WORLD TRADE  
ORGANIZATION  G/SPS/GEN/875 
24 September 2008 
 (08-4494) 
Committee on Sanitary a nd Phytosanitary Measures  
  
 
 
 
GOOD PRACTICE IN SPS-RELATED TECHNICAL ASSISTANCE  
AN OVERVIEW AND SYNTHESIS OF THE FINDINGS OF STDF/OECD RESEARCH  
 
Note by the Secretariat
1 
 
 
Summary  
1. This paper provides an overview of resear ch on good practice in SPS-related technical 
assistance, carried out by the Standards and Trade Development Facility (STDF)  in collaboration with 
the Organisation for Economic Co-operation and Development (OECD).   The underlying purpose 
was to examine how the Paris Principles on Aid Effe ctiveness can be applied in the highly technical 
area of SPS-related technical assistance.   
2. The research was based on replies to a requ est for information on good practice in SPS-
related technical cooperation (G /SPS/GEN/816 and G/SPS/GEN/816/Add.1) in Central America, East 
Africa and the Greater Mekong Delta Sub-region (GMS).  Twenty four projects – six in East Africa, 
eight in Central America and 10 in the Greate r Mekong Delta Sub-region – were nominated as 
examples of good practice.  In-country interviews  were subsequently carried out with project 
beneficiaries and partners from June to August 2008.  Individua l reports have been published 
documenting the findings and conclusions in Central America (G/SPS/GEN/874), East Africa 
(G/SPS/GEN/871), and the Greater Mekong De lta Sub-Region (G/SPS/GEN/872).    
3. This document discusses aspects of good practice in  terms of project design, implementation, 
outputs and the achievement of higher-order objectiv es (i.e. improved SPS situation, market access, 
impact on poverty alleviation, etc.).  The research concludes that while "one size does not fit all", the 
Paris Principles offer sound guidance to enhance the effectiveness and impact of future SPS-related 
technical assistance.   
4. The research singled out the following good practice elements in project design:  (i) paying 
attention to the country context and absorptive  capacity;  (ii) promoting ownership;  (iii) 
systematically assessing and prioritizing needs;  (iv) ensuring transparency, connectivity and 
sequencing of activities;  (v) adopting a value chain approach to maximize the market access impact;  
(vi) promoting the active involvement of all concer ned stakeholders including the private sector; and 
(vii) considering the challenges and potential bene fits of a regional vs. national approach.   
5. Recognizing ownership as the foundation for ai d effectiveness, the research underlined the 
challenge of achieving a demand-dr iven approach when national stakeholders in some countries 
(particularly least developed countries) are unaware  of the importance of SPS capacity and/or lack 
understanding about prevailing SPS c onstraints and opportunities, and how to respond to them most 
                                                     
 
1 This document has been prepared under the Secret ariat's own responsibility and is without prejudice 
to the positions of Members or to their rights or obligations under the WTO G/SPS/GEN/875 
Page 2  
 
  effectively.  In such cases, there may be a case for "supply-driven" activities to sensitize decision-
makers as to the importance of SPS capacity-building.   Involving concerned pu blic and private sector 
groups in assessing needs was seen as an effective way to increase ownership, design activities that 
are relevant and cost-effective, and promote li nkages with completed, ongoing and/or planned 
assistance as appropriate.  The benefits of a value-ch ain approach to design focused interventions that 
address related needs along the whole product chai n was identified as a way to maximize market 
access opportunities. 
6. In terms of implementation, the main lessons that emerged concerned the need to:  (i) use 
strengthened country expertise and systems;  (ii) ensure flexibility in implementation;  (iii) pay 
attention to results-based management including m onitoring and evaluation; and (iv) promote active 
learning and link skills development to practice.  The importance of strengthening managerial 
capacity in the agencies responsible for SPS-relate d technical assistance (including skills to assess 
needs, formulate bankable projects, manage and coordinate technical assistance, etc.) was emphasized.   
7. Three main lessons were drawn regarding good practice in project outputs and the 
achieve§ment of higher-order objectives:  (i) maxi mize impacts and sustainability through greater 
participation of beneficiaries;  (ii) consider mark et distortions and promote sustainability in project 
activities and impact;  and (iii) follow a multi-tiered structure of objectives.    
8. The difficulties inherent in quantifying the impact of technical cooperation projects, 
particularly the achievement of higher-order objectiv es, were recognized.  The fact that impact is 
experienced well beyond the timeframe of projects themselves makes it difficult to attribute impacts 
to specific interventions.  Furthermore, many countries have received a variety of SPS-related 
technical assistance projects with similar objectives and it is complex to link particular changes in levels of SPS capacity and/or higher-order impacts to a specific project.   
9. The research acknowledges that capacity buildi ng in the area of SPS is complex, involving 
multiple actors, needs and sources of financing.  Th ese factors, combined in some instances with the 
absence of clearly identified goals and/or unders tanding about what is needed to strengthen SPS 
capacity, impede the wider application of the Paris Principles.  Contextual factors, particularly 
absorptive capacity and the nature of governance in  the SPS sector, significantly influence the ability 
of donors and beneficiaries to apply the Paris Principles.   
10. Based on the findings, recommendations are draw n for the providers and recipients of SPS-
related technical assistance, and possible areas for future work identified.    
11. The providers of SPS-related technical assistance are encouraged to: 
i. Focus on ownership and increase the involvement of beneficiaries in project design and 
implementation.  Where awareness of SPS issues is lacking, sensitization of decision-makers 
may be a necessary preliminary step; 
ii. Promote greater harmonization in the planning and delivery of technical assistance;   
iii. Adopt a value chain and results-oriented a pproach to maximize market access; and 
iv. Promote integration of SPS-capacity building w ith investment and private sector development 
programmes.  G/SPS/GEN/875 
 Page 3 
 
