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Codex Trust Fund

Initiative to explore linkages between increased participation in Codex and enhanced international food

trade opportunities

Final Report

Robert J Connor

Funded by the Department for International Development (DFID), United Kingdom

Project number RNRAT 012 (AG0396)

Codex Trust Fund Secretariat Department of Food Safety, Zoonoses and Foodborne Diseases World Health Organization 20, Avenue Appia CH-1211 Geneva 27 Switzerland Fax: +41 22 791 4807 E-mail:[email protected]

August 2007

Linkages between increased participation in Codex and enhanced international food trade

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PASS PROJECT COMPLETION SUMMARY

PROJECT CODE: RNRAT 012 (AG0396)

PROJECT TITLE: Initiative to explore linkages between increased

participation in Codex and enhanced international food trade opportunities.

PROJECT LEADER: Robert J Connor INSTITUTION: DFID

PARTNER INSTITUTIONS: WHO/FAO

GEOGRAPHICAL SCOPE: Global

PROJECT DURATION & EXPENDITURE:

Planned Actual

Start date: 12 February 2007 20 February 2007

End date: 30 April 2007

Extended completion date: 27 August 2007


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CONTENTS

SUMMARY .........................................................................................................................................IX 1. INTRODUCTION ........................................................................................................................ 1 2. BACKGROUND ......................................................................................................................... 2 3. METHODS OF ENQUIRY........................................................................................................... 6 3.1 TASKS ..................................................................................................................................... 6 3.2 QUESTIONS.............................................................................................................................. 6 3.3 APPROACH .............................................................................................................................. 7 3.4 ANALYTICAL FRAMEWORK .......................................................................................................... 8 3.5 DATA COLLECTION AND ACCESS TO INFORMATION ........................................................................ 8 3.6 COMMENTS FROM DONORS ON A PRELIMINARY REPORT OF THE ENQUIRY ....................................... 8 4. FINDINGS ................................................................................................................................ 11 4.1 CODEX TRUST FUND AS A PROJECT .......................................................................................... 11

4.1.1 Overview.................................................................................................................. 11 4.1.2 Project outputs (results) ........................................................................................... 15 4.1.3 External factors affecting the project......................................................................... 18

4.2 PROBLEM ANALYSIS ................................................................................................................ 24 4.3 CODEX TRUST FUND-SUPPORTED TRANSFER OF KNOWLEDGE ..................................................... 24

4.3.1 Theory and practice ................................................................................................. 24 4.3.2 Findings from country visits ...................................................................................... 27 4.3.3 Findings from country reports................................................................................... 33

4.4 CODEX TRUST FUND AND FOOD TRADE INITIATIVES .................................................................... 37 4.4.1 Linkage of the Codex Trust Fund to international trade............................................. 37 4.4.2 Linkage of the Codex Trust Fund to trade-related capacity building .......................... 49 4.4.3 Co-ordination of initiatives to promote international trade.......................................... 52 4.4.4 Is food safety in domestic trade losing out? .............................................................. 54

4.5 COMMENTS OF DONOR REPRESENTATIVES ................................................................................ 55 4.6 CODEX TRUST FUND SECRETARIAT .......................................................................................... 56 5. CONCLUSIONS AND RECOMMENDATIONS ......................................................................... 57 6. PROPOSALS TO ENHANCE THE IMPACT OF THE CODEX TRUST FUND.......................... 60 6.1 INTRODUCTION ....................................................................................................................... 60 6.2 ROLES IN IMPLEMENTATION OF THE CODEX TRUST FUND ............................................................ 60

6.2.1 Roles for the Trust Fund's Consultative Group & STDF partners .............................. 60 6.2.2 Role of the Codex Trust Fund Secretariat................................................................. 61 6.2.3 Roles for interns or consultants ................................................................................ 61 6.2.4 Roles for FAO and WHO regional and country representatives................................. 61 6.2.5 Role of National Codex Contact Points..................................................................... 62 6.2.6 National Codex Committees..................................................................................... 62

6.3 PROPOSED ACTION PLAN FOR THE CODEX TRUST FUND.............................................................. 64 BIBLIOGRAPHY .............................................................................................................................. 74


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LIST OF ANNEXES ANNEX 1: GROUPING OF ELIGIBLE COUNTRIES - 2007 SUPPORT ........................................... 77 ANNEX 2: TERMS OF REFERENCE - CODEX TRUST FUND/DFID............................................... 80 ANNEX 2A: PROPOSAL TO EXTEND THE INPUT OF THE DFID CONSULTANT TO INVESTIGATE

LINKAGES BETWEEN THE CODEX TRUST FUND AND INCREASED OPPORTUNITIES FOR INTERNATIONAL FOOD TRADE. ........................................... 83

ANNEX 3.1: COUNTRY VISITS: VIET NAM.................................................................................... 84 ANNEX 3.2: COUNTRY VISITS: CAMBODIA ................................................................................. 88 ANNEX 3.3: COUNTRY VISITS: UGANDA..................................................................................... 90 ANNEX 3.4: COUNTRY VISITS: RWANDA .................................................................................... 93 ANNEX 4: AN APPROACH FOR THE CODEX TRUST FUND TO ENHANCE KNOWLEDGE

TRANSFER RELATED TO FOOD STANDARDS & FOOD SAFETY ............................. 96


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LIST OF TABLES, FIGURES AND BOXES Table 1: Codex Committees and Task Forces

Table 2: List of the main stakeholders in the Codex Trust Fund

Table 3: Major elements of a food safety system

Table 4: Selection of countries for case studies of the impact of the Codex Trust Fund (2004- 2006)

Table 5: Logical framework of the ‘Codex Trust Fund’ (CTF) project

Table 6: Numbers of participants funded by the Codex Trust Fund to participate in Codex meetings

Table 7: Contributors to the FAO/WHO Codex Trust Fund

Table 8: Linkages between major elements and activities of food safety systems, respective roles and responsibilities and the Codex Trust Fund

Table 9: Linkage of the Codex Trust Fund to international food trade

Table 10: Numbers of interventions* (projects and activities) listed in the Trade Capacity Building Database 2001-2007 for Trade Policy and Regulation.

Table 11: Outline of the proposed action plan to enhance the impact of the Codex Trust Fund

Fig. 1: Who comes to Codex?

Fig. 2: Problem analysis of food safety issues in countries that have received support from the Codex Trust Fund

Fig. 3: A model of knowledge transfer through participation in the work of the Codex Alimentarius Commission, indicating the four main elements of the experiential learning cycle (after Kolb, 1984)

Fig. 4: A model of knowledge transfer through participation in the work of the Codex Alimentarius Commission, indicating the four main elements of the knowledge creation (after Nonaka, Konno and Toyama, 2001)

Fig. 5: A framework to analyze the experience of beneficiary countries whose delegates' participation in Codex meeting was supported by the Codex Trust Fund, related to transfer of knowledge about Codex to national regulatory and food safety systems

Fig. 6: Measures to enhance Codex Trust Fund impact on knowledge transfer related to the work of the Codex Alimentarius Commission

Box 1 Industrial and environmental contaminants in foods (agenda item 14). Draft maximum level for lead in fish

Box 2 Fresh Fruits and Vegetables. Proposed draft revision to the Standard for Sweet Cassava

Box 3 Viet Nam tea

Box 4 Improvements to Quality of Dried Fruit and Nuts

Box 5 Examples of initiatives taken to address food safety in Asia

Box 6 Examples of developing country weaknesses in management of SPS standards

Box 7 OECD report (2003) - donor harmonization. Guiding principles on providing co-ordinated aid

Box 8 Trade-related capacity building


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LIST OF PLATES

Plate 1 Consultative meeting at the National Codex Contact Point office, Hanoi, Viet Nam

Plate 2 Consultative meeting at the office of Camcontrol, Phnom Penh, Cambodia

Plate 3 Consultative meeting at the Uganda National Bureau of Standards, Kampala, Uganda

Plate 4 Consultative meeting at the offices of Rwanda Bureau of Standards, Kigali, Rwanda

Plate 5 Capturing data from cards completed by participants in consultative meetings

Plate 6 An indication of high level political support for the adoption of international standards

Plate 7 Packed tea - a valuable commodity but pesticides residues that limit its export potential

Plate 8 Peanuts: whole nuts, flour and oil on sale in a local market: aflatoxin assays are not in routine use


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ABBREVIATIONS ADB Asian Development Bank

AGN Nutrition and Consumer Protection Division, FAO

ASEAN Association of South East Asian Nations

CAC Codex Alimentarius Commission

CCFAC Codex Committee on Food Additives and Contaminants

CCCF Codex Committee on Contaminants in Food

CTF Codex Trust Fund (FAO/WHO Project and Fund for Enhanced Participation in Codex)

DANIDA Danish International Development Agency

DFID Department for International Development, of the United Kingdom

EU European Union

FAO Food and Agriculture Organization of the United Nations

FOS Department of Food Safety, Zoonoses and Foodborne Diseases, WHO

GAP Good Agricultural Practice

GMP Good Manufacturing Practice

HACCP Hazard Analysis and Critical Control Point

IF Integrated Framework (of the WTO’s technical assistance programme)

IPM Integrated Pest Management

IPPC International Plant Protection Convention

ISPM International Standards for Phytosanitary Measures

JECFA Joint FAO/WHO Expert Committee on Food Additives

JITAP Joint Integrated Technical Assistance Programme

LDC Least Developed Countries

MRL Maximum Residue Limits

OECD Organisation for Economic Cooperation and Development

OIE World Animal Health Organisation (Office International des Epizooties)

OTA Ochratoxin A

OVI Objectively Verifiable Indicator

Sida Swedish International Development Cooperation Agency

SPS Sanitary and Phytosanitary (requirements or measures)

STDF Standards and Trade Development Facility

TBT Technical Barriers to Trade

TCBDB Trade Capacity Building Database

TCP Technical Cooperation Project

UNICEF United Nations Children’s Fund

UNIDO United Nations Industrial Development Organization

UNDP United Nations Development Programme

US United States (of America)

USAID United States Agency for International Development

WHO World Health Organization

WTO World Trade Organization


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ACKNOWLEDGEMENTS This report reflects the contributions of numerous people in many countries, whose cooperation deserves acknowledgement. I was warmly received in the four countries that I visited and I thank my hosts in Cambodia, Rwanda, Uganda and Viet Nam for their help in ensuring that I could complete my task in the limited time available, and at short notice. Most of my time was spent in the World Health Organization's Department of Food Safety, Zoonoses and Foodborne Diseases (FOS), Geneva, where I was well accommodated and supported. I appreciated the kind support of the department's staff and enjoyed learning from them about their work, which provides an important part of the context of the Codex Trust Fund. The staff of the Codex Trust Fund Secretariat - Mrs Catherine Mulholland, Ms Hadiza Kiepin-Toye and Ms Noha Lefevre - provided me with guidance and assistance that was invaluable, and I extend my sincere thanks to them. I benefited greatly from discussions at a meeting of donor representatives mid-way through the study, which gave me useful orientation and food for thought. My work was facilitated greatly by very constructive discussions with Dr Kazuaki Miyagishima, Secretary of the Codex Alimentarius Commission, Mr Ezzedine Boutrif, Chief, Food Quality and Standards Service of the Food and Agriculture Organization, Rome, and Mr Michael Roberts, Counsellor at the World Trade Organization. Last but not least, I wish to thank Dr Jorgen Schlundt, Director, FOS, for giving me his time and advice throughout this enquiry, and the opportunity of working in his department. Robert J Connor

Geneva, 10 June 2007


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SUMMARY BACKGROUND

1. The FAO/WHO Project and Fund for Enhanced Participation in Codex (Codex Trust Fund) was established in 2003 to provide resources to bring delegates from developing countries and countries with economies in transition to the discussion and negotiating table of the Codex Alimentarius Commission. Increased and more effective participation of developing countries in Codex were expected to enhance: national capacity to develop and implement effective national food safety systems; an international system which better reflects both developed and developing country interests and issues; opportunities for developing countries to take advantage of international trade in food. 2. The Codex Trust Fund became operational in March 2004. The first assessment of the increased participation in Codex by countries eligible for support from the Codex Trust Fund was carried out in 2006 and focused primarily on national policy and activities related to food safety in eligible countries. The study did not examine the role that Codex might play in assisting developing countries to benefit from opportunities in international trade in food and, therefore, the present study was commissioned. Its objectives were:

• To explore the impact of increased participation in Codex on the ability of developing countries and countries with economies in transition to grasp international food trade opportunities; and

• To analyze how the Codex Trust Fund might be enhanced to ensure that its activities strengthen national level organization and institutional change to increase trade opportunities and food safety.

3. The principal deliverable of the work is this report, which is to be the basis of a presentation to the 30th Session of the Codex Alimentarius Commission (Rome, 2-7 July 2007). The original completion date for the study was 30 April 2007 but, after discussions at a meeting of donor representatives, it was extended until 10 June 2007 to allow the preparation of proposals aimed at enhancing the leverage of the Trust Fund and allowing it to achieve greater impact. METHODS

4. With the guidance of the Director, FOS, and the Trust Fund Administrator, eight countries that had received support from the Codex Trust Fund were chosen for detailed study. Through meetings, interviews and group discussions held in four countries (Cambodia, Rwanda, Uganda and Viet Nam), primary data were collected on the experience gained from the support provided by the Codex Trust Fund. Desk studies included the reports from four more countries in Latin America and the Caribbean region (Costa Rica and Peru) and the Western Pacific region (Samoa and Vanuatu). A wide ranging literature search was conducted to collect secondary data. 5. A logical framework of the Codex Trust Fund was constructed, based on the original project document. It was revised in close consultation with individual members of the Consultative Group for the Trust Fund, the Secretary of the Codex Alimentarius Commission and the Food and Agriculture Organization's Chief, Food Quality and Standards Service. The revision included observations made by donor representatives during discussions in April 2007.


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6. A problem tree was constructed from the responses of 46 beneficiary countries to a questionnaire survey that was conducted in 2006 (Krell, 2006), which confirmed that the project is highly relevant to the needs expressed by respondents. A model of knowledge transfer related to Codex Trust Fund-supported participants was developed to assist the analysis of data collected from the country visits and desk studies. The same framework was used to structure proposed actions to enhance the Trust Fund's future implementation and impact. 7. The enquiry into the linkage of the Code Trust Fund to international food trade was guided by a simple checklist related to a generic food safety system. FINDINGS Codex Trust Fund as a project

9. The project document for the “FAO/WHO Project and Fund for enhanced participation in Codex”1 states the project objectives, expected outcomes, outputs and activities, and describes procedures for its management. The Project and Trust Fund is expected to contribute “to further the improvement of global public health and food security by promoting the provision of safer and more nutritious food and contributing to a reduction in foodborne disease.” Its purpose is “to help developing countries and those with economies in transition to enhance their level of effective participation in the development of global food safety and quality standards by the Codex Alimentarius Commission.” This key objective is to be attained through the achievement of three main outputs, or results, that can be summarized as:

1. Widened participation in Codex;

2. Strengthened overall participation in Codex; and,

3. Enhanced scientific/technical participation in Codex. 10. The project has made very good progress in achieving its first result, namely widening participation in the standard setting process: a total of 618 delegates from 119 countries have received support to attend a total of 58 Codex meetings.

Table 06: Participants Funded by the Codex Trust Fund (2004-2007)

Year No. Participants No. countries No. Codex meetings

2004 74 61 14

2005 300 89 16

2006 111 80 18

2007* 133 79 10

[Note * - Figures for the period January to June 2007]

11. The project developed training materials related to the Codex standard setting process and has delivered two regional training courses (in Central America and Africa) as important initial activities towards the achievement of the second result, "Strengthening participation in the standard setting process." There is evidence to suggest that a trend is emerging that

1 Available at: http://www.who.int/foodsafety/codex/trustfund/en/index1.html


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Trust Fund-eligible countries are starting to contribute to the discussions that lie at the heart of the Codex standard setting process. 12. It was evident from the discussions in Cambodia, Rwanda, Uganda and Viet Nam that participants recognized the benefit of contact and dialogue with their peers from countries in their region. Similar statements were made in the country reports of Samoa and Vanuatu. 13. The third expected result of the project, is that beneficiary countries will increase their scientific contributions through JECFA, JEMRA and advisory bodies to Codex Alimentarius Commission. It is likely that those countries that make scientific contributions will have established the necessary food safety regulatory framework; the expertise and capacity to make contributions; and, would stand to gain significant economic benefits from doing so, as was noted from the example of Peru's participation in Codex working groups. 14. The availability of expertise within a country is an important assumption, without which effective participation in the standard setting process cannot be achieved. Building up expertise is a lengthy and complex process that requires personal, professional and organizational development over a period of years. Therefore, the issue of continuity of participation in the standard setting process is fundamental. In the absence of an operational database2 to manage data concerning participation in Codex meetings, it was not possible to analyze the consistency of participation in Codex meetings. 15. The most important precondition for the implementation of the project is funding. By 31 December 2006, 12 donor countries and the European Community (Table 07) had provided US$ 4,126,764.

Table 07: Contributors to the FAO/WHO Codex Trust Fund (Situation as at 31 December, 2006.)

Donor Amount received in US$

Australia 27,906

Canada 523,306

European Community 944,656

Finland 58,824

Germany 116,250

Ireland 100,612

Japan 80,000

Norway 400,000

Netherlands 200,000

New Zealand 68,810

Sweden 1,079,243

Switzerland 55,971

United States 471,186

Total contributions in US$ 4,126,764

2 One important outcome of the donors meeting in April 2007 was the decision to develop a database for participation supported by the Codex Trust Fund. The design and initial population of the database with data from 2004 to May 2007 is due to be completed by the end of June 2007 as a collaborative effort between the Codex Trust Fund and the US Codex Office.


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15. An analysis of the experience of participation in the Codex standard setting process revealed that the project has focused initially on increasing the total number of eligible countries and participants who are participating in Codex meetings.. FAO and WHO also developed training materials on the Codex process and, in the framework of the Codex Trust Fund, two regional training courses have been organized, which were attended by a total of 91 people from eligible countries. However, the project has not yet provided systematic support for the other essential aspects of knowledge transfer related to Codex standards setting, viz, routine in-country debriefings after Codex meetings, the provision of support concerning Codex standards setting work to the national food safety control system (including National Codex Contact Points and national Codex committees; and, preparatory meetings that should precede a delegate's participation in a Codex meeting. 16. From discussions in the countries visited, whereas there was unanimous appreciation of the value of participation in Codex meetings, there was evidence of the serious weakness in the other aspects of knowledge transfer. In contrast, Costa Rica and Peru have established a systematic approach to their participation in the "Codex process". Linkage between Codex Trust Fund food and trade initiatives

17. The linkage between the Codex Trust Fund and food trade initiatives is clear and logical. Conceptually, the linkage between the two is strong: improved uptake of Codex standards, as an outcome of the Codex Trust Fund project, should enable exporters in more countries to trade internationally. In terms of a logical framework matrix, only at the level of the project's goal might it be possible to demonstrate a direct linkage: however, to monitor the project’s progress in the achievement of an objectively verifiable indicator at this level would require specific detailed studies, which are probably in progress as part of other trade-related capacity building initiatives. 18. The Codex Trust Fund is linked most closely to the Codex Alimentarius Commission and national food safety authorities: the latter are responsible for adopting and ensuring compliance with international standards, including Codex standards. However, it is the food industry and traders that have to achieve standards before they can benefit from trade opportunities. The example of the European Union's ban on fish exports from East Africa in the late 1990s demonstrates the effect of non-compliance. The dominant constraint to the realization of international trade opportunities is the widespread lack of capacity in developing countries and those with economies in transition. 19. The weaknesses and gaps that exist in the ability of countries' food safety inspectorates and laboratories to conduct assays for residues and contaminants are major constraints to export opportunities. The report highlights antimicrobial residues and resistance to antimicrobials as an emerging issue that might further limit the opportunities for international food trade. Mycotoxins represent another major area currently being debated: it holds potential interest for many countries eligible to benefit from the Codex Trust Fund's support. 20. The report considers briefly the specialized role of the Codex Trust Fund in capacity building, since it complements major initiatives of the FAO and WHO that are aimed at building the capacity of national food safety control systems, as well as the capacity building activities that the Standards and Trade Development facility coordinates. In this broader context, the efforts of the fund are submerged: for example, 1 480 projects and activities were entered in the in the trade capacity building database of the OECD and WTO between 2001


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and 2007 in the eight countries on which this study focused. Of these, 59 concerned sanitary and phytosanitary (SPS) measures. 21. This enquiry focused on international food trade, which raises the question 'Is food safety in domestic trade losing out?' The answer, almost certainly is 'No.' The stringent requirements of international trade standards, including the Codex standards, can act as a lever to raise the awareness of the public and the food industry of the importance of food safety and that, in turn, could lead to improvements in the safety of food in domestic markets. CONCLUSION

22. This enquiry examined the linkages between increased participation in Codex and the ability of developing countries and countries with economies in transition to grasp international food trade opportunities. Overall, the Codex Trust Fund project might have improved the uptake of Codex standards in beneficiary countries and their application should enable exporters in more countries to trade internationally. However, as the analysis has shown, many countries fail, for many different reasons, to apply the standards that are required for international trade. 23. A number of lessons can be drawn from the experience of implementation over the first three years of Codex Trust Fund project, which indicate measures that might be taken to enhance its future effectiveness, in terms of strengthening national level organization and facilitating institutional change to increase trade opportunities and food safety. 24. The following recommendations are made. 1. In terms of design of the project, it is strongly recommended that the project's partners

should review in detail the logical framework that has been drafted as part of this study as soon as possible at a dedicated plenary meeting. The project's objectives are clear and probably require no revision. However, the scope of activities that the project should support should be reviewed in the light of the following recommendations. The acceptance of this recommendation is a precondition for the effectiveness of the following recommendations, if they too are accepted.

2. It is strongly recommended that a monitoring and evaluation (M&E) system should be devised for the Codex Trust Fund to enable its performance to be tracked, because the M&E reports would provide information that might indicate the need to refocus, and increase or decrease the scope and scale of activities to maximize the fund's impact. If the indicators proposed for the project are retained, the sources of verification for many of them would be available as the result of the M&E activities of other projects and activities directed at food safety and international trade. Duplication of effort would be reduced provided that the representatives of the main partners and stakeholders - namely the CAC, FAO, WHO, WTO, and STDF and donors - establish effective coordination of their actions.

3. The Codex Trust Fund has contributed very significantly to increased participation of

delegations from eligible countries in the Codex standard setting process, even though the Trust Fund Secretariat has had a high workload and low staffing level. This constraint at the level of the Secretariat led to difficulties that were reported by some countries in securing timely completion of administrative formalities associated with their travel


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arrangements. Frequently, countries submitted their proposals to the Secretariat after the deadlines, which compounded these delays. It is strongly recommended that additional staff are engaged at the Secretariat, first to reduce delays and, second, to increase output, particularly related to the establishment and management of an appropriate M&E system

4. To assist the impact of participation in Codex meetings on institutional capacity, it is

recommended that there should be heightened engagement of FAO and WHO country representatives in Codex meetings at national level. Specifically, FAO and WHO country representatives should be present at regular meetings of the national Codex committees, before and after Codex meetings take place, to provide advice that might assist the selection of: (a) the participants and (b) the meetings at which countries are to be represented, as well as in debriefing meetings after participation where the implications of Codex meetings for national level policy and planning should, ideally, be debated and decisions made. Allied to this measure, participants need time to prepare for the meetings that they are to attend and, through local FAO and WHO representatives, the Codex Trust Fund could provide some assistance. Increasing the intensity of structured dialogue in beneficiary countries would strengthen the national Codex committees and Codex Contact Points.

5. There are lessons too about the need for support to be offered during Codex meetings. It

is recommended that, as was proposed at the meeting of the FAO/WHO Consultative Group for the Trust Fund (CGTF) in July 2006, the opportunity that exists at Codex meetings should be used to provide pre-meeting briefings, structured personal support (through mentoring and peer support) during the meeting. The addition of a one-day training session either before or after the main Codex meeting should also be included into programmes to support the transfer of specific technical knowledge to participants from eligible countries. These would be relatively low cost activities that could also have significant added value in terms of the transfer of knowledge about Codex standards, the standard setting process and food safety in general. This has been taking place on an ad hoc basis and has been promoted by the Codex Trust Fund and by FAO and WHO. However, the process would benefit from becoming more institutionalized.

6. There is evidence that some countries have progressed in the elaboration of national food safety policies and legislation but it is recommended that specific steps be taken by the project's partners to collect information systematically through other projects and activities, the results of which should assist the evaluation of the impact of the Codex Trust Fund and other activities. This recommendation comprises an integral part of the proposed logical framework.

7. This study has identified areas that afford opportunities to Codex Trust Fund partners to optimize impacts of the project and fund. Since the purpose of the fund is to enhance participation in the standard setting process, it is recommended that a series of activities should be supported in-country, before and after each Codex meeting (as stated above). Such intervention would assist the process of knowledge transfer and, by supporting the socialization of the subject of food safety, strengthen the capacity of the food safety control system. It is also recommended that the Codex Trust Fund should promote peer contact and dialogue by supporting regional grouping of countries. This is especially important for those countries that are small island developing states (SIDS), which share common constraints that include their small size and remoteness, which present special challenges to sustainable development.


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8. It is recommended that the Codex Trust Fund partners promote linkages between the

project's activities and other initiatives that address food security in SIDS (see for example http://www.fao.org/sids/), which might include the use of teleconferences and online conferencing systems to support discussion and knowledge sharing. In this latter connection, it should be noted that such an activity would require organization and facilitation and is NOT synonymous with the more didactic, one way information flow often commonly promoted as 'distance learning'.

25. In conclusion, the findings of this enquiry provide a justification for modifying the approach to the implementation of the Codex Trust Fund project. This report covers a vast field. It is little more than a working document but it provides a framework for a range of activities that could deliver significant benefits to the enhancement of food safety in many developing countries.


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PROPOSALS TO ENHANCE THE IMPACT OF THE CODEX TRUST FUND 26. The following main activities are required to implement the recommendations made above. They have been fully discussed with the Director, FOS, but require detailed discussion by the Consultative Group for the Codex Trust Fund and its close partners. That discussion constitutes the first activity.

Main activity/Action 1 Planning Meeting [Precondition] 1.1 Convene a dedicated half-day meeting to review the logical framework 2 M&E system 2.1 Review logical framework to coordinate actions of different agencies. 2.2 Draft a description of the M&E system 3 TF Secretariat staff 3.1 Recruit staff to the Secretariat to strengthen the Trust Fund Secretariat through

recruitment of additional staff, based on approved work plans. 4 National food safety meetings/Seminars 4.1a Visit WHO offices in Phase 1 countries (Regional WHO representatives) 4.1b Visits FAO offices in Phase 1 countries (Regional FAO representatives) 4.2 Convene Phase 1 joint FAO/WHO national food safety seminar 4.3 Review reports of Phase 1 seminars, plan expansion to Phase 2 5 Supplementary Codex meetings 5.1 Convene a Trust Fund pre-meeting at each Codex Committee meeting. 5.2 Convene Trust Fund one-day training meeting at each CC meeting 6 National food safety policies 6.1 Despatch questionnaire on inventory of projects on food safety policies and legislation 6.2 Conclude service agreement with CTF donors and STDF partners 7 Supplementary Regional Codex meetings 7.1 Convene peer group meetings at regional Codex meetings 8 Codex support for Small Island Developing States (SIDS) 8.1 Conduct an enquiry on support for Codex-related matters by SIDS.

27. A schedule of supplementary resources and the budget required can only be compiled after the completion of the first activity.


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1

1. INTRODUCTION The Department for International Development (DFID) of the United Kingdom funded this study to explore linkages between increased participation in Codex and enhanced international food trade opportunities. The study began on 20 February 2007 and was expected to be completed by 30 April 2007. However, in response to discussions during a meeting of donors on 5 April 2007, representatives of the FAO, WHO and DFID agreed to extend the study to permit the consultant to assist the Codex Trust Fund Administrator to produce specific proposals for further consideration by the donors and beneficiaries. The broad context of the FAO/WHO Project and Fund for Enhanced Participation in Codex (Codex Trust Fund) is complex and dynamic. There is a large and rapidly increasing volume of information about global trade in food commodities, the sanitary and phytosanitary (SPS) conditions and requirements pertaining to their international trade, food safety, technical barriers to trade (TBT), and the strong perceptions about inequities in global trade and socio-economic development. This report aims not to overburden you, the reader, and, therefore, for expedience you are referred to other sources of information for comprehensive reviews of various aspects of this wide field. The report sets out the approach to the study and presents ideas arising from a consideration of the subject. Its aim is to report the progress made and indicate options that will be presented to a meeting of donor and beneficiary countries, and other interested parties at the Codex Alimentarius Commission’s session in July 2007. The report comprises six sections of which this is the first.

