WORLD TRADE  
ORGANIZATION  G/SPS/GEN/831 
25 March 2008 
 (08-1294) 
Committee on Sanitary a nd Phytosanitary Measures Original:   English 
  
 
FAO CAPACITY EVALUATION TOOLS FOR FOOD SAFETY, BIOSECURITY  
AND PLANT PROTECTION  
 
Submission by the Food and Agriculture Organization of the United Nations (FAO)
 
 
  
 The following communication, received on 19 Marc h 2008, is being circulated at the request 
of the FAO.  
_______________ 
 
Overview  
1. In the context of its mandate to raise levels  of nutrition, improve agricultural productivity, 
better the lives of rural populations and contribute to the growth of the world economy, FAO has 
developed a number of manuals, guidelines and traini ng materials to facilitate capacity building and 
needs assessment.  
2. This paper provides an introduction to the follo wing capacity evaluation tools developed by 
FAO:  
(i) Strengthening National Food Control System s: Guidelines to assess capacity building 
needs
1; 
(ii) Strengthening National Food Control Systems: A Quick Guide to assess capacity 
building need2;  
(iii) Guide to Assess Biosecurity Capacity (P art 2 of the FAO Biosecurity Toolkit)3;  and 
(iv) Phytosanitary Capacity Evaluation (PCE)4. 
 
Introduction to FAO's Capacity Evaluation  Tools for Food Safety and Biosecurity  
3. FAO has been working for more than forty years to improve the safety and quality of food in 
collaboration with national governments, the World Health Organization (WHO) and other 
international organizations, bila teral donor agencies, food enterprises, academic and scientific 
institutions, NGOs and other stakeholders.  More re cently, FAO has been involved in the development 
of a strategic and integrated approach to analyzi ng and managing relevant risks to human, animal and 
plant life and health, and associated risks to the environment, which is now known as biosecurity.  
The overarching goal of biosecurity is to prevent, c ontrol and/or manage risks to life and health as 
appropriate to the particular biosecurity sector.   
                                                     
 
 1 Available in English, French and Spanish at: http://www.fao.org/ag/a gn/agns/capacity_en.asp   
 2 Available in English, French and Spanish at: http://www.fao.org/ag/a gn/agns/capacity_en.asp  
 3 Available in English, French and Spanish at: http://www.fao.org/docrep/010/a1140e/a1140e00.htm  
  4 Available at:  
https://www.ippc.int/servlet/CDSServlet? status=ND0xMzQwNCY2PWVuJjMzPSomMzc9a29z  G/SPS/GEN/831 
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  4. FAO's tools to assess capacity needs in food safet y and biosecurity were developed through a 
collaborative process that included peer review mee tings with experts in different aspects of food 
safety and biosecurity, and pilot testing at the c ountry level.  The Guidelines and Quick Guide to 
assess food safety capacity building needs were deve loped in cooperation with the World Health 
Organization (WHO). 
 
5. FAO approaches the identification of capacity needs in food safety and biosecurity as an 
essential step in the process of strengthening capacity  (Figure 1).  Assessing capacity building needs 
provides a means to identify country level requir ements and priorities for food safety and/or 
biosecurity.  As such, carrying out a capacity needs assessment can help to ensure that activities to 
enhance capacity are demand-driven and tailored to  specific circumstances within countries.  By 
assessing needs, governments will be better able to se t priorities and organize their work, improve the 
use of available resources and raise additional resources for unmet demands.  
Figure 1:  Capacity Building Needs Assess ment as an Initial Step in the Process  
of Capacity Building 
 