 
  12. The recipients of SPS-related technical assistance are encouraged to:   
i. Assess and prioritize SPS-related capacity bui lding needs in collaboration with all 
stakeholders concerned in particular the private sector; and 
ii. Develop national strategies and action plans to guide SPS-related capacity building. 
13. Recommendations for possible fu ture work focus on:   
i. Expanding the use of cost-benefit analysis to guide the design of SPS-related technical 
assistance as a means to ensure that availabl e resources are focused on areas where they  
achieve the maximum rate of return and greatest trade impact; 
ii. Making greater use of available capacity evaluation approaches to assess SPS needs and 
priorities in a more systematic manner and bu ild knowledge and skills on needs assessment in 
developing countries; and 
iii. Tracking the achievement of higher-order objec tives through monitoring and evaluation of the 
impact of SPS-related technical cooperation at  a systems level, focusing on the performance 
over-time rather than trying to attach specifi c impacts to individual projects.  Such an 
approach focusing on the cumulative effects of a ssistance would help identify the benefits for 
the broader economy and generate data on rates of return on capacity building as a whole.   
Introduction 
 
14. This paper provides an overview of resear ch on good practice in SPS-related technical 
cooperation carried out by the Standards and Trade Development Facility (STDF) and the 
Organisation for Economic Co-ope ration and Development (OECD).2  The research was based on 
replies to a request for information on good practice in SPS-related technical cooperation 
(G/SPS/GEN/816 and add.1) in three regions:  Centra l America, East Africa and the Greater Mekong 
Delta Sub-region (GMS)3.  The paper also builds on a report on  good practice in SPS-related technical 
assistance commissioned by the STDF.4  The underlying theme of this research was to examine how 
the Paris Declaration on Aid Effectiveness can best  be applied in the highly-technical area of SPS-
related capacity building.5 
15. A total of 24 projects were put forward as examples of good practice in response to the 
information request (see Annex 1).  The projects represent a good cross-section of the type of SPS-
related technical cooperation offered in terms of  technical and geographic scope, timeframe and 
budget.   
                                                      
2 This overview paper is based on three regional research papers published in September 2008:   (i) 
Good Practice in SPS-Related Techni cal Cooperation.  Central America Sub-region.  Jason Hafemeister 
(G/SPS/GEN/874);  (ii) Good Prac tice in SPS-Related Technical Coopera tion.  East Africa Region Report.  
Spencer Henson and Oliver Masakure (G/SPS/GEN/871);  and (iii) Good Practice in SPS-Related Technical 
Cooperation.  Greater Mekong Sub-Region.  Cornelis van der Meer and Laura L. Ignacio (G/SPS/GEN/872).   
3 The following countries were included in this res earch:  Central America (Costa Rica, El Salvador, 
Guatemala, Honduras, Nicaragua and Panama);  East  Africa (Kenya, Tanzania and Uganda) and Greater 
Mekong Delta Sub-region (Cambodia, Lao People’s Democratic Republic (PDR) and Viet Nam).   
4 Gascoigne, D.  2007.  Identification of Parameters for Good Practice and Benchmarks for Judging the 
Impact of SPS-Related Technical A ssistance.  Report for the Standards and Trade Development Facility, 
Geneva.  Available at:  www.standardsfacility.org.  
5 OECD.  2005.  Paris Declaration on  Aid Effectiveness. Available at:  
www.oecd.org/document/18/0,2340,en_2649_3236398_35401554_1_1_1_1,00.html  G/SPS/GEN/875 
Page 4  
 
  16. Fieldwork in beneficiary countries was carried out by three consultants from June to August 
2008 to examine the projects nominated as exampl es of good practice.  The research sought to 
identify elements of good practice which could be rep licated in future projects, particularly with 
regard to project design, implementation, outputs and the achievement of higher-order objectives (i.e. 
improved SPS situation, market access, im pact on poverty alleviation, etc.).  
17. Several challenges were encountered in during the fieldwork, notably:   
• the impact of technical cooperation projects, particularly the achievement of higher-order 
objectives, is experienced well beyond the time frame of projects themselves, which makes it 
difficult to attribute impacts to specific interventions;   
• many developing countries have received several SPS-related technical assistance projects 
with similar objectives, making it problematical to establish cause and effect for specific projects;  
• the types of information available for nominate d projects in each region differed, making it 
difficult to compare and contrast experi ences within and across regions; and   
• in some cases, staff turnover in donor and be neficiary organizations meant that some of the 
persons responsible for project activ ities were unavailable for interview. 
Paris Principles on Aid Effectiveness 
18. Endorsed by 114 countries and 25 international organizations, the 2005 Paris Declaration on 
Aid Effectiveness  sets out a roadmap of practical commitm ents, organized around five key principles 
(see Box 1), each of which has a set of indicators of achievement.   
Box 1.  The Paris Principles on Aid Effectiveness, 2005 
Ownership  Partner countries exercise effective leadership over their development policies, and 
strategies and coordinate development actions. 
Alignment  Donors base their overall support on partner countries' national development 
strategies, institutions and procedures. 
Harmonization  Donors' actions are more harmonized, transparent and collectively effective. 
Managing for  
results  Managing resources and improving decision-making for results. 
Mutual 
accountability  Donors and partners are accountable for development results. 
Source:  Paris Declaration on Aid Effectiveness.  Availa ble at:  http://www.oecd.org/dataoecd/11/41/34428351.pdf. 
 