• Section Two outlines the background to the investigation, based upon the original terms of reference for the study.

• Section Three describes the methods of enquiry and the approach to data collection and analysis.

• Section Four presents findings and highlights the main learning points from four country visits and a desk study of another four countries, and discusses the linkages between the Codex Trust Fund and international food trade, trade-related capacity building and other initiatives aimed at promoting international trade.

• Section Five discusses some of the emergent issues, and provides recommendations to improve the impact of the Codex Trust Fund in the achievement of its objectives.

• Section Six contains specific proposals to improve the impact of the Codex Trust Fund, which have been developed in consultation with the Trust Fund Secretariat.



2

2. BACKGROUND In 1963, the Food and Agriculture Organization of the United Nations (FAO) and the World Health Organization (WHO) created the Codex Alimentarius Commission to set food standards, guidelines and codes of practice to protect the health of consumers and to ensure fair practices in the food trade. The Codex Alimentarius Commission (CAC), through the establishment of international standards, promotes coordination of all food standards work undertaken by international governmental and non-governmental organizations. The rate of emergence of global markets has accelerated since the early 1990s, and the World Trade Organization (WTO) is now the sole global international organization dealing with the rules of trade between its members3. At its heart are the WTO agreements, negotiated and signed by the bulk of the world’s trading nations and ratified in their parliaments. The WTO’s goal is to help producers of goods and services, exporters, and importers conduct their business. In relation to the need to protect animal, plant, or human health against certain risks associated with foreign goods, the WTO allows its members to apply sanitary and phytosanitary (SPS) measures, which are enshrined in the WTO’s SPS Agreement. The SPS Agreement has recognized the Codex standards for food additives, veterinary drug and pesticide residues, contaminants, methods of analysis and sampling, and codes and guidelines of hygienic practice as the benchmarks against which national measures and regulations are evaluated.

“The standards have become an integral part of the legal framework within which international trade is being facilitated through harmonization. Already, they have been used as the benchmark in international trade disputes, and it is expected that they will be used increasingly in this regard.”4

The Office International des Epizooties (OIE), or World Organisation for Animal Health, provides guidance on the control of animal diseases to safeguard international trade in animals and animal products. The OIE also has a mandate to promote public health and consumer protection, which includes zoonoses and diseases transmissible to humans through food to improve the production of safe food from farm to fork5. There is no single global authority for the regulation of standards related to plant health but the International Plant Protection Convention (IPPC), which is incorporated within the FAO, sets standards – the International Standards for Phytosanitary Measures (ISPM)6. Human health considerations are also addressed internationally through the International Health Regulations of the World Health Organization (WHO). At national level, public health or sanitary authorities deal with disease surveillance and control.

3 See www.wto.org 4 Source: Codex Alimentarius Commission: http://www.fao.org/docrep/008/y7867e/y7867e08.htm#bm08; accessed 20/03/07 5 Source: http://www.oie.int/eng/secu_sanitaire/ en_introduction.htm; accessed 18/10/06 6 Source: https://www.ippc.int/IPP/En/default.jsp; accessed 20/03/07



3

It was recognized that developing countries (particularly the least developed countries) and countries with economies in transition had not fully participated in the work of the CAC or in setting food safety standards in general. It was assumed that the primary reason for this was budgetary constraint at the national level and, so, the FAO/WHO Project and Fund for Participation in Codex was launched on 14 February 2003 at the 25th (extraordinary) session of the Codex Alimentarius Commission. The Fund aims to provide US$40 million over a 12-year period to help developing countries and countries in transition to increase their participation in the vital work of the Commission7. The CAC currently has 174 member countries plus one member organization, i.e., the European Community. The Codex Trust Fund has the role of providing the resources to bring delegates from developing countries and countries with economies in transition to the discussion and negotiating table of the Codex Alimentarius Commission. Increased levels of participation, and more effective participation of developing countries in Codex are expected to enhance national capacities to develop and implement effective national food safety systems; an international system which better reflects the interests and addresses issues of developed and developing countries; and, create opportunities for developing countries to take advantage of international trade in food. As the Trust Fund is specifically aimed at helping developing countries and countries in transition, not all members of Codex are eligible to apply to the Fund (Annex 1). One key principle of the Codex Trust Fund is to provide more support to those Codex member countries that are less developed. Eligibility is reviewed annually and is based on the three official classifications produced within the United Nations system: the list of Least Developed Countries established by the United Nations Economic and Social Council, the World Bank classification of economies and the UNDP Human Development Index. New Codex members meeting the criteria for inclusion are immediately eligible. The increased and more effective participation of developing countries and those with economies in transition in Codex is expected to have three major benefits, namely:

1) better health outcomes in developing countries as a result of improved food safety systems;

2) protection of consumer health in countries that import food from developing countries when international standards for food exports and imports are adhered to; and,

3) higher levels of economic development in developing countries through enhanced opportunities for international trade as a result of implementation of international food safety standards.

The Codex Trust Fund has been in operation since March 2004. The outcome of increased participation in Codex by countries eligible for support from the Codex Trust Fund was first assessed in 2006 in a study (Krell, 2006) that focused primarily on national policy and activities related to food safety in eligible countries. Among its findings were the following:

7 http://www.who.int/foodsafety/codex/trustfund/en/index.html



4

• Active participation in Codex meetings helped to start national food safety activities;

• 31% of beneficiary countries had recently modernized their food safety legislation;

• There is a linkage between the health-related side of Codex Alimentarius Commission work and the ability of countries to respond to food safety crises;

• There is an improvement in the quality and quantity of Codex activities at country level following participation.

However, the study did not cover the role that Codex might play in assisting developing countries to benefit from opportunities in international trade in food. Therefore, the enquiry, which is the subject of this report, was commissioned to assess the outcomes of participation in Codex. This study was limited to countries eligible for support from the Codex Trust Fund during the period 2003-2007. The objectives of the study were:

• To explore the impact of increased participation in Codex on the ability of developing countries and countries with economies in transition to grasp international food trade opportunities;

• To analyze how the Codex Trust Fund might be enhanced to ensure that its activities strengthen national level organization and institutional change to increase trade opportunities and food safety.



5

Table 1

Codex Committees and Task Forces

Codex Alimentarius Commission Executive Committee of the Codex Alimentarius Commission [General Subject Committees] Codex Committee on General Principles Codex Committee on Food Additives Codex Committee on Contaminants in Foods Codex Committee on Pesticide Residues Codex Committee on Residues of Veterinary Drugs in Foods Codex Committee on Food Hygiene Codex Committee on Methods of Analysis and Sampling Codex Committee on Food Labelling Codex Committee on Food Import and Export Inspection and Certification Systems Codex Committee on Nutrition and Foods for Special Dietary Uses [Commodity Committees] Codex Committee on Milk and Milk Products Codex Committee on Fish and Fishery Products Codex Committee on Fats and Oils Codex Committee on Fresh Fruits and Vegetables Codex Committee on Processed Fruits and Vegetables Codex Committee on Sugars (adjourned sine die) Codex Committee on Cereals, Pulses and Legumes (adjourned sine die) Codex Committee on Natural Mineral Waters (adjourned sine die) Codex Committee on Meat Hygiene (adjourned sine die) Codex Committee on Vegetable Proteins (adjourned sine die) Codex Committee on Cocoa Products and Chocolate (adjourned sine die) [ad hoc Intergovernmental Task Forces] Ad Hoc Intergovernmental Task Force on Food Derived from Biotechnology Ad hoc Codex Intergovernmental Task Force on the Processing and Handling of Quick Frozen Foods Ad hoc Codex Intergovernmental Task Force on Antimicrobial Resistance [Regional Coordinating Committees] FAO/WHO Coordinating Committee for Africa FAO/WHO Coordinating Committee for Asia FAO/WHO Coordinating Committee for Europe FAO/WHO Coordinating Committee for Latin America and the Caribbean FAO/WHO Coordinating Committee for Near East FAO/WHO Coordinating Committee for North America and South West Pacific

List of Codex regions and countries [Annex 1]



6

3. METHODS OF ENQUIRY

3.1 TASKS The terms of reference (Annex 2) of the enquiry include the following main tasks.

i. Review the literature, including “grey” literature, particularly studies and reports commissioned by aid agencies.

ii. Document examples of policy and institutional change relative to food safety systems in developing countries and countries with economies in transition, particularly those enabling the application of international food standards and particularly if change is associated with the activities of the Codex Trust Fund.

iii. Conduct case studies, interviews and mini-workshop(s), to determine the impact of increased participation in Codex on the ability of developing countries and countries with economies in transition to grasp international trade opportunities in food.

iv. Assess the effects of the Codex Trust Fund on initiating food safety systems capable of upholding international standards vis-à-vis the potential for food export in developing countries and countries with economies in transition.

v. Assess the contribution of national food safety systems to enhanced opportunities for international food trade and how break-down in the food safety situation may adversely affect export opportunities.

vii. Make recommendations to enhance the Codex Trust Fund to ensure that its activities are translated into national level institutional and policy change that: enhance national food safety systems; increase food trade opportunities; protect and promote health in both developing (exporting) and developed (importing) countries.

The completion of these tasks was expected to result in two main outcomes:

• Improved understanding of how the Codex Trust Fund can be used by developing countries and countries with economies in transition in support of economic and organizational development;

• Recommendations on how the Codex Trust Fund could be strengthened further to enhance achievement of its objectives.

3.2 QUESTIONS The terms of reference (Annex 2) posed two very broad questions, namely:

“What are the linkages between increased participation in Codex and the ability of developing countries and countries with economies in transition to grasp international food trade opportunities?”

and,

“How might the Codex Trust Fund be leveraged to ensure that its activities strengthen national level organization and institutional change to increase trade opportunities and food safety?”



7

From these two questions and the tasks listed above arise a series of further questions, which include the following.

1. How do the objectives of the Codex Trust Fund relate to these questions?

2. What is the experience of implementation of the Codex Trust Fund?

3. What gaps and weaknesses exist in the administration of the project and fund?

4. What benefits have already accrued from the implementation of the project and fund for participation in Codex?

5. What effects has the Codex Trust Fund had on initiating food safety systems?

6. What is the contribution of national food safety systems to enhanced opportunities for international food trade?

7. How might a break-down in the food safety situation adversely affect export opportunities?

8. What opportunities are available to Codex Trust Fund partners to optimize impacts of the project and fund?

9. What further benefits of the Codex Trust Fund are foreseen?

3.3 APPROACH The Codex Trust Fund has a large number of stakeholders (Table 2). The approach to the enquiry reported herein sought to ascertain, through a phenomenological approach, indications of the benefits derived by those whose participation in the Codex meetings was supported by the Codex Trust Fund. Consequently, very broad questions were asked, which allowed participants in group discussions to express their views, instead of providing a series of detailed questions, which might have directed or restricted the outcome. Table 2: List of the main stakeholders in the Codex Trust Fund

___________________________________________________________

• Regulatory agencies and officials in beneficiary countries of Codex regions

• Members of the Codex Alimentarius Commission

• Food and Agriculture Organization of the United Nations

- Nutrition and Consumer Protection Division (AGN)

- FAO country representatives

• World Health Organization

- Department of Food Safety, Zoonoses and Foodborne Diseases (FOS)

- WHO country representatives

• Donors to the Codex Trust Fund

• Producers, processors, distributors and traders of food commodities

• Consumers in exporting and importing countries



8

3.4 ANALYTICAL FRAMEWORK The framework used to analyze data in this enquiry comprised four main elements.

i. A logical framework of the FAO/WHO Project and Fund for Enhanced Participation in Codex, based on the original project document (Table 5, section 4.1).

ii. A problem tree, constructed from the responses of 46 beneficiary countries to a questionnaire survey that was conducted in 2006 (Krell, 2006) (Fig. 2; section 4.2).

iii. A theoretical model of knowledge transfer related to Codex Trust Fund-supported participants in Codex meetings (Figures 3 and 4; section 4.3).

iv. A checklist of a food safety system (Tables 8 and 9; section 4.4).

3.5 DATA COLLECTION AND ACCESS TO INFORMATION Initially, information was retrieved from the internet and from documents and records (project reports, publications, including “grey” literature, studies and reports commissioned by aid agencies) at the Department of Food Safety, Zoonoses and Foodborne Diseases (FOS), WHO, Geneva. Data were collected through case studies, consultative meetings, interviews and discussions with the staff of the FOS, CAC Secretariat, national Codex Contact Points in four countries, and at a mini-workshop in each of the four countries visited, in order to determine the impact of increased participation in Codex on the ability of developing countries and countries with economies in transition to grasp international trade opportunities in food. To select countries for case studies a set of simple criteria was used (Table 4), with advice from the Codex Trust Fund Administrator to focus on least developed countries.

3.6 COMMENTS FROM DONORS ON A PRELIMINARY REPORT OF THE

ENQUIRY A preliminary report of the enquiry was presented to representatives of countries that are donors to the Codex Trust Fund at an informal meeting held on 5 April 2007 in Paris, in the course of the Codex Committee on General Principles. The comments and suggestions made (summarized in section 4.5) gave the valuable guidance to the enquiry. Subsequent discussions resulted in a decision to extend the study to allow time for specific proposals for the improved management of the Codex Trust Fund to be developed (Annex 2a).



9

Table 3: Major elements of a food safety system

Legislative framework

National legislation

State, regional, provincial and local regulations

International legal framework

Organizational structures

National forum, authority for food safety

Competent authorities with clearly defined roles and responsibilities

Accredited laboratories for testing foods and feedstuff

National Codex contact point

Codex technical working groups

Industry associations

Farmer (producer) associations

Regulatory functions

National policy on food safety

National food safety strategy

Risk assessments

Risk communication

Risk management

Emergency contingency plans

Inspection & enforcement

Laboratory testing

Certification

Capacities (Regulators, food industry & traders)

Skills development (i.e., appropriate training)

Information sharing practice

Organizational culture

See also “Strengthening national food control systems. Guidelines to assess capacity building needs.” Food and Agriculture Organization of the United Nations, Rome, 2006. Available at: ftp://ftp.fao.org/docrep/fao/009/a0601e/a0601e00.pdf.]



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Table 4 : Selection of countries for case studies of the impact of the Codex Trust Fund (2004-2006)

Countries’ compliance with selection criteria Criteria for selection

Rwanda Uganda Cambodia Viet Nam Costa Rica Peru Samoa Vanuatu

Codex Region (1)

Africa Africa Asia Asia Latin America/ Caribbean

Latin America/ Caribbean

South-West Pacific

South-West Pacific

Country development status (2)

1a 1a 1a 1b 3b 2 1a 1a

Response to the questionnaire survey of Codex Trust Fund participation (3)

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Existence of donor case studies (4)

Yes Yes No No Yes Yes No No

Level of participation (%) in Codex meetings prior to CTF project (5)

0

15

5

30

28

25

3

3

Notes: (1) Source: Weekly epidemiological record, Extract, No. 18, 30 April 2004, 79, 173-180 http://www.who.int/wer (2) see http://www.who.int/foodsafety/codex/country_en.pdf (3) Survey of national policy and activities related to food safety in countries eligible for the Codex Trust Fund, 2006. FAO/WHO (4) WTO Agreement on Agriculture: The Implementation Experience - Developing Country Case Studies (2003). http://www.fao.org/DOCREP/005/Y4632E/Y4632E00.HTM (accessed 22.02.2007) (5) Source: Weekly epidemiological record, Extract, No. 18, 30 April 2004, 79, 173-180 http://www.who.int/wer



11

4. FINDINGS

4.1 CODEX TRUST FUND AS A PROJECT

4.1.1 Overview Although this study was not a formal evaluation of the project, it posed questions of the type that would be included in a project evaluation. In looking at the Codex Trust Fund as a project, this part of the enquiry aimed first to clarify the framework of the enquiry and, second, to draw lessons from the implementation of the Codex Trust Fund, which might indicate options to enhance its impact. The project document for the “FAO/WHO Project and Fund for enhanced participation in Codex”8 states the project objectives, expected outcomes, outputs and activities, and describes procedures for its management. An assessment of the progress of the project can be made by comparing (a) its planned activities and expected outputs with (b) those that were achieved. In general, project management is greatly assisted by the use of a logical framework approach, which focuses activities on the achievement of specified outputs and, most usefully, assists project monitoring and evaluation. Consequently, the first step in this enquiry was the construction of a logical framework (Table 5), based on the project document of the Codex Trust Fund9. This was revised in discussion with individual representatives of the Codex Alimentarius Commission, the FAO's Food Quality and Standards Service, the WHO Department of Food Safety, Zoonoses and Foodborne Diseases (FOS) and the Codex Trust Fund Secretariat. The Project and Trust Fund is expected to contribute “to further the improvement of global public health and food security by promoting the provision of safer and more nutritious food and contributing to a reduction in foodborne disease.” Its key objective, or purpose, is “to help developing countries and those with economies in transition to enhance their level of effective participation in the development of global food safety and quality standards by the Codex Alimentarius Commission.” This key objective is to be attained through the achievement of three main outputs, or results, that can be summarized (for convenience) as

1. Widened participation in Codex;

2. Strengthened overall participation in Codex; and,

3. Enhanced scientific/technical participation in Codex.

At an overall conceptual level, it was expected that the Codex Trust Fund project would “strengthen the capacity of developing countries and countries with economies in transition to build strong and compatible food control systems through collegial exchanges, knowledge transfer and professional development through the CAC and its committees and task forces.”

8 Available at: http://www.who.int/foodsafety/codex/trustfund/en/index1.html 9 'Codex Trust Fund' is the commonly used working title of the "FAO/WHO Project and Fund for Enhanced Participation in Codex", see http/www.who.int/foodsafety/codex/en/



12

Table 5: Logical framework of the ‘Codex Trust Fund’ (CTF) project (prepared in February 2007, to assist an assessment of the fund’s impact,

and revised in June 2007 to include comments of donors and Consultative Group members)

Intervention Logic

(Objectives)

Objectively Verifiable Indicators

(OVIs)

Sources of Verification

Important Assumptions

Goal To further the improvement of global public health and food security by promoting the provision of safer and more nutritious food and contributing to a reduction in foodborne disease.

G1. Level of participation sustained at the

average levels achieved during PY10-12, in the 5 years after the closure of the CTF project.

G2. National food standards authorities

adopt new Codex standards for internationally traded commodities, where relevant, without undue delay.

G1. Post-project survey, linked to the evaluation of Objective 5 of the CAC Strategic Framework 2003-200710.

G2. Reports of studies commissioned by CAC (ref. Objective 6 of Strategic Framework)

Key objective To help developing countries and those with economies in transition (target countries of the CTF) to enhance their level of effective participation in the development of global food safety and quality standards by the Codex Alimentarius Commission (CAC).

P1. From PY9 and 12, at least 75% and

95%, respectively, of the 120 beneficiary countries of the CTF continue to send delegations to at least one meeting of the CAC annually.

P2. Between PY5 and PY12, new or

revised standards that are set by the CAC include some to which CTF target countries from every Codex region contributed.

P3. Each country that initiates the setting

of a new or updated Codex standard has the capacity to adopt that standard in accordance with the prevailing CAC Strategy on the availability of country-specific data to trading partners.

P4. By PY12, all CTF-beneficiary countries

have legislative and policy frameworks in place that support the application of Codex standards, and appropriate institutional structures and systems exist to implement them.

P1. Reports of the Codex Trust Fund Project database P2. Analyses of reports of Codex meetings and project documents; evaluation of Objective 5 of the CAC Strategic Framework 2003-2007 P3. Reports of national competent authorities and CAC evaluation report of Objective 6 of Strategic framework. P4. Reports of surveys commissioned by the CAC (Strategic Framework Objective 1), WHO (Strategic objective 9 of the WHO's Medium-Term Strategic Plan 2008-2013), the STDF or other parties

Beneficiary countries consistently nominate appropriately qualified, motivated expert delegates (responsible officers) to participate in meetings of the CAC. [Lists of participants/ reports of CTF database]

The political commitment exists in each country to allocate sufficient resources to sustain the effective participation of its national delegation in the work of the CAC. [STDF11 & Project reports]

Countries allocate sufficient resources (capital, human and material) to enable competent authorities to fulfil their mandates related to food safety. [Reports of STDF-sponsored research]

Sufficient expertise is available to assist revision of legislation and policy development and review. [Reports of STDF-sponsored research]

10 Codex Alimentarius Commission: Strategic Framework 2003-2007 (adopted by the 24

th Session of

the Codex Alimentarius Commission, July 2001). Expected to be superseded by the CAC Strategic Plan 2008-2013 (currently in draft form as ALINORM 06/29/3A)

11 Standards and Trade Development Facility, a joint initiative of the Food and Agriculture Organization, the World Organisation for Animal Health, the World Bank, the World Health Organization and the World Trade Organization.



13

Intervention Logic

(Objectives)


(OVIs)



Result 1 [Widened participation in Codex] Target countries have initiated and sustained a programme of participation in Commission meetings and in the work of those committees/task forces addressing issues of priority health and economic concern to them.

R1.1 The number of countries routinely

providing delegations to CAC sessions and to its committees/task forces, that address priority health and economic issues for their specific countries, will have increased year on year.

R1.1 Reports of CTF

database Analyses of reports of Codex meetings.

Countries maintain their commitment to work plans proposed in their applications for project support. [CTF project reports] National funding is available to enable countries to continue to fulfil their roles as CAC members. [CTF project reports]

Result 2 [Strengthened overall participation in Codex] Target countries12 are assisted to prepare effectively for and participate in the work of those Codex committees that address issues of priority health and economic relevance to them.

R2.1 The number of countries contributing

written comments in response to Codex circular letters related to the Codex standard setting process will have increased each year between PY5 and 12.

R2.2 Annually, from PY5, in each CTF/Codex region, the project has organized training workshops (in cooperation with STDF, wherever possible), as requested by member countries/regions, to support the development of standards required by the respective region.

R2.3 Annually from PY5, in close liaison with the STDF and other initiatives, the project has facilitated the provision of appropriate technical assistance in response to at least 60% of requests from eligible13 countries.

R2.4 Preceding each Codex meeting, the CTF has facilitated and supported brief meetings for the induction of new delegates from all beneficiary countries.

R2.5 During each Codex meeting, CTF facilitates ‘buddying’ and mentoring activities.

R2.6 FAO and WHO country representatives routinely participate as observers in meetings of National Codex Committees in an increasing number of beneficiary countries.

R2.7 The National Codex Contact Points of an increasing number of beneficiary countries communicate effectively with Codex secretariat annually from PY5.

R2.1 Analyses of reports of Codex meetings and evaluation reports related to Strategic Framework Objective 6. R2.2 Reports of CTF and STDF R2.3 Reports of CTF and STDF R2.4 Reports of Codex meetings and CTF database. R2.5 Reports and action plans of ‘buddies’ and mentees. R2.6 Minutes of NCCs R2.7 R2.1 Analyses of correspondence/ comments sent to Codex Secretariat related to Strategic Framework Objectives 4 and 5

When personnel change, effective succession planning in target countries ensures continuity of representation in Codex deliberations. [Reports of Codex Contact Points; minutes of National Codex Committees] Delegates from Codex member countries have access to the knowledge base and control systems that will emerge as a result of activities of the Project. [Reports of Codex Contact Points; minutes of National Codex Committees] Sufficient numbers of mentors and ‘senior buddies’ will be available to throughout the project life. [CTF reports] Country offices of the FAO and WHO have subject matter specialists in food safety. [Minutes of NCCs]

12 Target countries of this objective are those 'that are members of the CAC, that have as yet to routinely develop and put forth national

considerations in the Codex standard setting process'. 13 Eligibility could include the notion that a country should have funded the participation of at least some of its representatives to Codex

meetings, and compliance with the Codex Trust Fund’s reporting requirements.



14

Intervention Logic

(Objectives)


(OVIs)



Result 3 [Enhanced scientific/technical participation in Codex] The number of countries that are actively providing scientific/technical advice in support of the Codex standard setting process will have increased.

R3.1 Funding released on demand each

year to enable countries in each Codex region to develop useful data sets, and prepare papers for Codex consideration containing important information from beneficiary countries pertaining to the food standards setting process.

R3.2 Annually from PY6, increasing numbers of countries submit acceptable scientific data sets to JMPR, JECFA and JEMRA.

R3.3 CTF facilitates provision of support on request to enable scientists and delegates within each region to provide or receive appropriate technical assistance to prepare papers for consideration by Codex.

R3.4 Annually, from PY6, CTF and STDF joint initiatives enable increasing numbers of experts from increasingly more beneficiary countries to participate in standards setting research and in scientific bodies such as JMPR, JECFA and JEMRA.

R3.1 Project monitoring reports R3.2 Project monitoring and evaluation reports R3.3 Project monitoring and evaluation reports R3.4 Reports of CTF and STDF and evaluation reports of CAC Strategic Objective 5.

Availability in each country, throughout the project, of sufficiently capable, motivated individuals who are designated to collect data and prepare proposals. [CTF reports] National authorities establish effective succession planning to ensure retention of institutional knowledge of Codex procedures. [National Codex Contact Point reports] Commercially viable international and national trade opportunities drive demands for new standards. [STDF reports]

Preconditions Fundraising secures sufficient continued donor support. [CTF reports] Codex member countries are committed to a multi-sectoral approach to food safety and the setting of food standards. [Research reports commissioned by the STDF, its sponsors and other initiatives]

Legend related to Monitoring & Evaluation (OVIs and Assumptions)

Text Not highlighted: CTF Administrator to conduct M&E and provide reports

Text Possible role for STDF-sponsored actors to assist M&E and provide reports

Text CTF Administrator to engage interns or consultants to complete M&E reports

Text Responsibility for reporting rests with individuals in beneficiary countries who should provide information to CTF Administrator, as is currently done.

Text Advisory role of FAO and WHO country representatives (offices).



15

An evaluation of performance compared with the indicators included in the logical framework (Table 5) would point to the scope for improvements in project performance, orientation and the sustainability of its impact. In the absence of an established routine monitoring and evaluation (M&E) system for the Fund, the approach adopted in this enquiry entailed consultation with the Trust Fund management, and a relatively small number of actors at national level in four countries that have participated in Codex activities or whose activities in the food industry are regulated in accordance with standards set by the Codex Alimentarius Commission. After only 3 years of implementation of a 12 year project, it is too early to see impact at the goal level, on the basis of the indicators at that level (Table 5). The overall findings of this enquiry are discussed in the following sections where consideration is given to international trade in food commodities. For an evaluation of the impact of the project, it will be important to monitor the extent to which beneficiary countries of the Codex Trust Fund continue to send delegations to meetings of the CAC each year and the extent to which they engage in the standard setting process by, for example, providing written responses to the Codex circular letters on standards. These indicators are also relevant to the monitoring and evaluation of the CAC's strategic plan. Similarly, through routine monitoring, it would be possible to determine whether or not, in the latter half of the project life, new or revised standards that are set by the CAC include some that were initiated with the participation of Codex Trust Fund (CTF) target countries from every Codex region. Assessments could be made at regional meetings of the capacity of individual countries to adopt and routinely comply with the standard that they have helped to set, such that country-specific data are available to trading partners. As part of the assessment of capacity, the indicator proposed at the Purpose level (P4; Table 5) would demonstrate the number of CTF-beneficiary countries that have legislative and policy frameworks in place at the end of the project to support the application of Codex standards, and where appropriate institutional structures and systems exist to implement them. This information would provide valuable indications of the impact of the CAC strategic plan.

4.1.2 Project outputs (results)

Result 1: Increased participation The fund has enabled a greater level of participation by representatives from developing countries in meetings of the Codex Alimentarius Commission and its subsidiary bodies (Table 6). Figures of participation in Codex meetings show that, as a project, the Codex Trust Fund has achieved significant impact in line with the expected result (Result 1; Table 5). However, it is too early at this stage of the project to know if countries will be able to sustain their participation in Codex activities (i.e., in CAC sessions and its committees/task forces) that address priority health and economic issues for their specific countries. It is unlikely that small island developing states (SIDS) would sustain funding the routine participation of their national delegates in Codex meetings because of the proportional high cost to their national budgets. However, they could maintain participation in the standard setting process through the submission of written comments.