 
  External support 
(advice and/or 
resources)  Consultation and dialogue with stakeholders  
Capacity 
building 
strategy  
and  
action planCapacity building 
programmes 
and activities  
(including monitoring and 
evaluation) Capacity Building Needs 
Assessment 
Review and analyse 
existing capacity of the 
food control system  
Define the desired future  
improved situation  
Identify capacity gaps  and 
needs   G/SPS/GEN/831 
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Strengthening National Food Control Systems:  Guidelines to Assess Capacity Building Needs 
6. The Guidelines have been developed to assist gove rnments to assess their capacity in the core 
elements of a national food control system and id entify their related capacity building needs.  They 
are targeted at officials in national authorities who are responsible for various aspects of food control 
systems at the policy and/or operational level, as  well as external organizations and consultants 
involved in activities to strengthen the capacity of food control systems.  7. The Guidelines build on and complement the FAO/WHO Guidelines for strengthening 
national food control systems (Food and Nutrition Paper No. 76)
5, which provide advice to develop an 
integrated regulatory system for food control anchor ed in a transparent, ri sk-based approach and the 
involvement of all the concerned stakeholders from farm to table.  Unlike other assessment and audit 
methodologies to verify that particular regulations or standards are met by the food industry, these Guidelines focus on government agencies and food cont rol authorities responsible for food safety and 
quality.  They are unique in presenting both a methodology for self-assessment of capacity building 
needs and internationally accepted benchmarks and principles for each of the core components of a 
national food control system.  8. The Guidelines include an introduction to the overall process of capacity building and needs 
assessment in national food control systems, as well as modules to guide officials through the assessment process for:  (i) food control management;  ( ii) food legislation;  (iii) food inspection;  (iv) 
official food control laboratories;  and (v) f ood safety and quality information, education and 
communication (IEC).  The modules offer step-by-step guidance and a participatory methodology for self assessment.  Each module is designed to stand on its own and countries may use different 
modules depending on their particular needs.  Give n the multidimensional nature of a food control 
system and the linkages between its components, e fforts are made to draw attention to possible 
interdependencies between the modules as far as possible. 
 
Strengthening National Food Control Systems:   A Quick Guide to Assess Capacity Building 
Needs 
9. The Quick Guide provides a fast approach to  systematically assess the capacity building 
needs of the entire food control system a ll at once.  Accordingly, it focuses on: 
• food safety outcomes and performance from the pe rspective of different stakeholders;  
• the country context for food safety;  and  
• overall capacity of the national food control system. 
 
10. The Quick Guide complements the FAO Guidelin es to Assess Capacity Building Needs (see 
above) which include in-depth modules tailored to e ach of the core components of a national food 
control system.  To illustrate, countries that want to get an overall picture of what is needed to 
strengthen their food control system should use the Quick Guide.  Countries that want to focus on a particular component (e.g. food inspection, food legi slation) of their food control system should apply 
the relevant module(s) of the FAO Guidelines.  
                                                     
 
5 Available in English, French and Spanish at:  http://www.fao.org/docrep/006/y8705e/y8705e00.htm  G/SPS/GEN/831 
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11. The Quick Guide approaches capacity building n eeds as gaps between "what is" (the present) 
and "what should be" (the desired future).  The methodology is based on a systematic process to 
examine critically the capacity and performance of  the existing food control system, envisage the 
improved future system, pinpoint areas for improveme nt and identify options to address the identified 
needs.  
 12. The five steps in this process, and their expect ed outputs process, are illustrated in Figure 2.  
Each step incorporates a number of key questions to guide the assessment, as well as practical tips and suggestions to support those using the guide.  More detailed guidance including survey 
questionnaires, key questions for discussions, checklis ts of capacity and capacity building needs, are 
annexed to the Guide as resource materials.   13. Use of the Quick Guide will enable countries to  evaluate the performance of the existing food 
control system from the perspective of different st akeholders, generate a me dium-term vision of an 
improved food control system, and identify capacity building needs and options to address them.  This 
will enhance decision and policy-making, contributi ng to improved results, more efficient resource 
allocation and greater satisfaction fro m stakeholders.  It will also enab le countries to demonstrate their 
commitment to safe food to trading partners and potential donors, helping to attract new sources of 
funding.   G/SPS/GEN/831 
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  Figure 2:  Process Used in the Quick Guid e to Identify Capacity Building Needs 
 