 
19. To accelerate implementation of the Paris Principles, the  Accra Agenda for Action was 
adopted at the Third High Level Forum on Aid Eff ectiveness held in Accra, Ghana in September 2008 
(see Box 2).   G/SPS/GEN/875 
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  Box 2.  Some key points in the Accra Agenda for Action, 4 September 2008 
• Predictability:   Donors will provide information on their future planned assistance to partner countries
(3-4 years in advance). 
• Participation:   Developing country governments and donors will engage a broader range of stakeholders 
in preparing, implementing and monitoring national development policies and plans.  
• Country systems:   Partner country systems will be used to deliver assistance as the first option, rather 
than donor systems.  
• Partnerships:   Recognition of the role and valuable contribu tions of different types of stakeholders (e.g. 
local governments, private sector, civil society, etc.) and development of inclusive partnerships that 
address management and coordination challenges.  
• Demand-driven approach:   Donors’ support for capacity development will be demand-driven and 
designed to support country ownership.  
• Reduced fragmentation:  Donors will reduce the fragmentation of aid by improving the 
complementarity of their efforts and the division of labour among them, including through improved allocation of resources within sectors, within countries, and across countries.  
Source:  Accra Agenda for Action. Available at:  www.accrahlf.net .  
 
 
Key lessons for good practice in the design of SPS-related technical cooperation projects  
 Country context and absorptive capacity  
20. Country context and absorptive capacity were id entified as critical factors influencing the 
success of SPS capacity building projects.  Signifi cant differences in abso rptive capacity in the 
Greater Mekong Delta Sub-Region – evident through variations in institutional arrangements for SPS 
management and the availability of technical and managerial expertise – were seen as affecting 
national ownership and the ability of countries to direct, manage and maximize the benefits of 
available assistance.  As such, it was observed that:  
• performance was generally weaker in countri es with the lowest absorptive capacity;  
• projects that work in more advanced countri es may not be appropriate for countries with 
limited absorptive capacity; and  
• the outcomes of regional projects could be impr oved by better tailoring support to in-country 
needs and conditions including absorptive capacity.  
Ownership and demand- vs. supply-driven technical assistance 
 
21. The Paris Declaration recognizes ownership as the foundation for aid effectiveness.  
Experience shows that technical assistance is mo st effective when it supports countries' own 
development efforts and goals, and has the commitment of key stakeholders in the country.  It is less 
effective when it is donor-driven.  Research in a ll three regions highlighted that enhancing national 
ownership demands a strong role for project bene ficiaries in the design and implementation of 
projects, including in needs identification, appraisal  and priority-setting.  It further emphasized the 
importance of political commitment and buy-in.  Wh ere high-level awareness and appreciation of the 
need for capacity building is missing, necessary ins titutional change can be impeded and the financial 
allocations required to operate and maintain  capacity are less likely to be made.   
22. Several of the projects considered recogni zed the importance of enhancing national 
ownership.  In East Africa, the EC-funded Pesticid es Initiative Programme (PIP) was recognized as an G/SPS/GEN/875 
Page 6  
 
  example of good practice in obtaining political support through the establishment and/or 
strengthening of task forces involving the public  and private sectors, dissemination of timely and 
reliable information, and engagement with the media.  FAO’s efforts to link food safety needs 
assessments in Tanzania and Kenya to action plan s, and carry out activities to encourage national 
governments to adopt these plans, provided a pl atform to promote political support and enhance 
accountability for future capacity building efforts.   
23. The challenge of promoting demand-driven m odes of technical cooperation when national 
stakeholders are not aware, and/or lack understa nding, of the SPS challenges they face emerged as a 
key finding.  In these circumstances, the regional report for East Africa concluded that assistance might be more meaningfully supply-driven in certain contexts, for example where: 
• prevailing levels of SPS-related capacity are weak  in the public and/or private sectors, such 
that there may be lack of awareness of the need  for, and/or nature of, specific elements of 
capacity; 
• SPS requirements in export markets are changing rapidly and the ability to capture 
information on evolving SPS requirements is w eak and/or not explicitly linked to decision-
making processes; and  
• acute risks/emergencies arise that require ra pid action, especially where these risks are new 
and local capacity to address them is weak. 
24. The difficulties inherent in ensuring effec tive national leadership and coordination of 
technical assistance when existing levels of SPS-rela ted capacity are weak underlines the need to raise 
awareness about the importance of SPS capacity among public and private sector stakeholders and increase their ability to identify and prioritize thei r capacity needs, and formulate these needs into 
bankable projects.    
Needs analysis is a starting point for good prac tice in the provision of SPS related technical 
assistance 
25. The importance of systematically assessing and prioritizing needs emerged as a clear 
conclusion in all three regions studied.  Carrying out  a needs assessment was seen as a useful way to:  
(i) obtain the views of relevant public and private sector groups on proposed activities;  (ii) identify 
the costs and benefits of the proposed activities;  (iii) build on existing levels of capacity as well as 
any relevant completed, ongoing and/or planned assi stance;  and (iv) generate necessary information 
for log frame design and monitoring.   
26. Some type of needs assessment was undertaken  in most of the projects nominated as 
examples of good practice.  However, the East A frica regional report noted that the form taken by 
these assessments was unclear, not all the concerned stakeholders were cons ulted and/or different 
approaches were employed, which created inc onsistencies, increased transaction costs for 
beneficiaries and impeded the app lication of good practice.  To respond to these problems, the wider 
use of existing capacity assessment tools was reco mmended to promote cons istency and build skills 
and knowledge of developing country officials in needs assessment.   
27. Research in Viet Nam, Cambodia and Lao PDR further underlined the importance of taking a 
broad public perspective in assessing needs – rather than narrowly focusing on the interests of the 
main public and/or private recipients of resources – to ensure that considerations related to impact, 
cost-effectiveness and sustainability of  proposed assistance receive adequa te attention.  Similarly, the 
importance of consulting potential users of services as well as service providers, and considering the  G/SPS/GEN/875 
 Page 7 
 