16

Table 6: Numbers of participants funded by the Codex Trust Fund to participate in Codex meetings

Year No. Participants No. countries No. Codex meetings

2004 74 61 14

2005 300 89 16

2006 111 80 18

2007* 133 79 10

Source: CTF Secretariat. [Note * - Figures for the period January to June 2007]

It could be expected that there would be active participation in Codex committees and task forces from ‘new’ (CTF-eligible) countries from PY4 onwards. An increasing trend in the numbers of experts from beneficiary countries who participate in the work of expert scientific bodies, i.e., Joint FAO/WHO Meetings on Pesticide Residues (JMPR), Joint FAO/WHO Meetings on Microbiological Risk Assessment (JEMRA), and Joint FAO/WHO Expert Committee on Food Additives (JECFA), would indicate the wider participation in the standard setting process.

Fig. 1 Who comes to Codex?

Countries present in CAC sessions

24 25 23 2225 26 28 26 28 24 22

26 26 25 25 24 24 27 26282426

31 29 30 313232

714 14 15 15

20

31

22

34 33 3640

2832 34

27

37

28

5043

69

59

72

58

94

58

86

75

0

10

20

30

40

50

60

70

80

90

100

1963

1965

1968

1970

1972

1976

1979

1983

1987

1991

1995

1999

2003

2005

CAC Session

Countries

Industrial

Developing

Source: CTF Secretariat.

Note: From the mid-1990s, the interest of developing countries in attending meetings of the CAC increased significantly. However, far smaller numbers of developing countries could send delegates to participate in meetings of Codex Committees.



17

There is a need to investigate and develop further means or tools to measure the real impact at Codex meetings of participation supported by the Trust Fund. Such impact assessment should consider all Codex work, including the technical work in the Committees, as well as potential working groups under the Committees. This consideration is linked to the outcome of Result 2.

Result 2: Strengthened participation The Codex Trust Fund is expected to strengthen overall participation in Codex (Result 2; Table 5) and the project should assist target countries to prepare effectively for and participate in the work of those Codex committees that address issues of priority health and economic relevance to them. In July 2006, the draft Maximum Level of 0.3 mg/kg for Lead in Fish was forwarded by the Codex Committee on Food Additives and Contaminants to the 29th session of the Codex Alimentarius Commission. The Philippines and Thailand had presented data to the Committee to support the argument for the adoption by Codex of a revised maximum level (Box 1). The degree to which this contribution was supported by the activities of the Codex Trust Fund cannot easily be ascertained but the event is consistent with the aim of one of the Codex Trust Fund’s expected results. Other similar examples would be expected as the project continues. During an interview, the Chairman of Viet Nam’s National Codex committee specifically requested the Codex Trust Fund to support training of the “national Codex Contact Point office.” This request is in line with the indicator (R2.2, Table 3) proposed for Result 2. The subject of technical assistance was raised during the group discussions (mini-workshop) in Cambodia, when it was mentioned that technical assistance to strengthen the national approach to food safety would be required over a long-term period, in order to provide continuity, steering and facilitation of change processes. If such assistance were to be provided, it was strongly believed that it should not substitute for national personnel who should retain full responsibility for Codex- and food safety-related work. It was evident from the discussions in all four countries visited (Cambodia, Rwanda, Uganda and Viet Nam) that participants recognized the benefit of contact and dialogue with their peers from countries in their region. The opportunity could be created to link such training and consultation to preparatory discussions on priority issues for the region. The means for the Codex Trust Fund to respond routinely to these requests has yet to be devised. Result 3: Increased scientific contributions to Codex Alimentarius An expected result of the FAO/WHO Project and Fund for Participation in Codex is that beneficiary countries will increase their scientific contributions to Codex Alimentarius. This output would logically and most probably be a sequel to increased and strengthened participation in the consultative process that constitutes the core of the Codex activities. In assuming this scenario, it is likely that those countries that make scientific contributions will have established the necessary food safety regulatory framework; the expertise and capacity to make contributions; and, would stand to gain significant economic benefits from doing so. The means to assess demands for support, and the capacity of a country or



18

countries to participate actively in making scientific contributions to Codex Alimentarius would require the Trust Fund Secretariat to work closely with scientific bodies such as Joint FAO/WHO Meetings on Pesticide Residues (JMPR), Joint FAO/WHO Meetings on Microbiological Risk Assessment (JEMRA), and Joint FAO/WHO Expert Committee on Food Additives (JECFA). There are signs that developing countries expect to participate in standard setting as exemplified by the statement of Viet Nam's National Codex Contact Point that Viet Nam would commence work on a Codex standard for fish sauce, possibly in collaboration with Thailand.

4.1.3 External factors affecting the project

Important Assumptions The important assumptions made for the implementation of the Codex Trust Fund are included in the logical framework (Table 5). The availability of expertise within a country is an important assumption, without which effective participation in the standard setting process cannot be achieved. Building up expertise is a lengthy and complex process that requires personal, professional and organizational development over a period of years. Therefore, the issue of continuity of participation in the standard setting process is fundamental. In the time available during this consultancy and in the absence of an operational database14 to manage data concerning participation in Codex meetings, it was not possible to analyze the consistency of participation in Codex meetings. Each country faces the challenge of who to nominate as a participant in a meeting. Should an approach be adopted to ‘expose’ as many people as possible to the ‘Codex process’? Is it more effective to send the same representative repeatedly to ensure continuity in the coverage of a topic? This subject was discussed in four countries and in all countries a combined approach had been adopted, since the two options are not mutually exclusive. To some consecutive meetings, a different individual had been sent whereas in other cases the same person had repeatedly participated in meetings of the same committee, to achieve continuity of representation. This consideration raises the issues of communication of information and knowledge and succession planning in government institutions, both of which are of fundamental importance to institutional memory and organizational capacity and are closely linked to a government’s ability and commitment to provide the necessary financial resource. The availability of sufficient expertise to support the implementation of mentoring and buddying or peer support scheme, if it is to be undertaken by the Codex Trust Fund (section 6.2 and Annex 4) is an important assumption that has to be monitored.

14 One important outcome of the donor meeting in April 2007 was the decision to develop a database for Codex Trust Fund, which is due to be completed by the end of June 2007.



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Box 1

INDUSTRIAL AND ENVIRONMENTAL CONTAMINANTS IN FOODS (AGENDA ITEM 14)

DRAFT MAXIMUM LEVEL FOR LEAD IN FISH (Agenda Item 14a)59

146. The Committee recalled that at its 37th Session it had agreed to retain the draft Maximum Level of 0.2 mg/kg for lead in fish at Step 7 and to decide the level at the current session, based on the information contained in a discussion paper, prepared by an electronic Working Group, that would compile the information necessary to develop an appropriate Maximum Level60.

147. The Delegation of the Philippines briefly introduced the discussion paper and highlighted that: i) analytical data on lead in fish had shown that most fish species could achieve a Maximum Level of 0.2 mg/kg but some other species required higher Maximum Levels of 0.4-0.5; ii) JECFA had conducted a quantitative risk assessment focusing specifically on infants and children and had concluded that the levels of lead found currently in foods would have negligible effects on the neurobehavioral development of infants and children; iii) changes of the Maximum Level from 0.2 mg/kg to 0.5mg/kg would have little effect on health; iv) trade problems at a Maximum Level of 0.2 mg/kg had occurred and a potential ”violative rate” 7% for fish in trade had been estimated using the WHO GEMS/Food data base on lead levels in fish; and v) unless an investment was made in expensive equipment, lead was difficult to analyse accurately at a level of 0.2 mg/kg.

148. Concern was expressed that blood lead levels were near or at observed adverse effect level in certain vulnerable group, including some children and a level higher than 0.2 mg/kg in certain fish species might result in adverse health effects in such a group. It was also pointed out that analysis of lead in fish at a 0.2 mg/kg level could be carried out by using AOAC validated methods which could also be used by developing countries and that current sampling data indicated less than 1% exceeded 0.2 mg/kg, therefore this Maximum Level was feasible.

149. Other delegations, expressed their concern that a Maximum Level of 0.2 mg/kg in fish might exclude certain fish species from trade and stressed their difficulties to reach the limit of quantification required by this Maximum Level in routine laboratories and proposed establishment of a higher level for certain fish species.

150. As a way to make some progress, the suggestion was made to focus discussion on fish species which have impact on international food trade and to identify the circumstances that result in these species reaching and exceeding the proposed level of 0.2 mg/kg.

151. In response to a suggestion that the Committee might consider application of Maximum Level of 0.2 mg/kg to all fish, in combination with consumer advice for consumption of fish which could not meet 0.2 mg/kg, the JECFA Secretariat clarified that the major contributor of lead exposure was not fish and, therefore, it would not be appropriate to treat this issue in the same manner applied to other contaminants where fish is the main source of exposure contributor , such as methylmercury.

152. The Committee recalled that discussion on this matter had been in the agenda of the Committee for several years and that several options had been examined, including attempts to identify and classify various categories of species to which separate Maximum Levels could be assigned. The Committee considered a proposal of the Philippines of a Maximum Level of 0.3 mg/kg as a way to make progress in this work. In view of the JECFA evaluation, it agreed to put forward a draft Maximum Level of 0.3 mg/kg in fish. The Delegations of the European Community and the United States made reservations to this decision.

Status of the draft Maximum Level for Lead in Fish

153. The Committee agreed to forward the draft Maximum Level of 0.3 mg/kg for Lead in Fish to the 29th Session of the Codex Alimentarius Commission for adoption at Step 8 (see Appendix XXIV). 59 ALINORM 05/28/12, App. XXIII; CX/FAC 06/38/28 (Discussion paper on Maximum Level for Lead in Fish); CRD 11 (Comments of Indonesia); CRD 19 (Comments of European Community and Philippines). 60 ALINORM 05/28/12, paras 156-157. [Available at: http://www.codexalimentarius.net/download/report/657/al29_12e.pdf; accessed 02/03/2007]



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Preconditions For the successful implementation of the project, two preconditions have to be fulfilled. First, fundraising should secure sufficient continued donor support, which, for the first three years of the project has been achieved (Table 7). The total level of funding required for the Codex Trust Fund is estimated at US$40 million over 12 years. By 31 December 2006, eleven donors had contributed a total of US$ 4 126 764 to the FAO/WHO Codex Trust Fund (Table 7). The second main precondition is that Codex member countries are committed to a multi-sectoral approach to food safety and the setting of food standards. A useful indicator of compliance with this precondition would be provided by the outcome of monitoring the performance of the national Codex committee which has been established in many countries. In Cambodia, it was reported that the national Codex Committee is weak and that the adoption of a multi-sectoral or multi-disciplinary approach was not as effective as necessary. In Viet Nam, the national Codex committee was well established and a ‘farm to fork’ approach was being adopted. However, the chairman of Viet Nam’s national Codex committee requested assistance in training the staff of the national Codex Contact Point. In Uganda, the consultant attended the 33rd meeting of the national Codex Committee and witnessed lively discussion of a range of issues on food safety, including the proposal to institute a National Food and Drug Authority. However, in Rwanda, the national Codex Committee, although constituted had no legal basis at the time of this enquiry. Against this background, the impact of he Codex Trust Fund could be expected to be variable.

Table 7: Contributors to the FAO/WHO Codex Trust Fund (Situation as at 31 December, 2006.)

Donor Amount received in US$

Australia 27,906

Canada 523,306

European Community 944,656

Finland 58,824

Germany 116,250

Ireland 100,612

Japan 80,000

Norway 400,000

Netherlands 200,000

New Zealand 68,810

Sweden 1,079,243

Switzerland 55,971

United States 471,186

Total contributions in US$ 4,126,764



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Figure 2: Problem analysis of food safety issues in countries that have received support from the Codex Trust Fund (based on an analysis of the responses of 46 countries in a questionnaire survey, June 2006)

Increased national public health risks

Loss of opportunities to access export markets

Substandard food products from industry and producers

Food production sector lacks awareness of food

safety issues

Lack of infrastructure (Control systems, laboratory

facilities) and personnel

Lack of skilled personnel in food safety

Unharmonized enforcement of controls & standards

Lack of education & information

Lack of suitable training courses

Lack of demand for training

Lack of appropriate (i.e., outdated) legislation/

regulation, enforcement (administration)

Lack of financial resources, budgetary

allocation

Decision-makers lack commitment to food safety

Inadequate national policy on food safety

Lack of knowledge, expertise &

guidelines in Codex

General lack of awareness of the importance of food

safety

Inadequate national budget

Lack of co-ordination between

administrations, institutions, ministries

Lack of reliable information &

information sharing

Unsupportive career structure

Lack of qualified trainers

Lack of emergency response & product recall



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Figure 3 : A model of knowledge transfer through participation in the work of the Codex Alimentarius Commission, indicating the four main elements of the experiential learning cycle (after Kolb, 1984)

Participation in Codex meetings

Increased personal knowledge of

participating individuals

Increased institutional knowledge within the

country delegation 'group'

Meetings of national CAC delegate group to

discuss Codex work and plan follow-up actions

National food safety authority or committee

Development of national position

papers and proposals

Individual ministries or departments

Codex and scientific

literature

High probability Uncertain linkages

Concrete experience

Observation & Reflection

Forming new concepts

Testing new thinking



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Figure 4 : A model of knowledge transfer through participation in the work of the Codex Alimentarius Commission, indicating the four main elements of the knowledge creation (after Nonaka, Konno and Toyama, 2001)

Participation in Codex meetings

Increased personal knowledge of

participating individuals

Increased institutional knowledge within the

country delegation 'group'

Meetings of national CAC delegate group to

discuss Codex work and plan follow-up actions

National food safety authority or committee

Development of national position

papers and proposals

Individual ministries



Individual ministries or departments

Codex and scientific

literature

High probability Uncertain linkages

Combination

Internalization

Socialization

Externalization

Tacit-Tacit

Tacit-Explicit

Explicit-Explicit

Explicit-Tacit



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4.2 PROBLEM ANALYSIS To assess the orientation of the project, a ‘problem tree’ (Fig. 2) was constructed based on the problems reported in the responses to the questionnaire survey15 conducted in May 2006, two years after the launch of the Trust Fund. It uses the core problem that several respondents identified, namely the continued availability on the market of “Substandard food products from industry and producers.” The problem tree establishes cause-and-effect relationships and, although there is significant complexity and interaction between the numerous causal factors, there are well recognized fundamental problems, the remedies to some of which are encompassed by the objectives of the Codex Trust Fund. For example, the Codex Trust Fund seeks to provide reliable information on Codex standards; promote information sharing; enhance awareness of the importance of food safety; and, enhance knowledge and expertise in Codex-related matters. Evidence to support the problem analysis was obtained at consultative meetings held during country visits when participants provided their views of the constraints on the implementation of the Codex Trust Fund, in response to the broad question: What has not gone well? (section 4.3.2 and Annex 3)

4.3 CODEX TRUST FUND-SUPPORTED TRANSFER OF KNOWLEDGE

4.3.1 Theory and practice Among its stated aims the Codex Trust Fund is to promote collegial exchanges and knowledge transfer concerning standard setting for improved food safety. Initially, this is to be achieved through increasing participation in Codex meetings (Result 1). To structure this enquiry, a model was developed to illustrate probable pathways of information flow, in line with the Kolb (1984) experiential learning cycle (Figure 2) and with the knowledge creation (or conversion) model of Nonaka, Konno and Toyama, (2001) (Figure 3). Knowledge creation refers to the mobilization of information, its integration with current understanding and knowledge, and the effective sharing of the new or emergent knowledge throughout an organization through processes of socialization and externalization. For the individual, the acquisition of new knowledge is simply referred to as ‘learning’. The key ingredient to knowledge creation is 'communication', the effectiveness of which is largely dependent on organizational culture. � Combination of explicit knowledge: This phase of knowledge transfer can be

relatively easily achieved when people attend meetings and conferences or access information from libraries or the internet. Interviews conducted with people who had participated in Codex meetings confirmed that they valued the opportunity to ‘learn’ from such events, which provided - in the words of one participant - “A highly practical ‘school’ to learn, especially from other countries” (Annex 3). The ability to combine new, explicit knowledge requires an initial understanding of the specific subject matter, which not all participants in Codex meetings have had before attending the meetings (sections 4.3.2 and 4.3.3).

15 “Survey of national policy and activities related to food safety in countries eligible for the Codex Trust Fund World Health

Organization; Food and Agriculture Organization of the United Nations, Geneva, 2006. Department of Food Safety, Zoonoses and Foodborne Diseases, World Health Organization. [http://www.who.int/foodsafety/codex/Survey_Trustfund.pdf’; accessed 22/03/07]



25

� Internalization of knowledge: This refers to the transfer of explicit knowledge

(e.g., information contained in a report) into a tacit understanding of its meaning and relevance, and deducing new ideas or taking constructive action. Statements from people interviewed (section 4.3.2) confirmed that they valued greatly the quality of information that they acquired at Codex meetings since this was the sole authoritative source of some reports: these were not available elsewhere and were needed to support the respondents' Codex-related work in the beneficiary country.

� Socialization of knowledge: This refers to the use of tacit knowledge in

everyday settings, which takes place between people in meetings or in team discussions. It often entails the use of jargon or reference to concepts that are sufficiently well understood and have common meaning so that on an every day basis people do not have to redefine and make explicit the terms that they use or the concepts to which they refer. From interviews (section 4.3.2), it appeared that in Cambodia, Rwanda and Viet Nam the relatively few Codex meetings that have occurred had not, in the author's opinion, permitted sufficiently systematic exchange of information to become established. Almost certainly, new technical language (terminology) and concepts have not become ‘part of the conversation’ within or between institutions in these countries. The situation was different in Uganda where the National Codex Committee was well established and routinely operational. Of great significance, in Uganda, the costs of the committee's meetings are met from a specific national budget line.

� Externalization: This phase of knowledge transfer refers to the articulation and

explicit communication of tacitly held understanding through dialogue, (e.g., critical debate), which could be expected to occur during preparatory meetings that precede national delegates’ participation in Codex meetings. There was evidence (section 4.3.2) that this part of the 'standard setting process' was generally poorly developed, which means that prospective participants in Codex meetings have little support - and sometimes too little time because of late notification of their nomination as a participant - to be able to prepare themselves or a country position paper in order to participate in the discussions at the meeting (section 4.3.3). In contrast, the more established food safety systems of Costa Rica and Peru have a systematic approach to the preparation of their country papers (section 4.3.3).

This theoretical framework (simplified in Figure 5) was applied in the analysis of the findings of the next section of the report. It also provides the framework for the proposals made to enhance the impact of the Codex Trust Fund (section 6).



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Fig. 5 : A framework to analyze the experience of beneficiary countries whose delegates' participation in Codex meeting was supported by the Codex Trust Fund, related to transfer of knowledge about Codex to national regulatory and food safety systems

Participation in Codex

meetings

"Combination of knowledge"

Debriefing after Codex meetings

"Internalization of knowledge"

National regulatory & food safety system

"Socialization of knowledge"

Preparatory Codex meetings in-country

"Externalization of knowledge"

Positive experience Negative experience






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4.3.2 Findings from country visits Introduction The participants in group discussions answered three broad questions about the progress of the Codex Trust Fund and recorded their responses on cards, which were then displayed during the meeting and discussed in detail before being recorded for this report (Annex 3, and Plates 1-5). Positive aspects of the Codex Trust Fund

• Codex meetings Generally, the Codex Trust Fund was perceived to have provided positive experience. Respondents in all countries acknowledged the value of the opportunities created by participation in Codex meetings. The experience of such participation provided broad exposure on the organization of meetings; the procedural nature of Codex; and, had highlighted the importance of scientific evidence in international deliberations. Respondents recognized the value of networking and having access to authentic information that would otherwise not have been available to them. The sharing of information had enhanced the personal knowledge of participants on specific subjects, such as food additives and contaminants, and participation in Codex meetings had also been effective in introducing to them and to their institutions new concepts and approaches to food safety.

• National food safety systems More broadly, the very existence of the Codex Trust Fund was seen to be supportive of national efforts to promote food safety and Codex-related activities: it had raised the profile of Codex in general and had positive impact on initiating regulatory activities related to food production. It was also stated that participation in Codex meetings had influenced the development of a vision and strategy for food safety, particularly by promoting multi-sectoral collaboration in some countries.

Negative aspects of the Codex Trust Fund

• Codex meetings Respondents identified weaknesses and gaps in several aspects of the Codex Trust Fund. These ranged from administrative delays in completing procedures for nomination, clearance and travel authorizations for country delegates for whose participation the Trust Fund paid; communication problems related to travel arrangements; and, the limited number of opportunities available to individual countries to participate in Codex meetings, both in terms of the small number of people that the fund could support and the limited range of technical meetings in which their participation could be sponsored.

• Debriefing after Codex meetings In each country, interviewees drew attention to the need to improve the sharing of information in-country after each Codex meeting. The practice of information sharing was not firmly established in most countries and the representatives of the FAO and WHO expressed their wish to promote information sharing and a multi-sectoral approach to food safety.

• National regulatory & food safety system Overall, the combined effect of the general public’s lack of awareness of the importance of food safety, the lack of understanding of the subject on the part



28

political leaders, the general lack of expertise in food safety, the lack of budgetary allocation to promote food safety, and the weak inter-sectoral links in each country continued to seriously undermine the impact of the Codex Trust Fund at the broader national level. These points are also captured in the problem tree (Fig. 2). In the four countries visited, the national Codex committees had been created in recent years and in one of the four countries had no legal status. Several of the people who participated in group discussions with the consultant lacked a clear understanding of the aims and scope of the Codex Trust Fund. In such environments, it seems unrealistic to expect that food safety initiatives to boost international trade would be launched as a consequence of Trust Fund-sponsored participation in Codex meetings. Although it is an important objective of the Codex Trust Fund to assist the generation of scientific data to support the development of new Codex standards, there was a widespread view that there had been negligible progress in this area. A number of respondents mentioned the lack of support from the Codex Trust Fund for the development of national food control systems or national position papers, although other initiatives had made valuable contributions to such developments (e.g., the FAO in Cambodia, Viet Nam and Uganda; and Swedish International Development Agency [Sida] and UNIDO in Uganda).

• Preparatory meetings Of great significance, a number of respondents mentioned the weak knowledge base of some participants related to food safety, risk analysis and specific technical issues, which limited the effectiveness of their participation in meetings. This highlights the need for careful selection of candidates to ensure that they are able to benefit from and contribute effectively to the work of Codex. This weakness has presented individuals with considerable personal challenges, particularly in grasping concepts related to technologies of which they had little or no prior knowledge. These circumstances would lead to passive participation, which is not consistent with the aim of the project, which is to promote the transfer of knowledge. The lack of continuity of participation was recognized as a constraint to the development of institutional memory and critical mass, which are important aspects of capacity building.

Interestingly, interviewees reported no negative observations on the Codex meetings themselves.



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Consultative meetings in Viet Nam, Cambodia, Uganda and Rwanda (March and April 2007)

Plate 1: Consultative meeting at the National Codex Contact Point office, Hanoi, Viet Nam

Plate 2: Consultative meeting at the Office of Camcontrol, Phnom Penh, Cambodia

Plate 3: Consultative meeting at the Offices of Uganda National Bureau of Standards, Kampala, Uganda



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Plate 4: Consultative meeting at the Offices of Rwanda Bureau of Standards, Kigali, Rwanda

Plate 5: Capturing data from cards completed by meeting participants (see Annex 3)

Plate 6: An indication of high level political support for the adoption of international standards



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Plate 7: Packed tea – a valuable commodity but pesticides residues limit its export market

Plate 8: Peanuts: whole nuts, flour and oil on sale in a local market - aflatoxin assays are not available for routine use



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Proposals to improve the impact of the Codex Trust Fund Numerous suggestions were made to improve the impact of the Codex Trust Fund.

• Codex meetings It was unanimously agreed that the fund should be continued, preferably to provide more funding for more people to participate in more meetings as an obvious (but probably unrealistic) way to achieve greater impact. There was a general expectation that the administration of the Codex Trust Fund should be improved in order to reduce delays, increase the allocation of funding and provide early confirmation of the precise meetings in which participation would be supported.

• Debriefing after Codex meetings

There were numerous references to the need for the allocation of more funding for in-country activities, such as the development of systematic reporting and information sharing by Trust Fund-supported participants after Codex meetings.

• National regulatory & food safety system Suggestions to improve national food safety systems included:

� The provision of support for translation of key documents into local national languages

� Support for more training courses (in food safety, HACCP, and risk analysis)

� The provision of support and training to strengthen national Codex Contact Points

� Support to establish national Codex committees including lobbying to obtain institutional recognition of national Codex committees

� Promotion of ‘south-south’ and regional cooperation programmes

� Promotion of awareness of the importance of food safety and international standards at national level, particularly among political leaders

� The Codex Trust Fund and country representatives of the FAO and WHO should catalyze development related to food safety

� Support for the generation of local (national) scientific data The need, in the longer term, to develop sustainable mechanisms to support the work of Codex was mentioned, to which notion is linked the need (not raised during the meetings) for the Codex Trust Fund to develop an exit strategy that would ensure the sustainability of its contributions to enhanced participation in the work of Codex.

• Preparatory meetings

There was reference to the need for participants to prepare themselves before Codex meetings, and several participants emphasized their preference for reading scientific publications to gain the necessary knowledge. It was proposed that the dissemination of information about Codex matters could be improved.

Discussion Through increasing the participation of previously non-participating countries, the Codex Trust Fund has created opportunities for national delegates to gain exposure to processes supported by the Codex Alimentarius Commission (CAC) and has provided information related to the CAC’s activities and decisions. In other words, opportunities have been created for experiential learning, which has been supported



33

during the meetings and events through situated and social learning, all of which can be expected (overall) to have increased the knowledge of individuals. Strong qualitative evidence was available during group discussions that individuals have valued the contribution that their participation in Codex meetings has made to their personal knowledge of international (Codex) standards, the standard setting process and food safety. However, the extent of organizational or institutional learning is less clear. Evidence was collected to indicate that - with the possible notable exception of Uganda (among the four countries visited) - there has been quite insufficient emphasis on the promotion of information exchange and sharing knowledge within and between national institutions that have responsibilities for food safety. It appears that there have been insufficient active attempts to promote effective communication and that the project has not emphasized the induction of staff into national Codex Contact Points, many of which are 'personalized' rather than being 'institutionalized'. This has meant that when the interested contact person (individual) has left the post (having been transferred, promoted or having died - as happened in one country), the national Codex Contact Point has not functioned, i.e., the country's contact point is not contactable. The importance of participants’ learning styles cannot be overlooked. In group discussions in Cambodia and Viet Nam, there were indications that a lack of fluency in the English language made it difficult for some individuals to understand questions and discussions related to technical subjects. Therefore, they preferred written material as a channel of communication and learning. The Chairman of Viet Nam’s National Codex Committee made a specific request for English language training for some members of Codex technical groups. In Uganda, some people expressed a preference for reading as a means to prepare themselves to attend a Codex meeting. In Rwanda, there was a specific request for external facilitation to catalyze the emergence of a functional food safety system and foster knowledge sharing between institutions.

4.3.3 Findings from country reports Introduction Countries receiving support from the Codex Trust Fund are required to provide a report to the Trust Fund administrator, including information on the activities of participants before, during and after each Codex meeting. As part of this enquiry, the reports submitted by four countries, Costa Rica and Peru (in the Latin America & Caribbean region) and Samoa and Vanuatu (South-West Pacific region) were examined. Some salient observations on the four main stages of knowledge transfer are presented below.

• Codex meetings The four countries (Costa Rica, Peru, Samoa and Vanuatu) confirmed that the lack of funds was a major constraint that prevented their participation in Codex meetings before the Codex Trust Fund was established, and all expressed their appreciation of the benefits derived from their participation in meetings. Country reports stated that representatives needed time to acclimatize to the procedural style of Codex meetings

"… at that time [of participation in the first meeting] we16 were still in the process of understanding Codex procedures hence we felt we were not fully equipped to participate fully. However, we intend to play a more effective role next year."

16 Report for 2004-2005 submitted by Vanuatu to the Codex Trust Fund Administrator (on file).



34

which echoed participants' statements in the meetings held during country visits (section 4.3.2) and attests to passive participation by at least some individuals. Despite this impediment, positive results of participation were reported17

"The meeting enabled the representative to gain first hand knowledge of procedures and proper protocols applied in Codex forums and also provided the opportunity to make first hand contact and exchanges with personnel from Codex and other countries with whom we deal on a regular and on-going basis on Codex issues. Many of these contacts were useful in the preparation leading up to the 8

th CCNASWP

meeting in Samoa."