 
 
Use of the Guidelines and Quick Guide to assess food safety capacity building needs 
14. The Guidelines and Quick Guide were pilot t ested under FAO and STDF projects in Benin, 
Cambodia, Cameroon, Dominican Republic, Ecuador , El Salvador, Haiti, Kenya, Laos PDR, 
Myanmar, Panama, Tanzania, Uganda and Viet Nam.   15. FAO is using the Guidelines and Quick Guide as part of its work to develop and implement 
technical cooperation activities to strengthen food  safety and quality in developing and transition 
countries.  The tools are also being applied by ot her organizations and donors involved in food safety 
capacity building activities including the STDF.  
 16. FAO is also using the Guidelines and Quick Gu ide to train food safety regulators on needs 
assessment.  These workshops have addressed ne w approaches and methodologies to assess capacity 
building needs, the development of capacity buildin g strategies and action plans, tools and techniques Step 2:  Review existing capacity and performance of 
the food control system  
Step 3:  Describe the desired future (improved) food 
control system  
Step 4:  Identify and prioritize capacity building needs
Step 5:  Consider options to address identified needs 
and develop a capacity building action plan Step 1:  Seek the support of key stakeholders and 
agree on the goals, objectives and process to carry out the assessment  Monitoring and evaluation 
Capacity Building 
Action Plan Situation Analysis 
Goals & Objective s Terms of Reference 
Needs & Priorities G/SPS/GEN/831 
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  to support needs assessment, benchmarks for m onitoring and evaluating impact; and methods and 
techniques to train others in capacity building needs assessment.    17. An international training workshop on assessing capacity building needs in national food 
control systems was held in Rome from 28 November to 1 December 2006.  Twelve food safety 
regulators from Africa, Asia, the Near East, Latin Am erica and the Caribbean participated actively in 
this event.  The workshop report is available on the FAO website 
(ftp://ftp.fao.org/ag/agn/food/me etings/2006/fao_tot_workshop.pdf
). 
 18. An FAO Sub-regional training workshop for East Africa on strengthening national food 
control systems and assessing capacity building n eeds was organized in collaboration with the 
Tanzania Bureau of Standards (TBS) from 4 to  8 December 2006 in Bagamoyo, Tanzania.  The 
workshop report is available on the FAO website   (ftp://ftp.fao.org/ag/agn/food/me etings/2006/tanzania_ws_report.pdf
). 
 
19. A regional workshop on assessing food safety cap acity building needs was organized in 
November 2007 in Beijing, China by FAO and Food  Standards Australia New Zealand (FSANZ) as 
part of an STDF project (STDF 173).  Twenty experts from developing APEC Member Economies 
participated in this training.  The work shop report is available on the STDF website 
(http://www.standardsfacility.org/files/Project_doc uments/Project_Grants/STDF_173_Post_workshop
_report.pdf ). 
 