 
  relevance of proposed assistance, especially in term s of its contribution to higher-order objectives, 
was emphasized.   
Transparency, connectivity and sequencing of SPS-related technical assistance 
28. The Paris Principles commit the providers and recipients of technical assistance to achieve 
greater harmonization and transparency in technical  assistance.  Building linkages with relevant 
completed, ongoing and/or planned assistance was seen as critical to the efficacy and sustainability of 
capacity-building efforts.  The research underlined  that this was particularly important for the 
planning and implementation of SPS-related technical assistance, given the number and diversity of national and donor institutions involved.   
29. Concrete steps have been taken to improve  linkages and synergies in the design and 
implementation of their activities (see Box 3).  However, coordination and transparency in SPS-
related technical assistance remains inadequate  and duplication persists, resulting in increased 
transaction costs for beneficiaries, inefficient use of  scarce resources and less than optimal outcomes.   
Box 3:  Promoting harmonization in  SPS-related technical assistance 
Regional research in Cambodia, Lao PDR and Viet Nam recognized the efforts of donors to promote greater 
harmonization in their activities.  For instance, the regional Southeast Asia Foot and Mouth Disease 
Programme (SEAFMD) involved the World Organisation for Animal Health (OIE) and Australia, and was 
linked to a more general SPS capacity building programme supported by Australia.  Danida's Fishborne Zoonotic Parasites Project  in Viet Nam fed into the National Fisheries Sector Programme Support (FSPS).  
The market access support programmes in Viet Nam and the GMS, funded by Switzerland (SECO) and 
Norway (NORAD) respectively, are components of UNIDO’s integrated programme of assistance for Viet Nam.  The SECO-UNIDO project itself is an intervention arising from the needs assessment conducted by 
the NORAD-UNIDO project.
  
 
30. The Paris Principles recognize that inadequa te attention to sequencing and excessive 
fragmentation of assistance at the global, country or  sector level impairs effectiveness.  As such, 
technical assistance should be planned and delivered  so that projects build on each other and ensure 
synergies with related activities.  This research ac knowledged the importance of sequencing;  there is 
no point in developing capacities higher up the SPS hierarchy if more basic types of capacity are 
missing.6  Beneficiaries supported the view that partial support for complex capacity building 
processes easily results in less than optimum effec tiveness and sustainability.  For instance, some of 
the beneficiaries interviewed in the Greater Me kong Delta Sub-region and East Africa expressed 
frustration that they could not effectively utili ze new skills acquired through training because of 
inadequate facilities and equipment in their home  countries.  There was consensus that a more 
effective approach is generally to provide s ubstantive and well-targeted support as part of a 
comprehensive and long-term SPS capacity building process.     
31. In a few of the projects studied, it emerge d that implementation was constrained by 
inadequate resources.  For instance, one of the frust rations noted by beneficiaries of the PIP was the 
inability of the project to support capital investments or  staff costs.  While this  may have been deemed 
appropriate, the efficacy of some of the support provided by PIP was compromised somewhat by the 
inability of beneficiaries to access resources from other donor programmes or the financial sector.  
 
 
                                                      
6 Sequencing is understood to mean building capacity in a step-by-step manner so that activities are 
planned and delivered in a logical orde r to maximize impact.         G/SPS/GEN/875 
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  Value-chain approach  
 
32. The research in Central America highlighted the benefits of adopting a value-chain approach 
in the design of SPS-related technical assistance (see Box 4).  Such a comprehensive approach 
provided a means to identify and address the need for complementary interventions – targeted at 
producers, private enterprises and concerned parts of  government (including agencies responsible for 
inspection, testing and diagnosis, certification, etc.) – along the whole commodity chain from production to export.   This was seen as a way to maximize market access and increase exports by 
strengthening the regulatory frame work for SPS management and increasing the competitiveness of 
an industry and the firms within it.   
Box 4.  Value-chain approach to project design in Central America 
The project to enhance the ability of Central American countries to comply with USDA regulatory 
requirements for exports of peppers and tomatoes set specific objectives and targeted stakeholders with different roles and responsibilities along the value-chain.  Training was tailored to particular groups involved 
in production, packing, inspection, diagnosis and certification to ensure a comprehensive approach.  
Similarly, the Chinese Taipei papaya export promotion project worked with producers to increase yield and 
control pests, built an operational packing facility, assisted producers with import certification and provided 
marketing assistance.  Both projects have resulted in increased exports, in some cases with substantial 
exports developing into markets that had been closed to exporters from the country, with sizeable increases 
forecast in the near future. 
  
