policy measures will have to be formulated.
The policy document includes: the food security objectives and priorities; an outline of the policy measures to be implemented; the institutional set-up; and the role of the stakeholders in policy implementation.
As to the type of policy measures to be implemented, the following two broad categories can be distinguished:
1. Regulatory type - Under FSPs, typical measures of this category are, for example:
minimum standards of living established as a legal right;
criteria of eligibility / targeting of public support;
input / food price regulations / subsidies;
import / export taxes, subsidies or regulations;
role and obligations of central and local government institutions to provide certain services; etc.
2. Programme type - Typical measures of this category are, for example:
food / cash-for-work schemes;
feeding programmes;
targeted support to vulnerable population groups;
promotion of food production in general and/or targeted support to poor farmers;
natural resource conservation / rehabilitation;
establishment of an emergency FS reserve;
promotion of food marketing, rural infrastructure, etc.
Already ongoing initiatives in relevant fields are to be taken into account.

17. Policy Implementation
Sometimes there is a combination of the regulatory and programme types of policy measures.
Examples of combination of regulatory and programme measures
When minimum subsistence levels are established as a legal right of each citizen, there must be a programme to put this right into practice.
If, in order to keep food prices low, food price and/or consumer subsidy regulations are introduced, there needs to be a programme to put these regulations in to practice.
A programme for sustainable resource management may only be effective if a land reform or new land use regulations are enacted.
TRAINER’S NOTES
Sometimes there is a combination of the regulatory and programme types of policy measures, e.g. when a new regulation needs to be implemented through a programme-type approach,
or if the effective implementation of a programme or project depends on new laws or regulations to be introduced.
Let’s have a look at some examples of combinations of regulatory- and programme-type policy measures:
When minimum subsistence levels (e.g. right to sufficient food) are established as a legal right of each citizen, there must be a programme to put this right into practice, e.g. through safety net programmes, food assistance or other forms of public transfer schemes.
If, in order to keep food prices low, food price and/or consumer subsidy regulations are introduced, there needs to be a programme to put these regulations in to practice, e.g. a special food import, food aid and/or subsidy scheme.
A programme for sustainable resource management may only be effective if a land reform or new land use regulations are enacted.

18. Policy Implementation
Example for the structure and contents of the project outlines:
Item
Contents
Title
Subject of policy measure (with reference to policy measure)
Subjects and strategy of intervention
Brief description of planned intervention
Objectives
Specific food security objectives to be achieved, planned results
Target group(s)
Direct and ultimate beneficiaries
Indicators
Indicators for measuring project/ programme progress and achievements
Institutional responsibilities
Actors involved in implementation and their roles
Time frame
Overall planned project / programme duration, phases of implementation
TRAINER’S NOTES
For the planned projects and programmes to be implemented under the Food Security Policy, project outlines will have to be prepared. The following table presents an example for the structure and contents of such an outline.
Costs
Investment and operational costs.
Funding
Planned / confirmed / envisaged / possible sources of funding, co-financing arrangements
Assumptions and risks
Including preconditions for successful project / programme implementation yet to be established (e.g. necessary studies to be conducted, laws and regulations to be released, human capacity building)

19. Monitoring and Evaluation (M & E)
The (M & E) system serves various important functions:
To provide the government and other stakeholders with up-to-date information on the state of implementation of the FSP.
To assess whether the implementation of the policy is on track towards attaining the planned objectives.
To identify any flaws in the design or implementation of the policy that need to be corrected to ensure effective policy implementation.
To make proposals for respective policy adjustments.
TRAINER’S NOTES
In order to keep track of progress in policy implementation and achievements compared to plan, a Monitoring and Evaluation system will have to be established.

20. Monitoring and Evaluation (M & E)
The establishment of an M & E System for the FSP should be guided by the following principles:
M & E should be performed at all levels of policy implementation and by the different stakeholders.
Monitoring activities by different organizations need to be harmonized.
Monitoring should be performed at all levels of policy implementation.
A central M & E unit is responsible for the compilation and analysis of the M & E results of all food security-related interventions.
At certain time intervals, comprehensive evaluations of the progress in implementation and achievements of the FSP will need to be conducted.
TRAINER’S NOTES
The establishment of an M & E System for the Food Security Policy should be guided by the following principles:
M & E should be performed at all levels of policy implementation and by the different stakeholders (government, NGOs and other implementing agencies).
Monitoring activities by different organizations need to be harmonized with regard to indicators used, monitoring methods applied, structure of reports and reporting timeframe. To this end, common monitoring guidelines will need to be prepared.
While the implementing organizations are responsible for monitoring at the project and programme level, the monitoring results of all food security-related interventions should be compiled and analysed by a central monitoring unit at the institution in charge of coordinating FSPs.
At certain time intervals, comprehensive and in-depth evaluations of the progress in implementation and achievements of the Food Security Policy will need to be conducted.
The compiled monitoring results and the results of the evaluations will be communicated to the policy makers, in order to initiate any necessary adjustments in design and/or implementation of the FSP.

21. Initiation of policy process; Policy Formulation;
SUMMARY
The policy formulation and implementation process involves a high number of stakeholders (all governmental and NGOs institutions, organizations and groups that are affected by a policy or that play a role during policy formulation, implementation or monitoring).
The policy formulation and implementation process comprises four typical and interlinked steps:
Initiation of policy process;
Policy Formulation;
Policy Implementation; and
Policy Monitoring & Evaluation.
Ideally the Policy Formulation step is structured in the following four sub-phases:
Establishment of a task force for food security policy formulation;
Diagnosis of the food security situation;
Policy drafting; and
Policy validation.