FAO Guide to Assess Biosecurity Capacity 
20. Biosecurity is a strategic and integrated appro ach to analyzing and managing relevant risks to 
human, animal and plant life and health, and associated  risks to the environment.  It is based on 
recognition of the critical linkages between sector s and the potential for hazards to move across 
sectors with far-reaching cross-sectoral consequences.  
 21. FAO has developed a Biosecurity Toolkit to provide practical guidance and support to 
develop and implement national biosecurity framewo rks at the country level.  The purpose is to 
support governments to better manage biosecurity as a means to protect public health, agricultural 
production and the environment.  At the same time , this will enhance the ability of countries to 
comply with international agreements, regula tions and requirements focused on sanitary and 
phytosanitary measures, contributing to economic development and trade. 
 22. The Biosecurity Toolkit comprises the follo wing three separate but linked documents: 
• Part 1:  Biosecurity Principles and Components provides a contemporary context for the 
development and implementation of a harmonized biosecurity approach across all sectors.  
• Part 2:  Guide to Assess Biosecurity Capacity provides guidance on how to assess 
dimensions of biosecurity capacity across all sectors and sector organizations based on an integrated biosecurity approach.  
• Part 3:  An Overview and Framework Manual for Biosecurity Risk Analysis presents a 
generic framework to structure and guide the application of risk analysis principles in 
biosecurity. 
23. The Guide to Assess Biosecurity Capacity offe rs a systematic, seven-step process to examine 
critically the nature and performance of an existing biosecurity syst em, pinpoint areas for 
improvement and identify the means to achieve a futu re vision of biosecurity.  It is developed on the 
premise that biosecurity concerns different parts of  government, that biosecurity goals are interrelated, 
and that the best way to manage the risks faced is through coordinated action across the relevant  G/SPS/GEN/831 
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  sectors, thereby contributing to improved outcomes and efficiencies.  By providing a process to 
identify cross-cutting biosecurity capacity needs, th e Guide addresses the gaps inherent in a purely 
sectoral approach.   24. Use of the Guide to Assess Bio security Capacity enables gove rnments to increase awareness 
of the synergies and interdependencies that exist across biosecurity sectors.  It further helps to 
generate an understanding of exis ting biosecurity capacity and perfor mance, a medium-term vision for 
national biosecurity, and a strategy and action pl an to enhance biosecurity capacity based on an 
identification of capacity needs.  
25. Government officials involved in biosecurity or  a particular biosecurity sector are the main 
target audience for this Guide.  This includes o fficials involved in food safety and public health, 
animal and plant life and health, and protection of the environment, at both the policy and/or operational level.  Development agencies, consu ltants and trainers supporting biosecurity activities 
and programmes will find the Toolkit and Guid e to Assess Biosecurity Capacity useful. 
 
Use of the Guide to Assess Biosecurity Capacity 
26. The Guide to Assess Biosecurity Capacity is be ing used at the national, regional and global 
level to develop project activities and to increase  awareness and knowledge about biosecurity among 
sector officials.  A series of regional and internatio nal training workshops on an integrated approach 
to food safety, animal health and plant health (bio security) and the assessment of capacity needs have 
taken place in Santiago, Chile (9-11 May 2007), Ba ngkok, Thailand (28-30 May 2007), Accra, Ghana 
(30 May - 1 June 2007) and Rome, Italy (22-25 January 2008).   27. The objectives of these workshop were to:  (i)  increase the understanding and knowledge 
about an integrated approach to food safety, an imal and plant health and life and biosafety among 
sector experts;  (ii) equip participants with the knowledge and skills to apply the FAO Guide to assess 
biosecurity capacity at the national level;  and ( iii) develop a network of experts with specialized 
knowledge and skills on an integrated biosecurity ap proach to facilitate the development and delivery 
of biosecurity capacity building activities and training at the country and regional level.  The reports 
of these meetings are available on the FAO website (http://www.fao.org/ag/agn/agns /capacity_events_2007_en.asp
).  
 
28. Other activities using the Guide to Assess Biosecu rity Capacity and strengthen an integrated 
biosecurity approach have been carried out or are ongoing in Bhutan, El Salvador, Haiti, Nepal, 
Panama and pilot African countries.   Phytosanitary Capacity Evaluation Tool 
 
