capacity development for hunger solutions: policy and operational frameworks · 3 world food...

Occasional Paper n° 21

Capacity Development for Hunger Solutions:

Policy and Operational Frameworks

Steven Were Omamo, Harry Johnstone and Ugo Gentilini

December 2009

WFP_OP21_CAP-DEVT-POLICY_Layout 1 16/12/09 19.53 Pagina I

Authors

The authors are Deputy Director and Chiefof Food Security and Safety Nets,Consultant, and Policy Officer in theWorld Food Programme’s Policy, Planningand Strategy Division.

Acknowledgments

Earlier versions of this paper benefittedfrom discussions with several colleagues atthe United Nations World Food Programme.The authors are especially grateful toCaroline Heider, David Stevenson, andRebecca Hansen for their comments andsupport. Responsibility for any remainingerrors resides with the authors.

The views expressed in this paper are the author’s

and should not be attributed to WFP.

WFP_OP21_CAP-DEVT-POLICY_Layout 1 16/12/09 19.53 Pagina II

Steven Were Omamo, Harry Johnstone and Ugo Gentilini

December 2009

Occasional Paper n° 21



WFP_OP21_CAP-DEVT-POLICY_Layout 1 16/12/09 19.53 Pagina 1

Recent upheavals in the global foodsystem have exposed tens of millionsmore people across the world to hunger.They have also laid bare the pressing needfor investment in the policy, institutional,organizational, and individual capacitiesneeded to address the root causes ofhunger and food insecurity, and therebyachieve Millennium Development Goal 1on ending extreme poverty and hunger.Such capacities will be crucial to the

success of current and prospectivecountry-led efforts to promote foodsecurity and overall economicdevelopment.1

There is a pressing need for clarity onhow to strengthen capacity for designand implementation of sustainablesolutions to hunger. Consensus exists ongeneric concepts, definitions, and bestpractice recommendations for capacitydevelopment. Absent, however, is such

consensus on capacity development forfood and nutrition security, largely due tothe lack of unified frameworks for policyand action. This paper helps to fill thatgap. In the next section, current thinkingon capacity development is outlined.Comprehensive policy and operationalframeworks for capacity development forfood and nutrition security (or “hunger

solutions”) developed by the UN WorldFood Programme are then presented.A discussion of strategic priorities forgovernments and development partnersrounds out the analysis.

Capacity Development: Concepts,

Definitions, and Good Practice

Recommendations2

“Capacity” is the ability of people,organizations and society as a whole tomanage their affairs successfully.“Capacity development” is the processwhereby people, organizations andsociety as a whole unleash, strengthen,create, adapt and maintain that abilityover time. Capacity development thusinvolves much more than enhancing theknowledge and skills of individuals. Atthe individual level, capacity developmentdepends crucially on the organizations

in which people work. The functionaleffectiveness of particular organizationsreflects the broader (enabling)environment in which they areembedded, including the institutionalframework and the structures of powerand influence. True capacity developmentthus entails support aimed at individuals(training), institutions (organizational

2



1 For instance, the Comprehensive African Agriculture Development Programme (CAADP) under the New Partnership forAfrica’s Development (NEPAD), the “Latin America and the Caribbean Without Hunger 2025” initiative, the “ASEANIntegrated Food Security Framework,” the “Riyadh Declaration to Enhance Arab Cooperation to Face World Food Crises,” andthe L’Aquila Joint Statement on Global Food Security.

2 The literature on capacity development concepts, definitions, and good practices is vast. A synthesis of that literature is beyondthe scope of this paper. Rather, this section highlights the main conclusions of that literature, drawing heavily from two seminalpublications: (1) Triennial comprehensive policy review of operational activities of the United Nations development system.Economic and Social Council Substantive session of 2007 Geneva, 2-27 July 2007. Item 3 (a) of the provisional agendaOperational activities of the United Nations for international development cooperation segment: follow-up to policyrecommendations of the General Assembly and the Council. A/62/73–E/2007/52; (2) The Challenge of Capacity Development:Working Toward Good Practice. DAC Guidelines and Reference Series (2006).