• Debriefing after Codex meetings

After participating in the meeting referred to above, the Samoa representative reported that he briefed the members of the Samoa National Codex Committee (SNCC), all of whom were present at the first meeting after the delegate returned from the Codex meeting.

"Participation resulted in SNCC members gaining a clearer understanding of the importance of collaborative consultation. Members understood also the importance of written comments as well as their physical representation on Committee meetings and priority assigned to food safety issues and their implication on trade. More discussions are now focused on developing food legislations and standards."

Costa Rica's delegates are obliged to report back to their respective technical committees after participating in each Codex meeting. Peru is an active member of the working groups on table grapes and avocado pears, and her delegates participate in the development of the reports of the Codex meetings.

• National regulatory & food safety system In Peru, the legislative framework was progressively developed between 1992 and 2000, as the Government established provisions to support the development and application of standards (Resol.Nº0072-2000 /INDECOPI- CRT Reglamento para la Elaboración y Aprobación de Normas Técnicas Peruanas y el Reglamento de Comités técnicos de Normalización 29.11.2000). In 2006, lack of food safety trained professional staff was reported as a constraint in the application of the legislation and policy (Krell, 2006). In Costa Rica, the national Technical Secretariat, Codex Contact Point was formally established in 2002, and the National Codex Committee in 2003, through the enactment of a law on National Quality System (no. 8279). However, human and financial resources reportedly continued to limit the committee's work and weak coordination between the various food safety institutions has been reportedly problematical. It appears that with the start of the Codex Trust Fund's activities, Samoa and Vanuatu acted promptly to establish their national Codex committees and address the issue of developing national food safety policies. The concomitant lack of trained food safety regulatory staff was reported as another major obstacle.

• Preparatory meetings

The report of Vanuatu for the year 2004-2005, indicates that it is the participant's responsibility to prepare himself/herself to participate in Codex meetings, in consultation with the national codex Committee. The report for 2003-2004 stated

"Preparations for the Codex Alimentarius Commission meeting however was poor in that the nominated delegate was notified of the country's participation one week prior to the start of the meeting."

17 Report for 2003-2004 submitted by Samoa to the Codex Trust Fund Administrator (on file).



35

The report proposes

"Sufficient time should also be made to notify the country of pending matters in order to assess meeting document [sic] and draw up country positions."

Serious administrative and logistical difficulties were experienced by Samoa in its preparation for the Codex Committee for General Principles (CCGP) in April 2007, which would have adversely affected preparations for participation in the discussions although, as it transpired (see section 4.4.1 a), the Samoa delegate made a constructive intervention at this meeting. With its established system, Costa Rica adopts a methodical approach to preparations for its participation in meetings. Documents that the National Codex Contact Point receives from CAC are sent to the appropriate national technical committee for its scrutiny: extraordinary meetings may be convened to share views and obtain contributions to a national position paper. The intervention made by Costa Rica in the 28th session of CAC testifies to the effectiveness of this approach. Peru reports a similar, well-established approach to its preparations, which are strengthened by its participation in working groups.

Countries have also reported a perceived need to work further on regional collaborative efforts supported by the CTF. Such efforts could be focused on training, but could also be focused on preparatory processes before Codex meetings as well as follow-up activities after Codex meetings. Some countries reported positively on their experience of the promotion of a rotation in the participation of relevant ministries/authorities in Codex meetings. Such rotational arrangements, however, can only work with the support of efficient and functional national Codex committees and Codex Contact Points. These arrangements contribute significantly to building general awareness of the importance of food safety and Codex standards within national authorities, and support practical inter-sectoral collaboration. A suggestion was made for countries to enhance the sustainability of their participation in Codex activities by ensuring the availability of funding at the national level. In practice, this could include raising funds at the national level from various sources - not only government - to ensure sustainability also after the sun-set of CTF support in countries. Discussion From the country reports on file at the Trust Fund Secretariat, there is clear evidence that the Codex Trust Fund has successfully supported wider participation in Codex meetings (Result 1 of the logical framework - Table 5). The second expected output of the project is that it will strengthen participation, which appears to have started to happen. Vanuatu reported that its participation in Codex meetings enabled it to contribute to discussions on a Codex standard for cassava and that its participation has been followed by tangible impact on food safety at national level through the National Codex Committee and its three sub-committees, which were subsequently established. The Codex Trust Fund's support enabled Costa Rica's representative to intervene during the 28th session of the Codex Alimentarius Commission in discussions related to the Codex Standard for Sweet Cassava (Box 2), which is economically important to Costa Rican producers.



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In Costa Rica, the agri-food sector is an important employer and generates significant export earnings (Kopper, 2002) and in response to demands from food safety agencies in the United States of America, Costa Rica’s main export market, the government and the country’s large-scale export-oriented industries have worked to ensure compliance with new, stricter standards on fresh produce. The complementary role and contribution of the Codex Trust Fund should be viewed in this context. The country reports record the valuable role of the FAO and WHO country representatives. In Costa Rica, Samoa, and Vanuatu, FAO and WHO have participated in and provided active support to meetings of the national Codex committees; they have also organized training courses, and provided information through their publications (e.g., Infosan). Between 2003 and 2004, the FAO project TCP/RLA/2904 "Fortalecimiento De La Gestión De Los Comités Nacionales Del Codex Alimentarius En Los Países Andinos" undertook a range of activities to strengthen national Codex committees in Bolivia, Colombia, Ecuador, Perú and Venezuela. The Codex Trust Fund has provided highly relevant and timely complementary support to this initiative. It has enabled 33 participants from these five countries to gain experience of and knowledge from Codex meetings. The Codex Trust Fund also complements a similar FAO regional project18 that aims to promote food safety and reduce foodborne disease in Cambodia, Lao PDR and Viet Nam. Box 2

Fresh Fruits and Vegetables Proposed draft revision to the Standard for Sweet Cassava

(Excerpt)

"99. The Commission noted the request of the Committee on Fresh Fruits and Vegetables to revise the Standard for Sweet Cassava - Section 1 Definition of produce and Section 3 - Provisions concerning sizing including consequential amendments to relevant sections of the Standard derived from the revisions to sections 1 and 3 to accommodate other varieties of cassava fit for human consumption. 100. The Commission noted divergent views on how to proceed with the standardization of varieties of cassava other than those covered by the Standard. The Delegation of Costa Rica, supported by a number of delegations, expressed concern that the inclusion of bitter varieties of cassava might have major implications to the provisions for the varieties of cassava presently covered by the Standard. These delegations further noted that the coexistence of both produce used for different purposes in the same Standard might create confusion. Some delegations noted that health concern associated with the level of hydrogen cyanide in bitter varieties should be taken into account when considering the standardization of these varieties. The Delegation of Nigeria

19 and other delegations supported Codex work on bitter varieties of

cassava in order to avoid or reduce technical barriers to trade." Source: JOINT FAO/WHO FOOD STANDARDS PROGRAMME - CODEX ALIMENTARIUS COMMISSION, Report of the Twenty-eighth Session, FAO Headquarters, Rome, Italy, 4 – 9 July 2005. ALINORM 05/28/41

There was no evidence from country reports that the Codex Trust Fund has started to achieve the third result, namely 'enhanced scientific/technical participation in Codex' (Table 5; Result 3). It should be noted, however, that Peru is an active participant in Codex working groups.

18 Project GCP /RAS/207/NZE Improving Food Safety and its Management in Cambodia, Lao PDR and Viet Nam 2005-2008, funded by New Zealand. 19 The Codex Trust Fund supported the participation of one of the members of the Delegation of Nigeria to this meeting.



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4.4 CODEX TRUST FUND AND FOOD TRADE INITIATIVES

4.4.1 Linkage of the Codex Trust Fund to international trade This section of the report considers the possible linkage between the Codex Trust Fund and international food trade (Tables 8 and 9). Trade opportunities There are enormous opportunities for international trade in food commodities, which have the potential to contribute to economic growth and poverty reduction in developing countries. For example, in parts of south east Asia, international trade in food is well established. In Viet Nam, for example, exports of agricultural goods, fisheries and food products are an important source of foreign exchange. In 1999, 40 percent of Vietnamese food production was sold on the external market. Viet Nam is the second largest exporter of rice in the world and exports approximately 3.5 to 4.5 million tones of rice annually, valued at US$600 million to US$1 billion20. Other food exports include coffee, cashew nuts, black pepper, tea and fisheries products. In Cambodia, rice exports to international markets are worth around US$40 million annually and potential exists to expand exports of primary produce, fisheries products and value-added products such as soy sauce and chilli sauce. The fisheries sector alone produces 400 000 tonnes per year and exports some 50 000 tonnes of preserved fish, squid and shrimp. In addition, food trade between countries within the region is also significant. Who trades? To state the obvious, countries do not trade: traders do. In established markets, suppliers have identified opportunities to sell their products and they attempt to meet demands in a manner that maximizes the profitability of their enterprise. Traditional markets for food commodities provide opportunities for those traders that are able to compete successfully by maintaining a reliable supply of product of the correct price, quality and quantity. To these criteria has been added the overwhelming need for compliance with sanitary and phytosanitary (SPS) standards. Linkages with Codex Trust Fund The linkage between the Codex Trust Fund and food trade is clear and logical (Table 8), although somewhat tenuous. Conceptually, the linkage between the two is strong: improved uptake of Codex standards, as an outcome of the Codex Trust Fund project, should enable exporters in more countries to trade internationally. In terms of the outputs of the Codex Trust Fund project, only at the level of the goal (or overall objective) might it be possible to demonstrate a direct linkage; this notion is captured in the indicator G2 (Table 5), although it goes beyond the scope of the Trust Fund. To monitor the project’s progress in the achievement of this (or a similar) indicator would require activity of considerable magnitude, which would probably take the form of specific studies. One such study was initiated while this enquiry was in progress: the Codex Trust Fund Administrator engaged an intern “to explore whether enhanced participation in Codex has contributed to positive change in food safety systems and food laws in Africa.” However, since this sort of indicator could also be used to monitor and evaluate the implementation of the Codex Alimentarius Commission's strategic objectives (Table 5), the Codex Trust Fund could utilize the reports of studies commissioned through other initiatives.

20 http://lnweb18.worldbank.org/eap/eap.nsf/Attachments/Chapter+9/$File/chapter+9.pdf http://www.fao.org.vn/NutritionE2.htm



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Table 8: Linkages* between major elements and activities of food safety systems, respective roles and responsibilities and the Codex Trust Fund

Major elements of food safety systems (from Table 3)

Major activities of food safety

systems

Lead role & responsibility

Legislative framework

International legal framework Set Codex standards Codex Alimentarius Commission

Codex Trust Fund

National legislation

State, regional, provincial and local regulations

Accept new Codex standards

Legislature

Organizational structures

National forum, authority for food safety

Competent authorities (harmonized roles/responsibilities) National food safety authorities

Accredited laboratories for testing foods and feedstuff

Apply new Codex standards

National Codex contact point

Codex technical working groups

Industry associations

Farmer (producer) associations

Achieve compliance with Codex standards

Food industry

Regulatory functions

National policy on food safety

National food safety strategy

Risk assessments

Risk communication

Risk management

Emergency contingency plans

Inspection & enforcement

Laboratory testing

Certification

Certify compliance with standards

Competent authorities

Capacities (Regulators, food industry & traders)

Skills development (i.e., appropriate training)

Meet international standards in trade

Food industry; traders

Information sharing practice

Organizational culture

Note * Horizontal highlights show linkages between major elements and activities of food

safety systems, and respective roles and responsibilities. The linkages of the Codex Trust Fund are vertical.



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Table 9: Linkage of the Codex Trust Fund to international food trade

(with reference to Tables 3 and 8)

Major activities of food safety system

Lead role & responsibility

Important issues Examples of progress/developments

a. Set Codex standards Codex Alimentarius Commission (CAC) and its members Codex Trust Fund

The length of time it takes to establish new standards is a major issue for the CAC (Strategic Framework 2003-2007)

21.

Enhancing participation in the standard setting process.

• Sri Lanka application for a standard for sulphur dioxide in cinnamon.

• Philippines and Thailand application for levels of lead in fish.

• Costa Rica’s intervention on cassava • Possible need to develop a standard for arsenic levels in rice and other foods.

• To date, CTF has sponsored 618 delegates from 119 countries to participate in 58 Codex meetings.

b. Use & apply new Codex standards

National food safety authorities

Capacity is often inadequate. Objectives 1 and 5 of the CAC Strategy indicate the strong interest of the FAO and WHO in promoting national regulatory systems that are based on international principles and guidelines related to the whole food chain.

• Numerous initiatives have been launched to support the development of national food safety control systems. However, STDF highlighted

22 the “serious

problem of under-reporting of SPS-related technical co-operation” and during 2007 is focusing efforts on improving reporting to the TCB database.

c. Achieve compliance with Codex standards

Food industry Food producers lack awareness of standards.

• STDF WTO Training Plan for 2007 (supports delivery of seminars.)

• Ban on fish exports from East Africa

d. Certify compliance with standards

Competent authorities Inspection services are often weak; importing countries’ inspections of imported consignments reveal non-compliant product, which leads to imposition of bans.

• Antimicrobial residues & resistance to antimicrobials

• Pesticide residues in tea from Viet Nam

• Lack of capacity to test for mycotoxins

e. Meet international standards in trade

Food industry; traders Private sector development is often overlooked in poverty reduction strategies and trade development initiatives.

• An increasing focus on the private sector and aid for trade

21 Codex Alimentarius Commission: Strategic Framework 2003-2007 (adopted by the 24th Session of the Codex Alimentarius Commission, July 2001) 22 Standards and Trade Development Facility Operating Plan 2007 - STDF 163, page 2.



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The Codex Trust Fund's linkage to international food trade can be viewed in the context of the application of Codex standards by the various stakeholders in the food safety chain (Table 8), which provides a useful perspective of the fund's role. The following sections explore in more detail the landscape set out in Table 9, to clarify the possible linkage of the Codex Trust Fund to international food trade opportunities.

a. Setting Codex standards To date, the Codex Trust Fund has sponsored 618 delegates from 119 countries to participate in 58 Codex meetings. Some 30 people will be funded to participate in the 30th CAC session in July 2007. By bringing country delegates to Codex meetings, the Codex Trust Fund has increased participation and provided opportunities for them to contribute to discussions related to the application of standards that might affect their trade. Seventeen eligible countries23 had not participated up to the time of submission of this report. Delegations from some countries that are eligible to receive support from the Trust Fund have participated in the standard setting process.

• The Philippines' proposal for levels of lead in fish

At its 38th session in April 2006, the Codex Committee on Food Additives and Contaminants agreed to put forward to the 29th Session of the Codex Alimentarius Commission for adoption at Step 8, a draft Maximum Level of 0.3 mg/kg in fish, as proposed by the Delegation of the Philippines, although the Delegations of the European Community and the United States made reservations to this decision (Box 1).

• Costa Rica’s intervention on cassava At the 28th Session of the Codex Alimentarius Commission, in July 2005, the Delegation of Costa Rica, expressed concern that the inclusion of bitter varieties of cassava might have major implications to the provisions for the varieties of cassava presently covered by the Standard for Sweet cassava (Box 2).

• Sri Lanka's cinnamon exports Sri Lanka is the world’s largest exporter of cinnamon and at the meeting of the SPS Committee on 24 October and 1-2 February 2006, the delegation of Sri Lanka brought to the Committee’s attention particular problems that it is facing with the export of Ceylon cinnamon due to the non-existence of a Codex standard for sulphur dioxide (SO2) residues in cinnamon (submission G/SPS/W/187). The chairperson of the SPS Committee brought the matter to the attention of the Codex Alimentarius Commission. Subsequently, the 29th Session of the Codex Alimentarius Commission, in July 2006, adopted a maximum level of use of 150 mg/kg for sulphites (including sulphur dioxide) in food category 12.2.1 "Herbs and spices" of the Codex General Standard for Food Additives (GSFA). This maximum level has been included in the updated version of the GSFA, reflecting the latest decisions of the Commission, and in the updated version of the "GSFA Online" on the Codex website (http://www.codexalimentarius.net/gsfaonline/index.html).

These examples illustrate that the achievement of Result 2 of the Codex Trust Fund project, i.e., 'Strengthened overall participation in Codex' (Table 5), would be an important contribution towards, first, enabling representatives from potential exporting countries to participate in discussions of direct relevance to their countries' industries and, second, facilitating their learning about the

23 Eligible countries that had not requested support from the Codex Trust Fund for 2007: Algeria, Bangladesh*, Belarus, Bulgaria, Czech Republic, Equatorial Guinea*, Estonia, Hungary, Iraq, Latvia, Libyan Arab Jamahiriya, Mauritius, Namibia, Russian Federation, Saudi Arabia, Slovak Republic, South Africa, Thailand, Yemen*.



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science-based approach to standard setting. The cases cited above, with the possible exception of Costa Rica's intervention, cannot be said to have benefited directly from the Codex Trust Fund's support. However, at the meeting of the Codex Committee for General Principles (CCGP) in 2007, Trust Fund-sponsored participants representing Samoa and Morocco intervened during the agenda item on 'Code of Ethics for International Trade in Food'. The delegate from Samoa made a strong plea, which was supported by the delegate from Morocco who spoke on behalf of African countries, for the review of the code to protect countries that lack regulatory systems to safeguard against the importation of unsafe food products. The need for new Codex standards The preceding considerations relate to the application of existing standards with which exporters are required to comply. However, for some important commodities standards have not yet been developed and this represents an area to which the Codex Trust Fund is expected to contribute, in line with its third output 'Enhanced scientific/technical participation in Codex' (Table 5, Result 3). Discussions with a food processor in Rwanda revealed an interest in developing passion fruit syrup for export, for which a standard might be developed; in Viet Nam and Thailand, a standard has to be developed for fish sauce; and, the code of practice for the reduction of contamination of food with polycyclic aromatic hydrocarbons (PAH) from smoking and direct drying process is under discussion24. Recent reports of arsenic contamination of irrigation water, soils and crops in Asian countries (reviewed by Heikens, 2006) have highlighted risks to human, animal and plant health. Although WHO has set a drinking-water standard of 10µg/l (0.01 mg/l),there is an emerging debate on the food safety implications of high levels of arsenical compounds in water supplies. Irrigated crops, such as rice, which forms an important part of staple diets might lead to discussions in Codex meetings. Two examples illustrate this point. The situation represents a threat to the exports of several countries in the region where contaminated water derived from shallow tube wells is used for irrigation. Heikins (2006) reported that the Australian maximum permissible concentration (MPC) for arsenic in foods has been set for total arsenic only - at 1 mg/kg - which does not take into account the great differences in toxicity between organic and inorganic arsenic species. Clearly, this represents an opportunity for developing countries to become engaged in data generation and collection as part of the standard setting process. Similarly, the continuing debate on methyl mercury levels in fish is of relevance to many developing countries' exports.

b. Use of new Codex standards Numerous initiatives have been launched to support the uptake of international SPS standards and the development of national food safety control systems. The 2006 Joint WTO/OECD Report on Trade-Related Technical Assistance and Capacity Building25 stated

"The joint WTO/OECD Trade Capacity Building Database (TCBDB) contains over 24 000 activities for 2001 to 2007, provided by more than 40 bilateral donors and multilateral agencies."

24 CX/FAC 05/37/34, October 2004, Joint FAO/WHO Food Standards Programme: Codex Committee on Food Additives and Contaminants. Thirty-seventh Session, The Hague, the Netherlands, 25-29 April 2005. Discussion paper on polycyclic aromatic hydrocarbons (PAH) contamination. Codex Alimentarius Commission, Rome. 25 (Source: 2006 Joint WTO/OECD Report on Trade-Related Technical Assistance and Capacity Building (TRTA/CB), April 2007).



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The STDF26 highlighted the “serious problem of under-reporting of SPS-related technical co-operation” and during 2007 the Facility is focusing efforts on improving reporting to the TCB database. Against this highly complex background and considering the global nature of trade development efforts, the possible contribution of the Codex Trust Fund to the uptake of standards by national authorities cannot be reliably ascertained. However, the positive comments of people interviewed during country visits leaves no doubt that their personal experience during Codex meetings increased their knowledge of the importance of Codex standards and the process of standard setting. Furthermore, many countries base their standards on Codex. However, the use of Codex standards requires a supportive legislative framework, a national policy and an effectively coordinated food safety control system. Recent assessments of the capacity building needs of food control systems in East Africa indicate the importance of national food safety policy as necessary first step (Molins and Gitonga, 2006, Molins and Masaga, 2006; Molins and Bulega, 2006). Additional information is required to confirm that, by the end of the project, Codex Trust Fund beneficiary countries have legislative and policy frameworks in place that support the application of Codex standards, and appropriate institutional structures and systems exist to implement them (Table 5; P4). This information could be provided in reports of surveys commissioned by the in support of Strategic Framework Objective 1 of CAC, Strategic objective 9 of WHO's Medium-Term Strategic Plan 2008-2013), the STDF or other parties.

c. Achieving compliance with Codex standards The Codex Trust Fund project aims to enhance participation in the 'Codex standard setting' process. However, it is generally the 'application of standards' (Codex and the SPS) that presents the immediate challenge to would-be exporters. The food industry - comprising producers, processors, distributors and retailers - is responsible for achieving compliance with Codex standards. There are numerous reports that in developing countries and those with economies in transition, the food industry generally lacks awareness of food safety standards. This notion is captured in the problem analysis (Fig. 1) that was based on information from 46 of the beneficiary countries of the Codex Trust Fund. The WTO training courses are intended for government officials only, who are also the main immediate beneficiaries of the Codex Trust Fund. Consequently, the Fund is not directly linked to the food industry’s uptake of Codex standards. However, the participation of food industry representatives in discussions at national Codex committee meetings could stimulate the regulatory authority to adopt supportive approaches towards the development of the food safety capacity of the food processing sector, which can improve compliance (Henson, 2003, p. 51). The consequences of non-compliance with standards can be serious.

• Bans on fish exports from East Africa The European Union’s bans on fish exports from East Africa had disastrous consequences for the industry and millions of people whose livelihoods depended on the export market. This enquiry would be incomplete without

26 Standards and Trade Development Facility Operating Plan 2007 - STDF 163, page 2.



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mentioning this major crisis in international food trade. Foss (2004) summarized the conditions that led to bans on the export of fish from Lake Victoria to the European Union, citing

"… the detection of salmonella in Nile Perch in Spain, outbreak of cholera in the population in some fish exporting countries, and the detection of pesticide residue in fish from Lake Victoria."

The response to the ban in Kenya was, according to Henson and Mitullah (2004) one of "a 'crisis management' mode of operation" aimed at the rapid restoration of a lucrative export market. In Uganda, the response to bans on fish exports to the EU was sustained and vigorous: internationally supported efforts led to the achievement of compliance with the required hygiene and Codex standards that resulted in the lifting of the bans and the resumption of exports (Balagadde, 2004). From the experience of the bans on fish exports and their restoration, the prospect exists to identify the lessons learned and from them develop a model for the establishment of improved food safety measures for other categories of products. Two comments are pertinent to this enquiry: first, the issue of the bans was largely resolved before the launch of the Codex Trust Fund; and, second, the fundamental issue was one of weak food safety control systems that failed to apply existing standards.

d. Certification of compliance with standards The scope of opportunities in international trade is limited when exporters fail to provide evidence that their products comply with requirements, which include Codex standards. The export potential is seriously constrained by veterinary drug residues in food, and residues of pesticides in fresh vegetables and fruits. The presence of pesticide residues is often due to excessive use during production by untrained farmers who are largely unaware of the risks. One the one hand, producers lack knowledge to use pesticides safely, and on the other hand, laboratory analytical facilities are often not available to monitor residue levels. Consequently, importing countries routinely monitor imported produce and the detection of chemical residues leads to the rejection of consignments, with consequent economic losses. Although food products reach lucrative global markets in the European Union (EU), Japan and the USA, food inspection systems in exporting countries have not prevented numerous consignments from being detained and rejected at foreign ports of entry because of the presence of residues.

• Antimicrobial residues and resistance to antimicrobials To increase awareness of the problems associated with antimicrobial residues, FAO/WHO organized a workshop on residues of veterinary drugs in Bangkok, Thailand, in August 2004. Its aim was to identify the scientific, technical and regulatory problems related to the detection of trace amounts of antimicrobial residues (chloramphenicol and nitrofurans) in animal products and to recommend appropriate follow-up actions27. Although developing countries and countries with economies in transition face significant challenges in meeting Codex standards, there are signs that progress is being made in addressing the issue of residues. For example, the European Union “is to reduce testing of imported Thai poultry for cancer-causing drugs, claiming that improved checks on chicken meat products have

27 www.fao.org/es/ESN/food/meetings_vetdrugs_en.stm. Source: Food Safety and Quality Update No. 22, Oct 2004



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eased food safety fears. EU states will now have to check only 20 per cent of Thai chicken, compared to the 100 per cent testing rule that was introduced in March 2002.”28 The major hazards that arise from the usage of antimicrobials in animals and plants are essentially threefold29:

i. pathogenic bacteria can become resistant to antimicrobial compounds that are used in human medical practice;

ii. non-pathogenic bacteria may acquire resistant genes to antimicrobials that are used in human medical practice; and,

iii. the residues of antimicrobials used in food production (i.e., veterinary drug residues) and their metabolites, which represent a toxicological hazard to consumers.

In this context, the focus of food safety risk assessment is shifting from the reduction of antimicrobial residues in food towards the reduction of the hazards represented by the occurrence of antimicrobial resistant organisms in the food chain. This issue was addressed in 2003 and 2004, in two Joint FAO/OIE/WHO Expert Workshops30 and, in 2006, by a Joint FAO/OIE/WHO Expert Consultation on Antimicrobial Use in Aquaculture and Antimicrobial Resistance31. The Codex Trust Fund represents an important means to ensure that scientists concerned with food safety in developing countries and those with economies in transition have the opportunity to participate in the process of setting Codex standards pertaining to this increasingly important topic.

• Pesticide residues Furthermore, at the regional level of the Association of Southeast Asian Nations (ASEAN), harmonization of maximum residue limits (MRLs) with Codex for pesticide residue is actively undertaken, wherever appropriate. However, where Codex standards are absent for products that are peculiar to the region, efforts are being made to adopt harmonized regional standards32.

The subject of pesticides residues is addressed by Joint FAO/WHO Meetings on Pesticide Residues (JMPR), which provide independent scientific expert advice to the Codex Alimentarius Commission and its subsidiary body, Codex Committee on Pesticide Residues. The use of pesticides is of concern worldwide and residues of agrochemicals affect produce in many local markets. Additionally, the general public in many developed countries where there are potentially lucrative markets for food exports are increasingly aware of environmental and social aspects of the production of imported food. Heavy usage of pesticides such as dibromochloropropane (DBCP)33 and

28 http://www.foodproductiondaily.com/news/ng.asp?id=30252-eu-cuts-back 29 Source: Report : http://www.who.int/foodborne_disease/resistance/en/ 30 Joint FAO/OIE/WHO Expert Workshops on Non-Human Antimicrobial Usage and Antimicrobial Resistance: Scientific assessment, Geneva 1-5 December 2003; Second Joint FAO/OIE/WHO Expert Workshops on Non-Human Antimicrobial Usage and Antimicrobial Resistance: Management options, 15-18 March 2004, Oslo, Norway. 31 Joint FAO/OIE/WHO Expert Consultation on Antimicrobial Use in Aquaculture and Antimicrobial Resistance, Seoul, Korea, 13-16 June 2006. FOS, WHO, Geneva. 32 http://www.cryo.affrc.go.jp/kankobutu/fftc/Oral_Presentations/fftc_or_05/fftc_or_05.html 33 source: http://www.american.edu/TED/banana.htm



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paraquat34 in the cultivation of bananas in Costa Rica and other countries in Central America raised concerns in the United States of America about social and environmental consequences of these practices. The widespread use of pesticides, whether to prevent insects from affecting dried fish during storage and marketing in Cambodia35, or to support vegetable and fruit production, is of growing concern and Integrated Pest Management (IPM) programmes are being promoted to reduce pesticide use and improve the selection of products where pesticide use remains necessary. These initiatives complement other actions that address food safety and public health (Box 5), which would enhance international trade opportunities. In the context of this enquiry, the example of the constraint imposed by pesticide residues on the export market for tea growers in Viet Nam (Box 3) highlights simply the need for existing Codex standards to be applied since non-compliance removes trade opportunities. Again, the Codex Trust Fund appears not to be directly connected with this aspect of international food trade.