 
33. Several of the projects studied in Central Amer ica demonstrate how the use of a value chain 
approach can:   
• increase political support for proposed project ac tivities through the identification of clear 
economic benefits;   
• enhance project design through the definition of appropriate objectives, targeted interventions 
and quantifiable indicators of success; and 
• ensure that tangible economic benefits remain after the project has ended. 
Active involvement of all concerned st akeholders including the private sector  
 
34. The research in all three regions underlined that active involvement of all the concerned 
stakeholders, including the private sector, is cruc ial for project effectiveness and sustainability.  
Beneficiary participation was singled out as im portant for building ownership and facilitating 
coordination.  In the Greater Mekong Delta Sub-Re gion and East Africa, sev eral of the projects 
studied were strongly government focused even wh ere impact also depended significantly on private 
sector involvement.  The Japanese-funded project fo cused on thermal treatment for the disinfestation 
of fruit flies in Viet Nam provides a good example of how the private sector can be involved to 
enhance outcomes;  in this case, project activities wi ll be scaled up to a commercial size by private 
companies.   
35. In Central America, most of the nominated proj ects worked closely with the private sector.  In 
several cases, projects worked with  producers' associations in the beneficiary countries to effectively 
target and enhance collaboration with farmers and processors, and utilize existing information 
exchange networks (see Box 5).    G/SPS/GEN/875 
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  Box 5.  Collaboration with Producers' Organizations in Central America 
In Costa Rica, producer’s associations took the lead in developing the Broca de Café  project and provided a 
substantial financial contribution to support the project’s activities.  The project to establish a fruit fly free 
zone in Costa Rica involved producers in the selection of participants for training and implementation of 
monitoring and control programmes.  In the U.S.-supported pepper and tomato project, producers associations helped to organize training seminars and identify sites for conducting demonstration projects. 
In Guatemala, local producer’s groups effectively involved their members in activities of the export 
promotion project, supported by Chinese Taipei. 
 
 
 
Regional vs. national approach to SPS-related capacity building  
 
36. Several of the projects nominated as examples of  good practice were regional in scope.  The 
research concluded that a regional approach is  most appropriate when addressing transboundary 
issues related to the management of plant pests a nd/or animal diseases, economic cooperation and/or 
trade promotion.  For some of the projects cons idered, a regional focus shared knowledge and skills 
across countries, enhancing implementation and en abling benefits to be leveraged (Box 6).   
Box 6.  Promoting professional networks through a regional approach 
A number of the projects considered in East Africa developed networks of practitioners whether as an 
intended impact or secondary consequence.  The USDA-funded East Africa Phytosanitary Information Committee project successfully achieved its objective to establish a useful network of practitioners and 
organizations involved in the management of plant pests and diseases through engendering a high degree of 
local ownership and control.  Less formal beneficiary networks also emerged from the WHO Global Salm-
Surv training programme and the Swedish-supported Advanced Training Programme on Quality 
Infrastructure for Food Safety as potential long-term networks for sharing knowledge and experiences.    
In Central America, the FAO-sponsored laboratory project built on existing professional networks to share 
information and expertise in the region. 
  
 
37. Yet the research also observed that effec tively designing and implementing a regional 
approach is challenging.  Common difficulties faced in  pursuing a regional approach include:  (i) the 
longer timeframes required for project preparation a nd decision-making;  (ii) relatively high costs;  
and (iii) difficulties to design and implement activ ities where there are significant differences in 
needs, potential benefits and/or absorptive capac ity across the countries/stakeholders involved.  The 
regional report for the Greater Mekong Delta Sub-region concluded that due to variations in levels of 
development and absorptive capacity, technical coope ration projects should be carried out as much as 
possible at the national level, with regional appr oaches focused on particular areas of significant 
interaction and interdependency among countries. 
Key lessons for good practice in project implementation  
Use of strengthened country expertise and systems  
 
38. The Paris Principles support the use of country systems, procedures and expertise to the 
maximum extent possible.  In general, however , donors, international agencies and consultants 
continue to lead the design and de facto  implementation of SPS projects.  There are compelling 
reasons for this including the absence of national strategies or frameworks for SPS capacity building, 
limited management capacity and/or technical skills in national counterpart agencies, concerns about 
inappropriate use of resources and/or pressure to  spend budgets on time.  Nevertheless, national-led 
design and implementation of SPS-related projects should be encouraged as a means to enhance 
ownership, strengthen the capacity of national authorities and contribute towards ongoing learning 
(see Box 7).  G/SPS/GEN/875 
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  Box 7.  Investing in local capacity to deliver training and consultancies services 
One of the key elements of good practice in the PIP was the level of effort and investment in local capacity to 
deliver training and consultancy services to beneficiaries.  Thus, while international consultants were used 
initially in Kenya, Uganda and Tanzania, over time a critical body of local private service providers was 
established through training and the provision of materials.  These private service providers were then 
included on the list of approved consultants from which firms receiving PIP support could be selected.  In all 
three countries, the capacity-building needs of exporters can now be met locally.    
 
Flexibility 
 
39. Research in each of the three regions confirmed th at it is good practice to build flexibility into 
project execution and the definition and assessment of intended impacts.  Circumstances may change, 
unforeseen challenges may arise and priorities can sh ift over time.  What can reasonably be achieved 
where prevailing public and/or private sector capacity  is relatively strong will noticeably differ from 
circumstances where a nascent industry or SPS mana gement system is weak.  Technical cooperation 
projects need to be able to account for such differe nces, especially where a project is applied across 
countries and/or sectors, to avoid adopting a one size fits all model and/or judging the impacts of an intervention in differing contexts using the same indi cators.  The need for flex ibility was seen as being 
especially important in regional projects to ensure th at the scope of interventions and their modes of 
delivery could be adapted as required to accommoda te varying needs and capacities across multiple 
recipients of assistance. 
Results-based management including monitoring and evaluation  
 