3

World Food Programme Occasional Paper n°21/Capacity Development for Hunger Solutions:Policy and Operational Frameworks

development) and the enablingenvironment (policies and strategies).The comparative efficacy of given capacitydevelopment investments andinterventions thus varies, on one hand,with “macro features” of policy andinstitutional environments, and, on theother, with “micro features” describingthe attributes and behavior of actors andorganisationsorganizations. Conditionsand changes in the macro environmentdefine and shift the scope andeffectiveness of given institutions,influencing behavior and outcomes atthe micro level.

Capacity development is theresponsibility of national governments,with development partners playing

supportive roles. External actors shouldstrive to:

• Assess the level of national and localcapacity assets and respond to theidentified capacity needs;

• Ensure a collective approach;• Situate their work within national

policy and development plans;• Base support not only on sound

technical analysis but also on nuancedunderstanding of broader social,political, and economic contexts;

• Aim for “best fit” rather than “bestpractice,” since local contexts are theprimary determinants of impactand sustainability.

A Policy Framework for Capacity

Development for Hunger Solutions

These concepts and principles apply fullyin the field of food and nutrition security.The following vision, objective, outcomes,outputs, and activities define a frameworkfor design and implementation of policiesfor capacity development towardsustainable hunger solutions.

Vision

Capacity development for hungersolutions encompasses steadyimprovement in the design andimplementation of nationally ownedinitiatives based on conducive foodpolicies and institutions, effectivenational food assistance organizationsand competent individual practitioners.

Objective

The objective of capacity development forhunger solutions is therefore to achievenationally owned sustainable hungersolutions based on increased capacityfor efficient and effective design,management and implementation oftools, policies and programmes to predict

and reduce hunger.

Outcomes

Outcomes to achieve this objective mustbe generated in the enablingenvironment, in institutions, and forindividuals.

Outcomes at the level of the enabling

environment include the following:

• Laws, policies and strategies thatprioritize the reduction of hungerand food and nutrition insecurityare adopted and implemented.

• Laws, policies and strategies to fosterthe role of civil society in sustainablehunger solutions are developed andimplemented.

• Ministries and agencies withresponsibility for hunger reductionand food and nutrition security areadequately and sustainably resourced.

Outcomes at the institutional levelinclude the following:

• Financially viable and well-managednational food assistance agencies areoperating effectively.

• Viable multi-sectoral partnerships toaddress the causes of hunger and food


and nutrition insecurity arefunctioning.

Outcomes at the individual level includethe following:

• Sustained emergence of empoweredindividuals and communities capableof designing and implementingefficient and effective food andnutrition security programmes andpolicies.

These outcomes should be generated atdistinct scales and over differenttimeframes: individual level outcomescan be expected in the short term of oneto three years; organizational

institutional level outcomes can beanticipated in the medium term of three

to seven years; policy and institutionaloutcomes in the enabling environment

can be projected for the long term ofseven years or more.3

Outputs

The set of outcomes rests on outputs –the actual mechanisms which bring aboutthe outcome – with similarly definedlevels and timeframes.

Outputs at the level of the enabling

environment include the following:

• United Nations DevelopmentAssistance Frameworks (UNDAFs),Poverty Reduction Strategies (PRS)and national plans of action thatprioritize the reduction of hungerand food and nutrition insecurityare developed.

• Legislation and policy and strategydocuments that prioritize the roleof civil society in sustainable hungersolutions are developed.

• The resource needs of ministriesand agencies with responsibility for

hunger reduction and food andnutrition security are prioritized andbudgeted in national developmentplans and PRS.

Outputs at the institutional level includethe following:

• Business and operational plans forfinancially viable and well managednational food and nutrition securityagencies are developed.

• Formal and informal networks andplatforms for multi-sectoral debate,consensus building and partnershipin food systems are developed andsupported.

Outputs at the individual level includethe following:

• A sustained emergence of individualsand communities trained in thedesign and implementation ofefficient and effective food andnutrition security programmes andpolicies, including ingender-disaggregated needsassessment, targeting, food qualityand quantity management, marketanalysis, information managementand local tendering.