Box 3 Viet Nam tea

[sources: (1) http://www.mofa.gov.vn/quocte/NNG/24a.htm; accessed 19/03/07, and (2) interview with Dr Nguyen Kim Phong, Chairman of the Viet Nam Tea Association]

Viet Nam ranks 5th in acreage, productivity and export percentage among 20 tea-growing and -processing countries in the world.

In Viet Nam, 3 million people are engaged in producing tea from 100000 hectares. In 2001, of the annual harvest of 80,000 tonnes, 68,000 tonnes, approximately 80% of its production, were exported. Consumers in over 50 countries in the world have known Vietnamese tea through its quality and affordable prices. According to its plan, by 2010, the tea industry will utilize 130,000 hectares and produce 150,000 tonnes, of which 110,000 -120,000 tonnes will be for export.

In the context of market economy and international integration, competition is intense among tea-growing, processing and exporting countries. Viet Nam has to not only maximize its potentials in tea growing and processing but also seek and prepare for new markets. To this end, the Association in particular and Viet Nam tea industry in general are doing its level best to raise tea quality through the wider adoption of organic fertilizers; reduced use of pesticides; the introduction of new varieties into new land; modernizing the production processes; and, promoting strict observation of food safety requirements in all factories. The Vietnam Tea Association gives guidance to the gradual construction of processing factories in accordance with HACCP and ISO 9000 standards.

The detection of pesticide residues in tea from Viet Nam has been reported by the International Tea Committee, which seriously constrains the export market under the SPS rules of the WTO. Viet Nam’s participation in Codex meetings has enabled a more informed dialogue to take place in the country so that this constraint can be addressed in a science-based manner.

In an interview, the Chairman of the Viet Nam Association stated his belief that the producers of pesticides have a moral obligation to assist the establishment of testing facilities in Viet Nam to detect residues of the pesticides that they sell. He added that a ‘farm to fork’ approach is being adopted in Viet Nam and that raising the awareness of correct usage of pesticides and of other best practice in tea growing was a challenge that the association faces in attempting to secure international markets for this important commodity.

• Mycotoxins The opportunity exists for many of the least developing countries to export cereals, vegetables, fruit and nuts to lucrative markets but the presence of

34 Wesseling, C., Aragón, A., Blanco, L., Penagos, H., and van Wendel de Joode, B. (2005) Pesticide Use and Dermal Exposures and Effects in Developing Countries: Data from Central America http://www.cdc.gov/niosh/topics/skin/OEESC2/AbPlen52Wesseling.html 35 Shanahan, M. & Trent, S. 20002. Death in small doses – Cambodia’s pesticide peril. Pesticide News. Pesticide Action network UK. http://www.pan-uk.org/pestnews/pn56/pn56p6.htm



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mycotoxins represents a serious constraint. Rejected shipments and lower prices for contaminated consignments can be devastating for exporting countries (Bhat and Vasanthi, 2003). Specifically, the possible risk of contamination by aflatoxins in foodstuffs such as peanuts and peanut products, pistachios and pistachio products, Brazil nuts, hazelnuts and dried figs from a number of countries is of concern to competent authorities in importing countries. Measures are being taken to establish suitable analytical facilities in developing countries, as exemplified by the USAID-funded technical assistance in Afghanistan (Box 4). The establishment of facilities to conduct assays for aflatoxin is complicated in some countries by the lack of a harmonized laboratory network, which means that different institutions compete for limited resources to conduct the same procedures. Institutional rivalry can lead to duplication of effort and increased costs of quality assurance. Even where facilities have been established, reagents can be difficult to obtain. For example, the Rwanda Bureau of Standards reported that it was experiencing difficulty in obtaining standard reference aflatoxin for its assays, stating that for reasons associated with the risk of bio-terrorism the European supplier would not provide the material.

Box 4 Improvements to Quality of Dried Fruit and Nuts

[source: http://www.usaid.gov/locations/asia_near_east/afghanistan/weeklyreports/073005_report.html; accessed 26/02/07]

Before the Soviet invasion, exports of dried fruit and nuts were significant to the agricultural economy in Afghanistan. Today, as Afghan producers re-enter the global market, aflatoxin contamination is one of the primary constraints to meeting export quality standards. Aflatoxins are produced by the molds Aspergillus flavus and A. parasiticus. The occurrence of these toxins on grains, nuts and other commodities susceptible to mold infestation is influenced by environmental factors such as temperature, humidity and the extent of rainfall during the harvesting periods. Because aflatoxins are considered to be carcinogens, their presence in foods must be minimized by using modern processing techniques. To meet global market export standards, USAID is funding aflatoxin detection and reduction projects. In January 2005, a training program on aflatoxins and testing procedures for detection was held. Twenty three men and women from the Raisin and Dried Fruit Export Promotion Institute of the Ministry of Commerce, the Ministry of Agriculture and Food and the Faculty of Science of Kabul University participated in the three day, hands-on training in aflatoxin detection and measurement. In addition to training for key Afghan personnel and ministries, on March 2005, the renovation of the laboratory at the Raisin and Dried Fruit Export Institute was completed. The lab is now capable of detecting and measuring aflatoxin levels in parts per billion using fluorometric equipment. A suitable location for another testing laboratory in Kandahar is being identified by the Export Institute. In a move to build international confidence in the dried fruits and nuts of Afghanistan, the Ministry of Commerce held a conference in Kabul in June 2005. At the conference, Ministry and industry representatives decided that beginning in August 2005, testing and certification would be required for all exports. The newly renovated laboratories are staffed with trained personnel and ready to facilitate this major step toward Afghanistan’s regaining a share of the dried fruit and nut export markets.

The lack of adequate analytical facilities in exporting countries means that importing countries often sample and analyze batches of imported product. In the EU, maximum levels for ready-to-eat almonds, hazelnuts and pistachios are currently 4 µg/kg total aflatoxins but the maximum levels are under review by the Codex Alimentarius Commission. At the 2006 CCFAC meeting, a range of limits higher than those in EU legislation was discussed for these three ready-to-eat nuts, but no final decision has been taken. Discussions on appropriate limits continued in April 2007, when this committee, now known as the Codex Committee on Contaminants in Foods (CCCF), met again36. It was decided that CCCF would discuss the maximum

36 http://www.food.gov.uk/news/newsarchive/2007/mar/aflatox



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levels at the next meeting in 2008, in the light of the JECFA’s evaluation of potential impact on exposure of different aflatoxin maximum levels.

e. Meeting international standards in trade There is an increasing focus on the role of the private sector and on aid for trade since "countries or private suppliers that invest in the required capacity to meet changing food safety standards may enjoy a strategic advantage" (Henson, 2003a; Jaffee and Henson, 2004). Many donors have strategies to support private sector development in developing countries. For various reasons, the regulatory environment for businesses is problematical (see, for example, Blouin and Njoroge, 2004; Eggenberger-Argote, 2005) and the private sector has often been left out of discussions on trade and development, which has stimulated the Aid for Trade initiative to identify measures to improve trade-related development37. The publication “Development of Trade in Africa” (Foss, 2004) describes a strategic approach to the promotion of international trade, which emphasizes business development: the principles of this strategy are applicable to other parts of the world. The importance attached to this private sector link in the food supply chain is illustrated by Norway’s bilateral trade related capacity building programme, which focuses on private sector development and supply-side capacity, particularly in the agricultural sector38. The Codex Trust Fund has no direct role or link in enhancing the ability of traders in developing countries and countries with economies in transition to enhance their international trade opportunities (Table 8). However, the scope of the Codex Trust Fund project does include the provision of assistance to national Codex Contact Points and national Codex committees and, since representatives of the food industry and consumer associations are members of some national Codex committees - in Rwanda, the Chairman of the committee is from the private sector - the project might contribute quite widely to an increased level of awareness and understanding of the benefits of setting and applying Codex standards. In this manner the project could be seen to address the fundamental or 'root' problems identified in the problem tree (Fig. 2).

37 ITC/ICTSD, 2007. The private sector and Aid for Trade. An ITC/ICTSD Dialogue. 03-05 June 2007, Montreux, Switzerland. Source: http://www.ictsd.org/dlogue/2007-06-03/PrivSecA4Tbackgroundnote-ICTSD-ITC-Final.pdf 38 Strategy for Norwegian support of private sector development in developing countries. [Source: http://www.regjeringen.no/nb/dep/ud/dok/rapporter_planer/rapporter/1998/Strategy-for-Norwegian-support-of-private-sector-development-in-developing-countries.html?id=420023]



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Box 5 Examples of initiatives taken to address food safety in Asia

Extracted from the project document: Improving Food Safety and its Management in Cambodia, Lao PDR and Viet Nam (GCP/RAS/207/NZE)

Donor: New Zealand Agency for International Development (NZAID) ______________________________________________________________________________________________

Prior or On-going Assistance in Support of Food Safety Reflecting the importance of food safety to enhance public health as well as economic development, a number of completed and ongoing projects have addressed various challenges facing food safety and quality in Cambodia, Lao PDR and Viet Nam. These include: Cambodia

• FAO Technical Cooperation Project (TCP) to strengthen the National Codex Committee in Cambodia and build the capacity of the Camcontrol Department in the areas of food inspection, food analysis and import control (1999-2001).

• UNIDO is supporting the Ministry of Industry, Mines and Energy to develop industrial standards. • Since the early 1990s, WHO has provided a number of short-term consultancies focused on strengthening the

capacity of the health authorities to implement a programme on food control and have conducted training of health workers in basic food safety.

• Various donors have provided support and equipment to the Laboratory of the Ministry of Industry, Mines and Energy: UNICEF provided support for the analysis of iodized salt and DANIDA provided support for water quality and industrial environmental monitoring and analysis.

Lao PDR

• WHO has provided assistance to review the food safety situation including food laws and regulations, and to develop a national policy, action plan and food law. Ongoing activities are focused on dissemination of the food law, training of inspectors in its enforcement, training of inspectors in imported food control, and provision of computers to support a web-based database on imported food detentions and rejections.

• In 1993-94, FAO provided technical assistance to support various aspects of food safety (food legislation, food inspection, quality assurance, import/export certification, laboratory management)

Viet Nam

• A technical assistance project “Capacity Building for Prevention of Food-borne Diseases” (2001-02), financed by the Asian Development Bank (ADB) and implemented by the Lao PDR. Interim Poverty Reduction Strategy Paper. 2001.

• Food Administration with technical support from WHO, strengthened the capacity of the Ministry of Health to promote food safety and reduce the incidence of food-borne diseases in the country through support for: i) policy review, law reform and law enforcement assistance; ii) the national food safety laboratory network; iii) implementation of a national food-borne disease surveillance system; and iv) food safety information and education. Ongoing WHO support is focusing on the expansion of the food-borne disease surveillance system, the development of evidence-based regulations and the collection of data on food contamination.

• An FAO technical assistance project (2000-2001) provided support to the Directorate for Standards and Quality (STAMEQ) to develop a food export inspection and certification programme that meets WTO standards.

• JICA is providing financial assistance for the establishment of a Food Hygiene and Safety Laboratory under the responsibility of the Food Administration.

• An FAO TCP project helped to improve the incomes and livelihoods of smallholder coffee producers through support for production, processing, storage, transport and phytosanitary management and improve the quality and competitiveness of coffee through the reduction/elimination of Ochratoxin A contamination from mould.

Regional

• The New Zealand Agency for International development (NZAID) supported a project on phytosanitary capacity development in Cambodia, Laos, Myanmar and Viet Nam (2000-2004) to conduct a phytosanitary needs assessment, develop an integrated national phytosanitary database and develop capacities in the strategic planning process, and is currently assessing how to continue this support in the medium-term.

• FAO inter-country programme to strengthen training and sustain IPM practices among vegetable farmers in Asia, with a focus on Cambodia, China, Lao PDR, Thailand and Viet Nam. The programme supports National IPM Programmes in these countries and helps raise awareness about negative effects of pesticide use. Viet Nam has a large national IPM Programme.



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4.4.2 Linkage of the Codex Trust Fund to trade-related capacity building The problem analysis (Fig. 2) summarizes the main constraints to improved food safety in terms of causal relationships. However, the overwhelming constraint in many developing countries and countries with economies in transition, which prevents them from seizing opportunities in international trade, is summarized as their insufficient capacity to do so (Table 3). This constraint has been widely recognized and is being addressed through numerous complementary initiatives, including the Codex Trust Fund. The Codex Trust Fund meets the costs associated with the participation of delegates from eligible countries in Codex meetings. It was anticipated that the Fund could provide some capacity building and training support directly related to such participation, to help establish effective food safety and quality standards and fair practices in the food trade, both in the framework of the Codex Alimentarius and in their own countries. Both FAO and WHO provide capacity building support to facilitate the establishment of national Codex committees and undertake a range of other initiatives to promote food safety standards in a number of beneficiary countries (Box 5). An important outcome expected of the Codex Trust Fund was that the capacity of food control systems would be strengthened through collegial exchanges, knowledge transfer (Figures 3, 4 and 5) and professional development through the CAC and its committees and task forces. Judging from the responses of people interviewed during country visits (section 4.3.2) and from a sample of country reports (section 4.3.3), this has been achieved to some extent. The Strategic Plan 2008-2013 of the Codex Alimentarius Commission, to be discussed and approved by the 30th Session of the Commission in July 2007, lists the strengthening of capacity building for better infrastructure for the food safety control (Table 3) as one of its programme areas, and the FAO/WHO Consultative Group that guides the Trust Fund provides the opportunity to coordinate its work and that of other funds that focus on capacity building in food safety and standard setting. The WHO’s approach to capacity building includes actions led by FOS. Recognizing that many developing countries "lack technical and financial resources, an effective institutional framework, trained manpower and sufficient information about the hazards and risks involved" resolution39 WHA53.15 requested the Director-General to support capacity building in Member States, and especially in less developed countries, and to facilitate their full participation in the work of Codex and its various committees, including risk analysis (see Table 3). Strategic objective 9 of the WHO's Medium-Term Strategic Plan 2008-2013 aims to improve nutrition, food safety and food security, and specifically to achieve the result of building capacity of Member States to implement risk-based food control systems, to which the Codex Trust Fund will contribute (see Table 5; P4). The FAO's initiative to support capacity building provides guidelines for the assessment of gaps and needs40, which aims to enable national authorities, particularly in developing countries, to improve their food control systems particularly to address changes in the control of foodborne hazards related to the globalization of the food supply chain. The obligations emerging from the World Trade Organization (WTO) Agreements have produced an enormous challenge for developing countries to achieve compliance with

39 Fifty-Third World Health Assembly WHA53.15, Agenda item 12.3 20 May 2000, Food safety. Source: http://ftp.who.int/gb/pdf_files/WHA53/ResWHA53/15.pdf 40 FAO guidelines: Assuring Food Safety and Quality: Guidelines for Strengthening National Food Control Systems



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food standards and regulations (section 4.4.1), and strengthen food control infrastructure at the country level. According to the FAO, the challenges for food control authorities include:

• Increasing burden of foodborne illness and new and emerging foodborne hazards;

• Rapidly changing technologies in food production, processing and marketing;

• Developing science-based food control systems with a focus on consumer protection;

• International food trade and need for harmonization of food safety and quality standards;

• Changes in lifestyles, including rapid urbanization; and

• Growing consumer awareness of food safety and quality issues and increasing demand for better information.

In 2001, the Fourth Session of the Ministerial Conference of the World Trade Organization41 made the decision to review the operation and implementation of the SPS measures, facilitate the increased participation of members in the work of standard setting organizations and to provide technical assistance to promote effective participation of the least-developed countries. The range of weaknesses that have been identified in the management of SPS standards in developing countries (Box 6) demonstrate concisely the scope and scale of the challenges facing least developing countries and countries with economies in transition. To address these challenges, the Standards and Trade Development Facility (STDF) was established as a joint initiative between the World Trade Organization, World Health Organization, World Bank, World Organization for Animal Health, and Food and Agriculture Organization. The WTO Secretariat administers the STDF trust fund. In December 2006, the WTO announced42 the launch of a new medium-term strategy to help developing countries implement internationally-agreed standards for food safety and animal and plant health. The strategy aims to “strengthen the Standards and Trade Development Facility (STDF) in its continued efforts to assist developing countries to implement international sanitary and phytosanitary (SPS) standards.” The complementary role and relevance of the Codex Trust Fund in assisting developing countries to meet the challenges and grasp opportunities in international food trade is evident within the broader context outlined above.

41 Implementation-related issues and concerns, Decision 14 November 2001, World trade Organization Ministerial Conference Fourth Session, Doha, 9-14 November 2001. 42 Sanitary/Phytosanitary Measures. Agencies agree plan for food safety, animal/plant health Assistance. Press Release 18 December 2006. http://www.standardsfacility.org



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Box 6

Examples of developing country weaknesses in management of SPS standards

[Source: http://www.standardsfacility.org/background.htm; Site Last Updated on July 13, 2006]. __________________________________________________________________________________________

• Out-dated and incomplete SPS legislation with poor enforcement capacity.

• Absence of a “competent authority” recognized by the importing country to implement and certify basic SPS requirements.

• Under-funded regulatory agencies lacking skilled staff, appropriate infrastructure and adequate inspection, monitoring and certification capabilities.

• Insufficient public-private dialogue and cooperation in standards development, implementation, domestic enforcement and export market strategy.

• Lack of technical capacity and available resources to engage in standards development and to assess the technical justification and economic implications of new standards and their application domestically or by export partners.

• Absence of national strategy on food safety, animal and plant health combined with ad hoc mechanisms for resource allocation.

• Lack of information on export market SPS requirements in both the public and private sector.

• Inability to monitor, manage and report data on plant pests and animal diseases.

• Weak institutional capacity to respond to requests for information on disease and pest prevalence.

• Inability to control plant and animal pests and diseases through initiatives such as surveillance, eradication or zoning. Problems in securing international recognition of disease free areas of production.

• Problems in sharing responsibilities between the public and private sector

• Insufficient awareness of international food standards and poor institutional capacity to implement and enforce these standards, e.g., Codex general standard on food hygiene and related hazard analysis and critical control points (HACCP) and to apply good agricultural practice (GAP), good manufacturing practices (GMP), etc.

• Weak private sector technological capability, shortage of trained staff, outdated processing, quality and safety systems, poor management of coordinated supply-chains (especially those involving smallholders).

• Lack of institutional capacity to engage in market access negotiations, provide data for importing country risk assessments and to exercise rights and obligations under the SPS Agreement.



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4.4.3 Co-ordination of initiatives to promote international trade There is a huge number of initiatives to promote international trade. Technical assistance has been offered to developing countries and countries with economies in transition to support the development of policies, regulations and capacities to utilize opportunities to trade. The OECD has proposed guiding principles on providing co-ordinated aid (Box 7) and, in 2005, a High Level Forum considered joint progress toward enhanced aid effectiveness43. The Codex Trust Fund provides donors with another means to co-ordinate their actions. The Trade Capacity Building Database of the World Trade Organization (WTO) and Organisation for Economic Co-operation and Development (OECD) aims to assist the co-ordination of donor-funded programmes and improve aid delivery. The WTO and the OECD have established the Trade Capacity Building Database (TCBDB)44 to provide information on trade-related technical assistance and capacity building projects. Box 7

OECD report (2003) - donor harmonization Guiding principles on providing co-ordinated aid

1. Donors should support country-owned, country-led poverty reduction strategies, or equivalent national frameworks, and base their programming on the needs and priorities identified in these.

2. Development assistance should be provided in ways that build, and do not inadvertently undermine, partner countries’ sustainable capacity to develop, implement and account for these policies to their people and legislature.

3. Co-ordination of donor practices enhances the effectiveness of aid, particularly for aid dependent countries. Aid co-ordination should, whenever possible, be led by partner governments.

4. Reliance on partner government systems, where these provide reasonable assurance that co-operation resources are used for agreed purposes, is likely to enhance achievement of sustainable improvements in government performance.

5. Partner countries and donors have a shared interest in ensuring that public funds are used appropriately.

6. Donors should work closely with partner countries to address weaknesses in institutional capacity or other constraints that prevent reasonable assurance on use of co-operation resources.

7. The development of appropriate partner country systems will often be a medium term process. Until donors can rely on these, they should simplify and harmonise their own procedures to reduce the burden placed on partner countries.

8. No single approach is suitable for all countries. The manner in which harmonization is implemented needs to be adapted to local circumstances and institutional capacities.

9. Assistance to empower civil society and support effective harmonization representing the private sector also can enhance improvements in partner government performance.

43 Joint Progress Toward Enhanced Aid effectiveness. High Level Forum. Paris. February 28 - March 2, 2005. Harmonisation, Alignment, results. [Source: http://www.searo.who.int/LinkFiles/Strategic_Alliance_and_Partnerships_1d_Harmonization,_Alighnment,_Results_report_on_progress.pdf accessed 01/03/2007] 44 (http://tcbdb.wto.org/)



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The WTO’s technical assistance and training plan45 gives priority to Least-Developed Countries (LDCs), which are addressed through specially designed events (such as national seminars), processes and programmes that facilitate the integration of beneficiaries into the multilateral trading system (Integrated Framework [IF], Joint Integrated Technical Assistance Programme [JITAP], internships).

The Trade Capacity Building Database (http://tcbdb.wto.org/index.aspx ) shows that since 2001 (before the start of the Codex Trust Fund) up to the present (June 2007), there has been a very high level of activity directed at building the capacity to trade internationally. Figures for the countries considered in this enquiry (Table 10) indicate a high level of activity, including interventions aimed at increasing the uptake of international SPS standards. Two comments are pertinent. First, against a background of such a high level of activity geared towards the promotion of international trade the contribution made by the Codex Trust Fund and its linkages to international trade opportunities are submerged. Second, and more important from the perspective of the recipient countries, the high level of technical assistance might exceed the absorptive capacities. People and organizations need time and supportive environments to be able to assimilate new concepts and working practices, and develop skills. The lessons from recent evaluations of trade-related assistance undertaken by bilateral and multilateral agencies are relevant to the Codex Trust Fund: the recommendations include the need for improved donor co-ordination (Box 7), and the provision of longer-term support and technical follow-up to strengthen local institutions (OECD, 2006)46. Short-term external inputs do not generally result in long-term, sustainable improvements and in a relatively short time there have been many initiatives to promote international trade. These could exceed the absorptive capacity of some countries, which might not benefit as expected from what appear to be ‘content-rich-process-poor’ interventions. Table 10 : Numbers of interventions* (projects and activities) listed in the Trade

Capacity Building Database 2001-2007 for Trade Policy and Regulation. (source: http://tcbdb.wto.org/index.aspx )

Country Total number of

interventions Number of interventions aimed at SPS

Cambodia 255 10

Costa Rica 151 13

Peru 185 7

Rwanda 128 4

Samoa 121 2

Uganda 181 8

Vanuatu 117 2

Viet Nam 342 13

Total 1480 59

Note *: these numbers represent under-reporting.

45 (http://tcbdb.wto.org/publish/WTO%20Plan%202007.pdf; accessed 28/04/07) 46 OECD (2006) Trade-related assistance: What do recent evaluations tell us?. Organisation for Economic Cooperation and Development. Paris. ISBN-92-64-03119-7.



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Box 8 Trade-related capacity building

[Extracted from an evaluation report on DFID support to trade related Capacity Building - Ukraine case study] (Source: http://www.oecd.org/LongAbstract/0,2546,en_35038640_35074403_36011677_35046509_1_1_1,00.html)

Trade-related capacity building (TRCB) is not easy to describe. No clear, unambiguous, and broadly accepted definition is in place. Some projects are more trade-related than others. Projects dealing with WTO issues are clearly the core of TRCB, especially as the whole concept evolved in relation to WTO. In the Ukraine context, EU integration issues are heavily TR. This is probably true for most countries with a strong bias towards regional and cross border trade. In a transition economy like Ukraine, with a widely prevailing culture of command and control, the range of issues dealing with SMEs, competitiveness and private sector development are trade-related and can be considered as trade development. Increasingly, it is evident that TRCB need to be extended beyond Ministries of Trade to include other economic ministries, agriculture, industry, labour and others. With the increasing domestication of WTO issues, capacity building has to extend outwards to an ever widening constituency. This is one reason why current models of project design need to be re-examined. That is also why several new model projects with trade components have been included in this case study.

4.4.4 Is food safety in domestic trade losing out? Whilst this enquiry and the preceding discussion has focused on international food trade, it is important to highlight the point that food safety in domestic trade is of immediate concern to national authorities, a point that was raised in several discussions during country visits. In south-east Asia, food-borne diarrhoeal diseases represent a major health challenge. For example, diarrhoea was the second highest cause of morbidity in Cambodia in 2000 and, in 2001, the Government of Viet Nam estimated that more than 4.2 million people suffered from foodborne diseases, with an annual economic loss of some US$34.5 million47. The role of food safety in enhancing public health and food security is increasingly more widely recognized. The Ministry of Health in Viet Nam recently launched a multisectoral Food Safety Strategy (2002-2010); and in Cambodia, the Government is considering a Five Year Action Plan for the food control system, developed with the assistance of FAO and World Health Organization (WHO). Microbiological and chemical hazards in food, including mycotoxins and other naturally occurring toxins in foods represent serious threats to health within the Africa Region and the WHO reported that the heavy burden of foodborne diseases imposes substantial economic losses to individuals, households, health systems and entire nations (WHO, 2004). The risk posed by aflatoxins in locally marketed food (Plate 8) is a significant public health concern, as exemplified by the occurrence of more than 400 cases of acute aflatoxicosis in Kenya, due to the consumption of contaminated maize (WHO, 2004). In Kenya alone, in 2004, "there were some 643 000 cases of salmonellosis, over 600 000 cases of dysentery, 722 000 cases of gastroenteritis [undefined], 56 cholera cases, 198 brucellosis cases and 323 aflatoxicosis [cases]" (Olielo, 2006, cited by Molins and Gitonga, 2006). In March 2007, at least 40 people died after drinking ‘moonshine’ laced with methanol in Uganda48. The development and application of a standard for locally produced gin, or ‘waragi’ - a product of considerable socio-economic importance in the East Africa - could contribute to a reduction of risks to public health. From this brief consideration, it can be deduced that far from losing out in a consideration of food safety for international trade, the subject of food safety in domestic

47 http://www.undp.org.vn/mlist/develvn/042001/post32.htm 48 http://www.mywire.com/pubs/AFP/2007/03/01/2926943?extID=10037&oliID=229



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markets can benefit from the knowledge acquired by exposure to the debate of global Codex standards. Whilst the Codex Alimentarius Commission works at a global level, the Codex Trust Fund evidently has an important role in linking global debate to discussions at national level, where the FAO and WHO offices support a range of initiatives. The increased participation of food safety specialists in Codex meetings where standards are set would help to inform debate at national and regional levels, which would be of significant benefit to public health and domestic food trade. This type of informed debate has been reported to have been stimulated in Samoa and Vanuatu following participation of national delegates in Codex meetings. Evidence from assessments of the capacity building needs of food control systems in East Africa, points to the importance of raising awareness and developing national food safety policy as necessary first steps (Molins and Gitonga, 2006, Molins and Masaga, 2006; Molins and Bulega, 2006). Economic losses as a result of rejected food exports due to shortcomings in food safety are often very significant. Overuse of antibiotics and pesticides presents serious health risks and exclude farmers from higher-value export markets. The problems of ochratoxin A in coffee and aflatoxin in a range of crops poses health risks to consumers, and indicate the need for improved post-harvest handling of the produce and the adoption of a 'farm to fork' approach. There was evidence from discussions during country visits that the authorities in Cambodia, Uganda and Viet Nam are applying the concept of a ‘farm to fork’ approach to food safety. The results obtained from laboratory analyses to detect residues can be seen to be potentially of direct benefit to the health of domestic consumers, provided that contaminated foods that cannot be exported are not dumped onto the local market. The FAO supports Integrated Pest Management (IPM) programmes to reduce pesticide use and improve selection of products where pesticide use remains necessary. The initiatives that have been launched to address food safety and public health in Cambodia and Viet Nam were reviewed in the project document (GCP/RAS/207/NZE Final Project Document (18-10-04)49. The principle lesson to be learned is that the approach to food safety should be multi-disciplinary and holistic, i.e., from 'farm to fork'. Thus, findings from laboratory analyses of residues and contaminants should be reported to producers and agricultural field extension services, since proper management, handling, storage and high-quality processing is necessary to realize export opportunities.