40. Managing for results means managing and implementing assistance in a way that focuses on 
the desired results and uses information to impr ove decision-making.  Results-based management 
requires close attention to the linkages between goa ls, objectives, outputs and inputs tied to effective 
monitoring and evaluation systems.  This can be achieved through a good logical framework or log 
frame, an analytical tool to support project design, implementation, monitoring and evaluation.  While 
the log frame approach is applied by many inte rnational organizations and donors, research in the 
Greater Mekong Delta Sub-region highlighted that only some of the projects there had developed a log frame and that several of the projects that had a log frame did not effectively use it to support 
results-based management. 
41. Managing for results requires a minimum level of capacity to formulate and implement SPS-
focused policies and manage public resources to achie ve goals.  Yet, the research highlighted that 
qualified and experienced managers are scar ce in the SPS services of many countries.
 7  As a way of 
strengthening this capacity, donors agreed in the Paris Principles to increasingly entrust the 
management of aid to developing countries.  Howe ver, as indicated above, ownership remains weak.  
One of the conclusions emerging from the Greater  Mekong Delta Sub-region therefore focused on the 
need to build skills to manage technical assistance in  general, and SPS issues in particular, especially 
in countries with weak absorptive capacity.  
Active learning and linking skills development to practice 
 
42. Several of the projects nominated as examples of good practice were focused on, or included 
components for, training.  The research indicated th at training was most effective when it was linked 
to the specific needs and daily duties of beneficiaries.   Similarly, the impact of training reflected not 
only the content and mode of delivery, but also the choice of participants.   
                                                      
  7 Gascoigne. 2007.  Identification of Parameters for Good Practice and Benchmarks for Judging the 
Impact of SPS-Related Technical A ssistance.  Report for the Standards and Trade Development Facility, 
Geneva.  G/SPS/GEN/875 
 Page 11 
 
 
  43. The research findings from East Africa emphasi zed that training only generates substantive 
and sustainable capacity if the individuals selected ha ve the necessary skills a nd experience, as well as 
the opportunity to apply the knowledge and skills ac quired in their day to day work.  Training 
programmes directed at more senior officials, who are not directly involved in the application of 
technical knowledge and skills, diluted the impact of training.   
Key lessons for good practice in project outputs, impact and achievement of higher-order 
objectives 
Maximizing impacts and sustainability through greater participation of beneficiaries  
 
44. The Paris Principles commit donors to actively enga ge with beneficiaries and to give them a 
leading role in project design and preparation, im plementation, monitoring and evaluation.  Yet the 
research undertaken for this study indicates that tec hnical assistance is frequently more supply-driven 
than demand-driven and, at times, fragmented in pa rt due to the absence of coherent plans for SPS 
capacity building.  These factors may result in le ss than optimal outcomes and achievements, and 
reduce sustainability.  For instance, findings from research in the Greater Mekong Delta Sub-region 
pointed to the challenges posed by weak dema nd for services, both from the private sector and 
government authorities, putting at risk the sustainability of some project activities, which cannot be guaranteed without follow-up actions to safeguard ach ievements and implement the capacity created.   
45. Private enterprises are responsible for exports of  food and agricultural products and generally 
understand best what is required to respond to mark et access constraints.  As such, actively involving 
the private sector in the design and implementati on of SPS-related technical assistance will help to 
ensure that the activities implemented meet a clear need, are cost-effective and achieve the expected 
objectives in a sustainable manner.  
46. Finally, it is important to recognize that the Paris Principles require the beneficiaries of 
technical assistance to exercise  leadership in developing and implementing national development 
strategies through broad consultative processes, clearl y identify and prioritize their needs, and play a 
leading role in the coordination of assistance ba sed on dialogue with donor s and participation from 
civil society and the private sector.   
Market distortions and sustainability  
 
47. In East Africa, the research recognized that while technical cooperation projects and 
programmes create demand for capacity building, they  may also distort markets for such services.  
The East Africa report observed that when prevailin g levels of capacity and market demand are low, 
external support is often critical to lay down basi c and broad-based functions that avoid sequencing 
problems in establishing higher-level SPS functions.  At the same time, donor support can act to inflate market prices, crowding out genuine market  demand and inflating de mand among beneficiaries 
that do not bear the consequences should capacity build ing efforts fail and/or the markets they supply 
do not demand such services.     
48. The allocation of funds based on a cost-shari ng arrangement was put forward as a means to 
increase the sustainability of project activities (see Box 8).  For instance, exporters benefitting from 
the PIP had a greater stake in investments made under the project because all assistance was provided 
on a cost-sharing basis.  Beneficiaries were further encouraged to achieve and demonstrate progress by linking support to agreed action plans and rel easing tranches of funds conditional on achievement 
of agreed milestones.  G/SPS/GEN/875 
Page 12  
 
  Box 8.  Promoting sustainability in project activities and impacts 
The PIP has been particularly effective in encouraging the active engagement of beneficiaries to enhance 
sustainability, for example through the use of Memoranda of Understanding with beneficiaries linked to 
agreed action plans.  Thus, individual beneficiaries are able to track their own progress, while taking responsibility for ensuring capacity is developed as agreed.  Because capacity is developed on a cost-sharing 
basis, beneficiaries have a stake in their own development and an incentive to ensure that funds are 
appropriately spent and activities delivered on schedule.  
 