Activities

These outcomes and outputs requireaction at each of the three levels. At thelevel of the enabling environment,activities include technical advice andfacilitation of high-level consultationsand informed advocacy and outreach. Atthe institutional level, activities includethe development of business plans andguidelines for implementing foodassistance, secondment of staff, supportfor stakeholder organizations andnetworks, and provision of equipmentand capital services. At the individual

4

3 It is important to stress that this chronological sequence of outcomes does not imply a similar sequence of action at each level.Some countries may require support at the policy level from the start; others may need assistance in ways that follow asequence such as that indicated above. In many cases, the three levels will be interrelated and will require simultaneous action.The main point is that the outcomes at each level are likely to appear over different timescales.


level, activities include the design andimplementation of training workshops,exchange visits and targeted hostingof partner staff.

Given the nature of most food andnutrition security activities, most capacitydevelopment in this area starts withsupport for food assistance programmes.This is often a pragmatic approach toovercoming impediments to effectiveimplementation. But the frameworkoutlined above implies much more thansuch supporting investments: the aimmust be the development of localcapacities to address acute and chronichunger.

An Operational Framework for

Capacity Development for Hunger

Solutions

Figure 1 details the building blocks ofan operational framework for capacitydevelopment for hunger solutions, andthe key elements within each block.Successful (high-impact) food andnutrition security policies, programs,and interventions entail five basicfunctions, all of which must be

strengthened: (1) context analysis;(2) design; (3) implementation;(4) evaluation; and (5) policy andadvocacy.

Context analysis includes assessmentsof countries’ capacity to own hungersolutions. Such information is usuallygenerated by tools such asComprehensive Food Security andVulnerability Assessments (CFSVAs)or Emergency Food SecurityAssessments (EFSAs), where factorsdriving vulnerability at different levels(household, community, region,national) are identified and, where

possible, quantified.4 Key elementsinclude market analysis, genderanalysis, political economy analysis,assessments of key national capacities(especially disaster preparedness andsafety nets). Assessment ofadministrative and logistical capacitiesat the national, regional, and local levelsis especially important for gaining a fullpicture of countries’ real capacities todesign and implement effective andefficient hunger reduction measures.This set of assessments provides a basisfor identifying the central needs to bemet, and the associated capacity gapsto be filled.

Design revolves around definition ofprogram or intervention objectives,

targeting criteria and methods, selectionof instruments, and procurement anddelivery mechanisms (including anyconditionalities on transfers). Alsoincluded are surveys of baselineconditions and contingency plans.

Implementation concerns deliveryof goods and services to targetedpopulations, in line with designelements, based on context analysis.The range of options include in-kind

transfers of food and othercommodities, vouchers for food andother commodities, cash transfers,credit and banking services, weatherrisk insurance, and transport andlogistics services.

Evaluation of capacity developmentrecognizes that it is a multi-level, multi-year process which, to achieve impact,raises challenges to track and report thecontributions of its interventions tosustainable hunger solutions. It entailsmeasuring the achievement of the statedoutputs at the level of the enablingenvironment, the institutional level

5


4 See Comprehensive Food Security and Vulnerability Analysis Guidelines (CFSVA), Chapters 2-6, First Edition 2009. See alsoEmergency Food Security Assessment Handbook (EFSA), Parts II-IV, Second Edition January 2009, World Food Programme.


The central message of Figure 1 is thatwhile the implementation (“delivery”)phase of food and nutrition securityinterventions is the most visible, capacitydevelopment for hunger solutions beginswell in advance of such delivery and

continues long afterwards. Just asrelevant and sustainable food andnutrition security programs must beconstantly on guard against congealing,so, too, must be associated capacitydevelopment efforts.

and the individual level.5 This problemis complex and highly context-specific.It is necessary to develop rigorous,transparent and flexible indicators formonitoring and evaluating capacity-development interventions that areapplicable in the contexts in whichorganisations and individuals operate.

The policy and advocacy function cutsacross and underpins these four corefunctions. This function entails conveying

and coordinating national, regional andglobal food and nutrition developmentpolicy processes. It ensures that there isa nuanced understanding among decisionmakers about the causes and effects ofhunger; that interventions are well nestedinto broader efforts to address hunger;that consensus building and decision-making are dynamic processes based ondocumented evidence and lessons; andthat hunger reduction is a top priorityat the international and national levels.