29. One of the first SPS evaluation tools develope d, the Phytosanitary Capacity Evaluation 
(PCE), originated from a pilot project funded by New Zealand in 1999.  The project developed a questionnaire for the assessment of phytosanitary capa bilities, to identify needs and priorities of the 
National Plant Protection Organization (NPPO).  The original questionnaire was piloted in six 
countries (Cook Islands, Fiji, Solom on Islands, Indonesia, Bangladesh and Viet Nam).  After field 
evaluation in about 30 countries, a Technical Assistance Expert Group convened by the Secretariat of the International Plant Protection Convention (I PPC) recommended the inclusion of new components 
to PCE on Institutional Aspects, Strengths, Weakn esses, Opportunities and Threats (SWOT) Analysis, 
Priority and LogFrame Matrices.  At the 4th ICPM Meeting, PCE was adopted as the preferred tool to 
perform phytosanitary needs assessment and a CD-R OM version was commissioned for distribution 
to member countries.  By the time of the last meeting of the Commission on Phytosanitary Measures 
(CPM) in April 2007, the PCE had been applied in more than 60 countries world-wide. G/SPS/GEN/831 
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Countries where the PCE has been applied (November 2006) 
 
 
Antigua and Barbuda 
Bahrain 
Barbados Belize Benin Bhutan 
Bolivia 
Burkina Faso Cambodia Colombia Costa Rica 
Cote d'Ivoire 
Dominica Dominican Republic Ecuador El Salvador Estonia  
Gabon 
Grenada Guatemala Guinea Bissau Guyana 
Haiti 
Honduras India Iran Jamaica 
Kenya 
Kuwait Lao People's Democratic Rep. Mali Mexico 
Myanmar 
Nepal Nicaragua Niger Nigeria 
Oman 
Panama Peru Qatar Saint Lucia 
Saudi Arabia 
Senegal St Lucia St. Kitts and Nevis St. Vincent and the  
  Grenadines  
Sudan Suriname Swaziland Tanzania 
Bahamas 
The Gambia Togo Trinidad and Tobago Uganda 
United Arab Emirates 
Venezuela Viet Nam Zambia 
 
30. The PCE comprises 11 modules, some standard-s pecific, e.g., pest free areas and export 
certification, others are cross cutting, e.g. inspec tion,  each with a questionnaire and empty matrices 
for SWOT analysis.  This facilitates the prioritiz ing of actions and the construction of a logical 
framework.  The primary focus is to examine the capacity of the NPPOs in relation to implementation 
of International Standards for Phytosanitary Measures (ISPMs) and the rights and responsibilities 
described in the IPPC.  The PCE is multilingual with  English, French, Arabic and Spanish versions. 
 31. The questionnaire in PCE assumes a basic level of understanding of some of the supporting 
documents such as the IPPC, the ISPMs, the Co nvention on Biological Diversity (CBD) and the 
Cartagena Protocol on Biosafety to the CBD.  Th ese documents are contained in the PCE CD-ROM 
under the section called "Background Documents" .  It has been agreed that PCE results should be kept 
confidential, unless a country wishes to use or present their PCE results externally.  
 32. The structure of the existing PCE is being rearra nged into a stratified framework so that the 
user may follow the tool on a modular basis, goi ng deeper into details when more assistance is 
needed, with provision of links to additional inform ation and guidance.  In that regard,  the main 
thematic areas of national capacity will be grouped into conceptual categories, avoiding the need to 
create different modules for each ISPM.  The PCE w ill show cascading levels in Word or Power Point 
to allow for preclusion of further questions based  on the answer to the lead question.  Useful 
references, guidance documents, etc. will be ad ded for support to the NPPO in areas where 
weaknesses are identified.  New thematic areas, fo r example, for capturing  stakeholders’ concerns 
and agreeing on national prio rities, will be added. 
 
33. At the CPM in 2007, a review of the PCE was presented by CABI Africa
.  The report noted 
the positive impacts of the PCE with respect to its intended use, in particul ar on national strategic 
planning, justification for budgetary allocation, le gal frameworks, training and awareness raising.  
Recommendations made by CABI will be discussed at the forthcoming CPM on 7–11 April 2008 .  
For the forthcoming discussion on the PCE at the CPM meeting, see document CPM 2008/4 at the 
IPPC website:  https://www.ippc.int/IPP . 
 
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