 
Multi-tiered structure of objectives and intended impacts 
 
49. While the projects considered during this r esearch were generally focused on enhancing 
specific aspects of SPS capacity, the achievement of higher-level impacts (for example increased 
value of exports) was sometimes a related objective.  The findings from all thr ee regions reiterated the 
importance of clearly defining specific and well-targeted objectives.  Adopting a realistic approach 
and setting sensible goals about what can be achie ved across all of the defined impacts, based on 
levels of prevailing capacity, was singled out.  The East Africa report observed that it is better that 
interventions are successful in achieving a little  than unsuccessful in achieving a lot.   
50. The research findings also rai sed the need to recognize the likely “cumulative impact” of 
technical assistance projects in the SPS area and relate d fields.  While the importance of attempting to 
measure such impacts was recogni zed, the difficulties of separating out the specific impacts of 
individual projects was also noted.   
Conclusions and recommendations:  Expandin g good practice in SPS-related technical 
cooperation  
 51. Capacity building in the area of SPS is complex,  involving multiple actors, needs and sources 
of financing.  These factors, combined in some instances with the absence of clearly identified goals 
and/or understanding about what is needed to st rengthen SPS capacity, impede the wider application 
of the Paris Principles.  Contextual factors, par ticularly the absorptive capac ity of countries and the 
nature of governance in the SPS sector, significantly influence the ability of donors and beneficiaries 
to apply the Paris Principles in SPS-related technical assistance.   
52. Promoting national ownership is problematic wh en stakeholders at the country level are 
unaware of the importance of SPS capacity a nd/or lack understanding about prevailing SPS 
constraints and opportunities, and how to respond to them most effectively.  Against this background 
there may be a case for "supply-driven" activities to sensitize beneficiaries as to the importance of 
SPS capacity-building.   
53. The need for greater attention to the impact  and sustainability of SPS-related technical 
assistance projects at the project design stage emerge d as a key conclusion.  In this context, the 
research highlighted the importance of:   
• carefully considering the relevance and costs and benefits of the proposed activities;  
• sequencing activities to ensure that the basic f oundations of an SPS system are in place before 
more advanced capacity is developed;  
• creating stronger linkages with the private sector, including potential users of services and 
groups that could assume responsibility for financ ing and delivering activities after the end of 
the project;   G/SPS/GEN/875 
 Page 13 
 
 
  • making use of log frames to better understa nd the linkages between project inputs and 
outputs; and  
• effectively using M&E systems to track progress.   
54. Experiences in Central America clearly demonstrated how the use of a value chain approach 
provided a framework to effectively target public and private sector groups and focus assistance on particular commodities and markets where it would have the greatest impact on trade performance.  
The main role of government is to provide an  enabling legal and regulatory framework for the 
management of SPS issues, including available tec hnical assistance, in the context of a global SPS 
environment that is increasingly competitive and ch allenging.  The private sector needs to understand 
and be able to comply with SPS measures a nd related international requirements.    
55. A common criticism of technical assistance projects is that they expend too high a proportion 
of funds on goods and services supplied from outside the beneficiary country.
8  Beneficiaries, on the 
other hand, may prefer that procurement be concentr ated to the maximum extent possible within their 
territory to stimulate domestic economic activity or for other reasons.  In general, the guiding 
principle should be to design SPS-related projects to maximize the surplus of benefits over costs, and 
to source inputs from international, regi onal or national sources as appropriate.   
56. The Paris Principles are a point of reference rather than a matter of prescription for SPS-
related technical assistance.  One size does not fi t all.  Nevertheless, the Paris Principles provide 
sound guidance for enhancing the effectiveness and imp act of future SPS-related technical assistance, 
and more attention is needed to expand their u se in SPS-related technical assistance.  The following 
recommendations are offered to this end. 
Recommendations for the providers of SPS-related technical assistance 
• Focus on ownership and increase the involvement of beneficiaries in project design and 
implementation :  Enhancing ownership requires a stronger role for beneficiaries from the public 
and private sectors in project design and implem entation.  Enhancing managerial capacity 
(including skills to assess needs, identify prioriti es, develop bankable project proposals, plan and 
coordinate technical assistance, and monitor progr ess) as well as technical expertise will be 
essential to achieve this.  The shift towards progr amme-based approaches offers potential to better 
align donor assistance with national prioriti es (although this presupposes that SPS figures among 
these priorities). 
• Promote greater harmonization in the planni ng and delivery of technical assistance :   Donors are 
making efforts to ensure greater harmonization in SPS-related technical assistance but more needs 
to be done to improve coordinatio n in planning and implementation to make the most effective use 
of available resources and ensure that the final im pact is greater than the sum of its parts.  
• Adopt a value chain and results-oriented approach to maximize trade impact :  Taking a value 
chain and results-oriented approach will help to  target resources for SPS capacity building to 
specific areas where they are likely to  have the greatest trade impact.  
• Promote integration of SPS-capacity building with investment and private sector development 
programmes .  One particular complaint levelled against SPS capacity building projects is that they 
                                                      
  8 Gascoigne.  2007.  Identification of Parameters for Good Practice and Benchmarks for Judging the 
Impact of SPS-Related Technical A ssistance.  Report for the Standards and Trade Development Facility, 
Geneva. 
 G/SPS/GEN/875 
Page 14  
 