6

5 Indicators for tracking capacity development are crucial but the specific nature of the indicators required for each context isbeyond the scope of the current paper.

Figure 1: An Operational Framework for Capacity Developmentfor Hunger Solutions

1. Context analysis

Vulnerability analysis

Market analysis

Gender analysis

Political economy analysis

Capacity assessment

Disaster preparedness

National safety nets

Needs assessment

2. Design

Objectives

Targeting methods

Instrument selection

Procurementand delivery mechanism

Baseline surveys

Contingency plans

3. Implementation

In-kind transfers

Cash transfers

Vouchers

Credit and banking

Weather risk insurance

Transport and logistics

4. Evaluation

Enabling environment

Conducive laws, policies,funding levels

Institutional level

Viable organizations,networks

and partnerships

Individual level

Empowered individualsand communities

Inform decision making 5. Policy and advocacy Evidence and lessons learned

Source: Adapted from “Inside the Toolbox: An Analytical Framework to Guide Decision-Making Processes on the Use ofWFP’s Tools.” U. Gentilini and S.W. Omamo. Unpublished manuscript. Policy, Planning and Strategy Division. Rome:UN World Food Programme.


Box 1: Comprehensive Capacity Development Support by the WFP

The UN World Food Programme (WFP) has been working closely with national and regional partners tostrengthen capacity related to food and nutrition security, spanning the three levels of policyenegagementengagement and the four functional areas of operation.

In 1984 WFP introduced the School Meals Programme in El Salvador; in 1997 this initiative was integratedinto the broader Escuela Saludable Programme, under the responsibility of the Ministry of Education(MINED), marking the start of the hand-over process from WFP to the Government. Over this period, WFPwas involved in both the development of a nutritional surveillance and early warning system, allowing thenational government to assess their capacities to handle nutrition challenges, and helped develop a regionalnutritional knowledge management network, which raised awareness, shared knowledge, experience andbest practices throughout Latin America and the Caribbean in the fight against hunger and under-nutrition.The hand-over process was completed in 2007. Since then, the School Meals Programme (SMP) has evolvedinto one of the largest and most successful social programmes in the country and is entirely under theresponsibility of the Government. The programme currently benefits 870,000 children in 4,200 schoolsacross El Salvador.a 1/

The government of Egypt recently requested WFP to assess the food subsidy system and its targetingmechanisms through a national survey funded by a Department for International Development grant andaimed at improving the understanding of the livelihoods and food security situation. This capitalized onWFP’s vulnerability assessment expertise and strong targeting and food management experience, and ishelping the government’s reformed food subsidy programme to target poor households currently notincluded. Such efforts are contributing to a smooth phase-out of WFP assistance. Follow-up activitiesinclude WFP support to the establishment of an advisory body to improve government operations andinform pro-poor policy decision-making and the drawing up of an action plan for reforming the food subsidysystem as part of the National Poverty Reduction Strategy and to complement other reform efforts.2/b

WFP coordinates supports the Latin America and Caribbean Emergency Response Network (LACERN) ofgovernments, United Nations agencies and NGOs. WFP’s regional bureau in Panama City also coordinatesthe regional initiative “Towards the Eradication of Child Undernutrition”, which supports governments informulating, implementing, monitoring and evaluating hunger and undernutrition policies and strategies.WFP supports the Southern Africa Development Community (SADC) initiative on strengthening vulnerabilityanalysis. Both of these initiatives build on strong country-level investments and are thus fundamentallycapacity-enhancing. These initiatives aim to institutionalize information sharing, build local and regionaltechnical capacities and advocate for investments in hunger and nutrition programmes at the policy level.The evolving approach is based on capacity-enhancing activities such as high-level advocacy, participatorytechnical studies, information-sharing mechanisms, stakeholder consultations and workshops, jointassessments and inter-agency coordination. Partnerships with national and regional stakeholders help toensure that ownership of these initiatives is in the hands of institutional partners, especially governments.The result is enhanced engagement with local and regional partners and increased knowledge amongpartners of the needs of food-insecure populations, which increase the likelihood that food assistanceinterventions will lead to positive development outcomes.3/ca

1/ See Experiences in Partnership for Capacity Development between WFP and the Government of El Salvador, Cooperation and PartnershipProgramme (OMXC). Rome: UN World Food Programme Cooperation and Partnership Programme., November 2009, p.2.