4.5 COMMENTS OF DONOR REPRESENTATIVES This enquiry benefited mid-way from the comments of donor representatives on a preliminary report of the findings of the study made at an informal meeting50 in April 2007. The discussions centred on the need to focus the resources of the Trust Fund to achieve tangible impact from the fund’s interventions. There was a clear concern about the capacity of the CTF Secretariat to deliver (increased) outputs. To assist the monitoring of the fund's impact, the United States delegation offered to develop a database on Trust Fund participation in Codex meetings: it was due to be completed by the end of June 2007. Donors were keen to see explicit linkages between the Codex Trust Fund and other initiatives including FAO and WHO capacity-building in countries, while maintaining the clear distinction between the work of the Trust Fund and that of technical cooperation

49 Source: ftp://ftp.fao.org/es/esn/food/NZE_project.pdf) 50 FAO/WHO Project and Fund for Enhanced Participation in Codex - Codex Trust Fund: Note for the Record. Informal meeting with donor countries. 5 April 2007. Centre International de Conference, Bercy, Paris.



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initiatives. Modifications might, they said, be made to the Trust Fund to improve its efficiency. Donor representatives stated their view that some countries would benefit from guidance to assist them in identifying Codex priorities in countries and priority Codex meetings. The Codex Trust Fund could guide the selection of Codex meetings to be attended by each country and could assist the selection of country representatives for participation in Codex meetings to ensure continuity of representation, which is fundamental to knowledge management and institutional capacity building. It was agreed that continuity and knowledge-sharing is key to long-term enhanced participation in Codex. Options suggested to support the judicious selection of Codex meetings to be attended matched to participants’ job functions in their home countries and continuity of participation in meetings, included:

• development and dissemination of short guidance documents;

• working through the training module on selecting Codex meetings in the Codex training manual;

• using Regional Coordinating Committees;

• using a “buddy” system to team more experienced with lesser experienced countries.

A “mentoring” process could also be important in sharing information and gaining from the experience of others. Knowledge could also be shared between countries within a same region, e.g., through networking between countries in a region (developed/developing and developing/developing); through sharing coverage of Codex meetings and sharing outcomes and knowledge gained (e.g., among the Pacific Island Countries).

4.6 CODEX TRUST FUND SECRETARIAT The Secretariat of the Codex Trust Fund is located in the WHO Department of Food Safety, Zoonoses and Foodborne Diseases, Geneva. Its staff establishment comprised one short-term Professional grade post at 50% and one fixed-term General Services post at 80%. In its first three years, there were staff changes in each post which disrupted project administration. No formal assessment of the Secretariat was undertaken in the course of this enquiry. However, from discussions during the consultation as a whole the general view emerged that the Secretariat required strengthening to ensure that it could respond efficiently to the demands of donors and beneficiaries to achieve the Trust Fund's expected outputs. This view was based on the observations of interviewees in the countries visited, correspondence and reports on file at the Secretariat, discussions with staff at the Secretariat, and, importantly, discussions at the meeting of donors (section 4.5). In summary, the Secretariat has been functioning with insufficient capacity to develop and use systems that are necessary to support the its activities, which are on a global scale. Specific proposals to enhance its capacity are made below (section 6).



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5. CONCLUSIONS AND RECOMMENDATIONS This enquiry has examined the linkages between increased participation in Codex and the ability of developing countries and countries with economies in transition to grasp international food trade opportunities. Overall, as stated above (section 4.4.1), the linkage is clear, strong and logical but it is tenuous. The Codex Trust Fund project might have improved the uptake of Codex standards in beneficiary countries and their application should enable exporters in more countries to trade internationally. However, as the analysis has shown, many countries fail, for many different reasons, to apply the standards that are required for international trade. The fundamental constraint is one of capacity, which is being addressed globally through an increasingly better coordinated approach. The role of the Codex Trust Fund has to be seen in this context and it is not reasonable to expect to attribute enhanced opportunities in international trade to a single initiative or project: such is the complexity and diversity of the international food trade. To define clearly the impact of the Fund's activities on the ability of national food safety systems to enhance opportunities for international food trade is impossible because of the complex interaction of a very large of number trade-related development activities. However, when the food safety system breaks down the consequences are clear, as illustrated by the case of the EU's ban on fish exports from East Africa. The existence of constraints in the application of standards is prevalent and this probably represents the greatest challenge to international trade. This is attributable to a lack of awareness of the importance and benefits of food safety measures, a lack of supportive policy and legislative frameworks; insufficiently supportive linkages between the regulator and food industry; and, a lack of capacity within the farm to fork chain to apply existing standards. A number of lessons can be drawn from the experience of implementation over the first three years of the Codex Trust Fund project, which indicate measures that might be taken to enhance its future effectiveness, in terms of strengthening national level organization and institutional change to increase trade opportunities and food safety.

1. In terms of design of the project, it is strongly recommended that the project's partners should review in detail the logical framework that has been drafted as part of this study as soon as possible at a dedicated plenary meeting. The project's objectives are clear and probably require no revision. However, the scope of activities that the project should support should be reviewed in the light of the following recommendations. Further consideration is given to this subject in the final section of this report (section 6. Proposals). The acceptance of this recommendation is a precondition for the effectiveness of the following recommendations, if they too are accepted.

2. It is strongly recommended that a monitoring and evaluation (M&E) system should be

devised for the Codex Trust Fund to enable its performance to be tracked, because the M&E reports would provide information that might indicate the need to refocus, and increase or decrease the scope and scale of activities to maximize the fund's impact. If the indicators proposed for the project (Table 5) are retained, the sources of verification for many of them would be available as the result of the M&E activities of other projects and activities directed at food safety and international trade. Duplication of effort would be reduced provided that the representatives of the main partners and stakeholders - namely the CAC, FAO, WHO, WTO, and STDF and donors - establish effective coordination of their actions. The conclusion that coordination of funding agency interventions and project M&E should be strengthened echoes the findings of numerous project evaluations.



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3. There is no doubt that the Codex Trust Fund has contributed very significantly to increasing the participation of delegations from eligible countries in the Codex standard setting process. Between March 2004 and July 2007, the project paid for 618 people from 119 countries to attend 58 Codex meetings. This represents a significant logistical achievement, particularly given the small size of the Trust Fund Secretariat and the turnover of staff (section 4.8). The high workload and low staffing level explain to some extent the difficulties reported by a number of countries in securing timely completion of administrative formalities associated with their travel arrangements. It is strongly recommended that additional staff are engaged at the Secretariat, first to reduce delays and, second, to increase output, particularly related to the establishment and management of an appropriate M&E system.

4. The selection of participants for Codex meetings is of concern and it is evident that many

participants have had insufficient prior knowledge to have been able to benefit from or contribute to discussions at Codex meetings. The situation is aggravated by the lack of consistency in participation that has been observed. The imminent deployment of the database at the Secretariat will make it possible to track the consistency of participation, which is important as a measure of institutional capacity in a country. It is recommended that there should be heightened engagement of FAO and WHO country representatives in Codex meetings at national level. Specifically, FAO and WHO country representatives should be present at regular meetings of the national Codex committees, before and after Codex meetings take place, to provide advice that might assist the selection (a) of the participants and (b) the meetings at which countries are to be represented, as well as in debriefing meetings after participation where the implications of Codex meetings for national level policy and planning should, ideally, be debated and decisions made. Allied to this measure, participants need time to prepare for the meetings that they are to attend and, through local FAO and WHO representatives, the Codex Trust Fund could provide some assistance (Fig. 6, section 6.2). By increasing the intensity of structured dialogue in beneficiary countries, this measure would also help to strengthen the national Codex committees and Codex Contact Points.

5. There are lessons too about the need for support to be offered during Codex meetings.

It is recommended that, as was proposed at the meeting of the FAO/WHO Consultative Group for the Trust Fund (CGTF) in July 2006, the opportunity that exists at Codex meetings should be used to provide pre-meeting briefings, structured personal support (through mentoring and peer support) during the meeting. This has been taking place on an ad hoc basis and has been promoted by the Codex Trust Fund and by FAO and WHO. However, the process would benefit from becoming more institutionalized. The addition of a one-day training session either before or after the main Codex meeting should also be considered. These would be relatively low cost activities that could have significant added value in terms of the transfer of knowledge about Codex standards, the standard setting process and food safety in general. This enquiry obtained qualitative evidence that participation in Codex meetings has increased the general level of knowledge of food safety and Codex standards and it is this knowledge that has to be applied to initiate or strengthen food safety systems, as has started to happen in many countries. No quantitative assessment of the Fund's precise impact at this level was possible because of the large number of simultaneous activities and projects that have taken place. In countries where this has occurred, for example in Uganda, the Codex Trust Fund has offered complementary support.

6. There is evidence that some countries have progressed in the elaboration of national

food safety policies and legislation but it is recommended that specific steps be taken by the project's partners to collect information systematically through other projects and activities, the results of which should assist the evaluation of the impact of the Codex



59

Trust Fund and other activities. This recommendation comprises an integral part of the proposed logical framework (Table 5; indicator P4).

7. This study has identified areas that afford opportunities to Codex Trust Fund partners to

optimize impacts of the project and fund. Since the purpose of the fund is to enhance participation in the standard setting process, it is recommended that a series of activities should be supported in-country, before (as stated above) and after each Codex meeting. Such intervention would assist the process of knowledge transfer, and by supporting the socialization of the subject of food safety, strengthen the capacity of the food safety control system. It is also recommended that the Codex Trust Fund should promote peer contact and dialogue by supporting regional grouping of countries. This is especially important for those countries that are small island developing states (SIDS), which share common constraints that include their small size and remoteness, which present special challenges to sustainable development.

8. It is recommended that the Codex Trust Fund partners promote linkages between the

project's activities and other initiatives that address food security in SIDS (see for example http://www.fao.org/sids/), which might include the use of teleconferences and online conferencing systems to support discussion and knowledge sharing. In this latter connection, it should be noted that such an activity would require organization and facilitation and is NOT synonymous with the more didactic, one way information flow often commonly promoted as 'distance learning'. In conclusion, the findings of this enquiry provide a justification for modifying the approach to the implementation of the Codex Trust Fund project. The particular steps that could be taken to enhance the impact of the Codex Trust Fund's activities to strengthen national food safety systems to increase trade opportunities are outlined in the following section of this report. This report covers a vast field. It is little more than a working document but it provides a framework for a range of activities that could deliver significant benefits to the enhancement of food safety in many developing countries.



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6. PROPOSALS TO ENHANCE THE IMPACT OF THE CODEX TRUST FUND

6.1 INTRODUCTION The consultant’s activities between 27 May and 10 June 2007 included the development of proposals which are presented in this section of the report. They are based on the findings of the enquiry; the outcome of the Codex Trust Fund donors’ meeting on 5 April; further discussions between the consultant and the Codex Trust Fund Secretariat; the Secretary to the Codex Alimentarius Commission, and, the Director of the Department of Food Safety, Zoonoses and Foodborne Diseases, WHO. The consultant also discussed the Codex Trust Fund with a counselor at the World Trade Organization, Geneva. The proposals aim to enhance the impact of the Codex Trust Fund. A major outcome of the implementation of these proposals would be the enhanced co-ordination and optimized efficiency by reducing duplication of efforts and clarifying roles of the Codex Trust Fund project activities and its partners and, thus improving coordination. The following sections are based on the measures that different actors should take at different stages of the ‘learning cycle (Figure 6.1). These proposals accommodate the recommendations made by donors’ representatives at an informal meeting in April 2007, and the comments of members of the Codex Trust Fund Consultative Group during the course of the DFID-funded enquiry.

6.2 ROLES IN IMPLEMENTATION OF THE CODEX TRUST FUND

6.2.1 Roles for the Trust Fund's Consultative Group & STDF partners Through the Director FOS and FAO’s Food Quality and Standards Service, who are members of the STDF Working Group, the CTF Administrator should request assistance for the preparation of reports of studies required to evaluate the impact of the Codex Trust Fund project. The areas that such studies could include are stated in the project’s logical framework (Table 5) and have a direct bearing on the outcomes of many of the STDF-funded interventions. They include a coordinated approach towards:

1. The political commitment in each country to allocate sufficient resources to sustain the effective participation of the national delegation in the work of the Codex Alimentarius Commission.

2. The allocation and release of sufficient national resources (capital, human and material) to enable competent authorities to fulfil their mandates related to food safety.

3. The status of national and regional expertise to assist revision of legislation and development and review of food safety policy.

4. The provision of inputs into joint training workshops on a regular basis in each CTF/Codex region, as requested by member countries/regions, to support the development of standards required by the respective region.



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5. The provision of appropriate technical assistance in standards setting, as requested by the Codex Trust Fund in response to requests from eligible51 countries.

6. The provision of support, on request, to enable scientists and delegates within each region to provide or receive appropriate technical assistance to prepare papers for consideration by Codex.

7. The provision of resources to enable scientists from beneficiary countries to participate in standards setting research.

8. The provision of reports on commercially viable international and national trade opportunities which drive demands for new standards.

9. The commissioning of research studies to assess the levels of commitment of Codex member countries to a multi-sectoral approach to food safety and the setting of food standards.

6.2.2 Role of the Codex Trust Fund Secretariat The Codex Trust Fund Secretariat has the role and responsibility for coordinating the project's planning, implementation, monitoring and reporting. In addition to providing administrative support for the participation of delegates from eligible countries in Codex meetings, the secretariat will support the organization of regional and national initiatives. The Secretariat will establish an appropriate monitoring system to assist the Consultative Group to evaluate all aspects of the project.

6.2.3 Roles for interns or consultants

To assist the implementation of the Codex Trust Fund, and its monitoring and evaluation, there is a need for a constant, coordinated series of short-term inputs, which could be provided by interns and consultants, as is already the practice. The scope of the work that needs to be done will be broadly defined by the project’s revised, approved logical framework.

6.2.4 Roles for FAO and WHO regional and country representatives To support the implementation of the Codex Trust Fund, there is an important role for the country representatives of the FAO and WHO in providing guidance,

(a) in the selection of participants to attend Codex meetings,

(b) in the selection of the Codex meetings to be attended, and

(c) in supporting discussions during debriefing sessions after participation in Codex meetings. They are also important channels for the communication of information about food safety and Codex-related matters. The CTF Administrator will provide advice to the FAO and WHO representatives, based on the decisions of the Codex Trust Fund Consultative Group. FAO and WHO country representatives would be requested to participate routinely in meetings of National Codex Committees as observers. Although not all country offices of the FAO and WHO have subject matter specialists in food safety, the Director FOS and the FAO’s Food Quality and Standards Service will provide information related to food safety and food standards.

51 Eligibility could include the notion that a country should have funded the participation of at least some of its representatives to Codex meetings.



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6.2.5 Role of National Codex Contact Points The roles and responsibilities of National Codex Contact Points (NCCPs) are defined by the Procedural Manual of the Codex Alimentarius Commission. The NCCPs also have an important role in the implementation of the Codex Trust Fund project. This should include the provision of information to the Trust Fund Secretariat to assist the monitoring and evaluation of the project. The scope of their monitoring activities includes:

1. The preparation of reports including the notification of changes in personnel change, and measures that are taken to ensure effective succession planning in target countries so that there is continuity of representation in Codex deliberations. National authorities establish effective succession planning to ensure retention of institutional knowledge of Codex procedures. These may be based on the minutes and action plans of National Codex Committees.

2. Reporting on the accessibility to the Codex knowledge base and the provision of advice to the CTF Administrator on needs for information on Codex standards.

3. The collation of the reports of participants in the CTF peer support and mentoring scheme.

6.2.6 National Codex Committees The roles and responsibilities of National Codex Committees (or equivalent food safety control authorities) are described in the Procedural Manual of the CAC (16th edition): they have a crucial role in ensuring the success of the Codex Trust Fund and in leading the development of national food safety control systems. An important task is the promotion of effective information sharing, which would include activities to:

1. Ensure that individuals who have participated in Codex meetings present their reports to plenary meetings of National Codex Committee (NCC) in which representatives of FAO and WHO should participate as observers at NCC

2. Adopt an action planning approach to the committee’s work, which will facilitate the monitoring of implementation

3. Support the transparent selection of suitable delegates to participate in Codex Committees and ensure continuity of national representation and assist the creation of an institutional knowledge base

4. Support the Committee’s technical working groups

5. Assist the assessment of the needs for training in Codex and food safety controls

6. Assist the preparation of proposals for developing Codex standards

7. Plan exchange visits and disseminate reports on actions arising

8. Convene national public seminars and workshops to disseminate information about Codex standards to the food industry and the general public

9. Collect data and prepare technical reports for presentation to Codex meetings

10. Assist the preparation of national position papers

11. Assist the selection of national delegates to participate in Codex meetings



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Figure 6 : Measures to enhance Codex Trust Fund impact on knowledge transfer related to the work of the Codex Alimentarius Commission

Participation in Codex

meetings

"Combination of knowledge"

Debriefings after Codex meetings

"Internalization of knowledge"

National regulatory & food safety system

"Socialization of knowledge"

Preparatory Codex meetings in-country

"Externalization of knowledge"

• Individual participants present their reports to plenary meetings of National Codex Committee (NCC)

• FAO and WHO representatives are present as observers at these meetings and NCC meetings

• NCC plans follow-up actions • Codex Committees to be attended are

selected

� Training in Codex & food safety

� Preparation of proposals for developing Codex standards

� Exchange visits & report back

� National seminars, workshops

� Generate data � Implement action

plans

• Regional Codex co-ordination meetings

• Specific regional training meetings

• Learning events during Codex Committee meetings

� FAO and WHO representatives are present as observers at these meetings and NCC meetings

� Technical reports presented � National position papers and proposals

approved � National delegates for Codex meetings

selected

• Increase capacity of Trust Fund Secretariat



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6.3 PROPOSED ACTION PLAN FOR THE CODEX TRUST FUND The following plan is based on the recommendations made above (section 5. Conclusions and recommendations). Once the action plan has been agreed the outputs and indicators should be agreed to monitor its implementation.

1. PLANNING MEETING [THIS IS A PRECONDITION FOR SUBSEQUENT ACTIONS]

Background First, in terms of design of the project, it is recommended that the logical framework that has been drafted as part of this study should be reviewed in detail by the project's partners at a dedicated plenary meeting. The project's objectives are clear and probably require no revision. However, the scope of activities that the project should support should be reviewed. The adoption of a logical framework as the single reference document for all stakeholders to guide the main activities of the Codex Trust Fund would support the coordination of donor actions in the area of food safety . Action 1.1

Convene a dedicated (half-day) meeting (preferably with the support of independent facilitation) to review the logical framework (Table 5) and main activities, which should incorporate those recommended activities that are acceptable and for which there is a high probability of funding.

Responsibility Members of the Codex Trust Fund Consultative Group and other key partners

Timeframe Report of the meeting to be completed by 30 September 2007.

Input/resource required Independent facilitator - 7 days.



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2. MONITORING & EVALUATION SYSTEM

Background It is strongly recommended that a monitoring and evaluation (M&E) system should be devised for the Codex Trust Fund to enable its performance to be tracked because the M&E reports would provide the opportunity to refocus, and increase or decrease the scope and scale of activities to maximize the fund's impact. If the indicators proposed for the project (Table 5) are retained, the sources of verification for many of them would be available as the result of the M&E activities of other projects and activities directed at food safety and international trade. Duplication of effort would be reduced provided that the representatives of the main partners and stakeholders - namely the CAC, FAO, WHO, WTO, and STDF and donors - establish effective coordination of their actions. Action 2.1

At the meeting of the CGTF referred to above, review the logical framework (Table 5), main activities, indicators and sources of verification to coordinate the actions of the different agencies and main interventions.

Responsibility Members of the Codex Trust Fund Consultative Group and other key partners

Timeframe Report of the meeting to be completed by 30 September 2007.

Input/resource required None.

Action 2.2 Subsequent to the meeting of the CGTF referred to above, draft a description of the M&E system for submission to the CGTF and on receipt of comments complete the description and initiate its implementation.

Responsibility Trust Fund Secretariat Members of the Codex Trust Fund Consultative Group and other key partners

Timeframe Within 3 months of the CGTF meeting referred to above. .

Input/resource required Consultants to assist establishment of the system - 22-66 days.



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3. TRUST FUND SECRETARIAT STAFF

Background The high workload and low staffing level explain to some extent the difficulties reported by a number of countries in securing timely completion of administrative formalities associated with their travel arrangements. It is strongly recommended that additional staff are engaged at the Secretariat, first to reduce delays and, second, to increase output, particularly related to the establishment and management of an appropriate M&E system. Action 3.1

Recruit staff to the Secretariat to the following establishment posts:

• Administrator (P4) (100%)

• Administrative Assistant (P3) (100%)

• Secretary full-time (100%) Responsibility

Director FOS

Timeframe Human resource plan and budget, with indicative sources of funding to be completed within 6 months of the CGTF meeting (see Activity 1.1).

Input/resource required Administrator additional 50% Administrative Asst 100% Secretary additional 20%



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4. NATIONAL FOOD SAFETY MEETINGS/SEMINARS

Background The selection of participants for Codex meetings is of concern and it is evident that many participants have had insufficient prior knowledge to have been able to benefit from or contribute to discussions at Codex meetings. The situation is aggravated by the lack of consistency in participation that has been observed. The imminent deployment of the database at the Secretariat will make it possible to track the consistency of participation, which is important as a measure of institutional capacity in a country. It is recommended that there should be heightened engagement of FAO and WHO country representatives in Codex meetings at national level. Specifically, FAO and WHO country representatives should be present at regular meetings of the national Codex committees, before and after Codex meetings take place, to provide advice that might assist the selection (a) of the participants and (b) the meetings at which countries are to be represented, as well as in debriefing meetings after participation where the implications of Codex meetings for national level policy and planning should, ideally, be debated and decisions made. Allied to this measure, participants need time to prepare for the meetings that they are to attend and, through local FAO and WHO representatives, the Codex Trust Fund could provide some assistance. By increasing the intensity of structured dialogue in beneficiary countries, this measure would also help to strengthen the national Codex committees and Codex Contact Points. The meetings should promote dialogue in countries that request support. The impact is potentially very high in terms of building capacity to participate in standards setting, with concomitant benefits to food safety and international trade. Importantly, well organized national seminars would raise awareness at policy/ political level and in inter-ministerial circles.

Action 4.1(a)

Brief FAO and WHO country representatives and National Codex Committee members in selected countries of the initiative to raise the profile of food safety and the work of Codex.

Responsibility Regional WHO representatives (WHO country representatives - participants) (Trust Fund Secretariat - support/resource role)

Timeframe Report of briefings to be submitted to TF Secretariat within 6 months of CGTF meeting (Activity 1.1).

Input/resource required Regional WHO representatives travel costs to Phase 1 countries 52 (CGTF Member/FOS resource person)

52 ‘Phase 1 countries’ indicates that in practice the first countries in which enhanced activities would commence would be those that submit early requests for support: initially, the approach would be demand driven.



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Action 4.1(b)

Brief FAO and WHO country representatives and National Codex Committee members in selected countries of the initiative to raise the profile of food safety and the work of Codex.

Responsibility Regional FAO representatives (FAO country representatives - participants) (Trust Fund Secretariat - support/resource role)

Timeframe Report of the meeting to be submitted to TF Secretariat within two months of the meeting.

Input/resource required Regional WHO representatives travel costs to ‘Phase 1 countries’ (CGTF Member; WHO/FAO resource person)

Action 4.2 Convene a joint FAO/WHO national food safety seminar in ‘Phase 1 countries’ in each region.

Responsibility FAO & WHO country representatives National Codex Contact Points (Trust Fund Secretariat - support/resource role)

Timeframe Report of each meeting to be submitted to TF Secretariat within two months of the meeting.

Input/resource required CGTF Member; WHO/FAO resource person

Action 4.3 Review reports of Phase 1 national seminars and plan expansion to Phase 2 countries.

Responsibility Trust Fund Secretariat CGTF - approval of proposed ‘Phase 2’53 expansion plan

Timeframe Proposal for Phase 2 approved within 12 months of the CGTF meeting (Activity 1.1).

Input/resource required CGTF Member; WHO/FAO resource person

53 ‘Phase 2’ refers to a second series of activities to support Codex activities in countries that either have difficulties in articulating their needs or are identified as requiring assistance.



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5. SUPPLEMENTARY CODEX MEETINGS

Background Increased levels of support need to be offered to 'newcomers' during Codex meetings. Although short pre-session briefing meetings mainly on procedural matters, have already been held for new delegates in some Codex meetings, it could become regular practice, with more enhanced scope. It is recommended that the opportunity that exists should be used to provide pre-meeting briefings, structured personal support (through mentoring or peer support) during the meeting and to add a one-day training session either before or after the main Codex meeting. These would be relatively low cost activities that could have significant added value in terms of the transfer of knowledge about Codex standards and the standard setting process. This study has identified areas that afford opportunities to Codex Trust Fund partners to optimize impacts of the project and fund. Since the purpose of the fund is to enhance participation in the standard setting process, it is recommended that a series of activities should be supported in-country, before (as stated above) and after each Codex meeting. Such intervention would assist the process of knowledge transfer, and by supporting the socialization of the subject of food safety, strengthen the capacity of the food safety control system. Action 5.1

Convene a Trust Fund pre-meeting briefing for all CTF-sponsored participants before each Codex Committee meeting.

Responsibility Trust Fund Secretariat; WHO/FAO/CAC Secretariat resource person(s) (Host country representative - support/resource role)

Timeframe Report of each meeting to be submitted to TF Secretariat within 7 days of the meeting.

Input/resource required Travel costs for Secretariat/FOS staff resource person

Action 5.2

Convene a one-day Codex training meeting before or after each Codex Committee meeting

Responsibility Trust Fund Secretariat/FOS resource person (Host country representative - support/resource role)

Timeframe Report of each meeting to be submitted to TF Secretariat within 15 days of the meeting.

Input/resource required Additional subsistence costs of CTF-sponsored participants Additional subsistence costs for Secretariat/WHO/FAO/CAC Secretariat resource person(s) and trainers Hire of training venue; local transport; resource persons; training materials



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6. NATIONAL FOOD SAFETY POLICIES

Background Whilst there is evidence that some countries have progressed in the elaboration of national food safety policies and legislation, it is recommended that specific steps be taken by the project's partners to collect information systematically through other projects and activities, the results of which should assist the evaluation of the Codex Trust Fund. This recommendation comprises an integral part of the proposed logical framework (Table 5; indicator P4). Action 6.1

Send questionnaire to CTF donors and CGTF, STDF partners and regional offices of FAO and WHO to collect data for a preliminary inventory of projects or activities to study progress in implementation of food safety policies and legislation

Responsibility Trust Fund Secretariat Recipients of questionnaires

Timeframe Completed questionnaires to be submitted to TF Secretariat by 31 March 2008.

Input/resource required ?Consultant or intern at Secretariat

Action 6.2

Conclude service agreement with CTF donors and STDF partners that agree to fund studies to study progress in implementation of food safety policies and legislation

Responsibility Trust Fund Secretariat Collaborating agencies

Timeframe Service level agreements to be submitted to TF Secretariat by 30 June 2008.

Input/resource required Consultants and interns at Secretariat



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7. SUPPLEMENTARY REGIONAL CODEX MEETINGS

Background The purpose of the fund is to enhance participation in the standard setting process and to assist the process of knowledge transfer. By supporting the socialization of the subject of food safety, strengthen the capacity of the food safety control system. It is also recommended that the Codex Trust Fund should promote peer contact and dialogue by supporting regional grouping of countries. This is especially important for those countries that are small island developing states (SIDS), which share common constraints that include their small size and remoteness, which present special challenges to sustainable development. These meetings would also create the opportunity for discussions about the development of Codex standards applicable to food commodities of particular interest to the region’s economies. Action 7.1

Convene supplementary, facilitated participatory peer group one-day meetings before or after regional Codex coordination meetings to discuss and harmonize approaches to the adoption of best practice in food safety and standard setting.

Responsibility Trust Fund Secretariat/FOS resource person Regional ?? Collaborating agencies

Timeframe Reports of meetings to be compiled at the meeting by the participants and submitted to TF Secretariat within 7 days.