  tend not to include provision for investment either at a company level or in infrastructure.  Support 
to enhance technical expertise and managerial skills, combined with complementary investment 
flows as part of a comprehensive and long-term  SPS capacity building process would enhance 
impacts and sustainability.  
Recommendations for the recipients of SPS-related TA 
• Assess and prioritize SPS-related capacity building needs in collaboration wi th all stakeholders 
concerned :  Identifying and prioritizing SPS capacity needs is essential to raise awareness about 
prevailing constraints and opportunities facing the public and private sectors, and identify the most cost-effective and relevant options to respond to them.  Assessing needs can also help to clarify 
institutional responsibilities and increa se awareness about synergies in  the roles of different types 
of stakeholders.  
• Develop national strategies and action plans to  guide SPS-related capacity building:  
Comprehensive and coherent nati onal strategies and action plans for SPS-related capacity building  
– developed on the basis of a systematic and thor ough needs assessment and in partnership with all 
the concerned stakeholders – would provide a fra mework for SPS capacity building and a clear set 
of priorities for donors to align behind.  This w ould enhance efforts to focus technical assistance 
on priority needs and optimize efforts to match de mand for technical assistance to the available 
supply.   
Other recommendations for possible future work 
• Use of cost-benefit analysis to guide the d esign of SPS-related technical assistance9:  Cost-benefit 
analysis provides a means to ensure that availabl e resources are focused on the areas where they  
would achieve the greatest rate of return.  Additional work to promote and expand the use of cost-
benefit analysis more widely at the project d esign stage, as a means to ensure that available 
resources are allocated to areas where they would achieve the greatest trade impact, would be beneficial.    
• Systematic use of available capacity evaluation approaches :  Different evaluation tools have been 
developed to assess capacity needs in the SPS area.10  Making more systematic use of these tools 
would enable capacity needs to be assessed in a c onsistent manner across the SPS area.  It would 
also provide opportunities to develop capacity assess ment skills in developing countries that would 
empower beneficiaries to better identify their SPS priorities and needs. 
• Tracking the achievement of higher-order objectives :  This research has underscored some of the 
difficulties inherent in linking project outputs to  the achievement of higher-order objectives.  
Monitoring and evaluating the impact of SPS-related technical cooperation at a systems level 
would facilitate a focus on overall performance over-t ime, rather than trying to attach specific 
impacts to individual projects.  Focusing on the cu mulative effects of assistance in this way would 
help to identify the benefits for the broader ec onomy and generate data on rates of return on 
capacity building as a whole.   
                                                      
  9 Gascoigne.  Identification of Parameters for Good  Practice and Benchmarks for Judging the Impact of 
SPS-Related Technical Assistance.  Report for the Standards and Trade Development Facility, Geneva. 
10 These include the FAO Guidelines and Quick Guide to Assess Capacity Building Needs of National 
Food Control Systems, the FAO Guide to Assess Biosecurity Capacity, the IPPC's Phytosanitary Capacity 
Evaluation (PCE) Tool, the OIE's Tool for Evaluation of the Performance of National Veterinary Services (OIE-
PVS), and the Performance, Vision and Strategy tools developed by the Inter-American Institute for Cooperation on Agriculture for food safety, veterina ry services and plant health.  See G/SPS/GEN/821 
(http://docsonline.wto.org/DDFDocum ents/t/g/sps/GEN821.doc).    G/SPS/GEN/875 
 Page 15 
 
 
  Annex 1.  Responses to the WTO/OECD questionnaire survey 
Region Project No. of 
projects 
nominated 
East Africa • Pesticides Initiative Programme (PIP):  Nominated by EC EuropeAid 
• East Africa Phytosanitary Information Committee:  Nominated by 
United States Department of Agriculture (USDA) 
• Capacity-Building Needs Assessments:  Nominated by FAO 
• Advanced Training Programme on Quality Infrastructure for Food 
Safety:  Nominated by Sweden 
• Global Salm-Surv Training Programme on Laboratory-Based 
Surveillance of Food-Borne Diseases for Anglophone Central and 
Eastern Africa:  Nominated by WHO 
• Study on Costs of Agri-Food Safety and SPS Compliance in Tanzania, 
Mozambique and Guinea:  Nominated by UNCTAD 6 
Central America • Control of Broca de Café  pest in Panama and Costa Rica:  Nominated 
by Costa Rica 
• Establishment of fruit fly free areas:  Nominated by Costa Rica 
• Papaya export promotion project in Guatemala:  Nominated by 
Chinese Taipei 
• Provision of food safety in Panama:  Nominated by Chinese Taipei 
• Peppers and Tomatoes Mitigating M easures Training  in CAFTA-DR 
countries:  Nominated by USDA 
• SPS Assistance in the Americas:  Nominated by Canada 
• Strengthening Food Safety Laboratories in Central America:  
Nominated by FAO 
• Strengthening National Codex Committees:  Nominated by FAO 8 
Greater Mekong 
Delta Sub-region • Market Access and Trade Facilita tion Support for Mekong Delta 
Countries through Strengthening Institutional and National Capacities 
Related to SMTQ Phase I:  Nominated by UNIDO 
• Market Access Support for Viet Na m Through the St rengthening of 
Capacities Related to Metrology, Testing and Conformity:  Nominated 
by Switzerland 
• Southeast Asia Foot and Mouth Disease (SEAFMD):  Nominated by 
Australia and OIE 
• Multilateral Trade Assistance Proj ect Viet Nam II (MUTRAP II):  
Nominated by EC EuropeAid 
• Fish-borne Zoonotic Parasites (FIBOZOPA):  Nominated by Denmark 
• Plant Quarantine II – Thermal Treatment for the Disinfestation of Fruit 
Flies:  Nominated by Japan 
• Sanitary and Phytosanitary Capac ity Building Programme (SPSCBP):  
Nominated by Australia 
• Zoonotic and Animal Diseases A ffecting Trade in Viet Nam:  
Nominated by Switzerland 
• Follow up to Regional Laboratory Diagnostic Workshop:  Nominated 
by USDA 
• Costs of Agri-food Safety and SPS Compliance:  Nominated by 
UNCTAD 10 
Total  24 
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