2/ b See Egypt Country Programme - - Egypt 1045.0 (2007-2011. Rome: UN World Food Programme.). WFP/EB.2/2006/8/4. 24 July 2006.

3/ c See Development Project – Latin America and Caribbean Region Capacity-Building Project 10411.0. WFP/EB.A/2005/9-A/1. 19 April2005. Rome: UN World Food Programme.

7


6 See footnote 1 above.

Strategic Priorities

Impact in capacity development for foodand nutrition security depends on theextent to which capacity development isprioritized as food and nutrition securitystrategies are formulated andimplemented. Several strategic pressurepoints emerge related to national capacityassessments, partnerships, learning,monitoring and evaluation, reporting,awareness and incentives, and funding.

National Capacity Assessments

Realistic design and implementation offood and nutrition security capacitydevelopment initiatives requiressystematic assessment of current andforeseeable capacity needs. Assessmentsare required at many levels (Figure 1).Such work is already underway in manycountries.6 These efforts must beenhanced and strengthened.


Partnerships

Strong partnerships are required at alllevels of operation and policyengagement, led by relevant nationalagencies. Partnerships are requiredamong organizations with expertise ineach of the areas identified in Figure 1.Effective partnerships are vital fordeveloping clear hand-over strategiesto enhance nationally-owned hungersolutions.

Learning

To be effective partners for capacitydevelopment in food and nutritionsecurity, organizations must develop theirown capacities to develop capacity.Targeted training of professionalsremains a central element of such efforts.

Skills requiring enhancement cover thecore functions set out in Figure 1: contextanalysis, design, implementation,evaluation, and policy and advocacy. Inaddition to these relatively traditionalareas of need, skills must be enhancedin such areas as leadership in complexenvironments, business planning,team-building, management, genderawareness, networking, and partnershipdevelopment. Opportunities to facilitateSouth-South cooperation and sharing of

best practices among countries facingsimilar challenges and at similar levels ofoverall social and economic developmentmust be prioritized and seized.

Monitoring, Evaluation and

Reporting

The multi-level, multi-year processfor strengthening capacity the designand implementation of design andimplementation of food and nutritionsecurity policies and programs raiseschallenges in terms of tracking andreporting the contributions of given

interventions to sustainable hungersolutions. This problem is complex andhighly context-specific. Agencies mustcontinue to develop rigorous, transparentand flexible indicators for monitoringand evaluating capacity-developmentinterventions that are applicable in thecontexts in which the country officeswork. This is a major challenge, but itmust be addressed. Guidance materialon monitoring, evaluation and reportingof capacity development must bedeveloped and available, and stafftrained accordingly.

Awareness-Raising and Incentives

The impact of capacity-developmentinvestments will be largely defined by thedegree to which individuals perceive the

importance of capacity development intheir work, and by the degree to whichcapacity development is mainstreamedand funded in programme activities.Agencies must invest in a process ofcommunication and awareness-raisingregarding the capacity developmentvisions and objectives, stressing the linkswith overall strategic directions and theneed to focus on facilitating nationalempowerment.

Funding

Capacity development requiresdependable medium-term funding toensure that it can be developedsystematically. Capacity developmentactivities for food and nutrition securityare typically funded indirectly throughsupport for the analytical and operationalcapacities of counterpart agencies.Sustained targeted targeted investmentsare rare. The search for more sustainablefunding mechanisms for capacitydevelopment initiatives must beprioritized.

8


WFP_OP21_CAP-DEVT-POLICY_Layout 1 16/12/09 19.53 Pagina III

Policy, Planning and Strategy Division

World Food ProgrammeVia Cesare Giulio Viola, 68/7000148 Rome, Italy

Prin

ted: N

ovem

ber 2

00

9 - L

ayo

ut im

ag

es: from

left to rig

ht, Im

ag

eba

nk

; WF

P/T

om

Ha

skell

WFP_OP21_CAP-DEVT-POLICY_Layout 1 16/12/09 19.53 Pagina IV

capacity development for hunger solutions: policy and operational frameworks · 3 world food...

Documents