Input/resource required Travel costs of FOS resource person Additional one-day subsistence costs of participants and FAO & WHO representatives Consultant facilitator



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8. CODEX SUPPORT FOR SMALL ISLAND DEVELOPING STATES (SIDS)

Background

The Codex Trust Fund should promote peer contact and dialogue by supporting regional grouping of countries (see Action 7 above). This is especially important for those countries that are small island developing states (SIDS), which share common constraints that include their small size and remoteness, which present special challenges to sustainable development. It is recommended that the Codex Trust Fund partners promote linkages between the project's activities and other initiatives that address food security in SIDS (see for example http://www.fao.org/sids/), which might include the use of teleconferences and online conferencing systems to support discussion and knowledge sharing. In this latter connection, it should be noted that such an activity would require organization and facilitation and is NOT synonymous with the more didactic, one way information flow often commonly promoted as 'distance learning'. Additionally, groups of countries might agree to ‘cover’ a range of topics of mutual interest and subsequent to participation in a Codex event could share information gained/experience [this option requires active management: it would probably not be spontaneous; a spontaneous catalyst is not likely to emerge in each region.] Action 8.1

Conduct an enquiry to ascertain the options available and requirements to develop a systematic approach to support uptake of Codex-related matters by SIDS.

Responsibility Trust Fund Secretariat/FOS resource person (Collaborating agencies)

Timeframe Report of enquiry to be submitted to TF Secretariat by 31 March 2008.

Input/resource required Consultant 44 days



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Table 11: Outline of the proposed action plan to enhance the impact of the Codex Trust Fund

2007 2008 Main activity/Action Lead Responsibility Timeframe

J A S O N D J F M A M J 1 Planning Meeting [Precondition]

1.1 Convene a dedicated half-day meeting to review the logical framework

CGTF & partners 30-Sep-07

2 M&E system

2.1 Review logical framework to coordinate actions of different agencies.

CGTF & partners 30-Sep-07

2.2 Design the M&E system TF Secretariat & CGTF 31-Dec-07

3 TF Secretariat staff

3.1 Recruit staff to the Secretariat to the following establishment posts: Director FOS 31-Dec-07

3.2 Develop and establish the M&E system

4 National food safety meetings/Seminars

4.1a Visit WHO offices in Phase 1 countries Regional WHO representatives 31-Dec-07

4.1b Visits FAO offices in Phase 1 countries Regional FAO representatives 31-Dec-07

4.2 Convene Phase 1 joint FAO/WHO national food safety seminar FAO & WHO country representatives 31-Mar-08

4.3 Review reports of Phase 1 seminars, plan expansion to Phase 2 TF Secretariat 31-May-08

5 Supplementary Codex meetings

5.1 Convene a Trust Fund pre-meeting at each Codex Committee meeting.

TF Secretariat/FOS resource staff Report in 7 days

5.2 Convene Trust Fund one-day training meeting at each CC meeting TF Secretariat/FOS resource staff Report in 15 days

6 National food safety policies

6.1 Despatch questionnaire on inventory of projects on food safety policies and legislation

TF Secretariat 31-Mar-08

6.2 Conclude service agreement with CTF donors and STDF partners to provide reports of projects

TF Secretariat 30-Jun-08

7 Supplementary Regional Codex meetings

7.1 Convene peer group meetings at regional Codex meetings TF Secretariat/FOS resource staff Reports in 7 days.

8 Codex support for Small Island Developing States (SIDS)

8.1 Conduct an enquiry on support for Codex-related matters by SIDS. TF Secretariat/FOS resource staff 31-Mar-08



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BIBLIOGRAPHY Anon. (2005) Joint Progress Toward Enhanced Aid effectiveness. High Level Forum. Paris. February 28 - March 2, 2005. Harmonisation, Alignment, Results. [Source:http://www.searo.who.int/LinkFiles/Strategic_Alliance_and_Partnerships_1d_Harmonization,_Alighnment,_Results_report_on_progress.pdf accessed 01/03/2007] Balagadde, S. (2004) Fishing for quality nets a big catch. ISO Focus, 1, (2), Feb 2004, 27-29. ISSN 1729-8709. Bhat, R. V. and Vasanthi, S. (2003) Mycotoxin food safety risk in developing countries. Food Safety in Food security. Focus 10. Brief 3 of 17. September 2003. International Food Policy Research Unit. Washington D.C. Blouin, C. and Njoroge, I. (2004) Evaluation of DFID support to trade related capacity building case study of Kenya. The North-South Institute. November 2004. Ottawa. Buzby, J. C. (2003) International Trade and Food Safety: Economic theory and case studies. United States Department of Agriculture Economic research Service. Agricultural Economic Report Number 828, November 2003. [www.ers.usda.gov] Chamberlain, T. (n.d.) Improving HACCP application in the Pacific Islands. SPC Coastal Fisheries Programme. [http://www.spc.int/coastfish/Sections/training/sig/sig17/Sig17_P03_1.htm; accessed 22.02.07] Codex Alimentarius Commission, (2003) Strategic framework 2003-2007. http://www.fao.org/DOCREP/004/Y2361e/y2361e00.htm; Codex Trust Fund (2006) Informal notes from Codex Trust Fund meeting, held on 4 July 2006. Eggenberger-Argote, N. (2005) Private sector development in PRSPs: Stimulating market forces or increasing State interventions? The case of Tanzania. February 2005. Gerster Consulting. Richterswil. FAO/WHO (2003) FAO/WHO Project and Fund for enhanced participation in Codex. FAO/WHO Cooperative programme Multi-donor project. Project document 17 June 2003. Food and Agriculture Organization (FAO) of the United Nations, (2004) Trade related capacity building programme for agriculture, fisheries and forestry. Umbrella Programme - II. FAO support to the WTO negotiations Food and Agriculture Organization (FAO) of the United Nations, Rome. Foss, I. (2004) Development of trade in Africa: Promoting exports through quality and product safety. A report commissioned by Sida and Norad. Published by Sida, Department for Infrastructure and Economic Co-operation. ISBN 91-586-8403-4. Fox, J. W., Lieberson, J.M., Ray, D. and Roy J.D. (2004) An evaluation of trade capacity building programs: overview. PPC Evaluation working paper no. 12. (http://www.usaid.gov)



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Heikens, A. (2006) Arsenic contamination of irrigation water, soil and crops in Bangladesh: Risk implications for sustainable agriculture and food safety in Asia. RAP Publication 2006/20. Food and Agriculture Organization of the United Nations, Regional Office for Asia and the Pacific, Bangkok, 2006. [ftp://ftp.fao.org/docrep/fao/009/ag105e/ag105e00.pdf; accessed 30 May 2007] Henson, S. (2003) The economics of food safety in developing countries. ESA working paper no. 03-19, December 2003. Agriculture and Development Economics Division, The Food and Agriculture Organization of the United Nations. [www.fao.org/es/esa] Henson, S. (2003a) Food safety issues in international trade. Food Safety in Food Security. Focus 10. Brief 5 of 17. September 2003. International Food Policy Research Unit. Washington D.C. Henson, S. and Mitullah, W. (2004) Kenyan exports of Nile Perch: the impact of food safety standards on an export-oriented supply chain. World Bank Policy research Working paper 3349, June 2004. World Bank, Washington D.C. Jaffee, S. and Henson, S. (2004) Standards and agro-food exports from developing countries: rebalancing the debate. World Bank Policy Research Working Paper 3348, June 2004. Jinap, S. and Mad Nasir, S. (n.d.) Sustainability of the Malaysian agri-food sector : issues at hand and the way forward Source: http://www.cryo.affrc.go.jp/kankobutu/fftc/Oral_Presentations/fftc_or_05/fftc_or_05.html Kobelt, E. (2006) Participation at Codex meetings since the introduction of the Codex Trust Fund. FOS/WHO, Geneva, April 2006. Kolb, D. A. (1984) Experiential learning. Engelwood Cliffs, NJ, Prentice-Hall Inc., Kopper, G. (2002) Food Safety Perspectives in Costa Rica: Export and Local Markets for Fresh Produce. In: Food Safety Management in Developing Countries. Proceedings of the International Workshop, CIRAD-FAO, 11-13 December 2000, Montpellier, France. Editors: E. Hanak, E. Boutrif, P. Fabre, M. Pineiro, 2002. CIRAD CD-ROM, Montpellier, France. Krell, K. and Schlundt, J. (2006) Survey of national policy and activities related to food safety in countries eligible for the Codex Trust Fund. World Health Organization; Food and Agriculture Organization of the United Nations, Geneva. Department of Food Safety, Zoonoses and Foodborne Diseases, World Health Organization, Geneva. Krumm, K. and Kharas, H. (2003) Overview. In: East Asia Integrates: a trade policy agenda for shared growth. Editors: K. Krumm and H. Kharas, Washington, D.C.: World Bank Langat, A.K. and Rey, B. (1999) Kenya’s efforts to secure sanitary standards of fishery products for export. Sanitary Standards for Fishery Products, Bulletin volume 12, no. 2-3, 11-13. Molins, R. and Gitonga, N. (2006) Assessment of Capacity Building Needs of the Food Control System Republic of Kenya. Under Project FNOP/INT/103/NOR B2 Objective 1: “Improved Food Safety and Quality at the National Level and Along the Food Chain” July 2006. FAO, Rome. Molins, R. and Masaga, F. (2006) Assessment of Capacity Building Needs of the Food Control System United Republic of Tanzania. Under Project FNOP/INT/103/NOR B2 Objective 1: “Improved Food Safety and Quality at the National Level and Along the Food Chain” July 2006. FAO, Rome.



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Molins, R. and Bulega, N. (2006) Assessment of Capacity Building Needs of the Food Control System Republic of Uganda. Under Project FNOP/INT/103/NOR B2 Objective 1: “Improved Food Safety and Quality at the National Level and Along the Food Chain” July 2006. FAO, Rome. Nonaka, I., Konno, N. and Toyama, R. (2001) “Emergence of ‘Ba’.” In “Knowledge emergence: social, technical, and evolutionary dimensions of knowledge creation”. Editors: Ikujiro Nonaka and Toshihiro Nishiguchi. Oxford, Oxford University Press. Otsuki, T. and Wilson, J.S., (2001) Global Trade and Food Safety: Winners and Losers in a Fragmented System. Working Paper 2689. Washington, D.C.: World Bank. Otsuki, T. and Wilson, J.S., (2002) Beef Trade and Veterinary Drug Standards. Washington, D.C.: World Bank.

Ponte, S. (2005) Bans, tests and alchemy: food safety standards and the Ugandan fish export industry. DIIS Working paper no 2005/19. Danish Institute for International Studies, Copenhagen, Denmark. Shanahan, M. & Trent, S. (2002) Death in small doses – Cambodia’s pesticide peril. Pesticide News. Pesticide Action Network UK. http://www.pan-uk.org/pestnews/pn56/pn56p6.htm UNDP, (2006) Capacity development. A UNDP capacity development resource. Conference paper #1, Working draft, November 2006. Capacity Development Group, Bureau for Development Policy, United Nations Development Programme. Unnevehr, L. J. (2003) Food safety in food security and food trade. Focus 10. Brief 1 of 17. September 2003. International Food Policy Research Institute. World Health Organization (2004) Food safety in developing countries - building capacity. Weekly Epidemiological Record, No. 18, 79, 173-180. World Health Organization (2004) AFRO Food Safety Newsletter, Issue no. 1, December 2004. World Health Organization Food Safety Unit (FOS).



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ANNEX 1: GROUPING OF ELIGIBLE COUNTRIES - 2007 SUPPORT

[source: http://www.who.int/foodsafety/codex/trustfund/en/index5.html; accessed 20/03/07] Update of Annex C of CX/EXEC 05/57/6 138 countries in total

Changes - Belarus added to Group 2 in August 2006, Antigua and Barbuda, Russian Federation, South Africa and Turkey moved to Group 3A, Panama moved to Group 3B.

GROUP 1

(60 countries)

Group 1A – Least Developed Countries (LDC)

As listed by the Least Developed Countries Report 2006 (UNCTAD)

Group 1B – Other Low Income Countries (LIC)

Listed as LIC by the World Development Report 2006 (World Bank) and Low Human Development or Medium Human Development by the Human Development Report 2005 (UNDP)

*except Democratic People's Republic of Korea which is not listed in UNDP 2005

Africa Angola Benin Burkina Faso Burundi Cape Verde Central African Republic Chad Democratic Republic of the Congo Equatorial Guinea Eritrea Ethiopia Gambia Guinea Guinea-Bissau Lesotho Liberia Madagascar Malawi Mali Mauritania Mozambique Niger Rwanda Senegal Sierra Leone Togo Uganda United Republic of Tanzania Zambia

Africa Cameroon Congo, Republic of Côte d’Ivoire Ghana Kenya Nigeria Zimbabwe

Asia Bangladesh Bhutan Cambodia Lao Peoples Democratic Republic Myanmar Nepal

Asia Afghanistan *Democratic People’s Republic of Korea India Mongolia Pakistan Viet Nam

Europe -

Europe Moldova, Republic of Uzbekistan

*****/E 2



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Latin America and the Caribbean

Haiti


Nicaragua

Near East

Sudan

Yemen

Near East

Kyrgyzstan

South-West Pacific

Kiribati

Samoa

Solomon Islands

Vanuatu

South-West Pacific

Papua New Guinea

43 countries 17 countries

GROUP 2 (43 countries)

Countries listed as Lower Middle income Countries (LMC) by the World Development Report 2006 (World Bank) and Medium Human Development (MHD) or High Human Development (HHD) by the Human Development Report 2005 (UNDP).

*except Cook Islands which is unlisted in both reports and Serbia and Montenegro, Iraq and Federated States of Micronesia which are not listed in UNDP 2005

Africa

Morocco

Namibia

Swaziland

Asia

China

Indonesia

Philippines

Sri Lanka

Thailand

Europe

Albania

Armenia

Belarus

Bulgaria

Georgia

Kazakhstan

*Republic of Serbia

Romania

The Former Yugoslav Republic of Macedonia

Ukraine


Bolivia

Brazil

Colombia

Cuba

Dominican Republic

Ecuador

El Salvador

Guatemala

Guyana

Honduras

Jamaica

Paraguay

Peru

Suriname

Near East

Algeria

Egypt

*Iraq

Iran, Islamic Republic of

Jordan

Syrian Arab Republic

Tunisia

South-West Pacific

*Cook Islands

Fiji

*Micronesia, Federated States of

Tonga

43 countries



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GROUP 3

(35 countries)

Group 3A

Countries listed as Upper Middle income Countries (UMC) in the World Development Report 2006 (World Bank) and Medium Human Development (MHD) in the Human Development Report 2005 (UNDP).

Group 3B

Countries listed as Upper Middle income Countries (UMC) in the World Development Report 2006 (World Bank) and High Human Development (HHD) in the Human Development Report 2005 (UNDP).

Africa

Botswana

Gabon

Mauritius

South Africa

Africa

Seychelles

Asia

Malaysia

Asia

-

Europe

Russian Federation

Turkey

Europe

Croatia

Czech Republic

Estonia

Hungary

Latvia

Lithuania

Poland

Slovak Republic


Antigua and Barbuda

Belize

Dominica

Grenada

Saint Lucia

Saint Vincent and the Grenadines

Venezuela


Argentina

Barbados

Chile

Costa Rica

Mexico

Panama

Saint Kitts and Nevis

Trinidad and Tobago

Uruguay

Near East

Lebanon

Libyan Arab Jamahiriya

Oman

Near East

-

South-West Pacific

-

South-West Pacific

-

17 countries 18 countries



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ANNEX 2: TERMS OF REFERENCE - CODEX TRUST FUND/DFID

Consultant to explore linkages between increased participation in Codex Alimentarius Commission and enhanced international food trade opportunities

Objectives • To explore the impact of increased participation in Codex on the ability of developing

countries and countries with economies in transition to grasp international food trade opportunities;

• To analyse how the Codex Trust Fund might be enhanced to ensure that its activities strengthen national level organization and institutional change to increase trade opportunities and food safety.

Background A Codex Alimentarius Commission (CAC) review carried out in 2003 recognized that developing countries, particularly the least developed countries, and countries with economies in transition were not participating fully in the work of the CAC or in setting of food safety standards in general. The primary reason identified was the budgetary constraints faced at national level. In response the FAO/WHO Project and Fund for Enhanced Participation in Codex (Codex Trust Fund) was established in 2003 and now plays a key role in providing the resources to bring delegates from developing countries and countries with economies in transition to the discussion and negotiating table of the Codex Alimentarius. Increased levels of participation, and more effective participation of developing countries in Codex are expected to result in enhancements in: national capacity to develop and implement effective national food safety systems; an international system which better reflects both developed and developing country interests and issues; opportunities for developing countries to take advantage of international trade in food. In essence, there is a potential "triple win" situation when developing countries and countries with economies in transition have more and better participation in Codex. It will lead to: 1) better health outcomes in developing countries as a result of improved food safety systems; 2) protection of consumer health in countries that import food from developing countries when international standards for food exports and imports are adhered to; 3) higher levels of economic development in developing countries through enhanced opportunities for international trade as a result of implementation of international food safety standards. The Codex Trust Fund has been in operation since March 2004. A first assessment of the outcome of increased participation in Codex by countries eligible for support from the Codex Trust Fund was carried out in 2006 and focused primarily on national policy and activities related to food safety in eligible countries. Among the findings from a survey carried out among beneficiary countries were the following: • Active participation in Codex meetings helped to start national food safety activities; • 31% of beneficiary countries had recently modernized food safety legislation; • There is a linkage between the health-related side of Codex Alimentarius Commission

work and the ability of countries to respond to food safety crises; • There is an improvement in the quality and quantity of Codex activities at country level

following participation. Among the areas not covered by the study was the role that Codex might play in assisting developing countries to benefit from opportunities in international trade in food. It is



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therefore proposed to take the next step in assessing the outcomes of participation in Codex with the commissioning of the present study. Scope The proposed study would be limited to looking at the study question in countries eligible for support from the Codex Trust Fund and would include all countries eligible for such support during the period 2003-2007. Outputs The principal deliverable of this work will be a written report that presents the results of the investigation on the linkages between increased participation in Codex and the ability of developing countries and countries with economies in transition to grasp international food trade opportunities and how the Codex Trust Fund might be leveraged to ensure that its activities strengthen national level organization and institutional change to increase trade opportunities and food safety. The report would be made available to donor and recipient countries through usual channels following WHO procedures. The report would be used as the basis for presentations in one or more of the following fora: • Meeting of Codex Trust Fund donors to be held during the Codex Committee on

General Principles (Paris, 2-6 April 2007); • 30th Session of the Codex Alimentarius Commission (Rome, 2-7 July 2007); It might also be envisaged as a follow up step to organize a theme workshop on "Food Safety and International Food Trade for Developing Countries" to which the report. could be an input. This workshop would be aimed at participation from the donor as well as the food safety and food trade communities. Task required:

• Using existing international literature and interviews, investigate the effects of the Codex Trust Fund on initiating food safety systems capable of upholding international standards vis-à-vis the potential for food export in developing countries and countries with economies in transition. Literature reviewed should include "grey" literature, particularly studies and reports commissioned by aid agencies. Special attention should be given to how national food safety systems contribute to enhanced opportunities for international food trade and how break-down in the food safety situation may adversely affect export opportunities.

• Document examples of policy and institutional change relative to food safety systems in developing countries and countries with economies in transition, particularly those enabling the application of international food standards and particularly if change is associated with the activities of the Codex Trust fund.

• Explore, through case studies, interviews and mini-workshop(s), the impact of increased participation in Codex on the ability of developing countries and countries with economies in transition to grasp international trade opportunities in food.

• Building on previous assessments, recommend how the Codex Trust Fund may be enhanced to ensure its activities are translated into national level institutional and policy change that: enhance national food safety systems; increase food trade opportunities; protect and promote health in both developing (exporting) and developed (importing) countries.

The above tasks are expected to result in the following outcomes:



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• Improved understanding of how the Codex Trust Fund can be used by developing countries and countries with economies in transition in support of economic and organizational development;

• Recommendations on how the Codex Trust Fund could be strengthened further to enhance achievement of its objectives.

Reporting February 2007 :

• Consultant to carry out study March 2007:

• First draft to be delivered by 15 March 2007 • Circulation of drafts and finalization of final draft for presentation at CCGP by 31

March 2007 April 2007:

• Tabling of final draft for discussion and oral report to the meeting of Codex Trust Fund donors to be held during the Codex Committee on General Principles (Paris, 2-6 April 2007)

• Inclusion of additional comments in draft and finalization of report by 30 April 2007 Additional:

• Possible organisation of a mini workshop on "Food Safety and International Food Trade for Developing Countries". This workshop would be aimed at participation from the donor as well as the food safety and food trade communities.

Timing Up to 45 fee days are available for the assignment, plus reimbursable expenses for overseas travel. A budget will be available for organisation of mini-workshops if necessary. It is anticipated that the consultant will spend an intensive period working with the WHO in Geneva at the beginning of the assignment. Contacts

1) The consultant will report to: Dr Jorgen Schlundt, Director, Department of Food Safety, Zoonoses and Foodborne Diseases, World Health Organization

2) The contract will managed by PASS and copies of all reports should be submitted

to the Programme of Advisory and Support Services (PASS) for DFID: Kate Nutt, Programme Manager PASS, Innovation House 39 Mark Road, Hemel Hempstead HP2 7DN, UK T: +44 (0)1442 202400 E: [email protected]



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ANNEX 2A: PROPOSAL TO EXTEND THE INPUT OF THE DFID CONSULTANT TO INVESTIGATE LINKAGES BETWEEN THE

CODEX TRUST FUND AND INCREASED OPPORTUNITIES FOR INTERNATIONAL FOOD TRADE.

______________________________________________________________________________

Background It was envisaged that the study could be completed by 30 April 2007, after an input of up to 45 days and progress has been made in line with that expectation. At an informal meting with donors, held in Paris on 5 April, the consultant presented a preliminary report of the investigation, which was followed by useful discussion about possible changes in the ways in which the Codex Trust Fund could be used to achieve its objectives and how such progress could be monitored and evaluated. It was agreed that WHO should prepare proposals to this effect for presentation to donor and recipient countries at the meeting of the Codex Alimentarius Commission in Rome 2 - 7 July 2007. In subsequent discussions, representatives of the FAO, WHO and DFID agreed to the suggestion that the present study be extended to permit the consultant to provide additional input to assist WHO to produce proposals indicated by the donors. Proposal The consultant’s input should be extended and his terms of reference expanded so that he can assist WHO to develop proposals for actions to enhance the impact of the Codex Trust Fund on the increased participation of developing countries and countries with economies in transition in the setting of standards by Codex Alimentarius Commission and to strengthen the national preparatory process for active participation in Codex. Such proposals would also include specific action points, such as the improved monitoring of effort and outcome related to such participation, relative to implications on food trade and health. The consultant will continue to work closely with the WHO’s Department of Food Safety, Zoonoses and Foodborne Diseases (FOS) and the Trust Fund Administrator, and will liaise effectively with the Secretariat of the Codex Alimentarius Commission and the FAO’s Food Quality and Standards Service. Additional inputs required The DFID consultant will be required for up to an additional 22 days, which will include 5 days for the preparation and presentation of the final report to the meeting of donors and beneficiaries during the session of the Codex Alimentarius Commission in Rome. The consultant will require a budget to enable him to travel to Rome for consultative meetings with FAO and the Codex Secretariat; to work at FOS in Geneva to develop the proposals; and, to Rome for the presentation of the final report to a meeting of donors. Outputs The submission of the final report will be deferred from 30 April 2007. The consultant will submit the final report to the Director FOS by 10 June 2007. The report will include an account of the findings of the investigation; the comments of donor representatives made at the informal meeting in Paris on 5 April 2007; and, costed proposals for possible actions that the Codex Trust Fund could support in the short-, medium- and long-term. Contacts

The consultant will report to: Dr Jorgen Schlundt, Director, Department of Food Safety, Zoonoses and Foodborne Diseases, World Health Organization



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ANNEX 3.1: COUNTRY VISITS: VIET NAM

NOTES ON DFID CONSULTANT’S VISIT TO VIET NAM 13-15 March 2007

Persons met Mr Vu Ngoc Quynh National Codex Contact Dr Lokky Wai WHO Senior Programme Management Officer Ms Hong Ngoc WHO Administration Officer Mr Andrew Speedy FAO Representative in Viet Nam Mr Vu Ngoc Tien Programme Assistant Ms Bui Thans Nha Quality Assurance & Testing Centre, Directorate for Standards & Quality Ms Tran Viet Nga Viet Nam Food Administration, Ministry of Health Nguyen Quoc Dat Vietnam Association of Food Sciences and Technology Human Ecosystem and Sustainable Development Institute Ms Nguyen Thi Minh Ha Viet Nam Codex Contact Point Directorate for Standards & Quality Dr Tran Van Dinh Vegetable Research Institute Van Han Viet Nam Quality & Standards Centre Directorate for Standards & Quality Dr Bui Manh Hai Former Vice Minister Ministry of Science & Technology Ms Nguyen Thi Tuyet Regulatory Affairs Manager, Nestlé Vietnam Ltd Dr Nguyen Kim Phong Chairman, Viet Nam Tea Association Dr Tran Van Gia Vice Chairman, Viet Nam Tea Association Topics and issues raised

� The very large number of stakeholders with interests and roles in, and responsibilities for food safety

� Co-ordination of key government agencies and departments could be strengthened

� Insufficient communication contributes to confusion about roles and responsibility

� WHO and FAO are not always fully aware of food safety initiatives

� Lack of clarity about some donors’ interests in food safety and linkages to WTO accession

� WHO could support some of the regular meetings of the National Codex Committee to promote o-ordination and raise awareness

� The need of Codex Contact Point for additional funding to send representatives to Codex meetings (e.g., Codex Committee for Food Inspection, Canada, June 2007)

� Ministers lack awareness of the importance of Codex standards

� Non-availability of standards and guidelines in Vietnamese language: translation is needed

� Insufficient funds for translation (e.g., 600 pages have to be translated at a cost of between US$6 and US$10 per page. Budget provision is for US$2 per page.

� The translation of HACCP is difficult and this probably contributes to incomplete understanding of the concept: HACCP is referred to as HACCP in Vietnamese translations

� The understanding of ‘risk analysis’ is weak

� FAO is to fund a series of workshops on veterinary epidemiology in the near future

� Viet Nam’s fishery industry contributes hugely to the national economy yet funding of participants to attend Codex meetings is problematical

� The DFID consultant should discuss the Codex Trust Fund and CAC with the Secretary to the CAC and other officials at FAO (AGN) Rome

� Regional groupings of countries’ Codex contact points should be promoted and exchange visits could be considered for funding by the Codex Trust Fund

� The Viet Nam Ministry of Health, Food Administration, is drafting a food law



85

� The concept of farm to fork needs to be promoted so that producers avoid practices that render food unsafe, e.g., poor post-harvest drying leads to ocratoxin A on coffee produt, which is then rejected

� The Government’s ‘Five Year Socio-Economic Development Plan 2006-2010’ is a well thought out and well presented document

� The emergency preparedness for food alerts/crises, is poorly developed.

� UNIDO has a role in food processing Actions arising � Provide the DFID consultant report to WHO office, Hanoi (attention: Dr Lokky) � Submit a proposal to WHO for support to national Codex-related meetings to promote

knowledge sharing (biennial plan for 2008-2009 is in preparation) � Submit a request for funding translation of food safety documents to FAO

Responses to questions about the Codex Trust Fund (CTF) 1. What has gone well?

� Experience of the importance of scientific evidence � Experience of how to get support from other countries � Experience in organization of international meetings/Exposure of how to conduct

proceedings in a professional way � Obtained information of Codex networks � Provided access to authentic instructions and documents � Introduced new approaches on food safety � CTF has facilitated involvement of developing countries, including Vietnam � Made it possible to present ideas of a ‘small’ country in a global forum � CTF has enhanced on Codex-related issues � Enabled Vietnam to contribute to the standard setting process � CTF contributed to the process of Vietnam’s accession to WTO � Highlighted Codex in Vietnam, and the world though training and information � Sponsored (provided funds to) Vietnamese delegates to attend Codex meetings � Improved the personal knowledge of participants � Facilitated harmonization of food standards � Contributed to the development of Vietnam’s vision and strategy for food safety

2. What has not gone well?

� Narrow coverage of topics � Government has paid too little attention to Codex matters � CTF has had limited impact � Insufficient co-ordination with other developing countries � Few products conform to Codex standards � CTF is not well promoted (low profile) � Insufficient involvement of small countries � Limited funding and coverage � Few opportunities to attend Codex meetings � Travel approvals are sent to Codex Contact point too late (cloe to meetings) � Limitation in dissemination of information about Codex meetings � Not much information about Codex is known by enterprises (commercial concerns) � Procedure for selection of national delegates is complex, slow and limited to high level

officers � Few people have few opportunities to attend Codex meetings

3. How to improve Codex Trust Fund?

� Continue the programme � Provide greater funding � Provide more opportunities for attendance in Codex meetings � Organize more training courses/ Short-term traiing courses � More people should be informed about CTF and more funding should be available



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� Improve dissemination of Codex Trust Fund documents to enterprises - linked to the two issues of costs/limited budgets for printing and translation

� Authorize WHO country office to authorize travel � Government should enhance private sector’s attention to CTF activities � Increase the role of the Vietnam Codex with enterprises � Assess the extent of product compliance with Codex standards � Maintain communication and assess effectiveness of the CTF � Improve capacity building of Codex Contact Point in developing countries � Orient project to improve the skill & capacity of National Codex Contact Point � Establish/strengthen South-South cooperation programmes � Encourage developing countries to contribute to Codex activities and meetings

Topics raised in separate meetings 1. With the Chairman of the National Codex Committee

There is a need to build the capacity of the National Codex Contact point.

The CAC might give additional guidance on the desirable capacity/competence of a national Codex contact point.

There is a need for the 6 (5 in Hanoi, one in Saigon) staff members of the Vietnam Codex Contact Point to receive training. It was proposed that combined ‘training’ could be organized for the Contact Point staff of five countries - Vietnam, Thailand, Cambodia, Mayanmar, Loas (this would ensure the possibility of rehearsing ‘conversations’ using technical language, an important first step towards developing the ability to articulate arguments concerning complex issues.

Specific courses should be organized on (a) Processing Standards for food processing, and (b) courses on technical English language [see above].

2. With Nestlé representative

The Nestlé company in Vietnam is well informed in regulatory issues by headquarters in Switzerland. Vietnam is progressing towards the adoption of Codex standards, for example, in 2004, infant food standards labelling was adopted. There is a serious constraint on funding available to support participation at international meetings and there is a gap/weakness in the process since preparatory meetings are not held to ensure the development of a country position on a specific subject. The example of Vietnam’s National Technical Committee for Milk & Milk Products could be a role model for other committees. The working group on fermented milk products has made good progress, unlike the group tat should contribute to the development of standards for infant formula. Contributory factors include the focus of the Ministry of Health on food hygiene and safety and not nutritional value (wholesome/quality) aspects of food standards. The Nutrition and Foods for Special Dietary Uses Technical Committee should adopt an approach that is at least as vigorous as that of the Milk & Milk Products technical Committee. Working Groups are seen as important since they include industry representatives. The working Group leader should communicate developments to the members for further dissemination: e.g., MARD should lead in antibiotic resistance; the Environmental Department of the Ministry of Science & technology should lead on GMOs. The delayed notification of selected delegates to attend Codex meetings precludes adequate preparation with the working group or committee. Continuity of Vietnam’s representation at Codex meetings is vital to promote efficient progress from Step 2 to Step 3 to Step 4 in the development of standards. [This is a good example of the opportunity to develop a strong knowledge base - instead of a fragmented knowledge but, to be effective, the delegate to each meeting should deliver a report, with a presentation and with his or her recommendations, which could then be discussed by colleagues in Vietnam]. For Nestlé Vietnam Ltd, the ASEAN market is important element of the marketing strategy (although secondary to the domestic market). Dry products are manufactured to Codex



87

standards, which facilitates their sale and distribution to Philippines, Malaysia, Indonesia, which also use the same Codex standards. The opportunity exists to develop a Codex standard for fish sauce, which is considerable commercial interest to Vietnam producers.

3. The Vietnam Tea Association Strong representation was made concerning the issue of pesticide residues in Vietnamese tea. There was a sense that the manufacturers have a moral (social) responsibility to support the transfer of testing to the required (Codex) standard (level) of the substances that they market. The International Tea Committee (London) had stated that, due to unacceptably high pesticide residues in Vietnamese tea, it was not fit for consumption. Vietnam needs (a) assistance to establish laboratory testing to the required levels of detection; (b) assistance to translate technical English language of the Codex standard into Vietnamese; and, (c) assistance with extension messages to the 3 million tea producers in Vietnam (a responsibility of the Tea Association itself). At present, Vietnam cannot compete with tea produced by Kenya and India because of the residues issue. The CTF was asked to support the tea industry by funding a national seminar/symposium and sponsor the attendance of an international expert to guide discussion on specific topics. There might be scope for the recently launched STDF to contribute in this general field that has (a) potential for widespread impact and (b) implications for international trade opportunities.



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ANNEX 3.2: COUNTRY VISITS: CAMBODIA

NOTES ON DFID CONSULTANT’S VISIT TO CAMBODIA 15-17 March 2007

WHO Office Ms La-ong Tokmoh Technical Officer for Nutrition

Although WHO and FAO are involved in identifying Codex meetings in which Cambodia should be represented, procedures for the selection of representatives to attend Codex meetings are unclear. Furthermore, feedback (reports and presentations) from meetings attended is not satisfactory.

Food safety in Cambodia is a major issue: mortality rates in early childhood (under 5 years) are high: pneumonia and diarrhoea account for most deaths; microbial diarrhoea is a very serious public health/food safety concern.

Despite the existence of areas of chronic food deficit and malnutrition in Cambodia, food (predominantly rice and fish) are exported but domestic trade is of greater concern.

There is a high level of importation of a wide range of foods that are less expensive that domestic produce

Importation of (sometimes dumped) banned pesticides is prevalent and residues is a problem in Cambodia.

Cambodia Ministry of Health requires greater support to launch and sustain initiatives on food safety.

Inter-ministerial coordination is weak and strong leadership in the food safety field is needed.

WHO office lacks capacity to support a sustained approach to improve food safety in Cambodia. Camcontrol Mr Khlauk Chuon, Director, Cambodia Import Export Inspection and Fraud Suppression Department (Camcontrol), Ministry of Commerce

Cambodia has decided to adopt Codex food standards.

There is a need to strengthen the Codex secretariat (contact point).

Shortage of technical skills in the field of food safety.

Lack of knowledge of risk-based approach.

Weak interministerial cooperation: many departments seek guidance from Codex secretariat and make little effort themselves to support adoption of Codex standards - they expect to be spoonfed.

Meeting with Codex Trust Fund-participants 09:30-11:30h, Friday,16 March 2007; Camcontrol meeting room, Phnom Penh

Persons present Mr Khlauk Chuon Deputy Director, Camcontrol Mr Chan Sopha Deputy Director, Department of Industrial Standards of Cambodia, Ministry of Industry, Mines and Energy Mr Dim Theng Camcontrol Laboratory Manager, Member of Working Group No. 4 Dr Pau Ann Sivutha Chief of Food Safety Bureau, Department of Drugs and Food, Ministry of Health Mr Seung Soy Programme Assistant, FAO, Phnom Penh Ms La-ongTokmoh Technical Officer for Nutrition, WHO, Phnom Penh [Ministry of Agriculture, Forestry & Fishery representative apologized for being unable to attend the meeting] Three questions were posed and responses of individuals were captured on cards, which were then displayed and discussed.



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1. What went well with Codex Trust Fund (during the first three years)? (i.e., the positive aspects and experiences)

� ? � 5 people have participated in six Codex meetings � Some? Co-ordination achieved among line ministries � Built capacity of national government officials of Ministries of Commerce; Industry,

Mines and Energy; Agriculture, Forestry & Fishery; and Health. � Codex meetings are a highly practical ‘school’ to learn, especially from other countries � Increase level of awareness of Codex-related issues inCambodia � Positive impact has started on: regulatory activites; food production � Well co-ordinated by FAO & WHO representatives in Cambodia � Delegates were well received at meetings � Delegates have learned more of practical value in meeting discussions � Positive impact of knowledge about food contaminants in Cambodia � More understanding gained on food additives � To know what we need to do in order to help the food industry and agriculture � To help understanding the importance of food safety issues for LDCs

2. What did not go well?

� Not enough people went to meetings � Selection of participants and meetings … not sure how we have done � Not sure how much ‘knowledge’ put into ‘Action’ � No report back after each meeting � None! � High technology challenges for LDCs � No reports [received from Codex meetings. These are available from Codex website] � Travel authorization is not clear � Gap in communication � Lack of good communication (late) [related to travel authorizations] � National Codex Committee does not meet regularly - lack of technical planning � Lack of knowledge on food safety

3. What would improve impact of Codex Trust Fund? (Proposals)

� Share report/knowledge among concerned ministries � Develop system to report back in country - follow up on ‘Action’ � Improve our good cooperation & communication (between ministries and stakeholders) � Cambodia should ba allowed to attend meetings of more than three Codex committees � Increase funds for Cambodia to allow more participants to attend meetings � Continue follow-up of meeting [i.e., the same person should attend successive

meetings to gain clearer understanding of the technical subject matter] � Establish clear channels of communication � Allocate more funds to LDCs to attend more meetings and for more than one

participant to attend each meeting � More than one person in one Codex meeting � More participants for one specific Codex meeting � More participations in Codex meeting � Provide training in food safety � Provide training � Long-term TA & financial support at country level � Decentralize … country office � Special seminar for Codex secretariat/Technical Working group to upgrade their

respective activities � Region focus - more relevant issues at regional level



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ANNEX 3.3: COUNTRY VISITS: UGANDA

NOTES ON DFID CONSULTANT’S VISIT TO UGANDA 15-17 April 2007

Key persons met Dr Ben Manyindo Deputy Executive Director, UNBS Mr Samuel G L Balagadde International Liaison Officer, UNBS Dr E. Agaba Principal Medical Officer, Environmental Health, Ministry of Health Mr Charles Owach Assistant FAO representative, Kampala Dr Abdikamal Alisalad WHO representative, a.i., Kampala Dr Geoffrey Bisoborwa National Professional Officer, Child & Adolescent Health/Nutrition, WHO Mr Colins Mwesigye National Programme Officer, Healthy Environment, WHO, Kampala Ms Ovia Katiti Matovu Chief Executive Officer, Uganda Fish Processors and Exporters Association, Kampala Mr Dick Nyeko Commissioner of Fisheries, Entebbe Mr E F Nsimbe Bulega Principal Fisheries Inspector, Entebbe National Codex Committee The consultant attended the 33

rd meeting of the National Codex Committee, held at Uganda

National Bureau of Standards (UNBS), Kampala. The meeting was chaired by the Ministry of Health. It was well attended: 23 people representing various government ministries and departments and non-governmental, consumer organizations were present. There was lively, constructive discussion on a range of topics that included:

• Proposals for the establishment of a National Food and Drug Authority, which would supersede the existing National Drug Authority (NFDA) of the Ministry of Health.

• The need for planned support for organizational reform and institution building of the new NFDA.

• Progress in the development of the new Food Law.

• Public health issues concerning safe drinking water; hazards associated with re-cycling of plastic milk packaging; the risks posed to children by combined electric torches and sweets recently available on the open market.

• The development of a National Food Strategic Plan.

• Integration of national food safety laboratories into a coherent network that reduces duplication and, thus, costs.

• Co-ordination of initiatives in the area of food safety (including projects funded by DANIDA; German aid; UNIDO; FAO; Norway; Sweden).

• The overriding priority of raising awareness of national leaders in general54 to the social

and economic importance of food safety to Ugandans.

• A concept paper on the development of a National Food Safety Policy was presented as a sequel to a training course that Sweden had funded and which was attended by four Ugandans and representatives from 8 other African countries

55. A follow-up course will be

held in September 2007.

54 The President of Uganda is well aware of the importance of food safety standards: he opened the UNBS Analytical Laboratory complex in Kampala in 2006 and his scientific advisor is a member of the National Codex Committee. 55 Countries that participated in the Swedish-funded training course were: Burundi, Ethiopia, Kenya, Mozambique, Rwanda, Sudan, Tanzania, Uganda and Zambia.



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Agenda item 5: Codex Trust Fund The consultant posed questions to the meeting and participants recorded their responses on cards that were collected and very briefly reviewed during the meeting. The responses to the questions were as follows. 1. What has gone well?

• Consultation of stakeholders on how to utilise the funds • We have been able to present our views in international Codex meetings • Increased participation in Codex meetings • Improved knowledge on the Codex process • Improved networking • Fund enabled Uganda’s participation in Codex activities/meetings • Participation in international for a & sharing of information in Uganda • Strategic plan formulation • Adequate participation nationally • Occasion sponsorship for Codex meetings • Reports • Codex Trust Fund has supported NCC in various ways, e.g., sponsored delegates at Codex meetings

• Support participation of members to international meetings • A number of people have participated • Uganda has effectively participated & reportd back • Supporting participation of Ugandan delegates in Codex meetings and trainings • It has enabled multi-sectoral collaboration and vigilance in participation by members

2. What has not gone well?

• Criteria for accessing [funding]not known [by some people] • Limited funds and lack of available local scientific data which call for supporting local operation research

• Funds not enough to facilitate the amount of work that we as a country would want to accomplish

• Limited number of delegates to attend meetings • Participation in international meetings [?low level of …?] • Funds have been limited and only a few meetings have been attended • (Funding to be increased to cater for private as well as public sector participation)a • [Lack of ?] Effective participation through availability of scientific data • No support towards strengthening National Food Control Systems • No support towards developing national positions • Poor publicity & awareness • Little information about fund • Effort for implementation low • Building capacity for sustainability • Sponsorship is sometimes limited • Funds limited. Therefore most Codex activities missed. • Resources are limited & impede effective participation

3. What proposals to improve impact of Codex Trust Fund?

• Include Codex standards implementation activities in the funds coverage • Support data generation • Support awareness strengthening at national level • Support education and training programmes • Extend support of fund to activities of NCC at national level • It should support implementation • Urgent need fo funds to facilitate national interests, e.g., NFSP • Wide dissemination of the fund’s priority areas & modalities for accessing • Support National Codex Committee • Support national trainings on Codex • Funding to facilitate activities of the NCC



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• Support National Codex Committee activities through technical & financial support • Support priority in country foras between scientists & regulators to share information • More funds to take care of our planned activities • Publicize criteria for access in all key institutions/stakeholders • Deadline to be extended • Should support National food safety campaigns • More support to the [Codex] contact point operations • Increase of funds for local Codex activities • It should support operational research to generate local scientific data • Increase funds for more participation • Develop sustainable mechanism beyond Trust • Increase funding to facilitate more stakeholder participation in Codex meetings etc.



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ANNEX 3.4: COUNTRY VISITS: RWANDA

NOTES ON DFID CONSULTANT’S VISIT TO RWANDA 17-21 April 2007

Key persons met Dr Tito Migabo Director General, Rwanda Bureau of Standards Mr Charles Rutagengwa Head, Agriculture & Livestock Certification Centre, RBS Mr Laurent Gashugi FAO Assistant representative Dr Mamadou Malifa Balde WHO representative, a.i. Mr Jean-Pierre Ruhira Programme Santé et Environnement, WHO Meeting with members of the National Codex Committee The consultant attended a meeting of members of the National Codex Committee at Rwanda Bureau of Standards (RBS) in Kigali. Nine people attended the meeting: they represented diverse interests of various government ministries and departments and non-governmental and consumer organizations. Representatives of the FAO and WHO offices were also present: this was the first time that these organizations had participated in a meeting to discuss Codex related matters. Discussions were very constructive despite being constrained by some members lacking exposure to and understanding of the Codex Trust Fund. As had happened in other countries visited, the consultant posed questions to the meeting and participants recorded their responses on cards that were collected and reviewed during the meeting. The responses to the questions were as follows. 1. What has gone well (with the Codex Trust Fund)?

• Trust Fund is known to support National Codex Committee.

• Support for participation in Codex meetings, even though few.

• Very little has gone well. Only six (6) meetings have been attended using CTF since 2004.

• Participation in meetings

• Awareness raising of Codex activities

• Attendance to some international Codex meetings

• Some members of Codex committee attend in six meetings till now from 2004

• Codex transfer is helping people to attend international Codex meeting and these persons will help this country to set standards (very important in development)

• Some persons could participate in Codex meetings

• far some members of Rwanda National Codex Committee attended international meeting on Codex

• Participation to few international meetings

• A draft proposal on Codex (National) is ongoing

• Setting up of National Codex Committee [This was an erroneous understanding that was discussed. In fact, the Rwanda NCC was set up as a sequel to the participation of two Rwandan delegates at the Codex Coordinating Committee Africa in Uganda in 2002 – before the Trust Fund became operational]

2. What has not gone well (with the Codex Trust Fund)?

• Non predictability of funds at beginning of year affected (a) activities programming, (b) Country’s quota?



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• Not yet obtained Government formal recognition of NCC

• No budget for NCC

• In the first meeting we got invitations late

• Little information on activities to be funded

• Not made publicly: not all beneficiaries aware of it

• Not easily accessible. Application deadlines makes it not easily accessible all the year round

• Very few people know about the existence of the fund

• Activities funded by the Trust fund delayed to start

• Trust Fund did not support other activity [than meetings] related to Codex

• Receiving facilitation

• Participate in all international meetings

• Train members in different issues regarding Codex [Rwanda did not send a representative to the training meeting in Morocco in January 2007]

• No support to other activities (different from participation in Codex meetings)

• Everything is going slowly while standards and food safety are very needed in this country

• Each member country should know how much [of CTF resource] it is supposed to spend/use

• Non-permanent national delegates in international meetings (lack of institutional memory) 3. How to improve impact of Codex Trust Fund?

• Trust Fund to catalyse local fund raiusing (from donors, private sector, …) NCC;s activities

• Raise awareness of Codex activities

• National funding to complement CTF

• Strengthen NCC to disseminate information onCodex

• Develop long-term to deal with Codex issues (clarified to include CTF providing TA and engaging in M&E of the performance of activities it funds)

• Organize (Catalyse/facilitate) institutions related to Codex activities and donors at national level

• Organise forum, seminar

• Use media for awareness

• Let people know the annual report (objectives evaluation)

• Taking into consideration of capacity (economically) of member countries

• Sharing information on time

• Put into consideration of capacity building of country members in Codex

• Awareness of the public & private sectors

• Develop political will at national level

• Official recognition of NCC

• Best interaction NCC – other parties (development partners, private, regional organisation, …)

• NCC must follow CTF activities and submit proposals to CTF



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• To increase a number of people who will attend meetings and trainings

• To organise workshops to explain the necessity of Codex, especially to high government people

• Study tours at Regional level (lessons learned, cooperation areas, …)

• Action plan based on Results [Action planning approach]

• By making an annual plan of action made known to countries

• Assistance in meeting attendance, training seminar – national and international

• Financial support to the NCC

• Focus on strengthening of Codex Committees at country level (support in putting up structures, training, personnel, etc.)

Kigali Institute of Science & Technology (KIST)

Dr Anastase Kimonyo, Head of Food Science & Technology, Kigali Institute of Science & Technology (KIST), and Chairman of the Board of the Rwanda Bureau of Standards. The department has an interest in mycotoxins and is establishing laboratory facilities to conduct aflatoxin assays. The RBS is also in the process of establishing testing facilities. There is a need to develop and co-ordinate a laboratory network to support food safety and avoid duplication of effort and investment.

Visit to a city market in Kigali 1 500 hundred traders are licensed to use the market. 600 of them sell food commodities. The market does not participate in the WHO’s Healthy Food Markets programme and food quality assurance is not systematically addressed.

Visit to Sulfo Rwanda Industries S.A. The company bottles drinking water and has a fully functional laboratory for chemical and microbiological to assure quality to international standards.

Visit to Inyange Industries This company is scheduled to relocate to a purpose built premises and intends to develop a passion fruit syrup for export. There is at present no Codex standard for this product.

Visit to Brasserie et Limonaderie du Rwanda (Bralirwa) As a subsidiary of Heineken International, this establishment complies fully with international management and food production standards. A senior company representative was chairman of the Rwanda National Codex Committee at the time of the consultant’s visit to Rwanda.



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ANNEX 4: AN APPROACH FOR THE CODEX TRUST FUND TO ENHANCE KNOWLEDGE TRANSFER RELATED TO FOOD

STANDARDS & FOOD SAFETY _________________________________________________________________________

1. Aims

The Codex Trust Fund’s policy is to enhance the participation of people from developing countries and countries with economies in transition in the standards-setting process of Codex, aiming to � Make an effective contribution to the functioning of Codex Alimentarius

Commission � Up-date knowledge and expertise related to food safety � Support succession planning for the future management of Codex � Gain and share relevant professional, academic or technical knowledge � Plan and support personal, professional and organizational development

2. Fundamental principles

The Codex Peer Support System is based upon � The defined, prioritized needs for the development of food standards related to

individual countries, groups of countries or commodities � Agreement between peers of appropriate measures (compliant with the Codex

standard setting process) to meet the identified needs � Induction of all new participants in Codex and those undertaking a new role

within Codex � The adoption of an action planning approach to the agreed work � Sharing of skills, knowledge and good practice � Access to equal opportunities in accordance with the commitment of Codex � Evaluation of the provision of opportunities and their outcomes

3. Development and training opportunities

The Codex Trust Fund will support, subject to the identification of priorities and resources, education, training and development, opportunities that � Are related to a job that involves participation in setting and/or applying Codex

standards � Lead to recognized experience appropriate to the individual’s job � Update the skills and knowledge to do the job � Support personal and professional (career) development, and � Support institutional development The Codex Trust Fund aims to create work-based opportunities, which could include: Projects Projects provide the opportunity to develop and apply skills and gain an understanding of a new area of work. The project will normally be in addition to routine duties. Exchange visits and work shadowing Participants could ‘shadow’ an experienced colleague to observe and learn about the work at first hand, e.g., planning the work, managing people, managing the workload and time, understanding the importance of systems and procedures used; reporting; etc. An action planning approach to work shadowing will include the objectives, outcomes and review process.



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Networking and professional links Through subject-specific and region-specific Codex committees country representatives, scientists and other stakeholders can establish and maintain links with people in similar roles or situations, to create opportunities to stay up-to-date and exchange ideas. The Codex Trust Fund could facilitate this networking through:

� Funding participation in international Codex meetings

� The promotion and facilitation of national Codex committees

� Exchange visits with similar departments in other establishments

� Facilitation of networking opportunities

� Networking with staff at a similar level in other countries or other organizations to exchange ideas, discuss current issues and develop joint projects

Mentoring A mentor is defined as an 'experienced and trusted adviser and guide'. Mentoring complements on-the-job learning, formal training events, and personal development planning. Within Codex, mentoring is a voluntary activity on the side of both mentors and mentees (those who receive the advice of mentors). It can be used to support induction into a new post, increase the potential of 'high fliers', support career development, and to give participants a wider perspective to their job. The role of the mentor is to encourage the learner to review their learning experiences in order to improve performance and/or to move their career forward. The mentor does not teach new skills or techniques but passes on experience, guides, encourages discussion of new ideas, and issues important to the learner, and can act as a role model. For practical purposes, mentoring within the context of the Codex Trust Fund project would probably be limited to work linked to the scientific bodies that advise the Codex Alimentarius Commission, i.e. Joint FAO/WHO Meetings on Pesticide Residues (JMPR), Joint FAO/WHO Meetings on Microbiological Risk Assessment (JEMRA), and Joint FAO/WHO Expert Committee on Food Additives (JECFA). Peer support Newcomers to Codex may ask to be matched to a peer who would support their induction into the Codex process. More experienced peers ('oldtimers') would assist newcomers to orient themselves within the workings of Codex by providing general support and acting as a source of information and a portal to networks. Where the supporting peer ('old-timer') is an expert (subject matter specialist) in the area in which the individual needs to become skilled, the 'old-timer's' role is to support the development of the knowledge and skills required. This may include training the person in the use of systems and procedures, or supporting a development project of mutual interest. The Codex Trust Fund will, in discussion with the old-timer and the newcomer, agree the scope and duration of the support to be provided and will also agree on a review procedure. Whilst the peer support approach can be highly effective in transferring knowledge of specific subjects and skills, the organizational demands of establishing a large-scale peer support system56 for the Codex Trust Fund would require a high level of

56 Organizational requirements of a formal buddying system would include developing and maintaining a register of 'qualified' senior buddies' with relevant expertise and communication skills.



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administrative resources. An additional drawback of this type of system in the context of the Codex Alimentarius and world trade is the risk that such relationships might be perceived as influencing the 'weaker' countries. Learning groups The Codex Trust Fund recognizes the value of action learning57 and stakeholders are encouraged to form action learning groups as a flexible and effective way of promoting learning and information sharing. Membership of these peer groups is voluntary: each group comprises 5 to 8 people, one of whom is an experienced facilitator. The members of the group learn by each person planning and reviewing actions aimed at addressing real problems or issues that confront them. The other members of the group are usually peers whose role in the group is to analyze the specific situation confronting the individual members of their group and to pose questions aimed at supporting the identification of appropriate solutions. The learning group aims to � Help each member analyze their own problems and issues, devise options,

decide on and revise action plans, and most important of all, to learn from the effects of the actions taken

� Provide support and encouragement, and challenge assumptions � Support individual and collective learning and development An important function of a learning group is to enhance learning from experience by promoting reflective practice (i.e., engaging in reflection on concrete experiences, making sense of them and assisting the planning of subsequent actions or, in other words, refining ‘forethought’). An important outcome of reflective practice is that individuals learn by gaining knowledge of the world based on their own experience and do not have only an academic knowledge base. In the context of self-managed learning, participants engage in 'dialogue' and share knowledge by rendering explicit their tacit knowledge. Other opportunities The Codex Trust Fund could also support a range of other activities to promote knowledge sharing (e.g., reflective practice; seminars and presentations; editorial advisory panels; promotion of visits to relevant organizations)

4. Resources The Codex Trust Fund manages donations that accrue from donor countries and supports a range of activities58, some of which are allocated to support knowledge sharing at country and regional levels.

5. Evaluation of enhanced capacity to participate in Codex standard setting The evaluation of enhanced capacity will be undertaken in the following ways:

� Through an appraisal process that involves FAO and WHO in-country representatives

� Through staff development reviews

57 McGill and Beaty (2001) defined 'action learning’ as a practice that is

“a continuous process of learning and reflection, supported by colleagues, with an intention of getting things done. Through action learning individuals learn with and from each other by working on real problems and reflecting on their own experiences.” (p. 17)

58 (http://www.who.int/foodsafety/codex/trustfund/en/index.html).



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� By the Codex Trust Fund Administrator, as part of the review of an individual country's national food safety strategy and periodic reports

� Reviewers will consider the following questions when reviewing development opportunities:

o How well did participation increase capacity to set standards?

o What were the benefits to the individual?

o How has the department/division/unit benefited?

6. Monitoring and Review The Codex Trust Fund Administrator will monitor the reports of the beneficiary countries of their participation in the Codex sessions; the results of their action plans; deliberations of the national Codex committees, WHO/FAO country representatives.



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AN OUTLINE OF A PEER SUPPORT SYSTEM

TO ENHANCE THE WORK OF THE CODEX ALIMENTARIUS COMMISSION

In the peer support system, a more experienced person teams up with a less experienced person to work towards the achievement of common objectives. The system might be complemented by other learning schemes involving larger numbers of people.

1. Choosing a peer Mutual respect, not necessarily close friendship Should work in broadly the same field Make a commitment to work as partners for at least one year.

2. Frequency of meetings Partners should agree to meet or contact each other on a regular basis – either by email, telephone or video conference – if not physically and allocate at least one hour to each meeting, contact For that fixed period, say one hour, each peer discusses only business.

3. Setting objectives At the first meeting, each peer sets an initial realistic objective for the timeframe envisaged. The objective should represent a challenge and be achievable.

4. Setting target dates Each partner should set target dates and agree them mutually. These might be revised after mutual review.

5. Drawing up an action plan The action plan is based on a step by step approach towards achieving the objective[s] within the stated timeframe. Ensure that each action is distinct and leads to an achievable/realistic end point.

6. Planning meetings (contacts) Develop a schedule of meetings or contact times to support/review specific actions.

7. Reviewing action plans Ensure that each partner knows exactly what s/he has to do before embarking on the task/action. The two peers should conduct detailed reviews together (in line with the principles of action planning

59).

8. Follow-up meetings

[Meetings should be timed] Both peers review jointly the actions they have taken or not taken; identify the problems and constraints that arose; and, propose solutions to the problems identified. [The types of problems discussed might include fund raising; procurement of equipment, materials, or services; and, coping with interpersonal challenges] The last 5 minutes of each meeting should be used to plan and diarize follow-up actions.

59 Action planning is a process that focuses ideas and aids decisions on the actions needed to achieve specific objectives. It comprises a concise written statement of the results expected within a stated timeframe, which are monitored regularly to ascertain progress. Action planning is effective in supporting progress within a defined timeframe.